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               The Eight Steps of Divorce Mediation 
by Thomas E. Crowley, Esq.  
                
              
              What Is Mediation?  
              Mediation is a process in which an impartial  person helps the opposing parties make their  own settlement.   
              Divorce is perhaps the most personal and painful of all  disputes. There's a paradoxical urge to fight and flee the conflict at every  stage, with flight usually getting the nod.   Passions are the common denominator and driving force in divorce, and  they're contagious.   
              In divorce, our clients often feel their emotional  speed-bags are being battered by fear, fury, guilt, worry, and  embarrassment.  Divorce jeopardizes their  most intimate and important interests, such as their family, their health,  their home, their sense of security, their jobs, and their hopes and dreams for  the future.  With so much at stake,  communication with their spouse about the  divorce can become very painful and difficult.   They don't know how to go about facing the issues in the divorce in ways  that don't increase their fear or anger.   Both sides feel that they'll be exploited or taken advantage of in the  divorce.  It's in this dilemma that  mediation can make an important positive difference. 
              Mediation provides a safe, demilitarized zone for the  parties to meet, to talk things over, to exchange offers and compromises, and  to reach fair and dignified agreements.   The reason mediation can be so effective lies in the "power of  ritual." 
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              The Power of Ritual & Why It Works  
              When it comes to disputes, and especially divorce, most of  us have just one annoying little problem: real life.  In real life, disputes take on lives of their  own, often turning into new horror stories about litigation.  In most disputes, the original argument gets  overwhelmed by "tales from the crypt" about the other side's conduct  during the marriage and the divorce.  The  first thing the parties want to complain about is "the dispute about the  dispute." 
              The kind of life a dispute takes on is in large part  determined by the procedures, or "ritual," applied to them. The  ceremony, or "ritual," used to deal with a dispute can help or hurt  its resolution.  A bad ritual for ending  a disagreement, like a duel, can make the dispute far worse than it already is.  When the swirling tornado of emotions in a  dispute combines with the powerful influence of a bad ritual, the parties can  become trapped in an irrevocable commitment to fight.   
              Ritual can create a metamorphosis in a dispute.  Metamorphosis means "a profound change in form from one stage to the next  in the life of an organism."  Just  as a cocoon allows the earthbound caterpillar to change into an airborne butterfly,  a good ritual of resolution can change both the reasons for the conflict and  the remedies available for resolving it.   
              As "the medium is the message" in communication,  "the ritual of resolution is the message" in disputes.  Fortunately, a "good" ritual, like  mediation, can cause a metamorphosis in the dispute which focuses the parties  toward a fair and peaceful direction.   Mediation is a ritual which has the power to increase the fairness of  the result, and decrease the costs in getting there. 
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              The Ritual of Resolution in Mediation  
              In mediation, the parties control both the process and the  outcome.  They are the  "architects" of their own solutions.   Mediation is private, voluntary, nonbinding (unless agreement is  reached), informal, and consensual.   Either party at any time can terminate the mediation for any reason, or  for no reason.   
              The mediation begins with the parties present  before the mediator.  The mediator explains  the ground rules, tries to establish an atmosphere of fairness, and attempts to  get the parties to agree out loud, in front of each other, that they'll make a  good faith commitment to settle the
              dispute through mediation.   Each party is then given equal time to explain its point of view.   
              The mediator will next meet privately with each party to  defuse hostility; help the parties get the information they need from each  other to understand and resolve the dispute; furnish the parties with realistic  and impartial feedback concerning their positions; explore alternative  solutions; and act as a conduit for offers and counteroffer. 
              The mediator will then bring the parties back together to  report whether they are making headway toward settlement, praise them for their  efforts, and encourage them to keep at it.   Usually, the mediator will continue private meetings with each party to  explore alternative solutions.  In the  event a settlement is reached, the mediator will help the parties clarify the  terms of the agreement and make arrangements to put the agreement in  writing.   
              Compared with litigation, mediation is fast and cheap.  The parties maintain control over the process  and the outcome, and aren't stuck with the confining procedure or adversarial  nature of trial. 
              Because each mediation is made up of living, breathing  participants, each mediation is dynamic and unique, very much like a living  thing.  Each mediation, to be most  effective, must adjust to the idiosyncrasies of the disputants and the mediator.  While "ritual" has tremendous power  to change both the participants and the dispute, to be effective the ritual  must adjust to the peculiarities of each dispute and its parties.  Properly performed, the ritual does not exalt  form over substance, but brings form to substance. 
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              The Rhythm of Settlement in Divorce Mediation  
              While each mediation is unique, a useful approach in divorce  mediation is to establish a rhythm of settlement before the parties begin  hard-core negotiating.  Otherwise the  parties usually end up fighting, and being wounded instead of rescued by the  mediation.  As Orson Welles might have  said, in the context of divorce mediation: "We settle no case before its  time." 
              The key to establishing the rhythm of settlement is to focus  the parties first on defining the issues in the divorce; second, on sharing  information about those issues; and third, on agreeing how to measure the  information which is shared.  This primes  the settlement pump in 4 ways: 
              
