In re AMENDMENTS TO the FLORIDA RULES FOR CERTIFIED AND COURT-APPOINTED MEDIATORS, 202 So. 3d 795

PER CURIAM. This matter is before the Court for consideration of proposed amendments to the Florida Rules for Certified and Courts Appointed Mediators (Mediator Rules). We have jurisdiction. See art. V, § 2(a), Fla. Const.; § 44.106, Fla. Stat. (2016). BACKGROUND The Supreme Court Committee on Alternative Dispute Resolution Rules and Policy (Committee) has filed a petition to amend the Mediator Rules. The petition represents several years of work by the Committee and the Dispute Resolution Center to redraft

Part III (Discipline) of the Mediator Rules. The Committee indicates that the existing rules in

Part III have often proven confusing, lacking in guidance, or inadequate to address the increasing number and complexity of grievances alleging violations of the Mediator Rules or issues of good moral character in applicants for mediator certification. Accordingly, the proposals here are intended to close existing gaps in the rules, memorialize and clarify current procedures, and address situations for which no direction existed. Because the Committee did not publish its proposals before submitting them, the Court published the proposed amendments for comment.

We received comments from the Mediation/Arbitration Division of the Eleventh Judicial Circuit, and from the Alternative Dispute Resolution Section--of The Florida Bar. The Committee filed a response to the comments; in some instances, its response included revised rule proposals. The Court heard oral argument on the proposed amendments. We have fully considered the Committee’s proposals, the comments, and the issues raised at oral argument. As discussed in this opinion, we adopt the Committee’s proposed amendments, with some modifications.

We discuss some of the more significant amendments to the Mediator Rules below. AMENDMENTS Initially, the title of

Part III of the Mediator Rules is changed to “Mediation Certification Applications and Discipline,” in order to better reflect that this

Part covers both discipline of certified mediators and the qualifications for applicants for mediator certification. Similarly, rule 10.700 (Scope and Purpose) is amended, as proposed by the Committee, to clarify that

Part III applies to all proceedings before investigatory committees and adjudicatory panels of the Mediator Qualifications and Discipline Review Board (MQDRB) (formerly the Mediator Qualifications Board), including applications for certification, as well as discipline of certified and court-appointed mediators. Rule 10.720 (Definitions) is amended to include several new

definitions. Subdivision (a) (Applicant) provides that the term “applicant” encompasses any new applicant for mediator certification, applicants seeking renewal of a current certification, applicants applying for additional types of certifications, or applicants seeking reinstatement of a certification. Subdivision (e) (File) provides a new definition for the term “file,” now requiring persons to deliver any pleadings, motions, instruments, or other papers to the Dispute Resolution Center. Additionally, we add new subdivisions (j) (Panel Adviser) and (k) (Prosecutor).

A panel adviser is a member of The Florida Bar retained by the Dispute Resolution Center to assist the hearing panel in performing its- functions during a hearing. The prosecutor is a member of the Bar retained by the Center to prosecute a complaint before a hearing panel. The prosecutor is authorized to perform additional investigation to prepare a case, negotiate a consent to charges and an agreement to the imposition of sanctions, and to fully prosecute the case.. Also in rule 10,720, we have amended or added several new terms to reflect the néw procedures in

Part III for handling grievances. Under these amended rules, grievances alleging issues of good moral character in applicants, and grievances alleging violations of the Mediator Rules by certified and court-appointed mediators, will be processed in separate tracks. Accordingly, the general term “complaint” in existing subdivision (

c) is deleted and replaced with the new terms “Good Moral Character Inquiry” in subdivision (

f) and “Rule Violation Complaint” in subdivision (m). As proposed by the Committee, a “Good Moral Character Inquiry” is the process that is initiated when the Dispute Resolution Center becomes aware of information relating to the good moral character of any certified or court-appointed mediator or applicant for certification, and a “Rule Violation Complaint” is the formal submission by any person or the Dispute Resolution Center of an alleged rule violation committed by a certified or court-appointed mediator.

Similarly, the terms “Qualifications Complaint Committee” and “Complaint Committee” are deleted and replaced with the terms “Qualifications Inquiry Committee,” or QIC, in new subdivision (£) and “Rule Violation Complaint Committee,” or RVCC, in new subdivision (n). The QIC is composed of four members of the MQDRB selected by rotation for a one-year term to conduct investigations and dispose of good moral character inquiries; we have revised the Committee’s proposal in subdivision (

l) to clarify that the QIC will conduct investigations and address good moral character inquiries for any applicant. The RVCC will be composed of three members of the MQDRB ■ selected by rotation to investigate and dispose of a specific rule violation complaint against a certified or court-appointed mediator. The QIC and the RVCC serve as the investigatory arm of the process; once the QIC or the RVCC determines there is probable cause, the ease is assigned to a panel for adjudication.

As proposed by the Committee, subdivision (i) (Panel) now provides that the panel will be composed of five members of the MQDRB selected by rotation to adjudicate formal charges resulting from a rule violation or good moral character complaint. Panel members will be selected from the division of the MQDRB where the complaint arose, unless the Director of the Dispute Resolution Center finds good reason to choose members from another division.

We next amend rule 10.730 (Mediator Qualifications and Discipline Review Board), in subdivision (a) (Generally), to authorize a fourth standing division—the Southwest Division—of the MQDRB. The existing three divisions are labeled “Northern,” “Central,” and “Southeast,” respectively. Subdivision (b)(5) (Composition of Divisions; Dependency Mediators) of rule 10.730 is amended to require that at least one dependency mediator serving as a member in each standing division of the MQDRB must be a non-lawyer.

We also amend subdivision (b)(7) (Composition of Divisions; Attorneys) to allow both currently licensed attorneys and previously licensed attorneys who have or had a substantial trial or appellate practice, and who have knowledge of and experience with mediation practice, statutes, and rules, to serve as members. Subdivision (c) (Appointment and Term) is amended to provide that members of the MQDRB shall not serve more than three .consecutive terms.

Finally, subdivisions (d) (Rule Violation Complaint Committee (RVCC)), (e) (Qualifications Inquiry Committee (QIC)), and (f) (Panels), are amended, as proposed by the Committee, to clarify the composition of the RVCC, the QIC, and the hearing panel. As we have discussed, the RVCC will be composed of three members of the MQDRB selected to investigate a specific rule violation complaint against a certified or court-appointed mediator; each RVCC will cease to exist after disposing of the complaint to which it was assigned.

To the extent possible, members of the RVCC will be selected from the division where the alleged rule violation occurred. The QIC is composed of four members, one from .each of the four divisions of the MQDRB, selected to serve a one-year term and to investigate all good moral character inquiries that may arise during that period. And the hearing panel will be composed of five members of the MQDRB selected on a rotation basis; like the RVCC, the panel is assigned to a single case and will cease to exist after the case is decided.

Rule 10.740 (Jurisdiction and Powers) is amended, as recommended by the Committee, to more clearly identify the powers of the RVCC, the QIC, the hearing panel and the chair of the panel, and the new Contempt/Disqualification Judge. Subdivisions (a) (RVCC) and (b) (QIC) provide that the judge or attorney serving as chair of the committee shall have the power to compel: the attendance of any person at a proceeding before the RVCC or the QIC; statements, testimony, and depositions from any person; and the production of documents, records, and other evidence.

The RVCC and the QIC also have the authority to resolve cases prior to refer-. ring them -to a panel; Subdivision (d) (Panel Chair) outlines the powers of the judge serving as chair of the hearing panel. These are largely the same as those in the current rule, excépt-that the chair shall now have the power to implement procedures during the hearing, determine the admissibility of evidence, and decide motions.

Finally, we add a new subdivision (e) (Contempt/Disqualification Judge) to rule 10.740, as proposed by the Committee in its response to comments, to provide that one judge member from each division of the MQDRB shall be designated to serve as the Contempt/Disqualification Judge for a one-year term. The Contempt/Disqualification Judge will hear all motions for contempt at the complaint committee level—including motions for contempt filed by the RVCC or the QIC and those brought by the mediator or applicant—as well as motions to disqualify any member of the RVCC, the QIC, or the Panel Chair.

Rule 10.750 (Contempt Process) will now serve as a stand-alone rule addressing the contempt process. The rule, as proposed by the Committee in response to comments, provides in subdivision (a) (General) that, if any person fails to respond to a lawful subpoena of the RVCC, QIC, or panel, refuses to answer all inquiries or to turn over all evidence lawfully subpoenaed, or engages in disorderly conduct, he or she may be found in contempt.

