Endurance and Mediation

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This article originally appeared in The Docket August/September 2019 edition.  Reproduced by permission. ©2019 The Docket August/September. All rights reserved.  Modified from its original publication in The Docket.

 

This March I had the luck and the privilege of competing in the Masters World Cup Nordic ski races in Norway.

It was a series of age-group races over a six-day period at a real World Cup venue in Beitostolen, a village three hours north of Oslo that reminded me of what Aspen once was. The races were fun but extremely challenging. The mountains were beautiful and provided lots of long climbs, fast descents, and tricky turns. Although I did well for an American, I spent a lot of time on the course looking at the backs of the Norwegians, Swedes, and Finns.

Those of us who compete in any type of endurance event, whether it is cycling, trail running, or marathons, know there is a lot more to it than just showing up at the start line waiting for the gun to go off.

There is a long period of preparation or training, and there is the necessity of planning.  It recently occurred to me that preparing and competing for events like this is similar to the preparation and process of mediating a case.

 

  1. There is no way to compete or mediate without planning and preparation. In order to effectively mediate, one must obviously prepare by knowing the case and the client’s goals. For lawyers, it is important to plan how you are going to present the case to the mediator so that the mediator has a correct and clear message to present to the other side. As a mediator, I am usually impressed with how well lawyers I work with know the law and facts of their cases. Yet sometimes even the best lawyers fail to convey a clear message through the mediator to the other side. Like preparing advance strategy fora race where you plan when to ease up and when to go hard, planning and timing a clear message for a mediator to deliver to the other side can help the case go forward toward settlement.
  2. When I recall trying to reach the top of a long hill on a 10 kilometer course, it occurs to me that like racing, mediation is not a sprint but an endurance event. Sometimes it gets tiring and often it requires conscious pacing. When we enter mediation, we are in it for the long run. It is not a process where we walk in and say, here’s our position, take it or leave it. Rather, it is a process where everyone gives and takes at a manageable pace.
  3. In any competition or mediation, there are always low points where everyone feels they’ll never finish. This is where the right mindset enters the picture. Someone trying to complete a long race needs to break it down into manageable parts and just try to make it from point A to point B. Those engaged in mediation also may need to just get to one small point, then another, and then yet another where the end is in sight and the success of finishing does not seem so overwhelming.
  4. Technique is important. Even during the hard parts, one tries to maintain form. In the case of mediation, try to keep your cool, maintain your professionalism and don’t pass the feed zone. Seriously, don’t allow yourself or your client to get thirsty or hungry. Take adequate breaks. Get lunch and stay hydrated. It does make a difference in mediation.
  5. In masters racing, there really are no winners and losers. We all get out there to learn something about ourselves and others. In mediation, sometimes cases do not settle. But mediation always presents the opportunity to learn something about ourselves, our clients, and our opponents. Even though a case may not settle as we had hoped, we still learn from the experience.
  6. Competition is really hard. Mediating is really hard. That is why we do it, and that is what we train and prepare for. We would not be there if it were really easy. Just as some of us race long distances on hard courses because we embrace the challenge, some of us mediate because we enjoy the hard work of settling cases and the sense of accomplishment that follows a successful settlement.

One final thought. Sometimes after a long race, I ask myself whether I left anything out there. Did I try my hardest? Could I have done any more? When we finish a mediation, either as a lawyer or a mediator, we should ask ourselves the same questions.

 

Mediating Highly Emotional Cases

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This article originally appeared in Colorado Lawyer July 2018.  Reproduced by permission. ©2018 Colorado Bar Association Colorado Lawyer (July 2018). All rights reserved.  Modified from it’s original publication in Colorado Lawyer.

Mediating highly emotional cases presents particular challenges.
This article discusses effective strategies for managing those challenges.

By Joe Epstein Esq. and Julie M. Williamson, Esq.

Many cases give rise to intense emotions in mediation. With reference to words of wisdom from a wide range of sources, this article addresses strategies that counsel can use to mediate emotionally charged cases.

