PROBLEM-SOLVING ADVOCACY IN MEDIATIONS: A MODEL OF CLIENT REPRESENTATION

10 Harvard Negotiation Law Review 103 (2005)

Harold Abramson [FNd1]
!e "roblem# Adversarial Advo$a$%
&
!e sort o' advo$a$% $ari$at(red in t!e negotiation session o' t!e movie )rin *ro$+ovi$! [FN1,] !as not been
(n$ommon in mediations- Let me des$ribe t!e s!ar. e/$!ange o' settlement o''ers in t!at negotiation- 0(ring t!e rest o' t!is
arti$le1 t!is dis.(te [FN20] will be (sed as a basis 'or demonstrating t!e elements o' a 'orm(la s(itable 'or re.resenting
$lients in a .roblem2solving .ro$ess-
Here is t!e s$ene and t!e trans$ri.t#
!e 3(dge 3(st dismissed ea$! o' t!e eig!t%2'o(r motions to stri+e 'iled b% t!e de'endant and (.!eld t!e .lainti''s4
$a(ses o' a$tion in a laws(it bro(g!t b% t!e residents o' Hin+le%1 w!o $laimed t!at t!e de'endant "a$i'i$ 5as and
)le$tri$ ["56)] !ad .oll(ted t!eir gro(ndwater- !e 3(dge dire$ted t!e de'endant4s attorne%s to 7tell %o(r $lients
t!e%4re going to trial-8 As a res(lt1 t!e attorne%s 'or bot! sides agreed to meet at t!e law o''i$e o' t!e .lainti''s4 attorne%
to dis$(ss settling t!e laws(it-
9$ene# !e :aiting Room-
)d ;asr%1 t!e attorne% )rin *ro$+ovi$! wor+s 'or1 glan$es at t!e de'endants4 attorne%s w!o 7oo<e im.ortan$e8 and
w!is.ers to ;s- *ro$+ovi$!1 7!e games are abo(t to begin-8 ;r- ;asr% re$r(its and dresses (. two o' !is se$retaries to loo+
li+e attorne%s-
Ne/t 9$ene# !e =on'eren$e Room-
!e 'o(r o' t!em1 in$l(ding ;s- *ro$+ovi$!1 wal+ into t!e $on'eren$e room and sit down- A$ross t!e table1 two
attorne%s re.resenting t!e de'endant are alread% seated-
!e lead attorne% 'or de'endant "a$i'i$ 5as and )le$tri$ tal+s 'irst and .resents an o.ening o''er#
9AN=H)> ("56) lead attorne%)# - - - Let4s be !onest !ere- went% million dollars is more mone% t!an t!ese .eo.le
!ave ever dreamed o'-
)R?N# @!1 see1 now t!at .isses me o''- First o' all 2 sin$e t!e dem(r1 we now !ave more t!an 'o(r !(ndred
.lainti''s - - - - and (mo$+ing !er) 7let4s be !onest18 we all +now t!ere4s more o(t t!ere- Now1 t!e% ma% not be t!e most
so.!isti$ated .eo.le1 b(t t!e% do +now !ow to divide1 and twent% million dollars isn4t s!it w!en it4s s.lit between t!em-
*112 And se$ond o' all 2 t!ese .eo.le don4t dream abo(t being ri$!- !e% dream abo(t being able to wat$! t!eir +ids
swim in a .ool wit!o(t worr%ing t!e%4ll !ave to !ave a !%stere$tom% at age twent%1 li+e Rosa 0ia< 2 a $lient o' o(rs 2 or to
!ave t!eir s.ine deteriorate li+e 9tan *loom 2 anot!er $lient o' o(rs-
9o be'ore %o( $ome ba$+ !ere wit! anot!er lame2ass o''er1 ? want %o( to t!in+ real !ard abo(t w!at %o(r s.ine is wort!1
;r- *(da [one o' "56)4s attorne%s] 2 or w!at %o(4d e/.e$t someone to .a% %o( 'or %o(r (ter(s1 ;iss 9an$!e< [t!e ot!er
"56) attorne%] 2 t!en %o( ta+e o(t %o(r $al$(lator and m(lti.l% t!at n(mber b% a !(ndred- An%t!ing less t!an t!at is a
waste o' o(r time-
[9an$!e<1 t!ro(g!o(t !er s.ee$!1 !as been rea$ting in a .atroni<ing manner 2 as i' )rin4s words were o' no im.ort- As
9an$!e< .i$+s (. a glass o' water to si.1]
)R?N# *% t!e wa%1 we !ad t!e water bro(g!t in s.e$ial 'or %o( 'ol+s- ?t $ame 'rom one o' Hin+le%4s water wells-
9AN=H)> stares at t!e water and .(ts it down and sa%s# ? t!in+ t!is meeting is over-
)0 res.onds wit!# 0amn rig!t it is-
[)rin gets (. and storms o(t 'irst-]
!is sort o' intensive1 adversarial .ost(ring $an damage1 i' not derail1 a .roblem2solving .ro$ess1 w!et!er $ond($ted
wit! or wit!o(t a mediator- ;ediation advo$ates w!o .re'er a .roblem2solving .ro$ess need a more s(itable a..roa$! to
$lient re.resentation-
A- 9ol(tion# !e ;ediation Re.resentation Form(la
;ediation Re.resentation .resents a 'ive $om.onent mediation re.resentation 'orm(la in w!i$! attorne%s advo$ate b%
(sing (1) a $reative .roblem2solving a..roa$! to a$!ieve t!e two goals o' (2) satis'%ing t!eir $lient4s interests and (3)
over$oming an% im.ediments to settlement- 0(ring t!e mediation t!e attorne%s (B) enlist t!e assistan$e o' t!e mediator w!ile
negotiating wit! t!e ot!er side at (5) +e% 3(n$t(res in t!e .ro$ess-
!e 'irst t!ree $om.onents o' t!e model 'o$(s .rimaril% on !ow to negotiate in t!e mediation-
A- Negotiation A..roa$!# =reative "roblem29olving
9ele$ting t!e negotiation a..roa$! was eas%- ?' an advo$ate views mediation as a .roblem2solving .ro$ess1 t!en t!e
attorne% s!o(ld negotiate as a .roblem2solver-
*113 A .roblem2solving negotiator w!o is $reative [FN21] does more t!an 3(st tr% to settle t!e dis.(te- 9($! a negotiator
$reativel% sear$!es 'or sol(tions t!at go be%ond t!e traditional ones based on rig!ts1 obligations1 and .re$edent- Rat!er t!an
settling 'or win2lose o(t$omes1 t!e negotiator sear$!es 'or sol(tions t!at $an bene'it bot! sides- [FN22] o $reativel% .roblem
solve1 t!e negotiator develo.s a $ollaborative relations!i. wit! t!e ot!er side and .arti$i.ates t!ro(g!o(t t!e .ro$ess in a wa%
t!at is li+el% to res(lt in sol(tions t!at are end(ring as well as inventive- 9ol(tions are li+el% to be end(ring be$a(se bot!
sides wor+ toget!er to 'as!ion n(an$ed sol(tions t!at ea$! side '(ll% (nderstands1 $an live wit!1 and +nows !ow to
im.lement- 9ol(tions are li+el% to be inventives be$a(se bot! sides advo$ate 'or t!eir $lient4s interests instead o' legal
.ositionsC [FN23] (se s(itable te$!niD(es 'or over$oming im.edimentsC sear$! e/.ansivel% 'or m(lti.le o.tionsC and eval(ate
and .a$+age o.tions imaginativel% to meet t!e vario(s interests o' all .arties-
*114 For .roblem2solving advo$a$% to be e''e$tive1 an attorne% o(g!t to engage .roa$tivel% at ever% stage o'
re.resentation1 'rom t!e moment o' t!e 'irst $lient interview (ntil t!e negotiation in t!e mediation is $on$l(ded- !e attorne%
s!o(ld be a $onstant .roblem solver- ?t is relativel% eas% to engage in sim.le moves s($! as res.onding to a demand wit! t!e
D(estion 7w!%E8 in order to bring t!e ot!er .art%4s interests to t!e s(r'a$e- However1 it is m($! more di''i$(lt to sti$+ to t!is
a..roa$! t!ro(g!o(t t!e mediation .ro$ess1 es.e$iall% w!en 'a$ed wit! an adversarial1 .ositional o..onent- r(st t!e
.roblem2solving a..roa$!- :!en t!e ot!er side engages in adversarial ta$ti$s 2 a 'reD(ent o$$(rren$e in .ra$ti$e 2 t!e
attorne% s!o(ld rea$t wit! .roblem2solving res.onses1 res.onses t!at mig!t even $onvert t!e ot!er side into a .roblem solver-
[FN2B]
?n t!is .it$! 'or a .roblem2solving a..roa$!1 ? do not blindl% $laim t!at it is t!e onl% one t!at res(lts in
settlements- Attorne%s 'reD(entl% $ite s($$ess stories w!en t!e% (se (nvarnis!ed adversarial ta$ti$s1 as o$$(rred in )rin
*ro$+ovi$!1 or a !%brid o' adversarial and .roblem2solving strategies- [FN25] !e !%brid s(..orters $laim t!at t!e best
a..roa$! is a 'le/ible one1 a .!iloso.!% t!at s(rel% is advisable in li'e generall% as well as in legal negotiations- However1
'le/ibilit% s!o(ld not be $on'(sed wit! in$onsisten$%- 9!i'ting between adversarial and .roblem2solving ta$ti$s d(ring t!e
$o(rse o' mediation $an (nder$(t $reative .roblem2solving .otential- A $onsistent ad!eren$e to .roblem2solving will more
li+el% .rod($e t!e best res(lts 'or $lients-
Finall%1 t!is .it$! 'or .roblem2solving is bo(nd to be resisted b% t!ose w!o 'ail to see an% bene'its 'or t!e legal $ases t!at
t!e% t%.i$all% !andle- !ese s+e.ti$s see .roblem2solving o..ort(nities 'or ot!er attorne%s4 $ases b(t not 'or t!eir own
be$a(se t!eir $ases are onl% abo(t mone%- !is $ommon rea$tion re'le$ts a mis(nderstanding o' t!e o..ort(nities o''ered b%
.roblem2solving-
First1 w!et!er a legal dis.(te is mostl% abo(t mone% varies 'rom $ase to $ase- [FN2F] An attorne% !as little $!an$e o'
dis$overing w!et!er a *115 dis.(te is abo(t more t!an mone% i' t!e attorne% a..roa$!es t!e dis.(te as i' it is onl% abo(t
mone%- [FN2G] 9($! a .re$on$eived view ba$+ed b% a narrowl% 'o$(sed adversarial strateg% will li+el% blind t!e attorne% to
t!e ot!er .art%4s needs and inventive sol(tions- *ot! sides are more li+el% to dis$over $om.re!ensive and $reative sol(tions i'
t!e% a..roa$! t!e dis.(te wit! o.en minds and .roblem2solving orientations-
9e$ond1 i' t!e dis.(te or an% remaining iss(es t(rn o(t to be .redominantl% abo(t mone%1 t!en at least t!e attorne%
'ollowed a re.resentation a..roa$! t!at ma% !ave $reated a !os.itable environment 'or resolving t!e mone% iss(es- A
!os.itable environment $an even be bene'i$ial w!en t!ere is no e/.e$tation o' a $ontin(ing relations!i. between t!e
dis.(ting .arties-
!ird1 t!e .roblem2solving a..roa$! $an .rovide a 'ramewor+ 'or resolving mone% iss(es- !is t%.e o' dis.(te $an
sometimes be resolved b% resorting to t!e (s(al .roblem2solving initiatives s($! as t!e (se o' ob3e$tive $riteria- [FN2H] ?'
