"INTERNET LAW BOOK REVIEWS" - Provided by Rob Jerrard LLB LLM (London)

Books from Springer Reviewed in 2012/13


European Yearbook of International Economic Law (EYIEL), Vol. 3
Authors: Christoph Herrmann and Jörg PhilippTerhechte (editors)
Publisher: Springer
Format: Hardback
ISBN: 978-3-642-23308-1
Publication date: 2012
Price: €176,75

Publisher's Title Information

The third volume of the European Yearbook of International Economic law focuses on two major topics of current academic and political interest. Firstly, it addresses the 10th anniversary of China's accession to the WTO and its implications; secondly, it deals with different legal aspects of global energy markets.
Content Level Research

Review

The book under review is the third volume in the excellent series of European Yearbook of International Economic Law (EYIEL), a yearly publication by Springer which covers all areas of international economic law, including WTO law, international competition law, international investment regulation and international monetary law. In only three years, EYIEL has established itself as a leading publication in this particular field of research.
 
As for the previous two volumes, the third volume is edited by Christoph Herrmann, Professor at the University of Passau, and Jörg PhilippTerhechte, Assistant Professor at the University of Siegen, and is divided into four parts.
 
Since the publication of volume 2 (2011), the first Part of EYIEL focuses on two specific topics. The topics chosen for volume 3 of EYIEL are: the ten years old membership of China in the WTO and the legal regulation of global energy markets.
 
The importance of the first topic is, in many respects, self evident. China's accession to the WTO represents one of the most important developments in the global economy, considering that it is the largest economy in the world and is also becoming one of the strongest exporters. At the same time, China's accession to the WTO also raises a number of important legal issues, considering how different and, in some ways, profoundly irreconciliable its legal (and economic) order is compared to Western countries. Interestingly, the first article published in volume one of EYIEL dealt with the legality, under the rules of international economic law, of the exchange rate regime of China.
 
The seven contributions of the first topic of Part I look at China's accession to the WTO from different perspectives. In the first essay, for example, the authors focus on the economic relationship between China and the European Union. After reviewing the main charactheristics of China's economic policies and discussing convergences and conflicts between Western and Chinese interests, the authors conclude that “China's future path remains very uncertain and therefore a source of concern” (page 28). Of particular interest is also a contribution dealing with trade disputes between China and the United States, in which the authors offer a sketch of commercial history between China and the US and then identify current protectionist measures which could led to future disputes.
 
The second focus of Part I rightly addresses, under different perspectives, the legal regulation of global energy markets. Indeed, the economic and political importance of the exploitation and trade of energy has never been so clear and is at the centre of the global political debate. The topic is dealt with from different viewpoints. For example, Markus Krajewski analyses the impact of international investment law, in particular of investment agreements, on domestic energy regulation. Also worth mentioning is Ludwig Gramlich's essay, in which he asks, drawing on the 2010 European Commission communication “Energy 2020”, whether there is a solid legal basis to shape a common energy policy at the European supranational level.
 
Part 2 provides analytical reports on the development of regional economic integration around the globe. Three contributions are included in EYIEL 2012 and deal with the recent trade agreement practice of the EU, disputes resolution developments under NAFTA, and the Rule of law in the regional integration process in sub-Saharan Africa, respectively.
 
Part 3 covers the developments inside the major international institutions engaged with International Economic Law. In addition to contributions on the WTO dispute settlement cases review, the Doha negotiations never ending saga, the new International Monetary Fund structure, and the challenges faced by the G20, it is worth highlighting an essay offering an overview of the World Customs Organization, an international organization often neglected by legal literature, and its role within the WTO.
 
Finally, Part 4, usually containing book reviews and documentation, offers five book reviews which inform readers about books relating to this specific field of law.
 
One minor suggestion that this reviewer would like to give is to use some space of Part 4 to give readers access to documentation or materials not easily accessible or not usually available in English.
 
To conclude, the contributors are well known experts in their field and the level of information and analysis of the essays is high. The third volume of EYIEL is certainly a book to be recommended to academics, practitioners and policy makers involved in or interested in international economic law.
 
Riccardo Sciaudone

More Information on the Publisher's Website for "European Yearbook of International Economic Law (EYIEL), Vol. 3"


Policing Across Borders
Law Enforcement Networks and the Challenges of Crime Control
Edition: 1st
Format: Hardback
Author: Andreopoulos, George (Ed.)
ISBN: 978-1-4419-9545-2
Publishers: Springer
Price: £72
Publication Date: 2012

Publisher's Title Information

Immediately available per PDF-download (no DRM, watermarked
Examines international security issues at a global and local level
Combines law enforcement research with practitioner experience
Provides key research questions and potential solutions to challenges facing international law enforcement
Globalization has had a sharp impact on the definition of 'national security,' as the interconnectedness of many threats calls for them to be addressed at the national and global level simultaneously. Law enforcement efforts must increasingly include elements of international and transnational communication and cooperation. Police forces in different countries must find common ways to share data and track international crime trends.
 
This timely work analyzes key challenges confronting the law enforcement community, with regards to international crime, particularly illegal trafficking and terrorism. The contributions in this volume are the result of a series of workshops that brought together international law enforcement officials, researchers, and representatives from intergovernmental organizations (IGOs) and non-governmental organizations (NGOs), to examine the need for international police cooperation, the specific challenges this presents, and to propose solutions.
 

