UNITED STATES DISTRICT COURT
WESTERN DISTRICT OF NEW YORK
ALTERNATIVE DISPUTE RESOLUTION PLAN
Effective January 1, 2022
UNITED STATES DISTRICT COURT
WESTERN DISTRICT OF NEW YORK
INRE
ADOPTION OF ALTERNATIVE DISPUTE RESOLUTION PLAN
It is so ordered that this Alternative Dispute Resolution Plan, as amended, shall apply
to civil actions pending or commenced on and after the Effective Date, except as otherwise
J. ILARDO SINATRA, JR.
,strict Judge tates District Judge
~~
DAVID G. LARIMER
Senior United States District Judge
~J· L~
Senior United States District Judge Senior United States District
SECTION 1 - INTRODUCTION AND AUTHORITY
1.1 TITLE
This is the Plan for Alternative Dispute Resolution in the United States District Court for the
Western District of New York (the “ADR Plan”).
1.2 PURPOSE AND SCOPE
A. Purpose. The United States District Court for the Western District of New York (the
“Court”) initially adopted the ADR Plan on January 1, 2006 to make available to civil
litigants court-administered ADR interventions and processes designed to provide
quicker, less expensive, and potentially more satisfying alternatives to continuing
litigation, without impairing the quality of justice or the right to trial.
B. Scope. The ADR Plan applies to civil actions pending or commenced on and after the
Effective Date, except as otherwise indicated herein. The ADR Plan supplements this
Court’s Local Rules of Civil Procedure, which shall remain in full effect for all cases.
C. Magistrate Judge Consent Cases. Consistent with Local Rule of Civil Procedure
72, in cases where the parties have consented to jurisdiction by a Magistrate Judge
under 28 U.S.C. § 636, the Magistrate Judge shall have the same powers as the
District Judge originally assigned to the case.
D. Plan Administration.
1. Staffing. The Court will seek funding for staff to coordinate and implement the
ADR Plan.
2. ADR Committee. There shall be an ADR Committee responsible for
periodically reviewing the ADR Program, suggesting any amendments to the
ADR Plan, and assisting the Court with the selection and removal of Mediator
Panel members and ADR Program staff. The members of the ADR Committee
shall be selected by the Court’s Chief United States District Judge.
3. ADR Information and Guidelines. Information about the ADR Plan, the
Court’s Local Rule for mediation, and guidelines for the conduct of ADR are
available at http://www.nywd.uscourts.gov/ and also at the Court Clerk’s office.
4. All inquiries about the ADR Plan should be directed to:
ADR Administrator
U.S. District Court
2 Niagara Square
Buffalo, New York 14202-3350
Telephone: (716) 551-1511
E-mail:
[email protected]
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SECTION 2 - OVERVIEW
2.1 REFERRAL TO ADR
A. New Cases. All civil cases filed on and after the Effective Date of the ADR Plan,
including cases transferred from a federal district court or removed from a New York
state court, shall be referred automatically for ADR. Notice of the ADR requirements
will be provided to all parties immediately upon the filing of a complaint and answer
or a notice of removal. ADR intervention will be scheduled at the conference held
pursuant to Rule 16 of the Local Rules of Civil Procedure. The following categories of
actions are exempted from automatic referral:
1. Habeas Corpus and extraordinary writs;
2. Applications to vacate a sentence;
3. Social Security appeals;
4. Bankruptcy appeals;
5. Freedom of Information Act cases involving federal agencies and/or officials;
6. Cases implicating issues of public policy, exclusively or predominantly;
7. IRS summons enforcement actions;
8. Government foreclosure actions;
9. Civil asset forfeiture actions;
10. Prisoner civil rights actions; and
11. Cases which are sealed upon filing by operation of law, order of the Court, or
District practice.
B. Pending Cases. The assigned District Judge or the Magistrate Judge, if assigned,
on any pending civil case may, sua sponte or with status conference, issue an order
referring the case for ADR. The order shall specify a date on which the ADR
intervention is to be completed.
C. Stipulation. A case may be referred for ADR by stipulation of all parties. Stipulations
shall be filed and shall designate the specific ADR intervention the parties have
selected, the time frame within which the ADR process will be completed, and the
selected Neutral. Stipulations are presumed acceptable unless the assigned Judge
determines that the interests of justice are not served.
2.2 RELIEF FROM ADR REFERRAL
A. Opting Out Motions. Any party may file with the Magistrate Judge, if assigned, or if
not assigned, with the District Judge, a motion to opt out of, or for relief from, ADR.
