N.C. Fam. Fin. Settlement Proc. R. 6

(a) Authority of the Mediator.

(1) Control of the Mediated Settlement Conference.

The mediator shall at all times be in control of the mediated

settlement conference and the procedures to be followed.

The mediator’s conduct shall be governed by the Standards of

Professional Conduct for Mediators.

(2) Private Consultation. The mediator may communicate

privately with any participant during the mediated settlement

conference. However, there shall be no ex parte communication

before or outside the conference between the mediator and any

counsel or party regarding any aspect of the proceeding, except

about scheduling matters. Nothing in this rule prevents the

mediator from engaging in ex parte communications with the

consent of the parties for the purpose of assisting settlement

negotiations.

(b) Duties of the Mediator.

(1) Informing the Parties. At the beginning of the mediated

settlement conference, the mediator shall define and describe for

the parties:

a. the process of mediation;

b. the differences between mediation and other forms of

conflict resolution;

c. the costs of the mediated settlement conference;

d. the fact that the mediated settlement conference is not a

trial, that the mediator is not a judge, and that the parties

retain their right to a trial if they do not reach settlement;

e. the circumstances under which the mediator may meet and

communicate privately with any of the parties, or with any

other person;

f. whether, and under what conditions, communications with

the mediator will be held in confidence during the mediated

settlement conference;

g. the inadmissibility of conduct and statements as provided

by N.C.G.S. § 7A-38.4A(j);

h. the duties and responsibilities of the mediator and the

participants;

i. the fact that any agreement reached will be reached by

mutual consent;

j. the fact that Rule 4(e) prohibits any recording of the

mediated settlement conference; and

k. the fact that the parties may be subject to sanctions for

violating these rules.

(2) Disclosure. The mediator has a duty to be impartial and to

disclose to all participants any circumstance bearing on possible

bias, prejudice, or partiality.

(3) Declaring Impasse. It is the duty of the mediator to determine

in a timely manner that an impasse exists and that the mediated

settlement conference should end. To that end, the mediator shall

inquire of and consider the desires of the parties to cease or

continue the conference.

(4) Reporting Results of the Mediated Settlement Conference.

a. The mediator shall report the results of the mediated

settlement conference and any settlement reached by the

parties prior to, or during, a recess of the conference to the

court. Mediators shall also report the results of mediations

held in other district court family financial cases in which

a mediated settlement conference was not ordered by the

court. The report shall be filed on a Report of Mediator in

Family Financial Case, Form AOC-CV-827, within ten

days of the conclusion of the conference or within ten days

of being notified of the settlement, and shall include the

names of the persons who attended the conference, if a

conference was held. If a partial agreement was reached

at the conference, then the report shall state the issues that

remain for trial. Local rules shall not require the mediator

to send a copy of the parties’ agreement to the court.

b. If an agreement upon all issues was reached at the

mediated settlement conference, then the mediator’s report

shall state whether the dispute will be resolved by a

consent judgment or voluntary dismissal, and the name,

address, and telephone number of the person designated by

the parties to file the consent judgment or dismissal with

the court, as required under Rule 4(c)(2). The mediator

shall advise the parties that, consistent with Rule 4(c)(2),

their consent judgment or voluntary dismissal is to be filed

with the court within thirty days of the conference or before

the expiration of the mediation deadline, whichever is

later. The mediator’s report shall indicate that the parties

have been so advised.

c. The Commission or the North Carolina Administrative

Office of the Courts (NCAOC) may require the mediator to

provide statistical data for evaluation of the mediated

settlement conference program.

d. A mediator who fails to report as required by this rule shall

be subject to sanctions by the court. The sanctions shall

include, but are not limited to, fines or other monetary

penalties, decertification as a mediator, and any other

sanctions available through the court’s contempt power.

The court shall notify the Commission of any sanction

imposed against a mediator under this section.

(5) Scheduling and Holding the Mediated Settlement

Conference. The mediator shall schedule and conduct the

mediated settlement conference prior to the conference

completion deadline set out in the court’s order. The mediator

shall make an effort to schedule the conference at a time that is

convenient to all participants. In the absence of agreement, the

mediator shall select a date and time for the conference.

The deadline for completion of the conference shall be strictly

observed by the mediator, unless the deadline is changed by

written order of the court.

A mediator selected by agreement of the parties shall not

delay scheduling or conducting the conference because one or

more of the parties has not paid an advance fee deposit as

required by the agreement.