Mediation Law and Practice is a comprehensive survey of the place of mediation in the expanding field of alternative dispute resolution. It draws on a rich stock of source materials to explain the philosophy underlying mediation, describe the step-by-step processes involved in its practical application and consider the developing law of mediation.
The book is divided into two parts. The first part focuses on what mediation is and how to run it. Touching on the theory and philosophy of mediation, it describes the differences between the emerging models of mediation, discusses the qualities required of a mediator and considers significant issues of gender, culture and power. Finally, this part looks at the importance of ethics and those matters that may be included in a code of ethics for mediators.
The second part of the book deals with the developing common and statute law surrounding the practice of mediation. Separate chapters cover mandatory mediation, confidentiality and the enforcement of mediated settlement agreements. There is detailed discussion of statutory schemes, as well as the state’s role in mediation. Consideration of mediation clauses – increasingly frequent in contracts today – leads to further discussion of the potential liability of mediators in tort and contract as well as professional responsibility for lawyers acting as mediators. The final chapter looks at the future of mediation in light of the decline in litigation, the rise in regulatory constraints and the growing popularity of online mediation.
Providing comprehensive analysis supported by select commentary and materials, Mediation Law and Practice offers fresh perspectives on the practice of mediation for both the student and the experienced practitioner.
David Spencer is Senior Lecturer in the Department of Law at Macquarie University. He is the recipient of the 2005 Macquarie University Vice-Chancellors' Outstanding Teacher Award and the 2006 Carrick Institute Citation for Outstanding Contributions to Student Learning.
Michael Brogan is Senior Lecturer in the School of Law and University Teaching Fellow at the University of Western Sydney. He was the recipient of the College of Law and Business Individual Teaching Excellence Award in 2003. Michael is also Visiting Fellow in the Division of Law at Macquarie University.
David Spencer
Michael Brogan
CAMBRIDGE UNIVERSITY PRESS
Cambridge, New York, Melbourne, Madrid, Cape Town, Singapore, São Paulo
Cambridge University Press
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Published in the United States of America by Cambridge University Press, New York
www.cambridge.org
Information on this title: www.cambridge.org/9780521676946
© David Spencer, Michael Brogan 2006
First published by Cambridge University Press 2006
Printed in China by Everbest
A catalogue record for this book is available from the British Library
National Library of Australia Cataloguing in Publication data
Spencer, David, 1961–.
Mediation law and practice.
Bibliography.
Includes index.
ISBN-13 978-0-52167-694-6 paperback
ISBN-10 0-52167-694-0 paperback
ISBN-13 978-0-52167-694-6 paperback
ISBN-10 0-52167-694-0 paperback
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To Mary-Anne – my north, south, east and west. And to Millicent and
Prudence, in whose eyes I draw inspiration to accomplish anything. DS
To Georgia, my little bundle of joy. To Ana Milena, para compartir un amor
irreemplazable y apasionado. And to Brandon for sharing his life with me. MB
Acknowledgements page xi | |||
Preface xv | |||
List of tables and figures xvii | |||
Table of statutes xix | |||
Table of cases | |||
PART I | THE PRACTICE OF MEDIATION xxi | ||
1 | Mediation: Its Definition and History 3 | ||
Introduction 3 | |||
Defining mediation 4 | |||
Mediation and negotiation 9 | |||
Negotiation defined 9 | |||
Adversarial negotiation 9 | |||
Principled negotiation 15 | |||
Mediation compared to negotiation 22 | |||
The link between mediation and negotiation 22 | |||
A brief history of mediation and ADR 23 | |||
Professional or peak bodies 33 | |||
Institute of Arbitrators and Mediators Australia (IAMA) 33 | |||
Australian Commercial Disputes Centre Limited (ACDC) 34 | |||
National Alternative Dispute Resolution Advisory Council (NADRAC) 34 | |||
Law societies and bar associations 36 | |||
Leading Edge Association of Dispute Resolvers (LEADR) 37 | |||
Community justice centres 37 | |||
Victorian Association for Dispute Resolution (VADR) 38 | |||
University research groups 38 | |||
Bond University 39 | |||
La Trobe University 39 | |||
University of Queensland 39 | |||
University of South Australia 40 | |||
University of Sydney40 | |||
2 | The Mediation Process 42 | ||
Introduction 42 | |||
Intake procedures 42 | |||
The classical model | |||
The practical steps of the classical model 48 | |||
Preparing for the mediation 49 | |||
The opening statement 56 | |||
The parties’ opening statements 58 | |||
Identifying issues and interests 60 | |||
Identifying common ground 64 | |||
Identifying options for early agreement 65 | |||
Separate sessions 66 | |||
Final joint meeting 69 | |||
Writing up the settlement 73 | |||
Communication and associated problems 74 | |||
Co-mediation 75 | |||
Checklists and sample agreement | |||
3 | The Theory and Philosophy of Mediation 79 | ||
Introduction 83 | |||
The form and function of mediation 83 | |||
The five philosophies of mediation 84 | |||
Confidentiality 85 | |||
Voluntariness 87 | |||