                -  It reduces  the parties' fear of being exploited or taken advantage of.  This is one of the hidden but major emotional  issues in divorce: the fear of being taken.
 
                -  It shares  control over decision-making about the dispute.   No one likes to be force-fed a solution.
 
                -  It provides  both parties with the means to make informed decisions.  This relieves them of their anxiety that the  other side may be hiding the ball. 
 
                -  It  establishes a rhythm toward agreement on the "real" issues, and away  from emotional "dispute about the dispute" issues.
 
               
              Once the parties have sufficient information, and know the  pros and cons of the available options, they'll be ready to drink the sweet  wine of agreement, instead of the bitter cup of suspicion and anger.  Therefore, whether the issues are custody,  child support, spousal support, or property division, the approach will be the  same:  
              
                -  Define  the issues;
 
                -  Share relevant information about the  issue; 
 
                -  Agree on fair criteria to apply to  the information; and 
 
                -  Negotiate a solution to the issue.     
 
               
              Of course, establishing this rhythm of  settlement, and then achieving agreement, takes time.  Several mediation sessions may be needed to  get the job done.  Regardless of whether  there's one or more sessions, a good ritual for divorce mediation will have  eight
                stages.  
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              STEP 1.  GETTING TO THE TABLE         
              There are many moments of truth in divorce mediation, and  the first -- and often most important -- happens before the formal mediation  even begins: getting the parties to the table.   Overcoming the resistance to sit down at that table can be half the  battle in resolving a dispute.  It's like  the Steve Martin joke, "How you can be a millionaire and never pay  taxes?  First, get a million  dollars..." 
                Because getting parties to agree to mediate can itself be a  daunting task, it's designated here as the "first stage" of divorce  mediation.  There are many obstacles at  work when we try to get the parties to the mediation table, the greatest being  the passions the parties bring to the conflict, the "dispute about the dispute,"  the fear of loss of control over the outcome, the fear of the unknown, and,  indeed, the unknown, secret reasons the parties may have for ducking  mediation.   
              The possible counterbalancing forces to these obstacles are  the need for a way to communicate, the need for information, the looming  approach of a meaningful deadline, and the need to keep expenses from going  through the roof.  Each of these  obstacles and forces is affected by the others, the balance changing constantly  during the dispute. 
              Of all the reasons for avoiding mediation, the greatest are  fear and procrastination.  People stuck  in disputes often fear each other, and so are reluctant to meet face to  face.  Their first instinct is to refuse  anything the opponent proposes, even if it's as innocent-sounding as  negotiation or mediation.  There's also  the related (albeit unfounded) fear that they will lose control of the dispute  by submitting it to mediation. Finally, there's the fear of appearing weak, of  "blinking first," by suggesting settlement instead of trial.  Our clients don't want their opponent to  think they don't have the facts, the law, the bucks, and, most of all, the  gumption to win at trial.   
              In addition to fear, procrastination also delays attempts at  settlement.   Good negotiation or  mediation requires preparation, and it's sometimes hard to get our clients  "ready" to negotiate without an independent deadline to force them to  do so. 
              Fortunately, now that mediation is more widely understood,  in some instances the invitation to sit down and talk will be met with wary  acceptance.  Before acceptance, however,  there must be invitation.  The first step  is to make them an offer they can’t  refuse. 
              The  Hawaii Family  Court Requires Mediation  
              For  some time now, the Hawaii Family Court has required mediation in divorce  cases.  Currently, the Hawaii Family  Court emphasizes mediation in three ways.   First, Family Court Memorandum 48 announces the Court’s  presumption "that all divorce litigants will attempt mediation before  litigation."  Second, the form for  Motions for Pre- and Post-Decree Relief, provides that counsel may request an  order requiring mediation on the issues raised in the Motion.  Third, the form of Pretrial Order to be used  in connection with each and every Motion to Set, Settlement, or Pretrial  Conference requires the attorneys to state whether mediation occurred but  failed, or was inappropriate, and then to state the reason why.   
              The above Hawaii Family Court Forms and Memorandum help to  overcome the obstacles to mediation by providing both a rationale and a  deadline to focus on mediation early in the divorce action. The parties and  their attorneys can tell each other they're meeting to discuss mediation not  because they want to, or because their respective positions are weak, but  because they have to. 
              While the Family Court can help the parties get to the  mediation table, explaining the ritual of mediation to the parties will reduce  their fear of the unknown.  The idea is  to take mediation "out of the realm of imagination and into the realm of  information."  The attorney can  explain that in mediation, the client gets to keep control of the dispute, it's  far faster and cheaper than trial, that settlement discussions in mediation are  inadmissible in trial; and that the mediator must keep his or her designated  secrets confidential.  When the parties  achieve resolution, however, their agreements are admissible in evidence.  HRS §572-22. 
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                STEP  2.            INTRODUCING THE SPOUSES TO  THE RITUAL OF MEDIATION  
               
