Every day, newspapers, news shows and the Internet tell us about sexual abuse and corruption in our nation's schools; fraudulent contracts; corrupt administrators who misallocate public money, de-certify children secretly and without reproach, pay cronies and relatives. We have a few of these stories on this website. There are thousands more. How this happens is a book thousands of pages long, or a full-length epic movie.

It takes a parent of an abused child or a teacher pushed unfairly into resignation one second to realize that he/she has no rights, and cannot do or say anything that can provide a remedy for the pain and/or unjust process. Our judicial system too often is bought off as well, by politicians who make lucrative promises or who need to keep their dark secrets hidden behind black robes of justice. Everyone who works for a School Board or Department of Education is always Right, and everyone who does not work for these organizations is always Wrong.

Our public school system needs a new standard to which it must be held accountable, and The E-Accountability Foundation offers below the Code of Ethics of the American Arbitration Association as a starting point. We included Arbitrators in Commercial Disputes because educrats around the country are making deals with public money as if public school education were a commercial venture. The bizarre fact about our public education system is that it is making money for, and benefitting, everyone but the stakeholder - the taxpayer parent/guardian.

We need to vote for a national public mediation association that will not be bought/paid/corrupted by political forces. This organization must adhere to a published code of ethics that is verified by cameras in every office and room. All transgressions are punished immediately and forcibly.

We believe in the establishment of new institutions for a new century. Those people who decide to truly reform the traditional ways of doing busines will have to have courage to make a leap of faith as the web of intrigue , nepotism and corrupt practices is exposed and dismantled. Transparency and accountability partnered with democratic principles (that are enforced) of voting and open government create responsibility and ethical behavior.

Betsy Combier

The Code of Ethics for Arbitrators in Commercial Disputes
Effective March 1, 2004

The Code of Ethics for Arbitrators in Commercial Disputes was originally prepared in 1977 by a joint committee consisting of a special committee of the American Arbitration Association and a special committee of the American Bar Association. The Code was revised in 2003 by an ABA Task Force and special committee of the AAA.

Preamble

The use of arbitration to resolve a wide variety of disputes has grown extensively and forms a significant part of the system of justice on which our society relies for a fair determination of legal rights. Persons who act as arbitrators therefore undertake serious responsibilities to the public, as well as to the parties. Those responsibilities include important ethical obligations.

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American Arbitration Association Code of Ethics for Employees

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The American Arbitration Association occupies a unique place in the legal and business communities both in the United States and abroad. The key to the success of the Association is the ethical conduct of its employees. Every day, the staff works with the parties, their representatives and its roster of neutrals to resolve conflicts peacefully and promptly. Alternative dispute resolution processes are vital to a civilized society, and the staff of the Association works diligently to inform and promote the use of these processes. This responsibility makes it crucial that the conduct of each representative of the Association be beyond reproach.

Integrity and Impartiality

Employees shall uphold the reputation, integrity, and impartiality of the American Arbitration Association and the processes it administers and promotes. No employee shall discriminate against any party, advocate, neutral or other employee, or general member of the public on the basis of race, religion, color, national origin, age, disability, or gender during the course of employment.

Employees shall be impartial, diligent, and courteous to all parties, advocates, neutrals, fellow employees, and members of the public with whom they come in contact in the course of their employment. Employees shall endeavor to avoid any appearance of partiality and shall not show favoritism to any party.

The appointment of neutrals to cases shall be based solely on the best interests of the parties.

Employees shall consult the Association's Legal Department wherever there is uncertainty about the legal obligations of the Association. Employees shall not give legal advice. Employees shall not make client referrals to lawyers or law firms. Employees shall not engage in lobbying activities on behalf of the Association without the approval of their supervisors.

Loyalty

Employees shall respect and protect the privacy and confidentiality of both the Association and its users. No employee shall divulge internal information of a proprietary nature nor use information or organizational resources obtained while in the employ of the Association for the personal profit or benefit of the employee or others, both during or after the time of employment.

Full-time employees are expected to work only for the Association during normal working hours and not to accept other compensation for services during these hours. Even if work (including writing, lecturing, or teaching) is performed outside of working hours, there is a danger that it might be construed by our clients as a conflict of interest. Any such outside activity should be cleared in advance with the Human Resources Vice President.