t!e% 'ail1 an attorne% mig!t t(rn to t!e 'amiliar1 adversarial negotiation dan$e o' o''ers and $o(nter2o''ers1 b(t a version t!at
!as been tem.ered 'or a .roblem2solving .ro$ess- [FN2,]
?n s!ort1 .roblem2solving .rovides a $om.re!ensive and $o!erent str($t(re 'or re.resentation t!at $an g(ide an attorne%
t!ro(g!o(t t!e negotiation in t!e mediation- *% sti$+ing to t!is a..roa$!1 t!e attorne% will be .re.ared to deal wit! t!e
m%riad o' (nanti$i.ated $!allenges t!at inevitabl% arise as an% negotiation (n'olds-
*116 0es.ite t!ese bene'its1 law%ers gravitate toward an adversarial a..roa$!- !e reason ma% seem sim.listi$1 i' not
s(.er'i$iall% glib# law%ers are too .reo$$(.ied wit! litigating- Negotiations are so enmes!ed in t!e litigation .ro$ess t!at
negotiations and litigation !ave be$ome an integrated1 single .ro$ess o' dis.(te resol(tion- [FN30] !(s1 law%ers are li+el% to
a..roa$! t!e negotiated settlement o' a $o(rt $ase wit! a litigator4s mindset1 [FN31] one molded b% an intensel% adversarial
legal $(lt(re and rein'or$ed b% attorne% 'ee arrangements-
;an% law%ers relis! and man% $lients $rave a 'ier$el% $ombative a..roa$! to legal re.resentation- @verl% o.timisti$ as
well as inse$(re $lients want to be .rote$ted b% aggressive !ired g(ns- !e% are not ver% re$e.tive to realit% $!e$+s and $an
be$ome .ert(rbed wit! law%ers w!o ma% not a..ear 'ait!'(l to t!e $a(se w!en t!e% 'lag legal ris+s and inD(ire abo(t t!e
ot!er side4s .ers.e$tive and needs-
Legal training and e/.erien$e tea$! law%ers to view legal dis.(tes as <ero2s(m or distrib(tive $on'li$ts abo(t mone% in
w!i$! one .art% wins and t!e ot!er one loses- !e ver% '(n$tion o' $o(rts is to de$lare winners and losers- Also1 $o(rts
.re'er awarding t!e winners monetar% awards over s($! eD(itable relie' as s.e$i'i$ .er'orman$e and inventive
in3(n$tions- =om.elled b% t!e well2establis!ed ma/im t!at 7eD(itable relie' is not available to one w!o !as an adeD(ate
remed% at law18 $o(rts .re'er awarding damages1 reserving $reative eD(itable relie' 'or w!en legal remedies .rove
inadeD(ate- *e'ore awarding most 'orms o' non2monetar% relie'1 $o(nsel m(st $onvin$e t!e $o(rt t!at !is or !er $lient wo(ld
ot!erwise s(''er irre.arable !arm and t!at t!e eD(itable relie' wo(ld be .ra$ti$al1 $onvenient1 and not sa. 3(di$ial reso(r$es-
[FN32]
!e litigator4s mindset is also molded b% t!e onl% too 'amiliar ro(tine 'or .(rs(ing litigation- First1 a litigator4s
$on$e.tion o' a dis.(te is s!a.ed b% t!e wa% !e or s!e $onverts t!e dis.(te into a legal $ase- :!en dra'ting a $om.laint or
answer1 t!e attorne% s$(l.ts and 'its t!e dis.(te into re$ogni<ed legal $ategories and t!en rein'or$es t!is $on$e.tion o' t!e
dis.(te wit! s(..orting .artisan arg(ments- !e attorne% ne/t engages in vario(s strategies to bolster t!e legal $ase be$a(se
t!e .er$eived li+el% $o(rt o(t$ome will im.a$t on t!e settlement val(e o' t!e $ase- ?n addition to (sing old2'as!ioned .(''er%
and bl(''ing1 t!e attorne% t%.i$all% t(rns to vario(s litigation strategies- *% .(rs(ing more dis$over% or a motion 'or
s(mmar% *117 3(dgment1 'or instan$e1 t!e attorne% .(rs(es t!e $!an$e t!at more dis$los(re or a s($$ess'(l motion will
strengt!en t!e $o(rt $ase and its settlement val(e- !e attorne% ma% '(rt!er .ress t!e ot!er .art% to settle b% resorting to
litigation strategies t!at in$rease t!e ot!er .art%4s $ost o' sta%ing in t!e litigation- *% demanding vol(mino(s dis$over%1 'or
e/am.le1 t!e attorne% $an .(r.osel% in$rease t!e ot!er .art%4s $osts o' not settling- As t!e attorne%s and .arties be$ome
$ons(med b% t!ese litigation ta$ti$s1 t!e litigation and related negotiation be$ome s!ar.l% adversarial-
!e 'ee arrangements between attorne%s and t!eir $lients1 w!i$! $an en$o(rage (net!i$al .ro'essional $ond($t1 $an '(el
t!ese litigation strategies- @bvio(sl%1 an !o(rl% rate arrangement $an motivate less et!i$al attorne%s to engage in adversarial
strategies t!at .rolong t!e litigation- ?t ta+es onl% one (net!i$al attorne% wit! t!e !o(rl% rate in$entive to .rolong t!e
litigation- )ven t!o(g! t!e alternative o' a $ontingen$% 'ee arrangement ma% motivate earl% settlement (b% wor+ing 'ewer
!o(rs1 t!e attorne% $an ma+e more mone%)1 it $an dis$o(rage .roblem2solving sear$!es 'or val(e2$reating trades- A
settlement t!at in$l(des a new $ar or an a.olog% instead o' monetar% damages1 'or instan$e1 .rod($es a settlement t!at $annot
be neatl% s.lit so t!at t!e attorne% re$eives one2t!ird-
?n s!ort1 w!en t!e litigator4s mindset is ada.ted to legal negotiations1 t!e a..roa$! is bo(nd to be adversarial- [FN33]
!is adversarial a..roa$! !as been long2standing1 des.ite t!e 'inding o' at least one .rominent st(d% t!at law%ers wo(ld
.re'er .roblem2solving strategies- [FN3B] A st(d% o' New Ierse% litigators s(ggested t!at law%ers ma% negotiate adversariall%
o(t o' !abit1 a so$ial .ra$ti$e t!at is less $ostl% and more easil% ro(tini<ed t!an .roblem2solving- [FN35]
!e negotiation in )rin *ro$+ovi$! s(rel% e/em.li'ied t!e $lassi$ adversarial a..roa$!- ?t $onsisted o' t!e e/$!ange o'
e/treme o''ers and $o(nter2o''ers ba$+ed b% m(s$(lar lang(age- A'ter t!e de'endant4s attorne% $!ara$teri<ed !er o''er as
7more mone% t!an t!ese *118 .eo.le !ave ever dreamed o'18 )rin *ro$+ovi$! res.onded b% s$orning t!e de'endant4s o''er1
$onve%ing .assionatel% and vividl% !er $lients4 dreams1 .resenting an e/treme and .rovo$ative $o(nter2o''er1 and wra..ing
(. !er res.onse wit! t!e (nsettling water .lo% t!at .ointedl% raised t!e !ealt! iss(e- !e res(lt o' t!is series o' moves was
.redi$table1 at least 'or t!at negotiation session# an im.asse- However1 $o(ld ;s- *ro$+ovi$! !ave been an assertive advo$ate
in a wa% t!at wo(ld not !ave sent t!e ot!er side awa%E ? will s(ggest !ow s!e mig!t !ave advo$ated di''erentl%1 in a wa% t!at
mig!t !ave trans'ormed t!e negotiation into .roblem solving1 as ? e/.lore t!e ne/t 'o(r $om.onents o' t!e re.resentation
model-
*- 5oal# Advan$e Jo(r =lient4s ?nterests
For t!e ne/t ste. in $onstr($ting t!is model1 ? wanted to 'as!ion a g(iding lig!t 'or t!e negotiation- An% lig!t s!o(ld
'o$(s $lient re.resentation on one overall goal wit!in a .roblem2solving 'ramewor+- ? so(g!t a goal t!at wo(ld isolate a +e%
trigger 'or la(n$!ing a .roblem2solving .ro$ess- !e obvio(s goal was to settle t!e dis.(te- [FN3F] However1 settlement as a
goal did not s!ed m($! lig!t- ?t is t!e goal o' most negotiations1 w!et!er t!e .arties are adversarial or .roblem2solving- Also1
t!e goal 'ailed to s!a.e !ow .arties and attorne%s negotiate- ? needed anot!er goal-
For t!e goal to be e''e$tive it !ad to ta+e into a$$o(nt t!e litigator4s embedded view o' negotiations as a win2lose
.ro.ositionC it !ad to be able to s!i't t!e litigator4s .ers.e$tive- A'ter re'le$ting on a '(ll range o' te$!niD(es and moves
wit!in t!e sel'2$ontained .roblem2solving a..roa$!1 one single move stood o(t be$a(se it $o(ld instantl% s!i't a negotiator4s
.ers.e$tive on a dis.(te 'rom an adversarial distrib(tive one to a .roblem2solving m(t(all% bene'i$ial one- !is s!i't $an
!a..en w!en t!e attorne% identi'ies and advo$ates !is or !er $lient4s interests- ;ore s.e$i'i$all%1 an attorne% s!o(ld 'irst
(nderstand !is or !er $lient4s interests1 a$D(ire an (nderstanding o' t!e ot!er side4s interests1 and t!en advo$ate to advan$e !is
or !er $lient4s interests in a wa% t!at s(''i$ientl% addresses t!e ot!er side4s interests to move toward an agreement- !is 'o$(s
s!o(ld be t!e .rimar% goal in a .roblem2solving .ro$ess1 a 'irst move t!at $an initiate .roblem2*119 solving as well as serve
as a g(iding lig!t t!ro(g!o(t t!e negotiation in t!e mediation- [FN3G]
?n )rin *ro$+ovi$!1 ;s- *ro$+ovi$! $o(ld !ave s!i'ted t!e negotiation 'rom adversarial to .roblem2solving b% 'o$(sing
on t!e interests o' bot! sides- ?nterests re'le$t .arties4 needs- !e .ositions t!at attorne%s t%.i$all% advo$ate are sol(tions- ?n
)rin *ro$+ovi$!1 t!e de'endant o''ered twent% million dollarsC t!e .lainti''s $o(nter2o''ered wit! a !(ndred times t!e val(e
o' a s.ine or (ter(s- !ese monetar% sol(tions were o''ered to meet ea$! side4s interests- However1 t!ere mig!t !ave been
ot!er sol(tions- *% swit$!ing t!e beginning o' t!e negotiation 'rom e/$!anging initial o''ers to e/$!anging in'ormation on
t!e needs o' ea$! .art%1 an attorne% $an o.en t!e door to a sear$! 'or $reative sol(tions- ?t is t!e 'irst ste. in a .roblem2
solving negotiation-
?n )rin *ro$+ovi$!1 $onsider w!at mig!t !ave been t!e interests o' ea$! side and !ow identi'%ing t!em wo(ld !ave
o.ened t!e wa% to m(lti.le .ossible sol(tions- !e interests o' t!e ill and s$ared .lainti''s be$ame $lear as t!e stor% in t!e
movie (n'olded- !e% wanted re$ognition t!at t!e% !ad been .oorl% treated and lied to b% t!e de'endantC t!e% wanted to be
treated wit! res.e$t and dignit%C and t!e% des.eratel% needed !ealt! $are and a sa'e .la$e to live 'or t!emselves and t!eir
'amilies- ?n view o' t!ese interests1 sol(tions ot!er t!an or in$l(ding t!e .a%ment o' a l(m. s(m mig!t !ave in$l(ded
re$eiving li'etime !ealt! ins(ran$e1 b(%ing o(t t!eir !omes1 $leaning (. t!e $ontaminated gro(ndwater1 andKor a .(bli$ and
sin$ere a.olog%-
For t!e de'endant1 "56)1 w!at were its (nderl%ing interestsE !e $om.an% mig!t !ave wanted to avoid bad .(bli$it%
and 'inan$ial distress1 i' not ban+r(.t$%- ?n view o' t!ese interests1 ot!er .ossible sol(tions mig!t !ave in$l(ded b(rnis!ing
its re.(tation as a res.onsible $or.orate $iti<en b% $leaning (. t!e site1 se$(ring government !el. wit! t!e $lean(.1 or
o''ering !ealt! ins(ran$e to t!e residents1 w!i$! mig!t be $!ea.er t!an .a%ing a single l(m. s(m .a%ment-
!ere is a se$ond reason 'or sele$ting t!e goal o' 'o$(sing on a $lient4s interests# to ma+e $lear w!at is not t!e .rimar%
goal o' .roblem2solving- "roblem2solving is sometimes mis$onstr(ed to mean .la$ing a .remi(m on getting along wit! t!e
ot!er side at t!e e/.ense o' a $lient4s interests- =orre$ting t!is 'alse .er$e.tion registered !ig! w!en dra'ting t!e new
assessment $riteria 'or t!e A*A *12 ;ediation Re.resentation =om.etition- [FN3H] :e !ad !eard n(mero(s $om.etition
3(dges $riti$i<e st(dents4 advo$a$% as too $oo.erative at t!e e/.ense o' t!eir $lients4 needs- :e resolved to send an
(nmista+able message to st(dents b% adding a se.arate and s.e$i'i$ 3(dging $riterion entitled 7Advo$ating =lient4s ?nterests-8
[FN3,]
For t!ese reasons1 t!is e/.li$it goal was added to t!e model# attorne%s s!o(ld advo$ate to advan$e t!eir $lients4 interests-
=- 5oal# @ver$ome ?m.ediments
? also identi'ied anot!er .rimar% goal1 one t!at a..lies to an% negotiation regardless o' t!e ob3e$tive# to over$ome an%
im.ediments to settlement- !is goal entailed a ret(rn to a basi$ .remise# .arties wo(ld not be in mediation (nless t!e% were
'a$ing an im.ediment in t!e negotiationC ot!erwise1 t!e .arties $o(ld .robabl% settle t!e dis.(te wit!o(t t!e assistan$e o' a
mediator- 9ele$ting t!is goal was obvio(s- Less obvio(s1 !owever1 was identi'%ing an im.asse2brea+ing strateg% t!at
$om.orted wit! a .roblem2solving a..roa$!-
A n(mber o' disting(is!ed a(t!ors !ave devised met!odologies t!at dem%sti'% t!e m(r+% world o' im.asse2brea+ing-
[FNB0] !e met!odolog% develo.ed b% 0r- =!risto.!er ;oore1 [FNB1] 'or instan$e1 relies on *121 ta+ing t!ree dis$rete
ste.s t!at $an .rod($e a tailored2made strateg% 'or over$oming im.asses- His a..roa$! is b(ilt aro(nd !is $riti$al observation
t!at im.asses $an be divided into 'ive $on'li$t $ategories t!at !e labels relations!i.1 data1 val(e1 interest1 and str($t(ral-
Lnder !is a..roa$!1 %o( 'irst inD(ire abo(t t!e $a(se o' t!e im.asseC t!en %o( $lassi'% t!e $a(se into one o' t!e 'ive im.asse
$ategoriesC and 'inall%1 %o( devise a s(itable intervention 'or over$oming t!e im.asse-
Let me des$ribe ;oore4s 'ive im.asse $ategories w!ile leaving 'or t!e ne/t se$tion !ow advo$ates mig!t (se !is
$lassi'i$ation s%stem as a basis 'or enlisting assistan$e 'rom t!e mediator-
Relations!i. =on'li$ts $an arise w!en .arti$i.ants are dee.l% (.set wit! ea$! ot!er1 $ling to destr($tive mis.er$e.tions
or stereot%.es o' ea$! ot!er1 or s(''er 'rom .oor $omm(ni$ation- !ese t%.es o' $on'li$ts are $ommon in dis.(tes w!ere
.arties distr(st ea$! ot!er and are o$$(.ied wit! !(rling t!reats- !ese disabling tensions $an arise between $lients1 between
attorne%s1 and between an attorne% and !is or !er $lient- =learl%1 a bad relations!i. between t!e attorne%s in )rin *ro$+ovi$!
