Mediation requires conflicting parties to swim in the waters of trust. Where trust might be said to be at the heart of ethics, no course on mediation would be complete without an exploration of essential ethical issues in mediation.
In Part VI of Lawline’s June 26, 2016 ADR Day program, Simeon H. Baum, President, Resolve Mediation Services, Inc. (www.mediators.com) and Dan Kolb, of Davis Polk, review the chief ethical issues to which all mediators should be sensitive. Guided by the AAA/ABA/SPIDR (ACR) Standards of Conduct for Mediators, they examine these issues and standards in detail.
I. Recognize the centrality of ethical issues to mediation
II. Gain familiarity with the AAA/ABA/SPIDR (ACR) Standards of Conduct for Mediators
III. Understand ethical Issues relating to the following:
A. Party Self Determination
B. Neutrality and Impartiality
D. Honesty and Disclosure
F. Quality of the Process
G. Candor in Advertising
H. Various other issues
This course originally appeared as a part of our June 2016 Bridge the Gap Event.
Simeon Baum, President of Resolve Mediation Services, Inc. (www.mediators.com), has successfully mediated over 1,000 disputes. He has been active since 1992 as a neutral in dispute resolution, assuming the roles of mediator, neutral evaluator and arbitrator in a variety of cases, including the highly publicized mediation of the Studio Daniel Libeskind-Silverstein Properties dispute over architectural fees relating to the redevelopment of the World Trade Center site, Trump’s $ 1 billion suit over the West Side Hudson River development, and Archie Comics’ shareholder/CEO dispute. He was selected for New York Magazine’s 2005 - 2014 “Best Lawyers” and “New York Super Lawyers” listings for ADR (http://www.superlawyers.com/new-york-metro/lawyer/Simeon-H-Baum/1de9e280-ba02-4bfb-8fe8-659bc286b8e4.html) and Best Lawyers’ “Lawyer of the Year” for ADR in New York for 2011 and 2014 (http://www.bestlawyers.com/Lawyers/Simeon_H_Baum)and for the International Who’s Who of Commercial Mediation Lawyers 2012-14.
An attorney, with 30 years’ experience as a litigator, Mr. Baum has served as a mediator or ADR neutral in a wide variety of matters involving claims concerning business disputes, financial services, securities industry disputes, reinsurance and insurance coverage, property damage and personal injury, malpractice, employment, ERISA benefits, accounting, civil rights, partnership, family business, real property, construction, surety bond defaults, unfair competition, fraud, bank fraud, bankruptcy, intellectual property,
Mr. Baum has a longstanding involvement in Alternative Dispute Resolution ("ADR"). He has served as a neutral for the United States District Courts for the Southern and Eastern Districts of New York Mediation Panels; New Jersey Superior Court, Civil Part, Statewide; Commercial Division, New York State Supreme Court, New York & Westchester Counties; U.S. Bankruptcy Court, Southern & Eastern Districts of New York; the New York Stock Exchange; National Association of Securities Dealers; the U.S. Postal Service, the U.S. Equal Employment Opportunity Commission, and CPR, and National Academy of Distinguished Neutrals (NADN), among others.
Mr. Baum’s peers have appointed him to many key posts: e.g., Member, ADR Advisory Group, Commercial Division, Supreme Court, New York County; ADR Advisory Group and Mediation Ethics Advisory Committee, N.Y. State Unified Court System. Founding Chair of the N.Y. State Bar Association’s Dispute Resolution Section, he was also subcommittee chair of the N.Y. State Bar Association’s ADR Committee; Legislative Tracking Subcommittee Chair of the ADR Committee of the Litigation Section of the American Bar Association; Charter Member, ABA Dispute Resolution Section Corporate Liaison Committee; President, Federal Bar Association’s SDNY Chapter, and Chair of the FBA’s national ADR Section. He is past Chair of the New York County Lawyers Association (NYCLA) Committee on Arbitration and ADR. Besides serving on the NYCLA’s Committee on Committees, he is past Chair of the Joint Committee on Fee Dispute and Conciliation (of NYCLA, ABC NY, and Bronx County Bar Associations), and is on the Board of Governors, NYS Attorney-Client Fee Dispute Resolution Program. He is also a Fellow of the American Bar Foundation. He is a Director for the New York NADN panel.
Mr. Baum has shared his enthusiasm for ADR through teaching, training, extensive writing and public speaking. He has taught ADR at NYU's School of Continuing and Professional Development, and he teaches Negotiation, and Processes of Dispute Resolution (focusing on Negotiation, Mediation and Arbitration) at the Benjamin N. Cardozo School of Law. He developed and conducts 3-day programs training mediators for the Commercial Division, Supreme Court, New York, Queens, and Westchester Counties. He has been a panelist, presenter and facilitator for numerous programs on mediation, arbitration, and ADR for Judges, attorneys, and other professionals. Mr. Baum is a graduate of Colgate University and the Fordham University School of Law.
Dan Kolb has over 45 years of experience as a Litigation Partner and now Senior Counsel at Davis Polk & Wardwell, representing a wide range of commercial clients in Federal and State Trial and Appellate Courts throughout the United States. He has handled significant matters centering on securities, banking, accounting and tax fraud, professional liability, contract, antitrust, estate and Constitutional issues. In his practice he has been involved in numerous arbitrations and mediations and in a range of international matters, serving for many years as Practice Coordinator for the Davis Polk Litigation Department and Head of its Washington Office.
Since becoming Senior Counsel in 2011, Dan has become a committed Arbitrator and Mediator. He is a Member of the American Arbitration Association Accounting and Commercial Arbitration and Mediation Panels and CPR’s Panel of Distinguished Neutrals. He serves regularly as a Court Appointed Mediator for the Second Circuit Court of Appeals, the United States District Court for the Southern District of New York and the Appellate Division First Department and is a member of the New York Supreme Court Commercial Division Panel of Mediators. His experience as a neutral covers a wide range of commercial matters.
Dan is an active Member of the New York State Bar Dispute Resolution Section, serving currently as Chair-Elect of the Section and Co-Chair of its Ethics Committee, and having served as Co-Chair of its Diversity Committee. He is also a Member of the New York City Bar ADR Committee and the American Arbitration Association’s Accounting Advisory Committee. He has served as a Member of the Mediation Advisory Committee for the United States District Court for the Southern District of New York.
Apart from experience as a neutral Dan has Chaired the Executive, Judiciary and Litigation Committees of the New York City Bar, and served as Co-Chair of the Lawyers Committee for Civil Rights Under Law and Chair of the Access to Justice Committee of the American College of Trial Lawyers. He is currently serving as a Vice-Chair of the Legal Aid Society Board and as a Board Member of the Brennan Center For Justice, chairing its Audit and Governance Committees.
Excellent, excellent program. Very sophisticated and nuanced advice. Well presented.
Best ethics course I have heard in a long time.
Being involved in Mediations this lecture was interesting and informative
Daniel Kolb was excellent.
This presentation opened my eyes a bit, it was the first time ethics were discussed in the context of mediation. Thank you!
The gentleman (Dan) from Davis Polk was an excellent addition.
good course with food for thought
The topic was well presented and it helped having the two speakers discussion the same points sometimes from different angles. Great lecture.
I do some divorce and custody mediation, rarely, but this program really helped me by stressing the ethical considerations we often simply take for granted. Very useful.
Liked the comic inclusions in the slides
Good and interesting program. Useful for those who mediate and even those who just negotiate.
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