COMMITTEE
CHAIRS:
Paula Trout
ACR
ETHICS POINT PERSONS:
Each individual Section is
required by ACR policy to have an
Ethics point person.
Commercial Will
Miller (adrwill@comcast.net)
Consumer Natalie
Fleury (nfleur2001@yahoo.com)
Crisis Negotiation Jerry
Bagnell (jbagnell@ix.netcom.com)
Education Ken
Dunham (kdunham@faulkner.edu)
Environment and Public
Policy Janice Fleischer
(janice@flashresolutions.com)
Family Clarence
Cramer (Clarence.Cramer@co.pinal.az.us)
Health Care Robert
J. Robson (rrobson@mediatecalm.ca)
International
Trip Barthel (trip9@ix.netcom.com)
Organizational Conflict
Management Ann L. Begler
(ABegler@aol.com)
Research Nancy
A. Welsh (nxw10@psu.edu)
Restorative and Criminal
Justice Cheryl Swanson
(cswanson@uwf.edu)
Spirituality John
Willis (jwillis@sullivan.edu)
Training Pam Perry
(ptperry@attg.net)
Workplace Lenard
Shapiro (lshapadr@aol.com) |
ACR
Ethics Committee
ACR's Board of Directors has approved
the following policy for the Ethics Committee:
-
The President will appoint the Ethics
Committee Chair.
-
The Chair will in turn appoint the
remaining Committee Members.
-
The Committee will review member
nominations for each individual Section's
Ethics Committee.
The mission
of the ACR Ethics Committee is
to promote and educate practitioners and
the public about the ethical practice
of conflict resolution and to review and
address ethics complaints.
The primary responsibility
of the Ethics Committee is to review and
address ethics complaints. In addition,
the Committee is authorized to offer mediation
under appropriate circumstances.
STANDARDS
OF PRACTICE
For all complaints involving members
of ACR's Family
Section, the
Standards
of Practice for Family and Divorce Mediation,
recommended by the Family Section Advisory
Council and adopted by ACR, will be used.
For complaints involving any other members,
the
Ethical
Standards of Professional Responsibility,
drafted by the former Society for Professionals
in Dispute Resolution (SPIDR) Ethics Committee
will be used.
STANDARDS
OF PRACTICE for FAMILY MEDIATORS
Model Standards of Practice for Family
and Divorce Mediation
The Standards incorporate much of the
best of the previous standards, and update
them to include topics such as domestic
violence and child abuse. In addition,
the Standards address the issue of the
best interests of the children and how
mediation can help parents to address
them in divorce.
The Symposium, which developed the Standards,
included representatives from Academy
of Family Mediators (AFM), Association
of Family Courts and Community Professionals
(AFCC), American Bar Association (ABA)
Family Section, and other national, state
and regional organizations. The Standards
represented a consensus of the best suggestions
made over a period of two years in which
the Symposium met to develop them.
The Standards had previously been adopted
by the ABA Family Section and by AFCC,
as well as several state mediation organizations.
The adoption of these standards by ACR
rounds out the trio of major national
organizations whose members are family
and divorce mediators.
The General Standards
STANDARD I: A family mediator shall recognize
that mediation is based on the principle
of self-determination by the participants.
STANDARD II: A family mediator shall
be qualified by education and training
to undertake the mediation.
STANDARD III: A family mediator shall
facilitate the participants' understanding
of what mediation is and assess their
capacity to mediate before the participants
reach an agreement to mediate.
STANDARD IV: A family mediator shall
conduct the mediation process in an impartial
manner. A family mediator shall disclose
all actual and potential grounds of bias
and conflicts of interest reasonably known
to the mediator. The participants shall
be free to retain the mediator by an informed,
written waiver of the conflict of interest.
However, if a bias or conflict of interest
clearly impairs a mediator's impartiality,
the mediator shall withdraw regardless
of the express agreement of the participants.
STANDARD V: A family mediator shall fully
disclose and explain the basis of any
compensation, fees and charges to the
participants.
STANDARD VI: A family mediator shall
structure the mediation process so that
the participants make decisions based
on sufficient information and knowledge.