Employees shall not perform services for neutrals, or other persons affiliated with the Association, for compensation by any sources other than the Association.

Employees shall observe the current employment policies of the Association, including its policies on Equal Employment Opportunity, Non-Employment of Relatives, Substance Abuse, and Sexual Harassment.

Financial Transactions

Employees shall properly record, report, collect, and distribute panelists' fees and expenses as appropriate and shall not personally share in such fees.

Employees shall properly bill for and report all fees earned, record and report the use of Association funds and property, and shall observe the policies and procedures as specified by the Finance Department.

Employees shall avoid any financial or proprietary interest in contracts which the employee negotiates, prepares, authorizes, or approves for the Association and shall not contract with family members.

Employees shall also observe the gift policy of the Association which prohibits the acceptance of gifts from neutrals, parties, advocates, vendors, or from firms providing services, regardless of the nature or cash value of the intended gift.

The Code of Ethics is intended to safeguard the reputation of the Association in its many endeavors. In addition to the Code, employees are required to follow the rules and procedures of the Association. Employees shall abide by the standards set out in this Code and shall report suspected violations without fear of retaliation. Violations may ultimately lead to discipline or termination. Adherence to this Code will preserve and strengthen trust in the staff of the Association, in the Association's service, and in its Mission.

©2004 American Arbitration Association. All Rights Reserved.


Model Standards of Conduct For Mediators

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The Model Standards of Conduct for Mediators were prepared from 1992 through 1994 by a joint committee composed of two delegates from the American Arbitration Association, John D. Feerick, Chair, and David Botwinik, two from the American Bar Association, James Alfini and Nancy Rogers, and two from the Society of Professionals in Dispute Resolution, Susan Dearborn and Lemoine Pierce.

The Model Standards have been approved by the American Arbitration Association, the Litigation Section and the Dispute Resolution Section of the American Bar Association, and the Society of Professionals in Dispute Resolution.

The views set out in this publication have not been considered by the American Bar Association House of Delegates and do not constitute the policy of the American Bar Association.

INTRODUCTORY NOTE

The initiative for these standards came from three professional groups: The American Arbitration Association, the American Bar Association, and the Society of Professionals in Dispute Resolution.

The purpose of this initiative was to develop a set of standards to serve as a general framework for the practice of mediation. The effort is a step in the development of the field and a tool to assist practitioners in it--a beginning, not an end. The model standards are intended to apply to all types of mediation. It is recognized, however, that in some cases the application of these standards may be affected by laws or contractual agreements.

PREFACE

The model standards of conduct for mediators are intended to perform three major functions: to serve as a guide for the conduct of mediators; to inform the mediating parties; and to promote public confidence in mediation as a process for resolving disputes. The standards draw on existing codes of conduct for mediators and take into account issues and problems that have surfaced in mediation practice. They are offered in the hope that they will serve an educational function and provide assistance to individuals, organizations, and institutions involved in mediation.

Mediation is a process in which an impartial third party – a mediator – facilitates the resolution of a dispute by promoting voluntary agreement (or "self-determination") by the parties to the dispute. A mediator facilitates communications, promotes understanding, focuses the parties on their interests, and seeks creative problem solving to enable the parties to reach their own agreement. These standards give meaning to this definition of mediation.

I. Self-Determination: A Mediator shall Recognize that Mediation is Based on the Principle of Self-Determination by the Parties.

Self-determination is the fundamental principle of mediation. It requires that the mediation process rely upon the ability of the parties to reach a voluntary, uncoerced agreement. Any party may withdraw from mediation at any time.

Comments

The mediator may provide information about the process, raise issues, and help parties explore options. The primary role of the mediator is to facilitate a voluntary resolution of a dispute. Parties shall be given the opportunity to consider all proposed options.

A mediator cannot personally ensure that each party has made a fully informed choice to reach a particular agreement, but it is a good practice for the mediator to make the parties aware of the importance of consulting other professionals, where appropriate, to help them make informed decisions.