              The  formal mediation hearing begins with the parties present before the  mediator.  The mediator explains the  ritual of mediation, and reviews the agreement to mediate.   
              The mediator reminds the parties that: 
              
                - In mediation, an impartial person helps  the opposing parties reach their own settlement.
 
                -  The mediation is voluntary and  confidential.
 
                - The mediator doesn't take sides or make  decisions for the parties, but helps them communicate.  The parties keep control of the process and  the outcome.
 
               
              The mediator then  asks the parties to make a good faith commitment to try their best to work  together to come to a fair settlement.   
              The parties then  agree on an agenda for discussing the issues, usually starting with the issues  which are easiest to solve. 
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              It's important, at the beginning of the mediation, that each  party be given an equal turn to tell his or her side of the story.  It's equally important that the mediator show  he or she is listening.  In The Rime  of the Ancient Mariner, a wedding guest is constrained to hear the tale of  an old sea-faring man.  His tale is  indeed frightening: of storms, of sins against nature, of an albatross around  the Mariner's neck, and of a skeleton ship, with Death and Life-in-Death as its  crew.  In mediation, the parties, like  the Ancient Mariner, need to tell their tales of the horrors of their broken  marriage.  And like the wedding guest,  the mediator must hear it.   
              The way the mediator listens and responds to the story of  each spouse is critical.  The advice of  Abraham Lincoln on negotiation is especially helpful here: 
              If you would win a man to your cause, first convince him that you are his sincere friend.  Therein is the drop of honey that catches his  heart, which...is the great high road to his reason, and which once gained, you  will find but little trouble in convincing his judgment of the justice of your  cause, if indeed that cause really be a just one.  On the contrary, assume to dictate to his  judgment, or to command his action, or to mark him as one to be shunned and  despised, and he will retreat within himself, close all the avenues to his head  and heart; and tho' your cause be naked truth itself...you shall no more be  able to reach him than to penetrate the hard shell of a tortoise with a rye  straw. 
              Such is man, and so must he be  understood by those who would lead him, even to his own best interest.  
    
                The mediator should encourage each spouse to structure his  or her comments as follows: 
              
                - the issues (what's broken, e.g., no  agreement on custody, child support, alimony, property and debt division,  etc.);
 
                - the positions (what each party initially  believes is the fair way to resolve the issues); and
 
                - the interests (why the parties have  adopted their respective positions, and what each party really wants).
 