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B. Motion. Opting Out Motions must be made within fourteen (14) calendar days after (i)
the date of the first discovery conference under Local Rule 16 in new cases, or (ii)
the date of a sua sponte ADR Referral Order in pending cases.
C. Criteria. Opting Out Motions shall be granted only for “good cause” shown.
Inconvenience, travel costs, attorney fees, or other costs shall not constitute “good
cause.” A party seeking relief from ADR must set forth the reasons why ADR has no
reasonable chance of being productive.
D. Judicial Initiative. The assigned District Judge or Magistrate Judge, if assigned,
may, sua sponte, exempt any case from the ADR Plan.
2.3 VIOLATIONS OF THE ADR PLAN
A. Report of Violation. A Neutral, party, or party’s counsel may report to the Magistrate
Judge, if assigned, or if not assigned, to the District Judge any failure to attend an
ADR conference, to substantially comply with the ADR Referral Order, or to otherwise
participate in the ADR process in good faith.
B. Form and Filing of Report. Any such report shall be in writing and comply with the
limitations of Section 5.11(A)(4)(b). Such reports shall be filed and be sealed pursuant
to Local Rule 5.3.
C. Proceedings and Sanctions in Response to Report of Violation. Upon receipt of
such a report, the Court may take whatever actions it deems appropriate, including
issuing an order to show cause why sanctions should not be imposed. Show cause
hearings shall be conducted on the record, but under seal. If sanctions are imposed,
objections thereto and any other comment thereon shall be filed with the Court within
fourteen (14) calendar days from the date of the notice of sanctions and
contemporaneously served on all other counsel, unrepresented parties, and the
Neutral.
2.4 EVALUATION OF THE ADR PLAN
Congress has mandated that the Courts’ ADR programs be evaluated. Neutrals, counsel, and
parties shall promptly respond to any request from the Court for an evaluation of the ADR
Plan. Responses will be used for research and monitoring purposes only. The sources of
specific information will not be disclosed to the assigned Judge or in any report.
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SECTION 3 - NEUTRALS
3.1 NEUTRALS
A. Neutral Panels. The Court shall maintain panels of Neutrals to serve the various
interventions and processes under the ADR Plan. Membership on any panel is a
privilege, not a right. The Court shall have the authority to establish qualifications for
Neutrals, monitor their performance, and withdraw any Neutral from a panel.
Applications are available at the Court’s website and from the Clerk’s offices in Buffalo
and Rochester.
B. Private Neutrals. The parties may select a Neutral who is not a member of the
Court’s panel. Such selections are presumed acceptable unless the assigned Judge
determines that the interests of justice are not served. A Neutral who is not a member
of the Court’s panel is not bound by the compensation limits in Section 5.4(A).
C. Qualifications and Training. The requirements for panel membership are specific
to each intervention and process under the ADR Plan and are set forth in the
corresponding sections below.
D. Oath. All persons serving as Neutrals shall take the oath or affirmation prescribed in
28 U.S.C. § 453.
E. Disqualification and Unavailability of Neutrals.
1. Disqualification. A Neutral may be disqualified for bias or prejudice, pursuant
to 28 U.S.C. § 144. A Neutral shall disqualify himself or herself in any case in
which a Justice, Judge, or Magistrate Judge would be disqualified pursuant to
28 U.S.C. § 455, subject to the waiver provision of 42 U.S.C. § 455(e).
2. Notice of Recusal. A Neutral who discovers a circumstance requiring
disqualification shall immediately notify all counsel, unrepresented parties, and
the Court. A new Neutral shall be selected by agreement of the parties or, in
the event the parties are unable to agree, by the Magistrate Judge, if assigned,
or if not assigned, by the District Judge.
3. Objections to Designated Neutral. Prior to the issuance of an Order
designating a Neutral, the designating Judge will contact the selected Neutral
who will review the case for possible conflicts. Following issuance of the
Court’s Order, a party who believes a disqualifying conflict exists should first
confer with the Neutral. If the matter is not resolved by, for example, waiver
or recusal, a motion and supporting affidavit shall be filed with the
designating Judge, within fourteen (14) calendar days from the Order, stating
the facts and the reasons for the belief that a disqualifying conflict, bias,
or prejudice exists. In the event a conflict or other objection does not
become apparent until after the ADR process has commenced, a motion
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for disqualification must be made at the earliest opportunity or the objection
is waived.