Subdivision (b) (RVCC or QIC Contempt) states that a motion for contempt, together with a proposed order to show cause, may be filed before the Contempt/Disqualification Judge in the division where the matter is pending. Alternatively, subdivision (c) (Panel Contempt) provides that the chair of a panel may hear motions for contempt filed either before or during a hearing, or for conduct occurring during the hearing.

We adopt new rule 10.760 (Duty to Inform), requiring a certified mediator to inform the Dispute Resolution Center in writing within thirty days of having been reprimanded, sanctioned, or otherwise disciplined by any court, administrative agency, bar association, or other professional group. We have modified the Committee’s proposal to delete the term “admonish” and we emphasize that this rule requires certified mediators to report only those actions that the sanctioning entity would consider to be a disciplinary measure.

We made significant amendments to rule 10.800 (Good Moral Character Inquiry Process), as proposed by the Committee, to clarify procedures for investigating an applicant’s good moral character, from the filing of an “inquiry” to the preparation of formal charges for submission to a hearing panel. Initially, subdivision (a) (Generally) now provides that any issues pertaining to the good moral character of an applicant will be heard by the QIC, which will determine if the applicant has the good moral character necessary for certification pursuant to Mediator Rule 10.110 (Good Moral Character).

As the first step in this process, pursuant to subdivision (c) (Initial Review), the Dispute Resolution Center will review applications for certification to determine whether the applicant appears to meet the standards for good moral character in rule 10.110. If the Center’s review raises questions as to the applicant’s good moral character, it shall request that the applicant supply additional information.

Thereafter, if the information continues to raise questions as to the applicant’s character, the Dispute Resolution Center will forward the application and supporting materials to the QIC as an “inquiry.” Subdivision (e) (Notification) requires the Dispute Resolution Center, within ten days of referring a matter to the QIC, to send notice of the inquiry to the applicant.

Subdivisions (d) (Process), (f) (Investigation), (g) (QIC Meeting with the Applicant), (h) (Notice and Publication), (i) (Review), (j) (No Probable Cause), (k) (Probable Cause and Formal Charges), (Z) (Withdrawal of Application), and (m) (Panel) in rule 10.800 outline the QIC’s-process in reviewing an “inquiry.” Pursuant to subdivision (d)(1), pertaining to new applications for certification, and subdivision (d)(2), relating to applicants seeking a renewal of certification, the QIC may review inquiries submitted by the Dispute Resolution Center and recommend approving the application.

Alternatively, if the QIC finds reason to believe that the applicant lacks good moral character it may: offer the applicant an opportunity to withdraw his or her application prior to finding probable cause; allow the applicant to satisfy additional conditions; or prepare a complaint. Subdivisions (d)(1)(

C) and (d)(2)(

C) provide that the complaint will be submitted to the Dispute Resolution Center for forwarding to the applicant. The applicant shall respond to the complaint within twenty days of receiving it (unless the Dispute Resolution Center extends the time in writing). After receiving the applicant’s response, the QIC may dismiss the complaint and approve the application or it may make a finding of probable cause.

More specifically, subdivision (i) (Review) provides that the QIC shall review all information before it and determine if there is probable cause to believe that the alleged conduct would constitute evidence of the applicant’s lack of good moral character. Pursuant to subdivision (j) (No Probable Cause), if the QIC finds no probable cause, it will dismiss the inquiry and advise the applicant in writing.

Alternatively, under subdivision (k) (Probable Cause and Formal Charges), if the QIC finds probable cause to believe that the applicant lacks the good moral character' necessary to be certified as a mediator, it will draft formal charges and forward such charges to the Dispute Resolution Center for assignment to a hearing panel. The charges shall include a statement of the matters regarding the applicant’s lack of good moral character, with references to the related rules.

Finally, pursuant to subdivision (l) (Withdrawal of Application), if an applicant withdraws his or her application for certification, the QIC does not lose its jurisdiction to continue prosecuting the case under these procedures. The commenters argue that rule 10.800 (and rules 10.810 (Rule Violations Complaint Process) and 10.820 (Hearing Panel Procedures), discussed below) do not impose specific time frames for the QIC (and the RVCC and hearing panel) to act, but do impose such time frames on the applicant or mediator, in violation of fundamental fairness and due process.

As the Committee points out in its response, both the Rules of the Supreme Court Relating to Admissions to the Bar and the Rules Regulating the Florida Bar, on which these Mediator Rules are modeled, also do not impose specific time frames for the Florida Board of Bar Examiners or The Florida Bar. to act in their investigations. However, in adopting rules 10.800, 10.810, and 10.820, we express no opinion as to their constitutionality. See Amends, to Fla.

Family Law Rules of Pro. (Rule 12.525), 897 So.2d 467, 468 (Fla.2005) (“In adopting this rule, we express no opinion as to its constitutionality.”); Amend. to Rules of Juvenile Pro., Fla. R. Juv. P. 8.350, 842 So.2d 763, 768 (Fla.2003) (“In adopting this rule,, we express no. opinion as to its constitutionality.”). We also made substantial amendments to rule 10.810 (Rule Violations Complaint Process). This rule will now exclusively address the procedures for reviewing and investigating alleged violations of the Mediator Rules. First, in subdivision (a) (Initiation of.

Complaint), an individual or the Dispute Resolution Center may file a complaint alleging that a mediator violated one or more of the Mediator Rules. Complaints filed by individuals must be written, sworn, and notarized; a complaint initiated by the Dispute Resolution Center need not be sworn or notarized, but must be signed by the Center’s director or staff attorney. Pursuant to subdivision (b) (Filing), all complaints must be filed with the Dispute Resolution Center, which will stamp the complaint with the date of receipt.

When the Dispute Resolution Center receives a complaint, subdivision (c) (Assignment to a Rules Violation Complaint Committee (RVCC)) of rule 10.810 requires it to assign the complaint to a RVCC within a reasonable period of time. The Dispute Resolution Center will send a notice of the complaint to the mediator “as soon as practical.” Thereafter, under subdivision (d) (Facial Sufficiency Determination), the RVCC will convene by conference call to determine whether the allegations, if true, would constitute a violation of the Mediator Rules.

If the RVCC determines that the complaint is facially insufficient, it is dismissed without prejudice and the complainant notified. We have revised the Committee’s proposal in subdivision (d)(1) to allow the complainant only one opportunity to re-file the complaint and establish facial sufficiency. If the RVCC determines that the complaint is facially sufficient, it will prepare a list of the rules that may have been violated and submit the list to the Dispute Resolution Center.

Subdivision (e) (Service) requires the Center to serve the mediator, either electronically or by certified mail, with the list of alleged rule violations, a copy of the complaint, and a link to an electronic copy of the Mediator Rules. Subdivision (f) (Response) states that the mediator must send a written, sworn, and notarized response to the complaint by registered or certified mail within twenty days after receiving it. If the mediator fails to respond to the complaint within the time allowed, the allegations therein are deemed admitted and the matter may be referred to a hearing panel.

Similar to the procedures in rule 10.800, subdivision (k) (Review) of rule 10.810 provides that, if no other disposition has occurred, the RVCC shall review the complaint, the response from the mediator, and any other information available and determine whether there is probable cause to believe that the alleged misconduct occurred and would constitute a violation of the Mediator Rules. Pursuant to subdivision (l) (No Probable Cause), if the RVCC finds no probable cause it will dismiss the complaint with prejudice, and such decision is final.

Alternatively, under subdivision (m) (Probable Cause Found), if the RVCC finds that probable cause exists, it may draft formal charges and forward them to the Dispute Resolution Center for assignment to a panel.

The RVCC is also authorized to decide not to proceed with a case by filing an “Order of Non-Referral.” Finally, subdivision (n) (Formal Charges and Counsel) is amended, as proposed by the Committee, to provide that, if the RVCC finds probable cause and prepares formal charges, the charges must include a statement of the allegations in the complaint, any additional information relevant to the finding of a rule violation, and references to the particular rules violated. The formal charges are signed by the chair, or by the other two members of the RVCC.

We amend rule 10.820 (Hearing Panel Procedures), as recommended by the Committee, to more thoroughly address the hearing panel’s process during the adjudicatory stage of a case. Subdivision (a) (Notification of Formal Charges) requires that, when the QIC or a RVCC refers formal charges to the Dispute Resolution Center, the Center will promptly send a copy of the charges to the mediator or applicant (and to the complainant, if any), by certified mail. Subdivisions (b) (Prosecutor) and (c) (Panel Adviser) authorize the Dispute Resolution Center to retain a prosecutor and panel adviser to assist in the hearing.