STANDARD VII: A family mediator shall
maintain the confidentiality of all information
acquired in the mediation process, unless
the mediator is permitted or required
to reveal the information by law or agreement
of the participants.
STANDARD VIII: A family mediator shall
assist participants in determining how
to promote the best interests of children.
STANDARD IX: A family mediator shall
recognize a family situation involving
child abuse or neglect and take appropriate
steps to shape the mediation process accordingly.
STANDARD X: A family mediator shall recognize
a family situation involving domestic
abuse and take appropriate steps to shape
the mediation process accordingly.
STANDARD XI: A family mediator shall
suspend or terminate the mediation process
when the mediator reasonably believes
that a participant is unable to effectively
participate or for other compelling reason.
STANDARD XII: A family mediator shall
be truthful in the advertisement and solicitation
for mediation.
STANDARD XIII: A family mediator shall
acquire and maintain professional competence
in mediation.
Overview and Definitions
Family and divorce mediation ("family
mediation" or "mediation") is a process
in which a mediator, an impartial third
party, facilitates the resolution of family
disputes by promoting the participants'
voluntary agreement. The family mediator
assists communication, encourages understanding
and focuses the participants on their
individual and common interests. The family
mediator works with the participants to
explore options, make decisions and reach
their own agreements.
Family mediation is not a substitute
for the need for family members to obtain
independent legal advice or counseling
or therapy. Nor is it appropriate for
all families. However, experience has
established that family mediation is a
valuable option for many families because
it can:
. increase the self-determination of participants
and their ability to communicate;
. promote the best interests of children;
and
. reduce the economic and emotional costs
associated with the resolution of family
disputes.
Effective mediation requires that the
family mediator be qualified by training,
experience and temperament; that the mediator
be impartial; that the participants reach
their decisions voluntarily; that their
decisions be based on sufficient factual
data; that the mediator be aware of the
impact of culture and diversity; and that
the best interests of children be taken
into account. Further, the mediator should
also be prepared to identify families
whose history includes domestic abuse
or child abuse.
These Model Standards of Practice for
Family and Divorce Mediation ("Model Standards")
aim to perform three major functions:
1. to serve as a guide for the conduct
of family mediators;
2. to inform the mediating participants
of what they can expect; and
3. to promote public confidence in mediation
as a process for resolving family disputes.
The Model Standards are aspirational
in character. They describe good practices
for family mediators. They are not intended
to create legal rules or standards of
liability.
The Model Standards include different
levels of guidance:
. Use of the term "may" in a Standard
is the lowest strength of guidance and
indicates a practice that the family mediator
should consider adopting but which can
be deviated from in the exercise of good
professional judgment.
. Most of the Standards employ the term
"should" which indicates that the practice
described in the Standard is highly desirable
and should be departed from only with
very strong reason.
. The rarer use of the term "shall" in
a Standard is a higher level of guidance
to the family mediator, indicating that
the mediator should not have discretion
to depart from the practice described.
Standard I
A family mediator shall recognize that
mediation is based on the principle of
self-determination by the participants.
A. Self-determination is the fundamental
principle of family mediation. The mediation
process relies upon the ability of participants
to make their own voluntary and informed
decisions.
B. The primary role of a family mediator
is to assist the participants to gain
a better understanding of their own needs
and interests and the needs and interests
of others and to facilitate agreement
among the participants.
C. A family mediator should inform the
participants that they may seek information
and advice from a variety of sources during
the mediation process.
D. A family mediator shall inform the
participants that they may withdraw from
family mediation at any time and are not
required to reach an agreement in mediation.
E. The family mediator's commitment shall
be to the participants and the process.
Pressure from outside of the mediation
process shall never influence the mediator
to coerce participants to settle.
Standard II
A family mediator shall be qualified
by education and training to undertake
the mediation.
A. To perform the family mediator's role,
a mediator should:
1. have knowledge of family law;
2. have knowledge of and training in the
impact of family conflict on parents,
children and other participants, including
knowledge of child development, domestic
abuse and child abuse and neglect;
3. have education and training specific
to the process of mediation;
4. be able to recognize the impact of
culture and diversity.
B. Family mediators should provide information
to the participants about the mediator's
relevant training, education and expertise.
