Source: https://www.floridabar.org/news/tfb-journal/?durl=/DIVCOM%2FJN%2FJNJournal01.nsf%2Fe4af811e3d563fa885256adb00471d5b%2Fe0c6eb07d4d91da285257435005e4bb9%21OpenDocument
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Florida Bar Journal – Mediation Myths and Urban Legends – The Florida Bar
by Fran L. Tetunic
Confidentiality, while a hallmark of mediation, is not absolute. The Mediation Confidentiality and Privilege Act, enacted in July 2004, provides for the confidentiality of mediation communications.14 “‘Mediation [c]ommunication’ means an oral or written statement, or nonverbal conduct intended to make an assertion, by or to a mediation participant made during the course of a mediation, or prior to mediation if made in furtherance of a mediation.”15 The definition specifically excludes ”[t]he commission of a crime during a mediation.”16
Mediation parties may waive confidentiality for any mediation communication20 directly by agreement or indirectly by “disclos[ing] or mak[ing] a representation about a privileged mediation communication . . . to the extent necessary for the other party to respond to the disclosure or representation.”21 The disclosed mediation communication “remains confidential and is not discoverable or admissible for any other purposes, unless otherwise permitted” by the act.22 In contrast, mediation parties must expressly agree, consistent with the law, that a mediated agreement is confidential, for the act does not provide for “confidentiality or privilege attached to a signed agreement reached during a mediation.”23
A mediator is prohibited from mediating “a matter that presents a clear . . . conflict of interest.”46 Clear “conflicts occur when circumstances or relationships involving the mediator cannot be reasonably regarded as allowing the mediator to maintain impartiality.”47 “Impartiality means freedom from favoritism or bias in word, action, or appearance, and includes a commitment to assist all parties, as opposed to any one individual.”48 Examples of clear conflicts identified by the Mediator Ethics Advisory Committee include a father serving as mediator for a case his daughter-lawyer is handling,49 and a lawyer-mediator mediating a case for a third-party administrator with whom he has a legal relationship.50
An attorney who acted as an advocate for a party or parties may not ethically mediate for the same parties and same subject matter involved in the initial matter, regardless of waivers from the parties.53 Similarly, lawyer-mediators may, at times, be prohibited from representing a client based on the Florida Rules for Certified and Court-appointed Mediators rather than the Rules Regulating The Florida Bar. The applicable Bar rule provides “a lawyer shall not represent anyone in connection with a matter in which the lawyer participated personally and substantially as a . . . mediator, or other third-party neutral, unless all parties to the proceeding give informed consent confirmed in writing.”54 In contrast, the MEAC has advised that it is inappropriate for a mediator to represent a party regarding any matter arising from the subject mediation.55 The Rules Regulating The Florida Bar acknowledge the lawyer-mediator’s dual obligations: “A Florida Bar member who is a certified mediator is governed by the applicable law and rules relating to certified mediators.”56
A mediator is required to “adjourn the mediation upon agreement of the parties.”61 Mediation, by definition, gives decision-making authority to the parties.62 The MEAC has advised that “a mediator should adjourn or terminate a mediation if ‘any party is . . . unwilling to participate meaningfully in the process.’”63 Specifically, if a party requests an impasse, the mediator should declare an impasse,64 and if a party objects to the mediator, the mediator should not continue to mediate.65
The parties alone, and not the mediator, hold the “privilege to refuse to testify and to prevent any other person from testifying in a subsequent proceeding regarding mediation communications.”67 While not the holder of the privilege, the mediator is ethically required to “maintain the confidentiality of all information revealed during mediation except where disclosure is required or permitted by law or is agreed to by all parties.”68 The Mediator Ethics Advisory Committee has advised mediators who are subpoenaed to “either file a motion for a protective order, or notify the judge . . . that the mediator is statutorily required to maintain confidentiality of mediation proceedings.”69 However, should the parties waive, there would be no privilege for the mediator to assert.
