Rule 9. The Grievance and Disciplinary Committee

North CarolinaCourt rules

Ask Donna

How this section applies to your facts.

North Carolina Court Rules › Rules of the Dispute Resolution Commission › Rules of the Dispute Resolution Commission, Rule 9

This text was captured on Aug 14, 2026. It is a snapshot, not a live feed, so check the official code before relying on it.

Text

(a)

Appointment of the Grievance and Disciplinary Committee.

The Commission’s chair shall appoint a standing committee entitled the Grievance

and Disciplinary Committee to address the matters listed in subsection (b) of this

rule.

(b)

Matters to Be Considered by the Grievance and Disciplinary

Committee. The Grievance and Disciplinary Committee shall review and consider,

consistent with subsection (d)(2) of this rule, the following:

(1)

Matters that relate to the moral character, conduct, or fitness to

practice of those seeking a provisional pre-training approval,

including a request to review a Commission staff determination

not to issue a provisional pre-training approval on the basis of a

requesting party’s moral character, conduct, or fitness to practice.

(2)

Matters that relate to the moral character, conduct, or fitness to

practice of an applicant for mediator certification or certification

renewal, including a request for review of a Commission staff

decision to deny an application for mediator certification or

certification renewal on the basis of the applicant’s moral

character, conduct, or fitness to practice.

(3)

Matters otherwise self-reported by a certified mediator or

personnel affiliated with a certified mediator training program,

or otherwise coming to the attention of the Commission that

relate to the moral character, conduct, or fitness to practice of a

mediator under the Commission’s jurisdiction or a person

affiliated with a certified mediator training program.

or fitness to practice.

(3)

Matters otherwise self-reported by a certified mediator or

personnel affiliated with a certified mediator training program,

or otherwise coming to the attention of the Commission that

relate to the moral character, conduct, or fitness to practice of a

mediator under the Commission’s jurisdiction or a person

affiliated with a certified mediator training program.

(4)

Matters that relate to the moral character, conduct, or fitness to

practice of a trainer or other person affiliated with a certified

mediator training program or a mediator training program that

is an applicant for certification or certification renewal, including

a request for review of a Commission staff decision to deny an

application for mediator training program certification or

certification renewal on the basis of the moral character, conduct,

or fitness to practice of any trainer or other person affiliated with

the program.

(5)

Complaints by a Commission member, Commission staff, a judge,

an attorney, court staff, or any member of the public that relate

to the moral character, conduct, or fitness to practice of a

mediator under the Commission’s jurisdiction or a trainer or

other person affiliated with a certified mediator training

program.

(c)

Initial Commission Staff Review and Determination.

(1)

Review

Requests

for

Provisional

Pre-training

Approvals.

Commission staff shall review requests for the

issuance of provisional pre-training approvals regarding matters

that relate to the moral character, conduct, or fitness to practice

of a requesting party, and shall seek guidance from the chair of

the Grievance and Disciplinary Committee, as necessary.

Staff may contact the requesting party, conduct background

checks, and contact third parties or entities who may possess

relevant information that relates to the moral character, conduct,

or fitness to practice of the requesting party

acter, conduct, or fitness to practice

of a requesting party, and shall seek guidance from the chair of

the Grievance and Disciplinary Committee, as necessary.

Staff may contact the requesting party, conduct background

checks, and contact third parties or entities who may possess

relevant information that relates to the moral character, conduct,

or fitness to practice of the requesting party. Based on its review,

staff shall determine whether to issue or refrain from issuing a

provisional pre-training approval. The requesting party may

seek review of the staff decision from the chair of the committee.

If, after review, the chair determines that the requesting party

does not possess the requisite criteria for certification related to

moral character, conduct, or fitness to practice established by

program rules and Commission policies and guidelines, then the

chair shall instruct staff not to issue a provisional pre-training

approval. The staff decision, or that of the chair after review, to

deny a request for a provisional pre-training approval shall be

final and is not subject to appeal.

(2)

Review and Referral of Matters Relating to the Moral

Character, Conduct, or Fitness to Practice of Applicants.

Commission staff shall review information relating to the moral

character, conduct, or fitness to practice of an applicant seeking

mediator certification or certification renewal, including matters

which an applicant is required to report under program rules and

information relating to the moral character, conduct, or fitness to

practice of personnel affiliated with mediator training programs

seeking certification or certification renewal.

Staff may contact an applicant to discuss matters reported

and may conduct a background check on an applicant. Any third

party with knowledge of any information relating to the moral

eport under program rules and

information relating to the moral character, conduct, or fitness to

practice of personnel affiliated with mediator training programs

seeking certification or certification renewal.

Staff may contact an applicant to discuss matters reported

and may conduct a background check on an applicant. Any third

party with knowledge of any information relating to the moral

character, conduct, or fitness to practice of an applicant may

notify the Commission.

Staff shall seek to verify any such

third-party report and may disregard a report that cannot be

verified. Staff may contact an agency where a complaint about

an applicant has been filed or that has imposed discipline on an

applicant and may contact a judge who has imposed discipline on

an applicant.

All reported matters or other information gathered by staff

that bears on the moral character, conduct, or fitness to practice

of an applicant shall be forwarded directly to the Grievance and

Disciplinary Committee for its review, except matters expressly

exempted from review by the Commission’s Policy for Reviewing

Matters Relevant to Good Moral Character, Conduct, and Fitness

to Practice. Matters that are exempted by the policy may be

processed by staff, but will not act as a bar to certification or

certification renewal.

The committee shall review any matter that relates to an

applicant and is referred by staff under this policy, while not a

complaint, in accordance with the procedures set forth in

subsection (d) of this rule.

l Character, Conduct, and Fitness

to Practice. Matters that are exempted by the policy may be

processed by staff, but will not act as a bar to certification or

certification renewal.

The committee shall review any matter that relates to an

applicant and is referred by staff under this policy, while not a

complaint, in accordance with the procedures set forth in

subsection (d) of this rule.

(3)

Commission Staff Review of Concerns Raised That Are Not

Deemed to Constitute Complaints. Commission staff shall

review information received or concerns raised that relates to a

mediator’s failure to meet his or her case management duties

under applicable program rules, or relates to matters that are not

deemed to constitute a complaint under this subsection or

subsection (c)(4) of this rule.

If the information received or the concern raised does not

state a violation of rules or standards promulgated by the

Supreme Court or local district rules, then the reporting

party will be advised that the Commission will take no

action in response to the report.

If it appears that the information received or the concern

raised constitutes a violation of a rule, statute, or standard,

but either is not serious enough to be treated as a

complaint or the complaining party does not wish to file a

complaint, Commission staff shall prepare a summary of

the concern raised and submit the matter to the chair of

the Grievance and Disciplinary Committee and to the chair

of the Commission.

Commission staff shall report the concerns to the mediator

by letter or other manner of communication as approved by

ough to be treated as a

complaint or the complaining party does not wish to file a

complaint, Commission staff shall prepare a summary of

the concern raised and submit the matter to the chair of

the Grievance and Disciplinary Committee and to the chair

of the Commission.