$ontrib(ted to t!at 'ailed negotiation-
0ata =on'li$ts $an be $a(sed b% inadeD(ate1 ina$$(rate1 or (ntr(stwort!% in'ormation- Alternativel%1 t!e% $an be $a(sed
b% di''erent views o' w!at is relevant in'ormation or di''erent inter.retations o' relevant data- 0ata $on'li$ts are $ommon in
$o(rt $ases w!ere .arties ma% !old $on'li$ting views o' w!at !a..ened1 w!at mig!t !a..en in $o(rt1 or w!at is an
a..ro.riate inter.retation o' de$isive data s($! as 'inan$ial statements-
A $ommon data $on'li$t in legal dis.(tes arises 'rom $on'li$ting views o' !ow a $o(rt will li+el% r(le- oo man% law%ers
and $lients 'ail to t!oro(g!l% and ob3e$tivel% anal%<e all t!e bene'its1 $osts1 and ris+s o' .(rs(ing a 3(di$ial remed%- !is
$ommon 'ail(re leads to .oor legal advi$e to $lients1 (nrealisti$all% o.timisti$ alternatives to settlement ((nrealisti$
*ANAs)1 and im.asses in negotiations and mediations- Airt(all% all mediators !ave seen $ases w!ere o..osing attorne%s
were eD(all% o.timisti$ abo(t t!e 3(di$ial o(t$ome- @ne o' t!e attorne%s was .roven wrong- ?n'lated assessments $an lead
$lients astra% be$a(se t!e% overestimate t!e bene'its o' ret(rning to $o(rt1 and1 as a res(lt1 t!e% ma% mista+enl% re3e$t w!at
ot!erwise mig!t !ave been a$$e.table settlement .ro.osals-
A data $on'li$t .osed one o' t!e im.asses blo$+ing settlement in )rin *ro$+ovi$!- !e sides $o(ld not agree t!at t!e
town4s water was .oll(ted b% t!e de'endant1 "56)- !e water .lo% d(ring t!e negotiation s!ar.l% raised t!e sa'et% iss(e in a
.rovo$ative1 $on'rontational *122 'as!ion- [FNB2] ;s- *ro$+ovi$! $o(ld !ave made t!e same .oint di''erentl%- 9!e $o(ld
!ave as+ed t!e ot!er side w!et!er t!e% wo(ld be willing to drin+ t!is glass o' water 'rom a Hin+le% well- !en s!e mig!t
!ave stated1 w!ile !olding t!e glass o' water1 t!at s!e wo(ld not want to drin+ t!e water (ntil t!e .eo.le at t!is table $o(ld
resolve w!et!er t!e water was sa'e (t!e data $on'li$t)- !ese $omments wo(ld !ave dire$ted t!e dis$(ssion to t!e $a(se o' t!e
im.asse and !ow to garner t!e in'ormation ea$! side wo(ld need to assess t!e sa'et% o' t!e water and1 i' (nsa'e1 t!e
$a(sation- !is .lan wo(ld !ave +e.t bot! sides engaged s.e$i'i$all% in e/amining wa%s to over$ome t!e im.ediment-
?nterest =on'li$ts $an arise w!en .arties4 s(bstantive1 .ro$ed(ral1 or .s%$!ologi$alKrelations!i. wants $on'li$t wit! ea$!
ot!er- [FNB3] ?nterest $on'li$ts $over t!e $lassi$all% .ositional $on'li$t in!erent in adversarial negotiations- !e% $an be
$a(sed b% .arties wanting t!e same t!ing (s($! as .ro.ert%)1 wanting di''erent amo(nts o' t!e same t!ing (s($! as time)1
wanting di''erent t!ings t!at t!e ot!er is not .re.ared to give (s($! as one .art% wanting a .re$edent t!at t!e ot!er .art%
o..oses)1 or even wanting somet!ing t!at anot!er is not even aware o' (s($! as an a$+nowledgment or an a.olog%)- !e )rin
*ro$+ovi$! negotiation .resented t!e $lassi$ distrib(tive $on'li$t over mone% 2 t!e .lainti''s wanted more mone% t!an t!e
de'endant was willing to .a%-
9tr($t(ral =on'li$ts $an be t!e m(r+iest to identi'%- !e two most $ommon1 as well as easiest str($t(ral obsta$les to
s.ot1 are im.asses d(e to (neD(al bargaining .ower or im.asses d(e to $on'li$ting goals o' attorne%s and t!eir $lients1 w!i$!
are +nown as .rin$i.al2agent $on'li$ts- @t!er str($t(ral $on'li$ts $an be more s(btle1 s($! as t!ose $a(sed b% no deadline1
time $onstraints 'a$ing one side1 a missing +e% .art%1 a .art% wit!o(t s(''i$ient settlement a(t!orit%1 geogra.!i$al or
te$!nologi$al limitations t!at im.a$t one side dis.ro.ortionatel%1 and (neD(al $ontrol o' reso(r$es 'or resolving t!e
$on'li$t- *e$a(se t!e $a(ses o' str($t(ral $on'li$ts also 'reD(entl% *123 $ontrib(te to relations!i. $on'li$ts1 it $an be di''i$(lt
to de$i.!er t!e nat(re o' t!e $on'li$t- ?n )rin *ro$+ovi$!1 a str($t(ral $on'li$t t!at $ontrib(ted to a relations!i. $on'li$t
between t!e attorne%s a$ross t!e table mig!t !ave im.eded a settlement- A large (tilit% $om.an% t!at t!o(g!t t!at it !ad all
t!e .ower des.ite losing a vital motion resented being 'or$ed to de'end itsel' against t!e allegations o' (ned($ated1 .oor
.eo.le w!o were re.resented b% an (nder2'(nded and ine/.erien$ed attorne%-
Aal(e =on'li$ts $an be t!e most intra$table ones be$a(se t!e% im.li$ate a .art%4s $ore .ersonal or moral val(es- !is
narrow $ategor% $an embra$e matters o' .rin$i.le1 ideolog%1 or religion t!at $an not be $om.romised- A grassroots
environmental gro(.1 'or instan$e1 ma% !ave di''i$(lt% settling wit! a !o(sing develo.er be$a(se to do so mig!t $om.romise
t!e gro(.4s ideolog% o' .reserving all large tra$ts o' o.en s.a$e-
Aal(e $on'li$ts $an be di''i$(lt to re$ogni<e in $o(rt $ases1 be$a(se val(es $an be mas+ed b% all too 'amiliar legal
$ategories1 arg(ments1 and remedies- :!en a .art% wants to win in $o(rt1 'or e/am.le1 t!e .art% ma% be motivated b% t!e
need 'or a $lear vi$tor% to .reserve a .ersonal val(e1 s($! as .ersonal integrit%-
For t!e last two $om.onents o' t!e mediation re.resentation 'orm(la1 ? t(rned to e/amining t!e mediation .ro$ess
itsel'- !is s(b3e$t is mediation re.resentation- *(t !ow does mediation 'it inE !e last two $om.onents $over !ow to enlist
assistan$e 'rom t!e mediator and !ow to negotiate at +e% 3(n$t(res in t!e .ro$ess-
0- 9trateg%# )nlist t!e Assistan$e o' t!e ;ediator
For t!is ne/t $om.onent1 ? needed to $onsider t!e t%.es o' assistan$e t!at $an be o''ered b% t!e t!ird .art% in t!e room1
t!e mediator- !e mediator $an $ontrib(te in t!ree general wa%s# b% t!e wa% t!e mediator im.lements !is or !er orientations1
(ses !is or !er te$!niD(es1 and $ontrols t!e mediation stages- !e .arti$(lar $ontrib(tions de.end on t!e t%.e o' mediation
.ro$ess envisioned- ?n a .roblem2solving .ro$ess in w!i$! t!e advo$ate does not s$!eme to mani.(late or 7game8 t!e
mediator1 t!e t!ird .art% $an be enlisted in t!e vario(s wa%s des$ribed in t!is se$tion-
1- ;ediators4 @rientations
;ediators bring a mi/ o' distin$t orientations to t!e mediation .ro$ess- !e% $an be gro(.ed into 'o(r dis$rete areas# (1)
How will *124 t!e mediator manage t!e mediation .ro$essE :ill !e or s!e be .rimaril% .roblem2solving1 eval(ative1 or
trans'ormativeE (2) :ill t!e mediator a..roa$! t!e .roblem narrowl% as .rimaril% a legal dis.(te or more broadl%E (3) :ill
t!e mediator involve $lients a$tivel% or restri$tivel%E (B) :ill t!e mediator (se $a($(ses e/tensivel%1 sele$tivel%1 or not at allE
:!en an advo$ate +nows t!e mediator4s mi/1 t!en !e or s!e +nows some o' t!e o..ort(nities 'or enlisting t!e mediator 'or
assistan$e-
Ass(ming t!at t!e dis.(te in )rin *ro$+ovi$! is now in mediation1 ;s- *ro$+ovi$! mig!t de$ide t!at it wo(ld be !el.'(l
'or !er $lients to .ersonall% and .assionatel% $onve% t!eir 'ears and s(''ering to t!e ot!er side- ?t be$ame $lear a'ter t!e
negotiation session t!at t!e .lainti''s needed some version o' a 7da% in $o(rt8 and t!at t!e de'endant did not '(ll% (nderstand
t!e .lainti''s4 ang(is!- Mnowing t!at t!e mediator $ond($ts most o' t!e mediation in 3oint sessions1 ;s- *ro$+ovi$! wo(ld
.re.are !er $lient to tal+ to t!e ot!er side1 rea''irm !er .re'eren$e to minimi<e t!e (se o' $a($(ses1 and be .re.ared to ob3e$t
.olitel% i' t!e mediator .remat(rel% moves toward a $a($(s-
!e mediator4s orientation s!o(ld be es.e$iall% !ig!lig!ted1 be$a(se it $an sing(larl% s!a.e an attorne%4s re.resentation
strateg%- An attorne%4s entire a..roa$! to intera$ting wit! and enlisting assistan$e 'rom t!e mediator will be in'l(en$ed b%
t!e mediator4s .ro$ess management1 t!at is1 !ow .roblem2solving1 trans'ormative1 or eval(ative t!e mediator mig!t be-
[FNBB]
For e/am.le1 reali<ing t!at t!e mediator will sta% in a .roblem2solving mode gives an attorne% t!e 'reedom and se$(rit%
to s!are in'ormation (in$l(ding interests)1 brainstorm o.tions1 re$ogni<e wea+nesses in !is or !er $lient4s legal $ase1 and
remain o.en to $reative sol(tions ot!er t!an t!e ones in t!e legal .a.ers- !e attorne% $an 'eel $om'ortable as+ing t!e
mediator 'or !el. in sorting o(t interests1 'a$ilitating an eval(ation o' t!e legal $ase1 or develo.ing m(lti.le o.tions- !e
attorne% also !as m($! 'reedom and se$(rit% wit! a trans'ormative mediator w!o is trained to s(..ort w!atever sort o'
.ro$ess is str($t(red and im.lemented b% t!e attorne%1 $lient1 and t!e ot!er side- However1 t!e attorne% $annot rel% on t!e
trans'ormative mediator4s e/.ertise or initiatives to $reate or dire$t a .ro$ess1 as t!e trans'ormative mediator is $ommitted to
being non2dire$tive-
?n $ontrast1 $onsider t!e im.a$t o' mediator eval(ation on advo$a$%- :!enever an attorne% a..roa$!es me abo(t t!is
to.i$1 ? as+ *125 t!e same sim.le D(estion# does +nowing t!at t!e mediator mig!t o''er an eval(ation in'l(en$e !ow %o(
wo(ld re.resent %o(r $lient in mediationE !e answer is 7%es8 ever% time-
;ediation eval(ations $an ta+e a variet% o' 'orms- For instan$e1 mediators ma% assess t!e reasonableness o' settlement
o.tions1 assess $onseD(en$es o' not settling1 or re$ommend settlement .ro.osals eit!er as t!e mediation (n'olds or as a
7mediator4s .ro.osal-8
Mnowing t!at t!e mediator ma% 'orm(late one or more o' t!ese t%.es o' eval(ations $an ind($e t!e attorne% to a..roa$!