Empowerment 88 | |||
Neutrality 91 | |||
A unique solution 99 | |||
Models of mediation 100 | |||
The facilitative model versus the evaluative model 104 | |||
Transformative mediation 107 | |||
The effectiveness and appropriateness of mediation 109 | |||
When is mediation more likely to be effective and appropriate? 109 | |||
When is mediation more likely to be ineffective and inappropriate? 110 | |||
The weaknesses of mediation 120 | |||
4 | Specific Types of Mediation 125 | ||
Introduction 125 | |||
Commercial mediation 125 | |||
Family mediation 132 | |||
Community mediation 137 | |||
Building and construction mediation 140 | |||
Health care mediation 147 | |||
Victim-offender mediation 150 | |||
Foundations 151 | |||
Theory 151 | |||
Australian practice 152 | |||
The model 152 | |||
5 | The Mediator 155 | ||
Introduction 155 | |||
Mediator qualities 155 | |||
The mediator’s role 156 | |||
Quality control 157 | |||
Communication skills | |||
Extras 170 | |||
Some communication dangers 171 | |||
Mediator styles 174 | |||
A different perspective 176 | |||
6 | The Ethics of Mediation 182 | ||
Introduction 182 | |||
Ethics and mediation 182 | |||
Ethics generally 182 | |||
Ethical issues in mediation 184 | |||
Mediation and legal professionals 194 | |||
Lawyers as mediators 194 | |||
Lawyers representing parties at mediation 202 | |||
Professional ethics rules for legal practitioners 211 | |||
A code of ethics for mediators and mediations 214 | |||
Codes of ethics generally 214 | |||
Should there be a code of ethics for mediators? 217 | |||
A draft code of ethics for mediations and mediators 219 | |||
Process 219 | |||
What could be in a code of ethics for mediators and mediations generally? 220 | |||
7 | Power, Empowerment and Difference in Mediation 223 | ||
Introduction 223 | |||
Power in mediation 223 | |||
Gender and mediation 237 | |||
Culture and mediation 249 | |||
PART II | THE LAW OF MEDIATION 263 | ||
8 | Mandatory Mediation 265 | ||
Introduction 265 | |||
Mandatory mediation law 271 | |||
Commonwealth 272 | |||
Australian Capital Territory 279 | |||
New South Wales 279 | |||
Northern Territory 290 | |||
Queensland 290 | |||
South Australia 298 | |||
Tasmania 301 | |||
Victoria 301 | |||
Western Australia 302 | |||
Reasons that courts have ordered mandatory mediation 304 | |||
9 | Confidentiality 312 | ||
Introduction 312 | |||
Public policy rationale 314 | |||
Without prejudice privilege 315 | |||
General law limitations of without prejudice privilege 324 | |||
Legal professional privilege 324 | |||
Statutory privilege 328 | |||
Limitations of statutory privilege 339 | |||
Contractual confidentiality 342 | |||
10 | Settlement Agreements 346 | ||
Introduction 346 | |||
Mediated settlement agreements require the elements of contractual formation 348 | |||
Offer 348 | |||
Acceptance 349 | |||
Consideration 349 | |||
Intention 350 | |||
Capacity 354 | |||
The requirement to formalise a settlement agreement in writing 355 | |||
Vitiating factors 357 | |||
Embodying settlement agreements in court orders 371 | |||
11 | State Sponsored Mediation 377 | ||
Introduction 377 | |||
The regulation of mediation 379 | |||
Should the state sponsor mediation? 383 | |||
Should judicial officers have a role in providing mediation? 388 | |||
12 | Mediation Clauses in Contracts 408 | ||
Introduction 408 | |||
The clause must be drafted in Scott v Avery form 410 | |||
Drafted with requisite certainty 411 | |||
Avoid references to ‘good faith negotiation’ 419 | |||
Include a remedy for breach 423 | |||
13 | Liability in Mediation 431 | ||
Introduction 431 | |||
Liability in tort 432 | |||
Liability in contract 448 | |||
Statutory immunity 453 | |||
Liability of lawyers 454 | |||
14 | The Future of Mediation 459 | ||
Introduction 459 | |||
Mediation as dispute management 460 | |||
Mediation hybrids 471 | |||
Online mediation 477 | |||
The future of mediation 486 | |||
Bibliography 494 | |||
Index 502 |
The authors and publishers wish to thank the following for permission to reprint copyright material:
‘Schmediation and the dimensions of definition’ (M. Moffitt), reproduced from (2005) 10 Harvard Negotiation Law Review. With permission.
‘Toward another view of legal negotiation: the structure of problem solving’ (C. Menkel-Meadow), originally published in 31 University of California Los Angeles Law Review 755 (1984). With permission.
‘Analytical Table of Contents’ from R. Fisher, W. Ury & B. Patton, Getting to Yes (2nd edn). Copyright © 1981, 1991, by Roger Fisher and William Ury. Reprinted by permission of Houghton Mifflin Company. All rights reserved.
‘How mediations are negotiated’, ‘The opening statement’, ‘The parties’ opening statements’, ‘Identifying issues and interests’, ‘Identifying common ground’, ‘Identifying early options for agreement’, ‘Separate sessions’, and ‘Writing up the settlement’, reproduced from D. Spencer, Essential Dispute Resolution (2nd edn, 2005), Cavendish Australia. With permission of the author.
‘Mediation in traditional societies’, ‘The co-mediation process’, ‘Models of mediation’, ‘Experience, expertise and professional background’, reproduced from L. Boulle, Mediation: Principles, Process, Practice (2005), LexisNexis Butterworths, Chatswood. With permission.
‘The path that brought America to uniform laws and mediation in cyberspace’ (R. Birke & L. E. Teitz), reproduced from (2002) 50 American Journal of Comparative Law Supplement 181 at 181–95. With permission.