4. Unavailability. A selected Neutral who later becomes unable to serve within
the time period set forth in the Court’s Scheduling or Referral Order shall notify
all counsel, unrepresented parties, and the Court. A new Neutral shall be
selected by agreement of the parties or, in the event the parties are unable to
agree, by the Magistrate Judge, if assigned, or if not assigned, by the District
Judge.
3.2 IMMUNITIES
All persons serving as Neutrals in the ADR Plan are performing quasi-judicial functions
and are entitled to all the immunities and protections that the law accords to the
performance of tasks integrally related to the judicial process, including settlement and
alternative dispute resolution. See, e.g., Wagshal v. Foster, 28 F.3d 1249 (D.C. Cir. 1994).
3.3 COMPENSATION OF NEUTRALS
A Neutral’s fees shall be shared equally by all separately represented and unrepresented
parties, unless otherwise agreed by the parties or ordered by the Magistrate Judge, if
assigned, or if not assigned, by the District Judge.
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SECTION 4 - APPROVED ADR PLAN INTERVENTIONS
4.1 ADR INTERVENTIONS
A. Options. It is expected that cases referred for ADR will proceed to mediation.
However, the following options are also available upon the stipulation of all parties:
1. Neutral Evaluation;
2. Mini Summary Trial;
3. Arbitration (Binding and Non-Binding);
4. Case Valuation; and
5. Settlement Week, when scheduled by the Court.
The court also retains the discretion to order a settlement conference with the district
judge or magistrate judge assigned to the case or other judicial officer.
B. Timing. Timing is specific to the intervention and process chosen, as set forth in the
corresponding sections below.
C. Scheduling. Unless otherwise ordered by the assigned District or Magistrate Judge,
the referral of a case to ADR does not delay or defer other dates established in
the Scheduling Order and has no effect on the scheduled progress of the case toward
trial.
4.2 SELECTING AN ADR INTERVENTION
A. New Cases. Prior to the Local Rule 16 scheduling conference, counsel and
unrepresented parties shall confer about ADR as part of discussion of the
possibilities for a prompt settlement or resolution of the case pursuant to Fed. R. Civ.
P. 26(f). Unless the parties agree to a different intervention, it is presumed that they
will participate in mediation. The parties shall attempt to agree upon a Neutral and, at
the scheduling conference, shall be prepared to report on the outcome of their ADR
discussion pursuant to Local Rule 16(b)(2). The initial Scheduling Order shall
include a deadline for the completion of ADR.
B. Pending Cases. In pending cases, all sua sponte referrals will be to mediation.
Should the parties agree that a different ADR intervention is more appropriate to their
case, they may submit a stipulation designating the specific ADR intervention
selected, the time frame within which the ADR process will be completed, and the
identity of the Neutral. Stipulations must be filed within fourteen (14) calendar days
from the date of the ADR Referral Order and are presumed acceptable unless the
assigned District Judge or Magistrate Judge determines that the interests of justice
are not served.
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4.3 MULTIPLE ADR INTERVENTIONS
A. Initial Intervention. Generally, a first mediation session will be scheduled within
twelve (12) weeks after the Local Rule 16 conference. The minimum duration for the
first session is two (2) hours, but the parties are encouraged to spend additional time
unless the Mediator agrees that additional time would not be productive.
B. Additional Interventions. If the initial mediation session is not successful in resolving
the case, additional sessions or process may be scheduled as set forth below:
1. By the Mediator. The Mediator may, in consultation with the parties, schedule
subsequent sessions as needed to explore and evaluate the possibility of
reaching a mutually acceptable resolution. Additional sessions must be
conducted within the date for completion of ADR set forth in the Court’s
Scheduling or Referral Order.
2. By Stipulation. If, after the initial mediation session, the parties agree that an
intervention other than mediation may be of benefit in resolving the case, they
must submit a stipulation consistent with Section 4.2(B) and the stipulation
will be presumed acceptable unless the assigned District Judge or Magistrate
Judge determines that the interests of justice are not served.
C. Patent Cases. Pending and newly filed cases which involve allegations of patent
infringement are or may be subject to the additional mediation requirements of Rule
6 of the Local Patent Rules of the Western District of New York.
4.4 CONFIDENTIALITY
Each of the interventions and processes under the ADR Plan shall be confidential as set forth
in the corresponding sections below.
