some mediation tactics that don't work; some critical
TRANSCRIPT
SOME MEDIATION TACTICS THAT DON'T WORK;
SOME CRITICAL NEGOTIATION SKILLS THAT DO!
Sponsor: Alternative Dispute Resolution Section CLE Credit: 1.0
Thursday, June 14, 2018 9:40 a.m. - 10:40 a.m.
Thoroughbred 1-3 Lexington Convention Center
Lexington, Kentucky
A NOTE CONCERNING THE PROGRAM MATERIALS
The materials included in this Kentucky Bar Association Continuing Legal Education handbook are intended to provide current and accurate information about the subject matter covered. No representation or warranty is made concerning the application of the legal or other principles discussed by the instructors to any specific fact situation, nor is any prediction made concerning how any particular judge or jury will interpret or apply such principles. The proper interpretation or application of the principles discussed is a matter for the considered judgment of the individual legal practitioner. The faculty and staff of this Kentucky Bar Association CLE program disclaim liability therefore. Attorneys using these materials, or information otherwise conveyed during the program, in dealing with a specific legal matter have a duty to research original and current sources of authority.
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TABLE OF CONTENTS The Presenters ................................................................................................................. i Case Value Considerations and Some Dos and Don’ts: Non-Traditional Value Factors ......................................................................................... 1 Some Mediation Tactics that Work; Some Critical Negotiation Skills that Do! ......................................................................... 7
THE PRESENTERS
Pierce W. Hamblin Landrum & Shouse, LLP
106 West Vine Street, Suite 800 Lexington, Kentucky 40507
PIERCE W. HAMBLIN is an AV-rated partner at Landrum & Shouse, LLP and a 38-year adjunct professor at the University of Kentucky College of Law teaching litigation skills to senior law students. As a trained certified mediator, he has presided over 10,000 cases. Mr. Hamblin served as a Captain in the U.S. Army and was inducted in the Army ROTC Hall of Fame in 2014. He is a Fellow of the Litigation Counsel of America and the American College of Civil Trial Mediators, and in 2010 was inducted into the National Academy of Distinguished Neutrals as a charter member. Mr. Hamblin is also a member of the University of Kentucky College of Law Hall of Fame. He has been listed as a Top 50 Kentucky Super Lawyer from 2004 to 2017, and a Top 10 attorney in 2012-2016. Mr. Hamblin served as the President of the Fayette County Bar Association for 2014-2015. In 2017, he was awarded the Kentucky Bar Association Distinguished Lawyer of the Year Award. John W. Hays Jackson Kelly, PLLC 175 East Main Street, Suite 500 Lexington, Kentucky 40507 JOHN W. HAYS is a member in the construction industry group of Jackson Kelly, PLLC, focusing primarily on litigation. He also serves as an adjunct professor for the University of Kentucky College of Law. Mr. Hays has extensive training and experience as a mediator in construction, commercial, employment, and personal injury disputes and has often served as an arbitrator. He received his B.A. from Princeton University and his J.D., with distinction, from the University of Kentucky College of Law where he was inducted into the Order of the Coif. Mr. Hays is a member of the Kentucky and American Bar Associations, the National Academy of Distinguished Neutrals, and the American Arbitration Association. He was named the Best Lawyers' 2016 and 2018 Lexington Construction Law "Lawyer of the Year" and has been listed in Kentucky Super Lawyers (2009-2018), The Best Lawyers in America for Construction Law (2013-2018) and in the Construction, Real Estate & Environmental Section of 2013 Super Lawyers Edition for Construction Litigation.