Standard III
A family mediator shall facilitate the
participants' understanding of what mediation
is and assess their capacity to mediate
before the participants reach an agreement
to mediate.
A. Before family mediation begins a mediator
should provide the participants with an
overview of the process and its purposes,
including:
1. informing the participants that reaching
an agreement in family mediation is consensual
in nature, that a mediator is an impartial
facilitator, and that a mediator may not
impose or force any settlement on the
parties;
2. distinguishing family mediation from
other processes designed to address family
issues and disputes;
3. informing the participants that any
agreements reached will be reviewed by
the court when court approval is required;
4. informing the participants that they
may obtain independent advice from attorneys,
counsel, advocates, accountants, therapists
or other professionals during the mediation
process;
5. advising the participants, in appropriate
cases, that they can seek the advice of
religious figures, elders or other significant
persons in their community whose opinions
they value;
6. discussing, if applicable, the issue
of separate sessions with the participants,
a description of the circumstances in
which the mediator may meet alone with
any of the participants, or with any third
party and the conditions of confidentiality
concerning these separate sessions;
7. informing the participants that the
presence or absence of other persons at
a mediation, including attorneys, counselors
or advocates, depends on the agreement
of the participants and the mediator,
unless a statute or regulation otherwise
requires or the mediator believes that
the presence of another person is required
or may be beneficial because of a history
or threat of violence or other serious
coercive activity by a participant.
8. describing the obligations of the mediator
to maintain the confidentiality of the
mediation process and its results as well
as any exceptions to confidentiality;
9. advising the participants of the circumstances
under which the mediator may suspend or
terminate the mediation process and that
a participant has a right to suspend or
terminate mediation at any time.
B. The participants should sign a written
agreement to mediate their dispute and
the terms and conditions thereof within
a reasonable time after first consulting
the family mediator.
C. The family mediator should be alert
to the capacity and willingness of the
participants to mediate before proceeding
with the mediation and throughout the
process. A mediator should not agree to
conduct the mediation if the mediator
reasonably believes one or more of the
participants is unable or unwilling to
participate.
D. Family mediators should not accept
a dispute for mediation if they cannot
satisfy the expectations of the participants
concerning the timing of the process.
Standard IV
A family mediator shall conduct the mediation
process in an impartial manner. A family
mediator shall disclose all actual and
potential grounds of bias and conflicts
of interest reasonably known to the mediator.
The participants shall be free to retain
the mediator by an informed, written waiver
of the conflict of interest. However,
if a bias or conflict of interest clearly
impairs a mediator's impartiality, the
mediator shall withdraw regardless of
the express agreement of the participants.
A. Impartiality means freedom from favoritism
or bias in word, action or appearance,
and includes a commitment to assist all
participants as opposed to any one individual.
B. Conflict of interest means any relationship
between the mediator, any participant
or the subject matter of the dispute,
that compromises or appears to compromise
the mediator's impartiality.
C. A family mediator should not accept
a dispute for mediation if the family
mediator cannot be impartial.
D. A family mediator should identify and
disclose potential grounds of bias or
conflict of interest upon which a mediator's
impartiality might reasonably be questioned.
Such disclosure should be made prior to
the start of a mediation and in time to
allow the participants to select an alternate
mediator.
E. A family mediator should resolve all
doubts in favor of disclosure. All disclosures
should be made as soon as practical after
the mediator becomes aware of the bias
or potential conflict of interest. The
duty to disclose is a continuing duty.
F. A family mediator should guard against
bias or partiality based on the participants'
personal characteristics, background or
performance at the mediation.
G. A family mediator should avoid conflicts
of interest in recommending the services
of other professionals.
H. A family mediator shall not use information
about participants obtained in a mediation
for personal gain or advantage.
I. A family mediator should withdraw pursuant
to Standard IX if the mediator believes
the mediator's impartiality has been compromised
or a conflict of interest has been identified
and has not been waived by the participants.
Standard V
A family mediator shall fully disclose
and explain the basis of any compensation,
fees and charges to the participants.
A. The participants should be provided
with sufficient information about fees
at the outset of mediation to determine
if they wish to retain the services of
the mediator.