Content Level Research

Keywords Balkans - Globalization - Greece - Law Enforcement - National Security - Terrorism Trafficking
Related subjects Criminology & Criminal Justice - Law
Contents
1 Policing Across Borders: Transnational Threats and Law Enforcement Responses
George Andreopoulos
2 Democratic Policing and State Capacity in an Integrated World, Aaron Fichtelberg
3 Legal Reform and Institution Building (in the Context of National and International Security)
Zoran Pajic
4 The Role of International Assistance for Building the Capacity of National Law Enforcement Institutions: Lessons Learned from the Bulgarian Experience, Dimitar Markov
5 European Supranational Monitoring of Intelligence Agency Collaboration in counterterrorism in the Balkans and Eastern Europe, Henry F. Carey
6 Combating Human Trafficking Through Transnational Law Enforcement Cooperation: The Case of South Eastern Europe, Roza Pati
7 Defining and Combating Terrorism: International and European Legislative Efforts Nikolaos Petropoulos
8 International Legislative Initiatives to Combat Human Trafficking, Vassilios Grizis
9 Aspects of Accountability in Law Enforcement: A Case Study of Bosnia and Herzegovina, Selma Zekovic
Index

Review

From being a small priority with few resources needed this has become a major part of police budgets for governments worldwide. In the UK, until the 60's forces would have had a small Aliens Department staffed by just a few officers with “Aliens” required to report to them every few weeks. The Aliens Act 1905, 5 Edw. 7 c. 13 was amended in 1919. Now rather than protect our own borders we send officers further afield.

As the author tells us in the introduction, “ first, democratic societies are essentially organized around the principle of governance by consent, and many aspects of policing are anathema to this political order. (This is wholly the case in the UK where politics do not play a part.) Second, democratic societies are self-determining societies, meaning that foreign intervention, particularly in a field as important as policing, is fraught with political danger. Influencing another state's policing involves transforming the core of their governance and affecting how the state fulfils what is undoubtedly one of its most serious functions: the use of force against its own citizenry. This means that those involved in foreign interventions into a state's policing system, be it from regional or international institutions, must be aware of the delicate position it is in and prickly matters of state sovereignty.”

He continues, “Nonetheless, it is both possible and necessary that international institutions play a role in constructing democratic police forces around the world.”

It has been the case that for very many decades British police officers have been seconded all over the world for that very reason.

The Author examines the interconnection between three forces: the demands of a democratic police force, the construction of a state's capacities as a way to achieve democratic policing, and the ability of international institutions to help create and cultivate the fine balance between the competing aims of modern policing in a democratic society.

Without a doubt this excellent informative work will be of interest to British forces who play such a large role in enforcement, and international relations.

Rob Jerrard

More Information on the Publisher's Website for "Policing Across Borders 2012"


Targeted Killings and International Law
With Special Regard to Human Rights and International Humanitarian Law
Series: Beiträge zum ausländischen öffentlichen Recht und Völkerrecht, Vol. 230
Edition: 1st
Format: Hardback
Author: Otto, Roland
ISBN: 978-3-642-24858-0
Publishers: Springer
Price: £94.99
Publication Date: 2012

Publisher's title Information

Existing international law is capable to govern the “war on terror” also in the aftermath of September 11, 2001. The standards generally applicable to targeted killings are those of human rights law. Force may be used in order to address immediate threats, preventive killings are permitted under strict preconditions but targeted killings are prohibited. In the context of armed conflicts, these standards are complemented by international humanitarian law as lex specialis. Civilians may only be targeted while directly taking part in hostilities and posing a threat to the adversary. Also in Israel and the Occupied Territory, these standards apply. Contrary to the Israeli Supreme Court's view, international humanitarian law is not complemented by human rights law, but human rights law is - to some degree - complemented by international humanitarian law. According to these standards, many killings which would be legal according to the Israeli Supreme Court violate international law.

Part of the Acknowledgements

The present treatise is an updated version of the thesis which was accepted by the Faculty of Law of the Humboldt University of Berlin in March 2009 in partial fulfilment of the requirements for the degree of Dr. iur. The research for the treatise was started while I was working as a research fellow at the Gottingen Institute of International and European Law. The topic of “'81targeted killings”'81 was chosen as the outcome of one of many fruitful discussions with Prof. Dr. Georg Nolte, then director of the said institute. The main research - as well as the update to December 2010 - was done there.

Review

The “Troubles” in Northern Ireland have also shown that 'international humanitarian law is not complemented by human rights law, but human rights law is - to some degree - complemented by international humanitarian law'. There have been the same challenging problems for those seeking to maintain peace; to provide what we in the UK call “The Queen's Peace” which is the normal state of society. Now, yet again, there is trouble because of differing opinions as to when the Union flag should be flown.

This book makes the point that according to these standards, many killings which would be legal according to the Israeli Supreme Court violate international law.

We are told that force may be used in self defence in order to address immediate threats.

The reality on the ground is that force must be used, but as stated, under strict preconditions. But targeted killings are prohibited. Civilians may only be targeted while directly taking part in hostilities and posing a threat . These sorts of situations are now being acted out in various parts of the world where the public have never seen human rights in action.

This book takes a detailed look at the subject of “Targeted Killing” as it pertains to the State of Israel: however it acknowledges it is by no means exclusively related to Israel.


Rob Jerrard

More Information on the Publisher's Website for "Targeted Killing and International Law 2012"


Humanity’s Children, ICC Jurisprudence and the Failure to Address the Genocidal Forcible Transfer of Children
Edition: 1st
Format: Hardback and E-Book
Author: Sonja C Grover
ISBN: 978-3642325007
Publishers: Springer; 2013 edition
Price: Hardback £117 E-Book £109.99
Publication Date: 31 Dec 2012

Publisher's Title Information

This book addresses the phenomenon of children as the particular targets of extreme cruelty and genocide during armed conflict. Selected International Criminal Court cases are analyzed to illustrate the ICC's failure to address the genocidal forcible transfer of children to armed State and/or non-State groups or forces perpetrating mass atrocities and/or genocide. An original legal interpretation of children as a protected group in the context of the genocide provision of the Rome Statute is provided. The work also examines certain examples of the various modes in which armed State and/or non-State groups or forces perpetrating mass atrocities and/or genocide appropriate children and accomplish the genocidal forcible transfer of children to the perpetrator group. It is argued that the failure to prosecute the genocidal forcible transfer of children through the ICC mechanisms (where the Court has jurisdiction and the State has failed to meet its obligations in this regard) undermines the perceived gravity of this heinous international crime within the international community. Furthermore, this ICC failure to prosecute conflicts with the interests of justice and ultimately results in an erosion of the respect for the personhood and human dignity of children.