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Rebecca Simpson English, Lucas, Priest & Owsley, LLP
1101 College Street Post Office Box 770
Bowling Green, Kentucky 42102
Rebecca Simpson is a partner with the law firm of English, Lucas, Priest & Owsley, LLP, where she represents clients in all areas of family law including divorce litigation, collaborative divorce, child custody, child support, domestic violence, adoption, and alternative reproductive technology. She is also a family law mediator recognized by the Kentucky Administrative Office of the Courts’ Roster of Court–Approved Mediators, as well as the Warren County Family Court’s Mediation Roster. Ms. Simpson is the current chair of both the Alternative Dispute Resolution and the Family Law Sections of the Kentucky Bar Association, and she is an active member of the Warren County Family Court Mediation Committee. Ms. Simpson is also trained in Collaborative Family Practice and currently serves as the president of the Southern Kentucky Association of Collaborative Professionals. Throughout her career, she has been committed to professional excellence, to public service and to the improvement of the practice of law. To that end, in collaboration with her local family court judges, Ms. Simpson initiated a volunteer mediation project in Warren Family Court to help low income families develop their own resolutions to disputes outside of court without resorting to litigation. In 2012, the Bowling Green-Warren County Bar Association presented her with the Gwyneth B. Davis Outstanding Public Service Award in recognition of her commitment to public service and dedication to the principles of community spirit, and, in 2017, she received the Pro Bono Publico Award for her dedication and commitment to the principles of pro bono services in an effort to make equal justice for all a reality. Karen Walker Walker Law Office, PLLC ADR WORKS Dispute Resolution Company The Brophy House 106 West Second Street Lexington, Kentucky 40507 KAREN WALKER maintains a private practice in Lexington concentrating in personal injury law and serves as a mediator. She is a graduate of Miami of Ohio and received her J.D. from Salmon P. Chase College of Law. Ms. Walker is a member of the Fayette County and Kentucky Bar Associations, as well as the KBA's ADR Section. She has served as the chair of the Mediation Center of Kentucky, Inc. and on the board of the Mediation Association of Kentucky. Her son, Walker Buehler, is a pitcher with the Los Angeles Dodgers.
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CASE VALUE CONSIDERATIONS AND SOME DOS AND DON'TS: NON-TRADITIONAL VALUE FACTORS
Pierce W. Hamblin I. DOES THE OPENING STATEMENT/JOINT SESSION IN A NEGOTIATION
STILL HAVE A CASE VALUE OR HAS IT GONE THE WAY OF THE DINOSAUR?
A. Reasons for Waiving Open Statement:
1. "Everyone knows the issues, let's get right to work." 2. "These things are inflammatory!"
B. But Don't Make Waiver an Absolute Policy on All Cases – Why?
1. The "unfiltered" viewpoint. 2. Your client may need to hear from the opposition. 3 An opportunity to focus on the case value decision maker.
a. Direct your advocacy toward the decision maker. b. The insured or corporate counsel. c. The claims professional. d. The opposing counsel.
4. An apology. 5. Express prior experience in similar claims. 6. Let opposition see and hear a client with great jury appeal. 7. Hear and evaluate opponent. 8. Value and the power of listening.
II. THE VALUE FACTOR AND DO FACTOR IN GIVING A BASIS FOR YOUR
DEMAND/OFFER
A. Good Plaintiff Attorneys Just Don't Throw around Numbers B. Good Defense Attorneys, in Absolute Liability Cases where Fault Is
Admitted, Never Put out a Number for the Decision Maker without a Basis C. Good Negotiators Who Want the Best Value for Their Clients:
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1. Have a basis with documentation for the demand or offer. 2. A basis gets your opponent's more serious consideration. 3. A basis forces your opponent to view the value of your case like a
jury – and that is the right thing to do. III. DON'T BE CONFIDENTIAL ABOUT THE CONFIDENTIALITY ISSUE
A. The Dilemma:
1. Defense viewpoint. 2. Plaintiff viewpoint.
B. The Resolution – Address the Issue Early on C. Dennis Rodman and Taxability of Confidentiality:
Amos v. Commissioner, T.C. Memo 2003-329 (U.S. Tax Court).