t!e mediation more li+e an ad3(di$ator% .ro$ess t!an a negotiation- !is mediator role $an $!ange t!e nat(re o' t!e
mediation .ro$ess- ?nstead o' viewing t!e mediator as a 'a$ilitator wit! w!om t!e attorne% $an !ave $andid $onversations1
t!e attorne% is li+el% to view t!e mediator as a de$ision2ma+er w!o m(st be .ers(aded- ?nstead o' 'orm(lating a negotiation
strateg% based on meeting .arties4 interests1 t!e attorne% is li+el% to 'orm(late a strateg% designed to $onvin$e t!e mediator to
re$ommend a 'avorable eval(ation-
=onsider in w!at s.e$i'i$ wa%s an attorne% wo(ld $ir$(ms$ribe !is or !er re.resentation i' t!e attorne% t!o(g!t t!e
mediator mig!t eval(ate- :o(ld t!e attorne% and !is or !er $lient tal+ less $andidl% i' t!e attorne% were to ta+e into a$$o(nt
t!e .ossibilit% o' t!e mediator .er'orming an% o' t!ese ot!er rolesE :o(ld t!e attorne% avoid re$ogni<ing an% wea+nesses in
!is or !er legal .osition1 ot!er t!an t!e sa'el% obvio(s ones1 to t!e mediator or t!e ot!er sideE :o(ld t!e attorne% es$!ew
$om.romises1 es.e$iall% ones t!at deviate 'rom t!e remedies so(g!t in t!e legal $aseE :o(ld t!e attorne% !ide and disg(ise
in'ormation in order to avoid $oloring (n'avorabl% t!e mediator4s view o' t!e dis.(teE :o(ld t!e attorne% be li+el% to
advan$e .artisan legal arg(ments at t!e e/.ense o' interest2based $reative o.tion b(ildingE [FNB5]
A''irmative answers to t!ese D(estions .rom.t man% attorne%s to ret(rn to t!e traditional adversarial a..roa$! so
'amiliar in t!e $o(rtroom1 in w!i$! t!e attorne% wit!!olds (n'avorable in'ormation1 !ides an% 'le/ibilit% to avoid im.l%ing a
la$+ o' $on'iden$e in t!e legal *126 $ase1 and .resents $are'(ll% $ra'ted .artisan arg(ments and .ositions t!at are designed to
.ers(ade a de$ision ma+er to a$t 'avorabl%-
Alternativel%1 an attorne% mig!t .roblem2solve b(t do so in a sele$tive wa% t!at red($es t!e ris+ o' an (n'avorable
assessment b% t!e mediator- ?n s($! a $onstri$ted .roblem2solving a..roa$!1 an attorne% $o(ld still s!are and advo$ate !is or
!er $lient4s interests and engage in s($! .roblem2solving moves as brainstorming o.tions and designing $reative sol(tions1
b(t onl% (. to a .oint- !e attorne% will avoid s!aring in'ormation or s!owing 'le/ibilit% t!at ma% ris+ a less 'avorable
eval(ation 'rom t!e mediator-
!is strategi$ be!avior $an dil(te t!e .otential o' a .roblem2solving .ro$ess b% limiting t!e abilit% o' .arties to (n$over
o.timal sol(tions- :it!!olding in'ormation ma% !ide im.ortant matters relevant to devising sol(tions- Hiding 'le/ibilit%
ma% $ram. t!e sear$! 'or imaginative sol(tions-
? !ave seen 'irst!and !ow attorne%s and $lients wit!!old (n'avorable in'ormation and 'le/ibilit%- ?n one instan$e1 a'ter
t!ree da%s o' arbitration !earings1 t!e .arties agreed to $onvert t!e .ro$eeding into a 'inal2o''er arbitration .ro$ess in w!i$!
ea$! side wo(ld s(bmit a 'inal o''er1 and ? wo(ld sele$t one- !e 'inal o''ers barel% resembled w!at ea$! side !ad advo$ated
d(ring t!e !earings- :!ile t!is ane$dote is s(rel% not s(r.rising be$a(se an advo$ate wo(ld never be e/.e$ted to reveal
a$$e.table settlement terms d(ring an adversarial !earing1 it ill(strates t!e .oint t!at s!o(ld be as obvio(s as w!at !a..ened
in t!e ane$dote# t!ere is a tenden$% to !ide 'le/ibilit% in an eval(ativeKad3(di$ator% .ro$ess- !is .oint was '(rt!er ill(strated
in a re$ent $ase w!ere ? was o.erating as a mediator w!o mig!t eval(ate- A'ter 'o(r !o(rs o' mediating and t!en rea$!ing an
im.asse1 bot! sides sele$ted t!e mediator4s .ro.osal s$!eme w!ere ? wo(ld 'orm(late a .ro.osal t!at ea$! side wo(ld eit!er
a$$e.t or re3e$t1 wit!o(t advising t!e ot!er side (nless bot! sides a$$e.ted- !e .art% t!at too+ t!e most in'le/ible .osition in
t!e mediation and tena$io(sl% !id an% !int o' legal v(lnerabilit% a$$e.ted a mediator4s .ro.osal t!at was one2t!ird o' t!at
side4s (n$om.romising .osition in t!e mediation-
=onsider w!at mig!t !ave been t!e im.a$t on t!e .arties in )rin *ro$+ovi$! i' t!e $ase !ad gone to a mediator w!o
mig!t eval(ate- "56) wo(ld li+el% be rel($tant to dis$lose its interest in avoiding bad .(bli$it%1 be$a(se t!is in'ormation
mig!t be e/.loited b% t!e mediator- !e mediator mig!t atta$! a 'inan$ial val(e to a $on'idential settlement and t!en add t!e
val(e to a re$ommended .a%ment b% *127 "56)- 0is$losing t!at interest1 !owever1 mig!t lead t!e .arties to devise ot!er
bene'i$ial sol(tions-
!e (tilit% $om.an% wo(ld li+el% be restrained w!en brainstorming 'or $reative sol(tions1 be$a(se it ma% want to avoid
revealing too m($! 'le/ibilit%- ?t ma% not want to im.l% t!at it wo(ld be willing to a$$e.t somet!ing D(alitativel% or
D(antitativel% less t!an w!at it is see+ing in $o(rt- 9o1 even t!o(g! t!e (tilit% $om.an% mig!t 'ind it desirable to devise
sol(tions t!at wo(ld avoid negative .(bli$it%1 'or instan$e1 it ma% not want an% a..earan$e o' 'le/ibilit% to in'l(en$e t!e
mediator w!en 'orm(lating an% eval(ations or settlement .ro.osals-
?n view o' t!is strategi$ need to !ide in'ormation and 'le/ibilit%1 an attorne% ma% be ind($ed to 'as!ion t!is $onstri$ted
'orm o' .roblem2solving advo$a$%1 one t!at is based on a narrowl% 'o$(sed adversarial .lan and .resentation- 9($! an
a..roa$! wo(ld reD(ire a so.!isti$ated and n(an$ed 'orm o' advo$a$% in order to minimi<e sti'ling t!e $reative .roblem2
solving .otential o' t!e mediation .ro$ess- !e advo$a$% wo(ld $onsist o' a blended .roblem2solving2adversarial strateg%
t!at $o(ld not be im.lemented $as(all% be$a(se o' t!e need to $are'(ll% identi'% and segregate ris+% in'ormation 'rom sa'e
in'ormation and t!en to art'(ll% and .ers(asivel% dis$lose onl% t!e sa'e in'ormation- ?t is a strateg% t!at wo(ld need to be
a$t(ated .ro'i$ientl% in t!e !eat o' t!e mediation1 reali<ing t!at too m($! $andor mig!t res(lt in a less 'avorable mediator
assessment and too little $andor mig!t res(lt in a less o.timal negotiated res(lt-
An attorne% mig!t be more $on'ident .(rs(ing a $onstri$ted .roblem2solving a..roa$! i' t!e t%.e o' $are'(ll% designed
sa'eg(ard in t!e =entre 'or )''e$tive 0is.(te Resol(tion (=)0R) ;ediation R(les [FNBF] was ado.ted- !e r(les ens(re t!at
all .arti$i.ants a..rove an eval(ation role at t!e o.tim(m moment in t!e .ro$ess as well as limit t!e t%.e o' eval(ation- !e
r(les give t!e mediator $onditional re$ommendation a(t!orit%#
?' t!e "arties are (nable to rea$! a settlement in t!e negotiations at t!e ;ediation1 and onl% i' all t!e "arties so
reD(est and t!e ;ediator agrees1 t!e ;ediator will .rod($e 'or t!e "arties a non2binding re$ommendation on terms o'
settlement- !is will not attem.t to anti$i.ate w!at a $o(rt mig!t order b(t will set *128 o(t w!at t!e ;ediator
s(ggests are a..ro.riate settlement terms in all o' t!e $ir$(mstan$es- (em.!asis added) [FNBG]
=)0R4s 5(idan$e Notes state t!at
7!e intention o' .aragra.! 12 is t!at t!e ;ediator will $ease to .la% an entirel% 'a$ilitative role onl% i' t!e
negotiations in t!e ;ediation are deadlo$+ed- 5iving a settlement re$ommendation ma% be .er$eived b% a "art% as
(ndermining t!e ;ediator4s ne(tralit% and 'or t!is reason t!e ;ediator ma% not agree to t!is $o(rse o' a$tion-8 [FNBH]
2- ;ediators4 e$!niD(es
*asi$ mediation training em.!asi<es learning and !oning a set o' widel% (sed te$!niD(es1 s($! as .romoting
$omm(ni$ation t!ro(g! D(estioning and listening met!ods1 dealing wit! emotional dimensions o' dis.(tes1 over$oming
im.ediments in$l(ding mone% im.asses1 !el.ing .arties assess t!eir *ANAs1 and generating $reative o.tions1 among ot!er
val(able s+ills- An advo$ate $an soli$it t!e mediator to (se an% o' t!ese te$!niD(es at .ro.itio(s moments in t!e mediation
.ro$ess-
For e/am.le1 an advo$ate mig!t s(ggest to a mediator t!at one o' t!e obsta$les to settlement is a relations!i. $on'li$t
between t!e .arties- !en t!e attorne% mig!t as+ t!e mediator to assist t!e .arties in im.lementing a s(itable
intervention- !e mediator mig!t !el. t!e .arties $onstr($tivel% e/.lain to ea$! ot!er w!% t!e% are (.set1 assist t!em in
$lari'%ing t!eir .er$e.tions o' ea$! ot!er1 'o$(s on ot!er wa%s to im.rove t!eir $omm(ni$ations1 and $(ltivate t!eir .roblem2
solving attit(des-
For a data im.asse1 an advo$ate mig!t as+ t!e mediator to !el. t!e .arties resolve w!at data are im.ortant1 negotiate a
.ro$ess 'or *129 $olle$ting reliable data1 or develo. $ommon $riteria t!at $an be (sed to assess t!e data-
:!en a data $on'li$t is over (t!e li+el% 3(di$ial o(t$ome) instead o' as+ing t!e mediator to give a .redi$tion (an
eval(ation) 2 a reD(est t!at wo(ld li+el% $om.romise t!e .roblem2solving .ro$ess [FNB,] 2 t!e attorne% $an as+ t!e mediator
to !el. ea$! side '(rt!er anal%<e t!e legal $ase- !e attorne% mig!t as+ t!e mediator to g(ide t!e .arti$i.ants in $al$(lating
t!e val(e o' ea$! $lient4s total *ANA b% (sing a de$ision2tree .l(s met!odolog%- [FN50] A $lient4s total *ANA $an be
divided into two distin$t $om.onents1 .(bli$ and .ersonal1 and a val(e 'or ea$! $om.onent $an be se.aratel% $al$(lated-
!e .(bli$ *ANA $overs t!e .ortion t!at t!e attorne% is D(ali'ied to $al$(late- !e attorne% !as t!e e/.ertise to .redi$t
t!e li+el% 3(di$ial o(t$ome1 t!e .robabilit% o' s($$ess1 and t!e li+el% legal 'ees and $o(rt $osts t!e $lient will in$(r- Attorne%s
'reD(entl% ma+e t!ese .redi$tions in t!eir law .ra$ti$es- *ased on dis$over%1 legal resear$!1 and e/.erien$e 2 in'ormation
t!at is mostl% available to bot! sides 2 attorne%s ro(tinel% estimate t!ese +e% in.(ts t!at are (sed w!en em.lo%ing de$ision
trees 'or $al$(lating t!e val(e o' t!e .(bli$ *ANA- ?n )rin *ro$+ovi$!1 t!e 3(dge4s r(ling den%ing t!e de'endant4s motions
s(rel% gave bot! sides '(rt!er insig!t into one +e% in.(t1 t!e .robabilit% o' s($$ess in $o(rt- ?n addition1 as ;s- *ro$+ovi$!