We amend subdivision (f) (Time of the Hearing) to grant the Center additional time to

schedule a hearing—it is now required to

schedule the hearing for a date not more than 120 days, and not less than 30 days, from the date of the notice advising the mediator or applicant that his or her case has been assigned to the panel. Also in rule 10.820, subdivision (i) (Procedures for Hearing) is amended to outline in one place all the procedures that may apply during a hearing before the panel. We note several of these new procedures.

Subdivision (i)(l) (Panel Presence) provides that no hearing shall be conducted without the chair being physically present; other panel members must be also be physically present, unless the chair determines that exceptional circumstances exist. Subdivision (i)(5) (Testimony) states that testimony may be given, through telephonic or other communication equipment, upon a showing of good cause to the chair of the panel within a reasonable time prior to the hearing. The Committee indicates in its response to comments that any party may file a motion to allow testimony through telephonic equipment.

The motion would be set for hearing and both parties afforded an opportunity to. be heard on the issue. Subdivision (i)(10) (Mediator’s or Applicant’s Failure to Appear) provides that if the mediator or applicant fails to appear at the hearing, the panel may nonetheless proceed with the hearing. If the hearing is conducted without the mediator or applicant present, and the mediator or applicant did not respond to the underlying complaint (and as a result, the allegations in the complaint are deemed admitted), no further notice to the mediator or applicant is necessary and the decision of the panel is final.

If the hearing is conducted and the mediator or applicant did respond to the underlying complaint, the Dispute Resolution Center will notify him or her that the hearing occurred and whether sanctions were imposed. The mediator or applicant may petition for rehearing by showing good cause for his or her absence. The petition for rehearing must be received by the Dispute Resolution Center and the prosecutor within ten days after the Center notified the mediator or applicant of the panel’s decision. The chair of the panel alone is authorized to conduct a hearing and decide the petition.

Rule 10.840 (Sanctions), as amended, now more clearly defines the sanctions that may be imposed against both applicants and mediators. In subdivision (b) (Types of Sanctions), we add the denial of an application so that the list includes sanctions appropriate for an applicant. Subdivision (

b) also includes other sanctions currently authorized in existing Mediator Rules. We have revised the Committee’s proposal in subdivision (b)(7) to limit suspensions to one year. We have also revised the Committee’s proposal in subdivision (b)(9) to limit the types of taxable costs to only those outlined in the rule. Also in rule 10.840, subdivision (c) (Failure to Comply with Sanctions) sets out steps the Dispute Resolution Center may take if a mediator or applicant does not comply with any sanction.

If there is a reasonable belief that a mediator or applicant failed to comply with a sanction, the Dispute Resolution Center may file a motion for contempt with the Contempt/Disqualification Judge in the division where sanctions were agreed to or imposed. The mediator or applicant is served with a copy of the motion and shall file a response within twenty days. If no response is received, the allegations in the motion are deemed admitted. The Dispute Resolution Center will set a hearing before the Contempt/Disqualification Judge, with notice to the mediator or applicant.

We have revised the Committee’s proposal in subdivision (c)(4), and we emphasize that the contempt hearing may address only those allegations of which the mediator or applicant has notice. However, subdivision (c)(4) provides that the holding of a hearing shall not preclude subsequent hearings on any other alleged failures to comply with a sanctions order or agreement. Any sanctions previously imposed against the mediator or applicant will continue in effect until the Contempt/Disqualification Judge reaches a decision.

Finally, a finding by the Contempt/Disqualification Judge of a willful failure to substantially comply with any sanction shall result in the automatic decertification of the mediator for no less than two years. In rule 10.850 (Suspension, Decertification, Denial of Application, and Removal), subdivision (a) (Suspension) provides that during a period of suspension, a mediator must continue to comply with all requirements for certification, including submission of a renewal application, fees, and continuing education requirements.

Additionally, subdivision (c) (Automatic Decer-tification or Automatic Denial of Application), as proposed by the Committee, now outlines instances requiring the automatic decertification of a mediator, or the automatic denial of an application for certification. Pursuant to subdivision (c)(1) (Conviction of Felony of Certified Mediator), if the Dispute Resolution Center'finds that a certified mediator has a felony conviction, the mediator is automatically decertified; he or she may not apply for certification for two years, or until civil rights are restored, whichever occurs later.

Similarly, in subdivision (c)(2) (Conviction of Felony of Applicant), if the Center finds that an applicant has a felony conviction and his or her civil rights have not been restored, the application will be automatically denied. Subdivision (c)(3) (Revocation of Professional License of Certified Mediator) requires that, if. the Dispute Resolution Center finds that a certified mediator has been disbarred from any state or federal bar or has had any other professional license revoked, he or she will be automatically decertified, and is ineligible to reapply for certification for two years.

And subdivision (c)(4) (Revocation of Professional License of Applicant) provides that, if the Center finds that an applicant has been disbarred from any state or federal bar or has had a professional license revoked, the applicant will be automatically denied certification and is precluded from reapplying for a period of two years. We amend the remaining subdivisions in rule 10.850 as proposed by the Committee in its response to comments. Rule 10.870 (Confidentiality) will now address confidentiality of proceedings under the Mediator Rules.

As recommended by the Committee, we have substantially amended existing provisions addressing confidentiality consistent with those adopted by the Court in May 1992, prior to the adoption of

article I,

section 24 (Access to Public Records and Meetings) of the Florida Constitution. Proposed Stds. of Prof. Conduct for Certified and Court-Appointed Mediators, 604 So.2d 764 (Fla.1992). The rule now provides that, until the finding of probable cause, all communications and proceedings are confidential. Upon the filing of formal charges, the formal charges and all documents created subsequent to the filing of formal charges shall be public, with the exception of those matters that are otherwise confidential under law or court rule.

Finally, we adopt new rule 10.890 (Limitation on Time to Initiate a Complaint), as proposed by the Committee in its response to comments, to set limits on the time to file a complaint alleging a violation of the Mediator Rules or an issue of good moral character. Subdivision (a) (Rule Violations) requires that complaints alleging violations of the Mediator Rides shall not be filed more than two years after the date on which the party had a reasonable opportunity to discover the alleged violation, and in no event more than four years after the matter occurred.

Pursuant to subdivision (b) (Felonies), there is no limit on the time to file a complaint alleging a felony conviction by a mediator or applicant. And subdivision (c) (Good Moral Character) states that a complaint alleging an issue of good moral character pertaining to an applicant for certification shall not be filed more than four years after the Dispute Resolution Center discovered the matter. CONCLUSION Accordingly, we amend the Florida Rules for Certified and Court-Appointed Mediators as reflected in the appendix to this opinion.

New language is indicated by underscoring; .deletions are indicated by struck-through type. The committee notes are offered for explanation only and are not adopted as an official part of the rules. The amendments shall become effective January 1, 2017, at 12:01 a.m. It is so ordered. LABARGA, C.J., and PARIENTE, LEWIS, QUINCE, CANADY, POLSTON, and PERRY, JJ., concur. APPENDIX

PART II. STANDARDS OF PROFESSIONAL CONDUCT RULE 10.200. SCOPE AND PURPOSE These Rules provide ethical standards of conduct for certified and court-appointed mediators. Court-appointed mediators are mediators selected by the parties or appointed by the court as the mediator in court-ordered mediations. TheyThese Rules are intended to both guide mediators in the performance of their services and instill public confidence in the mediation process. The public’s use, understanding, and satisfaction with mediation can only be achieved if mediators embrace the highest ethical principles.

Whether the parties involved in a mediation choose to resolve their dispute is secondary in importance to whether the mediator conducts the mediation in accordance with these ethical standards. Committee Notes 2000 Revision. In early 1991, the Florida Supreme Court Standing Committee on Mediation and Arbitration Rules was commissioned by the Chief Justice to research, draft and present for adoption both a comprehensive set of ethical standards for Florida mediators and procedural rules for their enforcement.

To accomplish this task, the Committee divided itself into two sub-committees and, over the remainder of the year, launched parallel programs to research and develop the requested ethical standards and grievance procedures. The Subcommittee on Ethical Standards began its task by searching the nation for other states or private dispute resolution organizations who had completed any significant work in defining the ethical responsibilities of professional mediators.

