the florida litigator's dispute resolution toolbox with larry watson
DESCRIPTION
Upchurch Watson White and Max Partner Larry Watson reviewed a wide variety of creative dispute resolution processes available to Florida litigators -- custom resolution tools to fit any litigation problem -- during a lunchtime Webinar on Tuesday, Feb. 18, 2014. Breaking down dispute resolution processes into an understandable and logical continuum of events and characteristics, the presentation covered variations of adjudication proceedings, reconciliation proceedings and blends of the two. Dispute review boards, early neutral evaluation, non-binding arbitration, voluntary trial resolution as well as variations of arbitration and mediation can be custom fitted to replace, supplement or enhance litigation. This program, which was free of charge, covered the full ADR menu, and attendees earned 1.0 general CLE credit, certified by The Florida Bar. those who still want to earn the credit can download the full presentation at http://www.uww-adr.com/webinar/downloadable-webinar/the-florida-litigators-dispute-resolution-toolbox-creative-adr-applicationsTRANSCRIPT
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The Florida Litigators’
Dispute Resolution Toolbox:
Creative ADR Applications
are proud to cosponsor today’s Webinar:
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Our moderator, Sandy Upchurch
Mediation Counsel
Upchurch Watson White & Max
supchurch@ uww-adr.com
uww-adr.com
Our presenter, Lawrence M. Watson
Principal/Founder Upchurch Watson White & Max
lwatson@ uww-adr.com
uww-adr.com
© Lawrence M. Watson Upchurch Watson White & Max Mediation Group 2
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Creative ADR Applications
The Florida Litigators’ Dispute Resolution
Toolbox
© Lawrence M. Watson Upchurch Watson White & Max Mediation Group 3
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Agenda - DR Toolbox
Overview of Dispute Resolution Processes
The Continuum of Dispute Resolution Systems
Toolbox Options
– Med/Arb and Arb/Med
– Early Neutral Evaluation
– Non-binding Arbitration (Fla. Stat. 44.103)
– Binding Arb./Voluntary Trial Resolution (Fla.Stat. 44.104)
– Mediated Case Management
© Lawrence M. Watson
Upchurch Watson White & Max Mediation Group 4
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Dispute Resolution Processes Overview
Reconciliation Systems
Consensual
Party Controlled
Mutual Accommodation of Interests & Concerns
Problem Solving Exercise
Outcome Is Agreement
Adjudication Systems
Mandated
3rd Party Controlled
Prevail in Positional Debate
Fault Finding Exercise
Outcome Is Judgment
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© Lawrence M. Watson Upchurch Watson White & Max Mediation Group
Dispute Resolution Continuum
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Arb-Med & Med-Arb
ADR Toolbox Options
© Lawrence M. Watson Upchurch Watson White & Max Mediation Group
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ADR Toolbox Options: Med-Arb & Arb-Med
Med-Arb
– When to decide to use the process?
– What do you want the decision to be?
Arb-Med
– “Cigar Box” arbitration
– Decision should be an “award”
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EARLY NEUTRAL EVALUATION
ADR Toolbox Options
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ADR Toolbox Options: Early Neutral Evaluation
Pre-Trial procedure
Case presentation to “Neutral Evaluator”
Obtain non-binding neutral evaluation of claim/defenses – leading to . . .
Potential case management benefits
Potential facilitated settlement process
Fed. District Court, N. Dist. California © Lawrence M. Watson
Upchurch Watson White & Max Mediation Group 10
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ADR Toolbox Options: Early Neutral Evaluation
ENE Operation
Select evaluator; interviews, submissions
Informal hearing
Evaluation presented
Parties accept or reject evaluation
Case management or settlement negotiations
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ADR Toolbox Options: Early Neutral Evaluation
ENE Ground Rules
Confidential
All procedural rights preserved
Case remains on trial schedule
Timing for ENE – (early rather than late)
90 days after case management conference
60-90 days after court referral © Lawrence M. Watson,
Upchurch Watson White & Max Mediation Group 12
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ADR Toolbox Options: Early Neutral Evaluation
Conclusion
Informed, neutral, adjudicatory input early in process
Credibility of evaluator critical
See www.adr.cand.uscourts.gov
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NON-BINDING ARBITRATION
ADR Toolbox Options
Fla. Stat. 44.103
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ADR Toolbox Options: Non-Binding Arbitration
Agreed by parties or ordered by Court (§44.103)
Parties can control process – do control outcome
When Parties agree on NBA they can control;
– Procedure; choice of arbitrator; timing; hearing formality
When court orders NBA:
– FRCP apply; court picks arbitrator; 30 days; hearing formality
– Award “final” unless motion for trial de novo filed
– 25% Rule or pay legal fees and costs
© Lawrence M. Watson Upchurch Watson White & Max Mediation Group 15
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ADR Toolbox Options: Non-Binding Arbitration
Overall
Non-binding arbitration allows “peek over the fence” at possible outcome of adjudication
Evaluation tool © Lawrence M. Watson,
Upchurch Watson White & Max Mediation Group 16
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VOLUNTARY TRIAL RESOLUTION VOLUNTARY BINDING ARBITRATION
ADR Toolbox Options
Fla. Stat. 44.104
17 © Lawrence M. Watson
Upchurch Watson White & Max Mediation Group
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ADR Toolbox Options: Binding Arbitration - VTR
Voluntary Binding Arbitration
– “Certified” Arbitrator (§44.106)
– Fla. R.C.P. 1.830 – hearing procedures
– Appeal to Circuit Court (limited basis)
Voluntary Trial Resolution
– 5 year Fla. Bar attorney
– Normal trial procedures
– Appeal to DCA (no factual issues)
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MEDIATED CASE MANAGEMENT
ADR Toolbox Options
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ADR Toolbox Options: Mediated Case Management
Complex, multi-issue, multi-party litigation
Cost-effective, efficient case management
Set aside “process debates”
Focus on substantive issues
Gather information necessary
– Enable settlement early, not late
© Lawrence M. Watson Upchurch Watson White & Max Mediation Group 20
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ADR Toolbox Options: Mediated Case Management
Dual Track Program
Adjudication and reconciliation programs run concurrently.