‘Key developments in alternative dispute resolution in Australia’ reproduced from P. Condliffe, Conflict Management: A Practical Guide (2003), LexisNexis Butterworths, Sydney, pp 34–8. With permission.
‘IAMA Objectives’, reproduced from the website of the Institute of Arbitrators and Mediators Australia. With permission.
‘NADRAC’s Charter’, reproduced from the website of the National Alternative Dispute Resolution Advisory Council. With permission.
‘Mediation Accreditation Assessment Guidelines’ (2004), ‘The Agreement to Mediate’, ‘The Law Society Guidelines for those involved in mediations’, and ‘Professional standards for legal representatives in a mediation’; reproduced from the website of the Law Society of New South Wales. With permission.
‘LEADR Objectives’, reproduced from the website of Leading Edge Association of Dispute Resolvers. With permission.
‘Services’, reproduced from the website of Community Justice Centres New South Wales. With permission.
‘VADR Aims’, reproduced from the website of the Victorian Association for Dispute Resolution. With permission.
‘Bond University Dispute Resolution Centre: Objectives’, reproduced from the website of Bond University. With permission.
‘La Trobe Law: Conflict Resolution Research Centre Aims’, reproduced from the website of La Trobe University. With permission.
‘University of Queensland: The Australian Centre for Peace and Conflict Studies’, reproduced from the website of the University of Queensland. With permission.
‘University of South Australia: Conflict Management Research Group’, reproduced from the website of the University of South Australia. With permission.
‘University of Sydney: Centre for Peace and Conflict Studies’, reproduced from the website of the University of Sydney. With permission.
‘Mediation – when is it not an appropriate dispute resolution process?’ (G. R. Clarke & I. T. Davies) May 1992; ‘The Purpose of an Intake Process in Mediation’ (R. Payget) August 1994; ‘Can I sue my mediator?’ (A. Lynch), vol 6 1995; ‘The use of mediation in commercial and construction disputes’ (G. H. Golvan) vol 7 1996; ‘Impact of cultural differences on dispute resolution’ (L. L. Yuan), August 1996; ‘Aboriginal mediation: one step towards re-empowerment’ (K. Pringle), November 1996; ‘Preliminary Conferences: A Quality Tool for Mediators’ (G. Charlton) May 1997; ‘Community mediation: myth and reality’ (W. Faulkes & R. Claremont), ‘Conciliation of health care complaints’ (A. Gurley), ‘Mediation of family law disputes in Australia’ (D. Bagshaw) vol 8 1997; ‘Negotiating with gender’ (J. O’Hare), August 1997; ‘Family mediation: friend or foe for women?’ (R. Alexander), November 1997; ‘Cross-cultural negotiation in Australia: power, perspectives and comparative lessons’ (S. Young), February 1998; ‘Family mediation under the microscope’ (R. Alexander), ‘Alternative dispute processes for commercial disputes – quality and style: a survey’ and ‘Managing quality of ADR for commercial disputes’ (M. Garwood) vol 10 1999; ‘Ethical standards for mediation: embracing philosophical method’ (S. Wellik), vol 10(4) 1999; ‘Neutrality and the legitimacy of mediation’ Pt Ⅰ (H. Astor), May 2000; ‘Maximising party control’ Pt Ⅱ (H. Astor), ‘What is “transformative” mediation?’ (M. Brenner, S. Sega, & N. Serventy) August 2000; ‘Mandatory mediation and neutral evaluation: a reality in New South Wales’ (D. Spencer), vol 11 2000; ‘Changing assumptions about mediation in commercial matters: resolving disputes and (re)building relationships’ (S. C. Sable), vol 12 2001; ‘Remedies: a bar to the enforceability of dispute resolution clauses’ (D. Spencer), vol 13 2002; ‘NLP for mediators: understanding and influencing yourself and others’ (N. Serventy), vol 13(4) 2002; ‘Cross-cultural mediation and the multicultural/ natural model’ (J. Crockett), ‘“Healing through yarning”: training issues in an indigenous family mediation program’ (L. Fisher), ‘To what degree of certainty must a dispute resolution clause be drafted?’ (D. Spencer), vol 14 2003; ‘Overcoming attribution bias in mediation: An NLP perspective’ (J. Lee), vol 15 2004; ‘Some contemporary theories of power in mediation’ (H. Astor), vol 16 2005; reproduced from Austral[as]ian Dispute Resolution Journal, published by the © Lawbook Co, part of Thomson Legal & Regulatory Limited, http:/ /www.thomson.com.au. With permission.
‘The parties’ opening statements: the mediator’s role’, ‘Final negotiations’, and ‘Reframing’, reproduced from R. Charlton & M. Dewdney, The Mediator’s Handbook: Skills and Strategies for Practitioners (1995), published by the © Lawbook Co, part of Thomson Legal & Regulatory Limited, http:/ /www.thomson.com.au. With permission.
‘Finding agreement’ (2002), ‘Listening skills’ (2nd edn, 2005), reproduced from T. Sourdin, Alternative Dispute Resolution, published by the © Lawbook Co, part of Thomson Legal & Regulatory Limited, http:/ /www.thomson.com.au. With permission.
‘Communication’, reproduced from G. Tillett, Resolving Conflict: A Practical Approach (1991), pp 29–30, Oxford University Press. With permission.