B. The participants' written agreement
to mediate their dispute should include
a description of their fee arrangement
with the mediator.
C. A mediator should not enter into a
fee agreement that is contingent upon
the results of the mediation or the amount
of the settlement.
D. A mediator should not accept a fee
for referral of a matter to another mediator
or to any other person.
E. Upon termination of mediation a mediator
should return any unearned fee to the
participants.
Standard VI
A family mediator shall structure the
mediation process so that the participants
make decisions based on sufficient information
and knowledge.
A. The mediator should facilitate full
and accurate disclosure and the acquisition
and development of information during
mediation so that the participants can
make informed decisions. This may be accomplished
by encouraging participants to consult
appropriate experts.
B. Consistent with standards of impartiality
and preserving participant self-determination,
a mediator may provide the participants
with information that the mediator is
qualified by training or experience to
provide. The mediator shall not provide
therapy or legal advice.
C. The mediator should recommend that
the participants obtain independent legal
representation before concluding an agreement.
D. If the participants so desire, the
mediator should allow attorneys, counsel
or advocates for the participants to be
present at the mediation sessions.
E. With the agreement of the participants,
the mediator may document the participants'
resolution of their dispute. The mediator
should inform the participants that any
agreement should be reviewed by an independent
attorney before it is signed.
Standard VII
A family mediator shall maintain the
confidentiality of all information acquired
in the mediation process, unless the mediator
is permitted or required to reveal the
information by law or agreement of the
participants.
A. The mediator should discuss the participants'
expectations of confidentiality with them
prior to undertaking the mediation. The
written agreement to mediate should include
provisions concerning confidentiality.
B. Prior to undertaking the mediation
the mediator should inform the participants
of the limitations of confidentiality
such as statutory, judicially or ethically
mandated reporting.
C. As permitted by law, the mediator shall
disclose a participant's threat of suicide
or violence against any person to the
threatened person and the appropriate
authorities if the mediator believes such
threat is likely to be acted upon.
D. If the mediator holds private sessions
with a participant, the obligations of
confidentiality concerning those sessions
should be discussed and agreed upon prior
to the sessions.
E. If subpoenaed or otherwise noticed
to testify or to produce documents the
mediator should inform the participants
immediately. The mediator should not testify
or provide documents in response to a
subpoena without an order of the court
if the mediator reasonably believes doing
so would violate an obligation of confidentiality
to the participants.
Standard VIII
A family mediator shall assist participants
in determining how to promote the best
interests of children.
A. The mediator should encourage the participants
to explore the range of options available
for separation or post divorce parenting
arrangements and their respective costs
and benefits. Referral to a specialist
in child development may be appropriate
for these purposes. The topics for discussion
may include, among others:
1. information about community resources
and programs that can help the participants
and their children cope with the consequences
of family reorganization and family violence;
2. problems that continuing conflict creates
for children's development and what steps
might be taken to ameliorate the effects
of conflict on the children;
3. development of a parenting plan that
covers the children's physical residence
and decision-making responsibilities for
the children, with appropriate levels
of detail as agreed to by the participants;
4. the possible need to revise parenting
plans as the developmental needs of the
children evolve over time; and
5. encouragement to the participants to
develop appropriate dispute resolution
mechanisms to facilitate future revisions
of the parenting plan.
B. The mediator should be sensitive to
the impact of culture and religion on
parenting philosophy and other decisions.
C. The mediator shall inform any court-appointed
representative for the children of the
mediation. If a representative for the
children participates, the mediator should,
at the outset, discuss the effect of that
participation on the mediation process
and the confidentiality of the mediation
with the participants. Whether the representative
of the children participates or not, the
mediator shall provide the representative
with the resulting agreements insofar
as they relate to the children.
D. Except in extraordinary circumstances,
the children should not participate in
the mediation process without the consent
of both parents and the children's court-appointed
representative.
E. Prior to including the children in
the mediation process, the mediator should
consult with the parents and the children's
court-appointed representative about whether
the children should participate in the
mediation process and the form of that
participation.