D. WHOA!!!!
1. Watch out for Kentucky Bar Ass'n v. Unnamed Attorney, 414
S.W.3d 412 (Ky. 2013). 2. The best confidentiality provision I have seen recently:
Payors and Payee, together with their counsel, agree that the terms and conditions of this Settlement Agreement, including, without limitation, the amount of the consideration, shall be kept confidential and shall not be divulged to any other person, firm, or entity, except tax or financial advisors of the Parties, or as required by law or court order, specifically including the Commonwealth of Kentucky, the Courts of the Commonwealth, and the Internal Revenue Service. The terms of this Agreement and all references to monetary consideration shall be kept confidential and shall be disclosed only to the Parties to the lawsuit and their Counsel. Should the Parties receive an inquiry or request for the terms of settlement of this matter, the parties may respond with a statement which reports "The matter was resolved satisfactorily to the Parties" or words of similar import. The Parties to this Agreement expressly recognize that this provision of confidentiality does not seek to restrict disclosure of information concerning matters that have a probable adverse effect upon the general public
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health or safety, the administration of public office, or the operation of government.
IV. BEWARE OF BRACKETS
A. Brackets Are Simply "Boxed Offers" Proposed by a Participant to the Negotiation
Example – "The Defendant will extend its offer to $100,000, if the
Plaintiff will drop its demand to $300,000."
B. When Are Brackets Excellent Techniques?
1. When used properly. 2. When used at the appropriate time in the negotiation.
C. The Wrong Way and the Wrong Time
When the mediator, early on, manufactures a bracket "to get down
to brass tacks."
D. The Right Way and the Right Time
When the parties are close to each other in offers and/or counter offers.
E. Bottom Line
Aim for the end, not the beginning of the negotiation.
V. DON'T FORGET – THE TIMING OF THE MEDIATION IS A CRITICAL
DECISION
A. The Myth B. Factors in Determining Schedule C. Scheduling May be the Single Most Important Determination for Success
VI. FULL SETTLEMENT AUTHORITY – DON'T FORGET TO BRING IT AND
INSIST THAT THE OTHER SIDE DO THE SAME VII. IN PERSONAL INJURY CASES, ALL PARTIES SHOULD BE AWARE OF AND
NOT DISCOUNT "THE ENHANCING DAMAGE INSTRUCTION" FOR JURIES
A. Why Is the Enhancing Damage Instruction Important?
1. Case value. 2. Defense needs to know. 3. Plaintiff wants consideration of all available damages.
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B. What Is the Enhancing Instruction?
1. See Section 39.03 of Palmore's Civil Jury Instructions. 2. It is literally an additional damage instruction and jury
consideration. 3. If given, the instruction allows a civil jury to consider enhancing
the normal damages for:
a. Pain and suffering. b. Permanent impairment. c. Medical expenses.
4. There must be a showing by competent medical proof of the
following:
a. Increased risk. b. Future complications. c. Present injury.
C. Important Facts for Both Plaintiff and Defense to Consider
1. Although the words "medical probability" are not required, the "increased risk" still means "reasonable likelihood."
2. The instruction is phrased in rather mandatory terms:
a. "If you are satisfied from the evidence;" b. "You will include a reasonable enhancement."
3. Trial courts can allow the jury to consider some speculative
testimony about damages. VIII. TWO THINGS THAT GO AGAINST THE GRAIN – TRY 'EM ANYWAY!
A. Consider Exchanging an Offer and Counter Offer before Mediation
1. Parties come in more focused on getting to the real value of the case.
2. Removes obstacle you hear very often from your opponent at
mediation.
"We don't have enough information to evaluate that kind of money."
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3. Tell a lot from the response about your chances for productive negotiation.
B. Consider Exchanging "Mediation Statements" with Your Opponent before
the Negotiation Date
1. How can a mediation be effective if one side conceals a value position from the opponent?
2. Remove the excuse that "we haven't had time to evaluate that."
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SOME MEDIATION TACTICS THAT DON’T WORK; SOME CRITICAL NEGOTIATION SKILLS THAT DO!