‘The five philosophies of mediation’, reproduced from R. Charlton, Dispute Resolution Guidebook (2000), pp 14–15, published by the © Lawbook Co, part of Thomson Legal & Regulatory Limited, http:/ /www.thomson.com.au. With permission.
‘The evaluative-facilitative debate in mediation: applying the lens of therapeutic jurisprudence’ (E. A., Waldman), vol 82 1998–99; ‘The importance of confidentiality in mediation’ (E. E. Deason), vol 85 2001–02; reproduced from Marquette Law Review. With permission.
‘Transformative mediation’s objectives: empowerment and recognition’, ‘More than settlement’, ‘The transformative orientation to conflict’, reproduced from R. A. B. Bush & J. P. Folger, The Promise of Mediation: Responding to Conflict Through Empowerment and Recognition (1994), Jossey-Bass, San Francisco. With permission.
‘Practice and paradox: deconstructing neutrality in mediation’ (S. Cobb & J. Rifkin), reproduced from (1991) 16 Law & Social Inquiry. With permission.
‘More models of mediation’ (C. Menkel-Meadow), reproduced from ‘The Many Ways of Mediation: The Transformation of Traditions, Ideologies, Paradigms, and Practices’ (1995) Negotiation Journal. With permission.
‘Facilitative mediation: the classic approach retains its appeal’ (C. J. Brown), reproduced from (2003–04) 4 Pepperdine Dispute Resolution Journal 279, 280–3, 290–2. With permission.
‘Effectiveness and appropriateness of mediation’, ‘Ineffectiveness and inappropriateness of mediation’, ‘Duties and liability of mediators’, ‘Ethics, values and professional responsibilities in negotiation and mediation’, reproduced from B. Wolski, Legal Skills: a Practical Guide for Students (2006), published by the © Lawbook Co, part of Thomson Legal & Regulatory Limited, http:/ /www.thomson.com.au. With permission.
‘The mediation alternative: process dangers for women’ (T. Grillo), vol 100 (1991) 1545, 1547–51, 1555–77, 1581–99; ‘Against settlement’ (O. M. Fiss), reproduced from (1984) 93(6) Yale Law Journal 1073–90. By permission of the Yale Law Journal Company and William S. Hein Company.
‘Construction mediation really works’ (G. Morgerman), reproduced from Mediate.com. With permission.
‘Health Conciliation Registry’, reproduced from the website of the Health Care Complaints Commission. With permission.
‘Restorative justice: some common themes’ reproduced from G. Johnstone, Restorative Justice: Ideas, Value, Debates (2002), pp 11–15, Willan Publishing, Devon. With permission.
‘The empowerment model’, reproduced from C. K. B. Barton, Restorative Justice: The Empowerment Model, 2003, pp 67–9, Hawkins Press, Sydney. With permission.
‘Mediation and the court’ (Hon. J. J. Spigelman), vol 39 (2001); ‘Mediation: how to resolve disputes online’ (A. Limbury), vol 40(9) (2002); reproduced from Law Society Journal. With permission.
‘Can mediation be your day job?’ reproduced from Chapter 1 of F. S. Mosten, Mediation Career Guide: A Strategic Approach to Building a Successful Practice, 2001, Jossey-Bass. With permission.
‘Assuring excellence, or merely reassuring?’ (C. Pou), reproduced from 2004 Journal of Dispute Resolution 303, 306–9, 325–8. With permission.
‘What skills and attributes do experienced mediators possess?’ (J. Wade), reproduced from (1999) 5 ADR Bulletin 50. With permission.
‘Mediating off the grid’ (C. M. Currie), reproduced from (2004) 59(2) Dispute Resolution Journal 8, 9–14. With permission.
‘Some ethical issues surrounding mediation’ (R. P. Burns), reproduced from Northwestern University School of Law Public Law and Legal Theory Research Paper Series Research Paper No. 02–5 (2001) ⅬⅩⅩ Fordham Law Review 691–717. With permission.
‘Ethics in ADR: The many “Cs” of professional responsibility and dispute resolution’ (C. Menkel-Meadow), reproduced from Georgetown University Law Center 2001 Working Paper Series in Public Law and Legal Theory, Working Paper No. 288805. Originally published in (2001) 28 Fordham Urban Law Journal 979. With permission.
‘New roles for lawyers need new ethical codes’ and ‘The ten commandments of appropriate dispute resolution: an aspirational code’ (C. Menkel-Meadow), reproduced from ‘Ethics and Professionalism in Non-adversarial Lawyering’ 27 Florida State University Law Review 153 (1999). With permission of the original publisher/copyright holder.
‘Ethical standards for mediators’, reproduced from the website of the Law Council of Australia. With permission.
‘Power issues in mediation’, reproduced from C. Baylis & R. Carroll, ‘The Nature and Importance of Mechanisms for Addressing Power Differences in Statutory Mediation’ (2002) 14 Bond Law Review 285, 287–96. With permission.
‘Forms of power in family mediation and negotiation’ (J. H. Wade), reproduced from (1994) 8 Australian Journal of Family Law NEXIS 4. With permission.
‘Compulsory mediation’ (Hon. J J Spigelman AC, Chief Justice of New South Wales), reproduced from an address to the LEADR dinner at the University and Schools’ Club, Sydney, 9 November 2000. With permission of the author.