After searching for guidance outside the state, the subcommittee turned to Florida’s own core group of certified mediators for more direct and firsthand data. Through a series of statewide public hearings and meetings, the subcommittee gathered current information on ethical concerns based upon the 'expanding experiences of practicing Florida certified mediators, In May of 1992, Tthe “Florida Rules for Certified and CourU-Appointed Mediators” became effective. In the years following the adoption of those ethical rules, the Committee observed their impact on the mediation profession.

By 1998, several other states and dispute resolution organizations initiated research into ethical standards for mediation which also became instructive to the Committee. In addition, Florida’s Mediator Qualifications Advisory Panel, created to field ethical questions from practicing mediators, gained a wealth of pragmatic experience in the application of ethical concepts to actual practice that became available to the Committee.

Finally, Tthe Florida Mediator Qualifications and Discipline Review Board, the disciplinary body for mediators, developed specific data from actual grievances filed against mediators over the past several years, which also added to the available body of knowledge. Using this new body of information and experience, the Committee undertook a yearlong study program to determine if Florida’s ethical rules for mediators would benefit from review and revision.

Upon reviewing the 1992 ethical Rules, it immediately became apparent to the Committee that reorganization, renumbering, and more descriptive titles would make the Rules more useful. For that reason, the Rules were reorganized into four substantive groups which recognized a mediator’s ethical responsibilities to the “parties,” the “process,” the “profession” and the “courts.” The intent of the Committee here was to simply make the Rules easier to locate. There is no official significance in the order in which the Rules appear; any one area is equally important as all other areas.

The Committee recognizes many rules overlap and define specific ethical responsibilities which impact more than one area. Clearly, a violation of- a rule in one

section may very well injure relationships protected in another section. Titles to the Rules were changed to more accurately reflect their content. Additionally, redundancies were- eliminated, phrasing tightened, and grammatical changes made to more clearly state their scope and purpose. Finally, the Committee sought to apply what had been learned. The 2000 revisions are the result of that effort.

PART III. DISCIRLINEMEDlATION CERTIFICATION APPLICATIONS AND DISCIPLINE RULE 10.700. SCOPE AND PURPOSE These rules apply to all proceedings before all-panels andinvestigatory committees and adjudicatory panels of the mediator qualifi-Discipline Review Board (MQDRB) involving theapplications for certification or discipline-or-suspension of certified mediators or-nom-certified- mediators and court-appointed to mediate a case -pursuant to court rulesmediators. The , purpose of these rules of- discipline is to provide a means for enforcing the Florida Rules for Certified and Court-Appointed Mediators (Rules).

RULE 10.710. PRIVILEGE TO MEDIATE CertificationThe privilege to mediate as a certified or court-appointed mediator is conditional, confers no vested right to-the ■holder—thereof, but is a conditional privilege that, and, is revocable for cause. RULE 10.720.

DEFINITIONS (

a) Board, The.mediator - qualifications hoardrApplicant. A new applicant with no previous certifications, an applicant for renewal of a current certification, an applicant for additional certifications, and an applicant for reinstatement of certification. (

b) Center, T-he-F-lorida Dispute Resolution-.Center of the-Qffice of the State Courts—A- dministrator.Court-Appointed. Being appointed by the court or selected by the parties as the mediator in a court-ordered mediation. (

c) Complaint. Formal—submission of as-alleged- violation of the Rules-for -Certified and Court Appointed Mediators, including-allegations of-a lack of good moral character.—A- complaint may originate -from-any person or-fi?om -the-center, (

d) Complaint—Committee,-Three ■members-of the board-from-the-division in wfalch-arcomplaint agamst-a-med-iater-origi-nates, (-e-)-€ounsel. Counsel appointed-by the center-,-at the direction.of~the--complaint committee, responsible-for—presenting the complaint to the panel. {©-Division. One of gthe standing divisions of the mediator—qualifications board;MQDRB established on a regional basis. (

d) PRC or Center. The Florida Dispute Resolution Center of the Office of the State Courts Administrator. (

e) File. To deliver to the office of the Florida Dispute Resolution Center of the Office of the State Courts Administrator pleadings, motions, instruments, and other papers for preservation and reference. (© Good Moral Character Inquiry. A process which is initiated based on infer-mation which comes to the attention of the PRC relating to the good moral character of a certified or court-appointed mediator or applicant for certification. (

g) Investigator. A certified mediator, attomeylawyer, or other qualified individual appointedretained by the centerDRC at the direction of a complaint—commit-teeRVCC or a QIC to conduct an investigation. (

h) Mediator. A person certified by the Florida Supreme Court or.an-individual mediating—pursuant-to-court-er-derrMQDRB or Board. The Mediator Qualifications and Discipline Review Board. (

i) Panel. Five members of the boardMQDRB selected by the PRC by rotation to adjudicate the formal charges associated with a rule violation or a good moral character complaint, selected from the division in which athe complaint against a mediator originatesarose unless, in the discretion of the PRC Director, there is good reason to choose members from 1 of the other divisions. 0) Qualifications Complaint Committee. Three members of the board selected for -the~purpose of-eonsidering referrals pursuant-to-rule 10.800.Panel Adviser.

A member of The Florida Bar retained by the PRC to assist a panel in performing its functions during a hearing. A panel adviser provides procedural advice only, is in attendance • at the hearing, is not part of the panel’s private deliberations, but may sit in on deliberations in order to answer procedural questions and is authorized to draft the decision and opinion of the panel for approval by the full panel and execution by the Chair. (

k) Prosecutor. A member of The Florida Bar in good standing retained by the PRC to prosecute a complaint before a hearing panel. The Prosecutor is authorized to perform additional investigation in order to prepare the case, negotiate a consent to charges and an agreement to the imposition of sanctions to be presented to the panel prior to the hearing, and to fully prosecute the case, including any post hearing proceedings. (

l) Qualifications Inquiry Committee or QIC. Four members of the MQDRB, no more than 1 from each division, selected by the PRC by rotation to serve for a 1-year period to conduct investigations and disposition of any good moral character inquiry for any applicant. (

m) Rule Violation Complaint. Formal submission of alleged violation(

s) of the Florida Rules for Certified and Court-Appointed Mediators. A complaint may originate from any person or from the PRC. (

n) Rule Violation Complaint Committee or RYCC. Three members of the MQDRB selected by the PRC by rotation to conduct the investigation and disposition of any rule violation complaint. RULE 10.730. MEDIATOR QUALIFICATIONS AND DISCIPLINE REVIEW BOARD (

a) Generally. The mediator-qualifications—boardMediator Qualifications and Discipline Review Board (MQDRB) shall be composed of 34 standing divisions that shall -be located in the following regions:

(1) One—division—in—north—F-lori-da7Northern: encompassing the First, Second, Third, Fourth, Eighth, and Fourteenth judicial circuits;

(2) One—división—in—central—Fle-ri-da,Central: encompassing the Fifth, Sixth,—Seventh, Ninth, Tenth, Twelfth, Thirteenth,—and—Eighteenth and Nineteenth judicial circuits;

(3) One—division—fe—south—Flori-da,Southeast: encompassing the Eleventh, Fifteenth, Sixteenth, and Seventeenth, Nineteenth, and Twentieth judicial circuits?; and

(4) Southwest: encompassing the Sixth, Twelfth, Thirteenth, and Twentieth judicial circuits. Other divisions may be formed by the supreme courtSupreme Court of Florida based on need. (b)Composition of Divisions. Each division of the boardMQDRB shall be composed of:

(1) Judges: three circuit-or, county, or appellate judges;

(2) County Mediators: three certified county mediators;

(3) Circuit Mediators: three certified circuit court mediators;

(4) Family Mediators: three certified family mediators, at least 2 of whom shall be non-lawyers;

(5) Dependency Mediators: not less than 1 nor more than 3 certified dependency mediators, at least 1 of whom shall be a non-lawyer;

(6) Appellate Mediators: not less than 1 nor more than 3 certified appellate mediators; and