gat!ered more damaging eviden$e a'ter t!e 'ailed negotiations1 t!e .lainti''s4 .robabilit% o' s($$ess $ontin(ed to in$rease-
!e ot!er $om.onent1 t!e .ersonal *ANA1 addresses t!e .ortion t!at t!e $lient is (niD(el% D(ali'ied to $al$(late- ?t is
t!e $om.onent idios%n$rati$ to t!e $lient- For e/am.le1 t!e $lient $an best assess t!e added val(e o' going to $o(rt to
establis! a 3(di$ial .re$edent or to be vindi$ated- !e $lient $an best a..ro/imate t!e added $ost o' .ossibl% destro%ing a
$ontin(ing relations!i. wit! t!e ot!er .art% b% going to $o(rt- !e $lient is t!e e/.ert- @nl% t!e $lient $an D(anti'% !is or !er
own s(b3e$tive views o' t!ese additional litigation bene'its and $osts- !is will not be eas% 'or t!e $lient to do- ?nstead *13
o' inviting t!e $lient to (se a 'ormal de$ision tree1 [FN51] t!e attorne% $an ta+e t!e sim.ler %et still demanding a..roa$! o'
as+ing !im or !er some .robing D(estions- !is s(..lement to de$ision trees is t!e .l(s anal%sis- For e/am.le1 t!e attorne%
mig!t as+ t!e $lient 2 a .lainti''1 'or instan$e 2 to $on'ront and resolve !ow m($! less mone% !e wo(ld be willing to a$$e.t to
settle now and not s(''er t!e ris+s o' waiting o(t t!e litigation or s(''er t!e ris+s o' destro%ing a relations!i. in t!e litigation-
?n ot!er words1 !ow m($! mone% wo(ld t!e $lient be willing to sa$ri'i$e 'or t!e bene'it o' settling nowE
Fa$toring in t!e .lainti''s4 .ersonal *ANA weig!ed !eavil% in )rin *ro$+ovi$! w!en t!e .lainti''s began to abandon
t!eir attorne%s a'ter t!e attorne%s re$ommended t!e (se o' arbitration- @nl% a'ter one o' t!eir attorne%s1 )d ;asr%1
!ig!lig!ted t!e .ersonal $osts o' waiting 'or an% mone% (ntil trial (t!e negative .ersonal $osts o' t!eir *ANA) did t!e
.lainti''s rel($tantl% a$$e.t w!at t!e% viewed as t!e 'aster b(t less satis'a$tor% 'or(m o' arbitration t!at la$+ed a 3(r% and
rig!t to a..eal-
!e val(e o' t!e $lient4s total *ANA is sim.l% t!e s(m o' t!e val(es o' !is or !er .(bli$ and .ersonal *ANAs1 a
$riti$al ben$!mar+ w!en weig!ing w!et!er to settle or $ontin(e litigating-
:!en en$o(ntering an interests $on'li$t1 t!e advo$ate ma% as+ t!e mediator to !el. t!e .arties .in.oint s!ared or non2
$on'li$ting wants1 identi'% ob3e$tive $riteria 'or over$oming $on'li$ting wants1 and sear$! 'or in$rease val(e and .rod($tive
trades- =o(rt $ases t%.i$all% .resent $on'li$ting s(bstantive wants be$a(se o' t!e nat(re o' t!e litigation .ro$ess in w!i$!
.lainti''s4 attorne%s dra't $om.laints b(rsting wit! demands and de'endants4 attorne%s dra't answers re3e$ting almost
ever%t!ing-
:!en t!e interests $on'li$t is t!e $lassi$all% distrib(tive one over mone%1 t!e sort o' dis.(te t!at ma% a..ear
(nres.onsive to t!e .roblem2solving met!ods $onsidered in t!is arti$le1 t!e advo$ate mig!t $onsider an a..roa$! t!at avoids
t!e traditional negotiation dan$e o' o''ers and $o(nter2o''ers- !e advo$ate mig!t sele$t a met!od designed to .revent t!e
error o' 'ailing to settle d(e to not revealing t!e in'ormation t!at wo(ld !ave s!own t!at t!e .arties were wit!in a settlement
range- !e advo$ate mig!t as+ t!e mediator to (se a s$!eme t!at $an .rovide a sa'e .at!wa% 'or .arties to move toward
t!eir bottom lines- 9i/ s($! s$!emes are des$ribed and anal%<ed in *131 ;ediation Re.resentation- !e% are# binding 'inal2
o''er arbitration1 a mediator4s .ro.osal1 !%.ot!eti$al testing1 $on'idential dis$los(re o' bottom lines1 $on'idential dis$los(re o'
settlement n(mbers1 and a sa'et% de.osit bo/- [FN52]
A str($t(ral im.asse in an attorne%2$lient $on'li$t $an arise d(e to t!e in!erent str($t(re o' t!e relations!i.1 a bad
relations!i. between t!e attorne% and $lient1 or bot!- A .er$e.tive advo$ate mig!t soli$it t!e mediator to !el. t!e ot!er side
over$ome an attorne%2$lient $on'li$t- ?' it !as arisen be$a(se t!e ot!er attorne% t!in+s !is or !er $lient s!o(ld settle w!ile !is
or !er $lient wants to .(rs(e t!e litigation1 'or instan$e1 t!e mediator $an 'a$ilitate a dis$(ssion o' t!e di''erent views and
wa%s to bridge .ossible di''eren$es-
:!en an advo$ate re$ogni<es t!at .arties4 .ersonal val(es ma% be im.li$ated in t!e im.asse1 !e or s!e ma% enlist t!e
mediator 'or !el. b% s(ggesting t!e nat(re o' t!e im.asse- !en1 t!e mediator mig!t assist t!e .arties in $lari'%ing t!eir $ore
val(es to 'ind o(t w!et!er t!eir val(es are tr(l% at sta+e or tr(l% in $on'li$t- ?' in $on'li$t1 t!e mediator ma% tr% to !el. t!e
.arties wor+ aro(nd t!eir .ersonal val(es be$a(se $om.romise is (s(all% (na$$e.table- !e mediator $an !el. .arties sear$!
'or an overar$!ing s!ared goal1 wa%s to avoid de'ining t!e .roblem in terms o' a .arti$(lar val(e1 or sol(tions t!at do not
$om.romise t!e val(e- @r t!e mediator mig!t assist .arties in rea$!ing an agreement to disagree-
Ret(rning to )rin *ro$+ovi$!1 ;s- *ro$+ovi$!1 sensing a relations!i. $on'li$t d(e to .oor $omm(ni$ations in t!at
"56) did not (nderstand !er $lients4 interests and .ers.e$tive1 mig!t as+ t!e mediator to !el. im.rove t!e $omm(ni$ations
between t!e .arties- ?n ma+ing t!is reD(est1 t!e .arties $an bene'it 'rom t!e mediator4s training in .osing D(estions1 a$tive
listening1 and re'raming w!at is being said-
3- ;ediators4 =ontrol o' t!e ;ediation 9tages
A .roblem2solving .ro$ess 'ollows somew!at .redi$table stages 'rom beginning to end- !e .ro$ess stages $an in$l(de
t!e o.ening statement o' t!e mediatorC gat!ering in'ormation (o.ening statements o' .arties and attorne%s1 dis$(ssions in
3oint sessions and $a($(ses)C identi'%ing iss(es1 interests1 and im.edimentsC over$oming im.edimentsC generating o.tions
(inventing)C assessing and sele$ting *132 o.tionsC and $on$l(ding (agreement or im.asse)- [FN53] Mnowing t!at a mediator
e/er$ises $ontrol over t!ese stages gives t!e advo$ate ot!er wa%s to enlist t!e mediator4s assistan$e- !e advo$ate $an reD(est
t!at t!e mediator (se vario(s stages in wa%s t!at ma% advan$e a $lient4s interests or over$ome an% im.asses-
Fr(strated t!at s!e $an not se$(re $riti$al data1 'or instan$e1 )rin *ro$+ovi$! $o(ld .lan to raise t!is data im.asse w!en
t!e mediator rea$!es t!e stage o' identi'%ing im.ediments to settlement- Reali<ing t!at "a$i'i$ 5as 6 )le$tri$ is a..roa$!ing
t!e dis.(te as distrib(tive1 as i' t!e dis.(te is onl% abo(t .a%ing a l(m. s(m o' mone%1 )rin *ro$+ovi$! $o(ld .lan to invite
t!e mediator to !el. t!e .arties generate m(lti.le o.tions w!en t!e inventing stage is rea$!ed-
At t!e end o' t!e two2$redit mediation re.resentation $o(rse at =ardo<o Law 9$!ool in Ian(ar% 200B1 ? as+ed t!e 'ive
e/.erien$ed .ro'essional mediators w!o $ond($ted t!e end2o'2t!e2$o(rse mo$+ mediations w!et!er an% o' t!em rea$ted to
t!e st(dent2attorne%s s(ggesting !ow t!e% $o(ld be !el.'(l in resolving t!e dis.(te- !e mediators (ni'orml% e/.ressed bot!
t!at t!e% were s(r.rised1 be$a(se it was so rare1 and !ow !el.'(l it was to !ear t!e st(dent2attorne%s4 anal%ses and
s(ggestions-
)- ?m.lement "lan At Me% I(n$t(res in t!e ;ediation "ro$ess
Finall%1 t!ese 'o(r distin$t $om.onents o' t!e model !ad to be woven toget!er- ? !ad to $onsider !ow a .roblem2solving
a..roa$! t!at involves t!e anal%sis o' interests1 im.ediments1 and wa%s to enlist t!e mediator4s assistan$e $an be
im.lemented b% an advo$ate in t!e mediation .ro$ess- !e advo$ate needed a re.resentation .lan t!at $o(ld be (sed
t!ro(g!o(t t!e mediation .ro$ess- [FN5B] However1 sim.l% sa%ing 7t!ro(g!o(t t!e .ro$ess8 was too vag(e1 leaving t!e
advo$ate wit! little .ra$ti$al g(idan$e- 9o1 ? .er(sed t!e mediation .ro$ess to isolate dis$rete re.resentation 3(n$t(res w!ere
an attorne% s!o(ld $ons$io(sl% im.lement !is or !er 'o$(sed .lan to advan$e interests and over$ome im.ediments- ?
