acesso_justica_jurisdicao_p.153.pdf

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Marli Marlene M. da Costa (Unisc)

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Salete Oro Boff (UNISC/IESA/IMED)

Carlos Lunelli (UCS)

Clovis Gorczevski (Unisc)

Fabiana Marion Spengler (Unisc)

Liton Lanes Pilau (Univalli)

Danielle Annoni (UFSC)

Luiz Otvio Pimentel (UFSC)

Orides Mezzaroba (UFSC)

Sandra Negro (UBA/Argentina)

Nuria Bellosso Martn (Burgos/Espanha)

Denise Fincato (PUC/RS)

Wilson Engelmann (Unisinos)

Neuro Jos Zambam (IMED)

Financiamento:

CPI-BRASIL. Catalogao na fonte

Spengler, Fabiana Marion (Org.)

S747 Acesso justia, jurisdio (in)eficaz e mediao: a delimitao e a busca de

outras estratgias na resoluo de conflitos [recurso eletrnico] / organiza-

o de Fabiana Marion Spengler, Humberto Dalla Bernardina de Pinho Curi-tiba: Multideia, 2013.

217p.; 23cm

ISBN 978-85-86265-70-9

(VERSO ELETRNICA)

1. Acesso justia. 2. Mediao. 3. Conciliao. I. Pinho, Humberto Dalla

Bernardina de (org.). II. Ttulo.

CDD 340.1(22.ed)

CDU 340

de inteira responsabilidade dos autores a emisso dos conceitos aqui apresentados. Autorizamos a reproduo dos textos, desde que citada a fonte.

Respeite os direitos autorais Lei 9.610/98.

Fabiana Marion Spengler Humberto Dalla Bernardina de Pinho

(Organizadores)

ACESSO JUSTIA, JURISDIO (IN)EFICAZ

E MEDIAO

A delimitao e a busca de outras estratgias na resoluo de conflitos

Curitiba

2013

Agradecimentos

Ao Conselho Nacional de Desenvolvimento Cientfico e Tecno-

lgico CNPq e Coordenao de Aperfeioamento de Nvel Supe-

rior Capes em funo do financiamento cedido por meio do Edital

CNPq/Capes n 07/2011, processo n 400969/2011-4, cujo aporte fi-

nanceiro possibilitou a realizao do projeto de pesquisa intitulado

Acesso Justia, jurisdio (in)eficaz e mediao: a delimitao e a

busca de outras estratgias na resoluo de conflitos.

Entre: mundos e mediao um prefcio

Mediar, no meio, no entre. Mediar, nomeio, consente. Mediar, no seio, no ventre.

Mediar, arreio, convence. Mediar, esteio, transcende.

No mear: amar. G. M. Rebouas.

Este prefcio-ensaio um convite a entrar nos mundos da

mediao e a refletir sobre as experincias de mediao no

mundo. Mas, como todo prefcio, no obra, no captulo,

precisamente passagem, no entre do livro atravs. O pref-cio, antes de palavra primeira, palavra acessria, de obra

pronta. E foi assim, como uma obra completa, que gentilmente

este livro chegou s minhas mos para prefaci-lo.

ACESSO JUSTIA, JURISDIO (IN)EFICAZ E MEDIAO: A

DELIMITAO E A BUSCA DE OUTRAS ESTRATGIAS NA RESOLUO DE

CONFLITOS, organizado por Fabiana Marion Spengler e Humberto

Dalla Bernardina de Pinho, preenche um espao importante no

estado da arte da mediao no Brasil e no mundo. Ele constitui

um dilogo competente e instigante sobre as questes nortea-

doras da incorporao da mediao como mecanismo de aces-

so justia num campo de experincias compartilhadas entre

vrias jurisdies. Incluindo um olhar atento realidade brasi-

leira, h tambm narrativas e reflexes importantes acerca da

mediao na comunidade europeia, alm de experincias es-

pecficas da Inglaterra e da Espanha. um livro, portanto, que

comunica vrias experincias de mediao, no se atendo

apenas a uma faceta prtica ou terica, mas mesclando, com

competncia e propriedade, ambas.

Gabriela Maia Rebouas 8

Os escritos apresentam um apanhado generoso de pes-

quisas empricas e anlises legislativas de direito comparado,

num campo especialmente dependente da experincia: a me-

diao. Antes de um instituto jurdico, a mediao como sua

escrita sugere, um meio de ao, uma prtica. Pensar a media-

o , portanto, um exerccio analtico cujo campo experimen-

tal se faz imprescindvel.

A mediao que pensamos no se esfora em neutralizar

as diferenas para resolver apenas o que juridicamente rele-

vante. A tarefa outra, e para alm. Ela envolve uma percep-

o das diferenas, a altivez da voz dos sujeitos envolvidos,

mas, a um s tempo e nada romantizado, envolve o enfrenta-

mento das dores, dos dissabores, das perdas. A mediao, ao

contrrio do que a expresso ganhar-ganhar pode sugerir, no

se situa no lugar do ideal, da perfeio, ou da plenitude. Como

todo sistema de resoluo de conflitos, ela envolve uma res-

ponsabilizao dos envolvidos e a generosidade de ceder ou

assumir a falta, ela envolve carncias e necessidades. Seu es-

pao o da contingncia. O conflito, antes de ser preliminar-

mente domesticado por uma forma normativa padro, vai apa-

recendo com todas as cores, com suas nuances, sem disfarces.

No sistema judicial, h uma transferncia de responsabilidade

para o Estado, das suas prprias expectativas de resoluo, de

modo que uma parte que sai vencida constantemente transfere

para juzes e advogados o insucesso de sua empreitada. A re-

soluo do conflito, assim, no significou um aprendizado, no

significou uma tomada de posio e responsabilidades.

no sentido de uma aprendizagem que mediao tam-

bm transformao. ao, ethos compartilhado. a busca de

sentido para a vida e para o mundo, transformao do confli-

to em aprendizado. A mediao precisa ser entendida, vivida, acionada com outra cabea, a partir de outra sensibilidade,

refinada e ligada com todas as circunstncias, no s do confli-

to, mas do cotidiano de qualquer existncia. Quem vai mediar,

precisa estar ligado com a vida1.

1

WARAT, Luis Alberto. Surfando na Pororoca: o ofcio do mediador. Florian-

polis: Fundao Boiteux, 2004. p. 38.

Entre: mundos e mediao um prefcio 9

Alm de fazer da mediao tambm aprendizagem, trans-

formao, preciso reconhecer que a inteno de quem a de-

fende apenas com base na celeridade ignora suas potenciali-

dades. Talvez se precise fazer uma diferena sobre mediao e

tcnicas de mediao, para compreender toda a sua dimenso

que transcende a mera instrumentalidade. Esta obra que aqui

apresentamos tem discurso refinado e atento a estas diferenas.

A mediao envolve uma modificao no tempo da reso-

luo, desconstruindo a cadncia cronolgica rgida dos prazos

do processo judicial moderno. Nisto, precipitadamente, avalia

o sistema judicial que ela pode-lhe ser vantajosa, na tentativa

de dar conta do volume de demandas que chegam e que l se

acumulam. Os escritos apresentados nesta obra abundam em

referncias de como as alteraes legislativas para incorporar

a mediao ao sistema judicial ou incentivar sua adoo, at

mesmo extrajudicialmente, esto focados neste aspecto.

Este olhar mope precisa ser confrontado com os argu-

mentos contundentes que so expostos pelos colaboradores da

obra. A celeridade ou informalidade que a mediao pode ga-

rantir no quer dizer que a mediao no tenha seus procedi-

mentos e controles. , no entanto, o tempo como Kairs, e no

como Chronos, que interessa mediao. O tempo do aconte-

cimento, o tempo da sensibilidade, o tempo de acontecer.

O Kairs da mediao exige providenciar o tempo para

observar, permitir o tempo para absorver2: esta perspectiva

serve para pensarmos o quo importante refletir, discutir e

observar experincias de mediao em contextos e pases dife-

rentes, mas impulsionados por um mesmo fator: as insuficin-

cias e custos de um modelo judicial de resoluo de conflitos.

Todos aqueles que, de alguma forma, esto preocupados com

o acesso justia, buscam sadas (ou, mais propriamente, en-

2

REPOLS, Mara Eugenia S. Do artista-educador e o mundo: processo de

mediao, memria e construo de dilogos no encontro educador, obra de

arte, pblico. Revista Flio, ano II, n. 2, 2012. Disponvel em:

. Acesso em: 15 mar.

2013.


tradas) para que a incluso e o acesso a direitos constituam

uma sociedade plural e democrtica. Mas, para alm do tempo

de observar, compartilhar prticas e experincias nos diversos

mundos, preciso constituir uma cultura da mediao, ou seja,

uma prtica cotidiana de buscar resolver conflitos com o dilo-

go, com empoderamento e responsabilizao dos envolvidos,

superando as dicotomias vencedores x vencidos, autor x ru.

necessrio, ento, para alm dos ditos e escritos sobre media-

o, o tempo de absorver e realizar mediao.