Emotions at Mediation

There is a sacredness in tears. They are not the mark of weakness, but of power. They speak more eloquently than ten thousand tongues. They are the messengers of overwhelming grief, of deep contrition, and of unspeakable love. —Washington Irving

Mediation involves many types of cases that can evoke strong emotions. Family law disputes are an obvious example. Catastrophic personal injury cases may include life-altering injuries such as quadriplegia, paraplegia, burns, traumatic brain injuries, and amputations, as well as wrongful death claims. Probate cases may trigger not only grief for the loss of the deceased but also powerful memories of deep family wounds. Professional malpractice cases implicate both harm to the plaintiff and threats to the defendant’s livelihood and competency. Employment cases based on sexual harassment, Americans with Disabilities Act violations, age discrimination, or retaliation may raise strong feelings of anger and disrespect. Commercial disputes involving business dissolution’s, breach of long-term relationships, or allegations of fraud can also become highly emotional.

Mediation often takes place years after the events that gave rise to a lawsuit and long after a case was filed. But because parties have the renewed chance to tell their entire story to the mediator, the mediation session often involves unearthing past wrongs and reliving trauma. Negative emotions—whether grief, anger, sadness, betrayal, loss, disillusionment, fear, or insult—can be raw. Yet mediation can also add positive emotions to the equation—relief, a measure of closure, freedom from litigation, even forgiveness and reconciliation.

Grief, anger, and fear are the three emotions most widely and deeply displayed at mediation.1 Grief is almost always involved, whether parties grieve the death of a loved one, the end of an important business relationship, the loss of physical or financial capabilities, or other life disappointment. Anger can erupt from either the underlying wrong or from frustration at the opposition’s perceived inflexibility. Whatever the cause, anger, described by Seneca in the first century as “short madness,” can temporarily blind both clients and attorneys. And fear of change, the future, or even the finality of a settlement can impede resolution. Mediators, advocates, parties, and negotiators must be aware of these emotions and wisely gauge and address their impact before and during mediation.

Select the Right Mediator

Look at situations from all angles, and you will become more open. —Dalai Lama

Not all mediators are alike. It is important to examine the legal and emotional issues that are part of the case. Determine which mediator has the life experience, mediation experience, and legal experience the case requires. Choose a mediator who will infuse the process with a sense of calm optimism and understand and work the case as hard and skillfully as required. Hire the mediator who will look at all aspects of the case, listen objectively and compassionately to all parties, and stay open to disparate information. Find a mediator who approaches parties with clarity, compassion, empathy, patience, and insight. Select one who can lead with humility, measured confidence, and intuition based on experience, wisdom, and mindfulness.

There are many ways to find the right mediator. Professional colleagues are an important source of information about potential mediators, but don’t confine yourself to a particular mediation organization out of habit. Instead, think about what your case needs in terms of the mediator’s background, experience, technical and legal knowledge, and temperament. In addition, many lists of potential mediators are readily available. ADR organizations, such as The Mediation Association of Colorado and Mediate.com, maintain online directories with biographical information, and The Colorado Legal Directory lists attorneys whose fields of practice include ADR.

Once you have a list of potential mediators, conduct an Internet search to investigate the mediators’ background and experience. Also, feel free to call potential mediators and interview them ahead of time; there is no ethical rule against ex parte contact with mediators. Ask them about their experience, technical background, billing rates and structures, available facilities, and approach to mediation. They also should be able to provide you with names of other lawyers whom you can contact for a reference, if needed.

Structure the Mediation to Fit the Case

If you don’t know where you are going, you’ll end up someplace else. —Yogi Berra

Counsel should work with the mediator to individualize the mediation process to fit the unique dynamics of the emotional case. One helpful strategy to achieve this is for counsel and their mediator to address, before the mediation, questions such as:

  • How many parties/teams are there on each side of the case?
  • Who is coming to the mediation on each team?
  • Would pre-mediation meetings with the mediator be helpful?
  • Has the case been mediated before?
  • What is the magnitude of the injuries, damages, and losses?
  • Who needs to give voice to their thoughts and feelings?
  • Who needs to be heard by others?
  • What should the structure of the mediation look like?
  • What preparation do my client, my opponent, and my mediator require?