identi'ied si/ +e% 3(n$t(res- [FN55]
*133 !ree o' t!e +e% 3(n$t(res arise be'ore t!e 'irst mediation session1 w!en (1) sele$ting a mediator1 (2) .re.aring a
.re2mediation s(bmission1 and (3) .arti$i.ating in a .re2mediation $on'eren$e- !e ot!er t!ree 3(n$t(res arise in t!e
mediation session w!en (B) .resenting o.ening statements1 (5) .arti$i.ating in 3oint sessions1 and (F) .arti$i.ating in
$a($(ses-
Ass(ming t!at ;s- *ro$+ovi$! t!in+s !er $lients s!o(ld $onve% .ersonall% and vividl% t!at t!e% !ave m(lti.le interests
and t!at t!e two sides are li+el% to rea$! an im.asse over w!et!er t!e de'endant $ontrib(ted to .oll(ting t!e town4s water (a
data $on'li$t)1 s!e mig!t .re.are a re.resentation .lan 'or 'o(r o' t!e 3(n$t(res as 'ollows- :!en sele$ting t!e mediator
(3(n$t(re one)1 s!e wo(ld $!oose someone w!o wo(ld dee.l% involve !er $lients and w!o wo(ld +now !ow to !andle
$om.le/ s$ienti'i$ data- :!en .re.aring a .re2mediation s(bmission (3(n$t(re two)1 s!e wo(ld want to e/.lain t!e
s(bstantial data $on'li$t so t!at t!e mediator wo(ld $ome .re.ared to deal wit! it- 0(ring t!e mediation session1 s!e ma%
want to reD(est a $a($(s wit! t!e mediator (3(n$t(re si/) to s!are an% in'ormation t!at is es.e$iall% damaging to t!e ot!er
side and to dis$(ss wit! t!e mediator !ow to .rod($tivel% .resent t!is in'ormation to t!e ot!er side in t!e 3oint session
(3(n$t(re 'ive)-
A?- =on$l(sion
!is arti$le des$ribed t!e 'ive $om.onents o' t!e mediation re.resentation 'orm(la as well as !ow t!e 'orm(la was
derived- !is model o' $lient re.resentation t!at 'orms t!e 'o(ndation o' ;ediation Re.resentation o''ers t!e advo$ate an
a..roa$! to re.resenting $lients t!at ta+es '(ll advantage o' t!e distin$tive o..ort(nities in a .roblem2solving mediation
.ro$ess-
?n )rin *ro$+ovi$!1 t!e .lainti''s did not (se t!is a..roa$!1 !owever- !e% (sed a traditional adversarial a..roa$! and
a$!ieved a settlement t!at was im.ressive1 as least based on one $riterion- !e% negotiated t!e largest .a%ment ever in a
dire$t2a$tion laws(it1 alt!o(g! a'ter a .rotra$ted .eriod o' angst and (n$ertaint% 'or t!e .lainti''s and t!eir attorne%s- !e
.lainti''s were t!rilled wit! t!e settlement be$a(se t!e .a%ment vindi$ated t!em and seemed to o''er t!em am.le 'inan$ial
reso(r$es to meet t!eir '(t(re needs- ?t was too *134 late1 !owever1 'or t!ose w!o died or were destined to die 'rom e/.os(re
to t!e $ontaminated water- ?n addition1 w!et!er t!is was t!e best sol(tion 'or bot! sides will never be +nown- "arties are
(nli+el% to +now w!et!er t!e% a$!ieved o.tim(m resol(tions i' t!e% a..roa$! dis.(tes as i' t!e% are onl% abo(t mone%-
?magine !ow di''erent t!e re.resentation and t!e res(lts mig!t !ave been i' ;s- *ro$+ovi$! !ad identi'ied bot! sides4
interests and t!e im.ediments to agreement1 and !ad enlisted !el. 'rom a mediator at +e% 3(n$t(res1 sear$!ing 'or sol(tions
t!at advan$ed bot! sides4 interests- *% 'i/ating less on t!e si<e o' t!e $!e$+ and more on a tailored sol(tion to meet bot!
sides4 interests1 t!e res(lt mig!t !ave materiali<ed soonerC it mig!t !ave in$l(ded li'etime !ealt! ins(ran$e wit! no
ded($tibles1 $lean2(. o' t!e .oll(ted water1 t!e o.tion o' t!e (tilit% b(%ing residents4 !omes1 individ(al l(m. s(m .a%ments
'or .ain and s(''ering1 a .(bli$ and sin$ere a.olog% b% t!e (tilit%1 and more- !e .lainti''s wo(ld !ave re$eived w!at t!e%
needed w!ile t!e (tilit% mig!t !ave met t!e .lainti''s4 interests at less $ost to it w!ile beginning t!e .ro$ess o' res(s$itating its
debilitated re.(tation- !is sort o' $ra'ted and .ossibl% D(i$+er res(lt e/em.li'ies t!e .otential o' mediation w!en attorne%s
advo$ate as .roblem2solvers-
!is model o' $lient re.resentation o(g!t to be a..lied b% an advo$ate 'or t!e d(ration o' t!e re.resentation1 starting as
soon as t!e 'irst $lient interview- !is .roblem2solving role s!o(ld be maintained w!en $onta$ting t!e ot!er side abo(t t!e
(se o' mediation as well as w!en .re.aring t!e $ase and $lient 'or t!e mediation session- !en1 b% advo$ating at ever%
3(n$t(re in t!e wa%s s(ggested in t!is arti$le1 an attorne% s!o(ld be able to reali<e t!e '(ll .otential o' a .roblem2solving
.ro$ess-
[FNd1]- Harold Abramson1 "ro'essor o' Law1 o(ro Law =enter- ? want to t!an+ 0wig!t 5olann1 Lela Love1 Men Rosenbl(m1 and *arbara 9wart< 'or
genero(sl% 'inding t!e time to o''er val(able $omments1 as well as m% resear$! assistant1 Iose.! :ilson1 'or .(tting t!e 'ootnotes in .ro.er 'orm-
[FN1]- 9ee om ;ainelli1 *anias# !e ;obile =!i. to *eatE1 "=:orld1 @$t- 151 20021 at !tt.#KKwww-.$world-$omKnewsKarti$leK01aid1105,5G100-as.C see also
Mai 9$!merer1 ?0F# *anias Fever *rea+s @(t1 >0Net LM at !tt.#KK reviews-<dnet-$o-(+K!ardwareK.ro$essorsmemor%K013,02B015110001,51100-!tm (9e.t-
1F1 2002) (last visited Feb- 2H1 2005)-
[FN2]- 9ee Harold ?- Abramson1 ;ediation Re.resentation# Advo$ating in a "roblem29olving "ro$ess (200B) (Re$i.ient o' 200B *oo+ Award o' t!e ="R
?nstit(te 'or 0is.(te Resol(tion)-
[FN3]- 9ee1 e-g-1 0wig!t 5olann1 ;ediating Legal 0is.(tes# )''e$tive 9trategies 'or Law%ers and ;ediators 1B22F (1,,F)C =!risto.!er :- ;oore1 !e
;ediation "ro$ess# "ra$ti$al 9trategies 'or Resolving =on'li$t 1H21,1 5525F (2d ed- 1,,F)C Ia% Folberg 6 Alison a%lor1 ;ediation# A =om.re!ensive 5(ide
to Resolving =on'li$ts :it!o(t Litigation G2,1 3H2G2 (1,HB)-
[FNB]- )ven t!o(g! ? $o(ld not 'ind a rigoro(s st(d% o' t!e a..roa$!es ta(g!t in mediation training .rograms1 ? $ame a$ross am.le ane$dotal eviden$e t!at
s(ggests t!at man%1 i' not most1 training .rograms tea$! mediators t!e interest2based or .roblem2solving a..roa$!- ?n in'ormal s(rve%s o' mediators
$om.iled w!en ? !ave $ond($ted advan$ed mediation training1 'or instan$e1 ? was in'ormed t!at most1 i' not all1 o' t!e .arti$i.ants re$eived basi$ training in
some variation o' .roblem2solving- !is a..roa$! also seems to be ta(g!t in man% $o(rt2$onne$ted .rograms1 b% man% .rivate trainers1 and at Harvard Law
9$!ool (w!ere "ro'essors Fis!er1 9ander1 and ;noo+in train negotiators and mediators 'rom aro(nd t!e world)- Also1 alt!o(g! a signi'i$ant n(mber o'
mediators are trained in t!e trans'ormative a..roa$!1 a n(mber o' t!em also seem to !ave been trained in .roblem2solving-
[FN5]- ;% boo+ is t!e 'irst one to 'o$(s e/$l(sivel% on !ow to be a .roblem2solving advo$ate- ?t develo.s a $o!erent t!eor% and $om.re!ensive a..roa$! to
re.resentation- @t!er boo+s !ave abl% .resented an amalgam o' strategies 'or advo$ates in mediation- For e/am.le1 one boo+ e/.lains !ow to $ond($t a
traditional negotiation dan$e o' o''er and $o(nter2o''ers in mediation- 9ee ;i$!ael "- 9ilver1 ;ediation and Negotiation# Re.resenting Jo(r =lients 12122G
(2001)-
[FNF]- 9ee ;ar$ 5alanter1 !e Aanis!ing rial# An )/amination o' rials and Related ;atters in Federal and 9tate =o(rts ("reliminar% Aersion @$t- 2B1
2003) (.re.ared 'or t!e 9%m.osi(m on t!e Aanis!ing rial s.onsored b% t!e Litigation 9e$tion o' t!e Ameri$an *ar Asso$iation1 9an Fran$is$o1 =A1 0e$-
1221B1 2003) (do$(menting t!at w!ile t!e n(mber o' 'ederal laws(its 'iled !as in$reased1 t!e n(mber o' trials !as de$reased1 'rom 11-5N in 1,F2 to 1-HN in
20021 wit! $om.arable trends in t!e state $o(rts- @ne o' t!e do$(mented re.la$ements 'or trials is mediation-)C see also Io!n Lande1 5etting t!e Fait!# :!%
*(siness Law%ers and )/e$(tives *elieve in ;ediation1 5 Harv- Negot- L- Rev- 13G (2000)-
[FNG]- 9ee generall% Abramson1 s(.ra note 2C )ri$ 5alton1 Re.resenting =lients in ;ediation (1,,B)C Ia$+ =oole%1 ;ediation Advo$a$% (2d ed- 2002)C
5olann1 s(.ra note 3C Aideota.e# Re.resenting =lients in ;ediation# How Advo$ates =an 9!are a ;ediator4s "owers (0wig!t 5olann 2000) (on 'ile wit! t!e
A*A 9e$tion o' Litigation)C ;oore1 s(.ra note 3C Roger Fis!er1 :illiam Lr% 6 *r($e "atton1 5etting to Jes# Negotiating Agreement wit!o(t 5iving in
("eng(in *oo+s 1,,1) (1,H1) [!ereina'ter Fis!er et al-]-
[FNH]- ;a%tag =or.oration ran a national television advertisement t!at it $alled 7!e 5reat ;ediator (.i<<a or $asserole)-8 ?n t!e advertisement1 t!e
7;a%tag ;an8 a..ears as 7a great mediator8 w!o !as t!e answer to t!e D(estion t!at !as 7aro(sed 'ier$e .assions 'or $ent(ries# :!at4s 'or dinnerE8 !e
mediator .resents a new range t!at $an 7$oo+ two di''erent 'oods1 at two di''erent tem.erat(res1 'or one $om.lete meal-8 !e advertisement ran 'rom A(g(st
1,,, to 0e$ember 1,,,- ?nterview wit! Ni$ole Ma$<mare+1 @.erations ;anager1 L* :or+s1 Advertising Agen$% 'or ;a%tag =or.oration (I(l% 2003)- !e
salesman was mediating (sing an eval(ative a..roa$! in w!i$! !e o''ered a sol(tion t!at wo(ld meet t!e needs o' bot! .arties to eat di''erent 'oods-
[FN,]- 9ee1 e-g-1 Mimberlee M- Mova$!1 ;ediation# "rin$i.les and "ra$ti$e 23225 (2d ed- 2000)C 5olann1 s(.ra note 31 at 1B22FC ;oore1 s(.ra note 3C
Folberg 6 a%lor1 s(.ra note 31 at G2,1 3H2G2-
[FN10]- 9ee Aideota.e# =om.aring 9ettlement =on'eren$es and ;ediations (Abramson and =ronin2Harris1 NJ9 *ar Asso$iation1 1,,,) (on 'ile wit! NJ9
*ar Asso$iation)C see also =arrie ;en+el2;eadow1 For and Against 9ettlement# Lses and Ab(ses o' t!e ;andator% 9ettlement =on'eren$e1 33 L=LA L-
Rev- BH51 50G211 (1,H5)- A signi'i$ant di''eren$e between a dire$tive1 eval(ative mediation and a 3(di$ial settlement $on'eren$e is t!e .ower .ossessed b%
t!e t!ird .art%- ?n mediation1 t!e .erson la$+s (ltimate de$ision2ma+ing .ower w!ile in a 3(di$ial settlement $on'eren$e1 t!e .erson ma% be t!e (ltimate
de$ision ma+er-
[FN11]- :!ile t!e mediator ma% not be t!e .rimar% a(dien$e1 t!e mediator1 along wit! t!e ot!er attorne%1 are im.ortant se$ondar% a(dien$es- !ese
se$ondar% a(dien$es reD(ire s.e$ial attention at di''erent .oints in t!e mediation1 de.ending on w!at is !a..ening d(ring t!e mediation- For e/am.le1 t!is
arti$le $onsiders later !ow t!e advo$ate mig!t enlist t!e assistan$e o' t!e mediator to !el. brea+ im.asses1 among ot!er t%.es o' assistan$e- 9ee in'ra "art
A-= 6 0C see also Abramson1 s(.ra note 21 at $!- 5-G (9ele$t Jo(r "rimar% A(dien$e in t!e ;ediation)-
[FN12]- 9ee He(mann 6 H%man1 Negotiation ;et!ods and Litigation 9ettlement ;et!ods in New Ierse%# OJo( =an4t Alwa%s 5et :!at Jo( :ant1P 12 @!io
9t- I- on 0is.- Resol- 2531 30, (1,,G) (7:!ile si/t%2one .er$ent o' t!e law%ers wo(ld li+e to see more .roblem2solving negotiation met!ods1 abo(t sevent%2
one .er$ent o' negotiations are $arried o(t wit! .ositional met!ods instead-8)-
[FN13]- 9ee 9(<anne I- 9$!mit<1 :!at 9!o(ld :e ea$! in A0R =o(rses# =on$e.ts and 9+ills 'or Law%ers Re.resenting =lients in ;ediation1 F !arv-
negot- l- rev- 1H,1 20B (2001)-
[FN1B]- !e state bar asso$iation .rogram was !eld in New Jor+ =it% in Ian(ar% 1,,B-
[FN15]- 0(ring t!e last ten %ears1 ot!ers also t(rned to ed($ating t!e mediation $ons(mer- For e/am.le1 t!e ="R ?nstit(te o' 0is.(te Resol(tion1 w!i$!