F. The mediator should inform all concerned
about the available options for the children's
participation (which may include personal
participation, an interview with a mental
health professional, the mediator interviewing
the child and reporting to the parents,
or a videotaped statement by the child)
and discuss the costs and benefits of
each with the participants.
Standard IX
A family mediator shall recognize a family
situation involving child abuse or neglect
and take appropriate steps to shape the
mediation process accordingly.
A. As used in these Standards, child abuse
or neglect is defined by applicable state
law.
B. A mediator shall not undertake a mediation
in which the family situation has been
assessed to involve child abuse or neglect
without appropriate and adequate training.
C. If the mediator has reasonable grounds
to believe that a child of the participants
is abused or neglected within the meaning
of the jurisdiction's child abuse and
neglect laws, the mediator shall comply
with applicable child protection laws.
1. The mediator should encourage the participants
to explore appropriate services for the
family.
2. The mediator should consider the appropriateness
of suspending or terminating the mediation
process in light of the allegations.
Standard X
A family mediator shall recognize a family
situation involving domestic abuse and
take appropriate steps to shape the mediation
process accordingly.
A. As used in these Standards, domestic
abuse includes domestic violence as defined
by applicable state law and issues of
control and intimidation.
B. A mediator shall not undertake a mediation
in which the family situation has been
assessed to involve domestic abuse without
appropriate and adequate training.
C. Some cases are not suitable for mediation
because of safety, control or intimidation
issues. A mediator should make a reasonable
effort to screen for the existence of
domestic abuse prior to entering into
an agreement to mediate. The mediator
should continue to assess for domestic
abuse throughout the mediation process.
D. If domestic abuse appears to be present
the mediator shall consider taking measures
to insure the safety of participants and
the mediator including, among others:
1. establishing appropriate security arrangements;
2. holding separate sessions with the
participants even without the agreement
of all participants;
3. allowing a friend, representative,
advocate, counsel or attorney to attend
the mediation sessions;
4. encouraging the participants to be
represented by an attorney, counsel or
an advocate throughout the mediation process;
5. referring the participants to appropriate
community resources;
6. suspending or terminating the mediation
sessions, with appropriate steps to protect
the safety of the participants.
E. The mediator should facilitate the
participants' formulation of parenting
plans that protect the physical safety
and psychological well-being of themselves
and their children.
Standard XI
A family mediator shall suspend or terminate
the mediation process when the mediator
reasonably believes that a participant
is unable to effectively participate or
for other compelling reason.
A. Circumstances under which a mediator
should consider suspending or terminating
the mediation, may include, among others:
1. the safety of a participant or well-being
of a child is threatened;
2. a participant has or is threatening
to abduct a child;
3. a participant is unable to participate
due to the influence of drugs, alcohol,
or physical or mental condition;
4. the participants are about to enter
into an agreement that the mediator reasonably
believes to be unconscionable;
5. a participant is using the mediation
to further illegal conduct;
6. a participant is using the mediation
process to gain an unfair advantage;
7. if the mediator believes the mediator's
impartiality has been compromised in accordance
with Standard IV.
B. If the mediator does suspend or terminate
the mediation, the mediator should take
all reasonable steps to minimize prejudice
or inconvenience to the participants which
may result.
Standard XII
A family mediator shall be truthful in
the advertisement and solicitation for
mediation.
A. Mediators should refrain from promises
and guarantees of results. A mediator
should not advertise statistical settlement
data or settlement rates.
B. Mediators should accurately represent
their qualifications. In an advertisement
or other communication, a mediator may
make reference to meeting state, national
or private organizational qualifications
only if the entity referred to has a procedure
for qualifying mediators and the mediator
has been duly granted the requisite status.
Standard XIII
A family mediator shall acquire and maintain
professional competence in mediation.
A. Mediators should continuously improve
their professional skills and abilities
by, among other activities, participating
in relevant continuing education programs
and should regularly engage in self-assessment.
B. Mediators should participate in programs
of peer consultation and should help train
and mentor the work of less experienced
mediators.
C. Mediators should continuously strive
to understand the impact of culture and
diversity on the mediator's practice.