The Author

Sonja C Grover PhD., is a Professor with Lakehead University, Canada. She has written 7 books and over 80 refereed articles; over 60 on the topic of human rights published in leading international human rights and law journals, has presented numerous international conference papers and published book chapters in this field. She has also written several books on children's human rights including, "Children's Human Rights: Challenging Global Barriers to the Child Liberation Movement" (2007); "The Child's Right to Legal Standing" (2008) and a major reference book, "Prosecuting International Crimes and Human Rights Abuses Committed Against Children: Leading International Court Cases" (2009).

Contents

Part I Introduction
1 Reconsidering the Legal Concepts of Genocide and the 'Genocidal
Forcible Transfer of Children' . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.1 Children as Targets of Genocide . . . . . . . . . . . . . . . . . . . . . . . . 3
1.2 Genocide as a Separate Category of Grave
International Crime . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
1.3 Children as a 'Protected Group': Implications for
Our Understanding of 'Protected Group' . . . . . . . . . . . . . . . . . . 11
1.3.1 The Genocidal Forcible Transfer of Children
and Children as a 'Protected Group' . . . . . . . . . . . . . . . . 16
1.4 Additional Points Regarding 'Protected Groups' . . . . . . . . . . . . . 20
1.5 'Restrictive Interpretation' of Genocide Provisions:
Implications for the Notion of Children as Persons . . . . . . . . . . . 22
1.5.1 Restrictive Interpretation That Favours the Intention
of the Parties Versus What Is Expressed in Text . . . . . . . 24
1.6 Foreseeability, Perpetrator Accountability
and Rome Statute Article 6(e) . . . . . . . . . . . . . . . . . . . . . . . . . . 28
1.6.1 The Nullum Crimen Principle and the Genocidal
Forcible Transfer of Children to an Armed
Group or Force . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30
1.6.2 Evolving Conceptions of What Constitutes
a Protected Group . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
1.7 The Rome Statute Article 6 Protected Group
“As Such” Terminology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
1.7.1 'Forcible Displacement' vs. 'Genocidal Forcible
Transfer of Children' . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
1.7.2 Genocide's Special Targets and the Destruction
of Future Generations . . . . . . . . . . . . . . . . . . . . . . . . . . 41
Literature, Materials and Situations/Cases . . . . . . . . . . . . . . . . . . . . . 47
ix
Part II ICC Prosecutor Case Selection and Charging Decisions
2 Gravity and Interests of Justice Considerations . . . . . . . . . . . . . . . 53
2.1 Ambiguity of the Test for 'Sufficient Gravity'
Regarding Admissibility of the Case . . . . . . . . . . . . . . . . . . . . . 53
2.2 The Situation in the DRC: Case Selection and Gravity . . . . . . . . 55
2.3 The Situation in Darfur: Case Selection and Gravity . . . . . . . . . . 58
2.3.1 Parallels Between U.N. Peacekeepers and Children
as 'Protected Groups' . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
2.4 Legal Characterization of the Facts and the Assessment
of Gravity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
2.4.1 'Relative Gravity' and the 'Genocidal Forcible
Transfer of Children' . . . . . . . . . . . . . . . . . . . . . . . . . . . 63
2.5 Children's Right to Justice and Legal Empowerment . . . . . . . . . 64
2.6 Truth and Reconciliation Mechanisms and Child Victims . . . . . . 67
2.7 An Additional Note Regarding Child Soldier Victims
of the 'Genocidal Forcible Transfer of Children' . . . . . . . . . . . . 69
2.8 Child Soldiers and the Question of Potential State
Criminal Liability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 74
2.9 'The Interests of Justice' and ICC Case Admissibility . . . . . . . . . 77
Literature, Materials and Situations/Cases . . . . . . . . . . . . . . . . . . . . . 80
Part III Selected ICC Cases Illustrating the Failure to Address
the Genocidal Forcible Transfer of Children
3 Case 1: Prosecutor v. Thomas Lubanga Dyilo
(Hereafter Also Referred to as Lubanga) . . . . . . . . . . . . . . . . . . . . 85
3.1 The War Crimes Charges: On Why They Were Insufficient . . . . 85
3.1.1 The Confirmed Charges . . . . . . . . . . . . . . . . . . . . . . . . . 85
3.1.2 The Prosecution's Closing: Selected Issues Arising . . . . . 86
3.1.3 The Context of Armed Conflict in Lubanga . . . . . . . . . . 94
3.1.4 The Common Plan and Genocidal Intent . . . . . . . . . . . . . 97
3.1.5 Gender Crimes and the 'Genocidal Forcible Transfer
of Children' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
3.1.6 The Legal Re-Characterization of the Facts
Controversy in Lubanga . . . . . . . . . . . . . . . . . . . . . . . . . 113
3.1.7 On the Short Training Afforded FPLC Child Soldiers:
Implications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
3.1.8 The 'Continuous Nature' of the International Crimes
Perpetrated Against FPLC Child Soldiers . . . . . . . . . . . . 138
3.1.9 The Defence Closing and the Prosecution Reply:
Selected Issues Arising . . . . . . . . . . . . . . . . . . . . . . . . . 146
Literature, Materials and Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197
x Contents
4 Case 2: Prosecutor v. Germain Katanga and Mathieu
Ngudjolo Chui . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201
4.1 Confirmed Charges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 201
4.2 The Prosecution Opening Statement . . . . . . . . . . . . . . . . . . . . . 202
4.3 Charging Sexual Violence Crimes Under the Rome Statute . . . . . 203
4.4 The Genocidal Forcible Transfer of Children
as “Child Soldiers” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 208
4.4.1 The FNI/FRPI Appropriation of Children as the
'Genocidal Forcible Transfer of Children' . . . . . . . . . . . . 208
4.4.2 Cruel and Inhuman Treatment of FNI/FRPI
'Child Soldiers' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 214
4.4.3 Mens Rea and the Appropriation of Children
to the FNI/FRPI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 217
4.4.4 Genocidal Forcible Transfer of Children; Nationality
