Rule 12.040.Mediator Ethics
Current through August 1, 2026 · Last verified September 12, 2026
Full Text of Rule 12.040
Plain-English Summary
UTCR 12.040 applies to an approved mediator who is mediating under ORS 36.185 to 36.210 or ORS 107.755 to 107.795. The mediator must disclose, to the determining authority and to the participants, at least one relevant code of mediator ethics, standards, principles, and disciplinary rules drawn from the mediator's own memberships, licenses, or certifications. The rule adds a caution worth reading twice: enforcing those codes is not the court's responsibility.
The mediator must also comply with the relevant laws on confidentiality, inadmissibility, and nondiscoverability of mediation communications, including ORS 36.220, ORS 36.222, and ORS 107.785. Those statutes, not this rule, supply the substance of what stays private.
The rest of the rule is an opening checklist. Prior to or at the commencement of the mediation, the mediator must explain the nature of mediation along with the mediator's own role and style and the process that will be used, how voluntary participation is and how the participants or the mediator may suspend or terminate the mediation, the commitment to participate fully and negotiate in good faith, the extent to which disclosures are confidential including during private caucuses, any circumstances or relationships that may raise a question about the mediator's impartiality, the need for informed consent to any decision, and the right of the parties to seek independent legal advice, including review of a proposed mediation agreement before it is signed.
The list closes with a judgment call and a pointer. In appropriate cases the mediator must address the advisability of proceeding with mediation under the circumstances of the particular dispute. The mediator must also tell participants that public information about the mediator is available under UTCR 12.050 and, if applicable, describe the nature and extent of any supervision the mediator is working under.
Frequently Asked Questions
Which code of ethics does an Oregon court-connected mediator follow?
The rule does not name one. It requires the mediator to disclose at least one relevant code of mediator ethics, standards, principles, and disciplinary rules that comes from the mediator's own memberships, licenses, or certifications, and to make that disclosure both to the determining authority and to the participants.
Will the court discipline a mediator who breaks that ethics code?
The rule says it is not the court's responsibility to enforce any relevant codes of mediator ethics, standards, principles, or rules. Enforcement stays with whatever body issued the code. A court's own lever is the determining authority's power under UTCR 12.030 to revoke approved status.
What has to be covered before a mediation starts?
Prior to or at the commencement of the mediation, the mediator must cover the nature of mediation and the mediator's role, style, and process; how voluntary the process is and how it can be suspended or terminated; the commitment to negotiate in good faith; the extent of confidentiality, including in private caucuses; potential conflicts of interest; the need for informed consent; the right to independent legal advice, including review of a proposed agreement before signing; in appropriate cases, whether mediation makes sense at all; the availability of public information under UTCR 12.050; and any supervision the mediator is under.
Are private caucuses confidential?
The mediator must tell participants the extent to which disclosures in mediation are confidential, including during private caucuses. The answer itself comes from the confidentiality statutes the rule points to, including ORS 36.220, ORS 36.222, and ORS 107.785, rather than from UTCR 12.040.
Do I have to tell the parties that I am being supervised?
Yes, where it applies. UTCR 12.040(3)(j) requires the mediator to inform participants of the nature and extent to which the mediator is being supervised. That matters in the chapter, because the qualification rules build supervised and co-mediated casework into the path to approval.