North Carolina Administrative Code › Title 11 - INSURANCE › Chapter 23 - INDUSTRIAL COMMISSION › Subchapter G - NORTH CAROLINA INDUSTRIAL COMMISSION RULES FOR MEDIATED SETTLEMENT AND NEUTRAL EVALUATION CONFERENCES › Section .0100 - MEDIATION AND SETTLEMENT › Section 23G .0109 - NEUTRAL EVALUATION

Current through Register Vol. 39, No. 2, July 15, 2024
(a) Nature of
				  Neutral Evaluation. As used in this Subchapter, neutral evaluation is an
				  abbreviated presentation of facts and issues by the parties to a neutral
				  evaluator at an early stage of the case. The neutral evaluator is responsible
				  for evaluating the strengths and weaknesses of the case, and for providing a
				  candid assessment of liability, settlement value, and a dollar value or range
				  of potential awards if the case proceeds to a hearing. The neutral evaluator is
				  also responsible for identifying areas of agreement and disagreement and
				  suggesting necessary and appropriate discovery.
(b) When Conference Is to Be Held. The
				  provisions applicable to the scheduling of mediated settlement conferences set
				  forth in Rule .0103 of this Subchapter also apply to neutral evaluation
				  proceedings.
(c) Pre-conference
				  Submissions. No later than 20 days prior to the date established for the
				  neutral evaluation conference to begin, each party may, but is not required to,
				  furnish the evaluator with written information about the case, and shall at the
				  same time certify to the evaluator that the party has served a copy of such
				  summary on all other parties in the case. The information provided to the
				  neutral evaluator and the other parties under this Rule shall be a summary of
				  the facts and issues in the case, shall not be more than 10 pages in length,
				  and shall include as attachments copies of any documents supporting the party's
				  summary. Information provided to the neutral evaluator and to the other parties
				  pursuant to this Paragraph shall not be filed with the Commission.
(d) Replies to Pre-conference Submissions. No
				  later than five days prior to the date established for the neutral evaluation
				  conference to begin, any party may, but is not required to, send additional
				  written information to the neutral evaluator responding to the submission of an
				  opposing party. The party's response shall not exceed five pages in length, and
				  the party sending the response shall certify to the neutral evaluator that the
				  party has served a copy of the response on all other parties in the case. The
				  response shall not be filed with the Commission.
(e) Conference Procedure. Prior to a neutral
				  evaluation conference, the neutral evaluator may, if he or she deems it
				  necessary, request additional written information from any party. At the
				  conference, the neutral evaluator may address questions to the parties and give
				  the parties an opportunity to complete their summaries with a brief oral
				  statement.
(f) Modification of
				  Procedure. Subject to the approval of the neutral evaluator, the parties may
				  agree to modify the procedures for neutral evaluation required by the Rules in
				  this Subchapter, or the procedures may be modified by order of the Commission
				  in the interests of justice. The modified procedures may include the
				  presentation of submissions in writing or by telephone in lieu of physical
				  appearance at a neutral evaluation conference, and may also include revisions
				  to the time periods and page limitations concerning the parties'
				  submissions.
(g) Evaluator's
				  Opening Statement. At the beginning of the neutral evaluation conference, the
				  neutral evaluator shall define and describe the following points to the
				  parties:
(1) the facts that:
(A) the conference is not a
				  hearing,
(B) the neutral evaluator
				  is not acting in the capacity of a Commissioner or Deputy Commissioner and
				  shall not act in such capacity in the subject case at any time in the
				  future,
(C) the neutral evaluator's
				  opinions are not binding on any party, and
(D) the parties retain their right to a
				  hearing if the parties do not reach a settlement;