Lawyers Non-Lawyers and Mediation Rethinking The Professional Monopoly From A PR

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WILLIAM GOLDMAN
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10/3/2011
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LAWYERS, NON-LAWYERS AND MEDIATION:..., 7 Harv. Negotiation L....
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7 Harv. Negotiation L. Rev. 235
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Harvard Negotiation Law Review
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Spring 2002
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Article
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LAWYERS, NON-LAWYERS AND MEDIATION: RETHINKING THE PROFESSIONAL MONOPOLY FROM A
PROBLEM-SOLVING PERSPECTIVE
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Jacqueline M. Nolan-Haley
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Copyright \u169\'3f 2002 Harvard Negotiation Law Review; Jacqueline M. Nolan-Hal
ey
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Abstract
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Mediation is a big business today that is practiced by lawyers and non-lawyers,
and is closely related to the business of law. Lawyers have a long-standing mono
poly on the law business and do not look favorably on sharing their power with n
on-lawyers. This phenomenon is odd because it occurs at the same time that the l
egal profession is beginning to embrace a new ethic of problem-solving that hono
rs the values of collaboration and power-sharing among professionals in multiple
disciplines. Lawyers protect their professional monopoly through the unauthoriz
ed practice of law (\u8220\'3fUPL\u8221\'3f) doctrine that limits the practice o
f law to licensed professionals who have satisfied educational and moral require
ments and have been admitted to state bars. The organized bar\rquote s use of UP
L regulations to suppress competition from non-lawyer mediators has caused tensi
ons and turf battles that inhibit the high-quality development of mediation as a
profession. As a result, the public, especially unrepresented parties, lose out
. In this Article, I call for a moratorium on mediation turf battles, and sketch
a proposal that will advance the culture of problem-solving in the legal profes
sion.
\par
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}
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I commence by describing the problem of blurred boundaries between the legal pro
fession and the emerging mediation profession that leaves non-lawyer mediators a
cross the country unsure of where they stand. I describe the legal profession\rq
uote s traditional weapon against non-lawyer competition, the UPL doctrine, and
}
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show that the consumer protection rationale for UPL regulation is a myth.
\par
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I then demonstrate the empirical reality of mediation practice, how it often sli
des into the practice of law, and discuss the variety of ways that non-lawyer me
diators pretend they are not engaged in law practice in order to protect themsel
ves from UPL exposure. I call for greater honesty about what is happening today
in mediation practice and argue that the question is not about who owns or contr
ols mediation, but, rather how we should regulate it and protect parties in ways
that safeguard the core values of both the legal profession and the emerging me
diation profession.
\par
}
}
}
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Finally, I sketch a proposal that would modify UPL regulations to allow non-lawy
er mediators more freedom in mediation practice and that would encourage the leg
al profession to respond to the needs of the emerging mediation profession by co
ntributing its unique expertise in ethics development.
\par
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Introduction
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Part I The Problem of Blurred Boundaries
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I.
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ADR as \u8220\'3fLaw Business\u8221\'3f
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241
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A. Conflict Resolution
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}
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B. ADR: Historical Background
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C. The Search for Professional Autonomy
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243
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II.
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The New Culture of Problem-Solving
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246

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A. Lawyers and Problem-Solving
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B. What is Problem-Solving for Lawyers?
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C. Lawyers\rquote Response to Problem-Solving: Integrating ADR into Law Practic
e
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250
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D. New Lawyering Roles
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E. Paradox of the Problem-Solving Culture
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Part II Boundary Conflicts
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I.
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ADR and the Practice of Law
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II.
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The Unauthorized Practice of Law Doctrine
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A. Historical Background
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261
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B. Defining UPL
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{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EGDAI_1" }{\fldrslt
C. UPL Today
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EGDAI_1" }{\fldrslt
264
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EPHAI_1" }{\fldrslt
D. Literature Review
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EPHAI_1" }{\fldrslt
266
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EAJAI_1" }{\fldrslt
E. Myth of Consumer Protection
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EAJAI_1" }{\fldrslt
268
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EDMAI_1" }{\fldrslt
F. Proposals for Reform
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EDMAI_1" }{\fldrslt
269

\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EINAI_1" }{\fldrslt
III.
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
Mediation and the Unauthorized Practice of Law
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
269
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ESNAI_1" }{\fldrslt
A. Cases and Ethics Opinions
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ESNAI_1" }{\fldrslt
269
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EDRAI_1" }{\fldrslt
B. Managing the UPL Problem in Mediation Practice
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EDRAI_1" }{\fldrslt

271
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0E3RAI_1" }{\fldrslt
1. Distinguishing Between Legal Information and Advice
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0E3RAI_1" }{\fldrslt
271
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EBWAI_1" }{\fldrslt
2. Carve-Out Exceptions to UPL
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EBWAI_1" }{\fldrslt
273
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EHXAI_1" }{\fldrslt
3. Official Resolutions and Positions
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EHXAI_1" }{\fldrslt
274
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ERZAI_1" }{\fldrslt
Part III Mediation Practice and UPL Rules: Recognizing Empirical Realities
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ERZAI_1" }{\fldrslt
275
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EW4AI_1" }{\fldrslt
I.
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
Theory Meets Practice
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
277
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EWEBI_1" }{\fldrslt
II.

{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
How Mediators Avoid UPL Charges
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
280
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ECHBI_1" }{\fldrslt
III.
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
Problems with Regulating Mediation Practice Through UPL Regulations
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
281
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ELIBI_1" }{\fldrslt
A. Example 1
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ELIBI_1" }{\fldrslt
281

\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EDKBI_1" }{\fldrslt
B. Example 2
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EDKBI_1" }{\fldrslt
282
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EENBI_1" }{\fldrslt
Part IV The Way Forward
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283
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ESNBI_1" }{\fldrslt
I.
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
A True Problem-Solving Perspective for Lawyers
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
283
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EVPBI_1" }{\fldrslt
II.
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
Affirming Common Foundational Principles
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
283
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EXTBI_1" }{\fldrslt
III.
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
Framework for Reform
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
285
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EEWBI_1" }{\fldrslt
IV.
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0

Rethinking UPL Regulations in Mediation: The \u8220\'3fPrimary Purpose\u8221\'3f
Approach
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
286
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ES4BI_1" }{\fldrslt
A. New Directions for Specialization
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ES4BI_1" }{\fldrslt
289
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0E66BI_1" }{\fldrslt
B. Regulatory Structures
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0E66BI_1" }{\fldrslt
291
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0

}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0E6CCI_1" }{\fldrslt
C. Benefits of UPL Reform in Mediation
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0E6CCI_1" }{\fldrslt
292
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ELICI_1" }{\fldrslt
D. Objections
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ELICI_1" }{\fldrslt
294
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0ERLCI_1" }{\fldrslt
V.
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
Responding to the Needs of an Emerging Profession
{\ri50 \i0 \fs20 \cf1 \f2 \li50 \qr \b0
296

\clpadt20 \clpadft3 \clpadr20 \clpadfr3 \clbrdrb \clbrdrl \trql \clvertalt \cell
x1500
\clpadt20 \clpadft3 \clpadr20 \clpadfr3 \clbrdrb \trql \clvertalt \cellx8960
\clpadt20 \clpadft3 \clpadr20 \clpadfr3 \clbrdrb \clbrdrr \trql \clvertalt \cell
x10080
\intbl
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
}
{\ri50 \i0 \ql \fs20 \cf1 \f2 \li50 \b0
{\field {\*\fldinst HYPERLINK "#co_g_ID0EZRCI_1" }{\fldrslt
Conclusion
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{\field {\*\fldinst HYPERLINK "#co_g_ID0EZRCI_1" }{\fldrslt
299
}\i0 \ri50 \fs20 \cf1 \f2 \li50 \qr \b0 \intbl \cell \row }}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EXPAG_1}{\*\bkmkend co_g_ID0EXPAG_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*237
}
}
Introduction
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EFQAG_1}{\*\bkmkend co_g_ID0EFQAG_1}
The legal profession is beginning to embrace a new ethic of problem-solving that
values collaboration, power-sharing,
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F1289391251_ID0ELQA}{\*\bkmkend co_footnoteRe
ference_F1289391251_ID0ELQA}
{\field {\*\fldinst HYPERLINK "#co_footnote_F1289391251_1" }{\fldrslt
1
}}}
}
and non-adversarial methods of dispute resolution over traditional legal proces
ses. Whether prompted by failing ideals, a need for healing, or millennial refle
ction, a professional soul-searching has taken hold such that the view of the la
wyer as problem-solver is gaining credibility over the hired-gun or gladiator im

age that has dominated the American legal landscape for so long.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F2289391251_ID0ETQA}{\*\bkmkend co_footnoteRe
ference_F2289391251_ID0ETQA}
2
}}}
}
The rhetoric of the alternative
}
{\i1 \fs20 \cf21 \f2 \b1
*238
}
}
dispute resolution (\u8220\'3fADR\u8221\'3f)
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F3289391251_ID0E2QA}{\*\bkmkend co_footnoteRe
ference_F3289391251_ID0E2QA}
3
}}}
}
movement and the practice of mediation in court-annexed programs, in particular
, has been and continues to be a powerful force in this transformation.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F4289391251_ID0E6QA}{\*\bkmkend co_footnoteRe
ference_F4289391251_ID0E6QA}
4
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EGRAG_1}{\*\bkmkend co_g_ID0EGRAG_1}
But the old adversarial ethic has not yet been fully displaced, and power-sharin
g with non-lawyers is neither a familiar nor comfortable experience for American
lawyers. While ADR and mediation may offer a transformative path for lawyers wh
o seek a more problem-solving approach to conflict,
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F5289391251_ID0EPRA}{\*\bkmkend co_footnoteRe
ference_F5289391251_ID0EPRA}
5
}}}
}
it also presents new challenges in working with non-lawyers who are actively in
volved in the business of dispute resolution as mediators and arbitrators. Criti
cs within the legal profession bemoan the opportunism of non-lawyers \u8220\'3fg
et[ting] on the bandwagon.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F6289391251_ID0EXRA}{\*\bkmkend co_footnoteRe
ference_F6289391251_ID0EXRA}
6
}}}
}
At the same time, non-lawyers, many of whom have already arrived there, show no
signs of retreat from the business of ADR.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EASAG_1}{\*\bkmkend co_g_ID0EASAG_1}
The ADR movement, and mediation in particular, offers the legal profession a dif
ferent view of access to the law and, in the process, an expansion of the law\rq
uote s ambit. Lawyers have a long-standing monopoly over the business of law,
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F7289391251_ID0EJSA}{\*\bkmkend co_footnoteRe
ference_F7289391251_ID0EJSA}
7
}}}
}
and have generally believed that this business belongs exclusively to lawyers.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F8289391251_ID0EOSA}{\*\bkmkend co_footnoteRe
ference_F8289391251_ID0EOSA}
8
}}}
}
For over one hundred years, this belief has been protected by the unauthorized
practice of
}
{\i1 \fs20 \cf21 \f2 \b1
*239
}
}
law (\u8220\'3fUPL\u8221\'3f) doctrine limiting the practice of law to licensed
professionals who have satisfied educational and moral requirements and have be
en admitted to state bars.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F9289391251_ID0EYSA}{\*\bkmkend co_footnoteRe
ference_F9289391251_ID0EYSA}
9
}}}
}
This doctrine gives almost absolute control of legal business to lawyers. Indiv
iduals engaging in activity that even resembles the practice of law are vulnerab
le, risking exposure to civil and criminal penalties.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EETAG_1}{\*\bkmkend co_g_ID0EETAG_1}
Mediation, becoming as integral a part of the corporate setting as the court sys
tem, has flourished in both the private and public sectors. Along with the growt
h of the mediation business and its connection to the justice system has come th
e organized bar\rquote s interest in the enforcement of unauthorized practice re
gulations against non-lawyers. As a result, mediators and other problem-solving
experts now join accountants, probate, tax and divorce counselors, multidiscipli
nary practitioners (\u8220\'3fMDPs\u8221\'3f),
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F10289391251_ID0EQT}{\*\bkmkend co_footnoteRe
ference_F10289391251_ID0EQT}
10
}}}
}
and others whose professional activities have been challenged as encroaching on
the practice of law.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F11289391251_ID0EVT}{\*\bkmkend co_footnoteRe
ference_F11289391251_ID0EVT}
11
}}}
}
Mediation practice today operates under the haunting shadows of UPL regulation.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj

{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E5TAG_1}{\*\bkmkend co_g_ID0E5TAG_1}
As the organized bar struggles with issues of professionalism, a growing movemen
t for professional autonomy is taking hold within the dispute resolution communi
ty. This movement threatens the exclusive power that the legal profession has en
joyed in the business of resolving conflict. Paradoxically, as the field of disp
ute resolution moves in the direction of professionalization, legal ethics schol
ars debate whether law should be considered a profession or a business.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F12289391251_ID0EMU}{\*\bkmkend co_footnoteRe
ference_F12289391251_ID0EMU}
12
}}}
}
It seems to be the business, and not the profession of law, that drives efforts
to limit and curtail the problem-solving activities of non-legal
}
{\i1 \fs20 \cf21 \f2 \b1
*240
}
}
practitioners in the field of dispute resolution, most notably in mediation pra
ctice.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E1UAG_1}{\*\bkmkend co_g_ID0E1UAG_1}
The regulation of mediation practice through an unauthorized-practice-of-law reg
ime is resulting in unnecessary turf battles between lawyers and non-lawyers. Th
e central claim of this Article is that the rigidity of the UPL doctrine is illsuited to what needs to be regulated in the mediation field. A problem-solving p
erspective will require that we should first consider the underlying needs and i
nterests of the disputing parties in achieving justice and fairness instead of i
mmediately defaulting to the conceptual framework of UPL regulations. This requi
res a broader vision that should move us closer to the parties being served. The
n together, the legal and non-legal community can work collaboratively to develo
p optimal regulatory solutions that will achieve the highest quality in mediatio
n practice. Finally, I offer a specific proposal to modify UPL enforcement in me
diation practice.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EVVAG_1}{\*\bkmkend co_g_ID0EVVAG_1}
Part I of this Article describes the problem of blurred boundaries between the l
egal profession and the emerging mediation profession against the background of
a developing problem-solving ethic for lawyers.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F13289391251_ID0E4V}{\*\bkmkend co_footnoteRe
ference_F13289391251_ID0E4V}
13
}}}
}
This Part also discusses the historical background of the ADR movement, out of
which current mediation practice arises. Part II describes how the legal profess
ion uses the threat of UPL regulations to suppress competition from non-lawyers.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F14289391251_ID0EFW}{\*\bkmkend co_footnoteRe
ference_F14289391251_ID0EFW}
14
}}}
}
Part III demonstrates the empirical reality of mediation practice and then desc
ribes how mediators attempt to protect themselves from UPL charges.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F15289391251_ID0EKW}{\*\bkmkend co_footnoteRe
ference_F15289391251_ID0EKW}
15
}}}
}
Part IV proposes a framework for reform that modifies existing UPL regulations
in mediation practice.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F16289391251_ID0EPW}{\*\bkmkend co_footnoteRe
ference_F16289391251_ID0EPW}
16
}}}
}
The way forward requires a bold vision for the legal profession.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EYWAG_1}{\*\bkmkend co_g_ID0EYWAG_1}
Part I The Problem of Blurred Boundaries

\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ECXAG_1}{\*\bkmkend co_g_ID0ECXAG_1}
Distinguishing between the work of lawyers and the work of mediators and dispute
resolution professionals is a fuzzy enterprise. Both lawyers and non-lawyers ne
gotiate, mediate, and arbitrate. While this has always been the case, today, pra
ctitioners of these ADR processes have begun to organize themselves as a distinc
t profession, thereby blurring the boundaries between the legal and emerging dis
pute resolution professions. What makes the situation
}
{\i1 \fs20 \cf21 \f2 \b1
*241
}
}
even more complex is that attorneys often belong to and lead dispute resolution
organizations.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E3XAG_1}{\*\bkmkend co_g_ID0E3XAG_1}
The blurring of boundaries is problematic because it creates tensions and unnece
ssary battles.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F17289391251_ID0EEY}{\*\bkmkend co_footnoteRe
ference_F17289391251_ID0EEY}
17
}}}
}
This is an odd phenomenon because it is happening at the same time that many in
the legal profession are embracing a new ethic of problem-solving that encourag
es collaboration with other disciplines and honors the values of compromise, acc
ommodation, and reconciliation.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F18289391251_ID0EIY}{\*\bkmkend co_footnoteRe
ference_F18289391251_ID0EIY}
18
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EPYAG_1}{\*\bkmkend co_g_ID0EPYAG_1}
I. ADR as \u8220\'3fLaw Business\u8221\'3f
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EZYAG_1}{\*\bkmkend co_g_ID0EZYAG_1}
A. Conflict Resolution
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EDZAG_1}{\*\bkmkend co_g_ID0EDZAG_1}
The ADR movement, one of the most significant developments in the field of confl
ict resolution, provides a framework to address law-related disputes. While valu
es such as efficiency and satisfaction have driven the growth of mediation pract
ice in particular, it is important to note that the primary underlying value of
mediation is the principle of self-determination--the parties affected by a disp
ute decide the outcome of the dispute.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F19289391251_ID0EOZ}{\*\bkmkend co_footnoteRe
ference_F19289391251_ID0EOZ}
19
}}}
}
Because this principle complements the values of other professions devoted to p
roblem-solving through party self-determination, ADR practice now attracts profe
ssionals from diverse disciplines including education, psychology, law and socia
l work.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F20289391251_ID0ESZ}{\*\bkmkend co_footnoteRe
ference_F20289391251_ID0ESZ}
20
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EZZAG_1}{\*\bkmkend co_g_ID0EZZAG_1}
ADR\rquote s relationship to traditional legal practices has set the stage for c
urrent boundary battles. Dispute resolution activities have generated a business
that is very much connected to the justice system,

}
{\i1 \fs20 \cf21 \f2 \b1
*242
}
}
the natural habitat of legal professionals.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F21289391251_ID0EJ1}{\*\bkmkend co_footnoteRe
ference_F21289391251_ID0EJ1}
21
}}}
}
Mandatory mediation programs, now a common feature in state and federal courts,
have significantly contributed to the growth of an ADR industry. Thus, what beg
an as a conversation in search of alternatives to adjudication has resulted in t
he development of a highly structured legal and extra-legal system for resolving
disputes.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F22289391251_ID0EQ1}{\*\bkmkend co_footnoteRe
ference_F22289391251_ID0EQ1}
22
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EX1AG_1}{\*\bkmkend co_g_ID0EX1AG_1}
B. ADR: Historical Background
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EB2AG_1}{\*\bkmkend co_g_ID0EB2AG_1}
The historical background of ADR has been well documented.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F23289391251_ID0EJ2}{\*\bkmkend co_footnoteRe
ference_F23289391251_ID0EJ2}
23
}}}
}

ADR practice is not a new phenomenon in the United States.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F24289391251_ID0EO2}{\*\bkmkend co_footnoteRe
ference_F24289391251_ID0EO2}
24
}}}
}
Its modern history is rooted in labor relations and collective bargaining.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F25289391251_ID0ET2}{\*\bkmkend co_footnoteRe
ference_F25289391251_ID0ET2}
25
}}}
}
It was not until the early 1970\rquote s that ADR assumed the attributes of a l
aw reform movement at a time when many observers in the legal and academic commu
nities began to have serious concerns about the negative effects of increased li
tigation. One well known effort in the search for alternatives occurred in 1976
when former Chief Justice Warren Burger convened the Pound Conference on the Cau
ses of Popular Dissatisfaction with the Administration of Justice.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F26289391251_ID0E22}{\*\bkmkend co_footnoteRe
ference_F26289391251_ID0E22}
26
}}}
}
Legal academics, members of the judiciary, and public interest lawyers joined t
ogether to find new ways of dealing with disputes. Some of the papers that emerg
ed from the conference shape our basic theoretical understanding of ADR even tod
ay.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F27289391251_ID0EC3}{\*\bkmkend co_footnoteRe
ference_F27289391251_ID0EC3}
27
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EJ3AG_1}{\*\bkmkend co_g_ID0EJ3AG_1}
Scholars have described the historical development of the modern ADR movement in
terms of stages progressing from innovation

}
{\i1 \fs20 \cf21 \f2 \b1
*243
}
}
and experimentation to institutionalization.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F28289391251_ID0EW3}{\*\bkmkend co_footnoteRe
ference_F28289391251_ID0EW3}
28
}}}
}
ADR began as a community-based initiative. Local citizens served as mediators i
n neighborhood justice centers offering community members both an alternative to
the courts and accessible justice.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F29289391251_ID0E53}
29
}}}
}
The 1980\rquote s was an era of innovation, with courts and corporations both e
xperimenting with various forms of ADR. By the end of the 1990\rquote s, ADR bec
ame well entrenched, and scholars noted that its focus had shifted from experime
ntation to institutionalization.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F30289391251_ID0EG4}{\*\bkmkend co_footnoteRe
ference_F30289391251_ID0EG4}
30
}}}
}
As usage increased, ADR moved beyond its efficiency goals and helped parties ac
hieve greater personal satisfaction through its outcomes and enhancement of rela
tionships.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F31289391251_ID0EK4}{\*\bkmkend co_footnoteRe
ference_F31289391251_ID0EK4}
31
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0ER4AG_1}{\*\bkmkend co_g_ID0ER4AG_1}
C. The Search for Professional Autonomy
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E24AG_1}{\*\bkmkend co_g_ID0E24AG_1}
The combined energy of multiple disciplines has been reflected in a movement for
professional autonomy in ADR, particularly in mediation. This movement was ener
gized with the establishment of several professional organizations, most notably
the Society of Professionals in Dispute Resolution (\u8220\'3fSPIDR\u8221\'3f)
in 1972.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F32289391251_ID0EG5}{\*\bkmkend co_footnoteRe
ference_F32289391251_ID0EG5}
32
}}}
}
The growth of mediation activity in so many sectors has resulted in the notion
of mediation as an emerging profession, with its indicia of formal expertise, re
gulatory power and a desire by members to be accepted as professionals.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F33289391251_ID0EK5}{\*\bkmkend co_footnoteRe
ference_F33289391251_ID0EK5}
33
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ER5AG_1}{\*\bkmkend co_g_ID0ER5AG_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*244
}
}
Overall, there is a great concern with competency, quality, and ethics in dispu
te resolution practice. Nowhere is this concern more evident than in the field o
f mediation where efforts to certify and license mediators are taking place in m
any states,
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F34289391251_ID0E55}
34
}}}
}
standards have been drafted to insure good mediation practice,
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F35289391251_ID0EB6}{\*\bkmkend co_footnoteRe
ference_F35289391251_ID0EB6}
35
}}}
}
and a number of major organizations are involved in collaborative efforts to pa
ss uniform legislation.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F36289391251_ID0EF6}{\*\bkmkend co_footnoteRe
ference_F36289391251_ID0EF6}
36
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EM6AG_1}{\*\bkmkend co_g_ID0EM6AG_1}
But, mediation is still an evolving profession and the movement for professional
autonomy is at an early stage of development.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F37289391251_ID0EU6}{\*\bkmkend co_footnoteRe
ference_F37289391251_ID0EU6}
37
}}}
}
It is a movement plagued with questions: Who should regulate? How
}
{\i1 \fs20 \cf21 \f2 \b1
*245
}
}

should regulation be accomplished?
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F38289391251_ID0EBA}{\*\bkmkend co_footnoteRe
ference_F38289391251_ID0EBA}
38
}}}
}
What qualifications are required?
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F39289391251_ID0EGA}{\*\bkmkend co_footnoteRe
ference_F39289391251_ID0EGA}
39
}}}
}
There have been some limited collaborative efforts among different professions
to achieve consensus on critical issues affecting mediation practice.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F40289391251_ID0ELA}{\*\bkmkend co_footnoteRe
ference_F40289391251_ID0ELA}
40
}}}
}
But professional organizations are drawing boundaries about what is needed befo
re they will support uniform efforts to regulate and are also clear in their con
cern that mediation be considered distinct from the practice of law.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F41289391251_ID0EPA}{\*\bkmkend co_footnoteRe
ference_F41289391251_ID0EPA}
41
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EWABG_1}{\*\bkmkend co_g_ID0EWABG_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*246
}
}
II. The New Culture of Problem-Solving
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EEBBG_1}{\*\bkmkend co_g_ID0EEBBG_1}
A. Lawyers and Problem-Solving
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EOBBG_1}{\*\bkmkend co_g_ID0EOBBG_1}
Over the last twenty years, interest in the theory and practice of problem-solvi
ng as an approach to lawyering has paralleled developments in the ADR and mediat
ion movements. The essential attribute of a problem-solving orientation is a foc
us on parties\rquote underlying needs and interests rather than on their articu
lated positions.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F42289391251_ID0EZB}{\*\bkmkend co_footnoteRe
ference_F42289391251_ID0EZB}
42
}}}
}
A rapidly growing literature admonishes lawyers to shed adversarial clothing, t
hink outside the litigation box, embrace creativity, create value, and move into
the twenty-first century as problem-solvers rather than as gladiators.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F43289391251_ID0E5B}{\*\bkmkend co_footnoteRe
ference_F43289391251_ID0E5B}
43
}}}
}
At the same time, there has been a growing interest in the development of probl
em-solving courts that are
}
{\i1 \fs20 \cf21 \f2 \b1
*247
}
}
more responsive to litigants\rquote specific needs than traditional law courts
.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F44289391251_ID0EHC}{\*\bkmkend co_footnoteRe
ference_F44289391251_ID0EHC}
44
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EOCBG_1}{\*\bkmkend co_g_ID0EOCBG_1}
Law schools have joined in the venture as well. Beginning in the early l980\rquo
te s, critics of traditional legal education criticized law schools for their em
phasis on training law students for combat, competition and rivalry rather than
for reconciliation and accommodation.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F45289391251_ID0EZC}{\*\bkmkend co_footnoteRe
ference_F45289391251_ID0EZC}
45
}}}
}
Over the last twenty years, the study of ADR has become part of the law school
curriculum both in clinical and theory courses.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F46289391251_ID0E5C}{\*\bkmkend co_footnoteRe
ference_F46289391251_ID0E5C}
46
}}}
}
In l992, the MacCrate Report, an American Bar Association (\u8220\'3fABA\u8221\
'3f) Task Force Report on Legal Education and Professional Development, identifi
ed problem-solving as one of the ten fundamental lawyering skills that were impo
rtant for practicing lawyers to possess.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F47289391251_ID0EDD}{\*\bkmkend co_footnoteRe
ference_F47289391251_ID0EDD}
47
}}}
}
Over the past ten years, several funding sources have devoted resources to deve
loping a problem-solving pedagogy in law schools
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F48289391251_ID0EGD}{\*\bkmkend co_footnoteRe

ference_F48289391251_ID0EGD}
48
}}}
}
and significant programs have devoted considerable efforts to examining the rol
e of the lawyer as problem-solver.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F49289391251_ID0ELD}{\*\bkmkend co_footnoteRe
ference_F49289391251_ID0ELD}
49
}}}
}
Some scholars have
}
{\i1 \fs20 \cf21 \f2 \b1
*248
}
}
called for less fidelity to the traditional Langdellian model of law school ped
agogy and greater emphasis on developments in cognitive science.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F50289391251_ID0EVD}{\*\bkmkend co_footnoteRe
ference_F50289391251_ID0EVD}
50
}}}
}
Other scholars argue for greater recognition of the benefits of interdisciplina
ry learning and dialogue.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F51289391251_ID0EZD}{\*\bkmkend co_footnoteRe
ference_F51289391251_ID0EZD}
51
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EAEBG_1}{\*\bkmkend co_g_ID0EAEBG_1}
B. What is Problem-Solving for Lawyers?