A mediator is prohibited from offering “a personal or professional opinion as to how the court in which the case has been filed will resolve the dispute.”70 However, “a mediator may point out possible outcomes of the case and discuss the merits of a claim or defense.”71 While maintaining impartiality and protecting party self-determination, “a mediator may provide information that the mediator is qualified by training or experience to provide,” 72 yet remains prohibited from offering “a personal or professional opinion intended to coerce the parties, or unduly influence the parties, decide the dispute, or direct a resolution of any issue.”73
While parties may be required to attend mediation, they are in no way required to settle or even make a settlement offer. Applying a general good faith obligation to mediation is foreign to the process in both theory and practice. By definition, the parties are the decision makers and exercise self-determination.83 Even court-ordered mediation, although mandatory in requiring appearance at mediation, is voluntary in allowing parties to determine the extent of their involvement and whether they settle at mediation. “There is no requirement that a party even make an offer at mediation, let alone offer what the opposition wants to settle.”84 “[M]ediation is not designed to force a settlement in any case, especially those cases where the lines are so clearly and solidly drawn that parties, in absolute good faith, simply take diametrically opposed positions that ultimately require a court-imposed resolution after a trial on the merits.”85
The use of mediation has grown significantly in the Florida Court System, which has used mediation to resolve disputes for over two decades.92 “Currently, we have [nine] CDS [Citizen Dispute Settlement Centers], 49 county mediation programs (serving all 20 circuits), 45 family mediation programs, 13 circuit civil mediation programs, 40 dependency mediation programs ... and one appellate mediation program.”93 Interestingly, “the largest growth has been in the private sector resolution of court-ordered cases and the resolution of cases through mediation which would otherwise become civil suits.”94 Attorneys should keep abreast of mediation developments to best advise their clients whether or when to mediate, to prepare their clients for mediation, and to choose and work with mediators to best meet their clients’ interests and needs. As mediation is a private process, public discussion helps to deter misunderstandings. By understanding the most common mediation myths and urban legends, attorneys can meaningfully evaluate how best to utilize mediation in their practice.
1	Fla. Stat. §44.1011(2). ‘“Mediation’ means a process whereby a neutral third person called a mediator acts to encourage and facilitate the resolution of a dispute between two or more parties. It is an informal and nonadversarial process with the objective of helping the disputing parties reach a mutually acceptable and voluntary agreement. In mediation, decision making authority rests with the parties. The role of the mediator includes, but is not limited to, assisting the parties in identifying issues, fostering joint problem solving, and exploring settlement alternatives.”
2	Florida Supreme Courts, Alternative Dispute Resolution, available at www.flcourts.org/gen_public/adr/index.shtml (hereinafter Alternative Dispute Resolution).
5	See Fla. Stat. §720.311.
6	Act effective July 1, 2004, Ch.2004-291, §4, 2004 Fla. Laws 1770, 1772 (codified at Fla. Stat. §§44.401- 406).
7	In re Petition of the Alternative Dispute Resolution Rules and Policy Committee on Amendments to Florida Rules for Certified and Court-Appointed Mediators, 931 So. 2d 877 (Fla 2006) (per curiam) (amending Fla. R. Cert. & Ct.-Apptd. Mediators).
8	In re Amendments To The Rules Regulating The Florida Bar, 933 So. 2d 417 (Fla. 2006) (per curiam) (creating 4-2.4, Lawyer Serving as Third-party Neutral, and amending 4-1.12 to add Mediator or Other Third-party Neutral).
9	Mediators address their questions to Mediator Ethics Advisory Committee, c/o Florida Dispute Resolution Center, Supreme Court Building, Tallahassee, FL 32399.
10	Florida Supreme Courts, Mediator Ethics Advisory Committee (MEAC) Opinions, available at www.flcourts.org/gen_public/adr/conftrng.shtml.
