Transcript LIFE LESSONS IN MEDIATION

Ethical Considerations in
Workplace Dispute
Resolution
Not-so-HypotheticalHypotheticals
Presented by
John P. Palmer
Naman, Howell, Smith & Lee
John P. Palmer is a trial attorney, and third
party neutral with the Waco law firm of
Naman, Howell, Smith & Lee, LLP.
John received his undergraduate degree from
the University of Texas and his J.D. from St.
Mary’s University School of Law.
He is a past chair of the ADR Section of the
State Bar of Texas, and past President of the
TAM. He is currently the secretary of the
TMCA. John was honored with the Justice
Frank G. Evans Award in 2001.
Ethics – Will you survive the rocks
underneath the rapids?
Ethics – Will they guide you
through the rapids?
Ethics – Will they drown you?
Ethics – Or will you survive them?
Ethics – But maybe with a bump on
the head!!
QUESTIONS PRESENTED
 Should mediation be conducted in a
Vacuum?
 Should your approach to mediation be
based on your life experiences,
education and religious upbringing?
 If so, when is it appropriate?
JP’S TWO THINGS
TO THINK ABOUT
• “Don’t be afraid to use your
personality, but don’t be afraid to get
out of the way.” Panel Discussion,
ADR Section “20th Anniversary and
Beyond” October 15, 2007
• “Live your language, and let it be
your life.” Ross Stoddard, TMCA 3rd
Annual Symposium, November 17,
2007
Vincenzo Girolamo Giorgio Favaccio
Model Standards of Conduct for
Mediators
• Adopted Sept. 8, 2005, by American
Arbitration Association
• Approved Aug. 9, 2005, by ABA House of
Delegates
• Adopted Aug. 22, 2005, by Association for
Conflict Resolution
Texas Supreme Court Ethical
Guidelines
Adopted by the Texas Supreme
Court on June 13, 2005 on
Miscellaneous Docket No. 05-9107 .
Adopted the State Bar ADR Section’s
Ethical Guidelines.
“Aspirational”
TMCA Ethical Guidelines
► Based
on the State Bar of Texas Ethical
Guidelines
► Changed
to Mandatory Language
► Enforced
by Grievance Procedure
ACR Model Standards of Conduct
for Mediators
STANDARD I. SELF-DETERMINATION
STANDARD II. IMPARTIALITY
STANDARD III. CONFLICTS OF INTEREST
STANDARD IV. COMPETENCE
STANDARD V. CONFIDENTIALITY
ACR Model Standards of Conduct for
Mediators (continued)
STANDARD VI. QUALITY OF THE PROCESS
STANDARD VII. ADVERTISING &
SOLICITATION
STANDARD VIII. FEES AND OTHER CHARGES
STANDARD IX. ADVANCEMENT OF
MEDIATION PRACTICE
STANDARD I. SELFDETERMINATION
A. A mediator shall conduct a mediation based on
the principle of party self-determination.
Self-determination is the act of coming to a
voluntary, uncoerced decision in which each
party makes free and informed choices as to
process and outcome. Parties may exercise selfdetermination at any stage of a mediation,
including mediator selection, process design,
participation in or withdrawal from the process,
and outcomes.
STANDARD I. SELF-DETERMINATION (CONT.)
B. A mediator shall not undermine party selfdetermination by any party for reasons
such as higher settlement rates, egos,
increased fees, or outside pressures from
court personnel, program administrators,
provider organizations, the media or
others.
STANDARD II. IMPARTIALITY
A. A mediator shall decline a mediation if the
mediator cannot conduct it in an impartial
manner. Impartiality means freedom from
favoritism, bias or prejudice.
STANDARD II. IMPARTIALITY (CONT.)
B. A mediator shall conduct a mediation
in an impartial manner and avoid
conduct that gives the appearance of
partiality.
1. A mediator should not act with partiality or prejudice
based on any participant’s personal characteristics,
background, values and beliefs, or performance at a
mediation, or any other reason.
STANDARD II. IMPARTIALITY (CONT.)
C. If at any time a mediator is unable to
conduct a mediation in an impartial
manner, the mediator shall withdraw.
STANDARD III. CONFLICTS OF INTEREST
A. A mediator shall avoid a conflict of interest or
the appearance of a conflict of interest during
and after a mediation. A conflict of interest can
arise from involvement by a mediator with the
subject matter of the dispute or from any
relationship between a mediator and any
mediation participant, whether past or present,
personal or professional, that reasonably raises
a question of a mediator’s impartiality.