\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EKEBG_1}{\*\bkmkend co_g_ID0EKEBG_1}
At a basic level, it may seem silly to talk of a new movement that looks upon la
wyers as problem-solvers. Lawyers have always been sought out as solvers of lega
l problems. What then is significant about a problem-solving approach to lawyeri
ng?
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E3EBG_1}{\*\bkmkend co_g_ID0E3EBG_1}
Within the context of the modern problem-solving movement, problem-solving can b
e understood broadly as an orientation that moves away from positional articulat
ion of problems to interest-based articulation of problems.
}
This approach opens up greater possibilities for developing broadened options a
nd solutions that more directly respond to the parties\rquote underlying needs.
In moving away from a positional articulation of problems, \u8220\'3fneeds\u822
1\'3f analysis takes into account the powerful role that personal values and emo
tions play in guiding our ethical and moral choices.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F52289391251_ID0EKF}{\*\bkmkend co_footnoteRe
ference_F52289391251_ID0EKF}
52
}}}
}
Problem-solving fits into a broader trend of transformative law practice, holis
tic lawyering and therapeutic jurisprudence that views law as a healing professi
on.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F53289391251_ID0EPF}{\*\bkmkend co_footnoteRe
ference_F53289391251_ID0EPF}
53
}}}
}
}
{\i1 \fs20 \cf21 \f2 \b1
*249
}
}
It is part of wider restorative justice and preventative law movements that val
ue peacemaking and consensus building, and seek a more humanistic approach to th
e practice of law.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F54289391251_ID0EYF}{\*\bkmkend co_footnoteRe
ference_F54289391251_ID0EYF}
54
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E6FBG_1}{\*\bkmkend co_g_ID0E6FBG_1}
Problem-solving can also be understood as an ability to share decisionmaking pow
er and engage with other actors, including non-lawyers, in the management and re
solution of disputes. Thus, projects that involve collaboration, interdisciplina
ry initiatives, partnering and group decision-making are highly favored under a
problem-solving regime.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F55289391251_ID0EJG}{\*\bkmkend co_footnoteRe
ference_F55289391251_ID0EJG}
55
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EQGBG_1}{\*\bkmkend co_g_ID0EQGBG_1}
At a minimum, problem-solving skills require an ability to identify and analyze
underlying interests,
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F56289391251_ID0EWG}{\*\bkmkend co_footnoteRe
ference_F56289391251_ID0EWG}
56
}}}
}
expand resources, generate options and help clients arrive at solutions that ar
e truly responsive to their needs.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F57289391251_ID0E2G}{\*\bkmkend co_footnoteRe
ference_F57289391251_ID0E2G}

57
}}}
}
With regard to basic lawyering skills, some problem-solving abilities, such as
listening and decision-making, may seem readily apparent. But the overall projec
t of identifying and defining skills as uniquely \u8220\'3fproblem-solving,\u822
1\'3f and developing an appropriate problem-solving curriculum, are on-going ent
erprises.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F58289391251_ID0ECH}{\*\bkmkend co_footnoteRe
ference_F58289391251_ID0ECH}
58
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EJHBG_1}{\*\bkmkend co_g_ID0EJHBG_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*250
}
}
C. Lawyers\rquote Response to Problem-Solving: Integrating ADR into Law Practi
ce
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EXHBG_1}{\*\bkmkend co_g_ID0EXHBG_1}
The rhetoric of a problem-solving perspective for lawyers is frequently equated
with mediation
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F59289391251_ID0E4H}{\*\bkmkend co_footnoteRe
ference_F59289391251_ID0E4H}
59
}}}
}
or some form of ADR practice.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F60289391251_ID0ECI}{\*\bkmkend co_footnoteRe

ference_F60289391251_ID0ECI}
60
}}}
}
Thus, lawyers\rquote response to the developing culture of problem-solving has
been in the direction of non-adversarial dispute resolution,
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F61289391251_ID0EFI}{\*\bkmkend co_footnoteRe
ference_F61289391251_ID0EFI}
61
}}}
}
and ADR is becoming an integral part of the practice of law.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F62289391251_ID0EKI}{\*\bkmkend co_footnoteRe
ference_F62289391251_ID0EKI}
62
}}}
}
Rules of professional ethics, the courtc and aspirational creeds require
}
{\i1 \fs20 \cf21 \f2 \b1
*251
}
}
lawyers to advise clients of ADR options.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F63289391251_ID0EUI}{\*\bkmkend co_footnoteRe
ference_F63289391251_ID0EUI}
63
}}}
}
Many law firms have developed ADR practice sections as well.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F64289391251_ID0EZI}{\*\bkmkend co_footnoteRe
ference_F64289391251_ID0EZI}
64
}}}
}
Corporations report a growing use of ADR;
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F65289391251_ID0E3I}{\*\bkmkend co_footnoteRe
ference_F65289391251_ID0E3I}
65
}}}
}
over four thousand companies have signed a corporate pledge to seriously explor
e ADR processes in conflicts arising with other signatories.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F66289391251_ID0EAJ}{\*\bkmkend co_footnoteRe
ference_F66289391251_ID0EAJ}
66
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EHJBG_1}{\*\bkmkend co_g_ID0EHJBG_1}
The rapid growth of court-annexed programs, many of which are mandatory, has bee
n perhaps the most significant catalyst for the incorporation of ADR into legal
practice.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F67289391251_ID0EPJ}{\*\bkmkend co_footnoteRe
ference_F67289391251_ID0EPJ}
67
}}}
}
Mediation is the most prevalent form of court-connected ADR today.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F68289391251_ID0EUJ}{\*\bkmkend co_footnoteRe
ference_F68289391251_ID0EUJ}
68
}}}
}
When lawyers and
}
{\i1 \fs20 \cf21 \f2 \b1
*252
}
}
clients are required by court rule or statute to participate in ADR programs, u
sage obviously increases and credibility is enhanced. Some bar associations have
taken the lead in thinking about standards for the mediation profession as well
as providers and have offered guidance to the profession at large.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F69289391251_ID0EAK}{\*\bkmkend co_footnoteRe
ference_F69289391251_ID0EAK}
69
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EHKBG_1}{\*\bkmkend co_g_ID0EHKBG_1}
Lawyers are involved both as advocates and as neutrals in ADR processes. Serving
as arbitrators, mediators, early neutral evaluators, and special masters in com
plex litigation, most lawyers offer a legalized view of dispute resolution. They
tend to confine their discussion of conflicts and disputes in structural catego
ries that are familiar to them. \u8220\'3fCases\u8221\'3f are referred to mediat
ion. \u8220\'3fLitigants\u8221\'3f participate in the mediation process. Their i
nvolvement has given rise to charges that they are making ADR more adversarial a
nd legalistic,
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F70289391251_ID0E3K}{\*\bkmkend co_footnoteRe
ference_F70289391251_ID0E3K}
70
}}}
}
these processes have become more settlement-driven
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F71289391251_ID0E6K}{\*\bkmkend co_footnoteRe
ference_F71289391251_ID0E6K}
71
}}}
}
and they are attempting to co-opt the field.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F72289391251_ID0EEL}{\*\bkmkend co_footnoteRe
ference_F72289391251_ID0EEL}
72
}}}
}
The most serious concerns about lawyers\rquote aggressive behavior arise in me
diation practice. In the view of one commentator, lawyers have \u8220\'3fintenti
onally creat [ed] an ever widening feeling of distance between the everyday citi
zen and the practice of mediation. In this way, lawyers have been able to
}
{\i1 \fs20 \cf21 \f2 \b1
*253
}
}
keep the new \u8216\'3fgiven tool\u8217\'3f (mediation) from those who are not
connected to the law \u8216\'3ffraternity.\u8221\'3f\u8217\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F73289391251_ID0E5L}{\*\bkmkend co_footnoteRe
ference_F73289391251_ID0E5L}
73
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EGMBG_1}{\*\bkmkend co_g_ID0EGMBG_1}
D. New Lawyering Roles
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EQMBG_1}{\*\bkmkend co_g_ID0EQMBG_1}
The questions and issues raised by lawyers\rquote involvement as neutrals in AD
R have given rise to a vast ethics literature and call for new professional resp
onsibility rules.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F74289391251_ID0EYM}{\*\bkmkend co_footnoteRe
ference_F74289391251_ID0EYM}
74
}}}
}
The involvement of lawyers as neutrals in ADR processes raises ethical issues f
or which little guidance currently exists. There are questions that arise when r
ules of professional ethics for lawyers collide with those for neutrals.
}
{\i0 \fs16 \cf1 \f2 \b0

{\*\bkmkstart co_footnoteReference_F75289391251_ID0EAN}{\*\bkmkend co_footnoteRe
ference_F75289391251_ID0EAN}
75
}}}
}
The role of the lawyer as neutral is not specifically addressed under the ABA M
odel Rules or the Code of Professional Responsibility.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F76289391251_ID0EFN}{\*\bkmkend co_footnoteRe
ference_F76289391251_ID0EFN}
76
}}}
}
There are new proposals to govern the conduct of neutral lawyers.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F77289391251_ID0EKN}{\*\bkmkend co_footnoteRe
ference_F77289391251_ID0EKN}
77
}}}
}
The ABA Ethics 2000 Commission has also proposed a new ethics rule that would e
xpand the lawyer\rquote s role to include serving as a dispute resolution neutra
l.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F78289391251_ID0EPN}{\*\bkmkend co_footnoteRe
ference_F78289391251_ID0EPN}
78
}}}
}
All of this activity has the effect of making an
}
{\i1 \fs20 \cf21 \f2 \b1
*254
}
}
attorney\rquote s neutral work in ADR a \u8220\'3flawyering role\u8221\'3f and
gives the legal profession a greater sense of claiming ADR practice for its own.
To the extent that lawyers incorporate ADR into their legal practice, it become
s legitimized as another \u8220\'3flawyering role,\u8221\'3f and with this exclu
sivity comes greater ownership claims on ADR practice by lawyers.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EAOBG_1}{\*\bkmkend co_g_ID0EAOBG_1}
E. Paradox of the Problem-Solving Culture
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EKOBG_1}{\*\bkmkend co_g_ID0EKOBG_1}
Despite the new ethic created by the culture of problem-solving with its emphasi
s on collaborative processes, the old adversarial ethic has not been fully displ
aced. Boundary conflicts, control and monopolistic behavior are still apparent a
nd as tensions mount between lawyers and non-lawyers over ownership of ADR, in p
articular, mediation practice.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EZOBG_1}{\*\bkmkend co_g_ID0EZOBG_1}
The joinder of legal and non-legal professionals in the mediation community has
created a conceptual collision course driven by proprietary questions: Should an
y one group dominate the field and if so, are others displaced? Should lawyers b
e involved in shaping mediation practice? Both legal and non-legal professionals
are somewhat uncomfortable with these questions. Dispute resolution professiona
ls fear that their emerging profession is under attack by the organized bar. The
ir fears are supported by rhetoric on \u8220\'3fhow to defend themselves against
the mounting attack on the ADR profession\u8221\'3f and \u8220\'3fa call to arm
s against the threat of the \u8216\'3flawyerization\u8217\'3f and parochializati
on of alternative dispute resolution practices.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F79289391251_ID0E6P}{\*\bkmkend co_footnoteRe
ference_F79289391251_ID0E6P}
79
}}}
}
Their fears may be justified. With the expansion of court mediation programs an
d with more lawyers trained in mediation skills, there is a greater demand by la
wyers for mediation business.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F80289391251_ID0EHQ}{\*\bkmkend co_footnoteRe
ference_F80289391251_ID0EHQ}
80
}}}
}
In fact, in some contexts, only lawyers are permitted to mediate.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F81289391251_ID0ELQ}{\*\bkmkend co_footnoteRe
ference_F81289391251_ID0ELQ}
81
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ESQBG_1}{\*\bkmkend co_g_ID0ESQBG_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*255
}
}
The legal profession has its own economic concerns. Dispute resolvers from outs
ide the legal profession have been encouraged to adapt their skills to mediation
and offer parties an alternative to litigation. Consider the following comment
in a social work journal: \u8220\'3fWhile the utilization of mediation is still
limited, the need to contain costs, to be more time-efficient, and to reduce the
backlog in courts, will advance the field of mediation. It is anticipated that
mediation will eventually be considered the appropriate form of dispute resoluti
on rather than as an alternative to litigation.
}
Social workers have many opportunities to be at the forefront in this exciting
and challenging field of practice.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F82289391251_ID0ESR}{\*\bkmkend co_footnoteRe
ference_F82289391251_ID0ESR}
82
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EZRBG_1}{\*\bkmkend co_g_ID0EZRBG_1}
The greatest area of tension between lawyers and non-lawyers has been in mediati
on practice.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F83289391251_ID0EBS}{\*\bkmkend co_footnoteRe
ference_F83289391251_ID0EBS}
83
}}}
}
For non-lawyers, the entry of lawyers has caused a great deal of discomfort. La
wyers trying to carve
}
{\i1 \fs20 \cf21 \f2 \b1
*256
}
}
out a niche in a pre-existing field threaten their lay counterparts who fear th
at the power of the bar and the growth of court-connected programs may exclude t
hem. Tensions between legal and non-legal professionals who practice mediation h
ave reached such a level of passion that use of the term \u8220\'3fnon-lawyer\u8
221\'3f in mediation has been labeled \u8220\'3fpejorative.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F84289391251_ID0ERS}{\*\bkmkend co_footnoteRe
ference_F84289391251_ID0ERS}
84
}}}
}
Despite the work of some lawyers committed to fostering a problem-solving ethic
, lawyers\rquote entry into the developing profession of mediation has been com
pared to \u8220\'3fthe proverbial bull in the china shop.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F85289391251_ID0E6S}{\*\bkmkend co_footnoteRe
ference_F85289391251_ID0E6S}
85
}}}
}
Mediator and lawyer David Hoffman observes with candor: \u8220\'3fMany of my co
lleagues in the bar believe that their law degrees alone qualify them to be disp
ute resolvers, and they have little regard for the thousands of mediators who co
me from a variety of professional and nonprofessional backgrounds.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F86289391251_ID0EMT}{\*\bkmkend co_footnoteRe
ference_F86289391251_ID0EMT}
86
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ETTBG_1}{\*\bkmkend co_g_ID0ETTBG_1}
The paradox of the new problem-solving ethic challenges the legal community. Des
pite the prevailing rhetoric of collaboration, compromise and peacemaking,
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F87289391251_ID0E3T}{\*\bkmkend co_footnoteRe
ference_F87289391251_ID0E3T}
87
}}}
}
the problem of blurred boundaries between the legal profession and the emerging
dispute resolution profession has raised serious conflicts, particularly in cou
rt-connected ADR programs. In the following section, I describe these conflicts
with particular focus on mediation practice, and discuss how the organized bar h
as used the threat of UPL enforcement to minimize competition from non-lawyers.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EIUBG_1}{\*\bkmkend co_g_ID0EIUBG_1}
Part II Boundary Conflicts
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0ESUBG_1}{\*\bkmkend co_g_ID0ESUBG_1}
I. ADR and the Practice of Law
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E3UBG_1}{\*\bkmkend co_g_ID0E3UBG_1}
As ADR and mediation, in particular, began to develop as a profession, scholars
and practitioners explored whether mediation constituted the practice of law and
if so, what results flowed from that conclusion.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F88289391251_ID0EEV}{\*\bkmkend co_footnoteRe
ference_F88289391251_ID0EEV}
88
}}}
}

Part of their concern was directed at lawyers in their
}
{\i1 \fs20 \cf21 \f2 \b1
*257
}
}
new roles as third party neutrals. Specifically, mediation practice by lawyers,
sparked considerable debate about the relevant ethical rules governing lawyer b
ehavior.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F89289391251_ID0ERV}{\*\bkmkend co_footnoteRe
ference_F89289391251_ID0ERV}
89
}}}
}
Several questions arose: Do lawyer-mediators engage in representation during th
e mediation process? How does this implicate conflict of interest rules? Is medi
ation covered under the ancillary practice rules?
}
{\i0 \fs16 \cf1 \f2 \b0
90
}}}
}
Many of these concerns related to ongoing but separate debates about the merits
of \u8220\'3ffacilitative\u8221\'3f versus \u8220\'3fevaluative\u8221\'3f forms
of mediation practice,
}
{\i0 \fs16 \cf1 \f2 \b0
91
}}}
}
whether lawyers serving as neutrals could give legal advice to parties
}
{\i1 \fs20 \cf21 \f2 \b1
*258
}
}
during a mediation proceeding and whether they could draft settlement agreement
s.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F92289391251_ID0EJW}{\*\bkmkend co_footnoteRe
ference_F92289391251_ID0EJW}
92
}}}
}
Scholars argued that if mediation were the practice of law, new professional re
sponsibility rules were needed for lawyers.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F93289391251_ID0ENW}{\*\bkmkend co_footnoteRe
ference_F93289391251_ID0ENW}
93
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EUWBG_1}{\*\bkmkend co_g_ID0EUWBG_1}
An equally serious part of the practice of law concern was with non-lawyers. Muc
h of the concern in mediation has been with the activities of non-lawyer neutral
s engaged in divorce mediation. In the early 1980\rquote s several bar associati
on ethics committees issued opinions regarding the permissible boundaries of div
orce mediation.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F94289391251_ID0ECX}{\*\bkmkend co_footnoteRe
ference_F94289391251_ID0ECX}
94
}}}
}
Typical inquiries in most opinions concern whether mediation constitutes the pr
actice of law, the extent to which non-lawyers may participate in the mediation
process and the extent to which lawyers may participate in mediation with non-la
wyers or alone. Concern with unauthorized practice pervades the opinions.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F95289391251_ID0EKX}{\*\bkmkend co_footnoteRe
ference_F95289391251_ID0EKX}
95
}}}
}
Except for what seems to be leniency towards not-for-profit mediation services,
non-lawyers were generally restricted in their mediation activities.
}
{\i0 \fs16 \cf1 \f2 \b0

{\*\bkmkstart co_footnoteReference_F96289391251_ID0EOX}{\*\bkmkend co_footnoteRe
ference_F96289391251_ID0EOX}
96
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EVXBG_1}{\*\bkmkend co_g_ID0EVXBG_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*259
}
}
In general, commentators offered different views on the extent to which non-law
yers could engage in law-related activities. Some scholars argued that it was un
wise to prohibit an explanatory discussion of law by non-lawyer mediators, but t
hat it would not be a good idea to sanction it completely.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F97289391251_ID0EEY}{\*\bkmkend co_footnoteRe
ference_F97289391251_ID0EEY}
97
}}}
}
Others distinguished between \u8220\'3ffacilitative\u8221\'3f and \u8220\'3feva
luative\u8221\'3f styles of mediation practice, arguing that laypersons should b
e permitted to engage in facilitative mediation, but only lawyers should be perm
itted to practice evaluative mediation.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F98289391251_ID0EJY}{\*\bkmkend co_footnoteRe
ference_F98289391251_ID0EJY}
98
}}}
}
Others argued for uniform standards to govern UPL and mediation practice.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F99289391251_ID0ENY}{\*\bkmkend co_footnoteRe
ference_F99289391251_ID0ENY}
99
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EUYBG_1}{\*\bkmkend co_g_ID0EUYBG_1}
The escalating boundary battle between lawyers and non-lawyers in ADR has procee
ded along an historically predictable course. The legal profession has sought re
fuge in the protections offered by the UPL doctrine while dispute resolution pro
fessionals respond that their practices do not amount to the practice of law.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F100289391251_ID0E6}
100
}}}
}
The following sections offer a brief background of UPL regulation in the United
States. This area has been the subject of extensive commentary and my purpose h
ere is to explain it in light of the issues and questions raised by the involvem
ent of non-lawyers in the emerging mediation profession.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0ELZBG_1}{\*\bkmkend co_g_ID0ELZBG_1}
II. The Unauthorized Practice of Law Doctrine
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EVZBG_1}{\*\bkmkend co_g_ID0EVZBG_1}
The UPL doctrine limits the practice of law to licensed attorneys who have satis
fied educational and moral requirements. Every state regulates the unauthorized
practice of law by statute, case law
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F101289391251_ID0E5}
101
}}}
}
or a
}
{\i1 \fs20 \cf21 \f2 \b1

*260
}
}
combination of both. Unauthorized practice rules apply both to non-lawyers and
to attorneys who are not licensed to practice in a particular state
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F102289391251_ID0EJ}{\*\bkmkend co_footnoteRe
ference_F102289391251_ID0EJ}
102
}}}
}
or who assist non-lawyers in the unauthorized practice of law.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F103289391251_ID0EO}{\*\bkmkend co_footnoteRe
ference_F103289391251_ID0EO}
103
}}}
}
UPL enforcement methods vary and may rest with bar associations, supreme court
committees or civil and criminal law enforcement through the attorney general or
public prosecutor\rquote s office.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F104289391251_ID0ET}{\*\bkmkend co_footnoteRe
ference_F104289391251_ID0ET}
104
}}}
}
When cases are not resolved through negotiated settlements,
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F105289391251_ID0EW}{\*\bkmkend co_footnoteRe
ference_F105289391251_ID0EW}
105
}}}
}
remedies may take the form of injunction, criminal prosecution, criminal contem
pt and quo warranto writs.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F106289391251_ID0E2}
106
}}}
}
Overall, there has been a decrease in enforcement activity over the last thirty
years.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F107289391251_ID0E6}
107
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EG2BG_1}{\*\bkmkend co_g_ID0EG2BG_1}
The ethical rules that regulate a lawyer\rquote s professional behavior, the 196
9 ABA Model Code of Professional Responsibility and the 1983 ABA Model Rules of
Professional Conduct, offer consumer protection as the rationale for UPL rules.
Consumers need to be provided with competent professional judgment and protected
from
}
{\i1 \fs20 \cf21 \f2 \b1
*261
}
}
ineffective assistance of counsel.
}
{\i0 \fs16 \cf1 \f2 \b0
108
}}}
}
The assumption is that lawyers are forced to exhibit a level of education and e
thical standards
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F109289391251_ID0EZ}{\*\bkmkend co_footnoteRe
ference_F109289391251_ID0EZ}
109
}}}
}
whereas non-lawyers are not regulated \u8220\'3fas to integrity or legal compet
ence by the same rules that govern the conduct of [lawyers].\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F110289391251_ID0EI}{\*\bkmkend co_footnoteRe
ference_F110289391251_ID0EI}
110
}}}
}
Likewise, case law refers to the state\rquote s interest \u8220\'3fin preventin
g legally untrained shysters who pose as attorneys from milking the public for p
ecuniary gain.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F111289391251_ID0EV}{\*\bkmkend co_footnoteRe
ference_F111289391251_ID0EV}
111
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0E33BG_1}{\*\bkmkend co_g_ID0E33BG_1}
A. Historical Background
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
The history of efforts to regulate the unauthorized practice of law has been wel
l documented.
}
{\i0 \fs16 \cf1 \f2 \b0
112
}}}
}
Restrictions against the unauthorized practice of law can be traced to the colo
nial era.
}
{\i0 \fs16 \cf1 \f2 \b0
113
}}}
}
Courts attempted to control who would appear before them as advocates for clien
ts.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F114289391251_ID0EY}{\*\bkmkend co_footnoteRe
ference_F114289391251_ID0EY}
114
}}}
}
In the non-litigation context, however, non-lawyers were permitted to engage in
a wide variety of legal assistance activities including drafting wills,
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F115289391251_ID0E2}
115
}}}
}
giving legal advice, and preparing legal documents.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F116289391251_ID0E6}
116
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
The legal profession\rquote s organized opposition to the unauthorized practice
of law began in 1930, a time described by Weckstein as \u8220\'3fa
}
{\i1 \fs20 \cf21 \f2 \b1
*262
}
}
period of economic depression when lawyers, along with almost everyone else, we
re struggling to protect their livelihood from competition and economic catastro
phe.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F117289391251_ID0E3}

117
}}}
}
In this year, the ABA established a committee on unauthorized practice and bega
n to encourage state bar associations to do the same.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F118289391251_ID0EB}{\*\bkmkend co_footnoteRe
ference_F118289391251_ID0EB}
118
}}}
}
Four years later, the ABA began publication of the Unauthorized Practice News a
nd a few years later began negotiating statements of principle with potential co
mpetitors about the permissible limits of their activities.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F119289391251_ID0EG}{\*\bkmkend co_footnoteRe
ference_F119289391251_ID0EG}
119
}}}
}
Not until the Supreme Courts\rquote decision in Goldfarb v. Virginia State Bar
,
}
{\i0 \fs16 \cf1 \f2 \b0
120
}}}
}
subjecting anticompetitive activity by bar associations to the federal antitrus
t laws, did UPL activity begin to subside.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0ES6BG_1}{\*\bkmkend co_g_ID0ES6BG_1}
B. Defining UPL
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E36BG_1}{\*\bkmkend co_g_ID0E36BG_1}

Efforts to define the \u8220\'3funauthorized practice of law,\u8221\'3f or conve
rsely the \u8220\'3fpractice of law,\u8221\'3f are characterized, at best, by lo
ngstanding ambiguity. The ethical rules governing lawyers\rquote behavior do no
t define unauthorized practice and instead leave it to the states for individual
determination.
}
{\i0 \fs16 \cf1 \f2 \b0
121
}}}
}
There is little uniformity in the definition of unauthorized practice or law pr
actice.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F122289391251_ID0EN}{\*\bkmkend co_footnoteRe
ference_F122289391251_ID0EN}
122
}}}
}
This is not surprising as the manner in which the practice of law is defined va
ries among the states.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F123289391251_ID0ES}{\*\bkmkend co_footnoteRe
ference_F123289391251_ID0ES}
123
}}}
}
Despite the uncertainties of what constitutes the practice of law, vagueness ch
allenges to UPL statutes have been routinely rejected.
}
{\i0 \fs16 \cf1 \f2 \b0
124
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E4AAI_1}{\*\bkmkend co_g_ID0E4AAI_1}
}
{\i1 \fs20 \cf21 \f2 \b1

*263
}
}
Three of the most common tests applied by courts in determining whether activit
y constitutes the practice of law are: (1) the Professional Judgment Test focusi
ng on whether the relevant activity is one that requires specialized training an
d skills;
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F125289391251_ID0EH}{\*\bkmkend co_footnoteRe
ference_F125289391251_ID0EH}
125
}}}
}
(2) the \u8220\'3fTraditional Area of Practice\u8221\'3f Test which defines law
practice as that which lawyers do;
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F126289391251_ID0EK}{\*\bkmkend co_footnoteRe
ference_F126289391251_ID0EK}
126
}}}
}
(3) the \u8220\'3fIncidental\u8221\'3f Legal Services Test, or the flip side of
the traditional area of practice test which examines whether the challenged act
ivity by non-lawyers is consistent with being \u8220\'3fan adjunct to a routine
in the business or commercial world that is not itself law practice.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F127289391251_ID0EX}{\*\bkmkend co_footnoteRe
ference_F127289391251_ID0EX}
127
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E5BAI_1}{\*\bkmkend co_g_ID0E5BAI_1}
A number of exceptions to the scope of UPL regulations have been recognized. Apa
rt from self-representation, which is recognized as a constitutional right,
}
{\i0 \fs16 \cf1 \f2 \b0

128
}}}
}
states also recognize the following situations: cases in which a personal attor
ney-client relationship is absent;
}
{\i0 \fs16 \cf1 \f2 \b0
129
}}}
}
nonlawyer representation before state and federal
}
{\i1 \fs20 \cf21 \f2 \b1
*264
}
}
administrative agencies
}
{\i0 \fs16 \cf1 \f2 \b0
130
}}}
}
and small claims courts;
}
{\i0 \fs16 \cf1 \f2 \b0
131
}}}
}
representation by supervised law students in a law school clinic;
}
{\i0 \fs16 \cf1 \f2 \b0
132
}}}
}
publishers\rquote First Amendment rights to create and sell do-it-yourself leg
al kits;
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F133289391251_ID0E2}
133
}}}
}
and scriveners rights to assist in completing forms as long as no advice is giv
en.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F134289391251_ID0E6}
134
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EGDAI_1}{\*\bkmkend co_g_ID0EGDAI_1}
C. UPL Today
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EQDAI_1}{\*\bkmkend co_g_ID0EQDAI_1}
In general it may be said that UPL enforcement varies considerably across the co
untry. It is pursued actively in some states
}
{\i0 \fs16 \cf1 \f2 \b0
135
}}}
}
such as Texas
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F136289391251_ID0E3}
136
}}}
}

and Florida,
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F137289391251_ID0E6}
137
}}}
}
and almost ignored in others.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F138289391251_ID0EE}{\*\bkmkend co_footnoteRe
ference_F138289391251_ID0EE}
138
}}}
}
In the wake of the MDP debate, however, many states have increased their
}
{\i1 \fs20 \cf21 \f2 \b1
*265
}
}
UPL activities and the ABA has expressed renewed interest in UPL enforcement.
}
{\i0 \fs16 \cf1 \f2 \b0
139
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EUEAI_1}{\*\bkmkend co_g_ID0EUEAI_1}
Over the last twenty-five years,
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F140289391251_ID0E1}
140
}}}
}
state court UPL litigation represents a mix of roughly seven general categories
of cases: employment issues raised at administrative hearings,
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F141289391251_ID0E4}
141
}}}
}
divorce,
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F142289391251_ID0EA}{\*\bkmkend co_footnoteRe
ference_F142289391251_ID0EA}
142
}}}
}
adoption,
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F143289391251_ID0ED}{\*\bkmkend co_footnoteRe
ference_F143289391251_ID0ED}
143
}}}
}
child support,
}
{\i0 \fs16 \cf1 \f2 \b0
144
}}}
}
insurance,
}
{\i0 \fs16 \cf1 \f2 \b0
145
}}}
}
real estate
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F146289391251_ID0EM}{\*\bkmkend co_footnoteRe
ference_F146289391251_ID0EM}
146
}}}
}
and mortgage cases.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F147289391251_ID0ER}{\*\bkmkend co_footnoteRe
ference_F147289391251_ID0ER}
147
}}}
}
The largest area of case law relates to real estate and mortgage issues.
}
Individual states brought charges against non-attorneys involved in a variety o
f activities that constituted the practice of law, including providing advice or
\u8216\'3ftyping services\rquote for divorce,
}
{\i0 \fs16 \cf1 \f2 \b0
148
}}}
}
immigration
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F149289391251_ID0E1}
149
}}}
}
or bankruptcy filings.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F150289391251_ID0E6}
150
}}}
}
The largest single area of state involvement was in attorney disciplinary proce
edings.
}
{\i0 \fs16 \cf1 \f2 \b0

151
}}}
}
The
}
{\i1 \fs20 \cf21 \f2 \b1
*266
}
}
states were also heavily involved in criminal prosecution that incorporated UPL
charges,
}
{\i0 \fs16 \cf1 \f2 \b0
152
}}}
}
or in cases where defendants requested the aid of lay representation.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F153289391251_ID0EQ}{\*\bkmkend co_footnoteRe
ference_F153289391251_ID0EQ}
153
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EXGAI_1}{\*\bkmkend co_g_ID0EXGAI_1}
The majority of UPL cases brought in federal court involve bankruptcy issues.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F154289391251_ID0E6}
154
}}}
}
Non-lawyers are typically charged with assisting parties in drafting and filing
petitions.
}
{\i0 \fs16 \cf1 \f2 \b0

155
}}}
}
This is not a surprising revelation, considering the significant increase in co
nsumer bankruptcy filings by pro se debtors.
}
{\i0 \fs16 \cf1 \f2 \b0
156
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EPHAI_1}{\*\bkmkend co_g_ID0EPHAI_1}
D. Literature Review
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EZHAI_1}{\*\bkmkend co_g_ID0EZHAI_1}
Over the last twenty-five years, UPL regulation has been the subject of extensiv
e criticism and proposals for change.
}
{\i0 \fs16 \cf1 \f2 \b0
157
}}}
}
Some
}
{\i1 \fs20 \cf21 \f2 \b1
*267
}
}
scholars have challenged the idea that the public was being protected and that
these rules were about the integrity of the legal profession; they charged that
these rules were about excluding competitors.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F158289391251_ID0EL}{\*\bkmkend co_footnoteRe
ference_F158289391251_ID0EL}
158
}}}
}
Professor Deborah Rhode\rquote s seminal article in 1981 focused her UPL analys
is on First Amendment and due process objections to the doctrine.
}
{\i0 \fs16 \cf1 \f2 \b0
159
}}}
}
Other scholars have attacked the doctrine as a violation of the right to petiti
on.
}
{\i0 \fs16 \cf1 \f2 \b0
160
}}}
}
Perhaps the most common critique of unauthorized practice in recent years is th
at it denies poor people access to the legal system.
}
{\i0 \fs16 \cf1 \f2 \b0
161
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EAJAI_1}{\*\bkmkend co_g_ID0EAJAI_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*268
}
}

E. Myth of Consumer Protection
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EOJAI_1}{\*\bkmkend co_g_ID0EOJAI_1}
The legal profession traditionally described the UPL doctrine as a consumer welf
are measure that was structured to protect the public against fraud and incompet
ent, unlicensed lawyering.
}
{\i0 \fs16 \cf1 \f2 \b0
162
}}}
}
Protection of the public is the dominant theme found in the relevant ethical ru
les governing lawyers\rquote behavior.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F163289391251_ID0E2}
163
}}}
}
Legal commentators, however, have not been persuaded by the consumer protection
justification. Instead, they have suggested that rather than enhancing consumer
protection, UPL restrictions were prompted by an intent to exclude a number of
ethnic groups from the legal profession
}
{\i0 \fs16 \cf1 \f2 \b0
164
}}}
}
or to prevent low-cost competition for legal services by lay persons.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F165289391251_ID0EF}{\*\bkmkend co_footnoteRe
ference_F165289391251_ID0EF}
165
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EMKAI_1}{\*\bkmkend co_g_ID0EMKAI_1}
Despite the consumer welfare rhetoric of unauthorized practice regulation, the l
imited empirical evidence suggests otherwise. One of the earliest empirical stud
ies, a 1976 analysis of uncontested divorces, showed that pro se litigants perfo
rmed about as well as lawyers in document preparation and court proceedings and
better than lawyers in other areas such as timely filing of papers.
}
{\i0 \fs16 \cf1 \f2 \b0
166
}}}
}
Rhode\rquote s empirical study in her 1981 classic article on unauthorized prac
tice suggested a low incidence of consumer injury from lay practitioners.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F167289391251_ID0E3}
167
}}}
}
After an exhaustive two-year study, the ABA Commission on Nonlawyer Practice ac
knowledged that \u8220\'3fthe literature reporting evidence of harm is quite spa
rse.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
168
}}}
}
More recently, Palomar\rquote s empirical study of lay practitioners in the rea
l estate business suggests that, \u8220\'3fthe public does not bear a sufficient
risk from the lay provision of real
}
{\i1 \fs20 \cf21 \f2 \b1
*269
}
}
estate settlement services to warrant a blanket prohibition of those services u
nder the auspices of preventing the unauthorized practice of law.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0

ference_F169289391251_ID0E3}
169
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EDMAI_1}{\*\bkmkend co_g_ID0EDMAI_1}
F. Proposals for Reform
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ENMAI_1}{\*\bkmkend co_g_ID0ENMAI_1}
Over the last twenty years, the ABA has conducted three major studies involving
non-lawyers and UPL.
}
{\i0 \fs16 \cf1 \f2 \b0
170
}}}
}
The most recent report in 1995 recommended loosening of the unauthorized practi
ce doctrine
}
{\i0 \fs16 \cf1 \f2 \b0
171
}}}
}
and it gave preliminary approval to deregulation that would permit greater nonlawyer participation in some areas of law practice.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F172289391251_ID0E4}
172
}}}
}
Over the last two decades states have proposed a variety of reforms that would
permit non-lawyers to engage in what would otherwise be considered the unauthori

zed practice of law.
}
{\i0 \fs16 \cf1 \f2 \b0
173
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EINAI_1}{\*\bkmkend co_g_ID0EINAI_1}
III. Mediation and the Unauthorized Practice of Law
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0ESNAI_1}{\*\bkmkend co_g_ID0ESNAI_1}
A. Cases and Ethics Opinions
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E3NAI_1}{\*\bkmkend co_g_ID0E3NAI_1}
Much of the concern with lawyering by non-lawyers in ADR stems from mediation pr
actice.
}
{\i0 \fs16 \cf1 \f2 \b0
174
}}}
}
Case law is sparse and thus to a large degree mediation practice by non-lawyers
operates more
}
{\i1 \fs20 \cf21 \f2 \b1
*270
}
}
under the shadow or threat of UPL regulations rather than under an active enfor
cement regime.
}
{\i0 \fs16 \cf1 \f2 \b0
175
}}}
}
The early ethics opinions on UPL dealt primarily with non-lawyer involvement in
divorce mediation.
}
{\i0 \fs16 \cf1 \f2 \b0
176
}}}
}
More recently, there has been a concern with the limits of advertising.
}
{\i0 \fs16 \cf1 \f2 \b0
177
}}}
}
No coherent doctrine has emerged that interprets or otherwise distinguishes ADR
and mediation from the practice of law.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EBPAI_1}{\*\bkmkend co_g_ID0EBPAI_1}
One of the few reported UPL cases involving mediation practice, Werle v. Rhode I
sland Bar Association,
}
{\i0 \fs16 \cf1 \f2 \b0
178
}}}
}
involved a psychologist\rquote s brochure advertising divorce mediation service
s that would assist couples in reaching an agreement on property division, suppo
rt, and child custody. The Rhode Island Bar Association sent Werle, a psychologi
st and mediator, a cease-and-desist letter informing him that he was in violatio
n of Rhode Island\rquote s UPL statute. Werle sued the Rhode Island Bar and the
members of its UPL Committee pursuant to