Prioritize litigation (adjudication) tasks, to get data for settlement (reconciliation) first.
– Mediate the conduct of the lawsuit
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ADR Toolbox Options: Mediated Case Management
Overview Early in case - counsel and parties select and
meet with mediator.
Mediator/Parties negotiate overall accords on how the lawsuit will be run.
Objective is to establish a “charter” that can be converted to a stipulated Case Management Order.
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ADR Toolbox Options: Mediated Case Management
Charter
Conduct of litigation controlled by facilitated agreement
Periodic case management meetings
Chaired by Mediator
– Facilitates /Records CM agreements
– Mediates partial/final settlements
– Reports to Court
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ADR Toolbox Options: Mediated Case Management
Charter (cont.)
Confidentiality -
– All communications under “umbrella of mediation confidentiality”, except
– Commitments regarding MCM proceedings. Discovery taken under oath.
Termination - opt out at any time; notice to Court and other parties.
© Lawrence M. Watson Upchurch Watson White & Max Mediation Group 24
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ADR Toolbox Options: Mediated Case Management
Charter (cont.)
Case Management Agreements – become stipulated case management orders – Deviations after agreement only with permission of
parties or Court
Court enforces Case Management Agreements
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ADR Toolbox Options: Mediated Case Management
Operation
Initial Mediation session
Focus on Issue refinement – what are we really arguing about?
Develop “Working Statement of Key Issues” – Substantive Factual Issues
– Substantive Legal Issues © Lawrence M. Watson
Upchurch Watson White & Max Mediation Group 26
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ADR Toolbox Options: Mediated Case Management
Operation (cont.) Prioritize the key issues - FACT and LAW
What do we really need to know to settle key issues?
– Important things to know - Key issues of fact
– Important things to know - Key issues of law
Devise plan to develop necessary data on key issues
Cooperative, focused, orderly, cost effective procedures
© Lawrence M. Watson Upchurch Watson White & Max Mediation Group 27
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ADR Toolbox Options: Mediated Case Management
Operation (cont.)
Obtain data on key issues of fact; – Define and schedule mutually agreeable joint
discovery or investigative program.
Focus on getting only the factual information required to settle first
Come back later for the rest © Lawrence M. Watson
Upchurch Watson White & Max Mediation Group 28
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ADR Toolbox Options: Mediated Case Management
Operation (cont.)
Fact issue program choices – Voluntary document exchange.
– “Rifle-shot” Rule 30(b)(6) depositions
– Cooperative audits, cost validation
– Joint site visits, testing, inspections
– Joint expert workshops.
– Joint informal witness interviews. © Lawrence M. Watson Upchurch Watson White & Max Mediation Group 29
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ADR Toolbox Options: Mediated Case Management
Operation (cont.)
Obtain data on Key issue of law
– Define and schedule a mutually agreeable joint adjudicative program
Focus on getting only legal input required to settle – first
Establish critical “rules of the road” for adjudication process
© Lawrence M. Watson Upchurch Watson White & Max Mediation Group 30
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ADR Toolbox Options: Mediated Case Management
Operation (cont.)
Legal issue – program choices – Exchange briefs and mediate
– Private judge hearing (binding or nonbinding)
– Coordinated hearing with Special Master
– Coordinated hearing with Court
Use the mediator to orchestrate program choices © Lawrence M. Watson
Upchurch Watson White & Max Mediation Group 31
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ADR Toolbox Options: Mediated Case Management
Operation (cont.)
Use Mediator as intermediary between court and parties – an envoy to court – Preserve confidentiality
– Scripted message in neutral terms
– Focus on coordinating case resolution efforts
– Insure meaningful judicial input; data needed
– Create three-way team © Lawrence M. Watson
Upchurch Watson White & Max Mediation Group 32
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ADR Toolbox Options: Mediated Case Management
Operation (cont.)
Reconciliation Track – Set target date for global mediation
Universal goal “End Date’
– Set periodic “mini-mediations” with specific disputes and specific parties “Balcony, Windows & Doors Day”
Final or Contingent
Chip away at overall dispute © Lawrence M. Watson
Upchurch Watson White & Max Mediation Group 33
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ADR Toolbox Options: Mediated Case Management
Conclusion
Everything done in MCM needs to be done to prepare for trial.
MCM prioritizes trial preparation activities to focus first on data needed to settle.
Gives settlement a chance to happen early.
WIN-WIN process
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ADR Toolbox Options: Mediated Case Management
Conclusion
Requires professionalism from bar; flexibility from bench
Cooperative not adversarial mindset
Cost effective, elegant, minimal waste
Clients love the process – in the loop, de-mystifies the legal process
MEDIATED CASE MANAGEMENT
© Lawrence M. Watson
Upchurch Watson White & Max Mediation Group 35
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“Creative ADR Applications”
Florida Bar Course # 1400502N
CLE Credits General: 1.0
Thank You For Joining Us.
Upchurch Watson White & Max Mediation Group
Daytona Beach Maitland/Orlando Jacksonville Miami Fort Lauderdale/Plantation West Palm Beach
Please email [email protected] with questions about course number, Webinar recording, etc.
Please contact Larry at lwatson@uww-adr with questions or comments regarding content.
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