               
              After each turn,  each party and the Mediator has the opportunity to ask questions and clarify  the issues, positions, and interests.  No  matter what, the mediator will want to summarize, in neutral terms, each  party's story, to show he or she heard what the parties said.  This diplomatic summary helps to restore each  spouse's self-esteem, and emphasizes that each spouse is playing an important  and influential part in the mediation. 
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              STEP  4.            EXCHANGE OF OFFERS AND  COMPROMISES  
              During  the negotiation stage, the Mediator will want to keep the focus on the future,  rather than the past, and on "interests" (what the parties really  want), rather than blame.  Instead of  taking "hard positions" against an "adversary" to emerge  "victorious," the idea is to work together as friends for a just and  lasting peace.  
              The Mediator's job is to help the parties summarize, in  neutral terms, what the parties are saying (separating "fact from  friction"); help the parties get the information they need to make  informed decisions; keep the parties on a level playing field; test reality,  and keep the parties focused on settlement. 
              To accomplish this, the parties should focus on objective  criteria, e.g., the present expenses and financial needs of each party, the  available resources of each party, and the projected future expenses of the 2  households. 
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               Parenting Plan  
              Where possible, avoid the words " sole custody,"  "primary custody," "visitation," and "primary  care-giver"  These words are charged  with emotional sticker-shock, and exalt the form of the label over the  substance of the relationship between each parent and the children.   Instead, consider words like "time  sharing arrangements" and "decision-making responsibilities."   
              The Mediator will want to help the parents focus on:  
              
                -  What the children require from each  parent; 
 
                -  How each parent visualizes his or her  future relationship with the children; and 
 
                -  How each parent visualizes the other  parent's future relationship with the children.   Remind the parents that the children had little or no say about the  divorce and the massive consequences divorce brings to their lives, so it's  especially important to be sensitive and compassionate about the kids' need to  be with both parents. One eye-opening illustration for the parents is the  following story:  
 
               
              The parents of two young children could not agree on who  would get custody, and were called into the family court judge's chambers  before the custody hearing.   
              The Judge leaned forward in his chair and asked the Mother:  "Do you love your children?"   
              The Mother replied: "Oh yes, Your Honor, I love them  very much." 
              The Judge turned to the Dad:   "Do you love your kids?"   
              The Dad answered: "Yes, Judge, they're everything to  me." 
              The Judge then sat back and said: "Well, I don't  know your kids or love them the way you do.   Do you want me to decide what happens to the children you love?  Go outside right now and work out  custody." 
              Break down the issue of custody onto more manageable parts,  such as focusing the parties on the time arrangements (weekly, holidays and  special days, vacations), decision-making responsibilities (health care,  education, religion, and sports).  There  are various guidelines for visitation schedules that can help the parties focus  on the time arrangements according to the parents' skills and circumstances and  the age of the children.   
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              Property Division 
              It helps to tackle property division issues before child and  spousal support issues, because the outcome on property division will determine  in part each spouse's need for, or ability to pay, support.  
              Informed, voluntary decision-making is at the core of the  mediation process. Each party must have equal access to, and fully understand,  all relevant information.  The parties  need to have all necessary information before they can effectively negotiate  about dividing up the marital property.  
              The parties should address property division in the  following chronological order: 
              
                -  Identify the assets/debts, including  the dates relevant to them, such as the date of acquisition of the property,  the date of marriage, and the current date.
 
                -  Valuate the assets/debts according to  the date of marriage and the current date.
 
                - Divide the  assets/debts according to the Marital Partnership  Model.
 
                 
                              A necessary step in the divorce action is the filling out of  the Family Court's forms relating to financial statements, such as the Income  and Expense Statement, the Asset and Debt Statement, and the Child Support  Guidelines Worksheet. 
              To fill out these forms accurately, the parties will want to  obtain copies of 
               
              
                2 prior years of federal income tax returns to corroborate  the financial data; the most recent statement of retirement-type benefits;  insurance policies; business and personal checking and savings accounts; and  lists of real and personal property.   Where possible, the parties should be encouraged to fill out these forms  together. 
                Sharing this information will help invoke the power of  momentum toward settlement, because each party will be placed on a level playing  field.  
                Sometimes, an appraisal will be necessary in order to value  important assets, such as real property and businesses.  The process used to make such a valuation  presents another opportunity to establish the rhythm toward settlement.  For example, if a residence needs to be  appraised, the mediator may encourage the parties to seek agreement on who will  be the appraiser, how the appraiser will be paid, what information will be  provided to the appraiser, and that the appraiser's valuation will be accepted  by both parties as the fair market value of the residence.  The emphasis on "agreeing on how to come  to agreement" provides a ritual for the parties to follow for the other  issues in the divorce. 
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                Child Support 
                The Family Court's Child Support Guidelines provide the  basic formula for determining child support.   One approach to seeking agreement on child support is as follows: 
                
                  - Determine what one party may have to  pay the other for child support pursuant to the Child Support Guidelines  ("Guidelines").
 