Commission staff shall report the concerns to the mediator

by letter or other manner of communication as approved by

the chair of the Grievance and Disciplinary Committee and

chair of the Commission. Any written correspondence shall

be copied to the chair of the committee and to the chair of

the Commission.

Commission staff shall not disclose the identity of a

reporting party who wishes to remain anonymous. If a reporting

party wishes to remain anonymous, then staff shall not proceed

under this section unless evidence of the mediator’s failure to

fulfill his or her case management duties has been provided or

otherwise exists.

(4)

Commission Staff Review of Oral or Written Complaints.

Commission staff shall review oral and written complaints

received by the Commission regarding the moral character,

conduct, or fitness to practice of a mediator under the jurisdiction

of the Commission or any personnel affiliated with a certified

mediator training program (respondents), except that staff shall

not act on anonymous complaints unless staff can independently

verify the allegations made.

Oral Complaints. If, after reviewing an oral complaint,

Commission staff determines it is necessary to contact a

third party about the matter, including a witness identified

by the complaining party or other third party identified by

Commission staff during its review of the complaint, or to

refer the matter to the Grievance and Disciplinary

Committee, then Commission staff shall first make a

summary of the complaint and forward it to the

complaining party who shall be asked to sign the summary

and a release and to return both to the Commission’s office

ntified

by the complaining party or other third party identified by

Commission staff during its review of the complaint, or to

refer the matter to the Grievance and Disciplinary

Committee, then Commission staff shall first make a

summary of the complaint and forward it to the

complaining party who shall be asked to sign the summary

and a release and to return both to the Commission’s office.

A member of the Commission, a committee of the

Commission, Commission staff, judges, other court

officials, or court staff may initiate an oral, anonymous

complaint. Commission staff shall not proceed under this

subsection unless corroborative evidence of the allegation

relating to the mediator’s conduct has been provided to the

Commission.

Written

Complaints.

Commission

staff

shall

acknowledge all written complaints within thirty days

from receipt. A written complaint may be made by letter,

e-mail, or filed on the Commission’s approved complaint

form. If a written complaint is not made on the approved

form, then staff shall require the complaining party to have

his or her signature on the complaint notarized and execute

a release authorizing staff to contact third parties in the

course of staff’s review of the complaint.

Pursuit of Complaint by Commission Staff or by

Grievance and Disciplinary Committee Member. If a

complaining party refuses to sign a complaint summary

prepared by Commission staff, refuses to sign a release, or

otherwise seeks to withdraw a complaint after filing it with

the Commission, staff or a Grievance and Disciplinary

Committee

member

may

pursue

the

complaint

f the complaint.

Pursuit of Complaint by Commission Staff or by

Grievance and Disciplinary Committee Member. If a

complaining party refuses to sign a complaint summary

prepared by Commission staff, refuses to sign a release, or

otherwise seeks to withdraw a complaint after filing it with

the Commission, staff or a Grievance and Disciplinary

Committee

member

may

pursue

the

complaint.

In determining

whether

pursue

complaint

independently, staff or a committee member may consider

why the complaining party is unwilling to pursue the

matter further, whether the complaining party is willing to

testify if a hearing becomes necessary, whether the

complaining party has specifically asked to withdraw the

complaint, whether the circumstances complained of may

be independently verified without the complaining party’s

participation,

whether

there

have

been

complaints filed regarding the respondent’s conduct, and

the seriousness of the allegations made in the complaint.

Response to Complaint. If Commission staff asks a

respondent to respond in writing to an oral or written

complaint, then the respondent shall be sent a summary or

a copy of the complaint and any supporting evidence

provided by the complaining party by Certified Mail,

return receipt requested. The respondent shall respond no

later than thirty days from the date of the actual delivery

to the respondent or the date of the last attempted delivery

by the U.S. Postal Service. A copy of the summary or

complaint shall also be sent to respondent through the

U.S. Postal Service by First-Class Mail directed to the

respondent at the last mailing address provided to the

Commission by the respondent. Upon written request, the

respondent may be afforded ten additional days to respond

to the complaint.

Materials Not Forwarded to Complaining Party

U.S. Postal Service. A copy of the summary or

complaint shall also be sent to respondent through the

U.S. Postal Service by First-Class Mail directed to the

respondent at the last mailing address provided to the

Commission by the respondent. Upon written request, the

respondent may be afforded ten additional days to respond

to the complaint.

Materials Not Forwarded to Complaining Party.

The respondent’s response to the complaint and the

summaries of comments of any witnesses or others

contacted during the investigation shall not be forwarded

to the complaining party, except as may be required by

N.C.G.S. § 7A-38.2(h).

(5)

Initial Determination on Oral and Written Complaints.

In reviewing a complaint under subsection (c)(4) of this rule and

any additional information gathered, including information

supplied by the respondent or a witness or other third party

contacted, Commission staff shall consider the conduct

complained of by reference to subsection (d)(2) of this rule.

Staff shall determine whether to:

Recommend Dismissal.

After review and upon

concluding that the complaint does not allege facts

sufficient to constitute a violation of a statute, rule,

standard, or policy enforceable under the jurisdiction of the

Commission,

Commission

staff

shall

make

recommendation to the chair of the Grievance and

Disciplinary Committee to dismiss the complaint. If the

chair agrees with the recommendation, then the complaint

shall be dismissed with notification to the complaining

party, the respondent, and any witnesses or others

contacted during the review process. The complaining

party and the respondent shall be notified of the dismissal

by Certified Mail, return receipt requested, and such

service shall be deemed sufficient for purposes of these

rules. A copy of the notice of dismissal shall also be sent to

the complaining party and the respondent through the

U.S

arty, the respondent, and any witnesses or others

contacted during the review process. The complaining

party and the respondent shall be notified of the dismissal

by Certified Mail, return receipt requested, and such

service shall be deemed sufficient for purposes of these

rules. A copy of the notice of dismissal shall also be sent to

the complaining party and the respondent through the

U.S. Postal Service by First-Class Mail directed to the

respondent and complaining party at the last mailing

address provided to the Commission.

Staff shall note for the file why a determination was

made to dismiss a complaint and shall report on such

dismissals to the committee. Dismissed complaints shall

remain on file with the Commission. The committee may

take dismissed complaints into consideration if additional

complaints are later made against the same respondent.

A complaining party may file a written appeal of the

dismissal of the complaint to the committee no later than

thirty days from the date of the actual delivery of the notice

of dismissal to the complaining party or of the date of the

last attempted delivery by the U.S. Postal Service of the

notice of dismissal.

Refer to the Grievance and Disciplinary Committee.