Depending on the answers to these questions, consider whether the case might benefit from co-mediation. Mediators with different backgrounds and perspectives can often help the parties to feel heard and to come up with creative solutions to resolve the case. Mediators should be willing to work with counsel to structure a fee arrangement that makes co-mediation cost-effective.

Once these foundational questions have been answered, counsel and the mediator can design a mediation structure that fosters creativity, connection, flexibility, and trust, and encourages closure and settlement. When devising the structure of the mediation, answer these questions:

“ Throughout the mediation, counsel should remember that the opposing party and opposing counsel are people with their own problems, fears, and concerns. ”

  • Should there be an opening session? If so, what should it look like? Would the case benefit from starting the day with a joint session?
  • How should breaks and lunch breaks be handled? Is lunch an opportunity to bring everyone back together in a joint session?
  • Should the mediation occur at a particular pace?
  • How should the information flow be managed?
  • What are the parameters for time-outs?

Prepare Thoughtfully for the Mediation

Wisdom can only come by way of a willingness to accept truth from any source. —Jewish saying

As in any mediation, preparation for mediation in a highly emotional case is key. Only by having a firm grasp of the facts and the law can counsel be prepared, after emotions have calmed, to bring discussion around to the objective strengths and weaknesses of the case. Investigate early, thoroughly, and continuously. Gather and organize relevant documents, locate and meet with key witnesses, and maintain a “cast of characters,” chronology, and storyline that are updated to fit the evolving evidence. Conduct the necessary discovery and file appropriate motions. Select and work closely with the best available experts.

Whenever possible, try to develop a positive relationship with opposing counsel. Take the time to meet for lunch or coffee to get to know each other as people. Make interactions civil, professional, and respectful. Remember that it is the clients, not the lawyers, who have the dispute. Don’t amp up the already emotional case by badmouthing the opposing lawyer to the client. Keep the mediation unburdened by fights between counsel.

Use the mediation statement to refine case thinking for trial and evaluate the evidence objectively. Be wary of “drinking your own Kool-Aid,” that is, being so persuaded by your own advocacy that you lose sight of the opposing view. Describe the relevant facts and legal issues, highlighting strengths and addressing weaknesses. Make the statement concise and pare down the attachments to the essentials. Consider the creative use of government reports, investigative reports, witness statements, television reports, video, charts, and graphs.

Finally, prepare the client and yourself. Educate the client regarding the mediation process, including the possibility that emotions may be high at times. Let the clients know that they can express their views and feelings and can ask for a break if needed. Approach the mediation with as much calm, patience, and objectivity as possible. In the end, remember that mediation requires the wisdom that comes from combining knowledge and understanding.

Mediate Mindfully

If you want others to be happy, practice compassion. If you want to be happy, practice compassion. —Dalai Lama

Careful attention to words and actions at the mediation, while often just a matter of common courtesy, can bolster the chances of reaching a resolution. Throughout the mediation, counsel should remember that the opposing party and opposing counsel are people with their own problems, fears, and concerns. Begin by greeting each of the participants warmly. Listen kindly to the feelings voiced by the other side throughout the process. Without conceding responsibility, express understanding of and compassion for the other party’s circumstances. Look for opportunities for self-disclosures that create a common bond. Address the opposition respectfully; avoid accusations and insults, and advise the client to do the same.

[B]e quick to listen, slow to speak, and slow to anger. —Apostle James

“ A successful mediation requires the parties to look at their present alternatives for making the future as good as possible. ”

Appreciative, courteous, and compassionate listening are valuable tools in building a settlement. Having lawyers and a mediator who will listen carefully to the parties’ stories goes a long way toward achieving settlement goals.