Pierce W. Hamblin
CASE VALUE CONSIDERATIONSAND SOME DOS AND DON’TS
Non-Traditional Value Factors
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Does an Opening Statement/Joint SessionHave Value or Has It Gone the Way of theDinosaur?
• Reasons for waiving Open Statement:
Everyone knows the issues, lets getright to work.
These things are inflammatory!
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Opening Statements
• But don’t make waiver an absolutepolicy on all cases – why?
The unfiltered viewpoint.
Your client may need to hear from theopposition.
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Opening Statements
Opportunity to focus on the case valueDecision Maker.
Direct your advocacy toward the Decision Maker.
The insured or Corporate Counsel.
The Claims Professional.
The opposing Counsel
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Opening Statements
An apology.
Express prior experience in similarclaims.
Let opposition see and hear a clientwith great jury appeal.
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Opening Statements
Hear and evaluate opponent.
Value and the power of listening.
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The Value Factor and Do Factor in Giving a Basis for Your Demand/Offer
• Good Plaintiff Attorneys just don’tthrow around numbers.
• Good Defense Attorneys, in absoluteliability cases where fault is admitted,never put out a number for theDecision Maker without a basis.
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Basis for Demand/Offer
• Good Negotiators who want the bestvalue for their clients:
Have a basis with documentation for thedemand or offer.
A basis gets your opponents more seriousconsideration.
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Basis for Demand/Offer
A basis forces your opponent to viewthe value of your case like a jury – andthat is the right thing to do.
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Don’t Be Confidential about Confidentiality
• The Dilemma:
Defense viewpoint.
Plaintiff viewpoint.
• The Resolution - address the issue early on.
• Dennis Rodman and Taxability of Confidentiality:
Amos v. Commissioner, T.C. Memo 2003-329(U.S. Tax Cont).
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Confidentiality
• WHOA!!!!
Watch out for KBA v. UnnamedAttorney, 414 S.W.3d 412 (Ky.
2013).
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Best Confidentiality Provision• Payors and Payee, together with their counsel,
agree that the terms and conditions of thisSettlement Agreement, including, withoutlimitation, the amount of the consideration, shallbe kept confidential and shall not be divulged toany other person, firm, or entity, except tax orfinancial advisors of the Parties, or as requiredby law or court order, specifically including theCommonwealth of Kentucky, the Courts of theCommonwealth, and the Internal RevenueService.
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The terms of this Agreement and allreferences to monetary consideration shallbe kept confidential and shall be disclosedonly to the Parties to the lawsuit and theirCounsel. Should the Parties receive aninquiry or request for the terms of settlementof this matter, the parties may respond witha statement which reports the matter wasresolved satisfactorily to the Parties orwords of similar import.
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The Parties to this Agreement expresslyrecognize that this provision of confidentialitydoes not seek to restrict disclosure ofinformation concerning matters that have aprobable adverse effect upon the generalpublic health or safety, the administration ofpublic office, or the operation of government.
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Beware of Brackets
• Brackets are simply Boxed Offersproposed by a participant to thenegotiation.
Example - The Defendant will extendits offer to $100,000, if the Plaintiff willdrop its demand to $300,000.
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Using Brackets
• When are brackets excellenttechniques?
When used properly.
When used at the appropriate time inthe negotiation.
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Using Brackets
• The wrong way and the wrongtime:
When the Mediator, early on,manufactures a bracket to getdown to brass tacks:
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Using Brackets
• The right way and the right time:
When the Parties are close to eachother in offers and/or counter offers.
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Using Brackets
• Bottom line:
Aim for the end, not the beginningof the negotiation.
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Don’t Forget - The Timing of the Mediation Is Critical
• The Myth.
• Factors in determining schedule.
• Scheduling may be the single mostimportant determination for success.
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Full Settlement Authority –Don’t Forget to Bring It and
Insist that the Other Side Do the Same.
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In Personal Injury Cases, All Parties Should Be Aware of
and Not Discount the Enhancing Damage Instruction
for Juries
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Enhancing Instruction
• Why is the Enhancing DamageInstruction important?