Following an initial Commission staff review of the

complaint and any response submitted by the respondent,

including contacting the respondent, witnesses, or other

third parties as necessary, and upon a determination that

the complaint (i) raises a concern about a possible violation

of a statute, a program rule, the Standards of Professional

Conduct for Mediators, or a Commission policy; or

llowing an initial Commission staff review of the

complaint and any response submitted by the respondent,

including contacting the respondent, witnesses, or other

third parties as necessary, and upon a determination that

the complaint (i) raises a concern about a possible violation

of a statute, a program rule, the Standards of Professional

Conduct for Mediators, or a Commission policy; or

(ii) raises a significant question about a respondent’s moral

character, conduct, or fitness to practice, or if, after giving

the complaint due consideration, the chair of the Grievance

and Disciplinary Committee disagrees with staff’s

recommendation to dismiss the complaint, staff shall refer

the matter to the full committee for review.

No matter shall be referred to the committee until

the respondent has been forwarded a copy or summary of

the complaint and a copy of these rules. The respondent

shall respond no later than thirty days from the date of the

actual delivery of the letter transmitting the complaint or

summary to the respondent or the last attempted delivery

to the respondent by the U.S. Postal Service. A copy of the

complaint or summary shall also be sent to the respondent

through the U.S. Postal Service by First-Class Mail

directed to the respondent at the last mailing address

provided

the

Commission

the

respondent.

Upon written request, the respondent may be afforded ten

additional days to respond to the complaint.

The respondent’s response shall be included in the

materials forwarded to the committee. If a witness or other

person was contacted, any written response or summary of

a response shall also be included in the materials

forwarded to the committee.

the

Commission

the

respondent.

Upon written request, the respondent may be afforded ten

additional days to respond to the complaint.

The respondent’s response shall be included in the

materials forwarded to the committee. If a witness or other

person was contacted, any written response or summary of

a response shall also be included in the materials

forwarded to the committee.

(6)

Filing Deadlines for Complaints. A complaint made under

subsection (b) of this rule that relates to the conduct of a certified

mediator during a mediation, from appointment or selection of

the mediator through the conclusion of the mediation by

settlement or impasse, shall be filed no later than one year from

the conclusion of the mediation by settlement or impasse, except

that a complaint that relates to the conduct of a certified district

criminal court mediator during a mediation, from the beginning

of the mediation through the conclusion of the last session of

mediation, shall be filed no later than ninety days from the

conclusion of the last mediation session. A complaint made under

subsection (b) of this rule that relates to the conduct of a person

affiliated with a certified mediator training program during a

training program shall be filed no later than one year from the

conclusion of the training program.

(7)

Confidentiality. Commission staff will create and maintain

files for all matters considered under subsection (b) of this rule.

All information in the files pertaining to applicants for

that relates to the conduct of a person

affiliated with a certified mediator training program during a

training program shall be filed no later than one year from the

conclusion of the training program.

(7)

Confidentiality. Commission staff will create and maintain

files for all matters considered under subsection (b) of this rule.

All information in the files pertaining to applicants for

certification, certification of a mediator training program, or

certification renewal shall remain confidential in accordance with

N.C.G.S. § 7A-38.2(h). Information pertaining to complaints

regarding the moral character, conduct, or fitness to practice of

mediators or trainers or personnel affiliated with certified

mediator training programs shall remain confidential until such

time as the Grievance and Disciplinary Committee completes its

preliminary investigation, finds probable cause under subsection

(d)(2) of this rule and N.C.G.S. § 7A-38.2(h), and the time within

which the respondent may appeal the determination of probable

cause has expired, or if the respondent files a timely appeal under

subsection (e) of this rule, the information shall remain

confidential until a hearing is held and a decision is reached by

the Commission.

Staff shall reveal the names of applicants and respondents

to the committee and the committee shall keep the names of

applicants and respondents and other identifying information

confidential, except as provided for in N.C.G.S. § 7A-38.2(h) and

subsection (d)(3) of this rule.

Notwithstanding the above, staff shall notify the executive

director of the Mediation Network of North Carolina, and the

executive director of the community mediation center that is

sponsoring the application of an applicant seeking certification as

a district criminal court mediator, of any matter regarding the

moral character, conduct, or fitness to practice of the applicant

of this rule.

Notwithstanding the above, staff shall notify the executive

director of the Mediation Network of North Carolina, and the

executive director of the community mediation center that is

sponsoring the application of an applicant seeking certification as

a district criminal court mediator, of any matter regarding the

moral character, conduct, or fitness to practice of the applicant.

Staff shall notify any mediation program or agency

populating a list of mediators certified by the Commission,

including, but not limited to, the Mediation Network of North

Carolina, community mediation centers, the North Carolina

Industrial Commission, and the federal trial courts in North

Carolina, of any finding of probable cause under this subsection

against a mediator arising out of a mediated settlement

conference conducted under the auspices of such agency or

program. When practicable, staff shall notify the agency or

program of any public sanction imposed by the Commission under

these rules against a certified mediator who also serves as a

mediator for that agency or program.

Staff and members of the Grievance and Disciplinary

Committee may share information with other committee chairs

or committees if needed and relevant to a review of any matter

before such other committee.

The Commission may publish names, contact information,

and biographical information for mediators, neutrals, and

mediator training programs that have been certified or qualified.

program.

Staff and members of the Grievance and Disciplinary

Committee may share information with other committee chairs

or committees if needed and relevant to a review of any matter

before such other committee.

The Commission may publish names, contact information,

and biographical information for mediators, neutrals, and

mediator training programs that have been certified or qualified.

(d)

Grievance

and

Disciplinary

Committee

Review

and

Determination on Matters Referred by Commission Staff.

(1)

Grievance and Disciplinary Committee Review of Moral

Character Issues and Complaints.

The Grievance and

Disciplinary Committee shall review matters brought before it by

Commission staff under the provisions of subsection (c) of this

rule and may contact any other persons or entities with

knowledge of the matter for additional information. The chair

may, in his or her discretion, appoint members of the committee

to serve on a subcommittee to investigate a particular matter

brought to the committee by staff. The chair of the committee, or

his or her designee, may issue subpoenas for the attendance of

witnesses and for the production of books, papers, materials, or

other documentary evidence deemed necessary to the committee’s

investigation and review of the matter.

(2)

Grievance and Disciplinary Committee Deliberation.

The Grievance and Disciplinary Committee shall deliberate to

determine whether probable cause exists to believe that an

applicant or respondent’s conduct:

is a violation of the enabling legislation for a mediated

settlement conference program under the jurisdiction of

the Commission or a violation of N.C.G.S. § 7A-38.2;

is a violation of the Standards of Professional Conduct for

Mediators or any other standards of professional conduct

that are not inconsistent with the Standards of

Professional Conduct for Mediators and to which the

respondent is subject;

e enabling legislation for a mediated

settlement conference program under the jurisdiction of

the Commission or a violation of N.C.G.S. § 7A-38.2;

is a violation of the Standards of Professional Conduct for

Mediators or any other standards of professional conduct

that are not inconsistent with the Standards of

Professional Conduct for Mediators and to which the

respondent is subject;

is a violation of Supreme Court rules or any other rules for

mediated settlement conferences or mediation programs;

is inconsistent with good moral character (See Rule 8(a)(5)

of the Rules for Mediated Settlement Conferences and

Other Settlement Procedures in Superior Court Civil

Actions, Rule 8(a)(7) of the Rules for Settlement

Procedures in District Court Family Financial Cases,

Rule 7(a)(4) of the Rules of Mediation for Matters in

District Criminal Court, and Rule 7 of these rules);

reflects a lack of fitness to conduct mediated settlement

conferences or mediations, or to serve in affiliation with a

certified mediator training program (See Rule 7);

serves to discredit the Commission, the courts, or the

mediation process (See Rule 7); or

is a violation of a Commission policy.