and the Protected Status of Children . . . . . . . . . . . . . . . . 218
4.4.5 More on Outrages on Personal Dignity . . . . . . . . . . . . . . 219
Literature, Materials and Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 220
5 Case 3: Prosecutor v Omar Hassan Ahmad Al Bashir . . . . . . . . . . 223
5.1 Background . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
5.2 The Prosecutor's ICC Application for an Arrest Warrant
Re Omar Hassan Ahmad Al Bashir (14 July, 2008) . . . . . . . . . . 224
5.2.1 On Whether Darfur Involved 'Autogenocide' and
Whether Correctly Answering that Question Matters . . . . 224
5.2.2 Motive, Genocide and Child Soldiering . . . . . . . . . . . . . 225
5.2.3 The Targeting of So-Called 'Arab' Children of Darfur
for Child Soldiering as an Act of Genocide . . . . . . . . . . . 228
5.2.4 Sexual Violence as a Vehicle for the Genocidal
Forcible Transfer of Children . . . . . . . . . . . . . . . . . . . . . 232
5.2.5 The Recruitment and Use of Child Soldiers by the
GoS During the Time Period Covered by the Al Bashir
Case (March 2003 to July 14, 2008) . . . . . . . . . . . . . . . . 236
5.2.6 Report of the Secretary-General on Children and Armed
Conflict in the Sudan (5 July, 2011) . . . . . . . . . . . . . . . . 237
5.3 The Interests of Justice and a Judicial Remedy for Child Victims
in Darfur . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 242
5.4 The Standard of Proof in Regards to Establishing the Offence
of Genocide in Its Various Forms . . . . . . . . . . . . . . . . . . . . . . . 244
5.4.1 The Struggle to Confirm Genocide Charges
in the Al Bashir Case . . . . . . . . . . . . . . . . . . . . . . . . . . . 244
5.5 The Standard of Proof in Regards to Establishing the Offence of
the Genocidal Forcible Transfer of Children (Warrant Stage) . . . 245
5.6 On Identifying Genocide in Darfur . . . . . . . . . . . . . . . . . . . . . . 248
5.7 The Genocidal Forcible Transfer of Children in Darfur . . . . . . . . 253
Literature, Materials and Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257
Contents xi
Part IV Conclusion
6 The Genocidal Forcible Transfer of Children: A Crime
Well Established in International Law; Yet Still Not
Prosecuted by the ICC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
6.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 261
6.2 Gravity of the Crime as an ICC Admissibility Criterion . . . . . . . 268
6.3 The Interests of Justice: Insights from the ICC Pre-Trial
Judgement in Kenya . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269
6.4 The Somali Situation and the Matter of Impunity
for Perpetrating 'Child Soldiering' . . . . . . . . . . . . . . . . . . . . . . . 270
6.4.1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
6.4.2 Background to the Somali Situation
and Child Victimization . . . . . . . . . . . . . . . . . . . . . . . . . 271
6.5 Gravity of the International Crimes Perpetrated by Al Shabaab
Against Children . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 276
6.6 Pursuing the Accountability of Somali Perpetrators . . . . . . . . . . 278
6.7 The Situation in Chad and the Matter of Impunity
for Perpetrating 'Child Soldiering' . . . . . . . . . . . . . . . . . . . . . . . 283
6.7.1 Reports by Amnesty International and the UN
on the Situation in Chad . . . . . . . . . . . . . . . . . . . . . . . . . 283
6.7.2 Chad and the U.S. 'Child Soldiers Prevention
Act of 2008' . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 287
6.8 Acknowledging Existing International Norms that Protect
Children from Genocidal Forcible Transfer . . . . . . . . . . . . . . . . 289
6.8.1 Gaps in Children's Access to International
Justice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 291
6.8.2 Genocidal Context and the Recruitment
and Use of Child Soldiers . . . . . . . . . . . . . . . . . . . . . . . 293
6.8.3 Genocidal Forcible Transfer of Children Through
Sexual Victimization . . . . . . . . . . . . . . . . . . . . . . . . . . . 298
6.8.4 ICC independence and Impartiality and Prosecuting
Grave International Crimes Perpetrated
Against Children . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
6.8.5 The ICC and the Interests of Child Victims of Genocidal
Forcible Transfer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303
6.9 PostScript: The Syrian Regime's Genocidal Targeting
of Children in Particular . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 308
Literature, Materials and Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317

Review

Children are our most precious asset for the future. We in more developed countries have no conception of the fear that little children are subjected to. This book speaks for these children. These children are targets of extreme cruelty and genocide during armed conflict which must be eradicated at all cost. I hope it reaches a wide audience.

Rob Jerrard

More Information on the Publisher's Website for "Humanity's Children 2012"


Beyond Right and Wrong - The Power of Effective Decision making for Attorneys and Clients
Edition: 1st
Format: Hardback
Author: Randall Kiser
ISBN: 978-3-642-03813-6
Publishers: Springer
Price: £90
Publication Date: 2012

Publisher's Title Information

Analyzes 11,306 attorney-client decisions in actual cases and summarizes decades of research regarding judge, jury, litigant and attorney decision making
Presents more than 65 ideas, methods and systems for improving personal and group decision making
This book guides attorneys and clients through legal decision making. It analyzes 11,306 attorney-client decisions in actual cases and summarizes decades of research regarding judge, jury, litigant and attorney decision making. To explain why many litigation outcomes are suboptimal, the book describes the psychological and institutional factors that impede sound decision making. The roles of attorneys and clients in legal decision making and the legal malpractice and disciplinary consequences of ineffective legal representation also are discussed. To rapidly promote better financial outcomes in civil litigation and to assist attorneys and clients in becoming expert decision makers, the book presents more than 65 ideas, methods and systems for improving personal and group decision making.