11	Fla. R. Cert. & Ct.- Apptd. Mediators 10.900(f).
12	Fla. Stat. §44.406.
13	Vitakis-Valchine v. Valchine, 793 So. 2d 1094 (Fla. 4th D.C.A. 2001).
14	Fla. Stat. §§44.401.401-44.406.
15	Fla. Stat. §44.403(1).
17	Fla. Stat. §44.405(1).
18	Fla. Stat. §44.405(4)(a)(3).
19	Fla. Stat. §§44.405(4)(a)(4) and (6).
20	Fla. Stat. §44.405(4)(a)(1).
21	Fla. Stat. §44.405(6).
22	Fla. Stat. §44.405(4)(b).
23	Fla. Stat. §44.405(4)(a).
24	Fla. Stat. §44.405(4)(a)(2).
25	Fla. Stat. §44.405(4)(a)(5).
26	Fla. Stat. §44.405(5).
27	Fla. Stat. §44.402(1)(a).
28	Fla. Stat. §44.402(1)(b).
29	Fla. Stat. §44.402(1)(c).
30	Fla. Stat. §44.402(2).
31	Fla. Stat. §44.406(1).
32	Fla. R. Cert. & Ct.-Apptd. Mediators 10.360(a).
33	Fla. R. Cert. & Ct.-Apptd. Mediators 10.650.
35	Fla. R. Cert. & Ct.-Apptd. Mediators 10.360(a).
36	R. Regulating Fla. Bar 4-8.3.
37	Fla. Stat.§44.405(4)(a)(6).
38	Fla. Stat. §44.405(4)(b).
39	Fla. R. Cert. & Ct.-Apptd. Mediators 10.370(b).
40	Fla. R. Cert. & Ct.-Apptd. Mediators 10.370(b) comm. notes.
41	R. Regulating Fla. Bar 4-2.4(b).
43	R. Regulating Fla. Bar 4-2.4(b) comm. notes.
44	Florida Bar Ethics Opinion 86-8, withdrawn in 2007, stated that the lawyer-mediator should “explain the risks of proceeding without counsel and advise the parties to consult counsel during the course of the mediation and before signing any settlement agreement that he might prepare for them.” Fla. Bar Prof’l Ethics Comm., Op. 86-8 (Oct.15, 1986). See Fla. Bar Prof’l Ethics Comm., Op. 07-2 (Sept. 7, 2007).
45	R. Regulating Fla. Bar 4-1.12; R. Regulating Fla. Bar 4-2.4.
46	Fla. R. Cert. & Ct.-Apptd. Mediators 10.340(a).
47	Id., Fla. R. Cert. & Ct.-Apptd. Mediators 10.340(a) comm. notes.
48	Fla. R. Cert. & Ct.-Apptd. Mediators 10.330(a).
49	Mediator Ethics Advisory Comm. Op., 2004-008 (Feb. 1, 2005).
50	Mediator Ethics Advisory Comm. Op., 2005-006 (Jan. 18, 2006)
51	Fla. R. Cert. & Ct.-Apptd. Mediators 10.340 comm. notes. See also Mediator Ethics Advisory Comm. Op., 2005-006 (Jan. 18, 2006).
52	Fla. R. Cert. & Ct.-Apptd. Mediators 10.340(c).
53	Mediator Ethics Advisory Comm. Op., 2003-006 (Sept. 16, 2003).
54	R. Regulating Fla. Bar 4-1.12(a).
55	Mediator Ethics Advisory Comm. Op., 1994-003 (Jan. 19, 1995). See also Mediator Ethics Advisory Comm. Op., 1994-002 (Jan. 19, 1995); Mediator Ethics Advisory Comm. Op., 2001-011 (Apr. 4, 2002).
56	R. Regulating Fla. Bar 4-2.4 comm. notes.
57	The term “impasse” is commonly used to signify that the parties did not reach agreement. The Florida Rules for Certified and Court-Appointed Mediators do not use this term. The rules discuss terminating or adjourning mediation.