Nas valorosas contribuies, a obra ento aberta por

Neil Andrews com o artigo intitulado Mediation in Civil Mat-ters in England. Construindo uma narrativa baseada em ca-sos, o autor evidencia o crescimento da mediao civil na In-

glaterra, tanto a partir de uma escolha privada das partes,

quanto pelo prprio estmulo dos Tribunais. Um duplo cami-

nho, assim, coloca hoje a mediao em destaque nos sistemas

de Common Law. Apesar de algum ceticismo em torno da me-

diao, seus perigos e insuficincias, o crescimento dos siste-

mas alternativos de resoluo de conflitos permite revelar um

entrelaamento entre os sistemas formais e informais de justi-

a civil.

Com o artigo El acceso a la justicia a travs de la media-cin: algunas novedades legislativas en Espaa, Nuria Belloso Martn chama a ateno para a trplice dimenso do acesso

justia: como instrumental, acesso em si, aos mecanismos de

resoluo judicial de conflitos (processo); como pronunciamen-

to, conforme requisitos legais, obtendo das instituies de jus-

tia uma deciso que solucione o conflito; e como acesso efeti-

vo a uma soluo que se concretize e se cumpra no campo ma-

terial da vida. Com muita didtica, elenca as questes centrais

da adoo recente na Espanha de uma lei de custas processuais

que onera sensivelmente o acesso justia, sobretudo, para a

pessoa fsica.

Paradoxalmente, Nuria Belloso aponta que a elevao das

custas judiciais, ao criar barreiras ao acesso justia proces-

sual, apesar do discurso oficial de que serviriam para uma

maior eficincia do Judicirio (desafogado) e para financiar a

justia gratuita, tende a estimular a adoo de vias alternati-


vas como a mediao. O custo de uma justia pblica passa a

ser comparvel a mecanismos privados de resoluo de confli-

tos. A mediao, com isso, ganha ateno. Assim, se desde

2008 h a Directiva Europea 2008/52/CE, sobre mediacin en

asuntos civiles y mercantiles, a Espanha aprova a partir de

2012 sua primeira lei de mediao. Segue, ento, com a estils-

tica de quem pretende se fazer clara e didtica, a discorrer so-

bre pontos fortes e fracos da lei, perpetuando um debate fran-

co e qualificado sobre os rumos da mediao na Espanha. Uma

especial ateno dada mediao por meios eletrnicos

(ODR Online Dispute Resolution), para alm dos casos do mundo virtual.

Justicia Restaurativa en Europa: sus orgenes, evolucin y la directiva de la Unin Europea 2012/29 sobre los derechos,

apoyo y proteccin de las vctimas de delitos, de Helena Soleto Muoz, apresenta uma contribuio valorosa sobre os incios e

modelos de Justia Restaurativa, as contribuies europeias ao

desenvolvimento da Justia Restaurativa, alm dos fatores que

dificultam a insero da Justia Restaurativa nos sistemas de

direito continental. As aproximaes entre justia restaurativa e

mediao so muitas e implicadas, sobretudo frente s insufici-

ncias do sistema judicial de lidar, tambm (e sobretudo!), no

campo penal, com solues justas e respostas efetivas.

Nas palavras de Helena Muoz, os impulsos para a cons-

truo de uma Justia Restaurativa ganham fora nos anos

sessenta e setenta do sculo XX, seja pela retomada da repa-

rao como elemento constitutivo do sistema penal (e no

apenas retribuio), seja pelos estudos crticos de empodera-

mento dos atores sociais, ou pelo diagnstico mesmo de uma

certa crise na administrao judiciria dos conflitos. So lana-

das as bases para uma crtica aos sistemas de justia penal que

se preocupa, de um lado, com a reinsero do delinquente so-

ciedade e, de outro, em dar voz vtima, que de mero objeto do

delito, passa a ganhar destaque nos desdobramentos da lide.

A partir desse panorama histrico, Muoz identifica o de-

senvolvimento de trs modelos de Justia Restaurativa nos

sistemas de justia ocidental: (i) complementar ao Tribunal,

onde o prprio Estado cria os programas de realizao de pro-


cedimentos restaurativos no desenvolvimento dos processos;

(ii) sistemas alternativos ao ajuizamento de demandas tradicio-

nais, respondendo ao conflito antes de uma formalizao judi-

cial; alm de (iii) sistemas de Justia Restaurativa que inter-

vm no propriamente no fato delitivo, mas, geralmente, nos

conflitos emocionais que os circundam, independentemente da

atuao de uma justia penal.

As anlises sobre os sistemas de justia restaurativa so

amplamente amparadas em exemplos concretos de diversas

realidades e pases, reconhecendo-se o destaque que os sis-

temas anglo-saxes tm em relao aos sistemas de justia

continental e oferecendo, para alm do diagnstico e da com-

preenso do instituto da Justia Restaurativa, tambm direci-

onamentos e sugestes para sua realizao.

As contribuies em torno da experincia brasileira esta-

ro presentes preponderantemente nos artigos dos organiza-

dores da obra. Com o captulo A mediao e a conciliao propostas pelo Projeto 8.046/2010 (novo Cdigo de Processo

Civil brasileiro CPC) como mecanismos eficazes de tratamen-to de conflitos, Fabiana Marion Spengler e Theobaldo Spen-gler Neto apresentam de forma didtica um panorama das

mudanas na legislao processual brasileira especialmente

ligada ao tema da mediao, empreendendo a uma anlise mi-

nuciosa do projeto de alterao do CPC em curso para destacar

que ele foi tmido no tratamento da questo. Formada por um

grupo de notveis juristas, a comisso esteve preponderante-

mente centrada ainda no processo e na jurisdio judicial, no

tendo a abertura e sensibilidade necessrias para compreen-

der a seriedade e profundidade da mediao e dos demais sis-

temas de resoluo de conflitos ditos alternativos3.

3

Chamamos a ateno com estas aspas para o carter problemtico da adjeti-

vao alternativo. Se de um lado, na radicalidade etimolgica, alternativo apenas uma outra via, oportunidade, possibilidade, de outro lado, ele remete

a signos da informalidade, uma certa minoridade dos procedimentos, precari-

zados. Do ponto de vista social, alternativo um termo que aponta para rela-

es no institucionalizadas, para processos no normatizados, que subver-

tem a regra padro. um apelo no mnimo ingnuo a uma idealizao de vida

natural, quebra de formas sociais. a imagem da sociedade alternativa.

Lugares alternativos, cultura alternativa, tudo que foge ao padro, em suma,


Mas, se comparado com o principal projeto de lei que

ainda tramita sobre mediao (PL 4.827/98), h avanos perce-

bveis. O maior deles a no obrigatoriedade da mediao,

que seria um contrassenso muito bem explicado pelos autores.

Mas a preferncia por bacharis em direito ignora a gama de

profissionais capacitados de outras reas, como psicologia,

pedagogia, servio social, e, ao mesmo tempo, a limitao mui-

to adversarial dos prprios bacharis em direito, sugerindo, de

forma bastante contundente, a comediao.

Neste ponto, amplifico a proposta para ressaltar que a

comediao j ajudaria a desconstruir o imaginrio de um ter-

ceiro a quem relegamos a responsabilidade de decidir nossos

conflitos, evitando uma sobreposio de um imaginrio simb-

lico muito presente que o do Juiz. No podemos esquecer

que ainda estamos no espao do tribunal, porque o CPC regu-

lamenta a mediao judicial (e no impede a extrajudicial), e

nesse espao o ritual, as representaes e vestes da autoridade

verticalizada so por demais fortes. Um conflito mediado por

dois facilitadores evitaria a triangulao j sacramentada da

arena do tribunal, convidando a uma nova dinmica de resolu-

o, alm de potencializar a possibilidade de xito da mediao.

As preocupaes em torno da incorporao da mediao

no processo civil tambm esto tematizadas no artigo que se-

gue, intitulado O papel da mediao no sculo de vocao da jurisdio e no (re)dimensionamento da democratizao do

processo civil, de Humberto Dalla Bernardina de Pinho e Mi-chele Pedrosa Paumgartten, que desde logo expem suas pre-

ocupaes fulcrais: o esvaziamento das potencialidades eman-

cipadoras da mediao pela instrumentalizao do agir estra-

tgico que a faz meio de reduzir demandas e otimizar a equa-

o tempo, justia e custos. Os autores chamam a ateno pa-

ra o fato de que as reformas legislativas em matria processual

no tm sido, ao longo das ltimas dcadas, eficientes a ponto

de reverter a percepo de ineficincia, falta de transparncia,

corrupo e inacessibilidade de que padece o Judicirio.

fora da ordem. Cf. REBOUAS, Gabriela Maia. Tramas entre subjetividades e

direito: a constituio do sujeito em Michel Foucault e os sistemas de resolu-

o de conflitos. Rio de Janeiro: Lumen Juris, 2012. p. 156-157.


Tomando como ponto de destaque os rumos dos Juizados

Especiais, implantados no Brasil, no final do sculo XX, com o

intuito de criar uma justia clere, aproximada da realidade e

consensual, os autores apontam para o fato de que tais inicia-

tivas foram engolidas pelo sistema de litigncia indiscriminada

e conciliaes esvaziadas, chamando a ateno para a repeti-

o que est acontecendo com a mediao, que corre o risco

de seguir os mesmos passos. Diagnosticar que o Judicirio est

afogado de demandas leva o campo jurdico a buscar as tais

alternativas, e, tendo em vista a percepo que um judicirio afogado um judicirio lento e oneroso, busca fazer da medi-ao um sistema clere e barato, ou at mesmo, ao contrrio

do discurso de autonomia das partes, mais um obstculo de

acesso ao servio de justia/Estado/processo.