Consider responses carefully, particularly if the opposition’s statements or offer are offensive to the lawyer or the client. Wait for the anger to subside before responding.

Grief is in two parts. The first is loss. The second is the remaking of life. —Anne Roiphe

Strong emotions arise from past wrongs and disappointments, and neither mediation nor a court case, no matter how successful, can undo the past. A successful mediation requires the parties to look at their present alternatives for making the future as good as possible. Honor the clients’ feelings but help them to not stay so trapped in their emotions that they are unable to make reasonable decisions. And be careful to not let empathy for the client cloud professional judgment. Mediation is an opportunity for parties to structure a resolution that will free them from the stress of litigation so they have space to heal and rebuild their lives. Help the client do just that.

[D]on’t ever underestimate the importance you can have because history has shown us that courage can be contagious and hope can take on a life of its own. —Michelle Obama

Counsel’s attitude can have a profound effect at mediation, negative or positive. Lawyers should be mindful that their emotions, particularly anger, fuel those of the client; clients are best served by taking the lawyers’ emotions out of the equation. Mediation is a time for careful, reasoned evaluation of alternatives for resolution. Remaining a calm voice of reason is essential. Give clients hope and support their courageous efforts to momentarily set aside their emotions to make wise and thoughtful decisions about the future.

Stay focused, go after your dreams and keep moving toward your goals. —LL Cool J

Remember, as a negotiator the lawyer is looking for closure. Focus on the objective and look for the path to settlement through the roaring thunder of argument. Be enlightened and enlightening, gracious, and clear. Be open to creative closing strategies that end the litigation and leave all parties with “face” and respect.

Move Clients Forward

You gain strength, courage and confidence by every experience in which you really stop to look fear in the face. You are able to say to yourself, “I lived through this horror. I can take the next thing that comes along.” —Eleanor Roosevelt

Like the end of any prolonged, arduous effort, resolving a highly emotional case can cause its own set of emotions. While the end of litigation is a welcome relief, it can also be a reminder of the finality of the loss and trigger emptiness and fear. This is a good time to commend the clients’ courage throughout the process, reinforce the wisdom of their decision, and express your confidence that they will be able to handle the next steps in their journey.

Conclusion Mediating highly emotional cases requires extra care. The process should start with the selection of a mediator who is qualified for the case by temperament and experience and who can listen carefully to the parties and lead them to a settlement. The mediation should be designed to fit the unique circumstances of the case and the needs of counsel and clients, while remaining flexible enough to fit the ebb and flow of a dynamic mediation process. Careful preparation of the case, the client, and the lawyer are important. At mediation, respect for parties and counsel, compassionate and critical listening, appreciation of all aspects of the case, and a will to reach a settlement are the necessary ingredients to a successful resolution. Finally, supporting the client in resolving the highly emotional case can help the client to move forward confidently.

NOTE 1. See Epstein and Epstein, “Grief, Anger and Fear in Mediation,” Trial Talk 37 (June/July 2010).

Meeting the Challenges of Mediating the Catastrophic Injury Case

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This article originally appeared in Trial Talk/Colorado Trial Lawyers Association – February/March 2018.  Reprinted with permission.

Synopsis:

Treat catastrophic injury cases with the care they deserve and require, with compassion and consummate care.

Plan your case from the outset and keep planning. Associate with highly qualified attorneys and experts. Use focus groups early and often. Find the right mediator. Prepare a concise mediation statement.

Hire the mediator who honors the words of the Dalai Lama by looking at all aspects of the case, listening to all, and staying open to disparate information. Find a mediator who walks his/her walk with clarity, compassion, empathy, patience, and insight.