}
{\field {\*\fldinst HYPERLINK "http://www.westlaw.com/Link/Document/FullText?fin
dType=L&pubNum=1000546&cite=42USCAS1983&originatingDoc=I6c3f74716fa011dbb51fe910
44789b39&refType=LQ&originationContext=document&vr=3.0&rs=cblt1.0&transitionType
=DocumentItem&contextData=(sc.Search)" }{\fldrslt
42 U.S.C.\u167\'3f 1983
}}}
, claiming a violation of his First and Fourteenth Amendment rights. The court h
eld that the defendants were entitled to immunity under
}
Section 1983
}}}
and the case was ultimately dismissed.
}
{\i0 \fs16 \cf1 \f2 \b0
179
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ELQAI_1}{\*\bkmkend co_g_ID0ELQAI_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*271
}
}
More recently, in Commonwealth of Virginia v. Steinberg, Va. Circuit Court Henr
ico Co.,
}
{\i0 \fs16 \cf1 \f2 \b0
180
}}}
}
a non-lawyer mediator in Virginia was found to be engaged in the unauthorized p
ractice of law for writing a letter to clients setting forth legal options and o
ffering a legal analysis related to the client\rquote s specific facts. The medi
ator also drafted a separation agreement for the parties.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F181289391251_ID0E3}
181
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EDRAI_1}{\*\bkmkend co_g_ID0EDRAI_1}
B. Managing the UPL Problem in Mediation Practice
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ENRAI_1}{\*\bkmkend co_g_ID0ENRAI_1}
Most efforts to control non-lawyers\rquote involvement in ADR through UPL arise
in mediation practice. Regulatory efforts to avoid the UPL problem in mediation
include three basic approaches: statutes and court rules that distinguish betwe
en legal information and advice; carve-out exceptions to UPL regulation for medi
ation; and resolutions holding that mediation is not the practice of law.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0E3RAI_1}{\*\bkmkend co_g_ID0E3RAI_1}
1. Distinguishing Between Legal Information and Advice
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EGSAI_1}{\*\bkmkend co_g_ID0EGSAI_1}
Many ethical codes prohibit mediators from giving legal advice,
}
{\i0 \fs16 \cf1 \f2 \b0
182
}}}
}
but allow them to give information they are qualified by training or experience
to provide.
}
{\i0 \fs16 \cf1 \f2 \b0
183
}}}
}
When parties require legal advice, mediators are told to refer them to independ
ent legal counsel.
}
{\i0 \fs16 \cf1 \f2 \b0
184
}}}
}
A more interesting variation of the information/advice dichotomy is a
}
{\i1 \fs20 \cf21 \f2 \b1
*272
}
}
Florida rule that prohibits mediators from offering professional opinions but p
ermits them to \u8220\'3fpoint out possible outcomes of the case and discuss the
merits of a claim or defense . . . .\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
185
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EPTAI_1}{\*\bkmkend co_g_ID0EPTAI_1}
The advice/information distinction is repeated in state regulations and professi
onal standards. The Virginia Guidelines on Mediation and the Unauthorized Practi
ce of Law, the first comprehensive standards to explicitly address mediation and
UPL, distinguish between permissible and impermissible forms of mediator activi
ties.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F186289391251_ID0E1}
186
}}}
}
A mediator is considered to have offered legal advice when \u8220\'3fhe or she
applies legal principles to facts in a manner that (l) in effect predicts a spec
ific resolution of a legal issue or (2) directs, counsels, urges, or recommends
a course of action by a disputant or disputants as a means of resolving a legal
issues.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
187
}}}
}
Mediators may, however, provide legal resources and procedural information and
ask reality testing questions that raise legal issues. The guidelines offer exam
ples of permissible and impermissible reality testing questions.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F188289391251_ID0EP}{\*\bkmkend co_footnoteRe
ference_F188289391251_ID0EP}
188
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EWUAI_1}{\*\bkmkend co_g_ID0EWUAI_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*273
}
}
North Carolina has also adopted guidelines that permit mediators to offer legal
information but not advice or opinions about legal rights.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F189289391251_ID0EC}{\*\bkmkend co_footnoteRe
ference_F189289391251_ID0EC}
189
}}}
}

As a safeguard against any perception that mediators might be providing legal a
dvice, parties are encouraged to consult with legal counsel before creating any
legally binding document.
}
{\i0 \fs16 \cf1 \f2 \b0
190
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ENVAI_1}{\*\bkmkend co_g_ID0ENVAI_1}
The advice/information distinction can be problematic as a long-term solution to
the problem of managing UPL in mediation practice. Some commentators have obser
ved that there is no real difference between information and advice.
}
{\i0 \fs16 \cf1 \f2 \b0
191
}}}
}
Moreover, distinguishing between the two forms of communication may be more dif
ficult for a layperson than for an attorney and may well depend upon context.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EBWAI_1}{\*\bkmkend co_g_ID0EBWAI_1}
2. Carve-Out Exceptions to UPL
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ELWAI_1}{\*\bkmkend co_g_ID0ELWAI_1}
A second approach for avoiding UPL issues is to carve out an exception to UPL fo
r mediators.
}
{\i0 \fs16 \cf1 \f2 \b0
192
}}}
}
This avoids the difficult problem of trying to distinguish between legal inform
ation and advice. The
}
{\i1 \fs20 \cf21 \f2 \b1
*274
}
}
carve-out exception assumes that the provision of a neutral\rquote s mediation
services does not establish a lawyer-client relationship of trust or reliance. T
hus, because there is no lawyer-client relationship, mediation is not considered
the practice of law.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EHXAI_1}{\*\bkmkend co_g_ID0EHXAI_1}
3. Official Resolutions and Positions
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ERXAI_1}{\*\bkmkend co_g_ID0ERXAI_1}
Both the legal profession and the dispute resolution profession are studying way
s to resolve the UPL problem in mediation. The ABA Section on Dispute Resolution
, through the work of its Unauthorized Practice subcommittee, has devoted consid
erable energy to this project. One result has been the issuance of a draft resol
ution stating that mediation is not the practice of law.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F193289391251_ID0E6}
193
}}}
}
The draft is significant
}
{\i1 \fs20 \cf21 \f2 \b1
*275
}
}
because it comes from a section of the American Bar Association that has both l
awyer and non-lawyer members. As such, it should signify a substantial contribut

ion to the development of mediation as a distinct profession.
}
{\i0 \fs16 \cf1 \f2 \b0
194
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ESYAI_1}{\*\bkmkend co_g_ID0ESYAI_1}
In addition to the legal profession, the Association for Conflict Resolution (AC
R) has assigned a task force to the UPL problem.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F195289391251_ID0E1}
195
}}}
}
Earlier public statements by its predecessor organization, SPIDR, emphasized th
at if dispute resolution professionals were to support efforts at uniform regula
tion, then it must be made clear that mediation is distinct from the practice of
law.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F196289391251_ID0E6}
196
}}}
}
Boundary conflicts between the legal profession and the emerging mediation prof
ession make mediation practice a risky enterprise for non-lawyers. Overshadowed
by the haunting threat of UPL enforcement, non-lawyers attempt to protect themse
lves by continually asserting that mediation is not the practice of law. However
, their efforts to distinguish mediation from the practice of law have been frau
ght with difficulty. In the following sections, I describe why this is so.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0ERZAI_1}{\*\bkmkend co_g_ID0ERZAI_1}
Part III Mediation Practice and UPL Rules: Recognizing Empirical Realities
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E2ZAI_1}{\*\bkmkend co_g_ID0E2ZAI_1}
Thirty years ago, the late law professor Lon Fuller offered a vision of mediatio
n that would ground it as a humanistic, relational practice for over two decades
. The central quality of mediation, according to Fuller, was its \u8220\'3fcapac
ity to reorient the parties toward each other, not by imposing rules on them, bu
t by helping them to achieve a new and shared perception of their relationship,
a perception that will direct their attention toward each other.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
197
}}}
}
For many
}
}
{\i1 \fs20 \cf21 \f2 \b1
*276
}
}
practitioners, Fuller\rquote s relational and humanistic understanding is still
alive and well. As mediation practice has expanded from the labor field and com
munity dispute centers to courts and corporations, however, there has been great
er experimentation that has generated more pluralism in practice.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F198289391251_ID0E3}
198
}}}
}
The emergence of diverse practices has been accompanied by a recognition that m
ediation is essentially a contextual process.
}
{\i0 \fs16 \cf1 \f2 \b0
199
}}}
}

Empirical studies describe mediator behaviors in terms of bargaining and therap
eutic modes,
}
{\i0 \fs16 \cf1 \f2 \b0
200
}}}
}
directive and passive, or hashing, bashing and trashing.
}
{\i0 \fs16 \cf1 \f2 \b0
201
}}}
}
There has been much debate about what constitutes the legitimate practice of me
diation, and specifically, whether certain mediator activities constitute the pr
actice of law.
}
{\i0 \fs16 \cf1 \f2 \b0
202
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EU2AI_1}{\*\bkmkend co_g_ID0EU2AI_1}
Perhaps the most significant event to capture the relationship between UPL and m
ediation practice is the \u8220\'3fevaluative/facilitative\u8221\'3f debate, a d
iscussion of mediator behaviors inspired by Professor Leonard Riskin\rquote s se
minal article, Understanding Mediator\rquote s Orientations, Strategies, and Tec
hniques: A Grid for the Perplexed.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F203289391251_ID0E3}
203
}}}
}
Without setting out normative preferences, Professor Riskin attempted to captur
e the pluralism of mediation practice by identifying four types of mediator beha
viors ranging from extreme evaluation to facilitation.

}
{\i0 \fs16 \cf1 \f2 \b0
204
}}}
}
While some commentators, arguing for a greater flexibility in the mediator\rquo
te s role
}
{\i0 \fs16 \cf1 \f2 \b0
205
}}}
}
and calling for an end to the debate,
}
{\i0 \fs16 \cf1 \f2 \b0
206
}}}
}
}
{\i1 \fs20 \cf21 \f2 \b1
*277
}
}
have been critical of the evaluative/facilitative distinction,
}
{\i0 \fs16 \cf1 \f2 \b0
207
}}}
}
discussion of these behaviors continues to dominate the mediation community.
}
{\i0 \fs16 \cf1 \f2 \b0

208
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E13AI_1}{\*\bkmkend co_g_ID0E13AI_1}
Mediation purists would have mediation practice stay true to Fuller\rquote s rel
ational understanding and be limited to simply facilitating negotiations between
the parties.
}
{\i0 \fs16 \cf1 \f2 \b0
209
}}}
}
Purists have a truth-in-labeling concern both with lawyer and non-lawyer behavi
ors. Imbedded in their arguments is an interest in fidelity to an original under
standing of mediation as a facilitative process. The other strand of the evaluat
ive/facilitative debate supports a more catholic view of mediation practice and
argues for acceptance of multiple models, depending upon context. This would inc
lude the mediator\rquote s right to evaluate or to be eclectic.
}
{\i0 \fs16 \cf1 \f2 \b0
210
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EW4AI_1}{\*\bkmkend co_g_ID0EW4AI_1}
I. Theory Meets Practice
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EA5AI_1}{\*\bkmkend co_g_ID0EA5AI_1}
Evaluative approaches to mediation practice have the potential to slip and slide
into what may be considered the practice of law in many jurisdictions. This spi
llover effect may explain why, in many discussions about the merits of various m
ediation behaviors, there is a curious avoidance of what most practitioners know
--that evaluation is out there for better or worse.
}
{\i0 \fs16 \cf1 \f2 \b0
211
}}}
}
In fact, it is rampant, particularly when an impasse occurs in the negotiations
.
}
{\i0 \fs16 \cf1 \f2 \b0
212
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EW5AI_1}{\*\bkmkend co_g_ID0EW5AI_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*278
}
}
Evaluation practice in mediation is often a complex enterprise.
}
{\i0 \fs16 \cf1 \f2 \b0
213
}}}
}
It may be broadly categorized as explicit or implicit and within these major ca
tegorizations, it can be either intentional or unintentional.
}
{\i0 \fs16 \cf1 \f2 \b0
214
}}}
}
Explicit evaluative behaviors are best described as a continuum that includes a
range of activities from giving specific advice, rendering an opinion on a like

ly court outcome,
}
{\i0 \fs16 \cf1 \f2 \b0
215
}}}
}
offering a \u8220\'3fmediator\rquote s proposal,\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
216
}}}
}
to simply giving information.
}
{\i0 \fs16 \cf1 \f2 \b0
217
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EY6AI_1}{\*\bkmkend co_g_ID0EY6AI_1}
Implicit evaluation is a more subtle undertaking that involves both non-verbal a
s well as verbal communication. Examples here include mediator option generating
, facial expressions and silence. The very selection of specific options geared
to understanding the parties\rquote interests or needs places the mediator in t
he position of selecting some options from many and thus can be considered an im
plicit form of evaluation.
}
Facial gestures reveal volumes about a mediator\rquote s thinking. Thus, a medi
ator\rquote s nod or frown in response to a question can be implicitly evaluativ
e.
}
{\i0 \fs16 \cf1 \f2 \b0
218
}}}
}

Finally, silence may be one of the subtlest forms of implicit evaluation. Indee
d, in some cultures, silence may be interpreted as approval of a course of actio
n or an agreement.
}
{\i0 \fs16 \cf1 \f2 \b0
219
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E1ABI_1}{\*\bkmkend co_g_ID0E1ABI_1}
Rarely will mediation proceed without some form of evaluation.
}
{\i0 \fs16 \cf1 \f2 \b0
220
}}}
}
Mediators help parties develop solutions that respond to
}
{\i1 \fs20 \cf21 \f2 \b1
*279
}
}
their needs and interests. In order to do this, mediators ask questions in a \u
8220\'3freality-testing process\u8221\'3f or they may explore the range of settl
ement options to ensure there is informed consent.
}
{\i0 \fs16 \cf1 \f2 \b0
221
}}}
}
Standard mediator techniques such as creating doubt, framing, reframing and sel
ective facilitation may also be intentional or unintentional ways of providing e
valuation.
}
{\i0 \fs16 \cf1 \f2 \b0

222
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E1BBI_1}{\*\bkmkend co_g_ID0E1BBI_1}
In reality, much of what passes for standard mediator techniques can be a form o
f explicit or implicit evaluation. This is true whether it takes the form of enc
ouraging exchanges of information, helping parties to understand each other\rquo
te s views, stimulating the parties to develop creative solutions or helping par
ties to invent solutions that meet their basic needs and interests.
}
{\i0 \fs16 \cf1 \f2 \b0
223
}}}
}
In short, it does not take too much to transform the act of inventing solutions
into the practice of law.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EOCBI_1}{\*\bkmkend co_g_ID0EOCBI_1}
Mediation is a contextual process and this makes evaluation more prevalent in ce
rtain subject areas such as court-connected and some family law programs.
}
{\i0 \fs16 \cf1 \f2 \b0
224
}}}
}
Professor Randolph Lowry claims that all mediators evaluate and the question re
ally should be how evaluation is conducted.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F225289391251_ID0E2}
225
}}}
}

Australian law professor and mediator John Wade claims that in the context of f
amily mediation practice, \u8220\'3fit is not possible to be an \u8216\'3fadvice
less mediator, conciliator or facilitator.\u8217\'3f All mediators give some adv
ice.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
226
}}}
}
Wade also claims that \u8220\'3fanecdotally, it is clear that many, and perhaps
the majority of, \u8216\'3fsuccessful\u8217\'3f mediators give some subtle form
s of \u8216\'3flegal\u8217\'3f information, opinion and advice in some cases.\u8
221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
227
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EAEBI_1}{\*\bkmkend co_g_ID0EAEBI_1}
The reality of evaluative mediation, particularly of law-related issues, is that
its spillover effect into the practice of law implicates UPL regulations. In my
view, we should deal with these evaluative
}
{\i1 \fs20 \cf21 \f2 \b1
*280
}
}
practices head-on rather than with the \u8220\'3ftip-toe around it\u8221\'3f ap
proach that seems to predominate in the existing mediation culture.
}
{\i0 \fs16 \cf1 \f2 \b0
228
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EWEBI_1}{\*\bkmkend co_g_ID0EWEBI_1}
II. How Mediators Avoid UPL Charges
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EAFBI_1}{\*\bkmkend co_g_ID0EAFBI_1}
Given the pervasiveness of evaluation, in all its forms, and its close proximity
to the practice of law in many jurisdictions, it is not surprising that mediati
on practitioners have adopted multiple approaches for avoiding UPL problems. The
first is a structural response, advocating a form of mediation practice that es
chews any form of evaluation. A good example of this is the transformative appro
ach to mediation advocated by Professors Bush and Folger which deliberately adop
ts a practice style that excludes information or advice.
}
{\i0 \fs16 \cf1 \f2 \b0
229
}}}
}
By definition, this approach has a built-in protection against the threat of UP
L charges.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EXFBI_1}{\*\bkmkend co_g_ID0EXFBI_1}
The second approach is quasi-legalistic and may be labeled \u8220\'3finformed co
nsent.\u8221\'3f An \u8220\'3finformed consent\u8221\'3f response says that howe
ver you label the mediator\rquote s activities, the parties acknowledge that the
se activities are not the practice of law.
}
{\i0 \fs16 \cf1 \f2 \b0
230
}}}
}
This approach may require parties to sign agreements to mediate in which they a
cknowledge their understanding of the mediator\rquote s role as one of a facilit
ator and not as an attorney representing them in any capacity. Or, parties may s
ign statements saying that they understand that they should consult with an atto
rney.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EOGBI_1}{\*\bkmkend co_g_ID0EOGBI_1}
A third approach is the \u8220\'3fdistinction\u8221\'3f mode where mediators lab
el their borderline practice of law activities as legitimate mediator techniques
to facilitate settlement. These techniques could include reality testing, some
forms of framing and some forms of questioning. The distinction approach would a
lso include attempts to differentiate between legal information and advice.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F231289391251_ID0E2}
231
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0ECHBI_1}{\*\bkmkend co_g_ID0ECHBI_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*281
}
}
III. Problems with Regulating Mediation Practice Through UPL Regulations
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EQHBI_1}{\*\bkmkend co_g_ID0EQHBI_1}
Controlling mediation practice through traditional UPL regulations is problemati
c from both a practice and a policy perspective. It leads to two sets of practic
e rules, one for lawyers and one for non-lawyers, that will continue to cause di
visiveness in the mediation profession. From a public policy perspective, it is
potentially harmful for the majority of Americans who cannot afford legal counse
l in mediation. These individuals will be deprived of information that could ass
ist them in making educated and informed decisions in the mediation process. Thu
s, UPL regulations represent a major impediment to the implementation of informe
d consent practices in mediation. Finally, controlling mediation practice throug
h lawyers\rquote professional monopoly is counter-productive to the growing int
erest in a problem-solving ethic for the legal profession.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0ELIBI_1}{\*\bkmkend co_g_ID0ELIBI_1}
A. Example 1
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EVIBI_1}{\*\bkmkend co_g_ID0EVIBI_1}
Two examples illustrate the potentially inequitable effects of UPL regulations o
n disputing parties in mediation. First, consider the classic understanding of t
he mediator as an \u8220\'3fagent of reality.\u8221\'3f Professor Stulberg defin
es \u8220\'3fagent of reality\u8221\'3f behavior as being \u8220\'3fable to iden
tify for each party what is do-able in light of the interests and resources of t
he other parties to the discussion. If a party\rquote s proposal is inflated, th
e mediator must let him know that it is simply unobtainable.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
232
}}}
}
In a Small Claims Court mediation session, one party\rquote s proposal for sett
lement includes a claim for damages for emotional distress, which are not recove
rable. The mediator, who also happens to be a lawyer, could inform the parties t
hat damages for emotional distress are not recoverable in Small Claims Court.
}
{\i0 \fs16 \cf1 \f2 \b0
233
}}}
}
Depending upon whether this information was considered legal information or adv
ice, under a strict UPL regime, the non-lawyer mediator could be silenced on thi
s point. Yet, for the parties, ignorance of this information could affect the lo
ng-term durability of the agreement reached in mediation.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0EDKBI_1}{\*\bkmkend co_g_ID0EDKBI_1}
}
{\i1 \fs20 \cf21 \f2 \b1

*282
}
}
B. Example 2
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ERKBI_1}{\*\bkmkend co_g_ID0ERKBI_1}
A second example to illustrate the inequitable effects of UPL regulation relates
to the mediator role that Professor Stulberg labels \u8220\'3fguardian of durab
le solutions.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
234
}}}
}
Stulberg notes that \u8220\'3f[T]he mediator should not impose on the parties h
is own judgment or preference as to how a problem should be resolved. But the me
diator must consider the consequences of what people are agreeing to and try to
ensure that the terms of agreement they develop will last.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
235
}}}
}
Again, in the Small Claims Court setting, the lawyer-mediator could tell partie
s who are about to settle for $4,000.00 that the jurisdictional limit of the cou
rt is $3,000.00 and therefore that the $4,000.00 settlement might be unenforceab
le if there were a lack of compliance. It is doubtful that the non-lawyer mediat
or could offer the same legal insights without violating UPL regulations.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EWLBI_1}{\*\bkmkend co_g_ID0EWLBI_1}
The two sets of rules, one for lawyer-mediators, one for non-lawyers, have poten
tially harmful consequences for the principle of informed consent. This is parti
cularly disturbing for unrepresented parties, as low cost mediation centers are
promoted to solve the problem of overcrowded dockets and give pro se parties a w
ay to solve their legal needs.
}
{\i0 \fs16 \cf1 \f2 \b0

236
}}}
}
Non-lawyer mediators who are silenced by UPL regulations may be ineffectual bec
ause they are unable to offer the parties sufficient information for educated de
cision-making. Without sufficient information, parties cannot give informed cons
ent in mediation and it is difficult to understand how low cost mediation center
s would truly be able to solve their legal needs.
}
{\i0 \fs16 \cf1 \f2 \b0
237
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EPMBI_1}{\*\bkmkend co_g_ID0EPMBI_1}
Finally, regulating mediation through UPL is counterproductive to the developing
ethic of problem-solving for lawyers. Embracing a new ethic that values collabo
ration and accommodation on the one hand, while suppressing competition from non
-lawyers in mediation practice on the other, leads to a schizophrenic type of ex
istence that will prove untenable in the long run for both the legal profession
and the emerging mediation profession. We need a new way forward together. In th
e following section, I sketch a framework for reform.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EENBI_1}{\*\bkmkend co_g_ID0EENBI_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*283
}
}
Part IV The Way Forward
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0ESNBI_1}{\*\bkmkend co_g_ID0ESNBI_1}

I. A True Problem-Solving Perspective for Lawyers
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E3NBI_1}{\*\bkmkend co_g_ID0E3NBI_1}
Our professional compasses need to be adjusted towards a power-sharing and probl
em-solving orientation. Competition between lawyers and non-lawyers for clients
and fees has blurred our professional vision.
}
{\i0 \fs16 \cf1 \f2 \b0
238
}}}
}
As a result, debates about the boundaries of law practice and mediation have oc
curred largely at a distance from the parties being served and from the goals of
justice and fairness. Driven by economics, power struggles and politics, discus
sions and arguments about the philosophical nature of mediation have turned into
turf battles and are, consequently, stumbling and groping for direction.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ETOBI_1}{\*\bkmkend co_g_ID0ETOBI_1}
A problem-solving perspective requires input from the multiple fields that compr
ise the emerging mediation profession and collaboration with the range of perspe
ctives that is represented.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F239289391251_ID0E2}
239
}}}
}
We then can focus combined energies on the needs of parties being served in med
iation, both the unrepresented as well as the represented.
}
{\i0 \fs16 \cf1 \f2 \b0
240
}}}
}

Boundary conflict questions between lawyers and non-lawyers can be reframed to
ask basic problem-solving questions: What are the public\rquote s needs and inte
rests? What options respond to these interests? Which options are most durable a
nd readily understood? Power sharing requires a collaborative search for answers
to these questions by both the legal and dispute resolution professions. In the
long run, this approach offers more promise for justice.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EVPBI_1}{\*\bkmkend co_g_ID0EVPBI_1}
II. Affirming Common Foundational Principles
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E6PBI_1}{\*\bkmkend co_g_ID0E6PBI_1}
Justice, fairness and resolution, presumably the goals of most parties who are s
erved in mediation, are supported by three foundational principles-- process qua
lity, neutral competency and informed
}
{\i1 \fs20 \cf21 \f2 \b1
*284
}
}
consent. The quality principle relates to process integrity and requires that p
arties perceive the dispute resolution process as fair whether or not an agreeme
nt is reached.
}
{\i0 \fs16 \cf1 \f2 \b0
241
}}}
}
The principle of neutral competency is self-evident and flows from the quality
principle--those who serve as mediators and neutrals must be knowledgeable in al
l aspects of managing the process and must meet the reasonable expectations of t
he parties regarding substantive competency. Finally, the principle of informed
consent in mediation requires both process and outcome consent. Parties give the
ir consent not only to participating in the mediation process but also to the ou
tcome that is achieved.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F242289391251_ID0E1}

242
}}}
}
Outcome consent based on justice and fairness principles requires educated deci
sion-making. Without the ability to engage in informed decision-making, mediatio
n is a crapshoot and parties may achieve results that are neither fair nor just.
}
{\i0 \fs16 \cf1 \f2 \b0
243
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EIRBI_1}{\*\bkmkend co_g_ID0EIRBI_1}
The goals of process quality and neutral competency,
}
{\i0 \fs16 \cf1 \f2 \b0
244
}}}
}
while presenting on-going implementation challenges, are much more easily achie
ved than adherence to the principle of informed consent. Despite agreement in pr
inciple among legal and dispute resolution professionals about the importance of
informed consent in mediation, as a matter of practice it is frequently an illu
sory principle. This is due in large measure to the threat of UPL enforcement.
}
{\i0 \fs16 \cf1 \f2 \b0
245
}}}
}
Non-lawyer mediators who inform parties\rquote decision-making, whether by off
ering them legal information, helping them develop options based on an understan
ding of the relevant law, or engaging in other law-related activities, are vulne
rable. In some jurisdictions, some or all of these behaviors may be considered t
he practice of law. How many non-lawyer mediators are willing to risk exposure t
o UPL enforcement in the name of fidelity to the principle of informed consent?
}
{\i0 \fs16 \cf1 \f2 \b0

246
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EKSBI_1}{\*\bkmkend co_g_ID0EKSBI_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*285
}
}
The legal profession should realize that power-sharing with mediators and other
dispute resolution professionals is inevitable. Barbara Philips makes the point
quite clear: \u8220\'3fIt is not whether to begin to share power and to experie
nce the vast increase in real power that brings, but how we will approach it tha
t is the most obvious step in moving away from power-based and rights-based appr
oaches and toward interest-based approaches and beyond.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
247
}}}
}
The reality of mediation practice is that both lawyers and non-lawyers mediate.
The question is not about who owns or controls mediation but rather how we shou
ld regulate it and protect parties in ways that safeguard the core values of bot
h the legal profession and the emerging mediation professions as well as the pub
lic. It is time, then, to shift from a positional doctrinaire perspective with U
PL rules in mediation and move towards power-sharing and problem-solving. This s
hould bring us in a new direction, closer to the parties whom the rules are desi
gned to protect. Then we can develop policies and practices that truly respond t
o their needs.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EXTBI_1}{\*\bkmkend co_g_ID0EXTBI_1}
III. Framework for Reform
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EBUBI_1}{\*\bkmkend co_g_ID0EBUBI_1}

