PARTY INFORMATION (ROUND 1)

I. General information
- “Patent Licence Agreement”: SunTec licensed Patent ST-Vi.04.157.01 to TY for
the development of the product’s ultraviolet surface pathogen disinfection function
(7 years, 1 October 2017 – 30 September 2024)
- TY: TY3+ (robot vacuum)
Party A: Sun Technology (SunTec) Party B: TY Start Up (TY)

Attendees: Ms Ngan Attendees: Mr Kien, Mr Phu

Positions and demands Money, apology, treatment, repair,
(what are they asking for) delivery of service of goods, change of
conduct
- Reason for the unlicensed use of - Did not violate
ultraviolet airborne pathogen => Continue selling TY3+
disinfection capabilities (maybe cease
the sales of TY3+)
- Clarify failure to deliver final - No official agreement (có thể lúc làm
prototype of the vacuum and delayed thì phát hiện ra rất giống nhưng cant turn
communication back). Also, too busy answering to
offers and requests
- Seek compensation (unlikely, won’t - Sign another agreement (can’t
terminate)/Revise the contract + Sign terminate contract bc this is flourish
another agreement with such techno point)/Terminate the contract (got new
offer) + willing a settlement sum?
Interests and Motivations Security, sense of justice, prevention of
(Why do they want these/Which are harm, immediate and specialised
the most important – Why?) remedy of damage, mental health,
reputation
- Global expansion - Maintain reputation (save face)
- Security (felt betrayed, lost trust) - Get their money’s worth
- Seek remedy of damage/another
deal
=> MUTUAL INTEREST:
+ The technology embedded in TY3+ products: Give explanation,
communicate the hardships and what can be done to resolve
+ The matter of collaboration: Discuss trust issue and the possible
continuation for the contract (retain? partnership?)
 Objective criteria (Why do they think Legislation or precedents, market
this is fair) practice, expert opinions

Alternatives (BATNA/ WATNA) Walking away, litigation, arbitration,

finding another provider…
(Impact on third party?) Children, parents, bosses, employees,
colleagues, suppliers, clients…
- Arbitration => costly, time - Arbitration
consuming

*AGENDA
1. The technology embedded in TY3+ products (30mins, 9h35 – 9h55)
- What aspects need to be addressed? Does TY/SunTec’s representative agree on
that?
(suggestion: clarify the current situation and the desired outcome)
- What are the options you would like to put forward?/Is there any grounds to your
suggestions?
- What do you mean by…?/What is your idea behind suggesting that…?
- Thank you for sharing, and I would like to recap your speech in … points, which
are…/ - From what you said, I understand that…What is the other party’s thought
on this?
- Thanks for sharing how you feel. I can imagine that you feel very strongly about
this issue and I appreciate your sharing your feelings with us. I would now like to
hear the other party’s perspective.
=> Resolving issue: I can tell that one due problem lies in both companies’
misunderstanding of others’ intention. TY can you please give us a brief
description on your initial relationship with SunTec and what is the exact point that
spoiled it?/ Is it mutual, …’s counsels?
=> So there was indeed comfortable reliance during that particular period, and now
both sides are willing to rekindle that precious partnership. In order to do so, you
may want to be a little bit more specific on how you want the other side to act, if it
is possible, do tell us a certain behavior that will make you feel secured.
- Negotiate: các bên tự, thỉnh thoảng, I can see your point, would the other side
want to make any remark on it?/ If you think you are not being listened to and
understood, what might the other person do differently?
- Since you have agreed on this point, would you like to move on?
2. The matter of collaboration (30 mins, 9h55 – 10h15)
- It is surely encouraging that we have gone thus far, and I do hope that you
continue the remaining issue in such positive spirits. Especially when we are
talking about a prospect for both companies.
- It seems to me that both sides want to discuss about the current state of
Mercuriam project. But what exactly needs to be addressed here?
- It sounds as if both of you have been trying to do what you think is fair, but
communication problems have gotten in the way./ Just remember that you’re here
to have your interest met. And what you’re trying to do is to find a way to do that.
- What are the reasons for your dilemma? Thank you for the clear explanation
- I am concerned that we are not moving forward here. Maybe we should put this
issue aside and return to it later.