(3)

Grievance and Disciplinary Committee Determination.

Following

deliberation,

the

Grievance

and

Disciplinary

Committee shall determine whether to dismiss the matter, make

a referral, or impose sanctions, as follows:

To Dismiss.

If a majority of the Grievance and

Disciplinary Committee members review an issue of, or a

complaint about, moral character, conduct, or fitness to

practice and find no probable cause to believe that the

applicant or respondent’s conduct is a violation of

subsection (d)(2) of this rule, then the committee shall

dismiss the matter and instruct Commission staff to:

certify or recertify the applicant, if an application is

pending, or notify the respondent by Certified Mail,

return receipt requested, with a copy sent by

First-Class Mail through the U.S

no probable cause to believe that the

applicant or respondent’s conduct is a violation of

subsection (d)(2) of this rule, then the committee shall

dismiss the matter and instruct Commission staff to:

certify or recertify the applicant, if an application is

pending, or notify the respondent by Certified Mail,

return receipt requested, with a copy sent by

First-Class Mail through the U.S. Postal Service,

that no further action will be taken in the matter; or

notify the complaining party and the respondent by

Certified Mail, return receipt requested, that no

further action will be taken and that the matter is

dismissed. A copy of the notice of dismissal shall

also be sent to the respondent and the complaining

party through the U.S. Postal Service by First-Class

Mail.

To Refer.

If, after reviewing an application for

certification or certification renewal or a complaint, a

majority of the Grievance and Disciplinary Committee

members eligible to vote determine that:

any violation of a statute, a program rule, the

Standards of Professional Conduct for Mediators, or

a Commission policy was technical or relatively

minor in nature, caused minimal harm to the

complaining party, and did not discredit the

program, courts, or Commission, then the committee

may:

dismiss the complaint with a letter to the

complaining

party

and

respondent

Certified Mail, return receipt requested, and

a copy of the letter through the U.S. Postal

Service by First-Class Mail directed to the

complaining party and the respondent at the

last

mailing

address

provided

the

Commission by the complaining party and the

respondent, notifying them of the dismissal,

citing

the

violation,

and

advising

the

respondent to avoid such conduct in the

future; or

ii.

refer the respondent to one or more members

of the committee to discuss the matter and

explore ways that the respondent may avoid

similar complaints in the future.

mailing

address

provided

the

Commission by the complaining party and the

respondent, notifying them of the dismissal,

citing

the

violation,

and

advising

the

respondent to avoid such conduct in the

future; or

ii.

refer the respondent to one or more members

of the committee to discuss the matter and

explore ways that the respondent may avoid

similar complaints in the future.

the respondent’s conduct involves no violation, but

raises best practices or professionalism concerns,

then the committee may:

direct Commission staff to dismiss the

complaint with a letter sent by Certified Mail,

return receipt requested, and a copy through

the U.S. Postal Service by First-Class Mail to

the complaining party and the respondent

directed

the

complaining

party

respondent at the last mailing address

provided

the

Commission

the

complaining party or the respondent advising

him or her of the committee’s concerns and

providing guidance;

ii.

direct the respondent to meet with one or

more members of the committee, who will

informally discuss the committee’s concerns

and provide counsel; or

iii.

refer the respondent to the Chief Justice’s

Commission

Professionalism

for

counseling and guidance.

the applicant or respondent’s conduct raises

significant concerns about his or her fitness to

practice,

including

concerns

about

mental

instability, mental health, lack of mental acuity,

possible dementia, or possible alcohol or substance

oncerns

and provide counsel; or

iii.

refer the respondent to the Chief Justice’s

Commission

Professionalism

for

counseling and guidance.

the applicant or respondent’s conduct raises

significant concerns about his or her fitness to

practice,

including

concerns

about

mental

instability, mental health, lack of mental acuity,

possible dementia, or possible alcohol or substance

(c)

abuse, then the committee may, in lieu of or in

addition to imposing sanctions, refer the applicant

or respondent to the North Carolina Lawyer

Assistance Program for evaluation or, if the

applicant or respondent is not an attorney, to a

physician,

other

licensed

mental

health

professional, or substance abuse counselor or

organization.

In the event that an applicant or respondent

is referred to one or more members of the committee

for counsel, to the Lawyer Assistance Program, or to

some other professional entity, and fails to cooperate

regarding the referral or refuses to sign releases or

provide any resulting evaluations to the committee,

or should any resulting discussion or evaluation

suggest that the applicant or respondent is not

currently capable of serving as a mediator, trainer,

or manager, the committee may make further

determinations in the matter. Pending further

review, the committee may also recommend

summary suspension under subsection (d)(4) of this

rule until such time as the committee has authorized

the applicant or respondent to return to active

mediation practice. The committee may condition a

certification or certification renewal on the applicant

or respondent’s successful completion of the referral

process.

Any costs associated with a referral,

e.g., costs of evaluation or treatment, shall be borne

entirely by the applicant or respondent.

To Impose Sanctions

e has authorized

the applicant or respondent to return to active

mediation practice. The committee may condition a

certification or certification renewal on the applicant

or respondent’s successful completion of the referral

process.

Any costs associated with a referral,

e.g., costs of evaluation or treatment, shall be borne

entirely by the applicant or respondent.

To Impose Sanctions.

Except as provided for in

subsection (d)(3)(b)(1) of this rule, if a majority of the

Grievance and Disciplinary Committee members find

probable cause under subsection (d)(2) of this rule, then the

committee shall impose sanctions on the applicant or

respondent under subsection (e)(13) of this rule.

Notification of any dismissal, referral, or sanction imposed

under subsection (d)(3) of this rule shall be sent to respondent by

Certified Mail, return receipt requested, and a copy sent through

the U.S. Postal Service by First-Class Mail directed to the last

mailing address provided to the Commission by the respondent,

and such service shall be deemed sufficient for the purposes of

these rules. All witnesses and any others contacted by

Commission staff or a committee member shall be notified, if

feasible, of a dismissal of the complaint.

A complaining party shall have no right of appeal from a

committee determination to dismiss a complaint under subsection

(d)(3)(a) of this rule or from a committee determination to refer a

mediator under subsection (d)(3)(b) of this rule.

A letter issued under subsection (d)(3)(a) or subsection

sion staff or a committee member shall be notified, if

feasible, of a dismissal of the complaint.

A complaining party shall have no right of appeal from a

committee determination to dismiss a complaint under subsection

(d)(3)(a) of this rule or from a committee determination to refer a

mediator under subsection (d)(3)(b) of this rule.