Given the debate on what constitutes the legitimate practice of mediation
}
{\i0 \fs16 \cf1 \f2 \b0
248
}}}
}
and the ambiguity on what constitutes the legitimate practice of law,
}
{\i0 \fs16 \cf1 \f2 \b0
249
}}}
}
controlling the emerging profession of mediation with the norms of the legal pr
ofession creates turf battles and hardly seems an ideal way forward. The problem
with turf battles in mediation practice is that the public, particularly unrepr
esented parties, often loses out. Energies that are better spent on more product
ive endeavors are wasted.
}
{\i0 \fs16 \cf1 \f2 \b0
{\*\bkmkstart co_footnoteReference_F250289391251_ID0EU}{\*\bkmkend co_footnoteRe
ference_F250289391251_ID0EU}
250
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E2UBI_1}{\*\bkmkend co_g_ID0E2UBI_1}
A more ideal way forward is to move in a problem-solving direction, focus on the
underlying needs and interests of the parties served in mediation, and then wor
k to devise solutions that respond to those needs and interests. First, we shoul
d consider how the UPL doctrine could be reformed to allow quality mediation pra
ctices without losing the protections for consumers that this doctrine was desig
ned to provide. Specifically, mediation practice needs to be defined and regulat
ed in ways that: (1) satisfy the legitimate consumer protection
}
{\i1 \fs20 \cf21 \f2 \b1
*286
}
}
concerns of UPL regulation; (2) encourage creativity and problem-solving in res

olving conflict; and (3) to the extent that legal rights are involved, keep the
quality of justice at a high level. This task should begin with a rethinking of
UPL regulations as they are currently applied to mediation practice.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EVVBI_1}{\*\bkmkend co_g_ID0EVVBI_1}
Once the legal profession is loosened from its fixation with UPL enforcement act
ivity, the second task is to identify the unique skills and values that lawyers
bring to the developing mediation profession.
}
The legal profession can then consider how it can use these skills and values t
o improve mediation practice, and contribute to formulating good public policy i
n mediation, particularly as it affects the justice system.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EEWBI_1}{\*\bkmkend co_g_ID0EEWBI_1}
IV. Rethinking UPL Regulations in Mediation: The \u8220\'3fPrimary Purpose\u8221
\'3f Approach
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EOWBI_1}{\*\bkmkend co_g_ID0EOWBI_1}
As discussed earlier, there are numerous activities within the mediation process
that may be interpreted to be the practice of law even though mediators do not
consider practicing law as central to their work.
}
{\i0 \fs16 \cf1 \f2 \b0
251
}}}
}
Mediators attach to these activities a variety of dispute resolution technique
labels such as reality-testing, framing, reframing or testing for understanding
of consequences. While the purpose of these semantic endeavors is rarely an effo
rt to deliberately disguise practice of law behaviors, the situation does have a
somewhat disingenuous flavor. As one scholar has aptly noted, mediators are coy
about what they do in this area.
}
{\i0 \fs16 \cf1 \f2 \b0
252
}}}
}
Their coyness arises, however, from the necessity of avoiding UPL exposure.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EKXBI_1}{\*\bkmkend co_g_ID0EKXBI_1}
The time has come for more honesty about our actions in mediation practice. Rath
er than engage in the considerable semantic gymnastics that are required to sepa
rate particular mediator behaviors from the practice of law, we should plainly i
dentify mediator behaviors. This means understanding that in conducting a mediat
ion session, some non-lawyer mediators may cross-over into what has traditionall
y been the exclusive practice domain of lawyers. Instead of immediately jumping
to the default position of UPL enforcement, however, we should pause and conside
r the essential purpose of the
}
{\i1 \fs20 \cf21 \f2 \b1
*287
}
}
mediator\rquote s activities. If the mediator\rquote s primary goal is to assis
t parties in their negotiations so that they can arrive at their own settlement,
then any legal analysis and judgment offered by the mediator should not be cons
idered a necessary part of the mediation process and UPL rules should not be app
lied. In this case, self-determination remains a core value in the mediation pro
cess. Alternatively, if the mediator\rquote s goals include advising parties as
to what their settlement should be or guiding them towards a particular result,
then legal analysis and judgment may be considered part of the primary purpose o
f the mediation. In the latter case, UPL restrictions would apply. Thus, if comp
etent, non-lawyer mediators wander close to the boundaries of law practice that
should be the beginning, not the end, of the UPL inquiry. As long as legal analy
sis and judgment are not part of the primary purpose of the mediator\rquote s ac
tivity, then a preferable approach would be to modify UPL rules and exempt the m
ediator\rquote s conduct from UPL regulation. It may well be that in some cases,
non-lawyer mediators will offer better legal assistance than the average person
admitted to a state bar. In commenting on a tax accountant\rquote s legal advic
e on a tax matter, Professor Wolfram noted, \u8220\'3fit is often simply untrue
that a non-lawyer\rquote s legal advice is less sound than a lawyer\rquote s.\u8
221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
253
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EHZBI_1}{\*\bkmkend co_g_ID0EHZBI_1}
This proposal assumes that the parties give informed consent to the mediator\rqu
ote s approach.
}
{\i0 \fs16 \cf1 \f2 \b0
254
}}}
}
Thus, it is consistent with most of the regulation to date which is built on di
sclosure.
}
{\i0 \fs16 \cf1 \f2 \b0
255
}}}
}
Finally, this proposal assumes that the non-lawyer mediator is competent to off
er legal assistance, whereas under traditional UPL structures, only lawyers woul
d be competent.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E4ZBI_1}{\*\bkmkend co_g_ID0E4ZBI_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*288
}
}
The primary purpose approach is similar in some respects to the \u8220\'3fincid
ental legal services\u8221\'3f test used by courts in traditional UPL enforcemen
t.
}
{\i0 \fs16 \cf1 \f2 \b0
256
}}}
}
That test focuses on whether the behavior alleged to constitute a UPL violation
}
\u8220\'3fis simply an adjunct to a routine in the business or commercial world
that is not itself law practice.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
257
}}}
}
A common example found in court cases is that of a real estate agent who comple
tes forms in a closing transaction.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F258289391251_ID0E3}
258
}}}
}
Courts have held that form work is \u8220\'3fincidental\u8221\'3f to the practi
ce of real estate brokering and as long as no separate fee is charged for the fo
rm work, there is no UPL violation. The \u8220\'3fincidental\u8221\'3f test has
also been applied by courts to the activities of accountants who are permitted t
o go further into areas of traditional law practice and actually give advice on
legal questions.
}
{\i0 \fs16 \cf1 \f2 \b0
259
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EK2BI_1}{\*\bkmkend co_g_ID0EK2BI_1}
The suggestion that non-lawyer mediators\rquote peripheral \u8220\'3fpractice o
f law\u8221\'3f activities be exempt from UPL regulation is hardly a radical pro
posal.
}
{\i0 \fs16 \cf1 \f2 \b0

260
}}}
}
Numerous scholars have called for the deregulation of the practice of law in se
veral contexts
}
{\i0 \fs16 \cf1 \f2 \b0
261
}}}
}
and some have urged the abolition of UPL restrictions altogether.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F262289391251_ID0E1}
262
}}}
}
Moreover, in other countries non-lawyers are permitted to perform many function
s that are
}
{\i1 \fs20 \cf21 \f2 \b1
*289
}
}
typically limited to lawyers in the United States.
}
{\i0 \fs16 \cf1 \f2 \b0
263
}}}
}
Reports of resulting harm to consumers are rare.
}
{\i0 \fs16 \cf1 \f2 \b0
264
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EP3BI_1}{\*\bkmkend co_g_ID0EP3BI_1}
The primary purpose approach allows the legal profession to work collaboratively
with dispute resolution professionals which is preferable to the current practi
ce of sniping at them with UPL bullets. It reflects what Herbert Kritzer describ
es as the phenomenon of post-professionalism or the loss of exclusive control by
members of a particular profession.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F265289391251_ID0E1}
265
}}}
}
The marginalization of lawyers through cyberspace developments is an example of
what Kritzer describes.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F266289391251_ID0E6}
266
}}}
}
No longer does the legal profession have exclusive control of dispensing \u8220
\'3flaw\u8221\'3f to the public. Legal information is freely available on the In
ternet and on-line ADR services aggressively compete for \u8220\'3flaw\u8221\'3f
business.
}
{\i0 \fs16 \cf1 \f2 \b0
267
}}}
}
Some scholars have even suggested that law school faculty promote public inform
ation projects by collaborating with specialists from other professional discipl
ines to provide online public education materials.
}
{\i0 \fs16 \cf1 \f2 \b0
268
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0ES4BI_1}{\*\bkmkend co_g_ID0ES4BI_1}
A. New Directions for Specialization
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E34BI_1}{\*\bkmkend co_g_ID0E34BI_1}
In arguing for a reform of UPL rules in mediation, I do not advocate abandonment
of the UPL doctrine, nor am I advocating a blanket endorsement of non-lawyers o
ffering legal services at random. Non-lawyer-mediators should be allowed to give
legal assistance only when they are competent to do so either because of their
specific
}
{\i1 \fs20 \cf21 \f2 \b1
*290
}
}
background or as a result of specialized training. Informed consent and mediato
r competency are key factors in implementing the revised UPL framework. Mediator
s who offer legal assistance must be competent to do so. They must explain their
approach to the parties and then obtain their informed consent. This suggests n
ew directions for mediator training and specialization in substantive law areas.
}
{\i0 \fs16 \cf1 \f2 \b0
269
}}}
}
It also allows sound distinctions to be made to enforce differences in practice
specialties in mediation and allows law-trained mediators to make more informed
referrals to attorneys. Examples of mediation training projects that provide su
bstantive law components include employment dispute programs,
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F270289391251_ID0E5}
270
}}}
}
Americans with Disabilities Act dispute programs,
}
{\i0 \fs16 \cf1 \f2 \b0

271
}}}
}
landlord and tenant programs in housing courts, custody and visitation programs
in family courts
}
{\i0 \fs16 \cf1 \f2 \b0
272
}}}
}
and special education mediation.
}
{\i0 \fs16 \cf1 \f2 \b0
273
}}}
}
Given the contextual nature of mediation, the possibilities for specialized tra
ining are endless. The purpose of specialized legal training is not to transform
non-lawyer
}
{\i1 \fs20 \cf21 \f2 \b1
*291
}
}
mediators into ad hoc lawyers. Rather, it is to give mediators greater familiar
ity with the substantive aspects of a dispute and thus enhance their competence
qua mediators.
}
{\i0 \fs16 \cf1 \f2 \b0
274
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1

{\*\bkmkstart co_g_ID0E66BI_1}{\*\bkmkend co_g_ID0E66BI_1}
B. Regulatory Structures
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EJACI_1}{\*\bkmkend co_g_ID0EJACI_1}
Under a modified UPL regime in mediation, regulatory structures would assume inc
reased importance. Already, there are many efforts underway to regulate the medi
ation profession, but much of this is a work-in-progress awaiting further empiri
cal study.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EYACI_1}{\*\bkmkend co_g_ID0EYACI_1}
In crafting regulations to protect mediation consumers, numerous questions arise
.
}
{\i0 \fs16 \cf1 \f2 \b0
275
}}}
}
Should regulation take the form of individual, profession-based rules or univer
sal norms applicable to both lawyers and non-lawyer neutrals?
}
{\i0 \fs16 \cf1 \f2 \b0
276
}}}
}
Should separate norms be created for mandatory mediation programs? Who should b
e in control of rulemaking operations? What should be the content of training?
}
{\i0 \fs16 \cf1 \f2 \b0
277
}}}
}
Who should conduct training? In agreements where legal rights may be implicated
, should court approval be required, even if mediation takes place outside of th

e court setting?
}
{\i0 \fs16 \cf1 \f2 \b0
278
}}}
}
What should be the standard of mediator liability?
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F279289391251_ID0E4}
279
}}}
}
If the activities of non-lawyer mediators slip into the practice of law and har
m consumers, should they be liable in the same manner as attorneys?
}
{\i0 \fs16 \cf1 \f2 \b0
280
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EICCI_1}{\*\bkmkend co_g_ID0EICCI_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*292
}
}
There is much work being done to address these questions.
}
{\i0 \fs16 \cf1 \f2 \b0
281
}}}
}
The answers are not easily obtainable, but with the enactment of ethical codes
for neutrals in several states we can begin to learn what works.
}
{\i0 \fs16 \cf1 \f2 \b0
282
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0E6CCI_1}{\*\bkmkend co_g_ID0E6CCI_1}
C. Benefits of UPL Reform in Mediation
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EJDCI_1}{\*\bkmkend co_g_ID0EJDCI_1}
The proposed framework for modifying UPL rules in mediation is a corrective mech
anism. It enhances the goals of fairness and justice and supports the principles
of competency, quality and informed consent in mediation. First, easing UPL res
trictions in mediation allows all mediators, not just those who are attorneys, t
o give parties legal assistance that may contribute to informed decision-making.
While this may not substantially affect parties who are represented by counsel,
it does substantially affect the majority of Americans who cannot afford legal
counsel.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F283289391251_ID0E1}
283
}}}
}
The ability to engage in educated decision-making may have significant effects
on the participants\rquote perceived fairness of the mediation process and sati
sfaction with the outcome.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F284289391251_ID0E5}
284
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj

{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EFECI_1}{\*\bkmkend co_g_ID0EFECI_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*293
}
}
As I have discussed earlier, one of the problems with UPL restrictions is that
they may prevent unrepresented parties from receiving the assistance they need t
o engage in informed decision-making in mediation.
}
{\i0 \fs16 \cf1 \f2 \b0
285
}}}
}
I am not suggesting here that allowing non-lawyer mediators to give legal assis
tance in mediation is the answer to the plight of pro se parties. The pro se pro
blem is a systemic one that calls for radical changes by many groups, including
the legal profession.
}
{\i0 \fs16 \cf1 \f2 \b0
286
}}}
}
However, in situations where mediators in a particular program could be trained
in the relevant substantive law and thus possess legal knowledge that may be he
lpful to parties\rquote decision-making, they should be allowed to share that k
nowledge with the parties.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F287289391251_ID0E5}
287
}}}
}
Giving pro se parties legal assistance enables them to make their own decisions
and the end result honors a core value of mediation-- self-determination.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj

{\*\bkmkstart co_g_ID0EHFCI_1}{\*\bkmkend co_g_ID0EHFCI_1}
My proposal to modify UPL rules in mediation is not simply a \u8220\'3fdefault\u
8221\'3f provision for the poor and unrepresented.
}
{\i0 \fs16 \cf1 \f2 \b0
288
}}}
}
While it benefits them, there are also other benefits. First, a modified UPL re
gime in mediation allows the parties\rquote negotiations to flow and develop wi
th continuity. In any given mediation this may prevent impasse and
}
{\i1 \fs20 \cf21 \f2 \b1
*294
}
}
move the parties closer to settlement, which presumably is the goal that most p
arties seek in mediation.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EDGCI_1}{\*\bkmkend co_g_ID0EDGCI_1}
Second, permitting qualified non-lawyer mediators to offer legal assistance may
prevent what John Wade has referred to as the \u8220\'3fwilderness factor\u8221\
'3f in mediation practice, that is, the emotional exhaustion that results when p
arties are sent out from one professional in search of another.
}
{\i0 \fs16 \cf1 \f2 \b0
289
}}}
}
As Wade describes the phenomenon--\u8220\'3f[a] mediator may experience a momen
tary glow of ethical righteousness when referring a client away to obtain indepe
ndent specialized advice. However, the demoralized client may go away in silent
despair.\u8221\'3f
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F290289391251_ID0E3}
290
}}}
}
In such a case, what has been achieved?
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EFHCI_1}{\*\bkmkend co_g_ID0EFHCI_1}
Third, permitting mediators to offer legal assistance makes the process more hon
est. It eliminates the \u8220\'3fAlice-in-Wonderland\u8221\'3f element, where me
diators lump all sorts of law-related activities under the \u8220\'3fagent of re
ality\u8221\'3f umbrella and pretend that it has nothing to do with the practice
of law.
}
{\i0 \fs16 \cf1 \f2 \b0
291
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EWHCI_1}{\*\bkmkend co_g_ID0EWHCI_1}
Finally, the primary purpose test promotes quality mediation practice while pres
erving lawyers\rquote expertise for consumers. Allowing competent mediators to
practice outside the haunting shadow of UPL regulations gives mediation consumer
s greater choices in the selection of neutrals. Lawyer-mediators still retain an
important role in legal disputes. Where problems are bound up with significant
legal claims, consumers are able to choose lawyer specialists as their neutrals.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \ql \fs20 \cf1 \f2 \li0 \b1
{\*\bkmkstart co_g_ID0ELICI_1}{\*\bkmkend co_g_ID0ELICI_1}
D. Objections
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EVICI_1}{\*\bkmkend co_g_ID0EVICI_1}
Modifying UPL regulations in mediation must be carried out with caution. When me
diators give legal assistance to parties, it threatens neutrality, a core value
in the mediation process.
}
{\i0 \fs16 \cf1 \f2 \b0
292
}}}
}
Certainly, what Professor Leonard Riskin has observed in connection with lawyer
-mediators engaged in this behavior is equally true of
}
{\i1 \fs20 \cf21 \f2 \b1
*295
}
}
non-lawyer mediators--it can be problematic.
}
{\i0 \fs16 \cf1 \f2 \b0
293
}}}
}
The selection of certain legal information that will assist parties in their de
cision-making, can indicate favoritism toward one of the parties. Likewise, deci
sions not to share specific legal information with the parties may indicate a bi
as that impairs the mediator\rquote s neutrality. It is not clear, however, that
neutrality is a universal principle in mediation.
}
{\i0 \fs16 \cf1 \f2 \b0
294
}}}
}
Scholars have observed that cultures differ in approaches to this principle.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F295289391251_ID0E1}
295
}}}
}
Moreover, recent empirical studies suggest that participants experience greater
perceptions of fairness when mediators engage in evaluative behaviors.
}
{\i0 \fs16 \cf1 \f2 \b0

ference_F296289391251_ID0E6}
296
}}}
}
Thus, while we still need to explore ways to manage the tensions between neutra
lity and fairness, the mediator\rquote s primary concern should be to uphold the
integrity of the process.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EIKCI_1}{\*\bkmkend co_g_ID0EIKCI_1}
A final objection relates to the need to protect consumers. It may be argued tha
t allowing non-lawyers to engage in law-related activities as part of the mediat
ion process will be harmful to some disputing parties who may rely on the mediat
or as a type of legal counselor. Support for this claim is weak. First, competen
t and qualified mediators do not pretend to be lawyers, nor do they prey upon an
unknowing public.
}
{\i0 \fs16 \cf1 \f2 \b0
297
}}}
}
Rather, they try to help parties resolve problems within a broad framework of v
alues that may include law. Second, the limited empirical research in this area
shows little harm to mediation consumers from UPL violations by non-lawyers.
}
{\i0 \fs16 \cf1 \f2 \b0
298
}}}
}
}
{\i1 \fs20 \cf21 \f2 \b1
*296
}
}
There is evidence, however, that a lack of legal information in mediation can b
e harmful to parties.
}
{\i0 \fs16 \cf1 \f2 \b0
299
}}}
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0ERLCI_1}{\*\bkmkend co_g_ID0ERLCI_1}
V. Responding to the Needs of an Emerging Profession
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0E2LCI_1}{\*\bkmkend co_g_ID0E2LCI_1}
Released from the rigid ties that bind and blind in professional turf wars with
non-lawyers, lawyers are free to respond to the needs of the emerging mediation
profession. Two questions arise in this regard: 1) what do lawyers, both as advo
cates and mediators imbued with a problem-solving orientation, have to offer, an
d 2) what can they gain from power-sharing and collaboration with non-lawyers?
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EKMCI_1}{\*\bkmkend co_g_ID0EKMCI_1}
In examining the elements of traditional lawyers\rquote values and skills that
continue to be important in a modified UPL atmosphere, it is clear that lawyers
can bring a perspective and wisdom based on an understanding of the law that non
-lawyers will never have.
}
Beyond this obvious point, the unique value that lawyers bring to the mediation
table is their long experience in developing professional ethics systems. Profe
ssional responsibility has been referred to as the \u8220\'3fcrown jewel\u8221\'
3f of the U.S. legal system.
}
{\i0 \fs16 \cf1 \f2 \b0
300
}}}
}
Ethics development in ADR and mediation, on the other hand, is nascent. Thus, a
n important area where lawyers with a problem-solving perspective can make a dif
ference is in helping to develop a professional ethics regime for mediation.

\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EENCI_1}{\*\bkmkend co_g_ID0EENCI_1}
As mediation develops into a distinct profession, there are several efforts bein
g made at the state and national level to certify mediators and develop codes of
ethics.
}
{\i0 \fs16 \cf1 \f2 \b0
301
}}}
}
Relaxation of UPL regulations in mediation frees the legal and dispute resoluti
on professions to work collaboratively and address ethics issues that really mat
ter. These include problems such as honoring confidentiality,
}
{\i0 \fs16 \cf1 \f2 \b0
302
}}}
}
dealing with deception
}
{\i0 \fs16 \cf1 \f2 \b0
303
}}}
}
and preventing mediator coercion.
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F304289391251_ID0E1}
304
}}}
}
It also frees
}
{\i1 \fs20 \cf21 \f2 \b1

*297
}
}
lawyers to use their expertise in crafting new ethical rules for representing p
arties in mediation. Mediation advocacy is an underdeveloped field.
}
{\i0 \fs16 \cf1 \f2 \b0
305
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0ENOCI_1}{\*\bkmkend co_g_ID0ENOCI_1}
There are commonalities between the professions that should be explored. The cor
e values of the legal profession (loyalty, confidentiality, independence of judg
ment, competence, and improvement of the profession) correlate generally with ma
ny of those in the emerging mediation profession.
}
{\i0 \fs16 \cf1 \f2 \b0
306
}}}
}
Mediators are expected to follow a code of ethics, and in some states they are
certified and must follow state ethical rules as well. Confidentiality must be h
onored in mediation in some form,
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F307289391251_ID0E5}
307
}}}
}
and mediators are required to avoid conflicts of interest.
}
{\i0 \fs16 \cf1 \f2 \b0
308
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EJPCI_1}{\*\bkmkend co_g_ID0EJPCI_1}
}
{\i1 \fs20 \cf21 \f2 \b1
*298
}
}
What do lawyers have to gain from power-sharing and collaboration with the emer
ging mediation profession? A major benefit of working within the larger framewor
k of the conflict resolution field is that there may be more for clients to achi
eve in mediation than just a settlement.
}
{\i0 \fs16 \cf1 \f2 \b0
309
}}}
}
When mediation is viewed narrowly as a settlement-driven process, growth opport
unities may be lost. Experiences that may offer significant benefits to clients,
such as better communication and improved relationships, are undervalued. Media
tion\rquote s potential for forgiveness remains untapped. While there has been s
ome scholarly work on the transformative powers of mediation, restorative justic
e and the value of apologies,
}
{\i0 \fs16 \cf1 \f2 \b0
310
}}}
}
the whole area of reconciliation in law practice is understudied.
}
{\i0 \fs16 \cf1 \f2 \b0
311
}}}
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj

{\*\bkmkstart co_g_ID0EPQCI_1}{\*\bkmkend co_g_ID0EPQCI_1}
Finally, collaboration with other disciplines in the field of conflict resolutio
n offers rich benefits that come from professional dialogue.
}
{\i0 \fs16 \cf1 \f2 \b0
312
}}}
}
The success of social justice,
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F313289391251_ID0E1}
313
}}}
}
lawyer-social worker,
}
{\i0 \fs16 \cf1 \f2 \b0
ference_F314289391251_ID0E4}
314
}}}
}
and other collaborative projects
}
{\i0 \fs16 \cf1 \f2 \b0
315
}}}
}
suggests that much good can come
}
{\i1 \fs20 \cf21 \f2 \b1
*299
}
}
to clients when lawyers collaborate with other professionals. Collaboration off
ers opportunities for learning new perspectives on the cross-transfer of knowled
ge. While in the past, lawyers have applied learning from legal dispute processi
ng in ADR to political conflict, we have not yet considered what we can learn fr
om conflict resolution efforts in the broader political processes.
}
{\i0 \fs16 \cf1 \f2 \b0
316
}}}
}
Lessons learned from the world of political conflict may be relevant to individ
ual disputes faced by clients in a number of contexts, including class actions a
nd intractable conflict situations.
\par
}
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \qc \b1
{\*\bkmkstart co_g_ID0EZRCI_1}{\*\bkmkend co_g_ID0EZRCI_1}
Conclusion
\par
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EDSCI_1}{\*\bkmkend co_g_ID0EDSCI_1}
Lawyers\rquote professional monopoly has flourished under the traditional adver
sarial ethic, has exerted a powerful influence over the field of conflict resolu
tion, and the emerging mediation profession.
}
This Article has examined a new framework of problem-solving for lawyers that i
s slowly displacing the old framework. I have argued that in the spirit of that
new framework, we should not get stuck in the rigidity of the UPL doctrinal posi
tion that regulates non-lawyer mediation practice. Instead, we should reform our
professional monopoly from a problem-solving perspective that will bring us clo
ser to the needs and interests of the parties being served in mediation.
\par
}
}
}
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\ri0 \i0 \fs20 \cf1 \f2 \li0 \b0 \qj
{\*\bkmkstart co_g_ID0EYSCI_1}{\*\bkmkend co_g_ID0EYSCI_1}
The legal profession\rquote s recent soul-searching has led it to seek new const
ructs of lawyering that have expanded both the activities that lawyers consider
to be \u8220\'3flawyers work\u8221\'3f and the roster of values that lawyers con
sider to be important. It would be at best ironic and at worst disingenuous for
lawyers to seek out new visions of transformative legal practice and at the same
time limit the potential of non-lawyers to engage in transformative work. If th
e new ethic of problem-solving is to take hold in the legal profession, systemic
change is necessary. The time has come to recognize the powers of collaboration
and compromise. In doing so, we will help the profession to heal itself.
}
{\i0 \fs16 \cf1 \f2 \b0
317
}}}
\par
}
}
}
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Footnotes
}
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w }
\clpadt20 \clpadft3 \clpadb100 \clpadfb3 \clpadl100 \clpadfl3 \clpadr20 \clpadfr
3 \clbrdrl \trql \clvertalt \cellx600
\clpadt20 \clpadft3 \clpadb90 \clpadfb3 \clpadl90 \clpadfl3 \clpadr20 \clpadfr3
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{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
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{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Associate Professor, Fordham University School of Law. I am grateful to friends
and colleagues who discussed drafts of this Article, including Bruce Green, Jim
Haley, Bobbi McAdoo, Catherine McCauliff, Catherine Cronin-Harris, Russell Pearc
e, Elizabeth Plappinger, Kathleen Scanlon and Maria Volpe. I thank Kathy Bartlet
t, Gretchen Henninger, Argi Krypotis, Jessica Sombat and Claudia Villanella for
their excellent research assistance. I am grateful to Fordham University Law Sch
ool for providing financial support for this project.
\par
}
}
}
}\i0 \ri20 \fs18 \sa0 \ul0 \cf1 \strike0 \f2 \li20 \b0 \sb0 \qj \intbl \cell \ro
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{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
In this Article, the concept of power-sharing by lawyers refers to attitudes and
behaviors that respect the abilities of non-lawyers to make meaningful contribu
tions towards activities related to the law. Current examples of power-sharing i
nclude client-centered counseling and interdisciplinary problem-solving projects
.
\par
}
}
}
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\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
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2
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{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See generally Anthony T. Kronman, The Lost Lawyer: Failing Ideals of the Legal P
rofession (The Belknap Press of Harvard University Press 1995) (1993).
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
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rslt
3
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See generally Stephen B. Goldberg et al., Dispute Resolution: Negotiation, Media
tion, and Other Processes (3d ed. 1999). The term \u8220\'3fADR\u8221\'3f has be
en defined as \u8220\'3falternative\u8221\'3f or \u8220\'3fappropriate\u8221\'3f
dispute resolution. It is commonly understood to refer to processes that supple
ment full-fledged court adjudication of disputes. Such processes include negotia
tion, mediation, arbitration, and assorted combinations of these.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F4289391251_ID0E6QA" }{\fld
rslt
4
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
In his Introduction to John R. Van Winkle, Mediation: A Path for the Lost Lawyer
, (2001), Jerome Shesteck, former president of the American Bar Association, des
cribes ADR as the \u8220\'3fhot button\u8221\'3f in the development of the law t
oday with mediation as its most \u8220\'3fpromising province [because] its devel
opment transforms the goals and values of the traditional legal process in our j
ustice system. And it has deep implications for the nature of a civil society.\u
8221\'3f Jerome Shesteck, Introduction to John R. Van Winkle, Mediation: A Path
for the Lost Lawyer, at vii (2001).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F5289391251_ID0EPRA" }{\fld
rslt
5
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See John R. Van Winkle, Mediation: A Path for the Lost Lawyer 45 (2001) (describ
ing the author\rquote s conversion from litigation practice to ADR as characteri
zed by \u8220\'3fevangelistic fervor\u8221\'3f).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F6289391251_ID0EXRA" }{\fld
rslt
6
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Dan Trigoboff,
}
dType=Y&serNum=0105220711&pubNum=101&originationContext=document&vr=3.0&rs=cblt1
.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_101_32" }{\fldrs
lt
More States Adopting Divorce Mediation, 81 A.B.A. J. 32, 32 (1995)

(referring to nonlawyer mediation in family cases).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F7289391251_ID0EJSA" }{\fld
rslt
7
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See John S. Dzienkowski & Robert J. Peroni,
}
dType=Y&serNum=0281568525&pubNum=1142&originationContext=document&vr=3.0&rs=cblt
1.0&transitionType=DocumentItem&contextData=(sc.Search)" }{\fldrslt
Multidisciplinary Practice and the American Legal Profession: A Market Approach
to Regulating the Delivery of Legal Services in the Twenty-First Century, 69 For
dham L. Rev. 83 (2000)
(\u8220\'3fThe modern American legal profession has long maintained that lawyer
s must control the practice of law.\u8221\'3f); see generally Bruce A. Green, Th
e
}
Disciplinary Restrictions on Multidisciplinary Practice: Their Derivation, Their
Development, and Some Implications for the Core Values Debate, 84 Minn. L. Rev.
1115 (2000)
.
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F8289391251_ID0EOSA" }{\fld
rslt
8
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Thomas R. Andrews,
}
Nonlawyers in the Business of Law: Does the One Who Has the Gold Really Make the
Rules?, 40 Hastings L.J. 577 (1989)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F9289391251_ID0EYSA" }{\fld
rslt
9
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Derek A. Denckla,
}
1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1142_2581" }{\f
ldrslt
Nonlawyers and the Unauthorized Practice of Law: An Overview of the Legal and Et
hical Parameters, 67 Fordham L. Rev. 2581, 2581 (1999)
. See infra notes 101-06 and accompanying text.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F10289391251_ID0EQT" }{\fld
rslt
10
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Dzienkowski & Peroni, supra note 7, at 85. For an enlightening discussion of
the social justice version of MDP\rquote s, see Louise G. Trubek & Jennifer J.
Farnham,
}
dType=Y&serNum=0282139971&pubNum=106706&originationContext=document&vr=3.0&rs=cb
lt1.0&transitionType=DocumentItem&contextData=(sc.Search)" }{\fldrslt
Social Justice Collaboratives: Multidisciplinary Practices for People, 7 Clinica
l L. Rev. 227 (2000)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F11289391251_ID0EVT" }{\fld
rslt
11
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See John W. Cooley,
}
lt1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_102341_72" }{
\fldrslt
Shifting Paradigms: The Unauthorized Practice of Law or the Authorized Practice
of ADR, 55 Disp. Resol. J. 72, 72-73 (2000)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F12289391251_ID0EMU" }{\fld
rslt
12
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Compare Russell G. Pearce, The
}
Professionalism Paradigm Shift: Why Discarding Professional Ideology Will Improv
e the Conduct and Reputation of the Bar, 70 N.Y.U. L. Rev. 1229 (1995)

, with Jeffrey W. Stempel,
}
Embracing Descent: The Bankruptcy of a Business Paradigm for Conceptualizing and
Regulating the Legal Profession, 27 Fla. St. U. L. Rev. 25 (1999)
. In the view of some commentators however, there is little doubt that law is no
w a business. See Terry Carter, Law at the Crossroads, A.B.A. J. 28, 30 (Jan. 20
02) (\u8220\'3fProbably the most significant change accompanying the huge growth
has been the evolution from law as a profession to law as a business. Profits p
er partner and revenues are the new measures of success.\u8221\'3f)
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F13289391251_ID0E4V" }{\fld
rslt
13
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See infra text accompanying notes 17-87.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F14289391251_ID0EFW" }{\fld
rslt

