http://www.familymediationcouncil.com/swstandards.

htm [15-12-2010]

Contents
• Introduction
• Definition of Mediation
• Principles Guiding Practice Standards for Social Work Mediators
• Standards for the Practice of Mediation by Social Workers
o Standard 1. Social work mediators shall function within the ethics and
stated standards and accountability procedures of the social work
profession.
o Standard 2. Social work mediators should remain impartial and neutral
toward all parties and issues in a dispute.
o Standard 3. The social work mediator shall not reveal to outside parties
any information received during the mediation process.
o Standard 4. Social work mediators shall assess each conflict and shall
proceed only in those circumstances in which mediation is an appropriate
procedure.
o Standard 5. The social work mediator shall seek at all times to promote
cooperation, to prevent the use of coercive tactics, to foster good-faith
bargaining efforts, and to ensure that all agreements are arrived at on a
voluntary and informed basis.
o Standard 6. The social work mediator shall recommend termination of
the process when it appears that it is no longer in the interest of the
parties to continue it.
o Standard 7. The social work mediator is responsible for helping the
parties arrive at a clearly stated, mutually understood, and mutually
acceptable agreement.
o Standard 8. The social work mediator shall develop an unbiased written
agreement that specifies the issues resolved during the course of
mediation.
o Standard 9. Social work mediators shall have training in both the
procedural and substantive aspects of mediation.
o Standard 10. A social work mediator shall have a clearly defined and
equitable fee structure.
o Standard 11. The mediator shall not use any information obtained
during the mediation process for personal benefit or for the benefit of
any group or organization with which the mediator is associated.
o Standard 12. Social work mediators shall be prepared to work
collaboratively as appropriate with other professionals and in
conformance to the philosophy of social work and mediation.

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Introduction
Social workers sit at the center of many social conflicts. In their role as facilitator of
person-to-person, person-to-group, person-to-institution, and institution-to-institution
interactions, social workers face the issue of conflict resolution as a normal part of their
professional activities. The role of social worker in these conflicts has been variously
described as advocate, negotiator, and mediator.

Increasingly, social workers and other professionals have chosen or been asked to play
the formal role of mediator, that is, a neutral third party who helps people or groups in
conflict arrive at mutually acceptable solutions. Social workers mediate issues such as
divorce and postdivorce disputes, parent-child conflicts, child welfare issues, and
disagreements concerning care of the elderly. In addition, they mediate neighborhood
disputes, community conflicts, and personnel issues. As the use of mediators in a
variety of circumstances has increased, a concomitant development has taken place
regarding the conceptual framework and skills set within which mediators function.
Mediation increasingly is viewed as a powerful intervention tool distinct from albeit
informed by-other approaches to client services. These developments have led the
National Association of Social Workers (NASW) to develop and adopt a set of
standards that are intended to guide the practice of social workers who function as
neutral third parties. These standards were developed to complement the NASW Code of
Ethics and to be consistent with the standards of major mediation organizations.

Considered desirable for all social work mediators, these standards are designed to do
the following:

• promote the practice of social work mediation

• provide direction and professional support to social work mediators
• inform consumers, employers, and referral sources by providing them with a set
of expectations for social worker mediators.

Definition of Mediation
Mediation is an approach to conflict resolution in which a mutually acceptable,
impartial third party helps the participants negotiate a consensual and informed
settlement. In mediation, decision making rests with the parties. Reducing the obstacles
to communication, maximizing the exploration of alternatives, and addressing the needs
of those who are involved or affected by the issues under discussion are among the
mediator’s responsibilities.1 I

The mediator is responsible to the system of people or groups involved in a decision-

making process. The mediator must provide this system with the structure and tools to
make mutually acceptable decisions under difficult circumstances. In this sense, the
mediator’s role is to empower the system so that it does not have to resort to outside
parties, such as the courts or arbitrators, to make the decision.

Principles Guiding Practice Standards for Social

Work Mediators

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The following principles govern the practice standards for social work mediators:

• Mediation is a method of social work practice.2

• The mediator is responsible to the system of parties involved in the dispute or
decision-making process, rather than to any single party or client.
• These standards are to be interpreted within the ethical base and values
explicated in the NASW Code of Ethics.
• Mediators should be familiar with and trained in the theory and practice of
mediation. In addition to social work education, the social work mediator needs
specific training and practice experience in mediation and conflict resolution.
• Social work mediators should be accountable, both to the client and to
colleagues, for the professional and ethical application of their skills and service
delivery.
• Because mediation is a growing and developing field, these standards should be
reviewed regularly to incorporate new developments in the theory and practice
of mediation.

Standards for the Practice of Mediation by Social

Workers
Standard 1: Social work mediators shall function within the ethics and stated
standards and accountability procedures of the social work profession.