O alerta vem na hora adequada, quando tramitam proje-

tos de lei sobre mediao e a comunidade jurdica pode corrigir

os rumos e compreender a vocao da mediao em toda a sua

completude.

Na esteira das anlises de direito estrangeiro em compa-

rao com o modelo brasileiro, ainda h o captulo final Notas sobre a incluso da mediao civil em modelos de justia cls-

sicos e a experincia europeia, onde Juliana Loss de Andrade faz um balano dos repertrios normativos da Unio Europeia e

o impacto nas legislaes dos pases-membros, particularmen-

te aqueles de normatizao tardia, como Frana, Itlia e Espa-

nha. A autora chama especial ateno para a demora do Brasil

em regulamentar a mediao, comparando a delonga brasileira

especialmente com a experincia italiana e apontando, inclusi-

ve, algumas semelhanas nas escolhas dos modelos de media-

o. Enfatiza que a Itlia, em suas palavras, uma das poucas

experincias em mediao obrigatria, a exemplo do que se v

incorporado em alguns projetos de lei brasileiros (por exemplo,

PL 4.827/98). Com muita propriedade, o artigo constitui um

fechamento para a obra, dando conta de uma costura que nos

permite voltar a cada um dos captulos que antecederam e re-

fletir sobre os escritos.

Com esta obra, fica evidente que a discusso e o estado

da arte sobre mediao transcendem fronteiras territoriais e


tm se constitudo em elemento de aproximao/compara-

o/diferenciao entre vrias culturas jurdicas. As implica-

es entre mediao e democracia perpassam pelas preocupa-

es de todos os autores, especialmente para garantir que a

mediao seja esse exerccio de que falamos, exerccio de

transformao, aprendizado, dilogo e encontro consigo e com

os outros.

Mas, em todas as experincias narradas, os paradoxos

parecem se multiplicar. Como pensar a mediao, que antes

de tudo encontro, acordo, comunicao, como uma imposio

instrumental de desafogar o sistema pblico? Vontade hori-

zontal imposta pela verticalizao do poder pblico? Nessa

empreitada, porque desnaturada de sua vocao primeira, a

mediao vai ter que atender s caractersticas do sistema ju-

dicial, sendo um procedimento regulado, burocratizado, com os

atributos de segurana e racionalidade que o prprio sistema

judicial construiu ao longo de tantos sculos, mas, a um s

tempo, menos onerosa, rpida e eficiente, feita do lado de fora dos tribunais. Estaramos apenas simplificando o Chronos do

processo para abreviar seu fim? Os escritos desta obra do aos

seus leitores farto material para pensar a mediao com o

tempo Kairs.

Persiste tambm a questo se o Estado moderno, que

constituiu a jurisdio e o processo como um de seus pilares

de sustentao Estado de Direito , abre mo de sua centra-lidade para permitir uma multiplicao de atores. Ou insiste a

suspeita de uma justia de segunda classe no bojo de uma

economia deliberadamente neoliberal, que estende os valores

da monetarizao, eficincia e agir estratgico a todas as are-

nas de realizao social?

Jurisdio (in)eficaz, como nos chamam a pensar os orga-

nizadores desta obra ou esgotamentos de um direito judicial-

mente organizado, como pensamos em outro momento4? So

questes que precisaro, para alm do tempo de observar e do

tempo de absorver, a coragem para enfrentar e reordenar, se

4

Cf. REBOUAS, Gabriela Maia. Tramas entre subjetividades e direito: a cons-

tituio do sujeito em Michel Foucault e os sistemas de resoluo de confli-

tos. Rio de Janeiro: Lumen Juris, 2012.


preciso for, os rumos dessa experincia de resoluo de confli-

tos no Brasil e no mundo: a mediao.

Seja como for, cabe ao leitor explorar a obra que agora se

apresenta, para conferir os alinhavos aqui costurados. Chego

ao termo deste ensaio desconfiada de que prefaciar uma obra

, tambm, mediar. Como mediadora, o encontro j est l, nas

partes, nos autores, que lanaram suas palavras e se dispuse-

ram em comunho. No inovo, no redigo, apenas realo o que

est dito. Os grandes protagonistas so os autores, suas vozes,

seus escritos. Mas chego contente de comungar com eles o

desejo, investimento e esforo em fazer da mediao o artifcio,

junto com a tica, a poesia e os afetos, do dilogo com o outro.

A tecnologia de fazer do mundo o habitar, o encontro consigo

mesmo. Chego para somar, engrossar o coro dos que apostam

na mediao como um caminho possvel para a paz, para o

conviver.

Aracaju, 05 de junho de 2013.

Gabriela Maia Rebouas5

5

Doutora em Filosofia e Teoria do Direito pela Universidade Federal de Per-

nambuco (2010). Mestra em Direito (Direito e Desenvolvimento) pela Univer-

sidade Federal do Cear (2001). Graduada em Direito pela Universidade Fe-

deral de Sergipe (1998). Pesquisadora do Instituto de Tecnologia e Pesquisa

(ITP) no Ncleo de Tecnologias Sociais. Lder do grupo Acesso justia, direi-

tos humanos e resoluo de conflitos, ativo no diretrio de grupos do CNPq.

Professora e pesquisadora do Mestrado em Direitos Humanos da UNIT/SE e

do Ncleo de Ps-graduao em Cincias Sociais da FITS/AL. Autora da obra

Tramas entre subjetividades e direito: a constituio do sujeito em Michel

Foucault e os sistemas de resoluo de conflitos, publicado pela Lumen Juris

em 2012.

Sumrio

Mediation in Civil Matters in England ........................................................ 19

Neil Andrews

El Acceso a la Justicia a Travs de la Mediacin: Algunas Novedades

Legislativas en Espaa ................................................................................. 45

Nuria Belloso Martn

A Mediao e a Conciliao Propostas pelo Projeto 8.046/2010 (Novo

Cdigo de Processo Civil Brasileiro - CPC) como Mecanismos Eficazes

de Tratamento de Conflitos .......................................................................... 85

Fabiana Marion Spengler

Theobaldo Spengler Netto

Justicia Restaurativa en Europa: Sus Orgenes, Evolucin y la

Directiva de la Unin Europea 2012/29 Sobre los Derechos, Apoyo y

Proteccin de las Vctimas de Delitos ....................................................... 115

Helena Soleto Muoz

O Papel da Mediao no Sculo de Vocao da Jurisdio e no

(Re)dimensionamento da Democratizao do Processo Civil ................. 153

Humberto Dalla Bernardina de Pinho

Michele Pedrosa Paumgartten

Notas sobre a Incluso da Mediao Civil em Modelos de Justia

Clssicos e a Experincia Europeia ........................................................... 195

Juliana Loss de Andrade

Mediation in Civil Matters in England

Neil Andrews University of Cambridge

Summary I Introduction. II Organic reasons for the growth of mediation. III Me-diation by private stipulation. IV The private zone of mediation discus-sions: privileged negotiations. V Institutional promotion of mediation (1): governmental encouragement. VI Institutional promotion of mediation (2): encouragement within the court process. VII Mediation scepticism. VIII Concluding remarks.

I Introduction1

Mediation is potentially a more civilised and more flexible

means of resolving a civil dispute than the winner takes all systems of arbitration and court adjudication. Furthermore,

court proceedings are public, expensive, and adversarial; and

arbitration, although, confidential, is often no less expensive

and adversarial than court litigation.

Opportunities to mediate can arise at various stages:

mediation can operate as a complete substitute for civil

litigation, or it can take place after court proceedings have

begun, and even after judgment has been given but an appeal

is pending.

1

For more detailed discussion by the author, see Andrews on Civil Processes:

Mediation and Arbitration (vol II) (Intersentia, Cambridge, 2013); Neil An-

drews, The Three Paths of Justice: Court Proceedings, Arbitration, and Medi-

ation in England (296 pp) (Springer: Dordrecht, Heidelberg, London, New

York, 2011); Neil Andrews, The Modern Civil Process (Tbingen, Germany,

2008); Neil Andrews, Contracts and English Dispute Resolution (Tokyo, 2010);

and his General Report on Arbitration for the World Congress of the Interna-

tional Associaton of Procedureal Law, Heidelberg 2011, forthcoming (in Eng-

lish) in Revista de Processo (Brazil).

Neil Andrews 20

Mediation has become popular in England. The reasons

for this are both organic and institutional. As for the organic element, news has spread concerning the advantages of this

technique: confidentiality; free choice of the mediator; the

opportunity for flexible agreed solutions; the chance to gain a

relatively speedy and inexpensive conclusion to a dispute. For

all these reasons, the mediation process is now better

understood, especially within the commercial sector. By

contrast, court litigation and arbitration remain expensive and

often hostile processes.

As for the institutional spur to adopt mediation, Government has begun to encourage mediation. The main

reason for this it that officials recognise that this process can

resolve disputes less expensively than civil litigation. The

court system also directly encourages litigants to pursue

mediation in appropriate cases. In England this encourage-

ment involves selective judicial recommendation of mediation.

The English courts also subject disputants to the general

threat of adverse costs awards if parties unreasonably spurn

sensible mediation overtures made by the opponent or by the

court.

II Organic Reasons for the Growth of Mediation

In England resort to mediation has increased, including

within the heartland of commercial disputes (MACKIE; MILES;

MARSH; ALLEN, 2007).