STANDARD III. CONFLICTS OF INTEREST (CONT.)
B. A mediator shall make a reasonable
inquiry to determine whether there are any
facts that a reasonable individual would
consider likely to create a potential or
actual conflict of interest for a mediator. A
mediator’s actions necessary to
accomplish a reasonable inquiry into
potential conflicts of interest may vary
based on practice context.
STANDARD III. CONFLICTS OF INTEREST (CONT.)
C. A mediator shall disclose, as soon as
practicable, all actual and potential
conflicts of interest that are reasonably
known to the mediator and could
reasonably be seen as raising a question
about the mediator’s impartiality. After
disclosure, if all parties agree, the
mediator may proceed with the mediation.
STANDARD III. CONFLICTS OF INTEREST (CONT.)
D. If a mediator learns any fact after
accepting a mediation that raises a
question with respect to that mediator’s
service creating a potential or actual
conflict of interest, the mediator shall
disclose it as quickly as practicable. After
disclosure, if all parties agree, the
mediator may proceed with the mediation.
STANDARD III. CONFLICTS OF INTEREST (CONT.)
E. If a mediator’s conflict of interest might
reasonably be viewed as undermining the
integrity of the mediation, a mediator shall
withdraw from or decline to proceed with
the mediation regardless of the expressed
desire or agreement of the parties to the
contrary.
STANDARD III. CONFLICTS OF INTEREST (CONT.)
F. Subsequent to a mediation, a mediator shall not
establish another relationship with any of the participants
in any matter that would raise questions about the
integrity of the mediation. When a mediator develops
personal or professional relationships with parties, other
individuals or organizations following a mediation in
which they were involved, the mediator should consider
factors such as time elapsed following the mediation, the
nature of the relationships established, and services
offered when determining whether the relationships
might create a perceived or actual conflict of interest.
STANDARD IV. COMPETENCE
A. A mediator shall mediate only when the mediator has
the necessary competence to satisfy the reasonable
expectations of the parties.
B. If a mediator, during the course of a mediation
determines that the mediator cannot conduct the
mediation competently, the mediator shall discuss that
determination with the parties as soon as is practicable
and take appropriate steps to address the situation,
including, but not limited to, withdrawing or requesting
appropriate assistance.
C. If a mediator’s ability to conduct a mediation is impaired
by drugs, alcohol, medication or otherwise, the mediator
shall not conduct the mediation.
STANDARD V. CONFIDENTIALITY
A. A mediator shall maintain the
confidentiality of all information obtained
by the mediator in mediation, unless
otherwise agreed to by the parties or
required by applicable law.
1. If the parties to a mediation agree that the
mediator may disclose information obtained
during the mediation, the mediator may do so.
STANDARD V. CONFIDENTIALITY (cont.)
B. A mediator who meets with any persons in private session during a
mediation shall not convey directly or indirectly to any other person,
any information that was obtained during that private session without
the consent of the disclosing person.
C. A mediator shall promote understanding among the parties of the
extent to which the parties will maintain confidentiality of information
they obtain in a mediation.
D. Depending on the circumstance of a mediation, the parties may
have varying expectations regarding confidentiality that a mediator
should address. The parties may make their own rules with respect
to confidentiality, or the accepted practice of an individual mediator
or institution may dictate a particular set of expectations.
STANDARD VI.
QUALITY OF THE PROCESS
A.
A mediator shall conduct a mediation in accordance
with these Standards and in a manner that promotes
diligence, timeliness, safety, presence of the
appropriate participants, party participation, procedural
fairness, party competency and mutual respect among
all participants.
. . . 5. The role of a mediator differs substantially from other
professional roles. Mixing the role of a mediator and the role
of another profession is problematic and thus, a mediator
should distinguish between the roles. A mediator may
provide information that the mediator is qualified by training
or experience to provide, only if the mediator can do so
consistent with these Standards.
STANDARD VI.
QUALITY OF THE PROCESS (cont.)
B. If a mediator is made aware of domestic abuse
or violence among the parties, the mediator shall
take appropriate steps including, if necessary,
postponing, withdrawing from or terminating the
mediation.
C. If a mediator believes that participant conduct,
including that of the mediator, jeopardizes
conducting a mediation consistent with these
Standards, a mediator shall take appropriate
steps including, if necessary, postponing,
withdrawing from or terminating the mediation.
STANDARD VII.