Contents

1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Purposes and Premises of this Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
1.2 Organization and Philosophy of this Book . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
1.3 What Attorneys Think About Other Attorneys'
Decision-Making Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Part I Evidence
2 Prior Research on Attorney-Litigant Decision Making . . . . . . . . . . . . . . . 11
2.1 The Paradox of Copious Lawyers and Scant Data . . . . . . . . . . . . . . . . . . . 11
2.2 Empirical Legal Research on Judge, Jury and Attorney
Decision Making . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
2.2.1 Judge-Jury Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.2.2 Punitive Damages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
2.2.3 Judges' Assessments of Juries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
2.2.4 Attorney-Jury and Attorney-Attorney Agreement . . . . . . . . . . . 20
2.2.5 Attorney-Litigant Negotiation Positions, Assessments
and Outcomes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
2.2.6 Disparities In “Same Case” Evaluations and Outcomes . . . . . 21
2.2.7 Comparisons of Predictions and Outcomes . . . . . . . . . . . . . . . . . . 22
2.2.8 Damages Award Predictions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
2.2.9 Overview of Judge, Jury and Attorney Decision Making . . . 24
2.2.10 Attorney-Litigant Decision Making in Actual Cases . . . . . . . . 24
2.2.11 Kiser, Asher and McShane Study of
Attorney-Litigant Decision Making . . . . . . . . . . . . . . . . . . . . . . . . . . 27
2.3 Chapter Capsule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
3 A Current Assessment of Attorney-Litigant Decision Making
In Adjudicated Cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
3.1 The Fifty Percent Implication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
vii
3.2 New Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
3.2.1 The Four Datasets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
3.2.2 VerdictSearch Publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
3.2.3 Case Database Selection Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
3.2.4 Attorneys in Dataset . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
3.3 Concepts and Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
3.3.1 Negotiation Disparities and Decision Error . . . . . . . . . . . . . . . . . . . 38
3.3.2 Underpricing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
3.3.3 Overpricing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
3.3.4 Negotiation Disparities Without Decision Error . . . . . . . . . . . . . . 40
3.3.5 Effect of Negotiation Disparity on Decision Error . . . . . . . . . . . . 41
3.4 Overall California Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
3.4.1 Costs of Decision Error . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
3.4.2 Negotiation Disparities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
3.5 New York Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45
3.6 40-Year Historical Study . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
3.6.1 Historical Decision Error . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
3.6.2 Historical Cost of Decision Error . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
3.7 Attorney-Mediator Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
3.7.1 Attorney-Mediator Decision Error . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49
3.7.2 Attorney-Mediator Negotiation Disparities
and Settlement Rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
3.7.3 Tentative Conclusions About Attorney-Mediators . . . . . . . . . . . . 51
3.8 Predictor Variables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
3.8.1 Context Variables Trump Actor Variables . . . . . . . . . . . . . . . . . . . . 53
3.8.2 The Five Major Context Variables . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
3.8.3 Two Secondary Context Variables . . . . . . . . . . . . . . . . . . . . . . . . . . . . 71
3.8.4 The Major Actor Variables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
3.9 Chapter Capsule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Part II Causes
4 Psychological Attributes of Decision Errors . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
4.1 Perceptions of Adversaries and Conflicts . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
4.1.1 Fundamental Attribution Error . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
4.1.2 Selective Perception and Memory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
4.1.3 Self-Serving Bias . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
4.1.4 Reactive Devaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
4.1.5 A Practical Example Of Overcoming
Self-Protective Biases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
4.2 Evaluations of Risk and Reactions to Perceived Risk . . . . . . . . . . . . . 108
4.2.1 Framing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
4.2.2 Anchoring . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
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4.3 Reactions to Threatened Changes in Position and Status . . . . . . . . . . 120
4.3.1 The Endowment Effect . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
4.3.2 Status Quo Bias . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
4.3.3 Overconfidence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
4.3.4 Confirmation Bias . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
4.3.5 Representative and Availability Heuristics . . . . . . . . . . . . . . . . . . . 129
4.3.6 Hindsight Bias . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
4.3.7 Discounting Of Future Payments and Costs . . . . . . . . . . . . . . . . . . 133
4.3.8 Sunk Cost Bias . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
4.4 Chapter Capsule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
5 Institutional Impediments to Effective Legal Decision Making . . . . . 141
5.1 Law School Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143
5.1.1 Separation of Legal Education from Legal Practice . . . . . . . . 144
5.1.2 Testing Law Students' Reasoning Skills
and Moral Judgment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145
5.1.3 An Example of Law Student Decision Making . . . . . . . . . . . . . . 148
5.1.4 Deficiencies in the Case Method of Teaching . . . . . . . . . . . . . . . 150
5.1.5 Attempts to Change Law School Curriculum . . . . . . . . . . . . . . . . 156
5.2 Law Firms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 164
5.2.1 Conflicts Between Efficient Problem Solving
and Billable Hour Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 166
5.2.2 The Consequences of Avoiding “The Big Picture” . . . . . . . . . . 169
5.2.3 “Due Process” and the Elevation of Process
Above Results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 172
5.2.4 Competitive Market Pressures, Undue Deference