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SECTION 5 - MEDIATION
5.1 DESCRIPTION OF MEDIATION AND ITS PROCESS
Mediation is a flexible, non-binding, confidential process in which a qualified Neutral, the
Mediator, facilitates resolution of the issues between the parties and assists with settlement
discussions. Through various methods and techniques, the Mediator seeks to improve
communication between the participants (parties, counsel, experts, or whoever is included
in the mediation); helps participants articulate their interests; helps participants understand
the interests of the other participants, including their “opponent;” probes the strengths and
weaknesses of each party’s legal positions; and helps generate and define options for a
mutually agreeable resolution. The Mediator may engage in “reality checking,” but will not
give an overall evaluation of the case unless requested by all the parties. The Mediator has
no fact-finding or decision-making authority. The central tenet of mediation is that the parties
find their own solutions, with the assistance of the Mediator. A hallmark of mediation is its
capacity to go beyond traditional settlement discussions and explore creative outcomes
responsive to the participants’ needs and interests.
5.2 QUALIFICATIONS OF MEDIATORS
Mediators may be attorneys or non-attorneys, with relevant experience. All Mediators must
successfully complete initial and periodic training as required by the Court. All Mediators must
have a minimum of twenty (20) certified hours of training in the discipline of ADR. Non-
attorneys must also complete a minimum of four (4) hours of training in federal court civil
practice and procedure.
To effectively assist ADR participants and the Court, Mediators must:
• Be knowledgeable about civil litigation in federal court
• Have strong mediation process skills and the temperament to listen effectively
and facilitate communication between all participants and across “party” lines
• Exhibit strong problem-solving skills and the ability to generate meaningful
options to assist parties and other participants with settlement negotiations
5.3 MEDIATOR PANEL
The Court shall maintain a panel (the “Mediator Panel”) consisting of approximately 100
mediators (evenly apportioned between Buffalo and Rochester). The Mediator Panel shall
remain in place for three years. At the end of this three-year term, Mediator Panel members
who have not conducted any mediations may be removed from the Mediator Panel. The ADR
Committee will assist the Court with the selection and removal of Mediator Panel members.
5.4 COMPENSATION OF MEDIATORS
A. Mediators shall receive $200/hour for the first two hours of the initial mediation
session, without compensation for preparatory time. Thereafter, Mediators shall
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receive no more than their Court-approved hourly rates for time spent in mediation and
for preparation authorized or reasonably anticipated by the parties or their counsel
between sessions. This subsection shall not apply to Mediators who are not selected
from the Court’s Mediator Panel List.
B. Mediators may require that counsel and/or parties sign an agreement confirming the
terms of retention and compensation.
C. Mediator fees shall be divided equally among all separately represented and
unrepresented parties, unless otherwise agreed or ordered by the Court.
D. A party who has been granted in forma pauperis status is automatically relieved of his
or her pro rata share of the Mediator’s fee. All other parties shall continue to bear
their pro rata portions of the fee.
E. A party who has not sought in forma pauperis status, but is financially unable to pay
all or part of the pro rata share of the Mediator’s fee, may move for a waiver of the fee
requirement on a form provided by the Court. Where a Magistrate Judge has been
designated for the case, the motion may be decided by the Magistrate Judge.
F. All Mediator Panel members must provide pro bono services. The minimum service
requirement is one pro bono case or two reduced compensation cases for every four
(4) fully-compensated cases for which the Mediator is selected. Additional pro bono
service is encouraged.
5.5 SELECTION OF MEDIATOR
A. Mediator Panel List. The Court shall maintain the Mediator Panel List on its
website. Each Mediator Panel member shall provide to the Court information on his
or her area(s) of expertise and proposed compensation rates.
B. Private Mediators. The parties may select a Mediator other than from the Court’s
Mediator Panel List. Such selections are presumed acceptable unless the assigned
District Judge or assigned Magistrate Judge determines that the interests of justice
are not served. A Mediator who is not selected from the Court’s Mediator Panel List is
not bound by the compensation limits in Section 5.4(A).
C. Selection.
1. Once the parties have stipulated or been referred to mediation, they shall have
twenty-eight (28) calendar days from the date of the Local Rule 16 conference
or ADR Referral Order in which to select a Mediator, confirm the Mediator’s
availability, and file a stipulation regarding their selection. The Clerk shall send
a copy of the ADR Scheduling and/or Referral Order to the Mediator.
2. If the parties fail to agree upon a Mediator within the twenty-eight (28)
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calendar day period, the Judge who filed the mediator selection deadline shall
select a Mediator for the case from the Court’s Mediator Panel List and shall
issue an Order notifying the parties of the Mediator’s identity.
5.6 SCHEDULING AND LOCATION OF MEDIATION
A. Scheduling. Promptly upon being selected, the Mediator shall conduct a telephone
conference, jointly or separately, with counsel and any unrepresented parties, to fix
the date and place of the mediation.