Interpretation

All social workers have a fourfold responsibility: to clients, to the profession, to self,
and to society. Social work mediators should identify themselves as members of the
social work profession. NASW members shall be familiar with and adhere to the
NASW Code of Ethics and shall cooperate fully and in a timely fashion with the
adjudication procedures of the committee of inquiry, peer review, and appropriate state
regulatory boards. They should be aware of and adhere to relevant stated professional
standards for social work practices.

Standard 2: Social work mediators should remain impartial and neutral toward all
parties and issues in a dispute.

Interpretation

Social work mediators should enter into a dispute as a mediator only when they can
maintain a stance of impartiality and neutrality. They should inform all involved parties
of any development or circumstances that might contribute to the actuality or
appearance of bias or favoritism, or that might interfere in any way with their impartial
and neutral role. Impartiality refers to the mediator’s attitudes toward the issue and
people involved. An impartial mediator acts without bias in word and action and is
committed to helping all parties rather than to advocating for any single person.

Neutrality relates to the mediator’s relationship to the parties and the issues involved. A
mediator should have no relationship with parties or vested interests in the substantive
outcome that might interfere or appear to interfere with the ability to function in a fair,

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unbiased, and impartial manner. Any such relationship must be disclosed to the parties
before the start of mediation or as soon as knowledge of such a relationship occurs. If
any of the parties or the mediator feels that such a relationship has a potential to bias the
mediator’s performance, the mediator should disqualify himself or herself from acting
as a neutral third party.

It is important that the mediator continue to maintain a neutral stance after the
mediation is completed to avoid casting doubt on the legitimacy of the mediation that
occurred and to ensure continued availability for future interventions as appropriate.

Standard 3: The social work mediator shall not reveal to outside parties any
information received during the mediation process.

Interpretation

As with the success of other social work methods, the success of mediation depends
largely on the confidentiality of the process. The mediator should not reveal to other
parties any information received during private sessions or caucuses without the express
permission of the parties from whom the mediator received the information.

Clients and mediators must be aware that there are legal and ethical circumstances in
which confidentiality cannot be maintained. These circumstances include but are not
limited to the legally mandated requirement to report suspicion of child abuse or a
suspicion of bodily harm or violence to another person. Mediators should be aware of
any legal or statutory limits placed on mediation in the jurisdiction in which they
practice. Exceptions to confidentiality and any other exceptions that may arise because
of the circumstances, legal framework, or institutional structure within which mediation
occurs should be disclosed to the parties before or during their initial meeting with the
mediator.

The mediator should inform the parties of the possibility that the mediator might be
compelled to testify in court or in other ways reveal information gathered during the
mediation process. Confidentiality applies to the mediator and the mediator’s records.

Standard 4: Social work mediators shall assess each conflict and shall proceed only
in those circumstances in which mediation is an appropriate procedure.

Interpretation

Mediation is not appropriate for all types of conflict. Mediators should assess whether
each party has the capacity to engage in mediation and has the support necessary to be
an effective participant. They should inform parties about alternative dispute resolution
processes that are available to them and discuss the appropriateness of mediation at the
beginning of the intervention.

If mediation is to be effective, parties at a minimum must have the ability to negotiate

for themselves, to assess the information relevant to the case, and to understand the
implications of the various agreements being considered. Furthermore, the mediation
process should address a potential imbalance of power that might exist between the
parties. In those situations in which legal advice or other expert consultation is

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necessary or would serve parties better, the mediator should make the appropriate
referrals. The role of mediator should not be confused with that of an attorney.
Psychotherapist or evaluator, even if the mediator also has expertise in one or more of
those areas.

Standard 5: The social work mediator shall seek at all times to promote
cooperation, to prevent the use of coercive tactics, to foster good-faith bargaining
efforts, and to ensure that all agreements are arrived at on a voluntary and
informed basis.

Interpretation

Good-faith negotiation means that the parties are making an honest (even if uncertain)
attempt to arrive at an agreement, that they are not using the process for destructive
purposes, that they are sharing relevant information in a frank and truthful manner, and
that they are not using coercive or dishonest bargaining tactics. Although it is not
always possible to ensure that all parties are negotiating in good faith, it is the
mediator’s responsibility to promote and expect good-faith behavior. The mediator
should not allow coercive or bad-faith tactics to continue during the mediation process.
If the mediator is aware that these tactics are being used and cannot stop their use, the
mediation process should be discontinued.

Standard 6: The social work mediator shall recommend termination of the process
when it appears that it is no longer in the interest of the parties to continue it.

Interpretation

Mediation should not be used to prolong a dispute unnecessarily or to prevent the use of
a more appropriate conflict resolution procedure. Occasionally, it is in the interest of
one party to prevent an agreement from being reached. At other times parties are simply
unable to agree, and they reach an impasse. The mediator should not continue with the
mediation if these situations occur. The mediator should, however, exert every effort to
promote the successful conclusion of mediation and should not abandon the effort
prematurely.