A letter issued under subsection (d)(3)(a) or subsection

(d)(3)(b) of this rule regarding conduct or referral shall not be

considered sanctions under subsection (e)(13) of this rule.

Rather, the letters are intended to be opportunities to address

concerns and to help applicants and respondents perform more

effectively as mediators. However, there may be instances that

are more serious in nature where the committee may both make

a referral under subsection (d)(3)(b) of this rule and impose

sanctions under subsection (e)(13) of this rule.

(4)

Summary Suspension. If, after initiation of a complaint

against a respondent certified by the Commission and during

review by the Grievance and Disciplinary Committee, the

committee determines and the chair of the Commission concurs

that the conduct of the respondent raises a serious issue

regarding the health, safety, or welfare of the mediator or the

public, or may adversely affect the integrity of the courts, and that

there is a necessity for prompt action, then the Commission,

through its chair, may petition the court to restrain or enjoin the

respondent’s conduct, including suspending the mediator from

active service as a mediator in North Carolina. The petition for

injunctive relief shall be filed in the Superior Court, Wake

County.

public, or may adversely affect the integrity of the courts, and that

there is a necessity for prompt action, then the Commission,

through its chair, may petition the court to restrain or enjoin the

respondent’s conduct, including suspending the mediator from

active service as a mediator in North Carolina. The petition for

injunctive relief shall be filed in the Superior Court, Wake

County.

(5)

Right to Object and Negotiate. Within the thirty-day period

set forth in subsection (d)(6) of this rule, an applicant or

respondent may contact the Grievance and Disciplinary

Committee and object to any referral made or sanction imposed

on the applicant or respondent, including objecting to any public

posting of a sanction, and seek to negotiate some other outcome

with the committee. The committee shall have the authority and

discretion to engage or decline to engage in negotiations with the

applicant or respondent. During the negotiation period, the

applicant or respondent may request an extension of the time in

which to request an appeal in writing under this subsection and

subsection (d)(6) of this rule. Commission staff, in consultation

with the committee chair, may extend the appeal period up to an

additional thirty days in order to allow more time to complete

negotiations.

(6)

Right of Appeal. If a referral is made or sanctions are imposed,

then the applicant or respondent may file an appeal with the

Commission in writing no later than thirty days from the date of

the actual delivery of the notice to the applicant or respondent, or

within thirty days from the last attempted delivery by the

U.S. Postal Service. Subject to the provisions of subsection (d)(5)

of this rule, if no appeal is received within thirty days as set out

herein, then the applicant or respondent shall be deemed to have

accepted the Grievance and Disciplinary Committee’s findings

and the imposition of sanctions

otice to the applicant or respondent, or

within thirty days from the last attempted delivery by the

U.S. Postal Service. Subject to the provisions of subsection (d)(5)

of this rule, if no appeal is received within thirty days as set out

herein, then the applicant or respondent shall be deemed to have

accepted the Grievance and Disciplinary Committee’s findings

and the imposition of sanctions. The complaining party does not

have a right to appeal from a decision of the committee to dismiss

the complaining party’s complaint against the respondent.

(7)

Notification. At such time as the matter becomes public under

subsection (c)(7) of this rule and N.C.G.S. § 7A-38.2(h),

Commission staff shall, if feasible, notify the complaining party

and any witnesses or others contacted during the investigation of

the complaint by staff or the Grievance and Disciplinary

Committee of the sanctions imposed and the fact of the

respondent’s appeal, if filed.

(e)

Appeal to the Commission.

(1)

Stay Pending Appeal. The imposition of a private or public

sanction by the Grievance and Disciplinary Committee shall be

stayed, pending the final disposition of an appeal properly filed

by the respondent with the Commission.

(2)

The Commission Shall Meet to Consider Appeals. In the

discretion of the Commission’s chair, an appeal by the respondent

to the Commission of the Grievance and Disciplinary Committee’s

determination under subsection (d)(6) of this rule shall be heard

either by (i) a five-member panel of Commission members chosen

by the chair or the chair’s designee, or (ii) the members of the full

Commission. Any members of the committee who participated in

issuing the committee’s determination shall be recused and shall

not participate in the hearing. Under Rule 3(c), members of the

Commission shall recuse themselves from hearing the matter

when they cannot act impartially. No matter shall be heard and

decided by less than three Commission members.

e, or (ii) the members of the full

Commission. Any members of the committee who participated in

issuing the committee’s determination shall be recused and shall

not participate in the hearing. Under Rule 3(c), members of the

Commission shall recuse themselves from hearing the matter

when they cannot act impartially. No matter shall be heard and

decided by less than three Commission members.

(3)

Conduct of the Hearing.

At least thirty days prior to the hearing before the

Commission or panel, Commission staff shall forward to all

parties, special counsel to the Commission, and members

of the Commission or panel who will hear the matter, a

copy of all documents considered by the Grievance and

Disciplinary Committee and the names of the members of

the Commission or panel who will hear the matter.

Any written challenge questioning the neutrality of a

member of the Commission or panel shall be directed to

and decided by the Commission’s chair or the chair’s

designee. A written challenge shall be filed with the

Commission no later than seven days from the date the

person filing the challenge received notice of the members

who will hear the appeal.

Hearings conducted by the Commission or a panel under

this rule shall be de novo.

Applicants, complainants, respondents, and any witnesses

or others identified as having relevant information about

the matter may appear at the hearing with or without

counsel.

An appeal from a denial of an initial application for

certification or qualification of a mediator, neutral, or

mediator training program that relates to moral character,

conduct, or fitness to practice shall be held in private

unless the applicant requests a public hearing

hers identified as having relevant information about

the matter may appear at the hearing with or without

counsel.

An appeal from a denial of an initial application for

certification or qualification of a mediator, neutral, or

mediator training program that relates to moral character,

conduct, or fitness to practice shall be held in private

unless the applicant requests a public hearing. An appeal

from a denial of an application for certification renewal or

reinstatement that relate to ethics or conduct shall be open

to the public except that, for good cause shown, the

presiding officer may exclude from the hearing room all

persons except the parties, counsel, and those engaged in

the hearing.

In the event that the applicant, complaining party, or

respondent fails to appear without good cause, the

Commission or panel shall proceed to hear from the parties

and witnesses who are present and make a determination

based on the evidence presented at the proceeding.

Proceedings before the Commission or

conducted informally, but with decorum.

panel shall be

The Commission or panel, through its counsel, and the

applicant or respondent, may present evidence in the form

of sworn testimony and/or written documents and may

cross-examine any witness called to testify by the other.

Commission or panel members may question any witness

called to testify at the hearing. The Rules of Evidence shall

not apply, except as to privilege, but shall be considered as

a guide toward a full and fair development of the facts.

The Commission or panel shall consider all evidence

sworn testimony and/or written documents and may

cross-examine any witness called to testify by the other.

Commission or panel members may question any witness

called to testify at the hearing. The Rules of Evidence shall

not apply, except as to privilege, but shall be considered as

a guide toward a full and fair development of the facts.