14
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F15289391251_ID0EKW" }{\fld
rslt
15
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F16289391251_ID0EPW" }{\fld
rslt
16
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F17289391251_ID0EEY" }{\fld
rslt
17
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Carrie Menkel-Meadow,
}
ldrslt
When Dispute Resolution Begets Disputes of Its Own: Conflicts Among Dispute Prof
essionals, 44 UCLA L. Rev. 1871, 1880-81 (1997)
(\u8220\'3fIn its current state of early professionalization, ADR is a fluid fi
eld, attracting practitioners from a number of different disciplinary background
s ... \u8216\'3fTurf\u8217\'3f battles over who will conduct mediation sessions
are played out in proposed regulatory, licensing, and \u8216\'3fcredentializing\
u8217\'3f schemes, with each profession claiming its disciplinary knowledge is e
ssential to the task\u8221\'3f); Nichol M. Schoenfield,
}
Turf Battles and Professional Biases: An Analysis of Mediator Qualifications in
Child Custody Disputes, 11 Ohio St. J. on Disp. Resol. 469 (1996)
(identifying the advantages and disadvantages of attorneys and mental health pr
ofessionals as mediators in child custody disputes).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F18289391251_ID0EIY" }{\fld
rslt
18
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F19289391251_ID0EOZ" }{\fld
rslt
19
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Joint Code for Mediators, I, reprinted in Kimberlee K. Kovach, Mediation: Princi
ples and Practice 376 (2d ed. 2000). It should be noted that court-connected med
iation programs may be attracted more to the value of settlement than of party s
elf-determination.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F20289391251_ID0ESZ" }{\fld
rslt
20
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Margaret M. Severson & Tara V. Bankston, Social Work and the Pursuit
of Justice through Mediation, 40 Soc. Work 683, 683-84 (1995) ( \u8220\'3fmediat
ion ... complements social work\rquote s values by empowering clients to plan th
eir future and doing so with a problem-solving focus.\u8221\'3f).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F21289391251_ID0EJ1" }{\fld
rslt
21
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Some observers have expressed concern with the growing interconnections between
community mediation and the court system and the public perception that mediatio
n is a \u8220\'3fcomponent of the justice system.\u8221\'3f Timothy Hedeen & Pat
rick G. Coy, Community Mediation and the Court System: The Ties That Bind, 17 Me
diation Q. 351, 362 (2000).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F22289391251_ID0EQ1" }{\fld
rslt
22
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Comprehensive federal and state legislation has promoted the institutionalizatio
n of ADR and has resulted in its highly respectable status in the judicial syste
m and administrative agencies, as well as in the private sector. See, e.g., Gold
berg et al., supra note 3.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F23289391251_ID0EJ2" }{\fld
rslt
23
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See id.
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F24289391251_ID0EO2" }{\fld
rslt
24
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Jerold S. Auerbach, Justice Without Law (1983); Susan L. Donegan, ADR
in Colonial America: A Covenant for Survival,
}
dType=Y&pubNum=4458&cite=48ARBJ14&originationContext=document&vr=3.0&rs=cblt1.0&
transitionType=DocumentItem&contextData=(sc.Search)" }{\fldrslt
48 Arb. J. 14 (1993)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F25289391251_ID0ET2" }{\fld
rslt
25
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See William E. Simkin & Nicholas A. Fidandis, Mediation and the Dynamics of Coll
ective Bargaining 25 (2d ed. 1986).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F26289391251_ID0E22" }{\fld
rslt
26
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See National Conference on the Causes of Popular Dissatisfaction with the Admini
stration of Justice (A. Leo Levin & Russell R. Wheeler eds., 1976) [hereinafter
The Pound Conference].
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F27289391251_ID0EC3" }{\fld
rslt
27
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Perhaps the most frequently cited and relied upon paper is Professor Frank Sande
r\rquote s Varieties of Dispute Processing, in The Pound Conference, supra note
26.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F28289391251_ID0EW3" }{\fld
rslt
28
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g., Carrie Menkel-Meadow, Pursuing Settlement in An Adversary Culture: A Tale
of Innovation Co-Opted or \u8220\'3fThe Law of ADR,\u8221\'3f
}
dType=Y&pubNum=111446&cite=19FLASTLREV1&originationContext=document&vr=3.0&rs=cb
lt1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_111446_6" }{\
fldrslt
19 Fla. St. L. Rev. 1, 6-17 (1991)
; Goldberg et al., supra note 3, at 6-9.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
rslt
29
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Paul Wahrhaftig, Non-Professional Conflict Resolution, in Mediation:

Contexts and Challenges 49 (Joseph E. Palenski & Harold M. Launer eds., 1986); E
dith B. Primm, The
}
ldrslt
Neighborhood Justice Center Movement, 81 Ky. L.J. 1067, 1067-82 (1992-93)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F30289391251_ID0EG4" }{\fld
rslt
30
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Goldberg et al., supra note 3, at 6-9.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F31289391251_ID0EK4" }{\fld
rslt
31
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., T. Kochan et al., An
}
lt1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_111958_262" }
{\fldrslt
Evaluation of the Massachusetts Commission Against Discrimination Alternative Di
spute Resolution Program, 5 Harv. Negot. L. Rev. 233, 262-65 (2000)
(discussing some efficiency savings and some improved satisfaction for the part
ies). But see Richard C. Reuben,
}
Constitutional Gravity: A Unitary Theory of Alternative Dispute Resolution and P
ublic Civil Justice, 47 UCLA L. Rev. 949 (2000)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F32289391251_ID0EG5" }{\fld
rslt
32
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
SPIDR has merged with the Academy of Family Mediators (\u8220\'3fAFM\u8221\'3f)
and CREnet and is now known as the Association for Conflict Resolution (\u8220\'
3fACR\u8221\'3f). ACR\rquote s web site can be found at http://www.acresolution.
org (last visited Oct. 14, 2001).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F33289391251_ID0EK5" }{\fld
rslt
33
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
There is a vast literature on professions. See, e.g., Robert Dingwall, Accomplis
hing Profession, 24 Soc. Serv. Rev. 331, 331-49 (1976); Pearce, supra note 12, a
t 1238-40 and accompanying notes; see generally Professions and Professional Ide
ologies in America 3-69 (Gerald L. Geison ed., 1983). It should be noted, howeve
r, that some scholars do not agree that mediation should be considered a profess
ion. See, e.g., Jeffrey W. Stempel, The
}
1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1638_282" }{\fl
drslt
Inevitability of the Eclectic: Liberating ADR from Ideology, 2000 J. Disp. Resol
. 247, 282 (2000)
[hereinafter Stempel, Inevitability of the Eclectic] (explaining the potential
shortcomings of the professionalization of mediation).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
rslt

34
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Fla. R. Civ. P. \u167\'3f 10.100 (2000) (establishing comprehensive g
uidelines for mediator certification); see generally Harold Brown,
}
drslt
Alternative Dispute Resolution: Realities and Remedies, 30 Suffolk U. L. Rev. 74
3, 784 (1997)
(proposing licensing standards for ADR providers); John D. Feerick,
}
Toward Uniform Standards of Conduct for Mediators, 38 S. Tex. L. Rev. 455 (1997)
; Stephanie A. Henning,
}
{\fldrslt
A Framework for Developing Mediator Certification Programs, 4 Harv. Negot. L. Re
v. 189, 223-28 (1999)
(advocating focus on training programs and performance testing in ADR certifica
tion programs); Norma Jeane Hill,
}
1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1638_44" }{\fld
rslt
Qualification Requirements of Mediators, 1998 J. Disp. Resol. 37, 44-50 (1998)
(discussing pros and cons of various state certification programs); Kovach, sup
ra note 19; Bobby Marzine Harges,
}
drslt
Mediator Qualifications: The Trend Toward Professionalization, 1997 BYU L. Rev.

687, 703-07 (1997)
(advocating specialized training for mediators in child custody and visitation
disputes); Symposium, Certification of Mediators in California, 30 U. San Franci
sco L. Rev. 609 (1996). Another program of note is the Voluntary Mediation Certi
fication Project, a collaborative effort of the Academy of Family Mediators, the
Mediator Skills Project at the University of Georgia and an advisory committee
composed of representatives from Society of Professionals in Dispute Resolution,
the Association of Family and Conciliation Courts, and the dispute resolution s
ection of the American Bar Association. For an overview of the project see Justi
n Kelly, Mediation Certification Project Seeks More Time, Funding (Apr. 24, 2000
), http://www.adrworld.com.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F35289391251_ID0EB6" }{\fld
rslt
35
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See John Feerick et al.,
}
rslt
Standards of Professional Conduct in Alternative Dispute Resolution, 1995 J. Dis
p. Resol. 95, 96 (1995)
;
}
Model Standards of Practice for Family and Divorce Mediation (2000), reprinted i
n Symposium on Standards of Practice, 39 Family Court Review 121 (2001)

; Peacemakers Trust, Standards for Dispute Resolution Practice and Training (vis
ited December 27, 2001) http://www.peacemakers.ca/links. See generally, Sarah R.
Cole et al., Mediation: Law, Policy & Practice, Chapter 11 (2d ed. 2000).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F36289391251_ID0EF6" }{\fld
rslt
36
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
It should be noted that similar concerns exist in the more established professio
n of arbitration where there has also been a significant concern with ethics, co
mpetency and quality. A revision of the ethics code is being drafted and due pro
cess protocols have been adopted by many provider organizations. See, e.g., Task
Force on Alternative Dispute Resolution in Employment, Due Process Protocol for
Mediation and Arbitration of Statutory Disputes Arising Out of The Employment R
elationship (1995) reprinted in Goldberg et al., supra note 3, at 254; The Due P
rocess Protocol for Mediation and Arbitration of Consumer Disputes (April 17, 19
98), American Arbitration Association, Disp. Res. J. 15 (August 1998).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F37289391251_ID0EU6" }{\fld
rslt
37
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Cooley, supra note 11, at 75-76.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F38289391251_ID0EBA" }{\fld
rslt
38
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Adam Furlan Gislason,
}
Demystifying ADR Neutral Regulation in Minnesota: The Need for Uniformity and Pu
blic Trust in the Twenty-First Century ADR System, 83 Minn. L. Rev. 1839 (1999)
(arguing for a collaborative effort towards establishing a Board of Alternative
Dispute Resolution to regulate ADR neutrals under universal norms of ADR profes
sional conduct); Carrie Menkel-Meadow,
}
{\fldrslt
Ethics in Alternative Dispute Resolution: New Issues, No Answers from the Advers
ary Conception of Lawyers\rquote Responsibilities, 38 S. Tex. L. Rev. 407, 412
(1997)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F39289391251_ID0EGA" }{\fld
rslt
39
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Not all dispute resolvers are in agreement that professionalization calls for sp
ecific qualifications. See, e.g., Soc\rquote y of Professionals in Disp. Resol.
(SPIDR), Report of the SPIDR Commission on Qualifications (1989), reprinted in G
oldberg et al., supra note 3, at 191-95 (advocating for qualifications based on
performance rather than paper credentials). See generally Menkel-Meadow, supra n
ote 38.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F40289391251_ID0ELA" }{\fld
rslt
40
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
An interesting example of collaborative efforts is the Uniform Mediation Act (UM
A) Project. See
}
Michael B. Getty et al., Symposium on Drafting a Uniform/Model Mediation Act, 13
Ohio St. J. on Disp. Resol. 787 (1998)
; Model Mediation Law Effort Begins, Disp. Resol. Mag., Fall 1997, at 20. This i
s a project of the Uniform Law Commissioners that involves the ABA, SPIDR and se
veral official observers. A final draft of the Act was presented to the NCCUSL f
or a final reading in July 2001. The Drafting Committee on the UMA was convened
by the National Conference of Commissioners on Uniform State Laws and the ABA. F
or the last two years, hearings have been held over the text of the Act in an ef
fort to create model legislation that can be adopted by the individual states. T
he UMA was approved by the American Bar Association in February 2002.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F41289391251_ID0EPA" }{\fld
rslt
41
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The Uniform Mediation Act Project offers another example here. Over the course o
f the drafting project, two major ADR organizations stated that they would not s
upport the UMA unless it were limited in scope to issues that require uniformity
, provide clear confidentiality protection and provide that mediation practice i
s distinct from the practice of law. The depth of reflection about the professio
n is significant with the following eleven fundamental principles offered to gui
de SPIDR and AFM\rquote s support for the Uniform Mediation Act:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
(1) it addresses only those areas (such as confidentiality) where uniformity it
required; (2) Preserves party empowerment and self-determination; (3) Provides a
dequate, clear and specific confidentiality protections and, where necessary, li
mited and clearly defined exceptions that would maintain mediation as an effecti
ve confidential process in which people are free to discuss issues without fear
of disclosure in legal or investigatory procedures; (4) Reflects an understandin
g of diversity of mediation styles and the range of disputes mediated; (5) Is ea

sily understood by mediation participants; (6) Preserves mediation as a process
that is separate and distinct from the practice of law, arbitration, and judicia
l proceedings; (7) Provides that mediators may come from a variety of profession
al and non-professional backgrounds; (8) Provides procedural protections for the
disputants, the mediator, and the process when exceptions to confidentiality ar
e raised; (9) Adequately addresses how mediators, parties and representatives ar
e to comply, if at all, with mandatory reporting requirements that may be requir
ed by law or professional ethical standards; (10) Preserves the impartiality of
the mediator; and (ll) Takes into consideration the special concerns raised when
the threat of violence is present. Justin Kelly, National ADR Groups Lay Out Te
rms for Uniform Mediation Act, (July 20, 2000), http://www.adrworld.com.
\par
}
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F42289391251_ID0EZB" }{\fld
rslt
42
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Professor Carrie Menkel-Meadow\rquote s classic article on legal problem-solving
in negotiation describes its essential structure. Carrie Menkel-Meadow,
}
drslt
Toward Another View of Legal Negotiation: The Structure of Problem Solving, 31 U
CLA L. Rev. 754, 760 (1984)
. A more popularized version of problem-solving is described in Roger Fisher & W
illiam Ury, Getting to Yes: Negotiating Agreement without Giving in (2d ed. 1991
).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F43289391251_ID0E5B" }{\fld
rslt
43
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Paul Brest, The
}
Responsibility of Law Schools: Educating Lawyers as Counselors and Problem Solve
rs, 58 Law & Contemp. Probs. 5 (1995)
; Paul Brest & Linda Hamilton Krieger,
}
Lawyers as Problem Solvers, 72 Temple L. Rev. 811 (1999)
; James M. Cooper,
}
drslt
Towards a New Architecture: Creative Problem Solving and the Evolution of Law, 3
4 Cal. W. L. Rev. 297, 314 (1998)
; Alan M. Lerner,
}
Law & Lawyering in the Workplace: Building Better Lawyers by Teaching Students t
o Exercise Critical Judgment as Creative Problem Solver, 32 Akron L. Rev. 107 (1
999)

; Carrie Menkel-Meadow,
}
Aha? Is Creativity Possible in Legal Problem-Solving and Teachable in Legal Educ
ation? 6 Harv. Negot. L. Rev. 97 (2001)
}
When Winning Isn\rquote t Everything: The Lawyer as Problem Solver, 28 Hofstra L
. Rev. 905 (2000)
}
Taking Problem-Solving Pedagogy Seriously: A Response to the Attorney General, 4
9 J. Legal Educ. 14 (1999)
; Carrie Menkel-Meadow, To
}
lt1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_101925_2003"
}{\fldrslt
Solve Problems, Not Make Them: Integrating ADR in the Law School Curriculum, 46
SMU L. Rev. 1995, 2003 (1993)
; Linda Morton,
}
Teaching Creative Problem Solving: A Paradigmatic Approach, 34 Cal. W. L. Rev. 3
75 (1998)
; Andrea Kupfer Schneider,
}
Building a Pedagogy of Problem-Solving: Learning to Choose Among ADR Processes,
5 Harv. Negot. L. Rev. 113 (2000)

; Susan P. Sturm,
}
From Gladiators to Problem-Solvers: Connecting Conversations about Women, the Ac
ademy, and the Legal Profession, 4 Duke J. Gender L. & Pol\rquote y 119 (1997)
; James C. Freund & Donald C. Langevoort, Teaching Problem Solving--New Business
Lawyers Need to Know How to Find the Deal, Bus. L. Today, July/August 1999, at
32; The Lawyer as Creative Problem Solver Conference, California Western School
of Law and ABA Section of Legal Education and Admission to the Bar, Feb. 24-26,
2000 (On file at CPR); Into the 21st Century: Thought Pieces on Lawyering, Probl
em-Solving and ADR, Alternatives (CPR Inst. Disp. Resol., New York, N.Y.), Jan.
2001. See also Robert H. Mnookin et al., Beyond Winning: Negotiating to Create V
alue in Deals and Disputes (2000), wherein the authors devote three chapters to
a \u8220\'3fproblem-solving\u8221\'3f approach to negotiation.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F44289391251_ID0EHC" }{\fld
rslt
44
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See e.g., Symposium, Problem-Solving Courts: From Adversarial Litigation to Inno
vative Jurisprudence, ___ Fordham Urb. L.J. ___ (forthcoming 2002) (based on con
ference held at Fordham Law School, February 28-March 1, 2002).
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F45289391251_ID0EZC" }{\fld
rslt
45
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Derek Bok, A Flawed System of Law Practice and Law Teaching,
}
dType=Y&pubNum=3196&cite=33JLEGALEDUC570&originationContext=document&vr=3.0&rs=c
blt1.0&transitionType=DocumentItem&contextData=(sc.Search)" }{\fldrslt
33 J. Legal Educ. 570 (1983)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F46289391251_ID0E5C" }{\fld
rslt
46
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Directory of Law School Alternative Dispute Resolution Courses and Programs (200
0) published by the American Bar Association, Section of Dispute Resolution. Law
student chapters of ADR have developed and mediation advocacy and negotiation c
ompetitions are becoming as common as trial advocacy competitions. Robert B. Mob
erly, Symposium,
}
Introduction: Dispute Resolution in the Law School Curriculum: Opportunities and
Challenges, 50 Fla. L. Rev. 583 (1998)
; Suzanne J. Schmitz, Giving Meaning to the Second Generation of ADR Education:
Attorney\rquote s Duty to Learn about ADR and What They Must Learn, 1999 J. Disp
ute Resol. 29; Suzanne J. Schmitz,
}
What Should We Teach in ADR Courses?: Concepts and Skills for Lawyers Representi
ng Clients in Mediation, 6 Harv. Negot. L. Rev. 189 (2001)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F47289391251_ID0EDD" }{\fld
rslt
47
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Legal Education and Professional Development--An Educational Continuum, Report o
f the Task Force on Law Schools and the Profession: Narrowing the Gap, 1992 A.B.
A. Sec. Legal Educ. Admissions to the Bar 141-51.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
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rslt
48
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Early funding efforts began with the National Institute for Dispute Resolution (
\u8220\'3fNIDR\u8221\'3f). The Hewlett Foundation has funded a three-year Proble
m Solving Project for the Dispute Resolution Section of the American Bar Associa
tion, the Soros Foundation has funded a Problem-Solving Project for the CPR Inst
itute for Dispute Resolution and the Fund for the Improvement of Post-Secondary
Education has also supports pedagogical developments. Professor Leonard Riskin o
f the University of Missouri Law School played a major role in infusing ADR in t
he law school curriculum. See Leonard Riskin,
}
Disseminating the Missouri Plan to Integrate Dispute Resolution into Standard La
w School Courses: a Report on a Collaboration with Six Law Schools, 50 Fla. L. R
ev. 589 (1998)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F49289391251_ID0ELD" }{\fld
rslt
49
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The CPR Institute for Dispute Resolution has engaged in a major program, the CPR
Problem Solving and Legal Education Project available at http://www.cpradr.org
and the Hewlett Foundation has funded a three year project of the ABA Section of
Dispute Resolution to pursue problem-solving.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F50289391251_ID0EVD" }{\fld
rslt
50
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g., Gary Blasi,
}
What Lawyers Know: Lawyering Expertise, Cognitive Science, and the Functions of
Theory, 45 J. Legal Educ. 313 (1995)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F51289391251_ID0EZD" }{\fld
rslt
51

}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g., Janet Weinstein,
}
Coming of Age: Recognizing the Importance of Interdisciplinary Education in Law
Practice, 74 Wash. L. Rev. 319 (1999)
; Cf. Avery Cardinal Dulles, S.J., Catholic Social Teaching and American Legal P
ractice, 30 Fordham Urban L. J. ___ (forthcoming Oct. 2002) (discussing benefits
of interdisciplinary dialogue for lawyers) (copy of manuscript on file with aut
hor).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F52289391251_ID0EKF" }{\fld
rslt
52
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See e.g., Martha C. Nussbaum, Upheavals of Thought: The Intelligence of the Emot
ions (2001) (discussing the important role of emotions in formulating ethical ju
dgments); Robert S. Adler et al., Emotions in Negotiation: How to Manage Fear an
d Anger, 14 Neg. J. 161 (1998) (\u8220\'3femotions are what give vitality to the
values and goals that negotiators bring to the table.\u8221\'3f); Cf. Melvin Ar
on Eisenberg,
}
drslt
Private Ordering Through Negotiation: Dispute-Settlement and Rulemaking, 89 Harv
. L. Rev. 637, 654 (1976)

(discussing the emotional effects of participation in adjudication and disputenegotiation).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F53289391251_ID0EPF" }{\fld
rslt
53
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Barbara Ashley Phillips, The Mediation Field Guide: Transcending Liti
gation and Resolving Conflicts in Your Business, Organization, and Family Life (
2001); Steven Keeva, Transforming Practices (1999); david b. wexler et al., Prac
ticing Therapeutic Jurisprudence Law as a Helping Profession (2000).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F54289391251_ID0EYF" }{\fld
rslt
54
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

See Phillips, supra note 53, at 105.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F55289391251_ID0EJG" }{\fld
rslt
55
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Trubek & Farnham, supra note 10 (describing power-sharing project whe
re lawyers and non-lawyers work jointly to meet client needs).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F56289391251_ID0EWG" }{\fld
rslt
56
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
This assumes, of course, that the lawyer has acquired the baseline skill of bein
g able to differentiate interests from the parties\rquote articulated positions
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F57289391251_ID0E2G" }{\fld
rslt
57
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Steven Keeva, What Clients Want, 57 A.B.A. J., June 2001 at 48 [herei
nafter Keeva, What Clients Want] wherein the author describes a problem-solving,
needs-based approach to lawyering that one client claimed has transformed her l
ife:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
A case in point: Macie Scherick. When she hired Herz two years ago, all she need
ed was for him to draft documents so she could sell her 50 percent share of a So
Ho art gallery. At least, that\rquote s all she said she needed. Indeed, it\rquo
te s all she thought she needed. But Herz sensed there might be more to think ab
out. He asked Scherick about the business and about her partner of 15 years, and
he carefully listened to her answers. The result? Well, here\rquote s how Scher
ick puts it: \u8216\'3fHe profoundly transformed my life.\u8217\'3f Lawyers help
people all the time, in ways large and small. But transforming their lives? Sch
erick insists it\rquote s true. \u8216\'3fBefore I worked with him I had lots of
fears, but that\rquote s all gone now,\u8217\'3f she says. \u8216\'3fI was stuc
k, and he helped me travel the road I needed to go down.\u8217\'3f Id. at 49-50.
\par
}
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F58289391251_ID0ECH" }{\fld
rslt
58
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
For a sampling of different thinking on what constitutes an appropriate curricul
um, compare the view of Professor Lani Guinier with that of Professor Carrie Men
kel-Meadow in CPR Problem-Solving and Legal Educ. Project, Background Compilatio
ns on Problem-Solving and the Law School Curriculum 18 (Kathleen M. Scanlon, Pro
ject Dir., 2000). According to Professor Lani Guinier:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Problem-solving in the twenty-first century may require the input of diverse per
spectives and skills, including the ability to listen as well as speak, to synth
esize as well as categorize, and to think hard about nuance and context even whe
n that slows down the decision-making process; insight, especially in team conte
xts, benefits from the integration of mainstream and marginal viewpoints ...
\par
}
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Lani Guinier,
}
rslt
Lessons and Challenges of Becoming Gentlemen, 24 N.Y.U. Rev. L. & Soc. Change 1,
13 (1998)
. Professor Menkel-Meadow articulates her view that students would begin with mo
re traditional courses in their first year and proceed to specialization:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
In my ideal curriculum there would be logical development, beginning with first
year courses that teach traditional theoretical and doctrinal analysis but incor
porates problem solving skills and interdisciplinary materials. The second year
would be devoted to the acquisition of more substantive knowledge (in law and ot
her disciplines) with simulated and integrated skills courses (on question frami
ng, interviewing, counseling, decision-making, problem-solving, case valuation,
negotiation, mediation, facilitation, transaction planning). The third year caps
tone would include intensive work on one area of specialization, advanced writin
g, and exposure to real clients and real legal problem solving in clinics ...
\par
}
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Carrie Menkel-Meadow,
}
rslt
Taking Problem-Solving Pedagogy Seriously: A Response to the Attorney General, 4
9 J. Legal Educ. 14, 19-20 (March 1999)
. The complete report is available at http://www.cpradr.org.
\par
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F59289391251_ID0E4H" }{\fld
rslt
59
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Kimberlee K. Kovach,
}
{\fldrslt
Good Faith in Mediation-Requested, Recommended or Required? A New Ethic, 38 S. T
ex. L. Rev. 575, 580-81
(\u8220\'3fMediation provides a different paradigm for dispute resolution-one w
hich includes collaboration .... Participants, and in particular attorney-advoca
tes find that old behaviors are no longer helpful nor appropriate.\u8221\'3f).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F60289391251_ID0ECI" }{\fld
rslt
60
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Keeva, What Clients Want, supra note 57.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F61289391251_ID0EFI" }{\fld
rslt
61
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

Hon. Dorothy W. Nelson, ADR in the 21st Century: Opportunities and Challenges, 6
Disp. Resol. Mag., Spring 2000, at 3.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F62289391251_ID0EKI" }{\fld
rslt
62
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The growth in membership of the Dispute Resolution Section of the ABA and the AD
R section of the American Association of Law Schools are good examples.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F63289391251_ID0EUI" }{\fld
rslt
63
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., N. J. Sup. Ct. R. 1:40-1 (West 1998);
}

dType=L&pubNum=1000004&cite=ARSTS16-7-201&originatingDoc=I6c3f74716fa011dbb51fe9
1044789b39&refType=LQ&originationContext=document&vr=3.0&rs=cblt1.0&transitionTy
pe=DocumentItem&contextData=(sc.Search)" }{\fldrslt
Ark. Code Ann. \u167\'3f 16-7-201
(Michie 1987) (formerly codified as \u167\'3f 16-7-101); see generally Marshall
J. Breger,
}
drslt
Should an Attorney Be Required to Advise a Client of ADR Options? 13 Geo. J. Leg
al Ethics 427, 439-42 (2000)
(discussing the extent of attorney\rquote s duty to advise clients of ADR optio
ns); Robert F. Cochran, Jr.,
}
drslt
Legal Representation and the Next Steps Toward Client Control: Attorney Malpract
ice for the Failure to Allow the Client to Control Negotiation and Pursue Altern
atives to Litigation, 47 Wash. & Lee L. Rev. 819, 826-30 (1990)
(discussing the balance between a lawyer\rquote s control, and the client\rquot
e s autonomy); Robert F. Cochran, Jr.,
}
{\fldrslt
ADR, the ABA, and Client Control: A Proposal that the Model Rules Require Lawyer
s to Present ADR Options to Clients, 41 S. Tex. L. Rev. 183, 185-91 (1999)
(discussing state rules and the Restatement (Third) of the Law Governing Lawyer
s with respecting to advising clients about ADR options); Cole et al., supra not
e 35, at Ch. 4 (2001).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0

{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F64289391251_ID0EZI" }{\fld
rslt
64
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Dispute Resolution Directory by Martindale-Hubbell, at http://www.adr
.martindale.com; Dana N. Freyer,
}
\fldrslt
Integrating ADR: A Matter of Legal Practice, 51 Disp. Resol. J. 47, 49-50 (1996)
(discussing one law firm\rquote s separate ADR section).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F65289391251_ID0E3I" }{\fld
rslt
65
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Cornell/PERC Institute on Conflict Resolution, The Appropriate Resolu
tion of Corporate Disputes: A Report on the Growing Use of ADR by U.S. Corporati
ons (1998).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F66289391251_ID0EAJ" }{\fld
rslt
66
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See http://www.cprard.org/pledges.htm (last visited Oct. 13, 2001). The pledge w
as developed by the CPR Institute for Dispute Resolution and provides as follows
:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
We recognize that for many disputes there is a less expensive, more effective me
thod of resolution than the traditional lawsuit. Alternative dispute resolution
(ADR) procedures involve collaborative techniques which can often spare business
es the high costs of litigation.
\par
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
In recognition of the foregoing, we subscribe to the following statements of pri
nciple on behalf of company and its domestic subsidiaries:
\par
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
In the event of a business dispute between our company and another company which
has made or will then make a similar statement, we are prepared to explore with
that other party resolution of the dispute through negotiation or ADR technique
s before pursuing full-scale litigation. If either party believes that the dispu
te is not suitable for ADR techniques, or if such techniques do not produce resu
lts satisfactory to the disputants, either party may proceed with litigation.
\par
}
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
http://www.cpradr.org/corppol.htm (last visited Oct. 10, 2001).
\par
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F67289391251_ID0EPJ" }{\fld
rslt
67
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The ADR Act of 1998 (ADRA),
}
4789b39&refType=LQ&originationContext=document&vr=3.0&rs=cblt1.0&transitionType=
DocumentItem&contextData=(sc.Search)" }{\fldrslt
28 U.S.C.A. \u167\'3f 651 (West 1998)
amended the Civil Justice Reform Act of l990,
}
4789b39&refType=LQ&originationContext=document&vr=3.0&rs=cblt1.0&transitionType=
DocumentItem&contextData=(sc.Search)" }{\fldrslt
28 U.S.C.A. \u167\'3f 471 (West 1998)
. ADRA requires that all federal district courts establish at least one ADR prog
ram.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F68289391251_ID0EUJ" }{\fld
rslt
68
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., National Center for State Courts website stating that \u8220\'3fmedia
tion is the primary ADR method used by the courts ...\u8221\'3f available at htt
p://www.ncsc.dni.us/KMO/Topics/ADR/ADRsummary.htm.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F69289391251_ID0EAK" }{\fld
rslt
69
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See The Committee on Alternative Dispute Resolution, Mediation Standards Checkli
st, Association of the Bar of the City of New York, available at http://www.medi
ate.com/articles/docs0001.cfm. It is interesting to note that one of the standar
ds includes the parties right to have a \u8220\'3fmediation advocate or legal re
presentative\u8221\'3f present. Standards, 3 (A)(ii). The standards include guid
ance on mediator qualifications, ethics, provider organization requirements and
training.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F70289391251_ID0E3K" }{\fld
rslt
70
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
For example, when lawyers act as advocates in mediation, some have reported that
they have taken over the mediation process from litigants, acting as the domina
nt participants in the mediation process. See, e.g., Elizabeth Ellen Gordon, Att
orneys\rquote Negotiation Strategies in Mediation: Business as Usual?, 17 Media
tion Q. 383, 384 (2000) (reporting on a North Carolina civil mediation program i
n which attorneys acted as the main negotiators in mediated settlement conferenc
es and generally disfavored litigants acting as the main participants); Jacqueli
ne M. Nolan-Haley,
}
Lawyers, Clients and Mediation, 73 Notre Dame L. Rev. 1369 (1998)
[hereinafter Nolan-Haley, Lawyers & Clients].
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F71289391251_ID0E6K" }{\fld
rslt
71
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Phillips, supra note 53, at 235; see also Barbara McAdoo, The Future of ADR: Hav
e they come for the right reason? Alternative Disp. Resol. in Emp. 8, 11 (1999).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F72289391251_ID0EEL" }{\fld
rslt
72
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Alison E. Gerencser,
}
{\fldrslt
Alternative Dispute Resolution Has Morphed into Mediation: Standards of Conduct
Must Be Changed, 50 Fla. L. Rev. 843, 849 (1998)
; John Lande,
}
drslt
How Will Lawyering and Mediation Practices Transform Each Other, 24 Fla. St. U.
L. Rev. 839, 892-93 (1997)
; Carrie Menkel-Meadow, Pursuing Settlement in an Adversary Culture: A Tale of I
nnovation Co-Opted or \u8220\'3fThe Law of ADR,\u8221\'3f
}
dType=Y&pubNum=1141&cite=19FLASTULREV1&originationContext=document&vr=3.0&rs=cbl
t1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1141_2" }{\fld
rslt
19 Fla. St. U. L. Rev. 1, 2-3 (1991)
; Jack M. Sabatino,
}
ldrslt
ADR as \u8220\'3fLitigation Lite\u8221\'3f: Procedural and Evidentiary Norms Emb
edded Within Alternative Dispute Resolution, 47 Emory L.J. 1289, 1293 (1998)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F73289391251_ID0E5L" }{\fld
rslt
73
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Luis Arturo Pinz\u243\'3fn, The Production of Power and Knowledge in Mediation,
14 Mediation Q. 3, 13 (1996).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F74289391251_ID0EYM" }{\fld
rslt
74
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Kovach, supra note 19, at 298, 299; Maureen E. Laflin,
}
{\fldrslt
Preserving the Integrity of Mediation Through the Adoption of Ethical Rules for
Lawyer-Mediators, 14 Notre Dame J. L. Ethics & Pub. Pol\rquote y 479, 481 (2000)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F75289391251_ID0EAN" }{\fld
rslt
75
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Laflin, supra note 74, at 480-81; Michael Moffitt,
}
{\fldrslt
Loyalty, Confidentiality and Attorney-Mediators: Professional Responsibility in
Cross-Professional Practice, 1 Harv. Negot. L. Rev. 203, 204 (1996)

.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F76289391251_ID0EFN" }{\fld
rslt
76
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The role of lawyer as an advocate in processes such as mediation also raises que
stions that I have addressed elsewhere. See, e.g., Nolan-Haley, Lawyers & Client
s, supra note 70.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F77289391251_ID0EKN" }{\fld
rslt
77
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The CPR Georgetown Commission has issued a Draft Model Rule to govern the conduc
t of lawyers who act as neutrals. The Preamble Model Rule explains the need for
a new professional responsibility regime to govern the conduct of lawyers who ac

t in non-representational capacities:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
This Rule applies to the lawyer who acts as third party neutral to help represen
ted or unrepresented parties resolve disputes or arrange transactions among each
other. When lawyers act in neutral, non-representational capacities, they have
different duties and obligations in the areas addressed by this Rule than lawyer
s acting in a representational capacity. The current Model Rules are silent on l
awyer roles as third party neutrals, which are different from the representation
al functions addressed by the Model Rules of Professional Conduct and judicial f
unctions governed by the Judicial Code of Conduct.
\par
}
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The full text of the Model Rule is available at http://www.cpradr.org/cpr-george
.html.
\par
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F78289391251_ID0EPN" }{\fld
rslt
78
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The new Rule 2.4 provides: \u8220\'3fA lawyer serves as a third-party neutral wh
en the lawyer assists two or more persons who are not clients of the lawyer to r
each a resolution of a dispute or other matter that has arisen between them. Ser
vice as a third-party neutral may include service as an arbitrator, a mediator o
r in such other capacity as will enable the lawyer to assist the parties to reso
lve the matter.\u8221\'3f Approved by the ABA House of Delegates in February 200
2. See http://www.abanet.org/cpr/e2k-rule2.4html. See generally Douglas H. Yarn,

}
Lawyer Ethics in ADR and the Recommendations of Ethics 2000 to Revise the Model
Rules of Professional Conduct: Considerations for Adoption and State Application
, 54 Ark. L. Rev. 207 (2001)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F79289391251_ID0E6P" }{\fld
rslt
79
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Cooley, supra note 11, at 72 (introduction to the article describes i
t as \u8220\'3fa call to arms against the threat of the \u8216\'3flawyerization\
u8217\'3f and \u8216\'3fparochialization\u8217\'3f of alternative dispute resolu
tion practices).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F80289391251_ID0EHQ" }{\fld
rslt

80
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
According to one empirical study, \u8220\'3flawyers are begging for work.\u8221\
'3f Professor Thomas Metzloff, Remarks at AALS ADR Program, Washington, D.C. (Ja
nuary 2000).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F81289391251_ID0ELQ" }{\fld
rslt
81
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Many dispute resolution programs and court-connected ADR programs permit only la
wyers to act as neutrals. Telephone interview with Donna Stienstra, Federal Judi
cial Council (April 2001). For example, the U.S. District Court for the District
of Columbia adopted rules in April 2001 that would require mediators to have te
n years of legal practice and be a member of the D.C. Circuit\rquote s bar in ad
dition to mediation training and experience. Justin Kelly, D.C. Circuit Adopts S
trict Mediation Confidentiality, Immunity Rules, ADR News (Apr. 4, 2001), at htt
p://www.adrworld.com.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F82289391251_ID0ESR" }{\fld
rslt
82
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Patricia E. Edwards, Opportunities for Social Workers in Mediation, OASW Newsmag
azine, at 8, 14 (Ontario Ass\rquote n. Soc. Workers) Winter 1996. For an enlight
ening discussion of social workers and lawyers working as a team on behalf of cl
ients see Mary Ann Forgey & Ann Moynihan, Law and Social Work Team Practice: Com
municating about the Basics, Interdisciplinary Report on At-Risk Children & Fami
lies, May/June 1999, at 17-32 (copy on file with author).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F83289391251_ID0EBS" }{\fld
rslt
83
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
While the bar has focused some of its energies on excluding non-lawyers from arb
itration, the bulk of its attention has been directed toward mediation practice.
Arbitration has been the traditional alternative to the court adjudication of d
isputes in the United States. From the revolutionary through the colonial era un
til the present time, arbitration has flourished as an informal adjudicatory pro
cess, providing flexibility, efficiency and neutral decision-makers with experti
se in the subject matter. See e.g., Bruce H. Mann, The
}
Formalization of Informal Law: Arbitration Before the American Revolution, 59 N.
Y.U. L. Rev. 443 (1984)
. Non-lawyers have a long history of serving as arbitrators in this country.