‘Designing a dispute resolution system’ (J. David), vol 1 (1994); ‘The changing role of the state in conflict resolution’ (D. Spencer), vol 3 (1996); reproduced from Commercial Dispute Resolution Journal, published by LexisNexis. With permission.
‘Mediation and the judicial institution’ (Sir Laurence Street), reproduced from (1997) 71 Australian Law Journal 794, 795–6, published by the © Lawbook Co., part of Thomson Legal & Regulatory Limited, http:/ /www.thomson.com.au. With permission.
‘Submission in response to the “Issues Paper on the Review of the Legal Services Directions”’, National Alternative Dispute Resolution Advisory Committee. With permission.
‘Med-Arb, Arb-Med, Neg-Arb and ODR’ (A. Limbury), reproduced from a paper presented to the Institute of Arbitrators and Mediators Australia, Sydney, 3 August 2005, at 1–12. With permission of the author.
‘Vanishing trials: fact or fiction?’ (D. Spencer), reproduced from a paper given to the Australasian Law Teachers Association Conference, University of Waikato, New Zealand, July 2005. With permission of the author.
‘Judicial mediators: is the time right?’ (D. Spencer), reproduced from a paper delivered to the Institute of Arbitrators & Mediators Australia, April 2006. With permission of the author.
When Cambridge University Press asked us to write an Australian title on dispute resolution we instantly agreed on ‘Mediation Law and Practice’. Why? Because of all dispute resolution processes, both base and hybrid, mediation is the most sought after process. Why? Because, despite often being mandated by the courts, mediation offers people the opportunity to participate in a truly consensual process that allows them to control the process and the outcome. Many other processes using the descriptor ‘dispute resolution’ are adjudicative or quasi-adjudicative and therefore, arguably, are not rightfully methods of dispute resolution. Mediation is loyal to the philosophical notion that dispute resolution should empower its users – it does this by requiring participation in the process and agreement in any settlement reached between the parties.
In the past thirty years, with the rise in the formalisation of mediation, the classical model of mediation has adapted and morphed into hybrid models that serve its users efficiently. Today, dispute resolution commentators talk of mediation being classical, facilitative, therapeutic or evaluative. These hybrids highlight the versatility of mediation in adapting to the needs of its users. An example of such versatility is the fact that as this preface is being written, the New South Wales Court of Appeal is piloting a mediation scheme for its civil law appeals. As little as ten years ago mediation for appeal cases was thought to be inappropriate. Mediation morphing continues at a great pace!
As the title suggests, Mediation Law and Practice is divided into two sections. The first section, comprising seven chapters, deals with the theory, philosophy and practice of mediation. In particular, this section discusses the history of mediation and the various models of mediation derived from the central philosophies that underpin mediation. The role of the mediator is discussed here, as are some of the power issues that arise; most importantly, the ethics of mediation are discussed, with an attempt to identify the essential elements of a code of conduct for the practice of mediation.
The second section of the book deals with the developing law surrounding mediation, and looks in detail at mandatory mediation, confidentiality and the liability of mediators. Further, settlement agreements and their enforceability are discussed, along with the problems that arise with mediation clauses in contracts. Finally, the state’s role in the provision of mediation services is considered, as well as the future of mediation in respect of on-line provision, the move towards dispute avoidance and management, and its role in a climate of declining litigation.
This book is written by two students, practitioners and teachers of mediation and, despite the common intellectual purpose underlying the content it reflects a range of perspectives on the theory, philosophy and practice of mediation. The fact that differing views can exist on these issues is evidence of the broad church of ideas within which mediation operates. In this respect difference is a very healthy condition. Given the range of views that exist, the various chapters in this book may at times disclose divergent views, both in the commentary and in the selection of supporting material. Again, this is healthy and to be encouraged.
We would like to thank Jill Henry, the Academic Publisher of Cambridge University Press Australia, for her initial approach, wise counsel and continuing enthusiasm for this project. We would like to thank Kate Indigo, the Managing Editor, Academic, for her professional guidance, and Kath Harper, the copy editor, for her attention to detail which covered up our mistakes brilliantly. Further, we would like to thank our research assistants, Allanah Kjellgren and Sarah Prince, for their enthusiastic efforts in assisting us to bring a wide variety of material into consideration for the compilation of this book.
As far as we are aware, the law quoted in this book is correct at the time of publication. Any errors and omissions are ours to wear for eternity.