The Commission or panel shall consider all evidence

presented and give the evidence appropriate weight and

effect.

If, in the discretion of the Commission’s chair, a panel is

empaneled to hear the appeal, then the Commission’s chair

or designee shall appoint one of the members of the panel

to serve as the presiding officer at the hearing before the

panel. The Commission’s chair or designee shall serve as

the presiding officer at a hearing before the full

Commission. The presiding officer shall have such

jurisdiction and powers as are necessary to conduct a

proper and efficient hearing and disposition of the matter

on appeal. The presiding officer may administer oaths and

may issue subpoenas for the attendance of witnesses and

the production of books, papers, or other documentary

evidence.

Nothing herein shall restrict the chair of the Commission

from serving on a panel or serving as its presiding officer

at any hearing held under the provisions of subsection (e)

of this rule.

(4)

Date of the Hearing. An appeal of any sanction imposed by the

Grievance and Disciplinary Committee shall be heard by the

Commission no later than 180 days from the date the notice of

appeal is filed with the Commission, unless waived in writing by

the respondent.

ing on a panel or serving as its presiding officer

at any hearing held under the provisions of subsection (e)

of this rule.

(4)

Date of the Hearing. An appeal of any sanction imposed by the

Grievance and Disciplinary Committee shall be heard by the

Commission no later than 180 days from the date the notice of

appeal is filed with the Commission, unless waived in writing by

the respondent.

(5)

Notice of the Hearing. The Commission’s office shall serve on

all parties by Certified Mail, return receipt requested, notice of

the date, time, and place of the hearing no later than sixty days

prior to the hearing, and such service shall be deemed sufficient

for the purposes of these rules. A copy of the hearing notice shall

also be sent through the U.S. Postal Service by First-Class Mail

directed to the respondent at the last mailing address provided to

the Commission by the respondent.

(6)

Ex Parte Communications. With the exception of Commission

staff, no person shall have any ex parte communication with a

member of the Commission concerning the subject matter of the

appeal. Communications regarding scheduling matters shall be

directed to staff.

(7)

Attendance. The presiding officer may, in his or her discretion,

permit an attorney to represent a party by telephone or through

video conference or allow witnesses to testify by telephone or

through video conference, with such limitations and conditions as

are just and reasonable. If an attorney or witness wishes to

appear by telephone or video conference, then the requesting

party shall notify Commission staff at least twenty days prior to

the proceeding. At least five days prior to the proceeding, staff

must be provided with the contact information of those who will

participate by telephone or video conference.

imitations and conditions as

are just and reasonable. If an attorney or witness wishes to

appear by telephone or video conference, then the requesting

party shall notify Commission staff at least twenty days prior to

the proceeding. At least five days prior to the proceeding, staff

must be provided with the contact information of those who will

participate by telephone or video conference.

(8)

Witnesses. The presiding officer shall exercise discretion with

respect to the attendance and number of witnesses who appear

voluntarily or involuntarily, for the purpose of ensuring the

orderly conduct of the proceeding. Each party shall forward to

the Commission’s office and to all other parties at least ten days

prior to the hearing the names of all witnesses who will be called

to testify.

(9)

Rights of the Applicant or Respondent at the Hearing.

At the hearing, the applicant or respondent may:

appear personally and be heard;

be represented by counsel;

call and examine witnesses;

offer exhibits; and

cross-examine witnesses.

(10)

Transcript. The Commission shall retain a court reporter to

keep a record of the proceeding. Any respondent who wishes to

obtain a transcript of the record may do so at his or her own

expense by contacting the court reporter directly. The only official

record of the proceeding shall be the one made by the court

reporter retained by the Commission. Copies of a tape,

noncertified transcript, or record made by a court reporter

retained by a respondent are not part of the official record.

(11)

Commission Deliberation. The members of the Commission or

panel shall deliberate to determine whether clear, cogent, and

convincing evidence exists to believe that an applicant or

respondent’s conduct is a violation of any of the provisions set out

in subsection (d)(2) of this rule.

cript, or record made by a court reporter

retained by a respondent are not part of the official record.

(11)

Commission Deliberation. The members of the Commission or

panel shall deliberate to determine whether clear, cogent, and

convincing evidence exists to believe that an applicant or

respondent’s conduct is a violation of any of the provisions set out

in subsection (d)(2) of this rule.

(12)

Commission Decision. After the hearing, a majority of the

Commission members hearing the appeal or the panel may find

that:

there is not clear, cogent, and convincing evidence to

support a referral or the imposition of sanctions and,

therefore, dismiss the complaint or direct Commission staff

to certify the applicant or recertify the mediator or

mediator training program; or

there is clear and convincing evidence that grounds exist to

refer or to impose sanctions. The Commission or panel may

impose the same or different sanctions than those imposed

by the Grievance and Disciplinary Committee or make the

same or a different referral.

The Commission or panel shall set forth its findings of fact,

conclusions of law, order of referral and/or imposition of

sanctions, or other action in writing and serve its decision on the

respondent within sixty days from the date the hearing is

concluded. A copy of the decision shall be sent by Certified Mail,

return receipt requested, and such service shall be deemed

sufficient for purposes of these rules. A copy of the decision shall

also be sent through the U.S. Postal Service by First-Class Mail

directed to the respondent at the last mailing address provided to

the Commission by the respondent.

A decision of the Commission or panel shall be, subject to

subsection (e)(15) of this rule, the final decision of the

Commission.

uch service shall be deemed

sufficient for purposes of these rules. A copy of the decision shall

also be sent through the U.S. Postal Service by First-Class Mail

directed to the respondent at the last mailing address provided to

the Commission by the respondent.

A decision of the Commission or panel shall be, subject to

subsection (e)(15) of this rule, the final decision of the

Commission.

(13)

Private and Public Sanctions.

Private Sanctions.

The Grievance and Disciplinary

Committee, or the Commission members or panel who

heard the respondent’s appeal, may impose private

sanctions against an applicant or respondent, which

include the following:

Letter of warning (a written communication to the

respondent stating that the respondent’s conduct,

while not a basis for public sanctions, was an

unintentional, minor, or technical violation of a

statute, rule, policy, or the Standards of Professional

Conduct for Mediators, or was unprofessional or not

in accord with accepted professional practice, and if

continued, may be a basis for public sanctions).

Reprimand (a written communication to the

respondent stating that the respondent’s conduct,

although a violation of a statute, rule, policy, or the

Standards of Professional Conduct for Mediators,

was minor and, if continued, may result in public

sanctions).

Denial of certification of an initial application.

Approval of certification or certification renewal

upon enumerated condition(s).

nd (a written communication to the

respondent stating that the respondent’s conduct,

although a violation of a statute, rule, policy, or the

Standards of Professional Conduct for Mediators,

was minor and, if continued, may result in public

sanctions).

Denial of certification of an initial application.

Approval of certification or certification renewal

upon enumerated condition(s).