to Client Expectations and Inappropriate Client
Involvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 174
5.3 Mental Impairment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 182
5.4 The Disappearing Civil Trial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 188
5.4.1 Settling Without Benchmarks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 189
5.4.2 Causes and Motivations for Pre-Trial Settlements . . . . . . . . . . . 192
5.5 Chapter Capsule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 195
Part III Consequences
6 Legal Malpractice Liability For Settlement Counseling
and Decision Errors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 199
6.1 Malpractice Claims Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 200
6.2 Competing Policy Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 202
6.3 Malpractice Claims Arising from Settled Cases . . . . . . . . . . . . . . . . . . . 204
6.3.1 Inadequate Advice Regarding Settlement and
Trial Prospects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 206
6.3.2 Client Coerced into Settlement by Attorney . . . . . . . . . . . . . . . . 209
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6.3.3 Attorney's Mistakes Prevented Client from
Obtaining a Better Settlement or Prosecuting
Case to Trial . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 211
6.3.4 Attorney's Delays Caused Client to Forego
More Favorable Settlement Terms . . . . . . . . . . . . . . . . . . . . . . . . . . 214
6.3.5 Conflict of Interest, Fraud and Collusion with an
Adverse Party . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 215
6.3.6 Attorney Did Not Transmit Settlement Proposals
to Client . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 218
6.3.7 Failure to Conduct Adequate Legal Research,
Discovery and Investigation Before Settlement . . . . . . . . . . . . 219
6.3.8 Attorney Not Authorized to Consent to Settlement
Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 223
6.3.9 Settlement Agreement Defectively Drafted . . . . . . . . . . . . . . . . . 225
6.3.10 Client Misunderstood the Settlement Agreement . . . . . . . . . . . 226
6.3.11 Failure to Advise of Uncertainty of Law and
Anticipate Judicial Error . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 227
6.4 Malpractice Claims in Adjudicated Cases . . . . . . . . . . . . . . . . . . . . . . . . . 231
6.4.1 Attorney Remiss In Failing To Initiate Settlement
Negotiations, Solicit A Pre-Trial Settlement Offer
Or Otherwise Effectuate Settlement . . . . . . . . . . . . . . . . . . . . . . . . 232
6.4.2 Client Inadequately Apprised of Risk of
an Adverse Verdict . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 235
6.5 Defenses to Settlement Malpractice Claims . . . . . . . . . . . . . . . . . . . . . . . . 237
6.5.1 The Client's Consent Bars a Challenge to the Adequacy
of the Settlement Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 238
6.5.2 The Client's Ratification of the Settlement Agreement . . . . 240
6.5.3 The Client's Failure to Prove Reliance on
the Attorney's Advice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 240
6.5.4 The Judgmental Immunity Rule and the California
Model Limitations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 241
6.5.5 The Client Cannot Prove Damages Proximately Caused
by the Attorney's Negligence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 243
6.5.6 Another Attorney's Negligence as an Intervening or
Superseding Cause . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 245
6.5.7 Reduction of Malpractice Awards by the Amount
of Attorneys Fees the Client Otherwise Would
Have Paid the Attorney . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 246
6.6 Chapter Capsule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 247
7 Ethical Implications of Attorney-Client Counseling
and Decision Making . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 249
7.1 A Profile of Disciplinary Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 250
x Contents
7.2 The Duty to Communicate all Material Facts and Events
to Clients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 252
7.3 The Duty to Exercise Independent Judgment and Render
Candid Advice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 257
7.4 The Duty to Provide Adequate Advice to Enable Clients
to Make Informed Decisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 260
7.5 The Duty to Identify and Protect Clients with Diminished
Capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 262
7.6 The Duty to Competently, Independently, Diligently
and Expeditiously Represent Clients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 266
7.7 The Duty to Abide by Client Decisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . 270
7.8 The Duty to Prevent Conflicts of Interest in Aggregate
Settlements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 272
7.9 The Duty to be Candid and Truthful in Communications
with Clients, Opposing Counsel and the Courts . . . . . . . . . . . . . . . . . . . 274
7.10 Chapter Capsule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 279
Part IV Solutions
8 Obstacles to Becoming an Expert Decision Maker . . . . . . . . . . . . . . . . . . . 283
8.1 Defenses and Barriers to Sound Decision Making . . . . . . . . . . . . . . . . . 284
8.1.1 Defenses to Learning . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 285
8.1.2 Distortions of Reality . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 288
8.1.3 Attorney Belief System Defenses . . . . . . . . . . . . . . . . . . . . . . . . . . . 293
8.2 Myths and Misconceptions About Decision Making Expertise . . . . 295
8.2.1 Intelligence . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 296
8.2.2 Education and Experience . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 298
8.2.3 Peer Ranking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302
8.2.4 Intuition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 303
8.3 Chapter Capsule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 307
9 Personal Expertise in Legal Decision Making . . . . . . . . . . . . . . . . . . . . . . . . 309
9.1 Phase One: Finding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 310
9.1.1 Still The Messenger . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 311
9.1.2 Bottom-Up Decisions Beat Top-Down Decisions . . . . . . . . . . 311
9.1.3 Challenge Your Perceptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 313
9.1.4 Give Vivid Pictures Time to Fade . . . . . . . . . . . . . . . . . . . . . . . . . . 314
9.1.5 Credit Randomness its Due . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315
9.1.6 Deal with Attribution Errors Early . . . . . . . . . . . . . . . . . . . . . . . . . . 316
9.1.7 Diversify the Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 317
9.1.8 Time Does not Take Sides . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 318
9.1.9 Align Client Objectives and Attorney Incentives . . . . . . . . . . . 319