\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
In recent years, the legal profession\rquote s major concern with non-lawyer par
ticipation in arbitration is not with those who serve as neutrals but with those
who represent parties in arbitration proceedings. Most recently, the concern ha
s been with securities industry arbitration and with what one commentator has de
scribed as the \u8220\'3fbooming cottage industry for nonlawyer advocates who op
enly solicit investors to pursue claims against their stockbrokers to recover lo
sses.\u8221\'3f As a result of the Supreme Court\rquote s endorsement of mandato
ry arbitration clauses in broker-dealer customer agreements, securities arbitrat
ion has become the primary method of resolving disputes between brokers, dealers
and customers. The inability of small investors to obtain legal counsel to purs
ue claims against brokers and dealers in arbitration has contributed in part to
an area of non-lawyer practice, labeled \u8220\'3fnon-attorney representatives\u
8221\'3f (NAR) by the Securities Industry Conference.
\par
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The involvement of non-lawyers as party advocates has raised concern with the un
authorized practice of law doctrine. After numerous complaints, the Securities I
ndustry Conference (SICA) conducted a two-year study of the issue. Although it c
oncluded that NAR practice may constitute the unauthorized practice of law, it l
eft the issue to individual states for regulation. Some states have specifically
barred non-lawyers from representing individuals in securities-related matters.
See John P. Cleary,
}
Protecting the Public, Not Anyone\rquote s Turf: The Unlicensed Practice of Law
in Securities Arbitration, 26 Pepp. L. Rev. 543 (1999)
.
\par
}
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F84289391251_ID0ERS" }{\fld
rslt
84
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Lemoine D. Pierce, It\rquote s Time to Get Rid of the Term \u8220\'3fNon-Lawyer\
u8221\'3f, Letter to the Editor, Disp. Resol. Mag., Fall 1998, at 2. For other c
oncerns with use of the term non-lawyer see Ericka B. Gray, What\rquote s In a N
ame? A Lot When \u8220\'3fNon\u8221\'3f - Is Involved,
}
dType=Y&pubNum=206508&cite=15NEGOTIATIONJ103&originationContext=document&vr=3.0&
rs=cblt1.0&transitionType=DocumentItem&contextData=(sc.Search)" }{\fldrslt
15 Negotiation J. 103 (1999)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F85289391251_ID0E6S" }{\fld
rslt
85
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See David A. Hoffman, Is There a Niche for Lawyers in the Field of Mediation?
}
dType=Y&pubNum=206508&cite=15NEGOTIATIONJ107&originationContext=document&vr=3.0&
rs=cblt1.0&transitionType=DocumentItem&contextData=(sc.Search)" }{\fldrslt
15 Negotiation J. 107 (1999)

wherein the author claims: \u8220\'3fSome lawyers have entered the field of med
iation like the proverbial bull in the china shop, with little regard for the ha
rd work that pioneers in the field have done to develop standards for training,
ethics, and qualifications.\u8221\'3f
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F86289391251_ID0EMT" }{\fld
rslt
86
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Id.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F87289391251_ID0E3T" }{\fld
rslt
87
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The extent to which the prevailing rhetoric has taken firm hold in the world of
real lawyering practice is questionable.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F88289391251_ID0EEV" }{\fld
rslt
88
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Andrew S. Morrison, Is
}
Divorce Mediation the Practice of Law? A Matter of Perspective, 75 Cal. L. Rev.
1093 (1987)
; Peter S. Adler, Lawyer & Non-Lawyer Mediation: Speculations on Brewing Controv
ersy, 33 Nat\rquote l L. Inst. Disp. Resol. F. 45 (1997); James B. Boskey, Media
tion and the Practice of Law: Two Sides of Different Coins, 33 Nat\rquote l L. I
nst. Disp. Resol. F. 39 (1997); Dorothy J. Della Noce, Mediation Could Be the Pr
actice of Law, But It Doesn\rquote t Have to Be, 33 Nat\rquote l Inst. Disp.
}
Resol. F. 16 (1997); Bryant Garth, Is Mediation the Practice of Law: The Wrong Q
uestion, 33 Nat\rquote l L. Inst. Disp. Resol. F. 34 (1997); Kimberlee K. Kovach
, Mediation the Practice of Law? Not!, 33 Nat\rquote l L. Inst. Disp. Resol. F.
37 (1997); Carrie Menkel-Meadow, Is Mediation the Practice of Law, 14 Alternativ
es, 57 (1995); Bruce E. Meyerson, Lawyers Who Mediate Are Not Practicing Law, 14
Alternatives 74 (1996); Bruce Myerson, Mediation and the Practice of Law, 3 Dis
p. Resol.
}
dType=L&pubNum=1005833&cite=MARMAGR2&originatingDoc=I6c3f74716fa011dbb51fe910447
89b39&refType=LQ&originationContext=document&vr=3.0&rs=cblt1.0&transitionType=Do
cumentItem&contextData=(sc.Search)" }{\fldrslt
Mag. No.2, at 11 (1996)
; Lemoine D. Pierce, Is Mediation the Practice of Law?: Questions Arising Out of
the Crisis Within the American Legal Community, 33 Nat\rquote l L. Inst. Disp.
Resol. F. 31 (1997); Larry Ray & Prudence Kestner, Is Mediation the Practice of
Law? 33 Nat\rquote l L. Inst. Disp. Resol. F. 1 (1997). More recently, John Cool
ey has questioned whether or not this is the proper inquiry. Cooley suggests ins
tead that the inquiry should be re-framed to ask \u8220\'3fwhat is the proper pr
actice of mediation within the larger practice of ADR?\u8221\'3f Cooley, supra n
ote 11, at 75. For a discussion of recent bar rulings on this question, see comm
entary accompanying ABA Section on Dispute Resolution, Resolution on Mediation a
nd the Unauthorized Practice of Law, infra note 193.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F89289391251_ID0ERV" }{\fld
rslt
89
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., SPIDR Annual Conference, September 1999, Baltimore Maryland, Panel Di
scussion on Unauthorized Practice; Symposium, Is Mediation the Practice of Law?
33 Nat\rquote l L. Inst. Disp. Resol. F. (1997); Wendy Woods,
}
drslt
Model Rule 2.2 and Divorce Mediation: Ethics Guideline or Ethics Gap?, 65 Wash.
U. L.Q. 223, 223-24 (1987)
(advocating a new ethical rule to govern conduct of lawyers in mediation); Sand
ra E. Purnell, Comment, The
}
drslt
Attorney as Mediator-Inherent Conflict of Interests?, 32 UCLA L. Rev. 986, 986 (
1985)
(examining what constitutes the practice of law and whether mediation is the pr
actice of law).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
rslt
90
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Model Rules of Prof\rquote l Conduct R. 5.7(b) (1994) (defines law-related servi
ces as, \u8220\'3fservices that might reasonably be performed in conjunction wit
h and in substance are related to the provision of legal services, and that are
not prohibited as unauthorized practice of law when provided by a nonlawyer.\u82
21\'3f)
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
rslt
91
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F92289391251_ID0EJW" }{\fld
rslt
92
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Ethics 2000, Draft Rule 2.4, (2002) at http:// www.abanet.org/cpr/e2k-rule-2.4.h
tml (remaining silent on whether lawyers as neutrals can give advice to parties
in an ADR proceeding and whether they can draft settlement agreements).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F93289391251_ID0ENW" }{\fld
rslt
93
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See generally Menkel-Meadow, supra note 38; Menkel-Meadow, supra note 17; Arthur
Garwin,
}
.0&transitionType=DocumentItem&contextData=(sc.Search)" }{\fldrslt
Double Identity: Ethics Issues Do Not Disappear for Lawyers Who Serve as Mediato
rs, 84 A.B.A. J. 88 (1998)
; Jonathan A. Beyer,
}
Practicing Law at the Margins: Surveying Ethics Rules for Legal Assistants and L
awyers Who Mediate, 11 Geo. J. Legal Ethics 411 (1998)
; Michelle D. Gaines, Comment,
}
A Proposed Conflict of Interest Rule for Attorney-Mediators, 73 Wash. L. Rev. 69
9 (1998)
; Glen Sato, Comment, The
}
Mediator-Lawyer: Implications for the Practice of Law and One Argument for Profe
ssional Responsibility Guidance--A Proposal for Some Ethical Considerations, 34
UCLA L. Rev. 507 (1986)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F94289391251_ID0ECX" }{\fld
rslt
94
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See
}
dType=Y&pubNum=1137&cite=16FAMLQ107&originationContext=document&vr=3.0&rs=cblt1.
0&transitionType=DocumentItem&contextData=(sc.Search)" }{\fldrslt
Linda J. Silberman, Professional Responsibility Problems of Divorce Mediation, 1
6 Fam. L.Q. 107 (1982)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F95289391251_ID0EKX" }{\fld
rslt
95
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g., Maryland S.B.A. Comm. on Ethics, No. 80-55A (1980) (Maryland opinion cauti
ons mediators to \u8220\'3fbe aware of what constitutes the practice of law and
carefully avoid it.\u8221\'3f); Bd. of Prof. Resp. of Supreme Ct. of Tenn. Forma
l Ethics Op. 83-F-39 (1983) (holding that divorce mediation constitutes the prac
tice of law even though the parties are informed that the mediators do not provi
de legal counsel and the parties are encouraged to seek independent legal counse
l); Connecticut Bar Ass\rquote n Committee on Professional Ethics Informal Op No
83-1
}
dType=Y&pubNum=3632&cite=9FAMLREP2013&originationContext=document&vr=3.0&rs=cblt
(1982), 9 Fam. L. Rep. 2013 (1982)
(non-lawyer mediator\rquote s legal advice constitutes the unauthorized practic
e of law); North Carolina State Bar Ethics Committee Op (1980) discussed in N. C
. Bar Q. at 4 (Sept. 1980) (drafting agreement to mediate divorce dispute is the
unauthorized practice of law). Compare Ass\rquote n of the Bar of the City of N

ew York Comm. On Prof. and Jud. Ethics, No. 80-23 (1980) (New York opinion recog
nized the possibility that non-lawyers could engage in mediation without engagin
g in unauthorized practice).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F96289391251_ID0EOX" }{\fld
rslt
96
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g., Bd. of Prof. Resp. of Supreme Ct. of Tenn. Formal Ethics Op. 85-F-98 (1985
), reprinted in Tenn. B. J. at 36 (May/June 1986) (approving a not-for-profit me
diation service by non-lawyers). Bd. of Prof. Resp. of Supreme Ct. of Tenn. Form
al Ethics Op. 83-F-39 (1983) (disapproving a for-profit mediation service by non
-lawyers two years earlier).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F97289391251_ID0EEY" }{\fld
rslt
97
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

Nancy Rogers & Craig McEwen, Mediation and the Unauthorized Practice of Law, 23
Mediation Q. 23, 23 (1989).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F98289391251_ID0EJY" }{\fld
rslt
98
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Joshua R. Schwartz,
}
ldrslt
Laymen Cannot Lawyer, But is Mediation the Practice of Law? 20 Cardozo L. Rev. 1
715, 1745-46 (1999)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F99289391251_ID0ENY" }{\fld
rslt
99

}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
David A. Hoffman & Natasha A. Affolder, Mediation and UPL: Do Mediators Have a W
ell-founded Fear of Prosecution?, 6 A.B.A. Disp. Resol. Mag. 20, 20 (2000). Curi
ously, there has been much less concern in the literature with non-lawyers who p
articipated in arbitration, one of the oldest forms of ADR in this country, wher
e non-lawyers traditionally serve as neutrals. Most interest here is found in th
e reports of securities industries groups. The focus was not on the neutral prov
iding services as it was in mediation but on non-lawyers representing parties du
ring securities arbitration proceedings. See, e.g., Cleary, supra note 38, at 54
3-44.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
{\*\bkmkstart co_footnote_F100289391251_1}{\*\bkmkend co_footnote_F100289391251_
1}
rslt
100
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See infra text accompanying notes 229-31 (describing approaches taken by mediati
on practitioners to avoid UPL violations).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
101
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
For an analysis of case law on unauthorized practice of law, see John F. Sutton
& John S. Dzienkowski, Cases and Materials on the Professional Responsibility of
Lawyers 231-41 (West 1989). See also Standing Comm. On Lawyers\rquote Responsi
bility for Client Protection, A.B.A. 1994 Survey and Related Materials on the Un
authorized Practice of Law/Nonlawyer Practice, (1996) (survey and analysis of UP
L statutes in the fifty states) [hereinafter ABA UPL/Nonlawyer Practice]. For a
recent survey of state UPL regulations, see Yvonne A. Tamayo, Defining the Pract
ice of Law in the 21st Century, ABA Conference on Professional Responsibility, A
ppendix B (2000).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F102289391251_ID0EJ" }{\fld
rslt
102
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g.,
}
Birbrower, Montalbano, Condon & Frank v. Superior Court, 949 P.2d 1 (Cal. 1998)
. The court upheld the refusal of a California corporation to pay a New York law
firm for work they did in California while preparing for an arbitration that to
ok place in San Francisco because they were not members of the California bar an
d thus were engaged in the unauthorized practice of law. See

}
dType=L&pubNum=1000201&cite=CACPS1282.4&originatingDoc=I6c3f74716fa011dbb51fe910
Cal. Civ. Proc. Code \u167\'3f 1282.4 (West 2002)
(post-Birbrower amendment allowing out-of-state attorneys to represent parties
in private arbitration proceedings without violating the unauthorized practice o
f law regulations).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F103289391251_ID0EO" }{\fld
rslt
103
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Model Rule 5.5(b) prohibits lawyers from \u8220\'3fassist[ing] a person who is n
ot a member of the bar in the performance of activity that constitutes unauthori
zed practice of law.\u8221\'3f Model Rules of Prof\rquote l Conduct R. 5.5(b) (1
983), reprinted in Stephen Gillers & Roy D. Simon, Regulation of Lawyers, Statut
es and Standards (2001). The Model Code\rquote s Disciplinary Rule 3-101(A) proh
ibits aiding a non-lawyer in unauthorized practice of law. Model Code of Prof\rq
uote l Responsibility DR3-101 (A) (1983). Canon 3 states that \u8220\'3fA Lawyer
Should Assist in Preventing Unauthorized Practice.\u8221\'3f Model Code of Prof
\rquote l Responsibility, Canon 3. See also Charles W. Wolfram, Modern Legal Eth
ics 846-49 (West 1986) (discussing lawyers\rquote assisting unauthorized practi
tioners, multi-jurisdictional practice, suspended or disbarred lawyers and occup
ationally disqualified lawyers).
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F104289391251_ID0ET" }{\fld
rslt
104
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See
}
dType=Y&pubNum=1222&cite=12PEPPLREV1&originationContext=document&vr=3.0&rs=cblt1
lt
Elizabeth Michelman, Guiding the Invisible Hand: The Consumer Protection Functio
n of Unauthorized Practice Regulation, 12 Pepp. L. Rev. 1, 4-5 (1984)
. See generally Deborah L. Rhode,
}
Policing the Professional Monopoly: A Constitutional and Empirical Analysis of U
nauthorized Practice Prohibitions, 34 Stan. L. Rev. 1 (1981)
[hereinafter, Rhode, Policing the Professional Monopoly].
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F105289391251_ID0EW" }{\fld
rslt
105
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Wolfram, supra note 103, at 845.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
106
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Denckla, supra note 9, at 2592. See also Wolfram, supra note 103, at 845-46.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
107
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Denckla, supra note 9, at 2585; ABA Commission on Nonlawyer Practice, Nonlaw
yer Activity in Law-Related Situations: A Report with Recommendations 23-32 (199
5) [hereinafter Commission on Non-Lawyer Practice].
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
108
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
EC 3-1 instructs that \u8220\'3f[t]he prohibition against the practice of law by
a layman is grounded in the need of the public for integrity and competence of
those who undertake to render legal services.\u8221\'3f Model Code of Prof\rquot
e l Responsibility EC 3-1 (1983).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F109289391251_ID0EZ" }{\fld
rslt
109
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
EC 3-2 defines the lawyer\rquote s \u8220\'3fcompetent professional judgment\u82
21\'3f as \u8220\'3fthe product of a trained familiarity with law and legal proc
esses, a disciplined, analytical approach to legal problems, and a firm ethical
commitment.\u8221\'3f Denckla, supra note 9, at 2593 (quoting Model Code of Prof
\rquote l Responsibility EC 3-2 (1981)).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F110289391251_ID0EI" }{\fld
rslt
110
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Model Code of Prof\rquote l Responsibility EC 3-3 (1983).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F111289391251_ID0EV" }{\fld
rslt
111
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Hackin v. Arizona, 389 U.S. 151, 151-52 (1967).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
112
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See generally James W. Hurst, The Growth of American Law: The Law Makers 319-25
(1950); Barlow F. Christenson, The Unauthorized Practice of Law: Do Good Fences
Really Make Good Neighbors--Or Even Good Sense?
}
dType=Y&pubNum=101488&cite=1980AMBFOUNDRESJ159&originationContext=document&vr=3.
0&rs=cblt1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_101488
_201" }{\fldrslt
1980 Am. B. Found. Res. J. 159-201;
Mary C. Daly,
}
drslt
Choosing Wise Men Wisely: The Risks and Rewards of Purchasing Legal Services fro
m Lawyers in a Multidisciplinary Partnership, 13 Geo. J. Legal Ethics 217, 248-5
2 (2000)
; Rhode, Policing the Professional Monopoly, supra note 104, at 6-11.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
113
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Commission on Nonlawyer Practice, supra note 107, at xi. Christenson, supra note
112.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F114289391251_ID0EY" }{\fld
rslt
114
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Several states did allow non-lawyers to appear as advocates. The era of nonlawye
r practice ended at the time of the Civil War with the rise of bar associations
and the beginnings of the growth of professionalism. Denckla, supra note 9, at 2
583.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
115
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Wolfram, supra note 103, at 825-26.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
116
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Hurst, supra note 112, at 319. Three of these activities are prohibited today as
the unauthorized practice of law. Denckla, supra note 9, at 2583. See also Wolf
ram, supra note 103, at 825.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
117
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Donald Weckstein, Limitations on the Right to Counsel: The Unauthorized Practice
of Law,
}
dType=Y&pubNum=1273&cite=1978UTAHLREV649&originationContext=document&vr=3.0&rs=c
blt1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1273_674" }{
\fldrslt
1978 Utah L. Rev. 649, 674
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F118289391251_ID0EB" }{\fld
rslt
118
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

The New York County Lawyers Association established an unauthorized practice com
mittee as early as 1914 to respond to competition from title and trust companies
. Hurst, supra note 112, at 323.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F119289391251_ID0EG" }{\fld
rslt
119
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Wolfram, supra note 103, at 825-26.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
120
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
421 U.S. 773 (1975)
. The ABA dismantled its unauthorized practice committee in 1984. See ABA UPL/No
nlawyer Practice, supra note 101, at xiv.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
121
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
EC 3-5 states: \u8220\'3fWhat constitutes unauthorized practice of law in a part
icular jurisdiction is a matter for determination by the courts of that jurisdic
tion.\u8221\'3f Model Code of Prof\rquote l Responsibility EC 3-5 (1983).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F122289391251_ID0EN" }{\fld
rslt
122
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
A common critique is the lack of definition both of UPL and of the practice of l
aw. See, e.g., Rhode, Policing the Professional Monopoly, supra note 104, at 81;
Laurel S. Terry, A Primer on MDPS: Should the \u8220\'3fNo\u8221\'3f Rule Becom
e a New Rule?, 72 Temp. L. Rev. 689 (1999).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F123289391251_ID0ES" }{\fld
rslt
123
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Michelman, supra note 104, at 4, 5.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
124
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g.,
}
dType=Y&serNum=1999046195&pubNum=0000999&originationContext=document&vr=3.0&rs=c
Unauthorized Practice of Law Comm. v. Parsons Tech., Inc., 1999 WL 47235 (N.D. T
ex. 1999)
, vacated and remanded,
}
179 F.3d 956 (5th Cir. 1999)
(involves Quicken Financial Software);
}
Drew v. Unauthorized Practice of Law Comm., 970 S.W.2d 152 (Tex. App. 1998)
, reh\rquote g overruled (July 1998), review denied (Oct 1, 1998);
}
State v. Rogers, 705 A.2d 397 (N.J. Super. Ct. App. Div. 1998)
, cert. denied,
}
718 A.2d 1214 (N.J. 1998)
;
}
Lawline v. Am. Bar Ass\rquote n., 956 F.2d 1378 (7th Cir. 1992)
(upholding against vagueness challenge a state ethical rule prohibiting lawyers
from assisting others in the unauthorized practice of law).

\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F125289391251_ID0EH" }{\fld
rslt
125
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Wolfram, supra note 103, at 836.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F126289391251_ID0EK" }{\fld
rslt
126
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
EC 3-5 offers a functional understanding of what lawyers do: \u8220\'3fThe pract
ice of law relates to the rendition of services for others that call for the pro
fessional judgment of a lawyer. The essence of the professional judgment of the
lawyer is his educated ability to relate the general body and philosophy of law
to a specific legal problem of a client. Model Code of Prof\rquote l Responsibil

ity EC 3-5 (1983). See Wolfram, supra note 103, at 836, for a critique of this t
est.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F127289391251_ID0EX" }{\fld
rslt
127
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Wolfram, supra note 103, at 836. See, e.g.,
}
.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_661_633" }{\fldr
slt
Cultum v. Heritage House Realtors, Inc., 694 P.2d 630, 633 (Wash. 1985)
.
}
Application of New York County Lawyers Ass\rquote n (\u8220\'3fBercu\u8221\'3f),
78 N.Y.S.2d 209 (N.Y. App. Div. 1948)
, aff\rquote d
}
299 N.Y. 728, 87 N.E.2d 451 (N.Y. 1948)
. This exception is generally limited to nonlawyers who do not charge for their
services. Rhode, Policing the Professional Monopoly, supra note 104, at 82-83. T
he incidental test has been criticized for its failure to consider the interests
in protecting the public welfare. See
}
slt
Agran v. Shapiro, 273 P.2d 619, 625 (Cal. Ct. App. 1954)
. It should be noted that several other tests have also been used by the courts.
See Denckla, supra note 9, at 2588-89. Rhode, Policing the Professional Monopol
y, supra note 104, at 81-85.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
128
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See
}
slt
Faretta v. Cal., 422 U.S. 806, 807 (1975)
. Model Code of Prof\rquote l Responsibility EC 3-7 (1983).
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
129
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Michelman, supra note 104, at 7.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
130
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See
}
dType=Y&pubNum=100040&cite=37ADMLR375&originationContext=document&vr=3.0&rs=cblt
Robert G. Heiserman, Nonlawyer Practice Before Federal Administrative Agencies S
hould Be Discouraged, 37 Admin. L. Rev. 375 (1985)
(proceedings of the colloquium sponsored by the ABA Standing Comm. on Lawyers\r
quote Responsibility for Client Protection); Jonathan Rose, Nonlawyer Practice
Before Federal Administrative Agencies Should Be Encouraged,

}
dType=Y&pubNum=100040&cite=37ADMLR363&originationContext=document&vr=3.0&rs=cblt
37 Admin. L. Rev. 363 (1985)
(proceedings of the colloquium sponsored by the ABA Standing Comm. On Lawyers R
esponsibility for Client Protection); Gregory T. Stevens, The
}
Proper Scope of Nonlawyer Representation in State Administrative Proceedings: A
State Specific Balancing Approach, 43 Vand. L. Rev. 245 (1990)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
131
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Ryan J. Talamante,
}
drslt
We Can\rquote t All Be Lawyers ... Or Can We? Regulating the Unauthorized Practi
ce of Law in Arizona, 34 Ariz. L. Rev. 873, 885 (1992)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
132
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See
}
People v. Perez, 594 P.2d 1 (Cal. 1979)
; Kathleen Eleanor Justice,
}
drslt
There Goes the Monopoly: The California Proposal to Allow Nonlawyers to Practice
Law, 44 Vand. L. Rev. 179, 189, n.61 (1991)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0

{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
133
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
This exception applies as long as there is no relationship between the buyer and
seller on how to use the kit. See, e.g.,
}
slt
In re Thompson, 574 S.W.2d 365, 369 (Mo. 1978)
;
}
NJ State Bar Ass\rquote n v. Divorce Ctr. of Atlantic County, 477 A.2d 415 (N.J.
Super Ct. Ch. Div. 1984)
. See generally Patricia J. Lamkin, Annotation,
}
Sale of Books or Forms Designed to Enable Laymen to Achieve Legal Results Withou
t Assistance of Attorney as Unauthorized Practice of Law, 71 A.L.R. 3d 1000 (197
6)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0

{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
134
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g.,
}
.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_735_1194" }{\fld
rslt
Florida Bar v. Brumbaugh, 355 So. 2d 1186, 1194 (Fla. 1978)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
135
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g.,
}
Arons et. al. v. Office of Disciplinary Counsel of the Sup. Ct. of Del., 756 A.2
d 867 (Del. 2000)

.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
136
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See William H. Brown,
}
Legal Software and the Unauthorized Practice of Law: Protection or Protectionism
, 36 Cal. W. L. Rev. 157 (1999)
(discussing
}
Unauthorized Practice of Law Committee v. Parsons Tech., 1999 WL 47235 at 1 (N.D
. Tex. Jan. 22, 1999)
and Nolo press case);
}
Fadia v. Unauthorized Practice of Law Comm., 1991 WL 275167 (Tex. App. 1991)
, opinion withdrawn and superseded on denial of reh\rquote g by

}
830 S.W.2d 162 (Tex. App. 1992)
(selling of forms without more is the unauthorized practice of law). See genera
lly, State
}
Bar of Texas Task Force Recommendation of a New Statutory Definition for the Una
uthorized Practice of Law, 64 Tex. B.J. 860 (October 2001)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
137
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g.,
}
Florida Bar v. Eubanks, 752 So.2d 540 (Fla. 1999)
;
}
Florida Bar v. Catarcio, 709 So.2d 96 (Fla. 1998)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F138289391251_ID0EE" }{\fld
rslt
138
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
There have been several proposals to allow lay persons to engage in limited law
practice. See, e.g., Justice, supra note 132, at 193-210.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
139
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Concerned with lax enforcement of UPL regulations, the ABA House of Delegates, a
t its 1999 Annual Meeting, passed a resolution sponsored by the Ohio State Bar A
ssociation that would increase the enforcement of unauthorized practice regulati
ons and require the ABA to collect data on unauthorized practice. Gillers & Simo
n, supra note 103, at 304-05. The resolution requires every jurisdiction to:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
(1) establish and implement effective procedures for the discovery and investiga
tion of any apparent violation of its laws prohibiting the unauthorized practice
of law and to pursue active enforcement of those laws, and (2) require the ABA
to establish and support a mechanism for identifying and reporting to state, loc
al, and territorial bar associations and designated authorities instances of per
sons or organization engaging in the unauthorized practice of law in more than o
ne jurisdiction.
\par
}
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
American Association of Law Schools, Professional Responsibility Newsletter (Spr
ing 2000).
\par
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
140
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Analysis of cases prior to 1980 have been discussed at length elsewhere. See Rho
de, Policing the Professional Monopoly, supra note 104; Christenson, supra note
112.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
141
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g.,
}
.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_661_1041" }{\fld
rslt
Hunt v. Maricopa County Emp. Merit Sys. Comm\rquote n, 619 P.2d 1036, 1041 (Ariz
. 1980)
;
}
lt
State ex rel. Pearson v. Gould, 437 N.E.2d 41, 43 (Ind. 1982)
;
}
slt
State Bar of Mich. v. Galloway, 369 N.W.2d 839, 843 (Mich. 1985)