B. Timing. Unless otherwise ordered, a first mediation session shall be conducted within
twelve (12) weeks after the Local Rule 16 conference. In pending cases, mediation
shall be conducted in accordance with the ADR Referral Order.
C. Location. The mediation session shall be held in the United States Courthouse
or the Mediator’s office, unless otherwise agreed.
5.7 MEDIATION MEMORANDUM
A. Time for Submission. No later than seven (7) days before the scheduled mediation
session, each party shall submit to the Mediator a written “Mediation Memorandum.”
B. Prohibition Against Filing. Mediation Memoranda shall not be filed and neither the
District Judge nor Magistrate Judge shall have access to them. They shall be subject
to the confidentiality of the mediation process and treated as a document prepared “for
settlement purposes only.”
C. Content of Mediation Memoranda. Mediation Memoranda must not exceed ten (10)
double-spaced pages and shall:
1. Identify by name and title or status:
a. All person(s) with factual knowledge and/or settlement authority, who, in
addition to counsel, will attend the mediation as a representative(s) of the
party; and
b. Any other person(s) (including an insurer representative) whose
presence might substantially improve the effectiveness of the mediation
or the prospects of settlement;
2. Concisely describe the parties’ claims and defenses, addressing the parties’
views of the key liability issues and damages, and discussing the key evidence;
3. State the relief sought in the case and the basis for monetary calculations;
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4. Describe the current status of the case, including the status of any motions
made;
5. Describe the history and current status of settlement negotiations, including
offers and counteroffers; and
6. Provide any other information that might be pertinent to resolution of the case,
including possible settlement options and alternatives.
Parties should include, along with the Mediation Memorandum, copies of documents
that are likely to make the mediation more productive or materially advance settlement
prospects.
5.8 COMMUNICATIONS WITH THE MEDIATOR
After receiving Mediation Memoranda and submissions pursuant to Section 5.7, the Mediator
may request additional information from any party or participant. The Mediator, at his or her
discretion, may also discuss the case in confidence and ex parte with counsel, parties, and/or
representatives. The Mediator shall not disclose any confidential communication, including
the Mediation Memoranda and submissions, without permission.
5.9 ATTENDANCE AND PARTICIPATION
A. Parties. Unless inconsistent with the context of its use, the words “party” or “parties”
in the ADR Plan shall mean “represented or unrepresented” and shall include counsel
where there is representation. All named parties and their counsel are required to
attend the mediation session(s) in person unless excused under Section 5.9(E).
1. Corporation or other entity. A party other than a natural person (e.g. a
corporation or some other entity or association) satisfies this attendance
requirement if represented by one or more persons, other than outside counsel,
who have authority to settle and who are knowledgeable about the facts and
circumstances of the case and the claims being made.
2. Government entity. A unit or agency of government satisfies this attendance
requirement if represented by one or more persons who have, to the greatest
extent feasible, authority to settle, and who are knowledgeable about the facts
of the case, the agency’s or unit’s position, and the procedures and policies
under which the agency or unit decides whether to enter into proposed
settlements. If the action is brought by the government on behalf of one or
more individuals, at least one such individual shall also attend.
B. Counsel. Each party shall be accompanied at the mediation session by the attorney
who will be primarily responsible for handling the trial of the matter and/or is most
familiar with the matter at that stage of the proceeding. A party who is proceeding pro
se may be accompanied by one non-attorney whom the party relies on for support
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and/or assistance.
C. Insurers. Insurer representatives are required to attend in person if their agreement
is necessary to achieve a settlement, unless excused under Section 5.9(E).
D. Other Attendees. The Mediator may require the attendance of any other individual
who appears reasonably necessary for the advancement of communication and
resolution between the parties.
E. Request to be Excused. Any person who is required to attend a mediation session
may be excused from attending in person only after showing that personal attendance
would impose an extraordinary or otherwise unjustifiable hardship. Not less than
fourteen (14) calendar days before the date set for the mediation, a person seeking
to be excused must submit a letter to the Mediator with copies sent to all other counsel
and unrepresented parties, which states:
1. All considerations that support the request; and
2. Whether the other party or parties join in or object to the request.
Any party opposing the request shall submit a written statement of opposition no less
than seven (7) calendar days prior to the mediation.
The Mediator shall promptly make a determination as to the necessity of the person’s
attendance and may require personal participation, permit participation by telephone,
or excuse the person’s presence altogether. The Mediator’s decision shall be final.