ADVERTISING AND SOLICITATION
A. A mediator shall be truthful and not misleading when
advertising, soliciting or otherwise communicating the
mediator’s qualifications, experience, services and fees.
B. A mediator shall not solicit in a manner that gives an
appearance of partiality for or against a party or
otherwise undermines the integrity of the process.
C. A mediator shall not communicate to others, in
promotional materials or through other forms of
communication, the names of persons served without
their permission.
STANDARD VIII.
FEES AND OTHER CHARGES
A. A mediator shall provide each party or each
party’s representative true and complete
information about mediation fees, expenses and
any other actual or potential charges that may
be incurred in connection with a mediation.
B. A mediator shall not charge fees in a manner
that impairs a mediator’s impartiality.
STANDARD IX. ADVANCEMENT
OF MEDIATION PRACTICE
A mediator should act in a manner that
advances the practice of mediation. . . .
B. A mediator should demonstrate respect
for differing points of view within the field,
seek to learn from other mediators and
work together with other mediators to
improve the profession and better serve
people in conflict.
TMCA 14: Agreements in Writing
14. Agreements in Writing. A mediator
shall encourage the parties to reduce all
settlement agreements to writing.
Not-so-HypotheticalHypotheticals
HYPO # 1: EXPERIENCE
COUNTS OR DOES IT?
You have been asked to mediate a federal court
employment dispute based on a Title VII case
because you once clerked for the federal judge
who will hear the case. A summary judgment
motion is pending. Both parties want to know
your “best guess” on the likelihood of success of
the motion for summary judgment so they can
determine the value of the case. What do you
do?
HYPO #2: ATTORNEYS’
LITTLE HELPER?
You are serving as a mediator in an age discrimination
case. Expert designation deadlines are looming, but
both parties want the deadlines to be extended so they
can keep costs down and further discuss settlement in
the mediation. However, both parties are not from your
jurisdiction, and do not know the most expeditious
manner in which to move the deadline with the certainty
needed to resolve the mediation. You have offered to
call the court coordinator, because you know her and
know that the issue will be resolved quickly. Now that
you have offered, you have second thoughts because
you are fearful you might be treading on dangerous
ethical waters. Should you proceed or not? If so, how
should you proceed?
HYPO #3: DESPERATE LAWYER
You are a mediator in federal employee
discrimination case. The employee’s
attorney pulls you aside prior to the
mediation and says, “my lady is crazy and
I need your help to settle this case.”
What do you do when you are told this?
Should you proceed? Should you tell the
client?
HYPO #4: IN MEDIATOR WE
TRUST
You have been mediating an employment
case all day. The attorney for the plaintiff
has begged his client to settle the case
and agreed to cut his fee. The plaintiff
finally states to all in the room that she
believes in God, and since God has
brought her to this mediation and that
God has put you in her life, and she will
trust in your judgment. What do you do?
HYPO #5: PACKING HEAT
You are mediating a hotly contested
employee case with two opposing
individuals that are both permitted to
carry firearms in their profession.
You discover after the mediation
starts that they are both packing
“heat”.
HYPO #6: CHRISTIANS V. WITCHES
You are mediating a case concerning
Christian employees vs. a self claimed
witch in a coven that supervises the
Christians. The witch says in a caucus…do
you believe in witches or are you a
Christian? You look down at your ring and
it has a cross on it.
HYPO #7: THE HANDSHAKE DEAL (OR
NO DEAL, THAT IS THE QUESTION)
You have been asked to mediated a pre-lawsuit
employment wrongful discharge case. Neither
the employee nor the company are represented
by attorneys. The statute of limitations are only
a week away. The parties reach an agreement.
They shake hands and state they have a deal.
Do you offer to draft the agreement; suggest
the parties draft the agreement; or let the
handshake deal stand?
HYPO #8: ODD MAN OUT
From the outset of the mediation it is apparent
that every one involved in the process except on
has an instant connection because of
commonality of gender, age, or ?? It is equally
apparent that the “odd man out” is very
uncomfortable. What do you do to achieve a
balance or perception of neutrality? What if
you as the mediator are the “odd man out??
HYPO #9: GOING IT ALL ALONE
An attorney is late to the mediation, and she
suggests that you go over your opening session
in caucus with each party. He gives you
permission to generally go over your opening
session without her being present because she
knows your spiel. Assuming all parties have
previously requested that they do not want an
opening joint session, and you have agreed,
should you proceed to give your opening
statement in caucus without the attorney
present?