Emotions:

Grief, anger, and fear are the three emotions with the widest and deepest display at catastrophic injury mediations. Mediators, advocates, parties, and negotiators must be aware of these emotions and wise enough to gauge and address their impact before, at, and during mediation. Appreciative, respectful, even compassionate listening are valuable tools in building a settlement in such cases. Just listening to the stories another shares about their grief, anger or fear goes a long way towards making closure possible as does relevant self-disclosures which create a common bond.

Setting the Stage [By Counsel]:

Investigate as early as possible and re-investigate. Locate key witnesses and meet with them personally or via an investigator when that is appropriate. Work with governmental agencies as appropriate. Put together a “cast of characters,” a chronology and a story that counsel updates as the evidence evolves.

  • Investigate early, thoroughly, and continuously
  • Develop a positive relationship with opposing counsel
  • Select the best available co-counsel and experts
  • Select the best mediator for the case

Selecting the Mediator:

Mediators are not all alike. It is important to examine the legal and emotional issues that are part of the catastrophic injury case. Determine which mediator has the life experience, mediation experience, and legal experience with a case like yours. Which meditator can listen objectively and compassionately to all parties? Determine who will work the case as hard and as skillfully as required.

  • Experience
    • In life
    • In mediation
    • In the law
  • Ability to listen
    • With objectivity
    • With compassion
    • With a peaceful/open mind
  • Work ethic
  • Analytic ability

Preparing the Mediation Statement

Use the mediation statement to refine your case thinking for trial. Describe the relevant facts and legal issues, highlighting strengths and addressing weaknesses. Make the statement concise and pare down the attachments to the essentials.

Setting the Table [Mediation Design Factors]:

Counsel should work with the mediator to individualize the mediation process to fit the unique dynamics of the catastrophic injury case. The work of mediation in catastrophic injury cases should generally be front-end loaded with a creative mindset. Counsel and their mediator should address and answer questions such as the following:

  • How many parties/teams are there on each side of the case?
  • Who is coming to the mediation on each team?
  • Would pre-mediation meetings with the mediator be helpful?
  • Has the case been mediated before?
  • What is the magnitude of the in- juries, damages, and losses?
  • Who needs to give voice to their thoughts and feelings?
  • What should the structure of the mediation look like?
  • What preparation does my client, my opponent, and my mediator require?

At the Mediation Table:

Pre-mediation design and preparation will involve exploring the mediation process and dealing with questions such as those below. The key ingredients at mediation that enable closure/settlement are creativity, connection, flexibility, and trust. Parties should reflect on the questions below:

  • Should there be an opening session?  If so, what should it look like?
  • How should you handle breaks (scheduled or not) and lunch?
  • What consideration should you give to pace?
  • How should the parties manage the flow of information?
  • How to honor the teaching of the Dalai Lama by remembering to “[l]ook at situations from all angles, and you will become more open.”

The Closing:

Remember as a negotiator, you are looking for closure. Remember your goal, your objective; look for  the path to settlement  through  the roaring thunder of argument. Be enlightened and enlightening, gracious, and clear. Give people “face” and respect. Manage time and expectations. Be open to creative closing strategies.

Conclusion:

Catastrophic Injury cases need extra care. Their mediation process should start with the selection of a mediator uniquely qualified by  temperament and experience who can deeply listen to the parties and lead them to a settlement.

It should then move to a mediation process designed to fit the parties—counsel and clients.  While the mediation process should be pre-designed [and front-end loaded] it needs to be flexible enough to fit the ebb and flow of a dynamic mediation process that you have geared to settlement. At mediation storytelling, compassionate and critical listening, appreciation of all aspects of the case, and a will to reach a  settlement  are the necessary ingredients to a successful mediation.