58	Fla. R. Cert. & Ct.-Apptd. Mediators 10.310(a).
60	See notes 81-83 and accompanying text.
61	Fla. R. Cert. & Ct.-Apptd. Mediators 10.420(b)(1).
62	See Fla. Stat.§ 44.1011(2).
63	Mediator Ethics Advisory Comm. Op., 2001-004(b) (May 2, 2001), citing Fla. R. Cert. & Ct.-Apptd. Mediators 10.420(b)(3).
65	Mediator Ethics Advisory Comm. Op., 2000-005 (August 31,2000).
66	Fla. R. Civ. P. 1.730(a). See also Fla. R. Juv. P. 8.290(o)(2); Fla. Fam. L. R. P. 12.740(f)(3).
67	Fla. Stat. §44.405(2).
68	Fla. R. Cert. & Ct.-Apptd. Mediators 10.360(a).
69	Mediator Ethics Advisory Comm. Op., 1999-012(b) (May 11, 2000).
70	Fla. R. Cert. & Ct.-Apptd. Mediators 10.370(c).
72	Fla. R. Cert. & Ct.-Apptd. Mediators 10.370(a).
73	Fla. R. Cert. & Ct.-Apptd. Mediators 10.370(c).
74	Fla. R. Cert. & Ct.-Apptd. Mediators 10.420 comm. notes.
75	Fla. R. Cert. & Ct.-Apptd. Mediators 10.420(c).
76	Fla. R. Cert. & Ct.-Apptd. Mediators 10.420 comm. Notes, citing Fla. R. Civ. P. 1.730(b), Fla. R. Juv. P. 8.290(o), and Fla. Fam. L. R. P. 12.740(f).
77	Id. See also Mediator Ethics Advisory Comm. Op., 2003-010 (Feb. 13, 2004).
78	Mediator Ethics Advisory Comm. Op., 2001-004(c) (May 2,2001).
79	Mediator Ethics Advisory Comm. Op., 2004-006 (Jan. 17, 2005).
80	Fla. R. Civ. P. 1.730(a); Fla. R. Juv. P. 8.290(o)(2); Fla. Fam. L. R. P. 12.740(f)(3).
81	See Fla. R. Civ. P. 1.720(b); Fla. R. Civ. P. 1.750(e); Fla. R. Juv. P. 8.290(l); Fla. Fam. L. R. P. 12.740(d). See also rule survey in which “[t]he Supreme Court of Florida Committee on Alternative Dispute Resolution Rules and Policy is seeking input on revisions to the Florida Rules of Civil Procedure (to address the appearance/confidentiality dilemma),” available at www.flcourts.org/gen_public/adr/index.shtml.
82	Mediator Ethics Advisory Comm. Ops., 2006-008 (March 29, 2007); 2007-001 (March 29, 2007).
83	Fla. Stat. §44.1011(2); Fla. R. Cert. & Ct.-Apptd. Mediators 10.310.
84	Avril v. Civilmar, 605 So. 2d 988, 989 (Fla. 4th D.C.A. 1992).
85	Semiconductors, Inc. v. Golasa, 525 So.2d 519 (Fla. 4th D.C.A. 1988), dissent.
86	Fla. Stat. §44.405(2).
87	Fla. Stat. §44.405(1).
88	Vitakis-Valchine v. Valchine, 793 So. 2d 1094, 1095 (Fla. 4th D.C.A. 2001).
89	Id. at 1096, 1099.
90	Id. at 1099.
91	Id. The appellate court remanded the case to the trial court to determine whether the mediator substantially violated the Florida Rules for Certified and Court-Appointed Mediators, and if so, whether that misconduct led to the mediated agreement in the case. Id. at 1100.
92	Florida Supreme Courts, Alternative Dispute Resolution at note a2, available at www.flcourts.org/gen_public/adr/index.shtm.