                  - Determine whether "exceptional  circumstances" exist, such as where application of the Guidelines against  the high income earner may yield child support payments which are in excess of  the reasonable needs of the children.  
 
                  - Determine who will provide for the  children's health care costs, both for health insurance and extraordinary  health care. 
 
                  - Determine whether the children will be  attending private school and/or college, and how the cost for such education  will be allocated.
 
                  - Determine the allocation for  extraordinary expenses, such as orthodontics.   For example, payment for braces could be split equally, or proportionate  to the income-earnings of each spouse.
 
                  - Determine the method of payment  (direct vs. wage assignment through the Child Support Enforcement Agency).
 
                  - Determine tax implications, such as  allocation of the dependency deduction.
 
                 
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                Spousal Support 
                The emotionally charged issue relating to spousal support,  or "maintenance," or "alimony," is the balancing of  financial responsibility.  Most people  start with the assumption that "equality means equitability."  However, when there's a gross disparity  between the financial capability of the parties, the higher earner spouse may  be asked to pay alimony to the lower earner spouse, in order to achieve an  adequate level of financial security for both parties.  The two essential questions are: how much,  and how long.  For the spouse who may  have to pay alimony, it helps to understand that spousal support is tax deductible  by the payor and taxable to the payee. 
                There are three categories of spousal support: transitional,  rehabilitative, and permanent.   Transitional support focuses on the immediate post-divorce period, and  whether the party seeking support can meet his or her needs independently, or  needs support to maintain the standard of living established during the  marriage.  Similarly, for the higher  earner spouse, the inquiry is whether he or she can afford to pay alimony out  of current income while still sustaining himself or herself at the marital  standard.   
                Rehabilitative support focuses on the usual occupation of  the spouses during the marriage, and the vocational skills and employability of  the party seeking support.  If school or  other training will enable the lower earner spouse to become financially  self-sufficient, then alimony for this purpose may be fair and reasonable. 
                Permanent support focuses on the age and physical and  emotional condition of the parties.   Where there is an older spouse, without realistic wage-earning  opportunities, or where a spouse is physically or emotionally disabled, and  therefore unable to work, then the duration of the alimony payments may be  permanent, although this is rare. 
                The Mediator can reduce the fear and anger attendant to the  spousal support issue by asking questions of each spouse which focuses them on  what life is going to be like after the divorce, and creating a plan to  maintain or achieve the marital standard of living. 
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                Impasses are so likely in divorce mediation that it helps to  consider them as an inevitable stage in the mediation itself.   When impasses do occur, a useful approach is  to conduct a negotiation within a negotiation -- a play within a play.  The three acts in the play are:  
                
                  - Talk story; 
 
                  -  Exchange offers and compromises; and 
 
                  -  Create the crisis of a deadline so that the parties focus  on reaching agreement about resolving the impasse.         
 
                 
                In other words, use the same techniques we applied to  the original issues in the dispute, by finding out what's broken, who's being  blamed, what underlying interests are at stake, and what solutions are  available. 
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                The Devil's Advocate 
                Perhaps the greatest service the mediator can perform during  an impasse is that of "devil's advocate."  Historically, the devil's advocate was the  church official whose duty was to question the evidence offered is support for  a demand for canonization.  The mediator  should, like the devil's advocate of old, politely but firmly "test  reality" by asking each party to articulate the consequences of its  proposed solutions and the consequences of failing to reach agreement.  During an impasse, the emotions the spouses  are feeling are so overwhelming that the mediator may want to use not only the  power of reality testing, but also the power of reality creating. 
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                Reality Testing: There's No Joy in  Mudville 
                It's common in divorce mediations that one spouse, or both,  announces some pretty extreme positions, the satisfaction of which are the  nonnegotiable conditions for "settlement."  Here's some "reality testing" questions which the mediator should ask to help the spouses see that there will  be "no joy in Mudville:" 
                
                  -  What would you  give to get the other side to accept your view?
 
                  -  What would  you want to accept the other side's view?
 