Postscript:

When proceeding with the mediation of a catastrophic injury case consider these sayings of the Dalai Lama:

  • Calm mind brings inner strength and self-confidence.
  • If you want others to be happy, practice compassion. If you want to be happy, practice
  • The best way to resolve any problem in the human world is for all sides to sit down and
  • Where ignorance is our master, there is no possibility of real
  • The ultimate authority must not always rest with the individual’s own reason and critical
  • Love and compassion are necessities not luxuries. Without them humanity cannot
  • When you practice gratefulness, there is a sense of respect toward others.
  • I am just one human being.
  • I feel exhausted if I teach too
  • Disagreement is something
  • I have no trouble
  • Look at all situations from all angles, and you will become more
  • To order to carry a positive action we must develop here a positive vision.
  • In the best practice of tolerance, one’s enemy is the best

Endnotes:

1 For a full exploration of this topic see Joe Epstein, Esq., with Susan Epstein, Esq., Grief, Anger and Fear in Mediation, Trial Talk, June/July 2010, at 37.

Making the Arbitrator’s Job Easier

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This article originally appeared in Colorado Lawyer – August/September 2017.  Reprinted with permission.

This article offers suggestions to help counsel achieve cost-effective and successful arbitrations by making the arbitrator’s job easier.

These days, few civil litigators are strangers to arbitration because contractual provisions to arbitrate are common. Put simply, in arbitration the parties have contractually agreed to bring disputes before one decision maker or a panel of three private decision-makers rather than before a judge or jury.

This article describes ways counsel can make the arbitrator’s job easier to facilitate a prompt and successful result at less cost.

“Why should counsel care about making life easier for the arbitrator? Because it is in counsel’s and the clients’ best interests to do so.”

Why Focus on Helping the Arbitrator?

Why should counsel care about making life easier for the arbitrator? Because it is in counsel’s and the clients’ best interests to do so.

First, arbitration is meant to be an efficient means of dispute resolution. All too often, though, parties complain that the arbitration took as long as it would have taken to litigate the case in court. In most cases, it should not be that way. The suggestions below will help counsel achieve a prompt resolution of the client’s problem.

Second, arbitrators cost money. Arbitrators typically are paid an hourly rate. That cost is multiplied for a three-member panel. On top of that, the client must pay the attorney for time spent on the case. The suggestions discussed below help the arbitrator and counsel spend less time on the case, and thus save the client money.

Third, to paraphrase a maxim more often said about moms: “If your arbitrator ain’t happy, ain’t nobody happy.” If parties are in arbitration, they have taken the time to select a qualified and impartial neutral. Arbitrators take seriously their obligation to consider the evidence fairly and decide the case according to the law and the evidence. However, a lawyer who is disorganized or unduly combative not only makes the arbitrator unhappy, but may be damaging the client’s case as well. Such counsel is asking the arbitrator to rule in favor of the client in spite of himself. Don’t do that. Instead, practice in a way that makes it easy for the arbitrator to look favorably upon the client’s case.

A few caveats are important to note here:

■ Arbitrators have different styles and opinions. For example, some like to follow the rules of civil procedure as closely as possible, and some apply the rules of evidence more strictly than others. Know the arbitrator and modify these suggestions accordingly.

■ The author’s views are her own and are not made on behalf of any alternative dispute resolution organization.

■ No criticisms should be taken personally. The author’s experiences as an arbitrator reveal that most counsel are professional, present their cases well, and are a pleasure to work with.

■ While the suggestions in this article are also applicable to cases before judges, the author has never been a judge.

Suggestions for Facilitating Arbitrations

Arbitration should be a fair, efficient, and economical means of resolving disputes. Counsel, as well as arbitrators, can take steps to achieve that result. The following are some practical suggestions to make an arbitration run smoothly.

Confer, Confer, Confer

As judges say over and over again: You need to confer with opposing counsel. Conferring is more than exchanging polarizing emails. It means talking and trying to reach reasonable accommodations. The need to confer starts with the scheduling order and addressing such topics as hearing time, deadlines, discovery limits, and motions procedure. It continues throughout the arbitration process regarding discovery disputes, proposed motions, joint exhibits, admissibility of exhibits, and undisputed facts. Counsel will not resolve every issue, but by conferring with opposing counsel, the most is made of the arbitrator’s time—and the client’s money—by limiting the matters to be raised with the arbitrator to true disputes.