Standard 7: The social work mediator is responsible for helping the parties arrive
at a clearly stated, mutually understood, and mutually acceptable agreement.

Interpretation

It is the mediator’s responsibility to conduct the mediation process, not to promote any
particular substantive outcome. Frequently, the solution that the mediator believes best
meets the interests of the parties is not the one that the parties select. The mediator’s
role is to conduct a fair process, not to promote a particular outcome. The mediator
should try to ensure that the agreement, whether partial or full, reflects a fair and good-
faith negotiation effort. If the mediator feels that the agreement is illegal, grossly unfair
to a participating or unrepresented party, the result of bad-faith bargaining, or based on
inaccurate information, the mediator has the obligation to make this known to the
parties involved and to try to correct the problem. When parties agree to an
unconscionable outcome, an illegal agreement, or one based on dishonesty or

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misrepresentation, mediators should disassociate themselves from the agreement in
accordance with standards of confidentiality.

Standard 8: The social work mediator shall develop an unbiased written

agreement that specifies the issues resolved during the course of mediation.

Interpretation

The written agreements should, to the extent possible, be in the language of the parties
themselves, and should be clearly understood by them. The actual determination of
whether an agreement is legally binding constitutes a legal judgment. However, it is
important for parties to know that any agreement may be legally binding and should not
be finalized without the appropriate legal advice.

Standard 9: Social work mediators shall have training in both the procedural and
substantive aspects of mediation.

Interpretation

Social workers should mediate disputes only in those areas for which they are qualified
by training or experience. If they have no substantive knowledge in a particular area,
they should obtain it, work with a qualified co-mediator, have appropriate consultation,
or refer the dispute elsewhere. Mediators should obtain formal training in the mediation
process, and beginning mediators should work under a qualified supervisor. Formal
training is currently available through professional seminars and workshops and
university-based programs. The standards for training obtained by social work
mediators should be in keeping with those currently accepted by the leading
professional organizations of mediators in the area in which the social worker is
functioning. Social work mediators should upgrade their skills and knowledge in the
field of conflict resolution through continuing education programs and participation in
relevant professional conferences and seminars.

Occasionally, mediators will be asked to mediate a dispute in which they do not have
substantive expertise. If a mediator skilled in that specialty is not available, the mediator
either should work with a co-mediator or consultant who is familiar with the substantive
area or take the time to become familiar enough with the area to be able to help parties
explore their interests and options in an informed manner.

Standard 10: A social work mediator shall have a clearly defined and equitable fee
structure.

Interpretation

The fee structure should be presented to all parties at the outset of the mediation. Fees
should reflect standards of impartiality and neutrality. All compensation mediators
receive for their services should be known to all involved parties, and mediators should
accept no side payments or fees based on the outcome of the mediation process.

If at all possible, either a neutral party or agency should cover the cost of mediation or
the cost should be split equitably (although not necessarily equally) among the parties.

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If one party is supposed to pay the entire fee, this should be known and agreed to by all
parties at the outset. Under no circumstances should the fee structure give the mediator
a vested interest in a particular outcome. Fees should therefore not be contingent on the
nature of the agreement or even on the achievement of an agreement.

Standard 11: The mediator shall not use any information obtained during the
mediation process for personal benefit or for the benefit of any group or
organization with which the mediator is associated.

Interpretation

Mediators are often given access to information that could be used for personal or
organizational benefit. It is inappropriate for the mediator to compromise the mediation
process by using this information outside the mediation process.

Standard 12: Social work mediators shall be prepared to work collaboratively as

appropriate with other professionals and in conformance to the philosophy of
social work and mediation.

Interpretation

The mediator should not separately mediate any dispute that already is being mediated.
If another mediator has been involved in the case, the mediator should ascertain that this
relationship has been terminated before agreeing to become involved.

In cases in which a co-mediation procedure is being used, all the mediators involved
should keep each other informed about activities and developments relevant to the case,
and the clients should know at the outset that this information sharing will occur. Co-
mediators should handle any disagreements they may have in a collaborative manner.

Mediators should respect the involvement of legal, mental health, social services, and
other professionals involved in the dispute or with the parties and should work with
them in a cooperative and respectful manner.

Notes
1
Adapted from the Model Standards of Practice for Family and Divorce Mediators.
(Madison, Wisconsin: Association of Family Conciliation Courts, 1984).Adapted from
the Model Standards of Practice for Family and Divorce Mediators. (Madison,
Wisconsin: Association of Family Conciliation Courts, 1984).
2
Method is used to identify specific types of intervention. See Robert L. Barker, The
Social Work Dictionary, 2nd ed. (Silver Spring, MD: NASW Press, 1991), p. 144, the
term "methods in social work."