The Ministry of Justice for England and

Wales (2010) reported on this2: the market for mediation in the

UK continues to grow. A recent mediation audit carried out by

the Centre for Effective Dispute Resolution (CEDR) showed that

there had been nearly 6,000 civil and commercial mediations

carried out in 20093

. Based on the outcome of the 2007

Mediation Audit, the 2009 figure showed there was a doubling

of mediation activity since 2007. 2

Ministry of Justice, Implementation Paper (London, 2010) (a consulta-tion paper), at [10].

3

http://www.cedr.com/index.php?location=/news/archive/20100513_347.htm

Mediation in Civil Matters in England 21

Although mediation enjoys support from officials,

including the courts, the better view is that it has not been

imposed on the civil and commercial population in a top down fashion. Instead it has arisen because educated parties recognise the benefits of endeavouring to reach accord rather

than submitting to outside judgment by judges or arbitrators.

Potential litigants have become aware that mediation can

secure various economic gains, social benefits, and even

psychological advantages, when compared to the other two

main paths of justice, namely court proceedings and arbitra-tion

4

. The following points will be uppermost in the minds of

disputants when they peer down the barrel of court

proceedings: (1) the perception (and nearly always the reality)

that court litigation is unpredictable; (2) the judicial process

(including extensive preparation for the final hearing) involves

a heavy-handed fight for justice, which is a source of expense,

delay, and anxiety; (3) court litigation offers little scope for

direct participation by the parties, as distinct from legal

representatives; (4) final judgment normally awards victory to

only one winner; (5) trial is open-air justice, visible to mankind

in general; (6) litigation is private war even if judges pretend that it is governed by elaborate rules and conciliatory

conventions designed to take the sting out of the contest.

Costs and expense are in the forefront of most peoples minds whenever litigation becomes even a remote prospect.

Certainly in England, the rise of mediation, notably in high-

value disputes, is largely attributable to the sheer expense of

traditional court litigation. Bill Gates himself, and other

modern-day descendants of Croesus, would hesitate to run the

risk of engaging in protracted and complicated claims heard

by the High Court.

The Woolf reforms of 1999, which introduced the new English procedural code, the CPR, were expected to reduce the

4

For development of these points, N Andrews, The Three Paths of Justice:

Court Proceedings, Arbitration, and Mediation in England (Springer Publish-

ing: Dordrecht, Heidelberg, London, New York, 2011).

Neil Andrews 22

high cost of civil litigation5

. But the situation has not improved.

And it has been officially recognised that the new procedural

code has not reduced the expense of litigation. As Buxton LJ in

the Court of Appeal in Willis v. Nicolson admitted in 20076

:

The very high cost of civil litigation in England and Wales is

a matter of concern not merely to the parties in a particular

case, but for the litigation system as a whole. While

disputants should be given every encouragement to settle

their differences without going to court, that encouragement

should not include the making of litigation prohibitively

costly so that litigants are deterred irrespective of the merits

of their case. One element in the present high cost of

litigation is undoubtedly the expectations as to annual

income of the professionals who conduct it. The costs system

as it at present operates cannot do anything about that,

because it assesses the proper charge for work on the basis of

the market rates charged by the professions, rather than

attempting the no doubt difficult task of placing an objective

value on the work.

The topic of costs is receiving consideration, following

Lord Justice Jacksons Civil Litigation Costs Review, delivered in December 2009

7

.

He endorsed the spread of

mediation8:

5

AAS Zuckerman and R. Cranston (eds), The Reform of Civil Procedure: Essays

on Access to Justice (Oxford 1995); R. Cranston, How Law Works: The Ma-chinery and Impact of Civil Justice (Oxford 2006), ch 5; Neil Andrews, English

Civil Procedure (Oxford 2003), ch 2; Neil Andrews, A New Civil Procedural Code for England: Party-Control Going, Going, Gone (2000) 19 CJQ 19-38; S Flanders, Case Management: Failure in America? Success in England and Wales? (1998) 17 CJQ 308; JA Jolowicz, The Woolf Report and the Adversary System (1996) 15 CJQ 198; M Zander, The Governments Plans on Civil Jus-tice (1998) 61 MLR 383 and The Woolf Report: Forwards or Backwards for the New Lord Chancellor? (1997) 16 CJQ 208; AAS Zuckerman, The Woolf Report on Access to Justice (1997) 2 ZZP Int 31 ff.

6

Willis v. Nicolson [2007] EWCA Civ 199, at [24].

7

Sir Rupert Jackson, Review of Civil Litigation Costs (December, 2009: London,

2010); on which AAS Zuckerman, The Jackson Final Report on CostsPlastering the Cracks to Shore up a Dysfunctional System (2010) 29 CJQ 263.

8

Jackson report, ibid, ch 36, at para 3.4.


[] I do not believe that parties should ever be compelled to mediate. What the court can and should do (in appropriate

cases) is (a) to encourage mediation and point out its

considerable benefits; (b) to direct the parties to meet and/or

to discuss mediation; (c) to require an explanation from the

party which declines to mediate, such explanation not to be

revealed to the court until the conclusion of the case; and (d)

to penalise in costs parties which have unreasonably refused

to mediate []

III Mediation by Private Stipulation9

Many companies now prefer to use international

arbitration in combination with other ADR mechanisms. Such a

combination of techniques will be specified in a multi-tiered dispute resolution clause

10

.

The leading English decision concerning mediation

clauses11

is Cable & Wireless v. IBM United Kingdom Ltd

(2002)12

. In this case the relevant clause was a so-called

tiered provision. It initially required the parties to endeavour to negotiate a resolution by considering the relevant dispute

within their own organisations. The clause stated that

9

D Joseph, Jurisdiction and Arbitration Agreements and their Enforcement

(2nd

edn, London, 2010); K Mackie, D Miles, W Marsh, T Allen, The ADR Prac-

tice Guide (3rd edn, Tottel, London, 2007), ch 9; Centre for Effective Dispute

Resolution at: www.cedr.co.uk/library/documents/contract_clauses.pdf; D

Spencer and M Brogan, Mediation: Law and Practice (Cambridge University

Press, 2006), ch 12 for Australian material.

10

The School of International Arbitration, Queen Mary, University of London,

report (2005), available on-line at:

http://www.pwc.com/Extweb/pwcpublications.nsf/docid/0B3FD76A8551573

E85257168005122C8.

I am grateful to Stephen York for this reference.

11

D Joseph, Jurisdiction and Arbitration Agreements and their Enforcement

(2nd

edn, London, 2010); K Mackie, D Miles, W Marsh, T Allen, The ADR Prac-

tice Guide (3rd edn, Tottel, London, 2007), ch 9; Centre for Effective Dispute

Resolution at: www.cedr.co.uk/library/documents/contract_clauses.pdf; D

Spencer and M Brogan, Mediation: Law and Practice (Cambridge University

Press, 2006), ch 12 for Australian material.

12

[2002] 2 All ER (Comm) 1041, Colman J.

Neil Andrews 24

mediation would be obligatory if these negotiations collapsed

(MACKIE; MILES; MARSH; ALLEN, 2007). Thereafter, the

parties to this clause contemplated that, if the dispute were

still unresolved, proceedings before a court could take place.

After negotiation had failed, one party decided to by-pass the

stipulated stage of mediation, and prematurely brought a

claim before the English High Court. The other party

challenged this.

Colman J found that there had been a breach of the

dispute resolution agreement, because a party had jumped the mediation stage and proceeded straight to litigation. To

remedy this, the judge placed a stay upon those formal court proceedings. The stay would be lifted if a party returned to

court and demonstrated that the mediation attempt had been

unsuccessful. But, although the stay was appropriate in this

case, the judge said that this would not always be so: For example, there may be cases where a reference to ADR would

be obviously futile and where the likelihood of a productive

mediation taking place would be so slight as not to justify

enforcing the agreement. Even in such circumstances ADR

would have to be a completely hopeless exercise.

The issue concerning the contractual validity of mediation

agreements has also been litigated in England. Ramsey J in

Holloway v. Chancery Mead (2007) identified three elements:

(a) absence of further negotiation on the appropriateness of

mediation; (b) agreement on how the mediator is to be

selected; and (c) (i) the main mediation process should be

spelt out or (c) (ii) an institutional set of mediation rules should

be nominated13

. These points emerge from this passage in

Ramsey Js judgment:

[...] considering the above authorities, the principles to be

derived are that the ADR clause must meet at least the

13

[2007] EWHC 2495 (TCC), [2008] 1 All ER (Comm) 653, at [83]; for similar

analysis in Australia, Aiton Australia Pty Ltd v. Transfield Pty Ltd (1999) 153

FLR 236, at [69]; and Elizabeth Bay Developments Pty v. Boral Building Ser-

vices Pty Ltd (1995) 36 NSWLR 709, 715, Giles J: on which Lewison on the In-

terpretation of Contracts (5th

edn, London, 2011) 826-9.


following three requirements: first, that the process must be

sufficiently certain in that there should not be the need for an

agreement at any stage before matters can proceed.

Secondly, the administrative processes for selecting a party

to resolve the dispute and to pay that person should also be

defined. Thirdly, the process or at least a model of the

process should be set out so that the detail of the process is

sufficiently certain.