(7) Attorneys: three attorneys who are currently or were previously licensed to practice law in Florida for at least 3 years who have or had a substantial trial or appellate practice and are neither certified as mediators nor judicial officers during their terms of service on the boardMQDRB but who have a knowledge of and experience with mediation practice, statutes, and rules, at least 1 of whom shall have a substantial dissolation-of-marriage-family law-practice? (

c) Appointment;—Terms and Term. Eligible persons shall be appointed to the boardMQDRB by the chief justice of the Supreme Court of Florida for a period of 4 years. The terms of the boardMQDRB members shall be staggered. No member of the MQDRB shall serve more than 3 consecutive térms. The term of any mem'-. ber serving on a committee or panel may continue until the final disposition of their service on a case. (

d) Rule Violation Complaint Committee (RVCC). Each complaint committee-of-the boardRVCC shall be composed of 3 membersT of the MQDRB selected by the PRC on a rotation basis. To the extent possible, members of a RVCC shall be selected from the division in which the alleged violation occurred. RYCCs are assigned to a single case; however they may be assigned to related cases to be disposed of collectively as is deemed appropriate by the PRC Director. A complaint -eommit-teeRVCC shall cease to exist after dispo-singthe disposition of aüthe case(

s) to which they are assigned-eases. Each com-plamt-commltteeRVCC shall be composed of: (1) [No Change] (2) one mediator, who is certified in the area to which the complaint refers; and (3) [No Change] (

e) Qualifications Complaintlnquiry Committee (QIC). One member-of-each division.shall.serve as a member-of-the qualifications—complaint committeeEach QIC shall be composed of 4 members, 1 from each of the 4 divisions of the MQDRB, selected by the PRC on a rotation basis to serve for a period of 1 year or until completion of all assigned cases, whichever occurs later. The qualifications shall be composed of: (1) [No Change] (2) twothree certified mediators. (

f) Panels. Each panel of the board shall be composed of 5 members of the MQDRB selected by the PRC on a rotation basis. To. the extent possible, members shall be selected from the division in which the alleged violation occurred or, in the case of a good moral character inquiry, from the division based on the Florida address of the subject of the inquiry. Panels are assigned to a single case; however, they may be assigned to related cases to be disposed of collectively as is deemed appropriate by the PRC Director. A panel shall cease to exist after disposing of all assigned—cases to which it is assigned.

Each panel shall be composed of: (1) one circuit or county-judge, who shall serve as the chair; (2) three certified mediators, at least 1 of whom shall be certified in the area to which the complaint or inquiry refers; and (3) one attorney who shall serve as vice-chair. The vice-chair shall act as the chair of the panel in the event of the unavailability of the chair. (

g) Panel—V-ice Chair.—Each-, panel enee-appointed—shall elect.a.-vice-chair, The-viee-chair-shall-act- as-the-chair- of-the panel -in-the absence, of the chair.Decision making. For all RVCCs, QICs, and panels, while unanimity is the preferred method of decision making, a majority vote shall rule. Committee Notes 2000 Revision. In relation to (b)(5), the Committee believes that the CMefchief Justieejustice should have discretion in the number of dependency mediators appointed to the Boardboard depending on the number of certified dependency mediators available for appointment.

It is the intention of the Committee that when dependency mediation reaches a comparable level of activity to the other threeg areas of certification, the full complement of three3 representatives per division should be realized. RULE 10.740. JURISDICTION AND POWERS (

a) Complaint-CommitteeRVCC. Each complaint—committeeRVCC shall have such jurisdiction and powers as are necessary to conduct the proper and speedy investigation and disposition of any complaint.

The judge or attorney presiding overchairing the complaint commit-teeRVCC shall have the power to compel the attendance-of -witnesses, to take or to cause to ■ be-t-aken the depositions-of wit-records or-other documentary evidence, and the power- of contempt.—T-he complaint-committee shall perform its-investigatory function-and have concomitant power to resolve-cases prior to panel-referral: (1) attendance of any person at a RVCC proceeding; (2) statements, testimony, and depositions of any person; and (3) production of documents, records, and other evidence.

The RVCC shall perform its investigatory function and have concomitant power to resolve cases prior to panel referral. (

b) Qualifications—Complaint—Com-mitteeQIC. The qualifications- complaint committee shall- have-jurisdiction over all matters-referred pursuant-to rule 10.800. The.qualifications ■ complaint—eommittee-QIC shall- have-such jumd-iction-and powers as are necessary to conduct the proper and speedy investigation and- disposition of: any good moral character complaintin-quiry pursuant to rule 10.800; petitions for reinstatement; or other matters referred by the centerDRC.

The judge or attorney presiding overchairing the qualifications compMnt—committeeQIC shall have the nesses, to take or to cause-to-be-taken the depositions of witnesses, a-nd-to-order the production of-records or other-documentary evidence,'and the power-of-contempt. The—qualifications—complaint—committee shall—perform—its---investigatory—function and -have-concomitant- power-to—resolve cases-prior- to -panel-referrak (1) attendance of any person at a QIC proceeding; (2) statements, testimony, and depositions of any person; and (3) production of documents, records," and other evidence.

The QIC shall perform its investigatory function and have concomitant power to resolve cases prior to panel referral. (

c) Panel. Each panel shall have such jurisdiction and powers as are necessary to conduct the proper and speedy adjudication and disposition of any proceeding before it.—The-judge presiding—ever each panel shaH-have-the power-teusompel- the attendance.of-witnesses, -to.take or to cause-to-be- taken the depositions of witnesses,- to- order the production of records or other-documentary evidence, and the power-of-contempt. The panel shall perform the adjudicatory function, but shall not have any investigatory functions. (

d) Contempt.

Should any witness - fail, without justificationy-to-respond-to-the -lawful subpoena of the complaint committee, the qualifications- complaint-committee, or-the- -panel—ory-havi-ng- -responded—fail -or refuse to answer all inquiries or to turn over -evidence-that-has been-Iawfully.-sub-poenaed, or should-any-perso-n-be-guilty- of disorderly-or contemptuous-conduct- before any -proceeding-of-the complaint-committee, the-quaMcations complaint-committee. or-the -panel, a-motion may-be-ftled-by the complaint—committee,—the—qualifications complaint-committee, or the -panel before -the circuit-court of the county-in which the contemptuous act was -committed.—The motion shall-allege the -specific failure on the-part of the witness or- the specific disor-derly-or- contemptuous-act of the person-which forms -the basis- of the alleged contempt -of-the -complaint-committee, the quahfieations-complai-nt-committee, or the ■panel.—Such motion shall—pray for the issuance-of-an order to-show cause before the-circuit court why-the-circuit court should -not-find--the person-in--contempt'of the-complaint committee, the qualifications complaint-committee,' or-the-panel and the person should not be- punished by the court therefor.—The circuit court shall issue-such-orders and judgments-therein as -the-eourt-deems appropriate.Panel Chair.

The chair of a panel shall have the power to: (1) compel the attendance of witnesses; (2) issue subpoenas to compel the depositions of witnesses; (3) order the production of records or other documentary evidence; (4) hold anyone in contempt prior to and during the hearing; (5) implement procedures during the hearing; (6) determine admissibility of evidence; and (7) decide motions prior to or during the hearing. The vice-chair of a panel, upon the unavailability of the chair, is authorized only to issue subpoenas or order the production of records or other documentary evidence. (e)Contempt/Disqualification Judge.

One MQDRB judge member from each division shall be designated by the PRC, to serve for a term of 1 year, to hear all motions for contempt at the complaint committee level (RYCC or QIC) and hear motions for disqualification of any member of a RYCC, QIC or panel. RULE 10.750. STAEFCONTEMPT PROCESS The center-shall provide all staff support and responsibilities under-these rules-and perform- all other functions—specified—in-■these rules.' (

a) General. Should any person fail, without justification, to respond to the lawful subpoena of a IIVCC, QIC, or panel, or, having responded, fail or refuse to answer all inquiries or to turn over evidence that has been lawfully subpoenaed, or should any person be guilty of disorderly conduct, that person may be found to be in contempt. (

b) RYCC or QIC Contempt. A motion for contempt based on the grounds delineated in subdivision (

a) above along with a proposed order to show cause may be filed before the contempt/disqualification judge in the division in which the matter is pending. The motion shall allege the specific failure on the part of the person or the specific disorderly or contemptuous act of the person which forms the basis of the alleged contempt. (

c) Panel Contempt. The chair of a panel may hear any motions filed either before or during a hearing or hold any person in contempt for conduct occurring during the hearing. RULE 10.760. DUTY TO INFORM A certified mediator shall inform the PRC in writing within 30 days of having been reprimanded, sanctioned, or otherwise disciplined by any court, administrative agency, bar association, or other professional group. RULE 10.770. STAFF The PRC shall provide all staff support to the MQDR.B necessary to fulfill its duties and responsibilities under these rules and perform all other functions specified in these rules. RULE 10.800. GOOD MORAL CHARACTER; PROFESSIONAL DISCIPLINE INQUIRY PROCESS (

a) Good Moral-Character.-

(1) Prior to approving an applicant for certification or-renewal as-a mediator the center -shall review-the application-feo determine-whether the applicant appears-to meet the standards for good moral-oharac-^teft—If the centers review of an application for-certification- or renewal-raises any questions regarding the applicant’s- good moral characteiv-the center-shall request the- applicant to supply additional-informal lion as-necessary..Upon completing- this extended review,-the center-shaU-ferward theapphcatio-n-and-suppor-ting material as a-eomplaint to the- qualifications- complaint committee.-

(2) If the center becomes-aware of any information-eoncerning-a certified mediator which-cou-14-eonstitute credible evidence-of a lack of-good moral character, the center shall-refer such information as a complaint to the qualifications complaint committee.