Appendix
Special Policy Considerations for State
Regulation of Family Mediators and Court
Affiliated Programs
The Model Standards recognize the National
Standards for Court Connected Dispute
Resolution Programs (1992). There are
also state and local regulations governing
such programs and family mediators. The
following principles of organization and
practice, however, are especially important
for regulation of mediators and court-connected
family mediation programs. They are worthy
of separate mention.
A. Individual states or local courts should
set standards and qualifications for family
mediators including procedures for evaluations
and handling grievances against mediators.
In developing these standards and qualifications,
regulators should consult with appropriate
professional groups, including professional
associations of family mediators.
B. When family mediators are appointed
by a court or other institution, the appointing
agency should make reasonable efforts
to insure that each mediator is qualified
for the appointment. If a list of family
mediators qualified for court appointment
exists, the requirements for being included
on the list should be made public and
available to all interested persons.
C. Confidentiality should not be construed
to limit or prohibit the effective monitoring,
research or evaluation of mediation programs
by responsible individuals or academic
institutions provided that no identifying
information about any person involved
in the mediation is disclosed without
their prior written consent. Under appropriate
circumstances, researchers may be permitted
to obtain access to statistical data and,
with the permission of the participants,
to individual case files, observations
of live mediations, and interviews with
participants.
Only the Model Standards, not the Commentary,
were approved by the American Bar Association
in February 2001.
STANDARDS
OF PRACTICE
ALL OTHER CONFLICT RESOLUTION PROFESSIONALS
Ethical Standards of Professional Responsibility
By: SPIDR Ethics Committee
Date: Jun 2, 1986
*These standards were adopted by SPIDR
in 1986. The Standards are currently being
reviewed by the ACR Standards Committee
for the Association for Conflict Resolution.
Adopted June 1986
The Society of Professionals in Dispute
Resolution (SPIDR) was established in
1972 to promote the peaceful resolution
of disputes. Members of the Society believe
that Resolving disputes through negotiation,
mediation, arbitration and other neutral
interventions can be of great benefit
to disputing parties and to society. In
1983, the SPIDR Board of Directors charged
the SPIDR Ethics Committee with the task
of developing ethical standards of professional
responsibility. The Committee membership
represented all the various sectors and
disciplines within SPIDR. This document,
adopted by the Board on June 2, 1986,
is the result of that charge.
The purpose of this document is to promote
among SPIDR Members and Associates ethical
conduct and a high level of competency,
including honesty, integrity, impartiality
and the exercise of good judgment in their
dispute resolution efforts. It is hoped
that this document also will help to (1)
define the profession of dispute resolution,
(2) educate the public, and (3) inform
users of dispute resolution services.
Application of Standards
Adherence to these ethical standards
by SPIDR Members and Associates is basic
to professional responsibility. SPIDR
Members and Associates commit themselves
to be guided in their professional conduct
by these standards. The SPIDR Board of
Directors or its designee is available
to advise Members and Associates about
the interpretation of these standards.
Other neutral practitioners and organizations
are welcome to follow these standards.
Scope
It is recognized that SPIDR Members and
Associates resolve disputes in various
sectors within the disciplines of dispute
resolution and have their own codes of
professional conduct. These standards
have been developed as general guidelines
of practice for neutral disciplines represented
in the SPIDR membership. Ethical considerations
relevant to some, but not to all, of these
disciplines are not covered by these standards.
General Responsibilities
Neutrals have a duty to the parties,
to the professions, and to themselves.
They should be honest and unbiased, act
in good faith, be diligent, and not seek
to advance their own interests at the
expense of their parties'.
Neutrals must act fairly in dealing with
the parties, have no personal interest
in the terms of the settlement, show no
bias towards individuals and institutions
involved in the dispute, be reasonably
available as requested by the parties,
and be certain that the parties are informed
of the process in which they are involved.
Responsibilities to the Parties
1. Impartiality. The neutral must maintain
impartiality toward all parties. Impartiality
means freedom from favoritism or bias
either by word or by action, and a commitment
to serve all parties as opposed to a single
party.
2. Informed Consent. The neutral has
an obligation to assure that all parties
understand the nature of the process,
the procedures, the particular role of
the neutral, and the parties' relationship
to the neutral.