Similarly, the Court of Appeal in Sulamerica Cia Nacional

de Seguros SA v. Enesa Engenharia SA (2012) made clear that

contractual reference to mediation as a desirable mechanism is

not the same as a clear and binding contractual commitment

to engage in mediation14

. If the agreement is void for

uncertainty, that is the end of the matter. Uncertainty is fatal:

it is not enough that the parties intended to create such a

binding commitment15

. In fact the mediation clause (Clause 11)

in the Sulamerica case was fatally uncertain. It stated:

[] the parties undertake that, prior to a reference to arbitration, they will seek to have the Dispute resolved

amicably by mediation;

If the Dispute has not been resolved to the satisfaction of

either party within 90 days of service of the notice initiating

mediation, or if either party fails or refuses to participate in

the mediation, of if either party serves written notice

terminating the mediation under this clause, then either

party may refer to the Dispute to arbitration.

This clause was only a gentlemens agreement in the sense that it merely (morally) obliged a party to invite the

other to consider the possibility of an ad hoc mediation. As

Moore-Bick LJ said16

: The most that might be said is that it 14

[2012] EWCA Civ 638; [2012] 1 Lloyds Rep 671.

15

Ibid, at [35], per Moore-Bick LJ: I have little doubt that the parties intended [the mediation clause] to be enforceable and thought they had achieved that

objective...However, in order for any agreement to be effective in law it must

define the parties rights and obligations with sufficient certainty to enable it to be enforced.

16

Ibid, at [36].

Neil Andrews 26

imposes on any party who is contemplating referring a dispute

to arbitration an obligation to invite the other to join in an ad

hoc mediation, but the content of even such a limited obligation

is so uncertain as to render it impossible of enforcement in the

absence of some defined mediation process.

The Court of Appeal said in Sulamerica Cia Nacional de

Seguros SA v. Enesa Engenharia SA (2012)17

: the administra-tive processes for selecting a party to resolve the dispute and to

pay that person should also be defined. However, the position is arguably too restrictive. Earlier (admittedly inconclusive)

judicial discussion had favoured a less rigid approach. Colman

J in Cable & Wireless v. IBM United Kingdom Ltd (2002)

suggested that the absence of a reference to a nominated

mediation provider would not be fatal18

: In principle, however, where there is an unqualified reference to ADR, a sufficiently

certain and definable minimum duty of participation should not

be hard to find. This was also the tentative opinion (expressed in a dictum) of Coulson J in Balfour Beatty Construction

Northern Ltd v. Modus Corovest (Blackpool) Ltd (2008)19

.

Furthermore, Moore-Bick LJ in the Sulamerica case (2012)

referred to the (implicit) need for the clause to nominate an

established mediation provider (whose institutional rules

would supply all necessary details) or for the mediation clause

to contain detailed of a mediation process, or to incorporate by

reference such a process20

. But the mediation clause in that

case, clause 11, did not satisfy this requirement21

: [clause 11] 11 does not set out any defined mediation process, nor does it

refer to the procedure of a specific mediation provider. The first

paragraph contains merely an undertaking to seek to have the

dispute resolved amicably by mediation. No provision is made

for the process by which that is to be undertaken [...] This appears to endorse element (c) in Ramsey Js analysis in Holloway v. Chancery Mead (2007) (cited above).

17

[2012] EWCA Civ 638; [2012] 1 Lloyds Rep 671.

18

[2002] EWHC 2059 (Comm); [2002] 2 All ER (Comm) 1041, at [32].

19

[2008] EWHC 3029 (TCC), at [15].

20

Ibid, at [36].

21

Ibid.


However, in some contexts, statute invalidates contracts

which purport to exclude formal recourse to state-administered

courts or tribunals. For example, in Clyde & Co v. Bates van

Winkelhof (2011)22

Slade J considered a clause within a

partnership deed requiring a partner in a law firm to refer any

disputes or differences arising from her work for the firm to

mediation and then to arbitration. The partner had brought

complaints to an Employment Tribunal alleging various

statutory breaches by her law firm of equality law, and seeking

compensation. Slade J concluded that the High Court could not

grant an injunction compelling her to desist from pursuing

these Employment Tribunal proceedings. Statute23

clearly

precluded contracting out from this tribunal system of rights.

IV

The Private Zone of Mediation Discussions: Privileged Negotiations24

It has long25

been recognised that non-mediated

settlement negotiations can be privileged. This is known as

22

[2011] EWHC 668 (QB), Slade J.

23

Equality Act 2010, s 120 and the Equality Rights Act 1996, s 203.

24

Literature concerning privilege in the context of mediation or conciliation:

Neil Andrews, English Civil Procedure (2003), 25.45 to 25.48; Neil Andrews,

The Modern Civil Process (Tbingen, Germany, 2008), 11.49 to 11.61; Neil

Andrews, Contracts and English Dispute Resolution (Tokyo, 2010), 22.20 ff; H

Brown and A Marriott, ADR Principles and Practice (3rd

edn, London, 2011)

(forthcoming); Cross and Tapper on Evidence (12th

edn, Oxford University

Press, 2010), 475; K Mackie, D Miles, W Marsh, T Allen, The ADR Practice

Guide (3rd edn, Tottel, London, 2007), 7.2 ff; B Thanki (ed), The Law of Privi-

lege (Oxford University Press, 2006), 7.24, 7.38 to 7.39; for USA and Australian

sources, P Newman, in M Liebmann (ed), Mediation In Context (2000, Lon-

don and Philadelphia), 188; D Spencer and M Brogan, Mediation: Law and

Practice (Cambridge University Press, 2006), ch 9, noting esp at 329, Australian

legislation on this topic; for general comment, Scottish Law Commissions Re-port, Evidence: Protection of Family Mediation [1992] SLC 136 (Report) (June 1992) (containing notes on the draft Bill); the Civil Evidence (Family Media-

tion) (Scotland) Act 1995; symposium in (1988) 12(1) Seton Hall Legis J.

25

On the development of this privilege, D Vaver, Without Prejudice commu-

nications-their admissibility and effect (1974) Univ Brit Col L Rev 85 (cited by Robert Walker LJ in Unilever plc v. The Proctor & Gamble Co [2000] 1 WLR

2436, 2445, CA).

Neil Andrews 28

without prejudice privilege26. The sibling doctrine of privilege concerns mediation secrecy. Here is a summary of this subtle and developing topic.

In this context of mediation, the parties normally adopt

such protection by express agreement, but sometimes

privilege rests merely upon implicit consensus27

.

In Cumbria Waste Management Ltd v. Baines Wilson (2008)

it was held that mediated settlement discussions between

parties X and Y remain privileged if X or Y is unwilling to

waive privilege28

.

It follows that in subsequent litigation

between X and D, the third party D cannot obtain disclosure of

the mediation discussions between X and Y unless both X and

Y waive their privilege.

Conversely, the parties might waive privilege in their

mediation communications. If so, when the court is required to

assess costs in litigation subsequent to an unsuccessful

mediation, Jack J in Carleton v. Strutt & Parker (2008) has

declared that the courts will consider the unreasonableness of positions taken during the mediation

29

.

However, the mediator possesses no independent

immunity against being required to supply information to a

26

Neil Andrews, English Civil Procedure (2003), ch 25; H Brown and A Marriott,

ADR Principles and Practice (3rd

edn, London, 2011) (forthcoming); Cross and

Tapper on Evidence (12th

edn, Oxford University Press, 2010) 470 ff; D Foskett

The Law and Practice of Compromise (7th

edn, 2010), ch 22; C Hollander,

Documentary Evidence (10th

edn, 2009), ch 16; M Iller, Civil Evidence: The

Essential Guide (Sweet & Maxwell, 2006), 8-88 to 8-104; P Matthews and H

Malek, Disclosure (3rd edn, London, 2010), ch 11; Phipson on Evidence (17th

edn, 2010), 24-18 ff; C Passmore, Privilege (2nd

edn, 2006), ch 10; B Thanki

(ed), The Law of Privilege (Oxford University Press, 2006), ch 7; Zuckerman on

Civil Procedure (2nd

edn, 2006), ch 16; AFC Koo, Confidentiality of Mediation Communications (2011) CJQ 192; J McEwan, Without Prejudice: Negotiat-ing the Minefield (1994) 13 CJQ 133.

27

Reed Executive plc v. Reed Business Information Ltd [2004] EWCA Civ 887;

[2004] 1 WLR 3026; Aird v. Prime Meridian Ltd [2006] EWCA Civ 1866; Brad-

ford & Bingley plc v. Rashid [2006] UKHL 37; [2006] 1 WLR 2066; Barnetson v.

Framlington Group Ltd [2007] EWCA Civ 502; [2007] 1 WLR 2443, at [34].

28

[2008] EWHC 786 (QB) (HH Judge Frances Kirkham sitting as a High Court

Judge).

29

[2008] EWHC 424 at [72]; noted on this point by J Sorabji (2008) 27 CJQ 288,

291-2.


court concerning the circumstances of a mediation. Instead the

true analysis is that evidential privilege in this context is

controlled by the parties to the mediation. Thus in Farm Assist

Limited (in liquidation) v. The Secretary of State for the

Environment, Food and Rural Affairs (No 2) (2009)30

Ramsey J

upheld a witness summons requiring a mediator to give

evidence on the question whether a settlement achieved

during the relevant mediation had been procured by duress by

a party to that settlement. He distinguished31

: (1) an express

confidentiality clause, including a right of confidentiality in

favour of a mediator (not the same as a head of privilege); (2)

implied rights of confidentiality (not the same as a head of

privilege); (3) without prejudice communication privilege (a privilege held by the parties, but not by the mediator); and (4)

an express clause precluding the parties from calling the

mediator as a witness (this was held not to create a separate

head of privilege or immunity). None of these was effective to

shield the mediator.