Many arbitrators find it efficient to be readily available for phone conferences with counsel to resolve disputes. In that circumstance, counsel can be tempted to give short shrift to discussions with opposing counsel and instead move directly to a call with the accommodating arbitrator. The result can be that nearly every issue—major and minor—is presented to the arbitrator for a decision. The danger is that the big issues can be lost among the minutiae. The better practice is to try to resolve minor issues with opposing counsel so that the arbitrator can focus attention on the important disputes.

Be Reasonable

Arbitrations are generally less formal than court proceedings. Most pre-hearing conferences take place by telephone. Hearings are held in a conference room rather than a courtroom and usually are not transcribed.

Nonetheless, less formal should not mean less professional. Not every issue needs to be treated as life-or-death, and counsel shouldn’t fight just for the sake of fighting. By statute, the grounds for reversal of an arbitration award are extremely limited. This puts matters such as admission of evidence on a different procedural footing than in a trial by jury, for example. Generally, the only evidentiary ruling that can be grounds for vacating an arbitration award is the arbitrator’s refusal to consider material evidence.1 Thus, the arbitrator will often admit marginally relevant matters into evidence with the proviso that the evidence will be given the weight it deserves. So it makes no sense for counsel to object to the admission of every item of evidence, particularly on grounds of relevance.

That does not mean that counsel should never make evidentiary objections. Well-founded objections can call the arbitrator’s attention to the weakness in a piece of evidence. Also, although it happens rarely, arbitrators sometimes exclude evidence. If evidence is plainly irrelevant and submitted simply to make the other side look bad and prejudice the arbitrator, for example, the arbitrator may well draw the line and exclude the evidence. And all arbitrators lose patience with repetitive evidence. So don’t stop making objections entirely. Just consider whether an evidentiary issue truly matters before making it a matter of mortal combat.

Don’t Over-Litigate

Arbitrators should manage arbitration proceedings as fairly, diligently, efficiently, and economically as possible. They owe that obligation to the parties in the matter before them, as well as to the integrity and trustworthiness of the arbitration system itself. Nonetheless, when counsel and parties complain that arbitration ends up being every bit as long and expensive as a court action, it is important to look not only at the arbitrator’s case management but also at counsel’s conduct. The length and cost of an arbitration proceeding can be directly proportional to the volume and nature of discovery (and resulting discovery disputes) and motions practice. Counsel plays a pivotal role in containing those factors. If counsel stipulate to 20 depositions per side, for example, the arbitrator may be reluctant to impose more stringent limits. Similarly, multiple attorneys may seek to file broad and expensive dispositive motions despite warnings that such motions are rarely granted.

“The better practice is to try to resolve minor issues with opposing counsel so that the arbitrator can focus attention on the important disputes.”

An experienced arbitrator has tools for managing a case efficiently regardless of counsel’s approach. But it is important for attorneys to recognize that arbitration is not just litigation in a different forum. The parties presumably included an arbitration clause in their contract in part because they wanted a faster and more cost-effective means of dispute resolution. Counsel should further those goals by asking only for the discovery they truly need and permission to file only motions that are well-founded, narrowly tailored, and reasonably likely to succeed.

Streamline Motions and Briefs

Arbitrators are most persuaded by written submissions that are well-organized, concise, and to the point. Flowery language, hyperbole, and attacks on the integrity of opposing counsel or parties don’t help. The logical presentation of well-sequenced arguments supported by facts and law is much more effective.

Here are some tips for motions and briefs:

■ Numbered paragraphs, bullet points, or charts can aid in presenting a well-structured and concise argument.

■ A few cases on point with their relevance explained at least parenthetically are more useful than string cites of many less relevant cases.

■ Providing PDFs of important authority with the pertinent language highlighted reduces the arbitrator’s time spent retrieving authority.

