Thursday, September 28, 2017

On the ADR Horizon -- What the Current Literature Suggests

By Doug Van Epps, Director, Office of Dispute Resolution

Breaking with this column’s typical focus on current alternative dispute resolution (ADR) initiatives, the next few paragraphs will focus on recent publications that envision the possible roles of ADR in our trial courts in the near future. 


A discussion about the future best begins with a quick reference to “The Vanishing Trial: An Examination of Trials and Related Matters in Federal and State Courts, a 2004 article by law professor Marc Galanter, who popularized the notion of the “vanishing trial.”  Looking at federal court cases filed from 1962 to 2002, Galanter noted that adjudication rates dropped from 11.5 percent to 1.8 percent, a result similarly reflected in state court statistics.

Possible causes for the decline included “a shift in ideology and practice among litigants, lawyers, and judges,” increased ADR practice, and heavier involvement of judges earlier in the litigation.  Galanter concluded by stating that “[t]he consequences of this decline for the functioning of the legal system and for the larger society remain to be explored.”

Nearly 14 years later, with Michigan civil case adjudication rates now at one percent, some consequences are becoming clear.[1]  First, new lawyers will have few opportunities to try cases.  Second, and relatedly, the incoming cohort of judges (except those from prosecutors’ offices) generally will have had little or no trial experience.  Third, since settlement has become the primary disposition method, and since most negotiated settlements have confidentiality clauses, the valuation of claims and defenses will become even more challenging for lawyers.  And finally, as a result, there will be increased pressure on neutral mediators to value claims and defenses, taking the historical place of seasoned attorneys speculating what a jury might award.

Likely there are many more consequences of there being so few trials, but it is clear that the main focus of litigation will be discovery, motion practice, and settlement negotiations—not conducting civil trials. 

Now back to the future.  In contemplating the displacement of trials by settlement, many authors are questioning the central role of courts in the future, and are asking, “Are courts a service or a place?”  Increasingly, they see “court” as being a service, and in an era when much of the public does a significant amount of its work online, the authors believe that much of what courts currently do could be provided online.[2] 

In one context, online dispute resolution (ODR) is viewed as handling routine functions electronically.  In Michigan, the Matterhorn system, used in approximately 19 Michigan district courts, enables users to negotiate minor traffic tickets online.  Just as plea-bargaining takes place in court on the date of a hearing, through Matterhorn, citizens can access the court online and propose a reduction of points.  If the court (in consultation with law enforcement) agrees, the citizen pays the fee online and avoids having to go to court.

In another context, which would be familiar to anyone who has used the Ebay® or PayPal® dispute resolution systems, ODR means providing litigants with the means to either negotiate online with each other to try to reach a settlement, or to negotiate with the help of a neutral mediator.  Akin to automating traffic ticket plea-bargaining, this simply moves online what typically occurs on small claims day in courts where magistrates or mediators are available to help parties reach a settlement. 

Spotting a trend, the National Center for State Courts (NCSC) Council of State Court Administrators and the National Association for Court Administration Joint Technology Committee (JTC), in a recent Resource Bulletin, offer a primer on ODR and lays out implementation models and considerations for courts.  Because there are so few implemented ODR systems in place, the document more outlines questions to ask than reflects any best practices. 

Merely automating current practices online isn’t sufficient to build the court of the future, argue several authors affiliated with the NCSC.[3]  They advocate for revamping traditional court processes, and focus on implementing a triaging process that matches the issues litigated with the right process.  Not every case requires the full-blown adversarial process and a trajectory headed toward an extremely unlikely trial, they assert.  Instead, like triaging in the health care environment, they believe courts could better help parties determine which judicial resources they need and which dispute resolution process (adjudicatory, problem-solving, mediation, etc.) would best serve their interests.  With only one percent of cases reaching adjudication, placing more emphasis on the front end of the litigation may help parties save time and expense, and simultaneously remove from the court cases that really could be resolved more quickly.

A triaging approach necessarily suggests that lawyers will need to change the way they have traditionally thought about litigation.  Settling cases up-stream rather than resolution taking place mere weeks before the trial date should prompt a changing role for lawyers, says Richard Susskind, a leading futurist focusing on the practice of law. [4]  Susskind argues that traditional legal practice will be disrupted by a slew of factors, including automated document assembly, online legal guidance (think Michiganlegalhelp.org), artificial intelligence problem-solving (think Watson), online dispute resolution, and more.  And he envisions new practice areas that are closely tied to technology.  He concludes that “legal service (will) move from being a one-to-one, consultative print-based advisory service to a one-to-many, packaged, Internet-based information service.”

“Disruption” is a word Susskind and most other authors frequently use in contemplating the future.  And it is the theme of another Resource Bulletin issued by the JTC, called “Courts Disrupted,” mentioned above.  We’re all pretty familiar with the concept of disruption:  think of how Amazon® and eBay® “disrupted” conventional shopping, how Uber® disrupted public transportation, and AirBnb® has disrupted the hospitality industry.  The JTC bulletin examines trends potentially disruptive to courts, such as: data aggregation, as in companies’ analyzing judges’ decisions to predict how they will rule in the future; intelligent automation, as in an apps determining eligibility for a traffic ticket appeal and automatically filing the appeal; online dispute resolution, as mentioned above, and perhaps taking place prior to filing  in court; decreases in case filings; and “decoupling the bar from the court,” which is recognizing that the bar’s interests and the courts’ interests do not necessarily coincide. 

Finally, in “Rebooting Justice:  More Technology, Fewer Lawyers, and the Future of Law,” two law professors assert that the growing number of self-represented litigants is largely a result of creating a legal culture that is so complex that only those with significant financial means can afford to participate in it.[5]  Whereas the past decades’ efforts to address “access to justice” efforts have focused on “lawyering up,” which is having as a goal every person having access to a lawyer, the authors believe that the real solutions lie not in trying to attain the unrealistic goal of having everyone represented by counsel, but rather in creating simple, streamlined, and easy to understand tracks that litigants in the most typical types of disputes can manage without lawyers.  Consistent with the views of other authors cited above, these professors also cite the potential of online dispute resolution for allowing parties to first negotiate among themselves, and if unsuccessful, to have an online mediator.  Absent parties reaching a resolution on their own through ADR, the authors recommend a less formal adjudicatory process and a higher level of engagement by judges in drawing out the facts of the dispute.

So what does all this mean?  Perhaps that there is an emerging consensus that our courts will be increasingly turning to technology as a means to provide an easily accessible path to solving the problems litigants are bringing to court.  This may include triaging, early online dispute resolution, specialty tracks for self-represented litigants, access to limited license practitioners (the equivalent of nurse practitioners in the health care environment), or any number of proposals the authors of these books and bulletins have shared with us.  In any case, in an era where trying cases is no longer the norm, we do know that we need to continually focus on providing means of helping litigants resolve their conflicts as efficiently, effectively, and economically as possible.  These resources may help point the way to our achieving those goals.




[1] In 2016, only 10 Michigan circuit courts had 10 or more bench and jury trials.  Thirty-seven courts had between 1 and 5 trials; 20 courts had no trials at all. 
[2] See Ethan Katsh and Orna Rabinovich, “Digital Justice,” Oxford University Press, 2017.
[3] Victor Flango and Thomas Clarke, “Reimagining Courts: A Design for the Twenty-First Century,” Temple University Press, 2015.
[4] “Tomorrow’s Lawyers,” by Richard Susskind, Oxford University Press, 2013
[5] Benjamin Barton and Stephanos Bibas, “Rebooting Justice: More Technology, Fewer Lawyers, and the Future of Law,” Encounter Books, 2017.