Brown v. Rice (2007) confirms that a party to a mediated

settlement, no less than an unmediated settlement, can

adduce the contents of settlement negotiations both to prove

whether a settlement was reached and to ascertain its terms32

.

The court will apply contractual principles to determine

whether a binding settlement agreement has arisen during

mediation.

Mediation agreements, as in Brown v. Rice, often

prescribe that a binding settlement must be reduced to

writing and signed by the parties, or by their authorised

representatives. Such a formality clause also governs

acceptance of an offer made during the conclusion of the

mediation meeting(s) but expressed to be open for acceptance

within a specified period after the meeting has ended (unless

the need for writing and signature has been varied, waived or

consensually overridden by another provision).

30

[2009] EWHC 1102 (TCC); [2009] BLR 399; 125 Con LR 154.

31

Ibid, at [45] ff.

32

[2007] EWHC 625 (Ch) Stuart Isaacs QC.

Neil Andrews 30

The UK Supreme Court in Oceanbulk Shipping and

Trading SA v. TMT Asia Ltd (2010)33

held that without prejudice negotiations, which resulted in a settlement agreement, can be admitted for the purpose of ascertaining the

factual matrix of the relevant agreement. In light of that

background material, the court could then interpret the terms

of the settlement. To decide otherwise would be to create an

unprincipled distinction between interpretation of all other

commercial contracts and interpretation of settlement

agreements.

V

Institutional Promotion of Mediation (1): Governmental Encouragement

Institutional support for mediation is now a common-

place within England. Thus Senior Master Robert Turner (now

retired) suggested that twenty-first century English court

litigation has become the alternative dispute resolution system.

34

Government recognises that mediation permits

disputes to be resolved less expensively than civil litigation.

Indeed, as we shall see, there have been various pilot schemes to test whether the English court system should directly encourage litigants to pursue mediation in appropriate

cases Sue Prince has made a study of these schemes (PRINCE,

2010, ch 17).

The Ministry of Justice (2010) has summarised the

position concerning mediations which arise after civil

proceedings have commenced35

:

33

[2010] UKSC 44; [2010] 3 WLR 1424 (reversing [2010] EWCA Civ 79; [2010] 1

WLR 1803 (Longmore and Stanley Burnton LJJ; Ward LJ dissenting). For an-

other recent discussion R v. K (A) [2009] EWCA Crim 1640; [2010] QB 343, at

[44] to [73].

34

Senior Master Robert Turner, Queens Bench Division, (who retired from that post in 2007, after 20 years), cited K Mackie, D Miles, W Marsh, T Allen, The

ADR Practice Guide (3rd edn, Tottel, London, 2007), 5.

35

Ministry of Justice, Implementation Paper (London, 2010) (a consultation

paper), at [5] to [9].


National Mediation Helpline: [] towards the end of 2004, Her Majestys Courts Service (HMCS) set up the National Mediation Helpline (NMH)

36

to provide an accessible media-

tion service for higher value civil disputes. Since 2004, the

Helpline has been expanded [] to enable the courts and judiciary to take a more pro-active approach in referring court

users to this service. The NMH is served by a mix of local,

regional as well as national mediation providers who had

been accredited by the Civil Mediation Council (CMC)37

. [] Between January 2007 and December 2009 the NMH

arranged 1892 mediations, of which 1244 settled a settlement rate of 66%.

Small Claims Mediation service: The vast majority of

hearings (73%) in the county courts involve small claims38.

The Small Claims Mediation Service is a free service set up to

help court users who already have an ongoing small claims

case in the county court. Parties are generally unrepresented.

In the 12 months to the end of April 2010, the service

conducted more than 10,000 mediations, settling 72%, and

the vast majority of mediations (>90%) are conducted by

telephone, saving parties the time and expense of having to

travel to a court building.

The Government announced in March 2011 (press release

of 29 March 2011 by the Ministry of Justice, London)39

that it

would like to expand resort to mediation. Its statement pro-

poses this change:

Increasing the use of mediation: We are proposing

introducing automatic referral to mediation in small claims

cases, automatic referral to mediation awareness sessions in

higher-value cases and consulting on making mediated

settlements enforceable by courts. This is to help people

avoid the anxiety and expense of court where possible,

although court will still be an option for those whom

mediation cannot help...Last year, more than three quarters

of claims in the civil system were settled after allocation, but

36

www.nationalmediationhelpline.com

37

www.civilmediation.org

38

When the financial value of the claim does not exceed 5,000.

39

http://www.justice.gov.uk/news/press-release-290311a.htm

Neil Andrews 32

before trial. This represents 87,000 cases which could

potentially have been resolved earlier if mediation had been

used more widely. (A consultation paper of 2011 supplies

details) 40

VI Institutional Promotion of Mediation (2):

Encouragement Within the Court Process41 Leading judges continue to make speeches extolling

mediation, including Lord Phillips, President of the Supreme

Court (PHILLIPS, 2008) and Lord Clarke, a former Master of the

Rolls (CLARKE, 2008).

The pre-action protocols state42

: litigation should be a last resort, and claims should not be issued prematurely when

a settlement is still likely43. Furthermore, the Law Society for England and Wales in 2005 issued a practice advice recommending that solicitors should routinely consider

whether their clients disputes are suitable for ADR44.

The procedural code in fact proclaims that proceedings

before the civil courts should be regarded as a matter of last

resort to be pursued only when more civilised and

proportionate techniques have failed or could never be made

40

Solving disputes in the county courts: creating a simpler, quicker and more

proportionate system (CP 6/2011: Ministry of Justice: Cm 8045) (29 March 2011).

41

For a typology of court-assisted modes of ADR, WD Brazil and J Smith,

Choice of Structures (1999) 6 Dispute Resolution Magazine 8, cited in O Fiss and J Resnik, Adjudication and Its Alternatives (Foundation Press, New

York, 2003), 468: court employs full-time in-house neutrals; or contracts with

non-profit making organisations for such a programme; or directly pays firms to

serve as neutrals; or orchestrates voluntary mediations; or refers parties to neu-

trals (whether selected by the court or by the parties) who charge; this last is the

general English model, and furthermore, the parties select the neutral.

42

Neil Andrews, English Civil Procedure (Oxford University Press, 2003), 3.13 to

3.18, 23.07, 26.63 to 26.66; for an empirical study, T Goriely, R Moorhead and

P Abrams, More Civil Justice? The Impact of the Woolf Reforms on Pre-Action

Behaviour (Law Society and Civil Justice Council, 2001).

43

Practice Direction-Protocols, para 4.7.

44

L Soc Gaz (2005) (16 June) 38-9.


to work. The CPR states that: the courts increasingly take the view that litigation should be a last resort, and that claims

should not be issued prematurely when a settlement is still

likely. Therefore, the parties should consider whether some

form of alternative dispute settlement would be more suitable

than litigation, and if so, endeavour to agree which form to

adopt45. There is also a general tick box invitation in the Allocation Questionnaire (a procedural step occurring towards

the beginning of court proceedings), enabling each party to

indicate whether mediation might be an option.

Furthermore, the court system encourages pursuit of

mediation. The English courts overall responsibility to administer civil justice includes helping the parties to settle the whole or part of the case46 and encouraging the parties to use an alternative dispute resolution procedure if the court

considers that appropriate47. In addition to the tick box mechanism contained in the Allocation Questionnaire (see

preceding paragraph), resort to mediation is a question of

direct communication between a judge (notably during the

pre-trial stages, but occasionally after judgment during the

process of giving permission to appeal).

Leverage to consider and to pursue mediation takes the

form of a stay upon current proceedings or the threat of an adverse costs order. Even in the absence of a mediation

agreement, an English court can direct that the proceedings

be stayed for a month at a time48

while the parties pursue ADR

or other settlement negotiations49

. A stay merely places the

proceedings in a state of suspense. Proceedings can be

resumed when this becomes appropriate. The stay can be

issued either at the parties request or on the initiative of the

45

Practice Direction-Protocols 4.7.

46

CPR 1.4(2)(f).

47

CPR 1.4(2)(e); Chancery Guide (2005), ch 17; The Admiralty and Commercial

Courts Guide (9th

edn, 2011), section G and appendix 7 (available on the CPR

webpage under Guides). 48

CPR 26.4(3).

49

CPR 3.1(2)(f); CPR 26.4(1)(2).

Neil Andrews 34

court. The matter is subject to the courts discretion. There is no automatic right to a stay.

However, this does not involve heavy-handed judicial

insistence on mediation. Instead the English position involves

selective judicial recommendation of mediation, normally after

one party has requested mediation50

.

In the Commercial Court (a part of the Queens Bench Division, in the High Court), the practice is that a judge will

not require the parties to mediate unless one party makes such

a request and the suggestion seems to the judge to be

reasonable. Parties to litigation in that court are regarded as

sophisticated. They enjoy legal advice concerning the range of dispute-resolution available to them. It would be unduly

heavy-handed, therefore, for a judge to insist on a stay if

neither party has an interest in mediation (2009 conversation

with a Commercial Court judge). However, wider language

appears in the Admiralty and Commercial Court Guide (2011),

which does not rule out judicial initiative51

: The Commercial Judges will in appropriate cases invite the parties to consider

whether their dispute, or particular issues in it, could be

resolved through ADR. Where mediation seems appropriate, the court has devised a formula (rather misleadingly called an

ADR Order) designed to achieve consensus on the nomination of a mediator, and to require reasons to be given to the court

for failure to proceed to mediation52

.