* TACTICS for caucus:

- UNDERSTANDING: I realize that for each of you meeting with the other person
with whom you have had past or current issues may not be entirely comfortable,
and that you may have strong feelings about the situation in which you find
yourselves. It is OK to have feelings about your situation. I will try to the best of
my ability to facilitate discussions that will enable you to talk effectively both
about your concerns and feelings, as you find appropriate. There may be times
when you want to explain the impact that past attitudes, behaviors, and actions
have had on you, and feelings related to the situation. This is fine. The only
suggestion I have is that you carefully consider what you want to say, focus on
what you are really concerned about, and try to say it in a way that does not
intentionally harm the other person or damage the working relationship that we are
trying to build here to successfully address the issues you are concerned about.
- ASK FOR PERSONAL OPINION: (TỪ CHỐI) The other side thinks your
current $10 million claim is outrageous. From what I infer, an opening proposal of
$9.5 million could make serious negotiations impossible. Here’s a suggestion. If
you open at $7.5 million, I can point out the substantial amount by which you’ve
moderated your claim. I’ll suggest that if the other side’s next offer is similarly
moderate, each side will have demonstrated a good-faith desire to settle, and we
should be able to do so.

II. Caucus
My apologies, I think we are encountering quite a situation here where
neither side’s options get across to the other. This is why it is best to have a caucus
where either can discuss with the mediator about their interests and how the other
side could achieve them in private. May I please call a caucus with SunTec counsel
please?
Thank you. And since there is no room manager here, can I as TY’s counsels
to please take a temporary leave since I will get to hear your perspective in no later
than 5 minutes. Thank you all. Okay, so Ms Ngan please come to our private
session.

* TY: (buy out SunTec, not disclose 1 mill dollars) => Start up? / If not, buy out
the exclusive patent as a whole and manufacture on a global scale, no time limit
- Not change personnel, only SunTech will be subsidary
- Just a quick disclaimer, everything obtained in this caucus will be secured. When
our session is about to end, I will ask for your consent to deliver some points that I
think would be the key for pushing the negotiation forward, is that okay with you?
- Thank you. Now I would like to begin with a simple question. What is your
expectation out of this mediation?
- Okay, thank you for your insightful perspective. And may I ask with that
intention in mind, what are the possible behavior that you want SunTec to adopt?
- Now it seems to me that miscommunication has occurred between you and the
counsels of SunTec. Just to let you know, it’s okay to disagree since you are here
to protect the rights of your clients, so are they! That’s why we are in mediation
today.
* SunTec:
- Just a quick disclaimer, everything obtained in this caucus will be secured. When
our session is about to end, I will ask for your consent to deliver some points that I
think would be the key for pushing the negotiation forward, is that okay with you?
- Thank you. Now I would like to begin with a simple question. What do you
expect out of this mediation?
- Okay, so what might be the reasons that you are not convinced by their
explanation?
- Thank you for such insightful information. I can see that these are reasonable
interests, and if delivered with the right phrasing the chances that the other party
will take these into account are fairly high.
- Now it seems to me that miscommunication has occurred between you and the
counsels of TY. Just to let you know, it’s okay to disagree since you are here to
protect the rights of your clients, so are they! That’s why we are in mediation
today. And I’m sure that there are a lot of things from their part that we have yet to
discover. So what I would like to do afterwards is to share your good will, that you
are satisfied with their account on…, but … still needs further explanation. Is it
alright with you?
 III. Opening statement
Good evening everybody, my name is Phan Thi Ha Linh, you may address
me by my first name Linh. Words can’t describe how thankful I am to be entrusted
by both Sun Technology and TY Start Up to be the mediator for today’s session. It
is a relief that you chose to meditate, in order to amicably resolve the
misunderstanding on the technology embedded in TY’s robot vacuum, as well as
related issues. For that I am truly grateful, and with that intention in mind,
hopefully at the end of the day, all of us will have a fruitful experience.
Now, let me begin by stating that I am not acquainted with the parties here.
So it would be a great start for everyone to introduce themselves, including your
name, how you would like to be addressed and most importantly whether you have
the authority to settle on behalf of the company that you are representing. Starting
with the representatives of Sun Technology please. (Thank you, and the
representative of TY Start Up, can you please introduce yourselves?)
Thank you ………. May I confirm once again that… do you have the
authority to negotiate and make decision on behalf of SunTec? Alright, and … I
believe that you have the authority to settle on behalf of TY right? That’s good.
Now I understand that both SunTec and TY have signed the agreement to
Mediate, but I want to spare a few minutes to go over the formalities. Beginning
with the role I will be playing. As you know my job here today is to facilitate the
discussion and make sure the parties are really listening to and understanding each
other. I am not biased towards any side and will not evaluate the legal merits of
your case. Nor do I have the rights to impose a decision upon you or tell you what
the right solution is. And that’s because as a mediator, I really value autonomy and
I think it should be of your own volition to enter into any kind of a settlement.
Another thing I treasure as a mediator is confidentiality. So I can assure you that
anything you share during this joint session are kept secret by me and the other
party; also what happened during the private sessions between me and one side
will be completely secured, unless you specifically give consent to my disclosure.
Even if this case were to go to arbitration, heaven forbid, I cannot be called as an
expert witness to testify so you can rest assured on that.
Alright, coming to my expectations at today’s session. In my experience, the
matter of intellectual property licensing can be particularly challenging. For a lot of
patent holders, it’s a matter of survival and similarly, most licensee just want to get
their worth out of such agreement. I understand the kind of stakes involved both of
you today, but in spite of that, it’s important to be courteous, polite and respectful
to each other. If you both are open, honest and flexible then we can find a way to
align your interests and ultimately generate creative solutions together. That’s the
best part about mediation. Unlike arbitration, we need not to take a bigger bite, but
instead, we just gotta expand the cake. It’s a win – win game for both of you. All is
settled in the spirit of good faith and nothing is binding until the final agreement
has been reached.
Before I discuss the mediation process today, are there any questions about
what I’ve covered so far? (thank you).
Okay, let’s go over the process. When I complete these preliminary remarks,
each of you will make an opening statement and then we will set an agenda of the
issues to be covered today. Let’s explore those together in a cooperative manner.
Now and then, I may meet with each of you separately in a “caucus,” or private
meeting, to help clarify some concerns I may have as we talk, and to be of more
assistance in helping you resolve your problems. Either one of you may call a
caucus as well if you feel like sharing something in secret. The information you
share during this is confidential unless you specifically give me the permission to
get the information across. At the end of the mediation, if both parties are able to
arrive at an agreement, you’ll be signing a settlement agreement that will have
binding effect and it will be in written form.
Now, I suggest we set out some ground rules for the session in order to
proceed. First, I should note that “Participating in good faith” means that you are
entering with an open mind, that you will display active listening and will be
respectful of the other person. And second, as we’re on ZOOM, there might be
unwanted technical interruption so please notify me if that’s the case for you; also
do refrain from recording this session in any form so as not to violate the rule of
confidentiality that we all believe in. Furthermore, I think it would help that if
you’re not speaking it’s best to keep your microphone muted, just to give a really
good idea of who’s speaking. If you do want to speak, you can unmute your
microphone.
Would you like to suggest any additional ground rules for the session today,
starting with SunTec please?
(Thank you for the suggestion. TY’s counsels, would you like to comment
on that or recommend any additional rules?)
(So to sum up, we have… rules today, first is to participate in good faith,
second is to be aware of technical aspects of the mediation, third is to…)
That is all I have to say for now. I’m really glad that you’ve chosen to
participate in mediation and are present at this virtual table especially during this
Covid-19 pandemic. May your mutual willingness amount to a helpful session
today.