Any other private sanction deemed appropriate by

the Commission members who heard the appeal or

the panel, including referrals as authorized by

subsection (d)(3)(b) of this rule.

Public Sanctions. The Grievance and Disciplinary

Committee, the Commission members who heard the

appeal, or the panel may impose public sanctions against

the respondent which include, but are not limited to, the

following:

Censure

written

communication

the

respondent stating that the violation of a statute,

rule, Commission policy, or the Standards of

Professional Conduct for Mediators is serious, has

caused or could cause significant or potential harm,

and if continued, may result in the imposition of

more serious sanctions).

Reinstatement upon condition(s).

Suspension of certification for a specified term, with

or without condition(s).

Denial of certification renewal.

Denial of reinstatement.

Decertification.

Any other sanction deemed appropriate by the

Commission members who heard the appeal or the

panel.

Imposition of Conditions.

The Grievance and

Disciplinary Committee or the panel may impose any

sanction set forth in subsections (e)(13)(a) and (e)(13)(b) of

this rule subject to reasonable conditions, which may

include, but are not limited to, the following:

Completion of additional training.

Restriction on the types of cases to be mediated in

the future.

Reimbursement of the fees paid to the mediator or

mediator training program.

ommittee or the panel may impose any

sanction set forth in subsections (e)(13)(a) and (e)(13)(b) of

this rule subject to reasonable conditions, which may

include, but are not limited to, the following:

Completion of additional training.

Restriction on the types of cases to be mediated in

the future.

Reimbursement of the fees paid to the mediator or

mediator training program.

Prohibition on participation as a trainer or person

associated with a certified mediator training

program, either indefinitely or for a specific period

of time.

Completion of additional observations.

Any other condition deemed appropriate by the

Commission members who heard the appeal or the

panel.

Factors that May Be Considered in Imposing

Sanctions and/or Conditions.

The intent of the respondent to commit acts

resulting in harm or the circumstances under which

the potential of causing harm was foreseeable.

The circumstances reflecting the respondent’s lack

of honesty, trustworthiness, or integrity.

A dishonest or selfish motive, or the absence thereof.

Any negative impact of the respondent’s conduct on

third parties, the public’s perception of the

mediation process, or the administration of justice.

A conviction of a felony.

Any prior disciplinary offenses, or the absence

thereof.

The remoteness of prior disciplinary offenses.

Any timely good faith efforts to rectify the

consequences of misconduct.

A pattern of misconduct.

10.

The effect of any physical or mental disability or

impairment, or personal or emotional problems, on

the conduct in question.

11.

A full disclosure and cooperative attitude toward the

disciplinary process.

12.

Any bad faith obstruction of the disciplinary process

by intentionally failing to comply with rules or

orders of the Commission or by submitting false

evidence or making false statements to the

Commission.

mental disability or

impairment, or personal or emotional problems, on

the conduct in question.

11.

A full disclosure and cooperative attitude toward the

disciplinary process.

12.

Any bad faith obstruction of the disciplinary process

by intentionally failing to comply with rules or

orders of the Commission or by submitting false

evidence or making false statements to the

Commission.

13.

The respondent’s failure to acknowledge the

wrongful nature of his or her conduct or to express

remorse.

14.

An expression of remorse and acknowledgement of

the wrongful nature of the respondent’s conduct.

15.

The character or reputation of the respondent.

16.

The respondent’s mediation experience and the

number of years that the respondent has been

certified.

17.

Any other factor found to be pertinent to the

consideration of the sanctions to be imposed.

(14)

Publication of Grievance and Disciplinary Committee or

Commission Decisions.

The names of respondents who have been issued a private

sanction as set forth in subsection (e)(13)(a) of this rule or

applicants who have never been certified but have been

denied certification shall not be published by the

Commission.

The names of respondents or applicants for certification

renewal who are sanctioned under any provision of

subsection (e)(13)(b) of this rule or who have been denied

reinstatement under this rule shall be published by the

Commission, along with a short summary of the facts

involved and the discipline imposed. For good cause

shown, the Grievance and Disciplinary Committee or the

Commission may waive this requirement.

pplicants for certification

renewal who are sanctioned under any provision of

subsection (e)(13)(b) of this rule or who have been denied

reinstatement under this rule shall be published by the

Commission, along with a short summary of the facts

involved and the discipline imposed. For good cause

shown, the Grievance and Disciplinary Committee or the

Commission may waive this requirement.

Chief district court judges, senior resident superior court

judges, and clerks in judicial districts and counties in

which a respondent is available to serve, the North

Carolina State Bar and any other professional licensing or

certification bodies to which a respondent is subject, and

other trial forums or agencies having mandatory programs

and using mediators certified by the Commission shall be

notified of any public sanction and/or condition imposed

upon a respondent.

(15)

Appeal.

The Superior Court, Wake County, shall have

jurisdiction over appeals of Commission or panel decisions

imposing sanctions or denying applications for mediator or

mediator training program certification or certification renewal.

An order imposing sanctions or denying an application for

mediator

training

program

certification

certification renewal shall be reviewable upon appeal, and the

entire record, as submitted, shall be reviewed to determine

whether the order is supported by substantial evidence. Notice of

appeal by a respondent shall be filed in the Superior Court, Wake

County, no later than thirty days from the date of the actual

delivery of the order imposing sanctions or denying certification

cation

certification renewal shall be reviewable upon appeal, and the

entire record, as submitted, shall be reviewed to determine

whether the order is supported by substantial evidence. Notice of

appeal by a respondent shall be filed in the Superior Court, Wake

County, no later than thirty days from the date of the actual

delivery of the order imposing sanctions or denying certification

or certification renewal to the applicant or respondent, or no later

than thirty days from the date of the last attempted delivery to

the applicant or respondent by the U.S. Postal Service. A copy of

the notice of appeal shall also be sent to the applicant or

respondent through the U.S. Postal Service by First-Class Mail

directed to respondent or applicant at the last mailing address

provided to the Commission by the applicant or respondent.

(16)

Effective Date of Sanction Imposed. A sanction imposed

against a respondent becomes effective either upon the expiration

of the period within which an applicant or respondent may appeal

the determination of the Grievance and Disciplinary Committee,

or upon a final decision by the Commission or a panel after

hearing a timely appeal of the committee’s imposition of

sanctions.

(17)

Petition for Reinstatement or New Application Following

a Denial of Initial or Subsequent Application. An applicant

whose application for certification has been denied under the

provisions of subsection (e)(13)(a) of this rule may be certified, or

a respondent who has been decertified may be reinstated, under

subsection (e)(17)(h) of this rule. Except as otherwise provided by

the Grievance and Disciplinary Committee, the Commission, or a

panel of the Commission, no petition for reinstatement or new

application for certification following a denial may be tendered

within two years of the date of the order of decertification or the

date of denial of the application for certification.

tated, under

subsection (e)(17)(h) of this rule. Except as otherwise provided by

the Grievance and Disciplinary Committee, the Commission, or a

panel of the Commission, no petition for reinstatement or new

application for certification following a denial may be tendered

within two years of the date of the order of decertification or the

date of denial of the application for certification.