(3) The qualifications complaint committee shall review- all documentation relating-to the- -good-moral- character-of- any applicant or certified mediator -in a-manner consistent,- insofar-as applicable,-with rule ■1⅜810.—In relation to an applicant, the qualifications complaint committee-shall either recommend-approval or,■-if—it- finds there is probable-cause-to- believe-that-the applicant lacks good moral character, it shall refer the-matter to a hearing-panel for- -further-actiom—In-relation to a certified--mediator, the qualifications complaint committee shall dismiss--orr~if.there is probable-cause to believe that-the-mediator-lacks-good-moral character» refer the matter-to.a-hearing panel for-further ac- (4)-The-paneI shall take appropriate action onbh&-issue-of-good moral-character by—dismissing the charges» -denying ■ the imposing-sanctions against a-certified mediator-pursuant to rule-10.83(b (§)-^Ail-such hearings shall-be-held in a-manner-consistentj insofar as applicable, ⅞⅜⅛-⅞⅛—lQv820.-Generally.

Good moral character issues of applicants shall be heard by the QIC to determine if an applicant has the good moral character necessary to be certified pursuant to rule 10.110. If, during the term of - certification of a mediator, the PRC becomes aware of any information concerning a certified mediator which could constitute credible evidence of a lack of good moral character under rule 10.110, the PRC shall refer such information to a RVCC as a rule violation complaint pursuant to 10.810.

The QIC and RVCC shall be informed of the applicant’s or mediator’s prior disciplinary history. (b)Professional ■ Licenses-and-Certifica-■tionsr (l.)-A- certified -mediator' shall inform the -center, in writing, of ■ the change in status-of any professional-license held by the mediator.-within 30 days—of-.such

(2) Upon becoming-aware that a certified-mediator has-been-disciplined by a professional-organization of-which that mediator is -a member, the center-shall refer ■the matter to the -qualifications complaint committee.Meetings. The QIC shall convene as necessary by conference call or other electronic means to consider all cases currently pending before it. (

c) Initial Review. Prior to approving a new or renewal application for certification, the PRC shall review the application and any other information to determine whether the applicant appears to meet the standards for good moral character under rule 10.110. If the PRC’s review of an application for certification or renewal raises any questions regarding the applicant’s good moral character, the PRC shall request the applicant to supply additional information as necessary. Upon completing this extended review, if the information continues to raise questions regarding the applicant’s good moral character, the PRC shall forward the application and supporting material as an inquiry to the QIC. (

d) Process. In reviewing all documentation relating to the good moral character of any applicant, the QIC shall follow the process below.

(1) In relation to a new application, the QIC shall either recommend approval or, if it finds there is reason to believe that the applicant lacks good moral character, the QIC may do 1 or more of the following: (

A) offer the applicant the opportunity to withdraw his/her application prior to the finding of probable cause; ■ (

E) offer the applicant the opportunity to satisfy additional conditions prior to approval of application; or (

C) prepare a complaint and submit the complaint to the PRC for forwarding to the applicant. The complaint shall state with particularity the specific facts and details that form the basis of. the com-plaint. The applicant shall respond within 20 days of receipt of the complaint unless the time is otherwise extended by the PRC in writing,. (

i) After the response is received, the QIC may: 1. dismiss the complaint and approve the application; or 2. • make a finding of probable cause, prepare formal charges, and refer the matter to the PRC for assignment to a panel.

(2) In relation to a renewal application, the QIC shall either recommend approval or, if it finds there is reason to believe that the renewal applicant lacks good moral character, the QIC may do 1 or more of the following: (

A) offer the renewal applicant the opportunity to withdraw his/her application and may include the necessity to resign any other certifications prior to the finding of probable cause; or (

B) offer the applicant the opportunity to satisfy additional conditions prior to approval of application; or (

C) prepare a complaint and submit same to the PRC for forwarding to the applicant. The complaint shall state with particularity the specific facts and details that form the basis of the complaint. The applicant shall respond to the complaint •within 20 days of receipt unless otherwise extended by the PRC in writing. (

i) After the response is received, the QIC may: 1. dismiss the complaint and approve the renewal application; or 2. make a finding of probable cause⅛ prepare formal charges and refer the matter to the PRC for assignment to a panel. ’ (

e) Notification. Within 10 days of a matter being referred to the QIC, the PRC shall send notification to the applicant of the existence of a good moral character inquiry. Notification to the applicant shall be made by certified mail addressed to the applicant’s physical address on file with the PRC until such time as the mediator expressly agrees in .writing to accept service electronically and then notification shall be made to the applicant’s e-mail address on file with the PRC. (

f) Investigation. The QIC, after review of the information presented, may direct the PRC to retain the services of an investigator to! assist the QIC in any of its functions. The QIC, or any member or members thereof, may also conduct an investigation if authorized by the QIC chair. Any investigation may include meeting with the applicant or any other person. (

g) QIC Meeting with the Applicant. Notwithstanding any other provision in this rule; at any time while the QIC has .jurisdiction, it may meet with the applicant in an effort to resolve the matter. This resolution may include additional conditions to certification if agreed to by the applicant. If additional conditions are accepted, all relevant documentation shall be forwarded to the PRC. These meetings may be in person, by teleconference, or other communication method at the discretion of the QIC. (

h) Notice and Publication. Any consensual resolution agreement with an applicant which includes sanctions shall be distributed by the PRC to all circuits and districts through the chief .judges, all trial and appellate court administrators, the APR directors, and mediation coordinators and published on the PRC page of the Florida Courts website with a

summary of the case and a copy of the agreement. (

i) Review. If no other disposition has occurred, the QIC shall review all available information including the applicant’s response to a complaint, any investigative report, and any underlying documentation to determine whether there is probable cause to believe that the alleged conduct would constitute evidence of the applicant’s lack of good moral character. . (

j) No Probable Cause. If the QIC finds no probable cause, it shall close the inquiry by dismissal and so advise the applicant in writing. (

k) Probable Cause and Formal Charges. If the QIC finds probable cause to believe the applicant lacks the good moral character necessary to be certified as a mediator, the QIC shall draft formal charges and forward such charges to the PRC for assignment to a panel. The charges shall include a statement of the matters regarding the applicant’s lack of good moral character and references to the rules relating to those matters. At the request of the QIC, the PRC may retain a member in good standing of The Florida Bar to conduct such additional investigation as necessary and to draft the fornlal charges for the QIC.

The formal charges shall be signed by the chair, or, in the alternative, by the remaining 3 members of the QIC. (

l) Withdrawal of Application. A withdrawal of an application does not result in the loss of jurisdiction by the QIC. (

m) Panel. If a matter is referred to a panel under this section, the process shall proceed pursuant to rule 10.820, Committee Notes 2015 Revision. A lack of good moral character may be determined not only by 1 incident but also by the cumulative effect of many instances. In reviewing an application for matters concerning the good moral character of any applicant, prior disciplinary actions against the applicant, from whatever source, should be provided to the QIC for their review and consideration. OLATIONS COMPLAINT PROCESS (a)Initiation of Complaint.

Any individual wishing toor the PRC may make a complaint alleging that a mediator has violated enel or more provisions of these rules.shali-do -so ia-writfeg-under oath. The complaint from an individual shall be written, sworn to under oath and notarized using a form supplied by the PRC. A complaint initiated by- the PRC need not be sworn nor notarized but shall be signed by the director or the PRC staff attorney, if any. The complaint shall state with particularity the specific facts and details that form the basis of the complaint. (b)Filing.