                  - What is your  best case scenario?
 
                     
                    a. How will you prove the facts for each  claim or defense? 
b. How will each lay and expert witness  testify? 
c. What is the law for each claim or  defense?What is your  worst case  
                     
                   
                  - What is your worst case scenario?  
 
                  - How much  will each cost you?
 
                     
                    a. Add up the cost of each pleading,  deposition, legal motion, expert fee, trial  preparation day, trial day, appeal,  etc. 
                     
                   
                  - How long  will each take?
 
                  - What's the  likelihood of each scenario?
 
                  -  What is your  preferred outcome?
 
                  -  What is your  fallback outcome?
 
                 
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                 Reality Creating: Crossing to the  Bright Side of the Road  
                If the impasse is still not broken, the mediator may want to  pursue a "reality creating" ritual.  The idea is to get each spouse motivated, on  a deep emotional level, to creating a future that's in the best interests of  everyone.  Once that emotional commitment  is made, the bridge to the bright side of the road won't seem so hard to cross. 
                
                  -  In caucus, the Mediator may ask each  spouse to describe, in detail, the past consequences of the issues over  which there's an impasse: what they have cost him or her in terms of happiness,  finances, health, security, and relationship with the kids.  
 
                  -  Next, he may ask each spouse to  describe, in detail, the present consequences of the impasse, again in  terms of happiness, finances, health, security, and relationship with the kids.
 
                  - Next, he may ask each spouse to  describe, in detail, the future consequences if these issues aren't  resolved, again in terms of happiness, finances, health, security, and  relationship with the kids, day by day, week by week, month by month, year by  year.  
 
                  -  Then, he may ask each spouse to  describe, in detail, how he or she wants the future to be, to envision how  resolving the issue can make the future fulfilling and successful, again in  terms of their happiness, health, security, and the kids.  
 
                  - Finally, the Mediator may tell each  spouse that he or she doesn't have to continue to live on the dark side of the  street.  Tell each spouse that they have  the chance, right now, to cross over to the bright side of the road.  Ask each spouse which future he or she is  committed to create, and how resolving the impasse will make that bright future  begin right now. 
 
                 
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                  STEP 6.            WRITTEN PROPOSED AGREEMENT IN  CONTEMPLATION OF DIVORCE  
                 
                Once agreements have been achieved, they need to be written  up.  The Proposed Agreement in  Contemplation of Divorce ("AICOD") is a working document which can be  modified and executed after legal review.   This agreement outlines the legal responsibilities of the parties and  consequences for noncompliance.   It also  provides for a way to resolve future disputes or changed circumstances.   
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                  STEP  7.            REVIEW OF THE AGREEMENT BY  THE EXPERTS  
                 
                The  mediator doesn't give legal or financial advice.   The parties need to make decisions with a  full understanding of their legal and financial concerns about financial  planning, property rights, and the tax aspects of divorce.  This is why the AICOD should be reviewed by  the parties' attorneys and accountants. 
                The parties' attorneys and accountants should perform a  legal and financial review of the proposed AICOD.  If the agreement is incomplete or  unsatisfactory, the parties return to mediation to settle any remaining issues  or incorporate suggestions made by their experts. 
                When the agreement is incorporated into the divorce decree  by the court, it's legally binding.  The  attorneys will complete the formal divorce procedures (filing and serving the  pleadings, etc.) 
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                  STEP  8.            RESOLVING FUTURE "ROCKS  IN THE ROAD"  
                 
                It's normal for the parties to have changes in circumstances  or difficulties implementing some aspects of the AICOD.  These can be constructively resolved with a  follow-up mediation session.  Any change  to the AICOD has to be approved by the Court in order to be legally  binding.   
                Here's a mediation clause for the AICOD: 
                Because the circumstances of the parties' lives are likely  to change and the future renegotiation of parts of this Agreement is to be  expected, they agree that if any disagreement should arise that cannot be  settled directly between themselves by negotiation, they will first attempt in  good faith to mediate the dispute with the services of a mediator of mutual  choice. 
                Experience has shown that parties who reach agreement  through mediation, rather than litigation, are less likely to return to Family  Court with post-divorce disputes.   With  the right ritual of resolution, and the assistance of the attorneys, divorce  mediation can achieve for the parties "a just and lasting peace."  
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