serves a members!i. o' 500 $or.orations and law 'irms1 .rovides1 among ot!er servi$es1 ed($ation in A0R advo$a$% to law%ers and $or.orate $lients- 9ee
="R ?nstit(te o' 0is.(te Resol(tion1 at !tt.#KKwww-$.radr-org- ;an% bar asso$iations $(rrentl% o''er ed($ation .rograms on mediation advo$a$%- 9ee1 e-g-1
.rograms o''ered b% t!e A*A 9e$tion on 0is.(te Resol(tion1 at !tt.#KK www-abanet-orgKdis.(teK!ome-!tml (last visited Feb- B1 2005)-
[FN1F]- ?n m% advo$a$% training1 ? in$l(de a mod(le on !ow t!e advo$ate $an .rod t!e mediator toward a desired .ro$ess s($! as .roblem2solving w!en t!e
mediator la$+s eit!er t!e training or t!e .ersisten$% to do so- !e somew!at .rovo$ative title o' t!at tea$!ing mod(le is# 7How to 0eal wit! Aberrant
;ediators-8
[FN1G]- 9ee generall% Mova$!1 s(.ra note ,C 5olann1 s(.ra note 31 $!s- 2 6 3C ;oore1 s(.ra note 3C Folberg 6 a%lor1 s(.ra note 3-
[FN1H]- 9ee Andrea M(.'er 9$!neider1 9!attering Negotiation ;%t!s# )m.iri$al )viden$e on t!e )''e$tiveness o' Negotiation 9t%le1 G Harv- Negot- L- Rev-
1B31 1,F (2002) (in an e/tensive st(d% o' negotiation st%les1 G5 .er$ent o' tr(e .roblem2solving negotiators were $onsidered e''e$tive as $om.ared wit! less
t!an 50 .er$ent o' adversarial bargainers1 a .er$entage t!at s!r(n+ to 25 .er$ent w!en e/amining adversarial bargainers w!o were (net!i$al)C Robert H-
;noo+in et al-1 *e%ond :inning# Negotiating to =reate Aal(e in 0eals and 0is.(tes 3212322 (2000)C 5- Ri$!ard 9!ell1 *argaining 'or Advantage#
Negotiation 9trategies 'or Reasonable "eo.le 1221B (1,,,)- !e a(t!ors $on$l(ded t!at $lients are (s(all% better o'' w!en a law%er ado.ts a .roblem2solving
a..roa$! over an adversarial one- @t!er st(dies are $ited t!at s(ggest t!at $oo.erative negotiators are more e''e$tive t!an $om.etitive ones-
[FN1,]- )rin *ro$+ovi$! (Lniversal 9t(dios 2000)-
[FN20]- )rin *ro$+ovi$! was not a law%er in t!e movieC s!e was assisting t!e attorne% as a sort o' .aralegal- Rat!er t!an dealing wit! t!e relations!i.
between a .aralegal and t!e attorne% w!o m(st ma+e all t!e $riti$al re.resentation de$isions1 ? sim.li'ied t!e dis$(ssion in t!e arti$le b% 'o$(sing on ;s-
*ro$+ovi$!4s re.resentation $!oi$es as i' s!e were an attorne%- ?d-
[FN21]- 9ee1 e-g-1 ;noo+in et al-1 s(.ra note 1HC Fis!er et al-1 s(.ra note GC 9%m.osi(m1 =on$eiving t!e Law%er As =reative "roblem 9olver1 3B =al- :- L-
Rev- 2FG (1,,H)C !omas 0- *arton1 =reative "roblem29olving# "(r.ose1 ;eaning1 and Aal(es1 3B =al- :- L- Rev- 2G3 (1,,H)C "a(l *rest 6 Linda Hamilton
Mrieger1 Law%ers As "roblem 9olvers1 G2 em.- L- Rev- H11 (1,,,)C 9eam(s 0(nn1 =ase 9t(d%# !e Nort!ern ?reland )/.erien$e 2 "ossibilities For =ross2
Fertili<ation Learning1 1, Alternatives to t!e Hig! =ost o' Litig-1 at 153 (I(ne 2001)C =arrie ;en+el2;eadow1 A!aE ?s =reativit% "ossible ?n Legal "roblem
9olving and ea$!able ?n Legal )d($ationE1 F Harv- Negot- L- Rev- ,HG (2001)C =arrie I- ;en+el2;eadow1 :!en :inning ?sn4t )ver%t!ing# !e Law%er As
"roblem 9olver1 2H Ho'stra L- Rev- ,05 (2000)C =arrie ;en+el2;eadow1 !e Law%er As "roblem 9olver and !ird2"art% Ne(tral# =reativit% and Non2
"artisans!i. ?n Law%ering1 G2 em.- L- Rev- GH5 (1,,,)C =arrie ;en+el2;eadow1 oward Anot!er Aiew @' Legal Negotiation# !e 9tr($t(re @' "roblem
9olving1 31 L=LA L- Rev- G5B (1,HB)C Linda ;orton1 ea$!ing =reative "roblem 9olving# A "aradigmati$ A..roa$!1 3B =al- :- L- Rev- 3G5 (1,,H) C Ianet
Reno1 Law%ers As "roblem29olvers# Me%note Address to t!e AAL91 B, I- Legal )d($- 5 (1,,,)- 9ee also =ali'ornia :estern 9$!ool o' Law1 =enter 'or
=reative "roblem 9olving (200B)1 at !tt.#KKwww2-$wsl-ed(Km$gillKm$Qmain-!tml (last visited Feb- B1 2005)-
[FN22]- ?nstead o' re'erring to 7win2win8 sol(tions1 ? s(ggest sear$!ing 'or sol(tions t!at $an bene'it bot! sides- ? avoid (sing t!e more 'amiliar1 i' not
over(sed1 7win2win8 3argon be$a(se t!at 3argon $arries baggage t!at $an blind .eo.le to t!e (nderl%ing val(able .oint t!at still retains $onsiderable vitalit%-
!e 7win2win8 attit(de $an be s!ar.l% $ontrasted wit! t!e o..osite one o' 7win2lose18 neatl% $a.t(ring a '(ndamental di''eren$e between t!e .roblem2
solving and adversarial a..roa$!es-
;an% law%ers $onsider t!e idea t!at bot! sides $an se$(re bene'its as naRve1 or not an$!ored in realit%- However1 t!e notion t!at bot! sides mig!t be
able to gain somet!ing in negotiations re'le$ts an o.timisti$ attit(de t!at $an o.en t!e mind to $reative sear$!es- !e li+eli!ood o' 'inding s($! gains in
negotiations is greater t!an in $o(rt- ?n negotiations1 'or instan$e1 even t!e de'endant w!o agrees to .a% $onsiderable damages ma% gain ot!er bene'its1 s($!
as no .(bli$it%1 no .re$edent1 and a $ontin(ing b(siness relations!i. 2 bene'its t!at are (s(all% (navailable in $o(rt-
[FN23]- For a '(ll dis$(ssion o' !ow to identi'% $lients4 interests as o..osed to .ositions1 see Abramson1 s(.ra note 21 at $!- 3-2(a) and Fis!er et al-1 s(.ra
note G-
[FN2B]- 9ee Abramson1 s(.ra note 21 at $!- 1-5-
[FN25]- ?n t!e !%brid a..roa$!1 attorne%s swit$! between adversarial and .roblem2solving ta$ti$s1 de.ending on !ow t!e mediation is (n'olding-
[FN2F]- 9ee 0wig!t 5olann1 ?s Legal ;ediation a "ro$ess o' Re.air 2 or 9e.arationE An )m.iri$al 9t(d%1 and ?ts ?m.li$ations1 G Harv- Negot- L- Rev- 3011
33B (2002) (in t!e onl% em.iri$al st(d% on t!e s(b3e$t1 t!e a(t!or 'o(nd t!at 7almost two2t!irds o' all [mediated] settlements in t!e s(rve% were integrative in
nat(re ---- !e res(lts s(ggest t!at bot! mediators and advo$ates s!o(ld $onsider ma+ing a sear$! 'or integrative o(t$omes an im.ortant as.e$t o' t!eir
mediation strateg%-8)-
At least one $ategor% o' dis.(tes is (s(all% .rimaril% abo(t mone%- !e $lassi$ .ersonal in3(r% dis.(te between strangers w!o will never deal wit! ea$!
ot!er again $an be onl% abo(t mone% and t!ere'ore not o.en to $reative resol(tions ot!er t!an a tailored .a%ment s$!eme- However1 even in t!ese dis.(tes1
one side ma% o$$asionall% want somet!ing more t!an mone%1 s($! as vindi$ation1 'air treatment1 et$-
[FN2G]- ?n a re$ent $ase t!at ? mediated1 t!e .arties arrived wit! e/treme monetar% $laims on t!e table and a long !istor% o' 'ailed negotiations- A'ter more
t!an t!ree !o(rs o' mediation1 t!e .arties and attorne%s negotiated a written a.olog% signed b% t!e de'endant and a written introd($tion to '(t(re b(%ers
signed b% t!e .lainti''- !e monetar% iss(es were t!en resolved in less t!an a min(teS !e .arties were a..arentl% alread% on t!e same .age 'or settling t!e
mone% $laims b(t were not read% to settle (ntil some non2monetar% needs were met-
[FN2H]- 9ee Abramson1 s(.ra note 21 at $!- 1-3(a)(iii) on 7;anage Remaining 0istrib(tive =on'li$ts8 ($onsidering !ow to (se .roblem2solving moves to
resolve eas% distrib(tive iss(es)C see also in'ra "art A-0-2 (7;ediators4 e$!niD(es8)- For ot!er met!ods1 see Abramson1 s(.ra note 21 at $!-G-2(d)(iii)1 and
te/t a$$om.an%ing note 52 in'ra-
[FN2,]- 9ee Abramson1 s(.ra note 21 at $!- 1-3(a)(iii) on 7;anage Remaining 0istrib(tive =on'li$ts8 (!is se$tion $onsiders !ow to resolve di''i$(lt
distrib(tive iss(es b% (sing tem.ered adversarial strategies- For e/am.le1 an attorne% $an omit t!e (se o' traditional tri$+s and e/treme t!reats1 and instead
em.!asi<e .rin$i.led arg(ments w!ile engaging in t!e negotiation dan$e o' o''ers and $o(nter2o''ers)-
[FN30]- 9ee id- at 1321B-
[FN31]- 9ee ;noo+in et al-1 s(.ra note 1H1 at 10H21H1 1FG2G2-
[FN32]- 9ee 0an 0obbs1 Law o' Remedies# 0amages1 )D(it%1 Restit(tion T2-5 (2d ed- 1,,3)-
[FN33]- @ne $reative sol(tion 'or $!anging t!e litigator4s mindset is to $!ange t!e attorne% w!o tries to settle t!e $ase- ?nstead o' t!e litigator .(rs(ing bot!