David Spencer
Michael Brogan
Sydney
April 2006
1.1 | Comparison of characteristics of mediation and negotiation 72 | |
2.1 | General preparation checklist 78 | |
2.2 | Mediation conference checklist 78 | |
8.1 | Cases where mandatory mediation orders were sought, with results and reasoning 306-311 | |
9.1 | Confidentiality legislation in the superior courts of the States and Territories of Australia 330 | |
10.1 | Legislation requiring mediated settlement agreements to be recorded in writing 356 | |
10.2 | Statutes providing for mediated settlement agreements to be embodied in orders of the court 372 | |
11.2 | Statutory regulation of mediation 381 |
Figure 1: Negotiation as a linear process 12 | ||
Key developments in Australian ADR 32 | ||
Dos and don’ts for the parties’ opening statements 3.1.1 A sample agenda 59-60 | ||
3.1.1 A sample agenda 63 | ||
Dos and don’ts for final negotiations and mediation outcomes 72-72 | ||
Schedule 3: Costs of the mediation 82 | ||
Models of mediation 101-102 | ||
Quadrants of mediation 182 | ||
Certainty in dispute resolution clauses 416-418 | ||
Figure 1: Range of processes 466 | ||
Features of face-to-face and online dispute resolution 481 | ||
Pros and cons of online dispute resolution 485 | ||
Figure 1: Civil filings in the Sydney Registry of the NSW District Court and statewide, 1990–2004 487 | ||
Figure 2: Civil cases disposed of in the Sydney Registry of the NSW District Court by trial and settlement, 1990–2004 487 | ||
Figure 3: Civil cases disposed of in the Sydney Registry of the NSW District Court by arbitration, dismissal and transfer, 1990–2004 488 | ||
Figure 4: How settled cases are disposed of in the Sydney Registry of the NSW District Court, 1990–2004 489 | ||
Figure 5: Cases disposed of by trial compared to cases settled after listing for trial in the Sydney Registry of the NSW District Court, 1990–2004 490 |
Administrative Appeals Tribunal Act 1975 (Cth) 356, 371, 372
Administrative Appeals Tribunal Act 1989 (ACT) 279
Administrative Decisions Tribunal Act 1997 (NSW) 372
Administrative Dispute Resolution Act (US) 29
Alternative Dispute Resolution Act 2001 (Tas)301, 372
Anti Discrimination Act 1977 (NSW)32
Civil Justice Reform Act (US)29
Civil Law (Wrongs) Act 2002 (ACT) 279, 381
Civil Procedure Act 2005 (NSW)279–280, 329–331, 372, 381, 382, 453
Commercial Arbitration Act 1984 (NSW) 473, 476
Commercial Tenancy (Retail Shops) Agreements Act 1985 (WA) 356, 372
Community Justice Centres Act (NSW) 32, 384
Conciliation Act 1929 (SA) 32
Consumer, Trader and Tenancy Tribunal Act 2001 (NSW) 372
Conveyancing Act 1919 (NSW) 355, 357
Corporations Act 2001 (Cth) 306, 307
County Court Act 1958 (Vic) 301, 384
Courts Legislation (Mediation and Evaluation) Amendment Act (NSW) 384
Courts (Mediation and Arbitration) Act 1991 (Cth) 32, 378
Courts of Conciliation Act 1892 (Qld) 32
Criminal Procedure Amendment (Circle Sentencing Program) Regulation 2003 (NSW) 152
Dispute Resolution Centres Act (Qld) 384
District Court Act 1973 (NSW) 279, 492
District Court Act 1991 (SA) 298, 372
District Court of Queensland Act 1967 (Qld) 32, 293, 384
District Court Rules 1996 (WA) 372
Domestic Violence (Family Protection) Act 1989 (Qld) 118
Environment, Resources and Development Court Act 1993 (SA) 356, 372
Equal Opportunity Act 1995 (Vic) 373
Evidence Act 1995 (Cth, NSW, Tas) 316, 329, 331–333, 339–342
Fair Trading Act (NZ) 438, 440
Family Court Act 1997 (WA) 372
Family Court Regulations 1984 (NSW) 379
Family Court Rules 2004 (Cth) 47, 372, 393
Family Law Act 1975 (Cth) 31–32, 132, 381, 393, 453
Family Law Reform Act 1995 (Cth) 31–32
Family Provision Act 1982 (NSW) 306–309
Farm Debt Mediation Act 1994 (NSW) 32, 283, 290, 334–336, 356, 372
Federal Court of Australia Act 1976 (Cth) 269, 272–274, 329, 381, 453
Federal Court Rules 1979 (Cth) 381–382
Federal Magistrates Act 1999 (Cth) 279, 372
Federal Magistrates Court Rules 2001 (Cth) 372
Information Act (NT) 290
Juvenile Justice Act 1992 (Qld) 152
Land and Environment Court Act 1979 (NSW) 290, 372
Law and Justice Legislation Amendment Act 1997 (Cth) 272
Legal Profession Act 2004 (NSW) 290, 431, 455
Legal Profession Act 2004 (Vic) 356, 372
Local Court Act (NT) 290, 372
Magistrates’ Court Act 1989 (Vic) 301
Magistrates Court Act 1991 (SA) 372