9.1.10 Consider Appointing Separate Settlement Counsel . . . . . . . . . 321
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9.2 Phase Two: Binding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 322
9.2.1 Start with Ideals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 323
9.2.2 Switch Sides to Debias Judgment . . . . . . . . . . . . . . . . . . . . . . . . . . . 324
9.2.3 Think Divergently . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325
9.2.4 Stop Pattern Matching . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 326
9.2.5 Work Well with Others . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 327
9.2.6 Consider Whether a Litigation Attorney
or a Trial Attorney is Required . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 328
9.3 Phase Three: Solving . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330
9.3.1 Don't Follow Your Gut . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 330
9.3.2 Search for Disconfirming, Discrepant Facts . . . . . . . . . . . . . . . . 332
9.3.3 Pay Attention to Base Rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 333
9.3.4 Prepare to Justify Your Case . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 334
9.3.5 When in Doubt, Act it Out . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 335
9.3.6 Step Off the Information Treadmill . . . . . . . . . . . . . . . . . . . . . . . . . 336
9.4 Phase Four: Testing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 337
9.4.1 Find Your Inner BATNA . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 338
9.4.2 Separate Facts from Theories, Values and Beliefs . . . . . . . . . 339
9.4.3 Enlarge the Pie Before Cutting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 340
9.4.4 Subjective Fairness Matters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 341
9.4.5 Think and Communicate Affirmatively . . . . . . . . . . . . . . . . . . . . . 342
9.4.6 Depressed People Make Depressing Deals . . . . . . . . . . . . . . . . . 343
9.4.7 Fatigue Stifles Creative Problem Solving . . . . . . . . . . . . . . . . . . 344
9.4.8 Use Email Carefully . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 345
9.4.9 Get a Grip on Mongo . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 347
9.5 Phase Five: Choosing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 348
9.5.1 Perform a Premortem on Overconfidence . . . . . . . . . . . . . . . . . . . 349
9.5.2 Take the Outside View . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 350
9.5.3 Keep Positions Aligned with Facts . . . . . . . . . . . . . . . . . . . . . . . . . . 351
9.5.4 Separate the Primary Decision from the
Secondary Decision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 353
9.5.5 Assumptions Were Made to be Explicit and Tested
Continuously . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 354
9.5.6 Walk Around the Sunk Cost Trap . . . . . . . . . . . . . . . . . . . . . . . . . . . 354
9.5.7 Past Performance Is No Guarantee of Future Results . . . . . . 355
9.5.8 Funny Things Happen on the Way to the Forum . . . . . . . . . . . 356
9.5.9 Linear Thinking Leads to Impasse . . . . . . . . . . . . . . . . . . . . . . . . . . 357
9.5.10 Appeals are Part of the Settlement Equation . . . . . . . . . . . . . . . 358
9.5.11 Moderate the Mediator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 359
9.6 Phase Six: Checking . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 362
9.6.1 Pin Yourself Down for Some Real Feedback . . . . . . . . . . . . . . . 363
9.6.2 Don't Just Provide Feedback - Discuss it . . . . . . . . . . . . . . . . . . 364
9.6.3 Learn from Surprises . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 365
9.7 Chapter Capsule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 366
xii Contents
10 Group Expertise In Legal Decision Making . . . . . . . . . . . . . . . . . . . . . . . . . . 367
10.1 Deficiencies in Group Decision Making . . . . . . . . . . . . . . . . . . . . . . . . . . 368
10.1.1 Elements of Defective Group Decisions . . . . . . . . . . . . . . . . . . 370
10.1.2 Group Polarization and Groupthink . . . . . . . . . . . . . . . . . . . . . . . 371
10.2 Characteristics of Effective Decision-Making Groups . . . . . . . . . . . 376
10.2.1 High Reliability Organizations (HROS) . . . . . . . . . . . . . . . . . . 377
10.2.2 Expert Teams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 383
10.3 Steps to Improve Group Decision Making . . . . . . . . . . . . . . . . . . . . . . . . 385
10.3.1 Ask For Multiple Opinions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 385
10.3.2 Cross-Pollinate the Team . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 386
10.3.3 Proliferate Team Leaders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 387
10.3.4 Appoint a Devil's Advocate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389
10.3.5 Seed the Brainstorm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 389
10.3.6 Promote a Good Fight . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 391
10.3.7 Build Trust . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 392
10.3.8 Reach a Consensus, Don't Build One . . . . . . . . . . . . . . . . . . . . . 394
10.3.9 Schedule a Last Clear Chance Meeting . . . . . . . . . . . . . . . . . . . 395
10.4 Chapter Capsule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 396
11 Peer Review, Client Evaluations and Law Firm Audits . . . . . . . . . . . . . 397
11.1 A Brief History of Quality Management in Law Firms . . . . . . . . . . 399
11.2 Peer Review in the Medical Field . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 400
11.2.1 The Inception of Medical Peer Review . . . . . . . . . . . . . . . . . . . 401
11.2.2 The Modern Medical Peer Review System . . . . . . . . . . . . . . . 402
11.2.3 Confidentiality of Medical Peer Review . . . . . . . . . . . . . . . . . . 403
11.3 Peer Review in Law Firms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 404
11.3.1 Priorities in Law Firm Peer Review . . . . . . . . . . . . . . . . . . . . . . 404
11.3.2 Confidentiality of Attorney Peer Review Proceedings . . . 405
11.3.3 Professional Ethics and Attorney-Client Privilege . . . . . . . . 407
11.3.4 The Role of Confidentiality in Peer Review . . . . . . . . . . . . . . 410
11.3.5 The Structure of Law Firm Peer Review . . . . . . . . . . . . . . . . . 412
11.4 Client Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 413
11.4.1 Challenges of Evaluation Design and Analysis . . . . . . . . . . . 414
11.4.2 Sample Questions to Probe for
Decision-Making Skills . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 418
11.5 Assessments and Audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 419
11.6 Chapter Capsule . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 422
12 Conclusion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 425
Appendix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 431
Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 437