t!e litigation and t!e negotiations1 t!e litigator onl% litigates- An% negotiations wo(ld be !andled b% a se.arate settlement $o(nsel w!o is $ommitted to a
.roblem2solving a..roa$!- For a t!o(g!t'(l develo.ment o' t!is sol(tion1 see :illiam F- =o%ne1 Ir-1 !e =ase 'or 9ettlement =o(nsel1 1B @!io 9t- I- on
0is.- Resol- 3FG1 3FG2G0 (1,,,)- !e a(t!or $on$l(ded t!at 7t!e mind2set needed to do e''e$tive .roblem2solving is in$om.atible wit! t!e mind2set needed
to .(rs(e litigation w!ole2!eartedl%-8 ?d- at 3,3-
[FN3B]- 9ee He(mann 6 H%man1 s(.ra note 12-
[FN35]- ?d- at 2,5230,-
[FN3F]- A .art% settles w!en t!e negotiated sol(tion is better t!an t!e alternative to settlement +nown as t!e *ANA (*est Alternative o A Negotiated
Agreement)- 9ee Fis!er et al-1 s(.ra note G1 at 101211 ($oining t!e term 7*ANA8)- !e *ANA is %o(r $lient4s best o.tion i' t!e negotiation 'ails-
[FN3G]- !e attorne% s!o(ld develo. a sol(tion t!at meets !is or !er $lient4s interests better t!an t!e sol(tion o''ered b% !is or !er $lient4s *ANA- For a '(ll
dis$(ssion o' !ow to identi'% $lient4s interests as o..osed to .ositions1 see Abramson1 s(.ra note 21 at ,H210BC Fis!er et al-1 s(.ra note G1 at B125G-
[FN3H]- ? served as =!air o' t!is $ommittee as well as !ost o' t!e ina(g(ral regional $om.etition 'or t!e New Jor+ =it% area law s$!ools- !e ann(al
$om.etition in$l(des abo(t ten regional $om.etitions wit! t!e 'inal ro(nds !eld ea$! %ear in $on3(n$tion wit! t!e ann(al meeting o' t!e A*A 9e$tion on
0is.(te Resol(tion- !e 3(dging $riteria are based on st(dents .er'orming a .roblem2solving law%er role-
[FN3,]- *(ilding a relations!i. wit! t!e ot!er side also is im.ortant- A se.arate $riterion 'o$(ses on 7"roblem29olving Relations!i. *(ilding-8 However1 t!e
two $riteria do not $om.ete wit! ea$! ot!er-
!e R(les =ommittee o' t!e ;ediation Re.resentation =om.etition o' t!e A*A 9e$tion o' 0is.(te Resol(tion dra'ted t!e assessment $riteria d(ring
200022001 t!at be$ame e''e$tive 'or t!e 200122002 $om.etition %ear- 9ee Ameri$an *ar Asso$iation 9e$tion o' 0is.(te Resol(tion1 Re.resentation in
;ediation =om.etition 2005# R(les and ?nstr($tions (0e$- 1F1 200B)1 at !tt.#KK www-abanet-orgKdis.(teKr(lesandinstr($tions200B-do$ ($(rrent version o' t!e
$riteria)-
[FNB0]- 9ee Iean R- 9ternlig!t1 Law%ers4 Re.resentation o' =lients in ;ediation# Lsing )$onomi$s and "s%$!olog% to 9tr($t(re Advo$a$% in a
Nonadversarial 9etting1 1B @!io 9t- I- on 0is.- Resol- 2F,1 2,G2331 (1,,,) (identi'%ing barriers to negotiations based on e$onomists4 insig!ts1 .s%$!ologists4
insig!ts1 'laws in t!e rationalit% ass(m.tion1 and .rin$i.alKagent $on'li$ts)C ;oore1 s(.ra note 3 at F02F1 (identi'%ing 'ive $a(ses o' $on'li$ts# data $on'li$ts1
interest $on'li$ts1 str($t(ral $on'li$ts1 relations!i. $on'li$ts1 and val(e $on'li$ts)C 5olann1 s(.ra note 31 at 15322B1 (identi'%ing t!ree $ategories o' im.asses 2
.ro$ess1 .s%$!ologi$al1 and merits)C Fran+ )-A- 9ander 6 9te.!en *- 5oldberg1 Fitting t!e For(m to t!e F(ss# A Lser2Friendl% 5(ide to 9ele$ting an A0R
"ro$ed(re1 10 Negot- I- B,1 5B25, (1,,B) (identi'%ing ten im.ediments to settlement)-
[FNB1]- 9ee ;oore1 s(.ra note 31 at F02F1 (.resenting a =ir$le o' =on'li$t in w!i$! 'ive so(r$es o' $on'li$ts are identi'ied along wit! .ossible strategies 'or
intervention)-
[FNB2]- 9everal litigators w!o !ave seen t!e 'ilm segment !ave told me t!at t!e% wo(ld !ave si..ed t!e water o''ered b% )rin *ro$+ovi$!- !e% 'ig(red t!at
drin+ing so little water wo(ld !ave been !armless and wo(ld !ave t!oro(g!l% de'(sed t!e ta$ti$- !is rea$tion reminds (s !ow ast(te attorne%s $an
ne(trali<e $lever adversarial ta$ti$s-
[FNB3]- ?n a .roblem2solving .ro$ess in w!i$! t!e $on$e.t o' 7interests8 .er'orms s($! a vital and .ervasive role1 ;oore4s narrow and distin$tive (se o'
7interest8 $on'li$ts $an be $on'(sing- ? .re'er re'erring to 7wants8 or 7desire8 $on'li$ts- "arties ma% rea$! an im.asse be$a(se t!eir s(bstantive1 .ro$ed(ral1
or .s%$!ologi$al wants or desires are in $on'li$t wit! ea$! ot!er-
[FNBB]- 9ee Abramson1 s(.ra note 21 at $!s- B-2(b)(i) and 5-1(e)(i)-
[FNB5]- 9ee Ie''re% :- 9tem.el1 *e%ond Formalism and False 0i$!otomies# !e Need 'or ?nstit(tionali<ing a Fle/ible =on$e.t o' t!e ;ediator4s Role1 2B
Fla- 9t- L- L- Rev- ,B,1 ,501 ,H3 (1,,G) (.assionatel% arg(ing 'or 7'le/ible mediation t!at .ermits 3(di$io(s (se o' eval(ative te$!niD(es18 t!e a(t!or still
!ad to re$ogni<e t!at w!en t!e advo$ate +nows t!at t!e $ase will be eval(ated1 t!e .arties are 7more li+el% to .resent in'ormation as advo$a$% and less as
ba$+gro(nd 'or negotiation or .roblem2solving-8 ?n addition1 7i' mediation veers too 'ar 'rom8 its 'a$ilitative ass(m.tions1 t!e a(t!or $on$l(ded1 7it loses
some o' [its] $reative and trans'ormative .otential-8)-
[FNBF]- !e =)0R is a ma3or dis.(te resol(tion $enter based in London- 9ee =entre 'or )''e$tive 0is.(te Resol(tion1 at !tt.#KKwww-$edr-$o-(+ (last visited
Ian- 201 2005)-
[FNBG]- 9ee =)0R1 ;odel ;ediation "ro$ed(re and Agreement1 " 12 (Ht! ed- @$t- 2002)1 available at !tt.#KKwww-$edr-$o-(+Klibrar%Kdo$(mentsK;;"AQ
Ht!)dition-.d' (last visited Feb- 2H1 2005)- For a somew!at less stri$t a..roa$!1 see !e ="RK=="?1 ;ediation "ro$ed(re For 0is.(tes 9(bmitted to t!e
L-9-2=!ina *(siness ;ediation =enter1 TG (200B)1 available at !tt.#KK www-$.radr-orgK.d'sK?ntlQ=!inaQ"ro$ed(re0B-.d' (last visited Ian- 21 2005)C 0aini
o+%o *ar Ass4n1 R(les o' "ro$ed(re 'or Arbitration and ;ediation1 art- 25 (Advisor% @.inion) (I(ne ,1 2000)1 available at !tt.#KK
www-niben-or-3.K$!(saiKeQ$!(saiKeQDandaKeQr(les-!tm (last visited Ian- 21 2005)-
[FNBH]- 9ee =)0R1 s(.ra note BG1 5(idan$e Notes# !e ;ediation1 ,212- 9ee also ="R ?nstit(te 'or 0is.(te Resol(tion1 ;ediation "ro$ed(re 'or *(siness
0is.(tes in )(ro.e1 R-F (1,,F)1 available at !tt.#KK www-$.radr-orgK'ormboo+K.d'sK1Kmed.ro$ed(res2-.d' (limiting t!e re$ommendation .ower to a'ter t!e
.arties 'ail to rea$! a settlement and a'ter .arties $onsent to re$eiving t!e mediator4s 'inal settlement .ro.osal)-
[FNB,]- 9ee in'ra "art 0-1 (s(ggesting t!at i' an attorne% +nows t!at a mediator mig!t o''er !is or !er own eval(ation o' t!e legal merits1 t!e attorne% will
li+el% s!i't 'rom a .roblem2solving to an adversarial mode o' advo$a$% in an e''ort to ind($e a 'avorable assessment)-
[FN50]- A de$ision tree is a mat!emati$al te$!niD(e 'or estimating t!e val(e o' an (n$ertain o(t$ome (e-g- winning in $o(rt) b% m(lti.l%ing t!e .robabilit%
o' an event !a..ening times t!e li+el% o(t$ome i' it !a..ens (e-g-1 !ow li+el% to win in $o(rt)- !e .l(s $om.onent involves as+ing a .arti$(lar set o'
D(estions t!at will !el. a $lient atta$! a val(e to a set o' .ersonal $osts and bene'its- 9ee Abramson1 s(.ra note 21 at a..- A-
[FN51]- !e ;ediation Re.resentation boo+ does re$ogni<e t!at it is .ossible to $onstr($t a de$ision2tree t!at in$or.orates t!e .robabilit% t!at t!e litigation
$!oi$e $o(ld .rod($e .ersonal bene'its or $osts- ?t also o''ers a sim.le e/am.le o' !ow to do it- 9ee Abramson1 s(.ra note 21 at 30, n-H-
[FN52]- ;ediation Re.resentation des$ribes and assesses t!e strengt!s and drawba$+s o' ea$! o' t!ese si/ met!ods- 9ee Abramson1 s(.ra note 21 at $!-G-2(d)
(iii)-
[FN53]- 9ee Abramson1 s(.ra note 21 at $!- 2-3-
[FN5B]- 9ee Abramson1 s(.ra note 21 at $!- 5-1F (=!e$+list 'or "re.aring =ase and ;ediation Re.resentation "lan)-
[FN55]- I(n$t(res are not t!e same as 7stages8 in t!e .ro$ess1 in t!at stages identi'% t!e seD(ential ste.s in t!e mediation .ro$ess- Nevert!eless1 3(n$t(res
and stages $an overla.-
!ere are ot!er 3(n$t(res in t!e mediation .ro$ess- Attorne%s s!o(ld engage in .roblem2solving re.resentation w!en (1) initiall% interviewing !isK!er
$lient1 (2) a..roa$!ing t!e ot!er attorne% abo(t t!e (se o' mediation1 (3) .re.aring t!e $ase 'or mediation1 (B) .re.aring !isK!er $lient1 and (5) dra'ting a
settlement agreement or develo.ing an e/it .lan 'rom an (ns($$ess'(l mediation- 9ee Abramson1 s(.ra note 21 at H n-23-