II. Impartiality: A Mediator shall Conduct the Mediation in an Impartial Manner.

The concept of mediator impartiality is central to the mediation process. A mediator shall mediate only those matters in which she or he can remain impartial and evenhanded. If at any time the mediator is unable to conduct the process in an impartial manner, the mediator is obligated to withdraw.

Comments

A mediator shall avoid conduct that gives the appearance of partiality toward one of the parties. The quality of the mediation process is enhanced when the parties have confidence in the impartiality of the mediator.

When mediators are appointed by a court or institution, the appointing agency shall make reasonable efforts to ensure that mediators serve impartially.

A mediator should guard against partiality or prejudice based on the parties' personal characteristics, background or performance at the mediation.

III. Conflicts of Interest: A Mediator shall Disclose all Actual and Potential Conflicts of Interest Reasonably Known to the Mediator.

After Disclosure, the Mediator shall Decline to Mediate unless all Parties Choose to Retain the Mediator. The Need to Protect Against Conflicts of Interest also Governs Conduct that Occurs During and After the Mediation.

A conflict of interest is a dealing or relationship that might create an impression of possible bias. The basic approach to questions of conflict of interest is consistent with the concept of self-determination. The mediator has a responsibility to disclose all actual and potential conflicts that are reasonably known to the mediator and could reasonably be seen as raising a question about impartiality. If all parties agree to mediate after being informed of conflicts, the mediator may proceed with the mediation. If, however, the conflict of interest casts serious doubt on the integrity of the process, the mediator shall decline to proceed.

A mediator must avoid the appearance of conflict of interest both during and after the mediation. Without the consent of all parties, a mediator shall not subsequently establish a professional relationship with one of the parties in a related matter, or in an unrelated matter under circumstances which would raise legitimate questions about the integrity of the mediation process.

Comments

A mediator shall avoid conflicts of interest in recommending the services of other professionals. A mediator may make reference to professional referral services or associations which maintain rosters of qualified professionals.

Potential conflicts of interest may arise between administrators of mediation programs and mediators and there may be strong pressures on the mediator to settle a particular case or cases. The mediator's commitment must be to the parties and the process. Pressure from outside of the mediation process should never influence the mediator to coerce parties to settle.

IV. Competence: A Mediator shall Mediate Only When the Mediator has the Necessary Qualifications to Satisfy the Reasonable Expectations of the Parties.

Any person may be selected as a mediator, provided that the parties are satisfied with the mediator's qualifications. Training and experience in mediation, however, are often necessary for effective mediation. A person who offers herself or himself as available to serve as a mediator gives parties and the public the expectation that she or he has the competency to mediate effectively. In court-connected or other forms of mandated mediation, it is essential that mediators assigned to the parties have the requisite training and experience.

Comments

Mediators should have information available for the parties regarding their relevant training, education and experience.

The requirements for appearing on a list of mediators must be made public and available to interested persons.

When mediators are appointed by a court or institution, the appointing agency shall make reasonable efforts to ensure that each mediator is qualified for the particular mediation.

V. Confidentiality: A Mediator shall Maintain the Reasonable Expectations of the Parties with Regard to Confidentiality.

The reasonable expectations of the parties with regard to confidentiality shall be met by the mediator. The parties' expectations of confidentiality depend on the circumstances of the mediation and any agreements they may make. The mediator shall not disclose any matter that a party expects to be confidential unless given permission by all parties or unless required by law or other public policy.

Comments

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. Since the parties' expectations regarding confidentiality are important, the mediator should discuss these expectations with the parties.

If the mediator holds private sessions with a party, the nature of these sessions with regard to confidentiality should be discussed prior to undertaking such sessions.

In order to protect the integrity of the mediation, a mediator should avoid communicating information about how the parties acted in the mediation process, the merits of the case, or settlement offers. The mediator may report, if required, whether parties appeared at a scheduled mediation.

Where the parties have agreed that all or a portion of the information disclosed during a mediation is confidential, the parties' agreement should be respected by the mediator.

Confidentiality should not be construed to limit or prohibit the effective monitoring, research, or evaluation of mediation programs by responsible persons. Under appropriate circumstances, researchers may be permitted to obtain access to statistical data and, with the permission of the parties, to individual case files, observations of live mediations, and interviews with participants.