.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F142289391251_ID0EA" }{\fld
rslt
142
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g.,
}
Unauthorized Practice of Law Comm. of the Sup. Ct. of Colo. v. Grimes, 759 P.2d
1 (Colo. 1988)
; The
}
Fla. Bar v. Brower, 402 So.2d 1171 (Fla. 1981)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F143289391251_ID0ED" }{\fld
rslt
143
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g.,
}
State v. Thierstein, 371 N.W.2d 746 (Neb. 1985)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
144
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g.,
}
Furtado v. Furtado, 402 N.E.2d 1024 (Mass. 1980)

.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
145
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g., In re Allstate Ins. Co., 772 S.W.2d 947 (Mo. 1987); Prof\rquote l
}
Adjusters, Inc. v. Tandon, 433 N.E.2d 779 (Ind. 1982)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F146289391251_ID0EM" }{\fld
rslt
146

}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g.,
}
Kunz v. Warren, 725 P.2d 794 (Colo. App. 1986)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F147289391251_ID0ER" }{\fld
rslt
147
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g.,
}
Miller v. Vance, 463 N.E.2d 250 (Ind. 1984)
;
}
Midwest Home Sav. & Loan Ass\rquote n v. Ridgewood, Inc., 463 N.E.2d 909 (Ill. A
pp. Ct. 1984)

.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
148
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g, The
}
Fla. Bar v. Furman, 451 So.2d 808 (Fla. 1984)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
149
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g.,
}
Unauthorized Practice of Law Comm. v. Cortez, 692 S.W.2d 47 (Tex. 1985)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
150
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g.,
}
State ex rel. Disciplinary Comm\rquote n of the Sup. Ct. of Ind. v. Crofts, 500
N.E. 2d 753 (Ind. 1986)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
151
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g., In the
}
Matter of Discipline of Jorissen, 391 N.W. 2d 822 (Minn. 1986)
;
}
State ex rel. Nebraska State Bar Ass\rquote n v. Frank, 363 N.W. 2d 139 (Neb. 19
85)
;
}
In re Yamaguchi, 515 N.E.2d 1235 (Ill. 1987)
;
}
In re Knutson, 405 N.W.2d 234 (Minn. 1987)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
152
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g.,
}
Gaines v. State, 341 S.E.2d 252 (Ga. Ct. App. 1986)
;
}
Rogers. v. State, 487 So.2d 57 (Fla. Dist. Ct. App. 1986)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F153289391251_ID0EQ" }{\fld
rslt
153
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g.,
}
Skuse v. State, 714 P.2d 368 (Alaska Ct. App. 1986)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
154
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Other UPL cases in federal court include contract actions,
}
Servidone Construc. Corp. v. St. Paul Fire & Marine Insurance Co., 911 F. Supp.
560 (N.D.N.Y. 1995)

, civil forfeiture,
}
U.S. v. One Parcel of Real Property Located at No. 14-1, 899 F. Supp. 1415 (D.V.
I. 1995)
, securities issues,
}
Bacon v. Smith Barney Shearson Inc., 938 F. Supp. 98 (D.N.H. 1996)
and debt collection,
}
Lewis v. ACB Business Services Inc., 135 F.3d 389 (6th Cir. 1998)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
155
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g.,
}
In re Soulisak, 227 B.R. 77 (E.D.V.A. 1998)
;
}
In re Buck, 219 B.R. 996 (E.D.T.N. 1998)
. For a discussion of cases decided earlier, see Valerie Walsh Johnson, The
}
Unauthorized Practice of Law and the Federal Bankruptcy Section 341(A) Meeting o
f Creditors, 23 Memphis St. U. L. Rev. 629 (1993)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
156
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Susan Block-Lieb,
}
\fldrslt
A Comparison of Pro Bono Representation Programs for Consumer Debtors, 2 Am. Ban
kr. Inst. L. Rev. 37, 37 (1994)
(\u8220\'3fWhile many are aware that consumer bankruptcy filings have more than
doubled in the fifteen years since the enactment of the Bankruptcy Code, ... fe
w are aware that a substantial and increasing number of these consumer bankruptc
y petitions are filed pro se by debtors without the assistance of counsel.\u8221
\'3f)
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
157
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g.,
}
dType=Y&pubNum=1278&cite=25VILLLREV6&originationContext=document&vr=3.0&rs=cblt1
Hunter & Klonoff, A Dialogue on the Unauthorized Practice of Law, 25 Vill. L. Re
v. 6 (1979-80)
(proposal to license non-lawyers); Justice, supra note 132; Morrison, Defining
the Unauthorized Practice of Law: Some New Ways of Looking at an Old Question,
}
dType=Y&pubNum=100363&cite=4NOVALJ363&originationContext=document&vr=3.0&rs=cblt
4 Nova L. Rev. 363 (1980)
(proposal to reexamine what constitutes the practice of law through a mini-legi
slature of three different groups); Carol A. Needham, The
}
Multijurisdictional Practice of Law and the Corporate Lawyer: New Rules for a Ne
w Generation of Legal Practice, 36 S. Tex. L. Rev. 1075 (1995)
(arguing that states should amend their UPL provisions to exempt out-of-state l
awyers from prosecution for UPL); Rhode, Policing the Professional Monopoly, sup
ra note 104; Deborah L. Rhode, The Delivery of Legal Services by Non-Lawyers,
}
dType=Y&pubNum=1655&cite=4GEOJLE209&originationContext=document&vr=3.0&rs=cblt1.
4 Geo. J. Legal Ethics 209 (1990)
; Deborah L. Rhode,
}
Too Much Law, Too Little Justice: Too Much Rhetoric, Too Little Reform, 11 Geo.
J. Legal Ethics, 989 (1998)
(arguing that paraprofessionals be permitted to provide legal services with ade
quate legal protection for the public); Alex J. Hurder,
}
Nonlawyer Legal Assistance and Access to Justice, 67 Fordham L. Rev. 2241 (1999)
(arguing for expanded role for non-lawyers to increase access to the legal syst
em); Weckstein, supra note 117 (non-lawyer representation permissible if waiver
and malpractice standards in place); Margaret F. Brown,
}
Domestic Violence Advocates\rquote Exposure to Liability for Engaging in the Un
authorized Practice of Law, 34 Colum. J.L. & Soc. Probs. 279 (2001)
(arguing for greater protection against unauthorized practice of law allegation
s for domestic violence advocates); Steve French, When Public Policies Collide .
.. Legal \u8220\'3fSelf-Help\u8221\'3f Software and the Unauthorized Practice of
Law,
}
dType=Y&pubNum=100388&cite=1RUTGERSCOMPUTERTECHLJ93&originationContext=document&
vr=3.0&rs=cblt1.0&transitionType=DocumentItem&contextData=(sc.Search)" }{\fldrsl
t
1 Rutgers Computer & Tech. L.J., 93 (2001)

(arguing that legal software be allowed for sale in every state with appropriat
e regulatory requirements including disclosure); Anthony Bertelli,
}
Should Social Workers Engage in the Unauthorized Practice of Law?, 8 B.U. Pub. I
nt. L.J. 15 (1998)
(proposal to allow social workers to offer limited legal assistance in communit
y centers).
}
Cf. Michelman, supra note 104 (suggesting limited consumer preference test to d
efine the practice of law). But see Alexandra M. Ashbrook, The
}
drslt
Unauthorized Practice of Law in Immigration: Examining the Propriety of Non-Lawy
er Representation, 5 Geo. J. Legal Ethics 237, 246 (1991)
(discussing harm caused by non-lawyer practice in the immigration context); Cle
ary, supra note 83 (warning of danger of non-lawyers representing parties in sec
urities arbitration proceedings); Angela M. Vallario,
}
Living Trusts in the Unauthorized Practice of Law: A Good Thing Gone Bad, 59 Md.
L. Rev. 595 (2000)
(warning of dangers of non-lawyers in the \u8220\'3ftrust mill\u8221\'3f busine
ss).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F158289391251_ID0EL" }{\fld

rslt
158
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g., Thomas Morgan, The
}
drslt
Evolving Concept of Professional Responsibility, 90 Harv. L. Rev. 702, 707-12 (1
977)
; Weckstein, supra note 117. See also Debra Baker, Is This
}
lt
Woman A Threat to Lawyers?, 85 A.B.A. J. 54, 55 (June 1999)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
159
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Rhode, Policing the Professional Monopoly, supra note 104.

\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
160
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g., Comment, On
}
ldrslt
Letting the Laity Litigate: The Petition Clause and Unauthorized Practice Rules,
132 U. Pa. L. Rev. 1515, 1528-34 (1984)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
161

}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Richard L. Abel, American Lawyers 7, 8, 128 (1986); David Luban, Lawy
ers and Justice: An Ethical Study 247 (1988) (access to justice argument); Roger
C. Cramton, The Future of the Legal Profession: The
}
drslt
Delivery of Legal Services to Ordinary Americans, 44 Case W. Res. L. Rev. 531, 5
72-73 (1994)
; Denckla, supra note 9, at 2599; Justice, supra note 132, at 180; Deborah L. Rh
ode, The Delivery of Legal Services by Nonlawyers,
}
dType=Y&pubNum=1655&cite=4GEOJLE209&originationContext=document&vr=3.0&rs=cblt1.
0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1655_215" }{\fldr
slt
4 Geo. J. Legal Ethics 209, 215 (1990)
; Talamante, supra note 131, at 890. In addition some bar associations became in
volved in the access to justice call. The Association of the Bar of the City of
New York gave \u8220\'3fpreliminary endorsement to a deregulated licensing appro
ach that permits greater non-lawyer practice in specified areas but establishes
minimal requirements in order to protect the public while simultaneously increas
ing the availability of low-cost, accessible legal services to all.\u8221\'3f Co
mm. on Prof. Resp., Ass\rquote n. of the Bar of the City of New York, Prohibitio
ns on Nonlawyer Practice: An Overview and Preliminary Assessment, published in 5
0 Record of the Ass\rquote n. of the Bar of the City of New York 190, 209 (Mar.
1995).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
162
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g.,
}
rslt
Frederick C. Hicks & Elliott R. Katz, The Practice of Law by Laymen and Lay Agen
cies, 41 Yale L.J. 69, 71-72 (1931)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
163
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The ABA\rquote s position on harm to the public caused by the unauthorized pract
ice of law is explicitly described in a 1941 Report: \u8220\'3fThe public, far m
ore than lawyers, suffers injury from unauthorized practice of law. The fight to
stop it is the public\rquote s fight.\u8221\'3f Standing Committee on Unauthori
zed Practice of Law, Report, 66 A.B.A. Report 268 (1941) quoted in
}
dType=Y&pubNum=1278&cite=25VILLLREV6&originationContext=document&vr=3.0&rs=cblt1
Roger Hunter & Robert Klonoff, A Dialogue on the Unauthorized Practice of Law, 2
5 Vill. L. Rev. 6 (1979-80)

.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
164
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Jerold S. Auerbach, Unequal Justice: Lawyers and Social Change in Modern America
102-29 (1976).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F165289391251_ID0EF" }{\fld
rslt
165
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Morgan, supra note 158, at 707. See also Hurst, supra note 112, at 323.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
166
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Ralph C. Cavanagh & Deborah L. Rhode, Project--The
}
drslt
Unauthorized Practice of Law and Pro Se Divorce: An Empirical Analysis, 86 Yale
L.J. 104, 123-29 (1976)
. A more recent study of four settings (appeals of unemployment compensation cla
ims, state tax appeals, appeals of denials of social security disability benefit
s and labor grievance arbitrations) in which lawyers and nonlawyers appear sugge
sts that nonlawyers trained in specific areas of law can be as effective or more
effective than lawyers.
}
Herbert M. Kritzer, Legal Advocacy: Lawyers and Nonlawyers at Work 5, 21-22 (19
98) [hereinafter Kritzer, Legal Advocacy]
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

1}
rslt
167
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Rhode, Policing the Professional Monopoly, supra note 104, at 43.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
168
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
ABA/UPL Nonlawyer Practice, supra note 101, at xvii.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt

169
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Joyce Palomar, The
}
War Between Attorneys and Lay Conveyancers-Empirical Evidence Says \u8220\'3fCea
se Fire!,\u8221\'3f 31 Conn. L. Rev. 423, 527 (1999)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
170
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Definitions on the Practice of Law: 1984 Survey on the Unauthorized Practice of
Law Regulation, 1985 A.B.A. Ten years later, concerned \u8220\'3fwith the explos
ion ... of document preparers, independent paralegals and legal technicians,\u82
21\'3f the ABA published the 1994 Survey and Related Materials on the Unauthoriz
ed Practice of Law/Nonlawyer Practice, ABA/UPL Nonlawyer Practice, supra note 10
1, at vii. Finally, in 1995 the ABA issued Nonlawyer Activity in Law-Related Sit
uations: A Report with Recommendations, 1995 ABA Comm. on Nonlawyer Practice (re
port related to UPL) [hereinafter Nonlawyer Practice].
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
171
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Nonlawyer Practice, supra note 170, at 9 (recommending that states \u8220\'3
fassess whether and how to regulate\u8221\'3f the activities of nonlawyers by ap
plying certain criteria: (A) Does the nonlawyer activity pose a serious risk to
the consumer\rquote s life, health, safety or economic well-being? (B) Do potent
ial consumers of law-related services have the knowledge needed to evaluate the
qualifications of nonlawyers offering their services? (C) Do the actual benefits
of regulation likely to accrue to the public outweigh any likely negative conse
quences of regulation?); see also 1994 Survey and Related Materials on the Unaut
horized Practice of Law/Nonlawyer Practice, 1994 A.B.A. Center for Prof\rquote l
Resp.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
172
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g., Nonlawyer Practice, supra note 170 (\u8220\'3fpreliminary endorsement to a
deregulated licensing approach permitting greater nonlawyer practice in specifi

ed areas.\u8221\'3f).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
173
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Justice, supra note 132; Talamante, supra note 131 (discussing reform
efforts in Arizona).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
174
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
It should be noted that there has been some concern with UPL in arbitration prac
tice and it has focused on non-lawyers who represent parties in arbitration proc
eedings. See, e.g., The

}
Florida Bar re Advisory Opinion on Nonlawyer Representation in Securities Arbitr
ation, 696 So.2d 1178 (Fla. 1997)
(nonlawyer, who represented an investor for compensation in a securities arbitr
ation proceeding against a broker, was engaged in the unauthorized practice of l
aw).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
175
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
For example, in a survey of state and local bar associations published by the Di
spute Resolution Section of the American Bar Association, only four state bar as
sociations reported knowledge of cases in which UPL charges were brought against
mediators: North Carolina, Rhode Island, Connecticut and Utah. See American Bar
Association, Section of Dispute Resolution, State and Local Bar Association Dis
pute Resolution Survey 2001 Edition at http://www.abanet.org/statelocal/disputes
urvey.html. Likewise, in a survey conducted by the state of Virginia in preparin
g its UPL guidelines, the vast majority of states that responded reported that t
hey were unaware of court cases or ethics opinions in their state addressing med
iation and UPL. Virginia Guidelines on Mediation & the Unauthorized Practice of
Law 35-38 (1999) [hereinafter Virginia Guidelines]. In a survey conducted by Pro
fessor Nancy Rogers and Craig McEwen, only seven out of more than 30 counsel who
responded reported complaints about mediators engaged in the unauthorized pract
ice of law. Cole et al, supra note 35, at \u167\'3f 10:05 n.38. A preliminary su
rvey of state UPL regulations and mediation conducted by the author suggests sim
ilar findings. See infra note 298.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
176
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Silberman, supra note 94.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
177
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., NJ Ethics Op., No. 676, ADR; NJ Supreme Court Advisory Committee on P
rofessional Ethics
}
dType=Y&pubNum=587&cite=136NJLJ1298&originationContext=document&vr=3.0&rs=cblt1.
136 N.J.L.J. 1298 (1994)

; NJ Atty. Advert. Op. 18 (1994) (\u8220\'3fClearly non-lawyers may provide ADR/
CDR services as long as they do not hold themselves out as lawyers and do not en
gage in any activities, such as the rendering of legal advice, that might consti
tute the unauthorized practice of law.\u8221\'3f).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
178
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
slt
755 F.2d 195, 199-200 (1st Cir. 1985)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
179

}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The court\rquote s rationale gives some hint about its views on unauthorized pra
ctice. According to the court, the defendants were entitled to immunity under on
e of two views. First, they were entitled to absolute immunity afforded to prose
cutors exercising their discretionary function. Alternatively, qualified immunit
y was available because a reasonable person could conclude that Dr. Werle\rquote
s divorce mediation services would constitute the unauthorized practice of law.
}
dType=Y&serNum=1985110004&originationContext=document&vr=3.0&rs=cblt1.0&transiti
onType=DocumentItem&contextData=(sc.Search)" }{\fldrslt
Id. at 199.
\par
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
180
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Case No. CL-96-504 (1996). For a discussion of this case, see Geetha Ravindra, W
hen Mediation Becomes the Unauthorized Practice of Law, Alternatives, August 199
7, at 94.
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
181
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Id.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
182
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See sources cited in Jacqueline M. Nolan-Haley,
}
rslt
Court Mediation and the Search for Justice Through Law, 74 Wash. U. L. Q. 47, 81
(1996)
[hereinafter Nolan-Haley, Court Mediation]. A variation on the information/advi
ce distinction is found in the Model Standards of Practice for Family and Divorc
e Mediation (August 2000) that provides for the mediator to inform parties that
they may seek information and advice from a variety of sources during the mediat
ion process. Standard VIII A.,

}
rslt
Model Standards of Practice for Family and Divorce Mediation, 35 Fam. L. Q. 27,
34, 35 (2001)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
183
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
In addition to the prohibitions found in ethical codes, some state regulatory bo
dies also prohibit the rendering of legal advice where parties are not represent
ed by counsel. See, e.g., Florida Mediator Qualifications Advisory Panel, Opinio
ns 95-002B (1995). See generally Robert B. Moberly,
}
drslt
Ethical Standards for Court-Appointed Mediators and Florida\rquote s Mandatory M
ediation Experiment, 21 Fla. St. U. L. Rev. 701, 714 (1994)
.
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
184
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Nolan-Haley, Court Mediation, supra note 182.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
185
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Florida Rules for Court-Appointed Mediators, Rule 10.370(c).
}
In re Amendments to the Fla. Rules for Certified and Court-Appointed Mediators,
762 So. 2d. 441 (Fla. 2000)
. The Florida Rule 10.370 is significant because it was revised after a consider
able debate on whether evaluative mediation should be permitted. The Rule provid
es:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
(A) Providing information. Consistent with standards of impartiality and preserv
ing party self-determination, a mediator may provide information that the mediat
or is qualified by training or experience to provide. (B) Independent Legal Advi
ce. When a mediator believes a party does not understand or appreciate how an ag
reement may adversely affect legal rights or obligations, the mediator shall adv
ise the parties of the right to seek independent legal counsel. (C) Personal or
professional opinion. A mediator shall not offer a personal or professional opin
ion intended to coerce the parties, decide the dispute, or direct a resolution o
f any issue. Consistent with standards of impartiality and preserving party self
-determination, however, a mediator may point out possible outcomes of the case
and discuss the merits of a claim or defense. A mediator shall not offer a perso
nal or professional opinion as to how the court in which the case has been filed
will resolve the dispute.
\par
}
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
186
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Virginia Guidelines, supra note 175, at 13.
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
187
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Virginia Guidelines, supra note 175.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F188289391251_ID0EP" }{\fld
rslt
188
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Virginia Guidelines, supra note 175, at 17, 18. The guidelines acknowledge that:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
\u8220\'3fIn this area, perhaps more than any other, the boundary between permis
sible questions and those that cross the line into legal advice is very narrow.
The phrasing of the questions and the context are crucial. Open-ended questions
that do not suggest an answer are almost always safe. On the other hand, leading
questions that apply law to fact are problematic and may constitute legal advic
e since they are more likely to predict specific legal resolutions or direct or
recommend a course of action.\u8221\'3f Id. at 18, 19.
\par
}
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See also Geetha Ravindra, Balancing Mediation with Rules on Unauthorized Practic
e, Alternatives, Feb. 2000, at 22. But see Bruce E. Meyerson, Mediation Should N
ot Be Considered the Practice of Law, Alternatives, June 2000, at 107.
\par
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F189289391251_ID0EC" }{\fld
rslt
189
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
North Carolina Guidelines For the Ethical Practice of Mediation and to Prevent t
he Unauthorized Practice of Law [hereinafter North Carolina Guidelines]. The gui
delines were adopted by the North Carolina Bar Association Board of Governors in
June 1999 and provide as follows:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
(1) The mediator should inform the parties to a mediation that the mediator does
not provide legal advice. (2) The mediator should encourage parties to consult
independent counsel before creating any document the parties intend to be legall
y binding. (3) If the parties to a mediation wish to sign any memoranda of under
standing or other summaries of their discussion, the mediator should offer no op
inion regarding the legal effect of any such document. (4) If the parties choose
to sign a memoranda of understanding or other summaries of the discussion, the
mediator should not sign or initial any such document. If the mediator chooses o
r is required to sign or initial any memoranda of understanding or other summari

es of the discussion, the mediator shall advise the parties in writing that the
signature does not constitute an opinion regarding the content or legal effect o
f any such document.
\par
}
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
190
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Id.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
191
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

See, e.g., Cole et al., supra note 35, at \u167\'3f 10:02.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
192
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The commentary to District of Columbia, Rule 49 provides in relevant part:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
This Rule is not intended to cover the provision of mediation or alternative dis
pute resolution (\u8220\'3fADR\u8221\'3f) services. This intent is expressed in
the first sentence of the \u8220\'3fpractice of law\u8221\'3f which requires the
presence of two essential factors: the provision of legal advice or services an
d a client relationship of trust or reliance. ADR services are not given in circ
umstances where there is a client relationship of trust or reliance; and it is c
ommon practice for providers of ADR services explicitly to advise participants t
hat they are not providing the services of legal counsel.
\par
}
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
D.C. Ct. App. R. 49, Notes (2000).
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
It is interesting to note that the ABA Commission on Multidisciplinary Practice

included in Appendix A of its report a model definition of the practice of law b
ased on this rule. Report to the House of Delegates, 1999 A.B.A. Comm\rquote n o
n Multidisciplinary Prac. app. A1.
\par
}
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
193
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The Resolution on Mediation and the Unauthorized Practice of Law, adopted by the
ABA Section of Dispute Resolution on February 2, 2002, provides as follows:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Resolution on Mediation and the Unauthorized Practice of Law
\par
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The ABA Section of Dispute Resolution has noted the wide range of views expresse
d by scholars, mediators, and regulators concerning the question of whether medi
ation constitutes the practice of law.
}
The Section believes that both the public interest and the practice of mediatio
n would benefit from greater clarity with respect to this issue in the statutes
and regulations governing the unauthorized practice of law (\u8220\'3fUPL\u8221\
'3f). The Section believes that such statutes and regulations should be interpre
ted and applied in such a manner as to permit all individuals, regardless of whe
ther they are lawyers, to serve as mediators. The enforcement of such statutes a
nd regulations should be informed by the following principles:
\par
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Mediation is not the practice of law. Mediation is a process in which an imparti
al individual assists the parties in reaching a voluntary settlement. Such assis
tance does not constitute the practice of law. The parties to the mediation are
not represented by the mediator.
\par
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Mediators\rquote discussion of legal issues. In disputes where the parties\rquo
te legal rights or obligations are at issue, the mediator\rquote s discussions
with the parties may involve legal issues. Such discussions do not create an att
orney-client relationship, and do not constitute legal advice, whether or not th
e mediator is an attorney.
\par
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Drafting settlement agreements. When an agreement is reached in a mediation, the
parties often request assistance from the mediator in memorializing their agree
ment. The preparation of a memorandum of understanding or settlement agreement b
y a mediator, incorporating the terms of settlement specified by the parties, do
es not constitute the practice of law. If the mediator drafts an agreement that
goes beyond the terms specified by the parties, he or she may be engaged in the
practice of law. However, in such a case, a mediator shall not be engaged in the
practice of law if (a) all parties are represented by counsel and (b) the media
tor discloses that any proposal that he or she makes with respect to the terms o
f settlement is informational as opposed to the practice of law, and that the pa
rties should not view or rely upon such proposals as advice of counsel, but mere
ly consider them in consultation with their own attorneys.
\par
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Mediators\rquote responsibilities. Mediators have a responsibility to inform th
e parties in a mediation about the nature of the mediator\rquote s role in the p
rocess and the limits of that role. Mediators should inform the parties: (a) tha
t the mediator\rquote s role is not to provide them with legal representation, b
ut rather to assist them in reaching a voluntary agreement; (b) that a settlemen
t agreement may affect the parties\rquote legal rights; and (c) that each of th
e parties has the right to seek the advice of independent legal counsel througho
ut the mediation process and should seek such counsel before signing a settlemen
t agreement.\u8221\'3f .
\par
}
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
American Bar Association Section on Dispute Resolution, available at http:// www
.Abanet.org/dispute/Resolution2002.pdf.
\par
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
194
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The ABA Section of Dispute Resolution has also issued a resolution stating that
all qualified individuals should be permitted to participate in court ADR progra
ms whether or not they are lawyers. American Bar Association, Section on Dispute
Resolution, adopted April 28, 1999, available at http:// www.abanet.org/dispute
/resolution.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
195
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Gary L. Austern,
}
drslt
Faithful, 2000 J. Disp. Resol. 343, 360 (2000)
(discussing the work of the Task Force).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
196
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See supra note 41.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
197
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Lon Fuller, Mediation--Its Forms and Functions,
}
dType=Y&pubNum=1228&cite=44SCALLREV305&originationContext=document&vr=3.0&rs=cbl
t1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1228_325" }{\f
ldrslt
44 S. Cal. L. Rev. 305, 325 (1971)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
198
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Deborah M. Kolb, When Talk Works: Profiles of Mediators (1994).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
199
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Nancy A. Welsh, All in the Family: Darwin and the Evolution of Mediat
ion, A.B.A. Disp. Resol. Mag., Winter 2001, at 20 (noting that mediation is evol
ving into many different forms, depending upon the environment). This is no less
true in the international setting where scholars have observed that a greater i
nterest in peacemaking activities has \u8220\'3fstretched the meaning of mediati
on.\u8221\'3f Chester Crocker et al., Herding Cats: Multiparty Mediation in a Co
mplex World 9 (1999).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
200
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Susan S. Silbey & Sally E. Merry, Mediator Settlement Strategies,
}
dType=Y&pubNum=1624&cite=8LAWPOLY7&originationContext=document&vr=3.0&rs=cblt1.0
&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1624_19" }{\fldrsl
t
8 Law & Pol\rquote y 7, 19-25 (1986)
. Certainly, the therapeutic settlement strategies would have overtones of Fulle
r\rquote s relational and humanistic understanding of mediation.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
201
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
James J. Alfini, Trashing, Bashing, and Hashing It Out: Is This The End of \u821
6\'3fGood Mediation?\u8217\'3f,
}
dType=Y&pubNum=1141&cite=19FLASTULREV47&originationContext=document&vr=3.0&rs=cb
lt1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1141_66" }{\f
ldrslt
19 Fla. St. U. L. Rev. 47, 66-73 (1991)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

1}
rslt
202
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See supra notes 88-98 and accompanying text.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
203
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Leonard L. Riskin,
}
Understanding Mediators\rquote Orientations, Strategies, and Techniques: A Grid
for the Perplexed, 1 Harv. Negot. L. Rev. 7 (1996)
[hereinafter Riskin, Mediators\rquote Orientations].
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
204
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Within these categories, Professor Riskin also describes narrow and broad interp
retation of issues.
}
Id. at 25-34.
\par
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
205
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Jeffrey W. Stempel,
}
drslt
Beyond Formalism and False Dichotomies: The Need for Institutionalizing a Flexib
le Concept of the Mediator\rquote s Role, 24 Fla. St. U. L. Rev. 949, 950 (1997)
; Stempel, Inevitability of the Eclectic, supra note 33, at 252.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
206
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Richard Birke,
}
drslt
Evaluation and Facilitation: Moving Past Either/Or, 2000 J. Disp. Resol. 309, 31
9 (2000)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

1}
rslt
207
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Nevertheless, some would argue more strongly in favor of facilitative approaches
. See, e.g., Joseph B. Stulberg,
}
Facilitative Versus Evaluative Mediator Orientations: Piercing the \u8216\'3fGri
d\u8217\'3f Lock, 24 Fla. St. U. L. Rev. 985 (1997)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
208
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
These are not the only forms of behavior. See Joseph P. Folger & Robert A. Baruc
h Bush, Transformative Mediation and Third-Party Intervention: Ten Hallmarks of
a Transformative Approach to Practice, 13 Mediation Q. 263 (1996).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
209
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Kimberlee Kovach & Lela Love, Evaluative Mediation is an Oxymoron, 14
Alternatives to the High Cost of Litig. 31 (1996); Lela P. Love, The
}
Top Ten Reasons Why Mediators Should Not Evaluate, 24 Fla. St. U. L. Rev. 937 (1
997)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
210
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

See, e.g., Stempel, Inevitability of the Eclectic, supra note 33.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
211
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
John Lande,
}
drslt
Toward More Sophisticated Mediation Theory, 2000 J. Disp. Resol., 321, 327
[hereinafter Lande, Sophisticated Mediation Theory]; Stempel, Inevitability of
the Eclectic, supra note 33, at 264-66 (discussing increased use of evaluation i
n court-connected programs); James S. Kakalik et al., An Evaluation of Mediation
and Early Neutral Evaluation Under the Civil Justice Reform Act 368 (1996) (stu
dy of four federal court mediation programs by the RAND Institute for Civil Just
ice indicated evaluation activity by mediators); Cf. Chris Guthrie, The
}
{\fldrslt
Lawyer\rquote s Philosophical Map and the Disputant\rquote s Perceptual Map: Imp
ediments to Facilitative Mediation and Lawyering, 6 Harv. Negot. L. Rev. 145, 15
0 (2001)
(\u8220\'3fmediation is unlikely to be purely facilitative as long as lawyers s
erve as mediators\u8221\'3f).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
212
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
As Professor John Lande notes, \u8220\'3fAlthough mediator evaluation is sometim
es just what is needed to help parties seriously confront and resolve the issues
in their dispute, it also risks perpetuating adversarial dynamics and entrenchm
ent of positions.\u8221\'3f Lande, Sophisticated Mediation Theory, supra note 21
1, at 326.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
213
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Wade points out that the timing and form of advice is complex. It is not a simpl
e question of giving or not giving advice. John Wade, Forever Bargaining in the
Shadow of the Law--Who Sells Solid Shadows? (Who advises what, how and when?), 1
2 Australian J. Fam. Law 256, 257 (1998) (\u8220\'3fJust as \u8216\'3fadvice\u82

17\'3f is slippery in meaning, the word \u8216\'3flegal\u8217\'3f is even more o
f a weasel-word. It has many broad and narrow possible meanings.\u8221\'3f).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
214
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
I thank my colleague Dr. Maria Volpe for recognizing this distinction.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
215
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See In re Amendments to the Florida Rules for Certified and Court-Appointed Medi
ators, 762, So. 2d 441, 444-45 (Fla. 2000) (\u8220\'3fIn this mediation style, t
he mediator, often at the request of the parties, makes and offers an independen
t judgment on the merits of issues under consideration and explains the likely o
utcome of litigation.\u8221\'3f).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
216
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
For a discussion of this technique see Dwight Golann, Mediating Legal Disputes:
Effective Strategies For Lawyers And Mediators 168-69 (1996).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
217
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See James H. Stark, The
}
{\fldrslt
Ethics of Mediation Evaluation: Some Troublesome Questions and Tentative Proposa
ls, From an Evaluative Lawyer Mediator, 38 S. Tex. L. Rev. 769, 774 (1997)
(citing mediator and trainer Margaret Shaw for developing the concept of evalua
tion as a continuum of activities).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
218
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
It could also be explicitly evaluative.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
219