Use Experts Wisely

Expert witnesses can be just as useful in arbitration as in court trials. They can provide specialized knowledge and industry information that the arbitrator might not otherwise have. But be judicious and efficient when presenting an expert’s testimony. Although it is important to emphasize that an expert is the “real deal,” an arbitrator is unlikely to be swayed by an unduly detailed presentation of the expert’s credentials. The arbitrator wants to hear the expert’s opinion. Consider using the expert’s curriculum vitae as an exhibit that the arbitrator can read, and refer only briefly to the expert’s credentials during testimony.

Also, take advantage of the fact that an experienced and intelligent decision-maker is presiding. Don’t let the expert take an extreme position that, while purportedly favorable to the client, defies common sense, undermines the expert’s credibility, and may damage the trustworthiness of the entire case. Understand the expert’s analysis and look at it with a critical eye before the hearing.

Organize, Organize, Organize

Good organization—whether in legal writing, presentation of testimony, or arrangement of exhibits—is golden. Nothing makes an arbitrator happier than a well-organized and carefully pruned case presentation.

Organization, or the lack thereof, is most evident in the selection and presentation of exhibits.

“An experienced arbitrator has tools for managing a case efficiently regardless of counsel’s approach. But it is important for attorneys to recognize that arbitration is not just litigation in a different forum.”

Here are some best practices:

■ Take seriously the arbitrator’s request that counsel agree on joint exhibits. Typically, the authenticity and relevance of most exhibits are not in dispute. Make them joint exhibits, arrange them logically, and (if using hard copies) fit them into one notebook if possible. And only make a document a joint exhibit when all counsel are waiving objections to the admissibility of that exhibit. Objecting to the admissibility of a joint exhibit during a hearing causes confusion.

■ Pre-number exhibits and provide separate exhibit lists for joint exhibits, claimant’s exhibits, and respondent’s exhibits, with dates and descriptions. It is easiest to include all pre-numbered exhibits in the notebooks, whether stipulated or not. Then, at the end of the hearing, counsel can provide the arbitrator with an agreed list of all admitted exhibits so that all other exhibits can be removed from the notebooks.

■ Use one color of notebook for joint exhibits, a second color for claimant’s exhibits, and a third color for respondent’s exhibits, so that it is easier to refer to the notebooks at the hearing. Agree on notebook colors with opposing counsel, resting assured that the arbitrator will attribute no significance to the colors chosen. Label the spine and front of each notebook with the pre-numbered exhibits it contains.

■ Resist the temptation to take a “kitchen sink” approach to exhibits. If that proves impossible, at least organize exhibits in such a way that the documents likely to be used are in the first few exhibit notebooks (organized chronologically or in another logical sequence) and the others are in the last notebooks. (Odds are that the last notebooks will never be opened.) That arrangement minimizes the cumbersome juggling of notebooks for witnesses, the arbitrator, and counsel at the hearing.

■ Use excerpts of voluminous documents, highlighted as appropriate, but have one copy of the full original documents available at the hearing in case opposing counsel objects to the excerpts selected.

■ Use summary charts of complex information or information that requires reference to multiple different exhibits. List in the summary the exhibit numbers of the supporting documents, if applicable. Be sure to provide the summary exhibit to opposing counsel before the hearing along with the documents summarized so that opposing counsel has the chance to determine the summary’s accuracy.

■ Timelines and demonstrative exhibits can also be useful. Bear in mind that in a complex case, any presentation that clarifies the sequence of events is appreciated. As with summary exhibits, provide timelines and demonstrative exhibits to opposing counsel before the hearing.

Conclusion

The foregoing suggestions are not rocket science. In fact, many echo the advice for good advocacy typically given by judges to litigators who appear in their courtrooms. That advice is equally wise when applied to arbitrations. It serves all concerned to make the arbitrator’s—like the judge’s—life easier.

NOTE 1. See Colorado Revised Uniform Arbitration Act, CRS § 13-22-223(1)(c); Federal Arbitration Act, 9 USC § 10(a)(3).