A petition for reinstatement or a new application for

certification after a denial shall be made in writing,

verified by the applicant or petitioner, and filed with the

Commission’s office.

The petition for reinstatement or the new application for

certification following a denial shall contain:

the name and address of the applicant or petitioner;

the reasons why certification was denied or the

moral character, conduct, or fitness concerns upon

which the suspension, decertification, or bar to

serving as a trainer or training program manager

was based;

a concise statement of facts alleged to meet the

applicant or petitioner’s burden of proof as set forth

in subsection (e)(17)(g) of this rule and alleged to

justify certification or reinstatement as a certified

mediator or certified mediator training program;

and

a statement consenting to a criminal background

check, signed by the applicant or petitioner; or, if the

applicant or petitioner is a mediator training

program, by the trainers or instructors affiliated

with the program.

The petition for reinstatement or the application for

certification following a previous denial may also contain a

request for a hearing on the matter to consider any

additional evidence which the applicant or petitioner

wishes to submit, including any third-party testimony

regarding his or her moral character, competency, or

fitness to practice as a mediator

s affiliated

with the program.

The petition for reinstatement or the application for

certification following a previous denial may also contain a

request for a hearing on the matter to consider any

additional evidence which the applicant or petitioner

wishes to submit, including any third-party testimony

regarding his or her moral character, competency, or

fitness to practice as a mediator. A petition or application

for certification from a mediator training program may

contain a request for a hearing on the matter to consider

any additional evidence regarding the effectiveness of the

program and/or the qualifications of its trainer(s).

Commission staff shall refer the petition for reinstatement

or the application for certification following a denial to the

Commission for review. In the discretion of the

Commission’s chair, the chair or designee may (i) appoint

a five-member panel of Commission members to review the

matter, or (ii) put the matter before the Commission for

review. The panel shall not include any members of the

Commission who were involved in any prior determination

involving the applicant or petitioner.

Members of the

Commission shall recuse themselves from reviewing any

matter if they cannot act impartially. Any challenges

questioning the neutrality of a member reviewing the

matter shall be decided by the Commission’s chair or

designee. No matter shall be heard and decided by less

than three Commission members.

If the applicant or petitioner does not request a hearing

under subsection (e)(17)(c) of this rule, then the

Commission or panel members shall review the application

or petition and shall decide whether to grant or deny the

applicant’s application for certification or the petitioner’s

petition for reinstatement after denial within sixty days

from the filing of the application or petition. That decision

shall be final.

r does not request a hearing

under subsection (e)(17)(c) of this rule, then the

Commission or panel members shall review the application

or petition and shall decide whether to grant or deny the

applicant’s application for certification or the petitioner’s

petition for reinstatement after denial within sixty days

from the filing of the application or petition. That decision

shall be final.

If the applicant or petitioner requests a hearing, it

shall be held within 180 days from the filing of the

application or petition, unless the time limit is waived by

the applicant or petitioner in writing. In the discretion of

the chair of the Commission, the hearing shall be

conducted before the Commission or a panel appointed by

the chair. At the hearing, the applicant or petitioner may:

appear personally and be heard;

be represented by counsel;

call and examine witnesses;

offer exhibits; and

cross-examine witnesses.

At the hearing, the Commission may call witnesses, offer

exhibits, and examine the applicant or petitioner and

witnesses.

The burden of proof shall be upon the applicant or

petitioner to establish by clear, cogent, and convincing

evidence that:

the applicant or petitioner has (i) rehabilitated his

or her character; (ii) addressed and resolved any

conditions that led to his or her denial of certification

or decertification; (iii) completed additional training

in mediation theory and practice, studied program

rules, the Standards of Professional Conduct for

Mediators, and ethics to ensure his or her

competency as a mediator; and/or (iv) taken steps to

address and resolve any other matter which led to

the applicant or petitioner’s denial of certification or

decertification;

certification

or decertification; (iii) completed additional training

in mediation theory and practice, studied program

rules, the Standards of Professional Conduct for

Mediators, and ethics to ensure his or her

competency as a mediator; and/or (iv) taken steps to

address and resolve any other matter which led to

the applicant or petitioner’s denial of certification or

decertification;

the applicant or petitioner, if a mediator training

program, has corrected any deficiencies as required

enabling

legislation,

program

rules,

Commission policies, and has addressed and

resolved any issues related to the qualifications or

character issues of any persons affiliated with the

program;

the

petitioner’s

reinstatement

applicant’s

certification will not be detrimental to the Mediated

Settlement

Conference,

Family

Financial

Settlement, Clerk Mediation, District Criminal

Court Mediation programs, or to other programs, the

Commission, the courts, or the public; and

the applicant or petitioner has completed any

paperwork

required

for

certification

reinstatement, including, but not limited to, the

completion of a new application and execution of a

release to conduct a background check, and has paid

any required reinstatement and/or certification fees.

If the applicant or petitioner has established that the

conditions set forth in subsection (e)(17)(g) of this rule have

been met by clear, cogent, and convincing evidence, then

the Commission shall certify or reinstate the applicant or

petitioner as a certified mediator or mediator training

program. Certification or reinstatement may be

conditioned upon the completion of any reasonable

condition set forth in subsection (e)(13)(c) of this rule.

The Commission or panel shall set forth its decision to

certify or reinstate an applicant or petitioner or to deny

certification or reinstatement in writing, making findings

of fact and conclusions of law

ed mediator or mediator training

program. Certification or reinstatement may be

conditioned upon the completion of any reasonable

condition set forth in subsection (e)(13)(c) of this rule.

The Commission or panel shall set forth its decision to

certify or reinstate an applicant or petitioner or to deny

certification or reinstatement in writing, making findings

of fact and conclusions of law. A copy of the decision shall

be sent by Certified Mail, return receipt requested, within

sixty days from the date of the hearing, and such service

shall be deemed sufficient for purposes of these rules.

A copy of the decision shall also be sent to the applicant or

petitioner through the U.S. Postal Service by First-Class

Mail.

If a new application for certification or petition seeking

reinstatement is denied, then the applicant or petitioner

may not apply again under subsection (e)(17) of this rule

until two years have elapsed from the date of the decision

denying certification or reinstatement.

The Superior Court, Wake County, shall have jurisdiction

over appeals of Commission decisions to deny certification

or reinstatement under subsection (e)(17) of this rule.

A decision denying certification or reinstatement under

this section shall be reviewable upon appeal, and the entire

record, as submitted, shall be reviewed to determine

whether the decision is supported by substantial evidence.

Notice of appeal shall be filed in the Superior Court, Wake

County, no later than thirty days from the date of the

actual delivery to the applicant or petitioner of the

decision, or no later than thirty days from the last

attempted delivery by the U.S. Postal Service.

History Note.

373 N.C. 606; Order Dated 11 December 2024.

This is a copy of a public record, reproduced as it was published. It is not legal advice, and it may not be the version a court would rely on. Check the official source before you cite it.