F. Participation by Telephone. A person excused from appearing in person at a
mediation session shall be available by telephone or otherwise be available as the
Mediator may direct.
G. Good Faith Participation in the Process. All parties and counsel shall participate in
mediation in good faith. Failure to do so shall be sanctionable by the District Judge or
Magistrate Judge, if assigned. Participation in good faith shall include adequate
preparation of materials and positions.
5.10 THE MEDIATION SESSION
A. The first mediation session shall be a minimum of two (2) hours. The parties may, and
are encouraged to, extend the length of the session.
B. The mediation session shall be conducted in accordance with the process described
in detail by the Mediator during the opening of the mediation. The process may
include, as appropriate and necessary, the following:
• Mediator “opening statement” and introduction to the process and session
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• An opportunity to present each party’s positions, claims, and concerns
• Joint sessions with all parties participating
• Various “caucus” sessions in which the Mediator meets with one or more parties
and/or their counsel, as the Mediator deems appropriate
C. The Mediator shall have discretion to structure the mediation so as to maximize the
benefits of the process.
D. Any communications to the Mediator during a “caucus” shall not be disclosed by the
Mediator to any other party without permission.
E. The mediation session shall be informal and conducted with civility.
5.11 CONFIDENTIALITY IN MEDIATION
A. Confidential Treatment. Mediation is confidential and private. No participant in the
mediation process or any portion thereof may communicate confidential information
acquired during mediation without the consent of all parties. There shall be no
stenographic or electronic recording, e.g., audio or visual, of the mediation process.
1. All written and oral communications made in connection with or during the
mediation session, any positions taken, and any views of the merits of the case
formed by any participant, including parties, counsel, and the Mediator, are
privileged and confidential.
2. There shall be no communication between the assigned District Judge or
designated Magistrate Judge and the Mediator regarding a case referred for
mediation.
3. No communication made in connection with or during any mediation session
may be disclosed or used for any purpose including impeachment in any
pending or future proceeding in the Court.
4. The confidentiality of information disclosed during mediation does not prohibit
or limit:
a. The Court from collecting information relative to evaluation of the ADR
Program;
b. The Mediator, a party, or a party’s counsel from reporting a failure to
participate in the ADR process in good faith, except that any such report
shall not disclose the content of confidential communications;
c. The Mediator from filing “Mediation Certification” forms pursuant to
Section 5.12;
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d. A party from seeking to enforce a settlement agreement;
e. A party from disclosing the final resolution and settlement reached
unless, in the interest of justice, the parties have agreed to the
confidentiality of same; or
f. A participant from making or demanding such disclosures as are required
by law, including disclosures otherwise discoverable in civil litigation.
5.12 CONTINUED MEDIATION AND REPORTS
A. At the close of the initial mediation session, the Mediator and the parties shall jointly
determine whether it would be appropriate and helpful to then schedule additional
mediation. Follow-up could include, without limitation, written reports, telephonic
discussions, negotiations between the parties with the Mediator available for
assistance, or further mediation sessions.
B. Within seven (7) calendar days after the close of each mediation session, and on the
form “Mediation Certification” electronically provided by the Court, the Mediator shall
report to the Court the date the session was held, whether the case settled in whole
or in part, and whether any follow-up is scheduled. The Mediation Certification shall
be filed electronically (in a manner prescribed by the Court), with training to be
provided to the Mediators in that process.
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ACKNOWLEDGMENTS
The Court acknowledges and thanks its committee members, who devoted countless hours
to the development of this Plan over two and one-half years, and the Federal Judicial Center
for the ADR consultation, resources and statistics it provided. In developing this Plan, the
Court and its committee reviewed numerous federal and state court ADR programs nationwide
and incorporated a multitude of recommendations and comments proffered by various
members of local and federal bar associations and their select committees. Additionally, the
Court extensively researched and studied the ethical implications for its program mediators.
In doing so, the Court was particularly impressed with the comprehensiveness and
reasonableness of the various principles enunciated and addressed in the proposed conflict
of interest rules for arbitrators, mediators and other third-party neutrals currently under
consideration for adoption in the State of New York and the CPR-Georgetown Commission
on Ethics and Standards in ADR’s “Proposed Model Rule of Professional Conduct for the
Lawyer as Third Party Neutral.”
In addition, the Court acknowledges the mediators, the litigants, and their counsel, who have
prepared for and fully participated in ADR from the Plan’s inception. Their thoughtful and open-
minded engagement in the process has ensured the Plan’s success.
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