}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Michele Hermann et al., The Metrocourt Project Final Report 143 (1993) (describi
ng how, in some minority cultures, a mediator\rquote s silence regarding a propo
sed agreement may be interpreted as approval).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
220
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Because mediation is a private process, the extent to which legal evaluation tak
es place is unclear. One clue, however, is an examination of the case law where
reports are found of legal evaluation. Many of the cases come from the court-con
nected programs where legal rights predominate and not from the labor mediation
field or from the community mediation area. For a disturbing account of legal ev
aluation in a court-connected program, s ee generally
}
Allen v. Leal, 27 F. Supp. 2d 945 (S.D. Tex. 1998)
.
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
221
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See The Benjamin N. Cardozo School of Law Online Journal of Conflict Resolution,
ADA Mediation Guidelines, \u167\'3f IV(A-C) (2000). These Guidelines for mediat
ion providers are the product of a national Work Group convened to develop pract
ice guidelines unique to conflicts arising under the Americans with Disabilities
Act.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
222
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Tom Fisher, Advice By Any Other Name ..., 19 Conflict Res. Q. 197, 203 (2001) (d
iscussing mediator intervention techniques that camouflage direct advice).
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
223
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Steven S. Goldberg, Special Education Mediation: Responding to a Prop
osal for Reform, 30 J.L. & Educ. 127, 128 (2001) (criticizing a proposal for eva
luative mediation in special education).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
224
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
An example here would be custody and divorce mediation.
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
225
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
L. Randolph Lowry, To Evaluate or Not: That Is Not the
}
Question! 38 Fam. & Conciliation Cts. Rev. 48 (2000)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
226
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Wade, supra note 213, at 287.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
227
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Id.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
228
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See infra text accompanying notes 230-31 .
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
229
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See remarks of mediator Sally Ganong Pope, of the Academy of Family Mediators: \
u8220\'3fUnauthorized practice is not an issue if the mediator practices from th
e transformative framework. The transformative mediator does not evaluate the ca
se or advise the parties. Assisting parties to become clearer and more focused a
nd to make decisions while taking into account the other\rquote s perspective is
not the practice of law.\u8221\'3f A.B.A. Section on Dispute Resolution, High L
evel ADR Talk ... Who Is Qualified?, Just Resolutions 6, (1999).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
230
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
This approach bears a striking similarity to many of the top five accounting fir
ms in the MDP debate who, in response to charges that they were violating the un
authorized practice of law regulations, simply replied that they were not practi
cing law. See Terry, supra note 122, at 881-82 (1999); Mary C. Daly,
}
drslt
Choosing Wise Men Wisely: The Risks and Rewards of Purchasing Legal Services fro
m Lawyers in a Multidisciplinary Partnership, 13 Geo. J. Legal Ethics 217, 262-6
3 (2000)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
231
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See supra text accompanying notes 182-90.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
232
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Joseph B. Stulberg, Taking Charge/Managing Conflict 34 (1987) [hereinafter Stulb
erg, Taking Charge].
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
233
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Under some standards, giving such information might be considered the unauthoriz
ed practice of mediation. See, e.g., Carrie Menkel-Meadow,
}
drslt
Ethics in ADR: The Many \u8220\'3fCs\u8221\'3f of Professional Responsibility an
d Dispute Resolution, 28 Fordham Urb. L.J. 979, 980 (2001)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

1}
rslt
234
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Stulberg, Taking Charge, supra note 232.
\par
}
}
}
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\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
235
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Id.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt

236
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Jill Schachner Chanen, Mediation for the Masses, A.B.A. J., July l999, at 20 (qu
oting remarks of Judge Rebecca Albrecht of the Superior Court of Arizona in Phoe
nix). See also Phillips, supra note 53 at 219 (suggesting that mediation is a go
od process for workman\rquote s compensation cases).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
237
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
For a more detailed discussion of this problem see Jacqueline Nolan-Haley,
}
Informed Consent in Mediation: A Guiding Principle for Truly Educated Decision-m
aking, 74 Notre Dame L. Rev. 775 (1999)
[hereinafter Nolan-Haley, Informed Consent].
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
238
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
As Martha W. Barnett, President of the American Bar Association, recently noted:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
[T]oday, as the legal profession has evolved with modern economics, so has the t
ypical lawyer, from statesman to businessman. Society has changed as well. We ar
e more consumer oriented and so is the law. The proliferation of lawyers, not to
mention the ever-increasing number of non-lawyers who want to offer legal servi
ces, has created intense competition for clients and fees.
\par
}
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Martha W. Barnett,
}
drslt
Keynote Address, 52 S.C. L. Rev. 453, 455 (2001)
.
\par
}
}
}
}
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\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
239
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See supra notes 32, 51-55 and accompanying text.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
240
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
In this regard, lawyers might reconsider the ideal that law practice should serv
e the public interest. See Steven H. Goldberg,
}
drslt
Bringing the Practice to the Classroom: An Approach to the Professionalism Probl
em, 50 J. LEG. ED. 414, 416-17 (2000)
(quoting Roger C. Cramton, On Giving Meaning to \u8220\'3fProfessionalism,\u822
1\'3f in Teaching and Learning Professionalism 19 (1997)).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
241
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Stuart Hampshire, Justice is Conflict 7-10 (2000). Settlement in ADR process
es do not necessarily result in justice. Cf. Jules Coleman and Charles Silver, J
ustice in Settlements, 4 Soc. Phil. & Pol\rquote y 102, 103 (1986) (discussing a
dvantages of trials that cannot be obtained through settlement). See generally K
enneth Kressel & Dean G. Pruitt, Mediation Research: The Process and Effectivene
ss of Third-Party Intervention (1989).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
242
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Nolan-Haley, Informed Consent, supra note 237.

\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
243
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
E.g.,
}
Wright v. Brockett, 571 N.Y.S.2d 660 (1991)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
244
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Process quality and neutral competency are achieved through systems design train
ing programs, state ADR offices, etc.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
245
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Other reasons for informed consent deficiencies in mediation practice are simila
r to those that exist in medical practice--people do not understand the concept
or medical personnel do not take the time to make it part of the process.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
246
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See supra text accompanying notes 104-06 (discussing penalties for UPL violation
s).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
247
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Phillips, supra note 53, at 265.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
248
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
249
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Linda Galler, \u8220\'3f
}
ldrslt
Practice of Law\u8221\'3f in the New Millennium: New Roles, New Rules, But No De
finitions, 72 Temp. L. Rev. 1001, 1005-07 (1999)
; s ee also supra text accompanying notes 88-98 .
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
{\field {\*\fldinst HYPERLINK "#co_footnoteReference_F250289391251_ID0EU" }{\fld
rslt
250
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See infra text accompanying notes 301-12. It is also an inefficient mechanism to
regulate ADR practice.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
251
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See supra text accompanying notes 211-22. Mediators often assist pro se parties
in mediation sessions. In an earlier article, I identified four types of legal a
ssistance that unrepresented parties typically request: administrative, informat
ional, analytical, and strategic. See Nolan-Haley, Court Mediation, supra note 1
82.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt

252
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Marjorie Corman Aaron & David Hoffer, Decision Analysis as a Method of Evaluatin
g the Trial Alternative, in Golann, supra note 216, at 269-70.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
253
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Wolfram, supra note 103, at 839 n.91. See also Ronald Bernstein & Derek Wood, Ha
ndbook of Arbitration Practice 155-56 (1993) (discussing the benefits of represe
ntation by lay advocates in arbitration); Denckla, supra note 9, at 2594 (indica
ting that some non-lawyer specialists may offer superior performance in some tas
ks than do lawyers); Herbert M. Kritzer, The Justice Broker: Lawyers and Ordinar
y Litigation 170-76 (1990) (concluding that, in civil litigation, \u8220\'3f[p]a
raprofessionals ... might be as effective and less expensive than legal professi
onals in handling routine cases of personal and property injury or routine contr
act disputes\u8221\'3f); Herbert M. Kritzer, Legal Advocacy, supra note 166 (stu
dy of lawyer and nonlawyer advocates in three different settings).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0

{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
254
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Nolan-Haley, Informed Consent, supra note 237.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
255
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Va. Sup. Ct. Prof. Resp. Rule 2.11 (2001) (lawyer-mediator shall consult with pa
rties prior to mediation session regarding approach, style and subject matter ex
pertise); CPR-Georgetown Commission on Ethics and Standards of Practice in ADR:
Principles for ADR Provider Organizations (June 2000) available at http://www.cp
radr.org.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0

{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
256
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See supra text accompanying notes 125-27 (discussion of tests used by courts). T
he primary purpose test, however, does not ignore the interest in protecting the
public welfare, one of the criticisms of the incidental services test. See
}
slt
Agran v. Shapiro, 273 P.2d at 625.
Mediators who offer parties legal assistance must be competent to do so.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
257
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Wolfram, supra note 103, at 836.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
258
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Susan B. Schwab,
}
ldrslt
Bringing Down the Bar: Accountants Challenge Meaning of Unauthorized Practice, 2
1 Cardozo L. Rev. 1425, 1447 n.123 (2000)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
259
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

The kinds of questions that accountants answer are quite basic. However, some sc
holars have observed that considerable leeway is provided through the incidental
test, \u8220\'3fThe incidental analysis is quite liberal because it does not pr
ohibit accountants from resolving legal questions for their clients as part of t
heir ordinary services.\u8221\'3f Schwab, supra note 258, at 1448. For an applic
ation of an \u8220\'3fincidental\u8221\'3f test to lawyer-mediators see Va. Sup.
Ct. Prof. Resp. Rule 2.11(D)(2001) which provides:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
A lawyer-mediator may offer evaluation of, for example, strengths and weaknesses
of positions, assess the value and cost of alternatives to settlement or assess
the barriers to settlement (collectively referred to as evaluation) only if suc
h evaluation is incidental to the facilitative role and does not interfere with
the lawyer-mediator\rquote s impartiality or the self-determination of parties.
\par
}
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
260
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
It is interesting to note that persons not admitted to practice law may serve as
judges in the informal courts in some states. In New York, for example, the req
uirements for town and village justices are to take a thirty five hour education
al program, followed by a twelve hour advanced course and an annual update. See
Enhancing Public Trust and Confidence in the Legal System, N.Y. St. B.A. Spec. C
omm. on Public Trust and Confidence in the Legal System, Rep. to the H.D., 52, 5
3 (October 2000). For a criticism of this situation and recommendation for chang
e, see id at 52, 53.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
261
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See sources cited supra in note 157.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
262
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Id.
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
263
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Kritzer, Legal Advocacy, supra note 166, at 2-3, 202 (discussing acti
vities in England); Dzienkowski & Peroni, supra note 7, at 113.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
264
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Dzienkowski & Peroni, supra note 7, at n.155.
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
265
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Kritzer defines post-professionalism in reference to the defining characteristic
s of professions as \u8220\'3fexclusive occupational groups and the application
of abstract knowledge ... [p]ostprofessionalism refers to the loss of exclusivit
y combined with routinizing the application of knowledge through a combination o
f increased specialization and reliance on information technology. The result is
that services previously provided only by members of professions can now be del
ivered by specialized nonprofessionals.\u8221\'3f Kritzer, Legal Advocacy, supra
note 166, at 217 (1998). To a lesser extent, this notion can also be understood
as a part of what Carroll Seron calls the concept of postindustrialism where \u
8220\'3flegal entrepreneurs push the boundaries of the norms of professionalism
and incorporate a diversity of postindustrial designs.\u8221\'3f Carroll Seron,
The Business of Practicing Law: The Work Lives of Solo and Small-Firm Attorneys
19-30 (1996).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
266
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See generally Larry Lessig, Code: and Other Laws of Cyberspace (1999).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
267
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
It should come as no surprise that the issues generated by dispute resolution de
velopments in cyberspace are now the subject of an ABA Task Force. See American
Bar Association Task Force on E-commerce & Alternative Dispute Resolution: Draft
Final Report & Concept Paper (April 5, 2002) available at http://www.law.washin
gton.edu/aba-eADR (last visited April 9, 2002).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
268
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Stephen M. Johnson,
}

www.legaleducation.edu, Using Technology to Educate the Public, 50 J. Legal Educ
. 393 (2000)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
269
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Specialization in community problem-solving has been suggested by Attorney Gener
al Janet Reno as a way of providing access to justice for the poor. See Janet Re
no,
}
rslt
Lawyers as Problem-Solvers: Keynote Address to the AALS, 49 J. Legal Educ. 5, 12
(1999)
.
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
270
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Richard C. Reuben, Alliance Works to Bring Mediator Training to New L
evel, Disp. Resol. Mag., Fall 2000, at 28 (describing a project called National
Alliance for Education in Dispute Resolution that adds a substantive law compone
nt to traditional 40 hour process skills mediation training). See also The Allia
nce for Education in Dispute Resolution website, at http://www.ilr.cornell.edu/a
lliance. A recent New York University School of Law brochure for the School\rquo
te s Center for Labor and Employment Law, Program on Employment Law and Mediator
Skills Training for ADR Neutrals, June 18-22, 2001 shows that the following leg
al subjects are taught: sexual harassment law and theory, disability discriminat
ion law and theory, employee benefits law and theory, age discrimination law and
theory. The training program is offered to both lawyers and non-lawyers with st
rong employment or ADR experience. (Brochure on file with the author).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
271
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The Americans with Disabilities Act (ADA) encourages the use of ADR processes in
cluding mediation, to resolve disputes. 42 U.S.C. \u167\'3f 36.506 (1994). See A
DA Mediation Guidelines, at http://www.cardozo.yu.edu/cojcr (last visited Aug. 8
, 2001). See also an additional set of ADA guidelines by Peter Maida, Practice S
tandards for ADA Mediators, Key Bridge Foundation Center for Mediation, at www.k
eybridge.org.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
272
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Model Standards of Practice for Family and Divorce Mediation, Standard II A
(1) (August 2000) (\u8220\'3fA family mediator shall be qualified by education a
nd training to undertake the mediation. A. To perform the family mediator\rquote
s role, a mediator should: 1. have knowledge of family law ...\u8221\'3f), Mode
l Standards of Practice for Family and Divorce Mediation, 35 Family Law Q. 27, 3
0 (2001). See also mediation programs discussed in Harges, supra note 34.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
273
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

The Individuals with Disabilities Education Act (IDEA) requires that mediators b
e \u8220\'3fknowledgeable in laws and regulations relating to the provision of s
pecial education and related services.\u8221\'3f Individuals with Disabilities E
ducation Act Amendments of 1997, Publ. L. No. 105-17, \u167\'3f 615(e)(2)(C), 11
1 Stat. 37, 90 (1997) (codified at
}
20 U.S.C. \u167\'3f 1415 (Supp. IV 1998)
). See Jonathan A. Beyer,
}
A Modest Proposal: Mediating IDEA Disputes Without Splitting the Baby, 28 J.L. &
Educ. 37 (1999)
(proposing that mediators with knowledge of substantive law be allowed to use e
valuative techniques in special education mediation). But see Perry Zirkel, Does
Beyer Provide a Cure for the IDEA Mediation Baby?
}
30 J.L. & Educ. 123 (2001)
; Goldberg, supra note 223 (criticizing Beyer\rquote s proposal).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
274
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Joseph B. Stulberg,
}
drslt
Training Intervenors for ADR Processes, 81 Ky. L.J. 977, 990 (1993)
(\u8220\'3fmediator cannot handicap the discussions through ignorance of the su
bstantive milieu in which the controversy occurs.\u8221\'3f
}
)
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
275
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
For an enlightening proposal to protect parties in court-connected mediation, se
e Nancy A. Welsh, The
}
Thinning Vision of Self-Determination in Court-Connected Mediation: The Inevitab
le Price of Institutionalization?, 6 Harv. Negot. L. Rev. 1 (2001)
(proposing a three day cooling off period after parties have entered into a med
iation agreement).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
276
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Compare John Q. Barrett,
}
{\fldrslt
A Post-Conference Reflection on Separate Ethical Aspirations for ADR\rquote s No
t-So-Separate Practitioners, 38 S. Tex. L. Rev. 705, 710-11 (1997)
(opposing uniform ethical standards for ADR neutrals), with Gislason, supra not
e 38 (advocating universal code of ethics for ADR neutrals in Minnesota).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
277

}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Certainly, where there is a likelihood that legal issues may be involved, there
should be a higher level of competency required of mediators.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
278
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
This might occur, for example in community dispute resolution centers.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
279
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Currently, many ADR neutrals enjoy qualified civil immunity. See, e.g., Cole et
al., supra note 35, at Ch. 11. See also Amanda K. Esquibel, The
}
drslt
Case of the Conflicted Mediator: An Argument for Liability and Against Immunity,
31 Rutgers L.J. 131, 156 (1999)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
280
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Brown, supra note 34, at 784 (suggesting a private cause of action of complaints
against ADR neutrals based on improper conduct).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

1}
rslt
281
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
A helpful guide in determining an appropriate regulatory structure is found in t
he ABA, Nonlawyer Activity in Law-Related Situations: A Report with Recommendati
ons, cited in Bertelli, supra note 157, at 40: \u8220\'3fCriteria ... should inc
lude the risk of harm these activities present, whether consumers can evaluate p
roviders\rquote qualifications, and whether the net effect of regulating the ac
tivities will be a benefit to the public.\u8221\'3f
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
282
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The Minnesota Supreme Court has enacted a Code of Ethics which applies to both l
awyer and non-lawyer neutrals practicing in court-annexed ADR. Minn. Gen. R. Pra
c. 114 app. See also Fla. R. Certified & Ct. Appointed Mediators 10. For an inte
resting discussion on the necessity for increased training see Eric R. Galton an
d Kimberlee K. Kovach, Essays,
}
Texas ADR: A Future So Bright We Gotta Wear Shades, 31 St. Mary\rquote s L.J. 94
9 (2000)
wherein the authors, experienced mediators and trainers, argue:

\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Based upon our own and our colleagues experiences spanning nearly two decades, w
e believe that the statutorily required forty-hour training originally designed
to provide a quick supply of neutrals primarily for volunteer work in a communit
y setting, is grossly inadequate to prepare mediators and other neutrals for the
private practice of dispute resolution let alone for specialized matters such a
s family law or public policy disputes.
\par
}
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Id. at 976-77.
\par
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
283
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
In a study of special education mediation, Goldberg and Kuriloff found that part
ies equated process fairness with having an attorney present in mediation and re
ported greater satisfaction with the agreement where they were represented by at
torneys. Peter J. Kuriloff & Steven S. Goldberg, Is
}
\fldrslt

Mediation A Fair Way to Resolve Special Education Disputes? First Empirical Find
ings, 2 Harv. Negot. L. Rev. 35, 55 (1997)
. See also Goldberg, supra note 223, at 129 (remarking that in special education
mediation, parents who have an attorney \u8220\'3ffeel more fairly treated than
parents who represent themselves or have a parent advocate\u8221\'3f).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
284
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Recent empirical studies suggest that parties were more likely to perceive media
tion as fair when mediators offered evaluations in a case. Roselle L. Wissler, T
o Evaluate or Facilitate?, A.B.A. Disp. Resol. Mag., Winter 2001, at 35 (reporti
ng on four recent studies of mediation in civil and domestic relations cases wit
h mediators that included lawyers as well as non-lawyers).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
285

}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
286
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Some members of the legal profession have responded to the problem by advocating
the concept of unbundled legal services in both the litigation and mediation co
ntexts. See
}
Symposium, Unbundled Legal Services and Unrepresented Family Court Litigants, 40
Fam. Ct. Rev. 13 (January 2002)
. Law school clinical programs have also been active in attempting to respond to
the problems of pro se parties. See Michael Millemann et al., Limited Service R
epresentation and Access to Justice: An Experiment, 11 Amer. J. Fam. L. 1 (1997)
(describing a University of Maryland law clinic providing limited legal advice
to clients); Margaret Martin Barry,
}
Accessing Justice: Are Pro Se Clinics a Reasonable Response to the Lack of Pro B
ono Legal Services and Should Law School Clinics Conduct Them?, 67 Fordham L. Re
v. 1879 (1999)

(discussing some programs for pro se parties and public education programs on d
ivorce procedures at Catholic University); Antoinette Sedillo Lopez,
}
{\fldrslt
Learning Through Service in a Clinical Setting: The Effect of Specialization on
Social Justice and Skills Training, 7 Clinical L. Rev. 307, 315-16 (2001)
(describing efforts to create educational materials in a community lawyering pr
ogram at the University of New Mexico).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
287
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Of course, the parties must be aware of the limitations of non-lawyers legal ass
istance.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
288
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
We have hardly begun to exhaust possibilities for providing legal services in th
is country. Perhaps this is because we have been so busy guarding our turf or be
cause we have not focused on the challenge with any determined effort to allevia
te the problem. Relaxing UPL regulations in mediation is one step in the directi
on of creating a climate of cooperation between professions that can lead to gre
ater help for alleviating the legal problems of the poor.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
289
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Wade, supra note 213.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

1}
rslt
290
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Wade describes this as \u8220\'3fthe financial reality for many impoverished cli
ents that no competent alternative sources of advice are available.\u8221\'3f Wa
de, supra note 213, at 287. He notes that this situation may take place at the s
ame time \u8220\'3fwith a client\rquote s emotional exhaustion which follows fro
m being \u8216\'3fsent away\u8217\'3f from one skilled helper in search of anoth
er.\u8221\'3f Id at 288.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
291
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See supra text accompanying notes 229-31 (discussing how mediators avoid UPL cha
rges).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0

{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
292
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See
}
dType=Y&pubNum=1279&cite=6VTLREV85&originationContext=document&vr=3.0&rs=cblt1.0
&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1279_86" }{\fldrsl
t
Joseph B. Stulberg, The Theory and Practice of Mediation: A Reply to Professor S
usskind, 6 Vt. L. Rev. 85, 86 (1981)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
293
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Professor Riskin, writing largely in the context of divorce mediation, describes
such neutral lawyering as \u8220\'3funusual, problematical, and perhaps even da
ngerous if not conducted carefully.\u8221\'3f Leonard L. Riskin, Toward New Stan
dards for the Neutral Lawyer in Mediation,
}
dType=Y&pubNum=1093&cite=26ARIZLREV329&originationContext=document&vr=3.0&rs=cbl
t1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1093_351" }{\f
ldrslt
26 Ariz. L. Rev. 329, 351 (1984)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
294
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
While neutrality is a primary value in mediation, it may not be an absolute one.
Some scholars, notably Sara Cobb and Janet Rifkin, have noted that there are va
rious degrees of neutrality. See Nolan-Haley, Informed Consent, supra note 237,
at 837 (discussing neutrality concerns with giving legal information to unrepres
ented parties).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
295

}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Lande, Sophisticated Mediation Theory, supra note 211, at 332.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
296
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Wissler, supra note 284.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
297
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj

{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
In examining the relationship of UPL regulations to mediation practice, it is us
eful to recall that the origins of the UPL doctrine grew out of an effort to pro
tect consumers from non-lawyers who pretended to be lawyers. These non-lawyers w
ere considered imposters or shysters preying upon an unwitting public. See supra
text accompanying notes 112-20 .
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
298
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
The author has conducted a preliminary survey of state UPL/ADR regulation over t
he last two years. Out of thirty states responding, twenty-three states reported
that they received no complaints regarding any harm resulting to parties from n
on-lawyers charged with the unauthorized practice of law in mediation (Alabama,
Alaska, Arkansas, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kentucky, Lo
uisiana, Michigan, Missouri, Montana, New Hampshire, New Jersey, Ohio, Oklahoma,
Texas, Vermont, West Virginia, Wisconsin and Wyoming. Five states reported rece
iving UPL/ADR complaints (Hawaii, Nevada, North Carolina, Rhode Island and Utah)
and two states reported actual harm to parties as a result of UPL violations in
mediation (Colorado and Virginia). The study is on file with the author. See al
so supra note 173.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0

1}
rslt
299
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See generally
}
Wright v. Brockett, 571 N.Y.S.2d 660 (1991)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
300
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Mary C. Daly, The
}
ldrslt
Dichotomy Between Standards and Rules: A New Way of Understanding the Difference
s In Perceptions of Lawyer Codes of Conduct by U.S. and Foreign Lawyers, 32 Vand
. J. Transnat\rquote l L. 1117, 1145 (1999)

.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
301
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
302
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See e.g., Ellen E. Deason, The
}

rslt
Quest for Uniformity In Mediation Confidentiality: Foolish Consistency or Crucia
l Predictability, 85 Marq. L. Rev. 79, 81-84 (2001)
(discussing the value of confidentiality in mediation).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
303
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
John W. Cooley, Defining the Ethical Limits of Acceptable Deception in Mediation
, Brief: J. Dupage County B. Ass\rquote n, Aug. 1998, at 29, (\u8220\'3fConsensu
al deception is the essence of caucused mediation.\u8221\'3f) available at http:
// www.mediate.com/articles/cooley1.cfm; See generally John W. Cooley,
}
Mediation Magic: Its Use and Abuse, 29 Loy. U. Chi. L.J. 1 (1997)
(using the analogy of magic and the role of the magician to discuss how deceit
and illusion occur in mediation).
\par
}
}
}
w }

\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
304
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Alan v.
}
Leal, 27 F. Supp. 2d 945 (S.D. Tex. 1998)
. This case represents a striking example of professional misconduct. The plaint
iff\rquote s allegations of mediator coercion were that the mediator had \u8220\
'3fforced\u8221\'3f her and her husband to settle and that he had misled them. E
ven though the plaintiff\rquote s attorney was present during the mediation, she
claimed that she was coerced and intimidated into signing the settlement agreem
ent. Perhaps the most troubling aspect of this case is the reported response of
one of the authors of an Amicus Curiae Brief filed in the case by the Associatio
n of Attorney Mediators that, \u8220\'3f[w]hat some people might consider a litt
le bullying is really just part of how mediation works.\u8221\'3f
}
Id. at 947-48.
\par
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt

305
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See e.g., Kimberlee K. Kovach, New Wine Requires New Wineskins: Transforming Law
yer Ethics for Effective Representation in a Non-Adversarial Approach to Problem
-Solving, 28 Fordham Urban L. J. 935 (2001); Nolan-Haley, Lawyers & Clients, sup
ra note 70 (arguing against adversarial behaviors in mediation); Jean Sternlight
,
}
Lawyers\rquote Representation of Clients in Mediation: Using Economics and Psyc
hology to Structure Advocacy in a Nonadversarial Setting, 14 Ohio St. J. on Disp
. Resol. 269 (1999)
(discussing separate responsibilities of lawyer and client depending upon clien
t needs and barriers to settlement).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
306
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
With lawyers now acting as third party neutrals, working with non-lawyers in mul
tidisciplinary practice, we may need to add to the list of core values. Certainl
y one value that we might consider adding is protection of the public interest.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
307
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Joint Code for Mediators, Standard V provides, \u8220\'3fA mediator shall mainta
in the reasonable expectations of the parties with regard to confidentiality.\u8
221\'3f Codes of Ethics and Standards of Conduct for Mediators, Rogers & McEwen,
supra note 97. Similar provisions for confidentiality are found in the Model St
andards of Practice for Family and Divorce Mediation (August 2001). Standard VII
provides, \u8220\'3fA 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.\
u8221\'3f
}
rslt
Model Standards of Practice for Family and Divorce Mediation, 35 Fam. L.Q. 27, 3
3 (2001)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
308
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Joint Code for Mediators, Standard III. provides:
\par
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
Conflicts of Interest:
\par
}
}
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
A mediator shall disclose all actual and potential conflicts of interest reasona
bly known to the mediator. After disclosure, the mediator shall decline to media
te 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 med
iation.
\par
}
}
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
309
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
New York mediator David Geronemus makes the point quite well in the context of c
ommercial mediation, \u8220\'3fThe question is not whether settlement is importa
nt in commercial cases-of course it is. The question is whether it is enough.\u8
221\'3f David Geronemus, The Changing Face of Commercial Mediation, in Into the
21st Century: Thought Pieces on Lawyering, Problem-Solving and ADR 38, CPR Insti
tute for Dispute Resolution (2001).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
310
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., Symposium, The
}
Role of Forgiveness in the Law, 27 Fordham Urb. L. J. 1351 (2000)
; Deborah L. Levi, The
}
Role of Apology in Mediation, 72 N.Y.U. L. Rev. 1165 (1997)
; Jonathan R. Cohen,
}
Advising Clients to Apologize, 72 S. Cal. L. Rev. 1009 (1999)
. Cf. Gerald R. Williams, Negotiation as a Healing Process, 1996 J. Disp. Res. 1

.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
311
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
For some interesting new research in this area see Dwight Golann, Is
}
Legal Mediation Really A Repair Process? Or a Separation?, 19 Alternatives to Hi
gh Cost Litig. 171 (August 2001)
(reporting on an empirical study of outcomes in actual mediated cases).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
312

}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., William Isaacs, Dialogue and the Art of Thinking Together 47 (1999) (
\u8220\'3f[D]ialogue engage[s] our hearts. This does not mean wallowing in senti
mentality. It refers, instead, to cultivating a mature range of perception and s
ensibility that is largely discounted or simply missing from most professional c
ontexts.\u8221\'3f)
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
313
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Trubek & Farnham, supra note 10 (describing the usefulness of law and legal
institutions and how to use them).
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
314
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See, e.g., W. Anderson, Partnering with Social Service Providers to Create Holis
tic Solutions to Help Elderly Individuals in the District of Columbia, Mgmt. Inf
o. Exchange J. 8(3), Fall 1999, at 50-53; Sia Arnason et al., The Successful Mar
riage of Law and Social Work,
}
dType=Y&pubNum=100247&cite=23CLEARINGHOUSEREV450&originationContext=document&vr=
3.0&rs=cblt1.0&transitionType=DocumentItem&contextData=(sc.Search)#co_pp_sp_1002
47_450" }{\fldrslt
23 Clearinghouse Rev. 450, 450-54 (1989)
; M. A. Forgey, A. Moynihan & N. Litman, Law and Social Work Team Practice: Comm
unicating about the Basics, Interdisciplinary Report on At-Risk Children & Famil
ies 2(4), Sept/Oct. 1999.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
rslt
315
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Ascanio Piomelli,
}
Appreciating Collaborative Lawyering, 6 Clinical L. Rev. 427 (2000)
; Pauline H. Tesler, Collaborative Law: A New Paradigm for Divorce Lawyers,

}
5 Psychol. Pub. Pol\rquote y & L. 1018 (1999)
.
\par
}
}
}
w }
\intbl
{\ri120 \i0 \ql \fs20 \cf1 \f2 \li120 \b0
{\i0 \fs20 \cf1 \f2 \b0
1}
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316
}
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
See Seamus Dunn,
}
Case Study: The Northern Ireland Experience: Possibilities for Cross Fertilizati
on Learning, 19 Alternatives to High Cost Litig. 153 (2001)
(examining the possibility of cross-fertilization learning from the world of po
litical conflict to social, business and legal conflicts.)
\par
}
}
}
w }
3 \clbrdrb \clbrdrl \trql \clvertalt \cellx600
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{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
{\ri20 \i0 \fs18 \cf1 \f2 \li20 \b0 \qj
For reflections on all that needs healing in the legal profession, see Kronman,
supra note 2 and Van Winkle, supra note 4.
\par
}
}
}
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End of Document
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}\sect }

Lawyers Non-Lawyers and Mediation Rethinking The Professional Monopoly From A PR

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Lawyers Non-Lawyers and Mediation Rethinking The Professional Monopoly From A PR

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wyer as problem-solver is gaining credibility over the hired-gun or gladiator im

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Part I The Problem of Blurred Boundaries

that is very much connected to the justice system,

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terms of stages progressing from innovation

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B. What is Problem-Solving for Lawyers?

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permit non-lawyers to engage in what would otherwise be considered the unauthori

members of its UPL Committee pursuant to

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awyer and non-lawyer members. As such, it should signify a substantial contribut

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viors ranging from extreme evaluation to facilitation.

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range of activities from giving specific advice, rendering an opinion on a like

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concerns of UPL regulation; (2) encourage creativity and problem-solving in res

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, should court approval be required, even if mediation takes place outside of th

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