IV. Joint session

Well, it is customary to start with the one that brought the matter to our
attention, therefore, I will ask SunTec to begin. Please tell us what brings you to
mediation and what you want out of this?
 Thank you very much. I think before we pass the time to TY, it would be a
good idea to summarize your clients’ interest. Feel free to correct me if I’m wrong.
From what I’m hearing, your key interest is to inquire about the …. (technology
that TY3+ is currently adopting, the break down of communication as well as look
forward to the future to see if there is any potential option or avenues for both
parties). May I ask … would that be a fair summary of the events? Thank you.
Now, maybe we can continue with TY. Would you like to start off by telling
us what brought you to mediation today and what you want out of this
conversation?
Thank you very much …. for the really clear opening statement and I would
like to summarize what you just said. What I’m seeing is TY counsels want to …..
(account for the technology embedded in TY3+, find out solutions to the issue and
maintain both companies business partnership). From what I’m seeing according to
your shared interest is you both want to avoid arbitration which is really positive
and you’re both really interested to find a way to make this project work and that is
really good to hear.
On that note, I will now be sharing my screen and perhaps we can begin
with agenda making. I think the topic of the technology embedded in TY3+ is the
one that you both seem to want to have a chat about and I suggest that might be
something worth discussing. How do both parties feel about that?
V. Ending statement
I can see that all issues on the agenda are covered today, and I’m glad that
you have shown thorough consideration of the dispute, as well as work out
amazingly creative solutions that pique both sides interests. Thank you both of you
once again for such cooperation, and I must admit that seeing you both contented
with the outcome of the mediation have sparked joy within me, and I have further
foundation that mediation is indeed among the most effective measures of . And
with the points that have been made, I believe that a settlement agreement is in
order. Both sides’ lawyers would be the one to draw up this settlement, and as a
mediator, I shall not give guidance on how this should be proceed. Thank you
again, and may I see you again should you need a platform for collaborative