PBCBA BAR BULLETINS pbcba_bulletin_February 2019 | Page 6
ADR C o r n e r
Not Everything Said Or Done is Privileged
At Mediation
WILLIAM J. CEA
Mediation
conducted
pursuant
to
Chapter 44, Florida Statutes, mandates
confidentiality and privilege. However,
like most rules, there are exceptions. It is
important to recognize that confidentiality
and privilege are not absolute. The Florida
Rules for Certified and Court-Appointed
Mediators, Rule 10.200, et. seq. (“Rules”)
and Chapter 44, Florida Statutes, provide
exceptions that counsel and mediation
participants should be aware of.
The general rule, as set forth at Section
44.405, F.S., is that all mediation
communications shall be confidential.
Further, a mediation party has a privilege
to refuse to testify and to prevent any other
person from testifying in a subsequent
proceeding
regarding
mediation
communications. Section 44.403(1), F.S.,
defines “mediation communication” to
mean an “oral or written statement, or
nonverbal conduct intended to make an
assertion, by or to a mediation participant
made during the course of a mediation, or
prior to mediation if made in furtherance
of a mediation. The commission of a crime
during a mediation is not a mediation
communication.”
Thus, criminal activity during a mediation
is by definition not privileged.
Additionally, Section 44.405(4),F.S., lists
exceptions to statutory confidentiality and
privilege. Specifically, no confidentiality
or privilege attaches to a signed written
agreement reached during a mediation,
unless the parties agree otherwise, or for
any mediation communication:
1. For which the confidentiality or
privilege against disclosure has been
waived by all parties;
2. That is willfully used to plan a crime,
commit or attempt to commit a crime,
conceal ongoing criminal activity, or
threaten violence;
3. That requires a mandatory report
pursuant to chapter 39 or chapter 415 solely
for the purpose of making the mandatory
report to the entity requiring the report;
4. Offered to report, prove, or disprove
professional malpractice occurring during
the mediation, solely for the purpose of the
professional malpractice proceeding;
5. Offered for the limited purpose of
establishing or refuting legally recognized
grounds for voiding or reforming a
settlement agreement reached during a
mediation; or
6. Offered to report, prove, or disprove
professional misconduct occurring during
the mediation, solely for the internal use
of the body conducting the investigation of
the conduct.
The Rules also acknowledge that exceptions
exist. Rule 10.360 states, in pertinent part: “A
mediator shall maintain confidentiality of
all information revealed during mediation
except where disclosure is required or
permitted by law or is agreed to by all parties.”
Additionally, Rule 10.650, Concurrent
Standards, states: “Other ethical standards
to which a mediator may be professionally
bound are not abrogated by these rules.
In the course of performing mediation
services, however, these rules prevail over
any conflicting ethical standards to which a
mediator may otherwise be bound.”
While it may seem obvious that criminal
conduct is not confidential or privileged,
attorneys need to bear in mind that
professional misconduct may be reported.
The above cited provisions of Florida
Statutes and the Rules also raise the
question of whether a mediator is required
to report attorney professional misconduct
during a mediation to the Florida Bar.
Advisory Opinion, MEAC 2011-003, issued
by the Florida Mediator Ethics Advisory
Committee states, in pertinent part: “The
confidentiality of mediation is not intended
to cloak or provide protection for the
professional misconduct of any party or
participant during the mediation process.
Chapter 44 and rule 10.360(a)…..allow for
the reporting of such without violating
mediation confidentiality”.
Thus, it is important for counsel to explain to
clients that Florida law provides mediation
communications are confidential and
privileged. However, confidentiality and
privilege are not absolute and both parties
and counsel need to understand the limits.
PBCBA BAR BULLETIN 6
Equally important is the need to avoid
putting the mediator or opposing counsel
in a position of feeling duty bound to
report misconduct or other non-privileged
communications as referenced above.
As we all know, the Florida Supreme
Court is increasingly concerned with
standards
of
professionalism
and
professional
misconduct.
Participants
or counsel may believe that they can use
mediation confidentiality and privilege
as a mechanism to engage in strong arm
tactics, including conduct otherwise
prohibited by the Rules Regulating The
Florida Bar. For example, Rule 4-8.4 of the
Rules of Professional Conduct sets forth
conduct such as harassing behavior that
is prohibited. Further, Rule 4-8.3 requires
a lawyer to report certain misconduct.
The Comment to Rule 4-8.3 also states
that: “Generally, Florida statutes provide
that information gained through a
“mediation communication” is privileged
and confidential, including information
which discloses professional misconduct
occurring outside the mediation. However,
professional
misconduct
occurring
during the mediation is not privileged or
confidential under Florida statutes.”
So the takeaway is continue to use mediation
as a forum to exchange information,
overcome barriers and obstacles and
resolve cases. On the other hand, don’t lose
sight of your professional obligations just
because you may be in a less formal setting
that is, generally, covered by confidentiality
and privilege.
William J. Cea, Esq. is a Shareholder with Becker &
Poliakoff, P.A., and is based in the firm’s West Palm
Beach Office. Mr. Cea is a Board Certified Construction
Attorney and Certified Circuit Court Mediator. Mr. Cea
concentrates his practice in the areas of construction
defects litigation, public procurement and mediation.
Mr. Cea has lectured for a number of organizations, on
topics such as mediation and construction law, including
The Florida Bar, the Florida Association of Public
Procurement Officials, Inc., the Construction Owners
Association of America, Nova Law School, and the Palm
Beach County Bar Association. He may be reached at
(561) 820-2888, or via email @ [email protected].
For additional ADR tips and resources, go to http://www.
palmbeachbar.org/adr-2