Magistrates Courts Act 1921 (Qld) 356, 372
Mediation Act 1997 (ACT) 330, 381, 453
Native Title Act 1993 (Cth) 32, 279, 356, 372
Property Relations Act 1984 (NSW) 307
Residential Tenancies Act 1994 (Qld) 356
Residential Tenancies Act 1995 (SA) 372
Resource Management and Planning Appeal Tribunal Act 1993 (Tas) 301
Retail Leases Act 1994 (NSW) 283, 290
Rules of the Supreme Court 1971 (WA) 302, 372, 404
Supreme Court Act 1935 (SA) 298, 300, 330, 372, 381, 453
Supreme Court Act 1935 (WA) 330, 381, 453
Supreme Court Act 1970 (NSW) 279–280, 321, 329–331, 335
Supreme Court Act 1986 (Vic) 330, 381, 384, 454
Supreme Court Amendment (Referral of Proceedings) Act 2000 (NSW) 279–280
Supreme Court of Queensland Act 1991 (Qld) 290, 321, 330, 356, 372, 381, 453–454
Supreme Court (General Civil Procedure) Rules 1996 (Vic) 301, 381
Supreme Court Rules 2000 (Tas) 301, 330, 381, 382
Supreme Court Rules (NT) 330, 381
Trade Practices Act 1974 (Cth) 207, 272, 275–277, 302, 307–311, 324, 340, 358, 367
Uniform Civil Procedure Rules 2005 (NSW) 409
Victorian Civil and Administrative Tribunal Act 1998 (Vic) 301–302, 372–373, 376
Water Act 1912 (NSW) 290
Work Health Act (NT) 290
Workplace Relations Act 1996 (Cth) 32
Young Offenders Act 1993 (SA) 152
Young Offenders Act 1997 (NSW) 152
Youth Justice Act 1997 (Tas) 152
789TEN v Westpac [2004] NSWSC 594 322–324
Abriel v Australian Guarantee Corporation Ltd [2000] FCA 1198 367–370
Adaras Development Ltd v Marcona Corporation [1975] 1 NZLR 324 415
Aiton Australia Pty Ltd v Transfield Pty Ltd [1999] NSWSC 996 289, 413, 417–422
Allco Steel (Qld) Pty Ltd v Torres Strait Gold Ltd 269
Angela Therese Harvey v Eileen Therese Alecci [2002] NSWSC 898 307
Arenson v Arenson (UK) 447
ASIC v Rich [2005] NSWSC 489 285–290
Australia and New Zealand Banking Group Ltd v Frost Holdings Pty Ltd [1989] VR 695 414
Australian Competition and Consumer Commission v Australian Safeway Stores Pty Ltd (No 3) (2002) ATPR 41–901; [2002] FCA 1294 341
Australian Competition and Consumer Commission v Black on White [2002] FCA 1605 341
Australian Competition and Consumer Commission v Collagen Aesthetics Australia Pty Ltd [2002] FCA 1134 272–274, 307
Australian Competition and Consumer Commission v Lux Pty Ltd [2001] FCA 600 274–278, 309
Australian Woollen Mills Pty Ltd v The Commonwealth [1954] 92 CLR 424 349
Automasters Australia Pty Ltd v Bruness Pty Ltd [1999] WASC 39 302–304
AWA Ltd v Daniels t/as Deloitte Haskins and Sells unreported, NSWSC 24 February 1992 270, 284, 315–322, 387
Axelsen v O’Brien (1949) 80 CLR 219 415
Azmin Firoz Daya v CNA Reinsurance Co Ltd [2004] NSWSC 795 306
Barrett v Queensland Newspapers Pty Ltd [1999] QDC 150 290–296, 310
Baulderstone Hornibrook Engineering v Dare Sutton [2000] SASC 159 280, 284
Baulkham Hills Private Hospital Pty Ltd v GR Securities Pty Ltd (1986) 40 NSWLR 622 351, 354
Blake v John Fairfax Publications [2001] NSWSC 885 309
Browning v Crowley [2004] NSWSC 128 307
Bruinsma v Menczer (1995) 40 NSWLR 716 340
Capolingua v Phylum Pty Ltd (WA) 387, 424
Carlill v Carbolic Smoke Ball Co [1893] 1 QB 256 349
Co-operative Insurance Society Ltd v Argyll Stores (Holdings) Ltd (UK) 428–429
Coal Cliff Collieries Pty Ltd v CG Harmer Sijehema Pty Ltd (1991) 24 NSWLR 1 414–415, 420, 425
Commercial Bank of Australia Ltd v Amadio & Anor (1983) 151 CLR 447 365
Commonwealth v Amann Aviation Pty Ltd (Cth) 426
Computershare Limited v Perpetual Registrars Limited (No. 2) [2000] VSC 223 409, 413–416
Cott UK Limited v FE Barber Limited (1997) 3 All ER 540 415
Decker v Lindsay 824 SW 2d 247 (1992) 420
Dickenson v Brown; Estate of Olga M Bartle Deceased and The Family Provision Act [2001] NSWSC 714 309
Duke Group Ltd (in liquidation) v Alamain Investments Ltd [2004] SASC 272 404–407
Ella v The Queen (1991) 103 FLR 8 364
Elizabeth Bay Developments Pty Ltd v Boral Building Services Pty Ltd (1995) 36 NSWLR 709 411–413, 416, 418–420, 422
Esso Australia Resources Ltd v Plowman (1995) 69 ALJ 404 343–345
Esso Australia Resources Ltd v The Commissioner of Taxation (1999) 201 CLR 49 327
Field v Commissioner of Railways for New South Wales (1957) 99 CLR 285 314, 318–320, 325–326, 340
Foster v Wheeler (1888) LR 38 Ch D 130 415
George Andrew Harrison v Delcie Joan Schipp [2002] NSWCA 27 308
Godecke v Kirwan 415