50

For sceptical discussion of any form of mandating or coercing resort to medi-

ation, Matthew Brunsdon-Tully There is an A in ADR but Does Anyone Know What it Means Anymore? (2009) CJQ 218-36.

51

The Admiralty and Commercial Courts Guide (9th

edn, 2011), at G1.3.

52

ibid, Appendix 7. It provides: On or before [*] the parties shall exchange lists

of 3 neutral individuals who are available to conduct ADR procedures in this

case prior to [*]. Each party may [in addition] [in the alternative] provide a list

identifying the constitution of one or more panels of neutral individuals who

are available to conduct ADR procedures in this case prior to [*]. On or before

[*] the parties shall in good faith endeavour to agree a neutral individual or

panel from the lists so exchanged and provided. Failing such agreement by

[*] the Case Management Conference will be restored to enable the Court to

facilitate agreement on a neutral individual or panel. The parties shall take

such serious steps as they may be advised to resolve their disputes by ADR

procedures before the neutral individual or panel so chosen by no later than


English courts are prepared, where appropriate, to

register censure of a partys unreasonable refusal to engage in mediation. That refusal might be failure to accede to the

opponents call for mediation, or the courts own suggestion that mediation be contemplated. Indeed in the Court of Appeal

in the McMillan case (2004) said that if both parties to an

appeal spurn the judicial recommendation that mediation be

considered, and instead they proceed straight to appeal

without attempting mediation, each party will bear its own

costs for that stage of the proceeding, with no opportunity for

costs-shifting in favour of the victorious party to the appeal53

.

In determining the unreasonableness of a partys refusal to pursue mediation, the Court of Appeal in Halsey v. Milton Keynes

[*]. If the case is not finally settled, the parties shall inform the Court by letter

prior to [disclosure of documents/exchange of witness statements/exchange

of experts reports] what steps towards ADR have been taken and (without prejudice to matters of privilege) why such steps have failed. If the parties

have failed to initiate ADR procedures the Case Management Conference is

to be restored for further consideration of the case. In Halsey v. Milton Keynes

General NHS Trust [2004] EWCA Civ 576; [2004] 1 WLR 3002, at [30], Dyson

LJ explained: An ADR order made in the Admiralty and Commercial Court in the form set out in Appendix 7 to the Guide is the strongest form of encour-

agement. It requires the parties to exchange lists of neutral individuals who

are available to conduct ADR procedures, to endeavour in good faith to agree a neutral individual or panel and to take such serious steps as they may be advised to resolve their disputes by ADR procedures before the neu-

tral individual or panel so chosen. The order also provides that if the case is not settled, the parties shall inform the court [] what steps towards ADR have been taken and (without prejudice to matters of privilege) why such

steps have failed. It is to be noted, however, that this form of order stops short of actually compelling the parties to undertake an ADR.

53

McMillan Williams v. Range [2004] EWCA Civ 294; [2004] 1 WLR 1858, per

Ward LJ: [29] Tuckey LJ gave this [direction] to the parties when he granted permission to appeal: The costs of further litigating this dispute will be dis-proportionate to the amount at stake. ADR is strongly recommended. [] The parties should have written to each other along the lines that, Lord Jus-tice Tuckey has very sensibly suggested ADR. My client thinks that is a

splendid idea. Please can we get on with it as soon and as cheaply as possi-

ble? [...] [30] [...] In my judgment this is a case where we should condemn the posturing and jockeying for position taken by each side of this dispute

and thus direct that each side pay its own costs of their frolic in the Court of

Appeal. I would allow the appeal with no order for costs.

Neil Andrews 36

General NHS Trust (2004) listed the following criteria54

: the nature of the dispute; the merits of the case; the extent to which

other settlement methods have been attempted; whether the

costs of the ADR would be disproportionately high; whether any

delay in setting up and attending the ADR would be prejudicial;

whether the ADR had a reasonable prospect of success.

It will be more common to apply a costs sanction against a

party who not only refused to consider mediation but who also

lost the substantive case (or appeal). This type of refusenik might be ordered

55

to pay the other sides costs on an indemnity basis rather than standard basis (indemnity costs, although not punitive, are a full measure of compensatory costs; whereas

standard basis costs are a substantial but incomplete measure

of such compensation; and the difference between the two

measures can be very large, given the high levels of costs

incurred by parties in England)56

.

As for costs sanctions against a party who has clearly

won the relevant court proceedings, the mediation offeror (who has lost the case) will bear the burden of showing on the

balance of probabilities that the mediation would have had a

reasonable prospect of success, assuming the mediation

offeree (who eventually won the case) would have participated

in the mediation in a co-operative manner57

. Satisfying this

burden of proof will be an uphill task.

And so the question of a costs sanction against a

victorious party is more likely to arise when the party to be

sanctioned has rejected a judicial recommendation for

mediation (as distinct from a suggestion made by the other

side). In this context, robust costs sanctions are likely to be

applied if the court (notably the Court of Appeal), when

54

[2004] EWCA Civ 576; [2004] 1 WLR 3002, at [16] ff; for a strong application of

this costs regime, in which the Halsey criteria were fully considered, P4 Ltd v.

Unite Integrated Solutions plc [2006] EWHC 2924 (TCC), Ramsey J.

55

Virani Ltd v. Manuel Revert y Cia SA [2003] EWCA Civ 1651; [2004] 2 Lloyds Rep 14.

56

On the difference between standard basis and indemnity costs, Neil An-

drews, The Modern Civil Process (Tbingen, Germany, 2008), 9.12.

57

Halsey v. Milton Keynes General NHS Trust [2004] EWCA Civ 576; [2004] 1

WLR 3002.


granting permission to appeal, has indicated that the parties

should consider mediation. If one party fails to respond

positively to such a judicial recommendation, the appeal court,

when considering the question of costs at the conclusion of the

appeal, might deny that party the costs of the appeal even if he

has been successful on the merits of the appeal. In both Dunnett

v. Railtrack plc (2002)58

and McMillan Williams v. Range (2004)59

a member of the Court of Appeal (Schiemann LJ in the Dunnett

case, and Tuckey LJ in the McMillan case) issued an unsolicited

recommendation that, instead of proceeding straight to appeal,

both parties should pursue mediation. Dyson LJ in the Halsey

case (2004) also noted the special status of a judicial

recommendation60

: Where a successful party refuses to agree to ADR despite the courts encouragement, that is a factor which the court will take into account when deciding whether his

refusal was unreasonable. The courts encouragement may take different forms. The stronger the encouragement, the easier it

will be for the unsuccessful party to discharge the burden of

showing that the successful partys refusal was unreasonable.

It is submitted that costs sanctions are unjustified if the

relevant party to the appeal convinces the court that he has

considered properly the opportunity to mediate but he has

then chosen to bring or respond to the appeal for objectively

satisfactory reasons. Once the court is satisfied that the party

did properly consider the mediation option, there should be no

scope for sanctions. The party who succeeds in the appeal (the

appellant if the appeal is successful, or the respondent if the

appeal fails) should receive the costs of that appeal from the

defeated opponent, in accordance with the costs-shifting

principle: to sanction him for failure to attend or participate in a mediation is both heavy-handed and unprincipled. Similarly,

the defeated opponent should be ordered to pay costs on the

standard basis, and not (by way of sanction) on the higher indemnity basis.

58

[2002] 1 WLR 2434, CA, at [13] ff.

59

[2004] EWCA Civ 294; [2004] 1 WLR 1858, at [29], [30].

60

Halsey v. Milton Keynes General NHS Trust [2004] EWCA Civ 576; [2004] 1

WLR 3002, at [29].

Neil Andrews 38

VII Mediation Scepticism

There are two arguments. The first is the sound and

incontestable argument that mediation has its limits. The

second is the bolder and controversial assertion that mediation

should be treated with distrust.

As for the first argument, it must be accepted that

mediation is possible only if both parties are willing to discuss

their dispute, to examine the merits of their position in good

faith, and ultimately to consider making concessions, whether

tactical or magnanimous. Traditional court litigation will

continue because it offers a strong form of dispute-resolution.

The courts coercive powers are indispensable in some contexts, especially in claims against fraudulent or unco-

operative persons. Moreover, court litigation also embodies

many values, notably the principle of publicly accessible

proceedings and reasoned decisions.

But then one must address the second argument.

Banging the kettle drums of rights, entitlement, and perfect procedural justice, some oppose the growth of mediation. The gist of their opposition is the suggestion that mediation is an

insidious phenomenon, that Government is promoting it for

reasons of parsimony (saving expenditure on the more expensive

system of court justice), and that it is apt to undermine

peoples true rights61.