VI. Quality of the Process: A Mediator shall Conduct the Mediation Fairly, Diligently, and in a Manner Consistent with the Principle of Self-Determination by the Parties.

A mediator shall work to ensure a quality process and to encourage mutual respect among the parties. A quality process requires a commitment by the mediator to diligence and procedural fairness. There should be adequate opportunity for each party in the mediation to participate in the discussions. The parties decide when and under what conditions they will reach an agreement or terminate a mediation.

Comments

A mediator may agree to mediate only when he or she is prepared to commit the attention essential to an effective mediation.

Mediators should only accept cases when they can satisfy the reasonable expectations of the parties concerning the timing of the process. A mediator should not allow a mediation to be unduly delayed by the parties or their representatives.

The presence or absence of persons at a mediation depends on the agreement of the parties and the mediator. The parties and mediator may agree that others may be excluded from particular sessions or from the entire mediation process.

The primary purpose of a mediator is to facilitate the parties' voluntary agreement. This role differs substantially from other professional-client relationships. Mixing the role of a mediator and the role of a professional advising a client is problematic, and mediators must strive to distinguish between the roles. A mediator should, therefore, refrain from providing professional advice. Where appropriate, a mediator should recommend that parties seek outside professional advice, or consider resolving their dispute through arbitration, counseling, neutral evaluation, or other processes. A mediator who undertakes, at the request of the parties, an additional dispute resolution role in the same matter assumes increased responsibilities and obligations that may be governed by the standards of other processes.

A mediator shall withdraw from a mediation when incapable of serving or when unable to remain impartial.

A mediator shall withdraw from a mediation or postpone a session if the mediation is being used to further illegal conduct, or if a party is unable to participate due to drug, alcohol, or other physical or mental incapacity.

Mediators should not permit their behavior in the mediation process to be guided by a desire for a high settlement rate.

VII. Advertising and Solicitation: A Mediator shall be Truthful in Advertising and Solicitation for Mediation

Advertising or any other communication with the public concerning services offered or regarding the education, training, and expertise of the mediator shall be truthful. Mediators shall refrain from promises and guarantees of results.

Comments

It is imperative that communication with the public educate and instill confidence in the process.

In an advertisement or other communication to the public, a mediator may make reference to meeting state, national, or private organization qualifications only if the entity referred to has a procedure for qualifying mediators and the mediator has been duly granted the requisite status.

VIII. Fees: A Mediator shall fully Disclose and Explain the Basis of Compensation, Fees, and Charges to the Parties.

The parties should be provided sufficient information about fees at the outset of a mediation to determine if they wish to retain the services of a mediator. If a mediator charges fees, the fees shall be reasonable, considering among other things, the mediation service, the type and complexity of the matter, the expertise of the mediator, the time required, and the rates customary in the community. The better practice in reaching an understanding about fees is to set down the arrangements in a written agreement.

Comments

A mediator who withdraws from a mediation should return any unearned fee to the parties.

A mediator should not enter into a fee agreement which is contingent upon the result of the mediation or amount of the settlement.

Co-mediators who share a fee should hold to standards of reasonableness in determining the allocation of fees.

A mediator should not accept a fee for referral of a matter to another mediator or to any other person.

IX. Obligations to the Mediation Process: Mediators have a Duty to Improve the Practice of Mediation.

Comment

Mediators are regarded as knowledgeable in the process of mediation. They have an obligation to use their knowledge to help educate the public about mediation; to make mediation accessible to those who would like to use it; to correct abuses; and to improve their professional skills and abilities.
Copies of the Model Standards of Conduct for Mediators are available from the offices of the participating organizations. The addresses are listed below.

American Bar Association
Section on Dispute Resolution
740-15th Street NorthWest
Washington, D.C. 20005-1009
(202) 622-1681

Society of Professionals in Dispute Resolution
815-15th Street NorthWest
Washington, D.C. 20005
(202) 783-7277

We wish to express our appreciation for a grant from the Harry De Jur Foundation.

Statement of Ethical Principles for the American Arbitration Association, an ADR Provider Organization