3. Confidentiality. Maintaining confidentiality
is critical to the dispute resolution
process. Confidentiality encourages candor,
a full exploration of the issues, and
a neutral's acceptability. There may be
some types of cases, however, in which
confidentiality is not protected. In such
cases, the neutral must advise the parties,
when appropriate in the dispute resolution
process, that the confidentiality of the
proceedings cannot necessarily be maintained.
Except in such instances, the neutral
must resist all attempts to cause him
or her to reveal any information outside
the process. A commitment by the neutral
to hold information in confidence within
the process also must be honored.
4. Conflict of Interest. The neutral
must refrain from entering or continuing
in any dispute if he or she believes or
perceives that participation as a neutral
would be a clear conflict of interest
and any circumstances that may reasonably
raise a question as to the neutral's impartiality.
The duty to disclose is a continuing obligation
throughout the process.
5. Promptness. The neutral shall exert
every reasonable effort to expedite the
process.
6. The Settlement and its Consequences.
The dispute resolution process belongs
to the parties. The neutral has no vested
interested in the terms of a settlement,
but must be satisfied that agreements
in which he or she has participated will
not impugn the integrity of the process.
The neutral has a responsibility to see
that the parties consider the terms of
a settlement. If the neutral is concerned
about the possible consequences of a proposed
agreement, and the needs of the parties
dictate, the neutral must inform the parties
of that concern. In adhering to this standard,
the neutral may find it advisable to educate
the parties, to refer one or more parties
for specialized advice, or to withdraw
from the case. In no case, however, shall
the neutral violate section 3, Confidentiality,
of these standards.
Unrepresented Interests
The neutral must consider circumstances
where interests are not represented in
the process. The neutral has an obligation,
where in his or her judgment the needs
of parties dictate, to assure that such
interests have been considered by the
principal parties.
Use of Multiple Procedures
The use of more than one dispute resolution
procedure by the same neutral involves
additional responsibilities. Where the
use of more than one procedure is initially
contemplated, the neutral must take care
at the outset to advise the parties of
the nature of the procedures and the consequences
of revealing information during any one
procedure which the neutral may later
use for decision making or share with
another decision maker. Where the use
of more than one procedure is contemplated
after the initiation of the dispute resolution
process, the neutral must explain the
consequences and afford the parties an
opportunity to select another neutral
for the subsequent procedures. It is also
incumbent upon the neutral to advise the
parties of the transition from one dispute
resolution process to another.
Background and Qualifications
A neutral should accept responsibility
only in cases where the neutral has sufficient
knowledge regarding the appropriate process
and subject matter to be effective. A
neutral has a responsibility to maintain
and improve his or her professional skills.
Disclosure of Fees
It is the duty of the neutral to explain
to the parties at the outset of the process
the basis of compensation, fees, and charges,
if any.
Support of the Profession
The experienced neutral should participate
in the development of new practitioners
in the field and engage in efforts to
educate the public about the value and
use of neutral dispute resolution procedures.
The neutral should provide pro bono services,
where appropriate.
Responsibilities of Neutrals
Working on the Same Case
In the event that more than one neutral
is involved in the resolution of a dispute,
each has an obligation to inform the others
regarding his or her entry in the case.
Neutrals working with the same parties
should maintain an open and professional
relationship with each other.
Advertising and Solicitation
A neutral must be aware that some forms
of advertising and solicitations are inappropriate
and in some conflict resolution disciplines,
such as labor arbitration, are impermissible.
All advertising must honestly represent
the services to be rendered. No claims
of specific results or promises which
imply favor of one side over another for
the purpose of obtaining business should
be made. No commissions, rebates, or other
similar forms of remuneration should be
given or received by a neutral for the
referral of clients.
Please browse the following resources
for more information on this field:
http://www.peacemakers.ca/bibliography
About
ACR's Quality Assurance Initiatives
ACR's focus on
Quality
Assurance Initiatives fulfills
some of the commitments that its predecessor
organizations made when they voted for
merger in 2000. By taking a firm stand
on difficult issues, ACR seeks to improve
the quality of dispute resolution practice,
increase respect for the ADR field and
meet the professional needs and aspirations
of its members.
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