Colleagues in, for example, Germany and Italy are

surprised by the Anglo-American tradition of very high levels

of pre-trial settlement and the relative paucity of adjudication

by courts on the merits. And within the Anglo-American

academic community, there have been strong criticisms of the

trend towards privatised methods of promoting settlement by

61

H Genn, Judging Civil Justice (Cambridge University Press, 2010), chs 1 to 3; H Genn, Understanding Civil Justice (1997) 50 CLP 155, 186-7 and Peter L Murray (Harvard), The Privatization of Civil Justice (2007) 12 ZZP Int 283-303 (Zeitschrift Fr Zivilprozess International: Germany); Peter L Murray,

Mediation and Civil Justice: A Public-Private Partnership? (2009) 14 ZZP Int 241; E Thornburg, Reaping What we Sow: Anti-Litigation Rhetoric, Limited Budgets, and Declining Support for Civil Courts (2011) 30 CJQ 74.


ordinary negotiation or procuring such compromises following

mediation.

In particular, in her 2008 Hamlyn Lectures, Hazel Genn

(2010, ch 3),

criticised the assumption that mediation delivers

justice. She prefers the view that mediation involves loss of the opportunity to receive substantive justice through the

court system (GENN, 2010, p. 119): What mediation is offering

is simply the opportunity to discount [legal claims] in order to

be spared the presumed misery and uncertainty of the

adjudication process. Genn questions whether it should be government policy to augment the business of mediators and

to reduce court lists. This is her important conclusion (GENN,

2010, p. 125):

[] there is an interdependency between courts as publicisers of rules backed by coercive power, and the practice of ADR

and settlement more generally. Without the background

threat of coercion, disputing parties cannot be brought to the

negotiating table. Mediation without the credible threat of

judicial determination is the sound of one hand clapping. A

well-functioning civil justice system should offer a choice of

dispute resolution methods. And she adds: We need modern, efficient civil courts with appropriate procedures that offer

affordable processes for those who would choose judicial

determination. This is not impossible. But it requires

recognition of the social and economic value of civil justice,

an acknowledgement that some cases need to be adjudicated,

and a vision for reform that addresses perceived shortcomings

rather than simply driving cases away.

Another vigorous and long-standing opponent of the

modern rush towards privatised justice is Owen Fiss (Yale

Law School). In his polemic, Against Settlement (1984), he wrote

62

: Settlement is for me the civil analogue of plea 62

(1984) Yale LJ 1073; re-printed in D Galligan (ed), Procedure (Dartmouth,

1992) ch 16; see also O Fiss, The Law As It Could Be (New York, 2003). For re-

ferences to the debate which Fisss 1984 article engendered in the US, O Fiss and J Resnik, Adjudication and Its Alternatives (Foundation Press, New York,

2003), 481, 488; and see J Resnik, For Owen M Fiss: Some Reflections on the Triumph and Death of Adjudication (2003) 58 Miami U L Rev 173.

Neil Andrews 40

bargaining: consent is often coerced; the bargain may be struck

by someone without authority... Although dockets are trimmed,

justice may not be done. He added: Like plea bargaining, settlement is a capitulation to the condition of mass society and

should be neither encouraged nor praised.

Certainly, the process of settlement is not perfect.

Possible objections to settlement (including mediated

settlements) are63

: (1) parties to settlement might not fully

understand their respective positions; (2) the parties might be

significantly unequal in various ways; (3) a party might have

procured the settlement by underhand dealing64

; (4) a partys full civil entitlement should not be reduced by compromise

65

;

(5) assessment of the merits must be measured, precise, and exacting

66

; (6) the public search-light at trial should be shone

upon serious wrongdoing.

As for factors (1) to (5), Hazel Genn has said: studies highlight [] the ways in which power influences the outcome of settlement negotiations [] Factors which are important are: legal intelligence getting the right lawyers and experts; financial resources-paying for the [same]; and having the

psychological, social, and economic ability to endure litigation.67

63

For a convenient collection of literature addressing these points, H Genn,

Understanding Civil Justice (1997) 50 CLP 155, 186-7. 64

E.g., an aggrieved party to a compromise threw the contractual book at the opponent, in an attempt to overturn the compromise, Halpern v. Halpern (No

2) [2007] EWCA Civ 291(distribution of estate among family members; allegation

that not all relevant assets were revealed and that the compromise should be

regarded as vitiated on numerous suggested grounds; the report at [2007] 3 All

ER 478 concerns a specific aspect of the case; consult the online version at [1] ff

for the numerous contractual challenges); cf also for an allegation that a medi-

ated settlement had been procured by duress, Farm Assist Limited (in liqui-

dation) v. The Secretary of State for the Environment, Food and Rural Affairs

(No 2) (2009) [2009] EWHC 1102 (TCC); [2009] BLR 399; 125 Con LR 154.

65

One of Jeremy Benthams anxieties: S Roberts, Settlement as Civil Justice

(2000) 63 MLR 739, 743 n 11, W Twining, Alternatives to What? (1993) 56 MLR 380, 384 (examining various theorists accounts of the civil process, no-tably, Bentham, Llewellyn, Fuller, and Damaska).

66

For a stimulating account of accuracy and legality, JA Jolowicz, The dilem-

mas of civil litigation in On Civil Procedure (Cambridge UP, 2000) ch 4. 67

H Genn, Understanding Civil Justice (1997) 50 CLP 155, 179; see also H

Genn, Hard Bargaining: Out of Court Settlement in Personal Injury Actions


As for the sixth of these considerations, the openness of

civil trial, an American commentator, Paul Carrington (1999),

has said what people bring to court is the refuse of our national and community life. Mendacity, greed, brutality, sloth, and

neglect are the materials with which we work [...].

Sir Jack Jacob, writing in 1985, before the ADR movement

had made a serious impact in mainstream English civil justice,

endorsed the ideal of open access to courts for the widest

range of disputes68

: It should be a fundamental aim of civil justice to open wide the gates of the Halls of Justice and to

provide adequate and effective methods and measures,

practices and procedures, reliefs and remedies, to deal with all

justiciable claims and complaints. He added: Such an aim would produce greater harmony and concord in society and

increase the understanding and respect of the community for

law and the system of civil justice.

But this court-centred view seems debatable. England

has not adopted Jacobs aim. Avoidance of litigation and

(Oxford UP, 1987) (reviewed Neil Andrews [1989] CLJ 506 and other studies

cited Genn (1997) ibid; see also H Genn, The Paths to Justice: What People

Do and Think About Going to Law (Hart, Oxford, 1999); H Genn, Court-Based ADR Initiatives for Non-Family Civil Disputes: The Commercial Court and the

Court of Appeal (Department for Constitutional Affairs Research Reports 1/2002, 2002): www.hmcourts-service.gov.uk/docs/adr_initiatives.pdf (this

last piece in examined briefly in Section 5 of the authors paper on the Com-mercial Court and case Management).

68

JIH Jacob, Justice Between Man and Man (1984) 34 Jo of Legal Education

268 (cited H Genn, Understanding Civil Justice (1997) 50 CLP 155, 185-6; Genn suggests that our future prosperity has more to do with what is going on in offices and factories in the Far East than with whether Lord Woolfs fast track will achieve its objectives. cf also Jacobs statement in Access to Jus-tice in England, by the same author, The Reform of Civil Procedural Law (London, 1982), 125, 126-7: In a civilised society, there should be no room for barriers to justice, no second-class access to justice, just as there should be

no second-class justice (re-printing of his contribution to M Cappelletti and B Garth, Access to Justice, a World Survey (Guiffree and Sijthoff, Italy, 1978) vol

1, bk 1); and Jacobs later statement in The Fabric of English Civil Justice (1987) 277, ...there should be, not only equality before the law, but equality of access to the law and legal servicesalike for rich and poor and those of moderate means, and that such access should extend to all civil claims and

defences at all levels of the judicial process, without regard to the nature of

the dispute or complaint or the relief or remedy claimed.

Neil Andrews 42

encouragement of pre-trial settlement are the bed-rock

assumptions of the modern civil system of justice.

Nevertheless, one must acknowledge that it would be

regrettable if matters can always be conveniently swept under

the carpet by a last-minute settlement designed to avoid

adverse publicity. Here are some examples taken from modern

Britain: a senior female police-woman complains that her rise

within the hierarchy has been obstructed by sexual

discrimination69

; a family wishes to complain that their sons suicide within the British armed forces was the result of

bullying by fellow soldiers70

; a car-dealers standard-term warranty for repair of new vehicles is mischievously declared

to have been forfeited for a reason which is no longer tenable under competition law

71

; a tenant has failed for many years to

induce his landlord, a large charity, to satisfy its repair

obligations, and it appears that there have been similar

complaints by other tenants against this landlord72

.

Sometimes statute prohibits exclusion of formal recourse

to state-administered courts or tribunals. Thus in Clyde & Co v.

Bates van Winkelhof (2011)73

the (English) High Court refused

to uphold a clause requiring a partner in a law firm to refer any

disputes or differences arising from her work for the firm to

mediation and then to arbitration. The partner had brought

complaints to an Employment Tribunal alleging various

statutory breaches by her law firm of equality law, and seeking

compensation. Statute74

clearly precludes contracting out

69

See the Halford affair, July 1992, discussed Neil Andrews, Principles of Civil

Procedure (London, 1994), 26.

70

Such complaints have received publicity: for Parliamentary comment in 2006

on a QCs report into one set of incidents, http://www.publications.parlia ment.uk/pa/ld199900/ldhansrd/pdvn/lds06/text/60329-05.htm.

71

Typically, customers garage failing to fi

acesso_justica_jurisdicao_p.153.pdf

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