Case Value.
Defense needs to know.
Plaintiff wants consideration of allavailable damages.
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Enhancing Instruction
• What is the Enhancing Instruction?
See Section 39.03 of Palmore’sCivil Jury Instructions.
It is literally an additional damageinstruction and jury consideration.
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Enhancing Instruction
• If given, the Instruction allows a civil jury toconsider enhancing the normal damagesfor:
Pain and Suffering.
Permanent Impairment.
Medical Expenses.
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Enhancing Instruction
• There must be a showing by competentmedical proof of the following:
Increased Risk.
Future Complications.
Present Injury.
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Enhancing Instruction
• Important facts for both Plaintiff andDefense to consider:
Although the words medical probabilityare not required, the increased risk stillmeans reasonable likelihood.
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Enhancing Instruction
• The Instruction is phrased in rathermandatory terms:
If you are satisfied from the evidence;
You will include a reasonableenhancement.
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Two Things that Go Against the Grain, Try ‘Em Anyway!
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Pre-Mediation Negotiations
• Consider Exchanging an Offer andCounter Offer before Mediation.
Parties come in more focused ongetting to real value of the case.
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Pre-Mediation Negotiations
Removes obstacle you hear veryoften from your opponent atmediation.
valuate that kind of money.Tell a lot by response about your
chances for productive negotiation.
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Pre-Mediation Negotiations• Consider exchanging Mediation the
negotiation date.
How can a mediation be effective if oneside conceals a value position from theopponent?
Remove the excuse that we haven’t hadtime to evaluate that.
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SOME DOS AND DON’TS FOR EFFECTIVE NEGOTIATIONS IN MEDIATION Karen Walker
Some Dos and Don’ts forEffective Negotiations inMediation
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No Subpoenas
Don’t serve a subpoena on anyoneattending the mediation – just don’t.
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Demands
As a plaintiff, don’t make an official demandabove confirmed policy limits to start themediation. Instead, present the full extent ofyour damages and explain that is what youwill be seeking at trial, but then “forpurposes of mediation” start at limits.
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Offers
Defense lawyers, don’t start the mediation atzero; it just makes everyone mad anddoesn’t accomplish anything positive.
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Avoid Going Backwards
Plaintiff lawyers, don’t increase your pre-mediation demand at mediation. Defenselawyers, don’t decrease your pre-mediationoffer at mediation. Do so only if somethingvery significant has developed in the case inthe interim.
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Medical Expenses
Plaintiff lawyers, know your medicalexpenses, have them calculated, and havethe medical bills to prove them. Also, tenderall the damages documentation ideally 45days before the mediation, but 20 daysbefore at the very least so defense counselhas time to review, discuss with adjuster,and make any pre-mediation authorityincreases if warranted.
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Liens
Plaintiff lawyers, know your medical liensbefore the mediation and have any largeones at least preliminarily negotiated so youand your client have a range of what toexpect.
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Prepare Your Client
Plaintiff lawyers, do not wait until themediation to explain to your client that themedical expenses over PIP have to be paidback, even if reduced, out of the settlement.
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Prepare Your Client
Defense lawyers, don’t send an adjuster to amediation that knows nothing about theclaim & don’t have an adjuster “available byphone” without informing opposing counseland the mediator beforehand.
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"Available by Phone"
"Available by phone" adjusters need toactually be available during the entirety ofthe mediation, not out to lunch, getting on aplane, or left for the day, etc. Have theadjuster’s current cell phone number.
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Material Terms
Do, however, negotiate all major terms ofthe settlement agreement during themediation, not just money. For example,include/exclude hold harmless language,indemnification clauses, and especiallyconfidentiality early in the negotiation anddon’t wait to just throw in or refuse duringthe last round.
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Professional Courtesy
Don’t start any mediation by informingeveryone you have a plane to catch in twohours.
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Professional Courtesy
Don’t take phone calls and/or texts in themiddle of the other side’s opening.