The complaint shall be filed with the < the complaint-may' be filed in the office of the- -court-administrator' in-the -circuit -in which the--case originated-or,--if■ not case specific,' in- the cirGuit-where-the- alleged misconduct occurred. Once received by the PRC, the complaint shall be stamped with the date of receipt. (c)Refer-r-ak- The complaint, if filed in ■the -office -ef-the court administrator,' shall be referred-to the-center' within-5 -days of filing-.' : (cD-Assignment to a Rules Yiolation Complaint Committee (RVCC).

Upon re-eenterPRC shall assign the complaint to a complaint-committee -or -the -qualifications complaint-eommitteeRVCC within ÍO-day-sa reasonable period of time. The RVCC shall be informed by the PRC of the mediator’s prior disciplinary history. As soon as practical after the receipt of a complaint from an individual, the PRC shall send a notification of the receipt of the complaint to the complainant. (

e) Facial Sufficiency -Determination.

The complaint-committee- or the qualifications.complaint-committee-shall-convene, either in person or by conference-call, to determine'—whether ■ the -aliegatlon(s), - if ■true-would■ constitute a-violation-of these ■rules.—If-the-committee-finds-a-complaint against-a certified-mediator-to be facially insufficient,.the—Gomplaint—shall be.dismissed—without prejudice ■ and the com■plainant-and the mediator shall be- soarn-tified-—If-—the—qualifications—complaint committee finds a-complaint against an applicant- to be ■■■facially ■insufficient,—the complaint shall be.dismissed and the-application-- approved if all other requirements are-met,—If the complaint is found to. be facially sufficient, the committee shall prepare-a ■■ list-of any-rule ■ or-r-nles which-may have-been violated and-shall sabmit-sach to the center. (d)Facial Sufficiency Determination.

The RVCC shall convene by conference call to determine whether the allegation(s), if true, would constitute a violation of these rules.

(1) If the RVCC finds a complaint against a mediator to be facially insufficient, the complaint shall be dismissed without prejudice and the complainant shall be so notified and given an opportunity to re-file within a 20-day time period. No complainant whose complaint is dismissed without prejudice pursuant to this

section shall be permitted more than 1 additional filing to establish facial sufficiency.

(2) If the complaint is found to be facially sufficient, the RVCC shall prepare a list of any rule or rules which may have been violated and shall submit same to the PRC. . • (

f) Service. The center shall serve- a copy of the list of-alleged-rule violations prepared- by the committee, a copy of-the complaint, and a copy of these rules -to-the mediator or. applicant in question---gervice 0¾' the-mediator or-applicant shall-be-made by certified mail addressed to the mediator or applicant at--the-mediator’s.or-applicant’s place of -business-or resideace-oa-iile with-the-center.Mailing to such an address shall-constitute service. (

e) Service. Upon the finding of facial sufficiency of a complaint, the PRC shall serve on the mediator a copy of the list of alleged rule violations, a copy of the complaint, and a link to an electronic copy of these rules or the rules which were in effect at the time of the alleged violation. Service on the mediator shall be made either electronically or by certified mail addressed to the mediator’s physical or email address on file with the PRC. (

g) Response, Within 20 days of-the recelpt-of the-list of violations-prepared-by the' committee and the complaint, the mediator—or—applicant shall send-a written, sworn response to the center by registered or certified-mailt.If the mediator- or applicant does-not-respond, the allegations shall be deemed-admittedv (

f) Response. Within 20 days of the receipt of the list of alleged rule violations and the complaint, the mediator shall send a written, sworn under oath, and notarized response to the PRC by registered or certified mail. Unless extended in writing by the PRC, if the mediator does not respond within the 20-day time frame, the allegations shall be deemed admitted and the matter may be referred to a panel. (

h) Preliminary Review.—Upon review of the' complaint and- the -mediator-’-s-or-.applicant’s.response, the committee may find--that-no-violation "has-occurred and dismiss—the complaint.—The—committee may-al-so-resolve'-the issue' -pursuant to subdivision-^-)-of this rule.- (i-)--Appeintment-of Investigator.—The committee, after review of the-complaint and—r-espoKse?.may direct -the-center.to appoint-an-iavestigator to assist- the committee in any-of its functions-.-~Such person shall investigate the complaint and advise the -committee when it meets-to determine the existence of probable-cause-.—I-n-the alternative--to--appointing an investigator» the committee or any member-or-members theimof-may-investigate--the-allegations» if so-d&ected--by-the- committee chair.—Such investigation-may-include meeting with the mediatory the applicant and the-eomplain- (

j) Committee Meeting with the Mediator—or-Applicant,—Notwithstanding any other provision-in this. rule, at any time while the--committee has jurisdiction, it may-meet-with-the c omplaiaanh-and-the mediator-or-applicant, jointly or separately) in an eflor-t-to-resolve the matter. This resolution-may-include sanctions if agreed to-b-y-the-mediator or. applicant.—If ■ sanctions-are-accepted) all relevant-documentation--shall be forwarded~4o the center. Such conferences shall be in person» by video conference or teleconference at the discretion of the committee. (

g) Resignation of Certification. A resignation of certification by a mediator after the filing of a complaint does not result in the loss of jurisdiction by the MQDRB, (

h) Investigation. The RVCC, after review of the complaint and response, may direct the PRC to appoint an investigator to assist the RVCC in any of its functions. The RVCC, or any member or members thereof, may also conduct an investigation if, authorized by the RVCC chair. Any investigation may include meeting with the mediator, the complainant or any other person. (

i) RYCC Meeting with the Complainant and Mediator. Notwithstanding any other provision in this rule, at any time while the RVCC has .jurisdiction, it may meet with the complainant and the mediator, jointly or separately, in an effort to resolve the matter. This resolution may include sanctions as set forth in rule 10.840(

a) if agreed to by the mediator. If sanctions are accepted, all relevant documentation shall be forwarded to the PRC. Such meetings may be in person, by teleconference, or other communication method, at the discretion of the RVCC.

G) Notice and Publication. Any consensual resolution agreement which includes sanctions shall be distributed by the PRC to all circuits and districts through the chief judges, all trial and appellate court administrators, the ADR directors, and mediation coordinators and published-on the PRC page of the Florida Courts website with a

summary of the case, the rule or rules listed as violated, the circumstances surrounding the violation of the rules, and a copy of the agreement. (

k) Review'. If no other disposition has occurred, the committeeRVCC shall review the complaint, the response, and any investigative report, including any underlying documentation, to determine whether there is probable cause to believe that the alleged misconduct occurred and would constitute a violation of the rules. (¿1) No Probable Cause. If the eem-mitteeRVCC finds no probable cause, it shall dismiss the complaint with prejudice and so advise the complainant and the mediator or—applicant-in writing. .Such decision shall be final. (

m) Probable Cause Found. I-f-probable cause -exists, ■ the committee-may-draft formal charges and forward such charges to the center for assignment-to a panel.

In the alternative, the committee-may decide not to- pursue the-case.bv- filing a short and-plain-statement of-the-reason-or-reasons for-non -referral-and-so-advise-the complainant-and-the mediator or applicant imwritingvlf the RVCC finds that probable cause exists, it may: (1) draft formal charges and forward such charges to the PRC for assignment to a panel; or (2) decide not to proceed with the case by filing an Order of Non-Referral containing a short and plain statement of the rules for which probable cause was found and the reason or reasons for non-referral, and so advise the complainant and the mediator in writing. (

n) Formal Charges and Counsel, if center,.-the- committee -shall submit-to-the center formal charges-which-shall include a short-and-plain. statement- of the matters asserted-du-the-complaint- and references ■to- -the-partlcular sections--of ■ the -rules-i-n-yoNedJf the RVCC finds probable cause that the mediator has violated 1 or more of these rules, the RVCC shall draft formal charges and forward such charges to the PRC for assignment to a panel.

The charges shall include a statement of the matters asserted in the complaint relevant to the finding of rules violations, any additional information relevant to the finding of rules violations, and references to the particular sections of the rules violated.

