In re Report of the Alternative Dispute Resolution Rules & Policy Committee on Senior Judges as Mediators

915 So. 2d 145, 30 Fla. L. Weekly Supp. 742, 2005 Fla. LEXIS 2123, 2005 WL 2898655
CourtSupreme Court of Florida
DecidedNovember 3, 2005
DocketNo. SC04-2482
StatusPublished
Cited by5 cases

This text of 915 So. 2d 145 (In re Report of the Alternative Dispute Resolution Rules & Policy Committee on Senior Judges as Mediators) is published on Counsel Stack Legal Research, covering Supreme Court of Florida primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In re Report of the Alternative Dispute Resolution Rules & Policy Committee on Senior Judges as Mediators, 915 So. 2d 145, 30 Fla. L. Weekly Supp. 742, 2005 Fla. LEXIS 2123, 2005 WL 2898655 (Fla. 2005).

Opinion

ANSTEAD, J.

We have for consideration the Amended Final Report on Senior Judges as Mediators (Report) filed by the Supreme Court Committee on Alternative Dispute Resolution Rules and Policy (Committee). The Report contains recommendations and proposed amendments to various rules of procedure and provisions of the Code of Judicial Conduct that the Committee believes are necessary to implement its recommendations. We have jurisdiction. See art. V, § 2(a), Fla. Const. We approve the majority of the Committee’s recommendations and adopt the Committee’s proposed amendments with minor modifications explained below.

BACKGROUND

In In re Code of Judicial Conduct, 643 So.2d 1037 (Fla.1994), this Court adopted a new Code of Judicial Conduct, which in Section B of the provision entitled “Application of the Code of Judicial Conduct” authorizes senior judges to serve as mediators. In authorizing the practice, the Court recognized that there was concern about “the propriety of a senior judge acting as both a mediator and an assigned senior judge.” Id. at 1039. In response to that concern, the Court modified Section B as originally proposed and its commentary “to more fully explain when and under what circumstances a senior judge may be a mediator, id.,”1 and we further explained that the Court would continue to monitor [146]*146the application of the new provisions in light of the Court’s concerns. 648 So.2d at 1039.

In November 2004, in response to a request by the Court to evaluate the current practice of senior judges serving as mediators,2 the Committee3 filed the report and recommendations under consideration here, together with proposed amendments to various rules of procedure and the Code of Judicial Conduct, which the Committee determined were necessary, to implement its recommendations. The proposed amendments to the Florida Rules of Civil Procedure, the Florida Rules of Judicial Administration, the Florida Rules of Juvenile Procedure, the Florida Rules for Certified and Court-Appointed Mediators, the Florida Family Law Rules of Procedure, and the Code of Judicial Conduct were published for comment. Three comments were received and the Court subsequently conducted oral argument on the Committee’s report and recommendations.

REPORT

Consistent with this Court’s directive, the focus of the Committee’s report concerns the issue of senior judges continuing to serve as mediators and the related issue of whether further requirements and safeguards should be imposed if the practice is to be continued. In reaching its conclusions and developing its recommendations, the Committee reviewed the history of and evaluated the current status of the practice in Florida; it surveyed senior judges identified as mediators and considered the ethical and practical implications of such dual service; and it reviewed a survey of state regulation of retired judges serving as arbitrators and mediators conducted by the National Center for State Courts, which found Florida to be among the clear majority of states that permit retired judges to serve as mediators or arbitrators while on temporary judicial assignment or while eligible for service on the bench. See Nat’l Ctr. for State Courts, Regulation of Retired Judges Serving as Arbitrators and Mediators (1999).4

In evaluating the current status of senior judges serving as mediators in Florida, the Committee specifically considered the [147]*147potential for ethical conflict in a senior judge serving as a mediator and other potential adverse consequences of such dual service. For example, the Committee determined that a senior judge’s service as a mediator could potentially result in various violations of the Code of Judicial Conduct. The Committee cited Canon 1 (judges must uphold the integrity and independence of the judiciary), Canon 2 (judges must avoid the appearance of impropriety), Canon 4 (judges’ quasi-judicial activities must not cast doubt on their impartiality), and Canon 5 (judges must regulate their extrajudicial activities and financial affairs to minimize the risk of conflict with their judicial duties) as possible areas of concern.

However, despite the potential for ethical issues to arise, the Committee reported it found “no published authority relating to complaints against senior judges serving as mediators.” Report at 8. Further, the Committee reported that it found “no evidence that the Code of Judicial Conduct is not working properly in relation to the practice of senior judges serving as mediators.” Id.

As to the Standards of Professional Conduct applicable to mediators, the Committee reported that ethical violations under those standards could also potentially occur when a senior judge serves as a mediator. The standards the Committee identified that could be implicated by this practice are Florida Rules for Certified and Court-Appointed Mediators 10.330(a) and (b) (Impartiality); 10.340(a), (b), and (e) (Conflicts of Interest); 10.360 (Confidentiality); 10.380 (Fees and Expenses); and 10.650 (Concurrent Standards). However, the Committee concluded that while “mediator ethical violations could occur, they are neither unavoidable nor substantial.” Report at 8.

Hence, the Committee concluded that while there was a potential for ethical issues to arise when senior judges serve as mediators, there was no indication that such issues had actually arisen in Florida since this Court permitted the practice or that any substantial ethical problems had been reported.

RECOMMENDATIONS AND PROPOSED AMENDMENTS

The Committee’s first recommendation is that senior judges should continue to be permitted to serve as mediators, subject to certain proposed additional ethical safeguards. The Committee’s Recommendations 1 and 2 address ethical and training requirements for senior judges who serve as mediators and include implementing amendments to various procedural rules and the Code of Judicial Conduct. Recommendation 3 addresses reporting requirements for senior judge-mediators. The Committee’s recommendations, the majority of which we approve, are outlined below, followed by a brief discussion of each recommendation and implementing amendments.

Recommendation 1

There should be no absolute prohibition against a senior judge serving as a mediator provided that ethical recommendations A-D below are adopted in the appropriate rules.

(A) Senior judges who intend to mediate should be required to be certified by the Supreme Court as mediators pursuant to Rule 10.100, Florida Rules for Certified and Court-Appointed Mediators.
(B) If a mediator who is a senior judge has presided over a case involving any party, attorney, or law firm in the mediation, the mediator should be obligated to disclose that fact prior to mediation.
[148]*148(C) A senior judge should be required to disclose if the judge is being utilized or has been utilized as a mediator by any party, attorney, or law firm involved in the case pending before the senior judge. Absent express consent of all parties, a senior judge should be prohibited from presiding over any case involving any party, attorney, or law firm that is utilizing or has utilized the judge as a mediator within the previous three years.

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915 So. 2d 145, 30 Fla. L. Weekly Supp. 742, 2005 Fla. LEXIS 2123, 2005 WL 2898655, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-report-of-the-alternative-dispute-resolution-rules-policy-committee-fla-2005.