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Prepare, Prepare, Prepare
Prepare your clients to hear adverseinformation and opposing positions duringthe openings that they will disagree with andlet them know that’s part of the process.
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Mediation Agreements
Don’t spend more time arguing over theMediation Agreement than you didmediating. Remember the MediationAgreements will be followed up with aRelease.
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Know Your Client
Know and/or be able to recognize your ownclient when you arrive at the mediation;however, it’s always best to meet thembeforehand and arrive together.
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Mediation Statements
Submit at least a brief Mediation Statementto the mediator summarizing the liabilitypositions and damages at a minimum. Gointo detail if there are complicated issues.
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Participants
Discuss with your clients prior to themediation if they feel like they have to bringsomeone with them to the mediation,leaning towards not, but especially advisingagainst bringing multiple members of theirfamilies.
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Participants
Don’t forget when scheduling your mediationto include UIM & Workers’ Comp carriers.
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Reasonable Authority
Defense lawyers, advise your adjusters tocome with "reasonable authority" and what"reasonable authority" in that case shouldbe.
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Brackets
Whether you like them or not, at least befamiliar with the concept of brackets andhow to use them and/or respond to themeffectively for your clients.
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SOME DOS AND DON’TS FOR EFFECTIVE NEGOTIATIONS IN MEDIATION Rebecca Simpson
Some Dos and Don’ts for Effective Negotiations in
Mediation
Tips for Family Law Practitioners andMediators
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Family/Estate Mediations“First Do No Harm”
• Typically Involve Highly Emotional Issues
• Heightened Need to Preserve or RepairRelationship and Communication Betweenthe Parties -- especially when children areinvolved
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Mediator Selection
• Choose the right mediator:– mediators each bring unique qualities: the first
step to a successful mediation is thinkingabout and determining who would be best forthe parties and issues involved in your case.
• When appropriate, consider mediating orco-mediating with a trained mediatorwhose background is in the mental healthfield.
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Pre-Mediation Communication With Mediator
• Prepare and submit to the mediator a well-organized mediation statement to outlinethe issues.
• Offer to meet with or call the mediator priorto mediation to answer their questions orprovide helpful documentation.
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Prepare, Prepare, Prepare
• Meet with your client prior to mediation toexplain the process and prepare them.
• Discourage them from bringingunnecessary 3rd parties to the mediation .
• Prepare a brief checklist or outline of allissues that need to be addressed atmediation.
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Timing Is Everything
• Make sure you have sufficient information tomediate (Mediation should not be intendedas a method of discovery.)
• Make sure your client is emotionally readyto mediate.
• Set aside enough time for the mediation –being rushed results in mistakes.
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Professional Courtesy & Respecting the Process
• Be polite and professional.
• Don’t interrupt.
• Don’t blame or berate.
• Don’t cross-examine the other party (this isnot trial).
• Don’t be distracted by your phone.
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Be Concise
Keep opening statements (if used)concise and relevant.
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Be Reasonable
Don’t start your negotiations by demandingthings that are unreasonable from the otherparty – this just wastes time.
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Credibility
Credibility counts: Be honest about thefacts and own the weaknesses of yourcase with your mediator.
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Venting
Don’t be afraid of letting clients expressemotion in a reasonable manner duringmediation – the issues are personal tothem and sometimes talking it throughand "venting" can often help clients feelheard which can help them reach aresolution.
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Let the Parties Talk• Don’t resist putting parties in the same
room. Being together in a controlledsetting can help them practice andimprove their communication.
• Being together in one room can save a lotof time.
• Exceptions: Domestic Violence or Trauma
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Take Care
Take care of yourself and your client –eat, drink, and take breaks as neededto ensure fatigue, blood sugar, etc…don’t lead to careless mistakes or poorchoices.
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The Devil is In the Details
• Review your mediation outline andchecklist before you sign the agreement.Make sure the agreement addresses all ofthe issues that need to be resolved.
• Read the agreement very carefully. Makesure you and your client are both satisfiedwith the language.
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