Grant v Downs (1976) 135 CLR 674 326–327
P>Grassby v The Queen (1989) 168 CLR 1 403Harris v Caladine (Cth) 393
Hart v Kuna [1999] VCAT 626 372–376
Hartnell v Sharp Corporation of Australia (1975) 5 ALR 493 274
Heart Research Institute Ltd v Psiron Ltd [2002] NSWSC 646 413, 418
Higgins v Higgins [2002] NSWSC 455 288, 308
Hinton v Mill [1991] 57 SASR 97 403
Hooper Bailie Associated Limited v Natcon Group Pty Ltd (1992) 28 NSWLR 194 409–415, 420
Hopcroft v Olsen [1998] SASC 7009 280, 284, 298–301, 311
Idoport Pty Ltd v National Australia Bank Ltd [2001] NSWSC 427 282–285, 288–289
P>Insbury v Craig [1990] 1 Qd R 309 364Jillcy Film Enterprises 415
Johnston v Johnston [2004] NSWSC 497 306
Kanda v Government of the Federation of Malaya [1962] AC 322 405
Kilthistle No. 6 Pty Ltd (Receiver and Manager appointed) & Ors v Austwide Homes Pty Ltd & Ors [1997] FCA 1383 275, 278, 284, 297, 311
Lange v Marshall (US) 436, 447
Laws v Australian Broadcasting Tribunal (1990) 170 CLR 70 403, 406
Liberty Funding Pty Ltd v Phoenix Capital Ltd (2005) 218 ALR 283 327–328
Liverpool City Council v Irwin (UK) 345
Livesey v NSW Bar Association (1983) 151 CLR 288 403
Markovina v The Queen (No. 2) (1997) 19 WAR 119 364
Marks v GIO Australia Holdings Ltd (No 2) (1996) 66 FCR 128 341
Masters v Cameron (1954) 91 CLR 353 338, 350–351, 354
McCosh v Williams [2003] NZCA 192 437–441
Meehan v Jones [1982] 149 CLR 571 415
P>McKenzie v Edmondson (1996) 15 WAR 391 364Morrow v chinadotcom [2001] NSWSC 209 280–282, 284, 296, 304, 309
Natcraft Pty Ltd v Det Norske Veritas (Qld) 442
Patrick Stevedores Operations No 2 Proprietary Limited v Maritime Union of Australia (Cth) 429
Perre v Apand Pty Ltd (1999) 198 CLR 180 442–443, 447
Pittorino v Meynert [2002] WASC 76 359–366
P>Powell v Jones [1968] SASR 394 415R v Birks (1990) 19 NSWLR 677 364
P>R v Clarke (1927) 40 CLR 227 349 P>R v Commonwealth Conciliation and Arbitration Commission; Ex parte Angliss Group (1969) 122 CLR 546 403 P>R v Magistrates’ Court at Lilydale; Ex parte Ciccone [1973] VR 122 405R v Watson; Ex parte Armstrong (1976) 136 CLR 248 403
P>Racecourse Betting Control Board v Secretary for Air [1944] Ch 114 409Rajski v Tectran Corporation Pty Limited [2003] NSWSC 476 330–334
Re JRL; Ex parte CJL (1986) 161 CLR 342 403, 405–406
P>Re Judge Leckie; Ex parte Felman (1997) 52 ALJR 155 403 P>Re Justice Lusink; Ex parte Shaw (1980) 55 ALJR 12 403 P>R v Australian Stevedoring Industry Board; Ex parte Melbourne Stevedoring Co Pty Ltd 403Remuneration Planning Corp Pty Ltd v Fitton; Fitton v Costello [2001] NSWSC 1208 304, 308
Ridgeway Coal Co 415
Roy v Roy [2004] NSWSC 463 307
Ruffles v Chilman (unrep, WASC, FUL120 of 1996) 378, 395, 401–404
Rush & Tompkins Ltd v Greater London Council [1989] 1 AC 1280 315
Scott v Avery (1856) 10 ER 1121 410–411
Sinclair, Scott & Co v Naughton (1929) 43 CLR 310 351
Singh v Singh [2002] NSWSC 852 288, 307
State Bank of New South Wales v Freeman (NSWSC, 31 Jan 1996, Badgery-Parker J) 217, 330, 334–335
State of New South Wales v Banabelle Electrical Pty Ltd (2002) 54 NSWLR 503 417
Stevenson v Landon Pty Ltd [2005] QDC 11 295–298, 306
Stevenson Jacques & Co v Maclean (1880) 5 QBD 346 349
P>Studer v Boettcher [2000] NSWCA 263 455–457 P>Sweet and Maxwell Ltd v Universal News Services Ltd [1964] 2 QB 699 415Tapoohi v Lewenberg [2003] VSC 410 351–354
Tapoohi v Lewenberg (No 2) [2003] VSC 410 441–447, 449–452, 454
The Silver Fox Company Pty Ltd as Trustee for the Baker Family Trust v Lenards Pty Ltd [2004] FCA 1570 339–342
Thorby v Goldberg (1964) 112 CLR 597 363
P>Truth About Motorways Pty Ltd v Macquarie Infrastructure Investment Management Ltd [2000] 74 ALJR 604 274Vaukata v Kelly (1989) 167 CLR 568 403
P>Von Schulz & Anor v Morriello [1998] QCA 236 364Von Schultz v Attorney-General of Queensland [2000] QCA 406 453–454
W J Green & Co (1984) (as Trustee for the W J Green Family Trust) & Ors v Wilden Pty Ltd & Ors (unreported, WASC, 24 April 1997) 363
Walford v Miles [1992] 2AC 128 420, 422
Waterhouse v Perkins [2001] NSWSC 13 284, 289, 310
Waugh v H B Clifford & Sons Ltd [1982] Ch 374 364
Webb v The Queen (1994) 181 CLR 41 403
Wentworth v Rogers [2004] NSWCA 109 330, 334–338
Whitlock v Brew (1968) 118 CLR 445 415
Williamson v Schmidt [1998] 2 Qd R 317 316, 320, 323
Yoseph v Mammo [2002] NSWSC 585 308