The formal charges shall be signed by the chair, or, in the alternative, by the other 2 the circumstances of the-complaint and the complexity-of the.-issues-to be.heard, the committee-may-direct the center to.appoint a member of The-Florida .Bar—to pointed-pursuant to. this-rule.-if such-person is otherwise qualified.- At the request of the RVCC, the PRC may retain a member in good standing of The Florida Bar to conduct such additional investigation as necessary and draft the formal, charges. (©

o) Dismissal. Upon the filing of a stipulation of dismissal signed by the complainant and the mediator, and with the concurrence of the complaint—commit-teeRVCC, which may withhold concurrence, the aetioncomplaint shall be dismissed with prejudice..I-f-an application^ withdrawn by the applicant, the complaint shall -be-dismissed-with or without prejudice- depending-on-the circumstances,- RULE 10.820. HEARING PANEL PROCEDURES (

a) Assignment to-PanelNotification of Formal Charges. Upon referral of-a complaint and formal charges from-ar-eom-mittee, the- center shall-assign the.complaint-and-formai-charges-or other matter to a panel for hearing, with notice of assignment-to the complainant and the-mediator or applicant.—No member of the committee shall serve as a-member ■ of- the panebUpon the referral of formal charges to the PRC from a RVCC or QIC, the PRC shall promptly send a copy of the formal charges to the mediator or applicant and complainant, if any, by certified mail, return receipt requested. (

b) Hearing. The center shall

schedule a hearing not more than 90 days nor less than—§Q-days- .from the date of notice of assignment- of the matter-to the panel. —At any-time-prior to-the hearing,-the-panel may—accept.an.admission to any or all charges--and impose- sanctions upon.the mediator,—The-panel shall not be required ■to. physically meet-in-person to accept-such admission-Prosecutor. Upon the referral of formal charges, the PRC shall retain the services of a member in good standing of The Florida Bar to prosecute the case. (

c) Dismissal. Upon the filing-of a stipulation.of—dismissal.signed by the.complainant--and the mediator, and with-the concurrence of. the-panel,-a complaint-shail be dismissed.Panel Adviser. After the referral of formal charges, the PRC may retain the services of a member in good standing of The Florida Bar to attend the hearing and advise and assist the panel on procedural and administrative matters. (

d) Drocedares-for Hearing. The procedures.for hearing shall—be-as follows:. (1)-NO' hearing shall.be- conducted without-5- -panel members-being' physically present (2)-The-hearing may-be-conducted -informally-batwith decorum-.- • (3)~The -rules of evidence applicable to trial of-civil actions apply- but are to ■ be liberally construed. (4)'Upon a showing of good-cause-to the panel, testimony of any party or witness may be presented over—the telephone.Assignment to Panel.

After the referral of formal charges to the PRC, the PRC shall send to the complainant, if any, and the mediator or applicant a Notice of Assignment of the case to a panel. No member of the RVCC or QIC that referred the formal charges shall serve as a member of the panel. (

e) Right—to-Defend,—Ar-mediator-or-applicant-shall have the-right-tb defend against-all charges and shall have the right to be represented by an-attor'ney, to examine and-er-oss-examine witnesses,-to compel the attendance of wltnesses-to-testify and to compel the production-of-documents and other evidentiary-matter- throug-h-the ■ subpoena power-of- the • panel.Assignment of Related Cases. If the PRC assigns related cases to a panel for a single hearing, any party to those cases may make a motion for severance which shall be heard by the chair of the panel. . (

f) Mediator or Applicant Discovery. T-he-ceater-shallj-upon written-demand of-a mediator, applicant, or -counsel of record, promptly .furnish the following;- the names and addresses-of all witnesses-whose testimony is ■ expected to be -offered, at the hearing,- together with copies of all written statements-and-transcripts of the testimony-of. such-witnesses in the-possession of the-counsel- or the center which are rele-yant-to ■the-snhject matter of the hearing and.which-have -not previously been furnished?Time of the Hearing.

Absent stipulation of the parties or good cause, the PRC shall set the hearing for a date not more than 120 days nor less than 30 days from the date of the notice of assignment of the case to the panel. Within 10 days of the scheduling of the hearing, a notice of hearing shall be sent by certified mail to the mediator or applicant and his or her attorney, if any. (

g) Panel Discovery,—The—mediator, applicant, or counsel of record shall, upon wr-itten demand of the counsel or the con-ter-r-promptly -furnish the following: the ■names and.addresses—of—all witnesses whose testimony is expected to-be-offered at-the heariagr-together. with-gopies of all written statements .-and-transcripts, of the .testimony of-such-witnesses-in -the posses■sion-of the-mediator, applicant,- or counsel of-record-which are-relevant-to-the-subject matter. ■ of the-hearing and which-have not previously-been—fur-nished?Admission to Charges.

At any time prior to the hearing, the panel may accept an admission to any or all charges and impose sanctions upon the mediator or applicant. The panel shall not be required to meet in person to accept any such admission and imposition of sanctions. (

h) Failur-e-to-Appear. Absent a showing. of good- cause, if the complainant fails to appear at the hearing, the--panel may dismiss a complaint for want-of-prosecu-tiomDismissal by Stipulation. Upon the filing of a stipulation of dismissal signed by the complainant, if any, the mediator or applicant, and the prosecutor and with the review and concurrence of the panel, which concurrence may be withheld, the case shall be dismissed with prejudice.

Upon dismissal, the panel shall promptly forward a copy of the dismissal order to the PRC. (i)Mediator-’s-or Applicant’s Abseace, If. the-mediator— or applicant fails to appear, absent-a-showing of-good cause,' the hearing—shall—proeoeárProcedures for Hearing. The procedures for a hearing shall be as follows:

(1) Panel Presence. No hearing shall be conducted without the chair being physically present. All other panel members must be physically present unless the chair determines that exceptional circumstances are shown to exist which include, but are not limited to, unexpected illness, unexpected incapacity, or unforeseeable and unavoidable absence of a panel member. Upon such determination, the hearing may proceed with no fewer than 4 panel members, of which 1 is the chair. In the event only 4 of the panel members are present, at least 3 members of the panel must agree on the decisions of the panel. If 3 members of the panel cannot agree on the decision, the hearing shall be rescheduled.

(2) Decorum. The hearing may be conducted informally but with decorum.

(3) Oath. Anyone testifying in the hearing shall swear or affirm to tell the truth.

(4) Florida Evidence Code. The rules of evidence applicable to trials of civil actions shall apply but are to be liberally construed.

(5) Testimony. Testimony at the hearing may be given through the use of telephonic or other communication equipment upon a showing of good cause to the chair of the panel within a reasonable time prior to the hearing.

(6) Right to Defend. A mediator or applicant shall have the right: to defend against all charges; to be represented by an attorney; to examine and cross-examine witnesses; to compel the attendance of witnesses to testify; and to compel the production of documents and other eviden-tiary matter through the subpoena power of the panel.

(7) Mediator or Applicant Discovery. The prosecutor shall, upon written demand of a mediator, applicant, or counsel of record, promptly furnish the following: the names and addresses of all witnesses whose testimony is expected to be offered at the hearing; copies of all written statements and transcripts of the testimony of such witnesses in the possession of the prosecutor or the PRC which are relevant to the subject matter of the hearing and which have not previously been furnished; and copies of any exhibits which are expected to be offered at the hearing.

(8) Prosecutor Discovery. The mediator, applicant, or their counsel of record shall, upon written demand of the prosecutor, promptly furnish the following: the names and addresses of all witnesses whose testimony is expected to be offered at the hearing; copies of all written statements and transcripts of the testimony of such witnesses in the possession of the mediator, applicant or their counsel of record which are relevant to the subject matter of the hearing and which have not previously been furnished; and copies of any exhibits which are expected to be offered at the hearing.

(9) Complainant’s Failure to Appear. Absent a showing of good cause, if the complainant fails to appear at the hearing, the panel may dismiss the case.

(10) Mediator’s or Applicant’s Failure to Appear. If the mediator or applicant has failed to answer the underlying complaint or fails to appear, the panel may proceed with the hearing. (

A) If the hearing is conducted in the absence of a mediator or applicant who failed to respond to the underlying complaint and the allegations were therefore admitted, no further notice to the mediator or applicant is necessary and the decision of the panel shall be final. (

B) If the hearing is conducted in the absence of a mediator or applicant who submitted a response to the underlying complaint, the, PRC shall notify the mediator or applicant that the hearing occurred and whether the matter was dismissed or if sanctions were imposed. The mediator or applicant may petition for rehearing by showing good cause for such absence. A petition for rehearing must be received by the PRC and the prosecutor no later than 10 days from receipt of the PRC notification. The prosecutor shall file a response, if any, within 5 days from receipt of the petition for rehearing.

The disposition of the petition shall be decided solely by the chair of the panel and any hearing required by the chair of the panel may be conducted telephonically or by other commun

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