The Author

Randall Kiser
Randall Kiser is the principal analyst at DecisionSet®, a decision services and professional development company located in Palo Alto, California.
Mr. Kiser, a decision analyst and an attorney, has worked closely with litigants, insurers and attorneys in assessing risks, evaluating litigation alternatives and improving individual and organizational decision-making skills.
He is the lead author of the widely read article, “Let's Not Make A Deal: An Empirical Study Of Decision Making In Unsuccessful Settlement Negotiations” (Journal of Empirical Legal Studies, Vol. 5, No. 3, September 2008).
Mr. Kiser received his law degree in 1978 from the University of California, Berkeley (Boalt Hall), and obtained his undergraduate degree in 1975 from the University of California, Davis (Highest Honors). His legal education is complemented by the award in 2002 of a certificate in leadership from the Peter F. Drucker Graduate School of Management, Claremont Graduate University.

Reviews to date

From the reviews:

“… this tome should be near at hand in the office of every lawyer engaged in predicting litigation outcomes.... Anyone with sufficient interest in this subject, particularly attorneys, should buy the book and keep it, if not on their night-stands, at least on their desks.” (Negotiation Law Blog, February, 2010)

“This is an important book. … Everyone associated with litigation--lawyers, business executives, law professors--should read this book. … it provides a useful summary of the results of 35 years of research by psychologists and economists in the judgment and decision making field … . Beyond Right and Wrong will make its way as professors adopt it for use in law and business school courses and as corporate legal departments discover its value in reducing the cost of litigation.” (Michael Palmer, Amazon, February, 2010)

"So the book is a practical, how-to work backed by scholarship (but not weighed down by it). It should be of interest for professional responsibility as well as trial practice and alternative dispute resolution." (Trialadnotes.blogspot.com)
“This book is dense with information … If you're serious about improving your decision-making skills - whether as a lawyer, or a client or an executive or a negotiator - spending the hours required to read this book will be well worth the effort. This is an important, fundamental piece of research that deserves a place of primacy on any peacemaker's bookshelf.“ (Doug Noll, On The Peacemaker's Bookshelf, May 2011)

"This is an exceptional book. Through laborious empirical research, Mr. Kiser has come up with a number of insightful observations about the training of lawyers and the practice of law. … it's worth noting that the book is very well-written. Mr. Kiser has all of the statistical data and a command of the math, but has presented the topic in a very readable and entertaining style. I'm looking forward to reading his subsequent book, "How Leading Lawyers Think"." (Stephen Cavanagh, amazon.com)

“In the book, Mr. Kiser discusses various factors that might contribute to the poor quality of lawyers' decisions. … it's worth noting that the book is very well-written. Mr. Kiser has all of the statistical data and a command of the math, but has presented the topic in a very readable and entertaining style.” (Stephen Cavanagh, Amazon, November, 2011)

Extracts from Chapter 2 Prior Research on Attorney-Litigant Decision Making

Nothing is more dangerous to a new truth than an old error. Johann Wolfgang von Goethe, Proverbs in Prose (1819)

Despite the filing of 15 million new civil cases every year, little attention has been given to the decisions made by attorneys and their clients in initiating, prosecuting, defending and attempting to resolve those cases. The perceived “litigation explosion” has not ignited a commensurate investment in empirical studies to describe the underlying reasons and motivations for filing and maintaining civil actions, the psychological and financial obstacles to conflict resolution, and the economic utility of decisions about settling cases or bringing them to trial. Academicians have analyzed these subjects, but funding for their research is miniscule relative to the impact of litigation on the nation’s economy. As Lela Love, a law professor and the chair of the American Bar Association’s Section of Dispute Resolution, notes, “We really know very little about conflict and its dynamics.”

Empirical Legal Research on Judge, Jury and Attorney

Decision Making Although many aspects of legal practice remain in a pre-reformation mode – their language cryptic, their rituals opaque and their prefects autonomous – one aspect of the legal system sparked early and earnest quantitative research: decision making by judges, juries and litigation attorneys. One prong of this research focused on judge-jury agreement, i.e., whether judges and juries make similar determinations of guilt, liability and damages. A second prong concentrated on attorney and litigant predictions about case outcomes, i.e., whether attorneys and clients make accurate or over-optimistic assessments of what a judge or jury will decide at trial. As explained below, this research generally shows that judges and juries have similar opinions about how cases should be decided, but attorneys and clients are not particularly accurate forecasters of trial results. The neutral roles of judge and jury are associated with relatively consistent and predictable case evaluations; the roles of advocate and litigant, however, are marked by conflicting and inaccurate case assessments. The research regarding decision making in civil cases suggests that judgments about risks and consequences are altered when attorneys and clients assume partisan roles. People whose judgment is otherwise sound and whose predictions are otherwise accurate lose their acuity when they adopt the roles of advocate and litigant. Because judges once acted as attorneys and jurors have been or may become individual plaintiffs and defendants, it appears that attorneys and their clients are not permanently misaligned decision makers but may act that way when they become legal representatives or parties in actual cases. The fact that jurors’ opinions are consistent with experienced judges’ opinions also indicates that jurors’ verdicts are not wildcards but rather predictably reflect the values, rules and decision-making processes judges employ. Judges and juries, in short, seem to agree on what is the “right” result, but attorneys and clients in litigated cases have seriously disparate views of how cases should and will be resolved. David Donoghue, an intellectual property attorney and partner at Holland & Knight in Chicago, reflects on attorneys’ difficulties in predicting case outcomes and opines that law school education itself may contribute to the gap between attorneys’ predictions and jurors’ verdicts:Noting that “legal training hinders your ability to understand, persuade and communicate with juries” and attorneys usually have little in common, socially or economically, with jurors, Patricia Steele, a jury consultant, voices a similar sentiment: “Lawyers are skilled at many things, but understanding and connecting to jurors is generally not one of them.”

More Information on the Publisher's Website for "Beyond Rights and Wrongs 2012"

LINKS

"Internet Law Book Reviews, Copyright Rob Jerrard 2012