3rd Judicial District Alternative Dispute Resolution

Mission

It is the policy of the Unified Court System (UCS) to encourage the use of mediation, arbitration, neutral evaluation, settlement conferences, summary jury trials and other appropriate dispute resolution processes to support timely, affordable, and meaningful resolution of civil legal disputes. Unless certain exceptions apply, civil actions or proceedings heard in the Supreme Court, Surrogates Court, County Court, Family Court, and City Court shall be eligible for referral to an appropriate dispute resolution process at the earliest practicable time to provide parties with compassionate and comprehensive justice.

Presumptive ADR

In a presumptive Alternative Dispute Resolution (ADR) referral model, parties are referred early on to utilize a form of ADR such as mediation, arbitration, neutral evaluation or settlement conferencing. However, a referral can occur at any stage in a case and should  be done early in the court process before costs rise and positions harden. While the Court presumes that certain case categories are appropriate for some form of ADR, parties can choose to opt-out, often for a good cause, or exclude certain case types. Cases are continuously screened to support party safety and to assess case appropriateness for presumptive ADR. 

Who Conducts the ADR Process

ADR can include a variety of processes, such as settlement conferencing with the court and court staff, or a Court Attorney-Referee from the 3rd Judicial District Office. ADR can also include mediation with a Court Roster Mediator, a Court Attorney-Referee or mediation through a local Community Dispute Resolution Center (CDRC).

Call for Mediators

The 3rd Judicial District serves a wide variety of litigants, including persons of varying age, race, ethnicity, national origin, gender, sexual orientation, physical or mental ability, religion, socioeconomic and family status. The District’s multiple Mediation Programs recognize that neutrals with a wide variety of cultural and life experiences enrich the Alternate Dispute Resolution process by bringing diverse perspectives to resolving disputes. To accomplish these goals, it is important that the 3rd Judicial District Mediation Roster program attracts and retains Mediators who represent a range of personal and professional backgrounds who can, thereby, better serve and instill confidence in participants in the ADR process. To that end, qualified applicants of all diverse backgrounds and experiences are encouraged to apply for admission to the Mediation Roster in the 3rd Judicial District.  

If you would like to apply, please see the Mediator Requirements below and complete the application.  

Universal Application Form

Mediator Requirements

The Administrative Judge shall establish, and the ADR Coordinator shall maintain, a roster of trained mediators ("The Roster") for the Program which shall be available on the Court website. To be eligible to join the Roster as a Mediator, a person shall satisfy the training and experience requirements of Part 146 of the Rules of the Chief Administrative Judge.

Fulfillment of these requirements does not guarantee acceptance onto the Roster. Final placement on a Roster, or continuation on a Roster, is in the discretion of the ADR Coordinator and District Administrative Judge under Part 146 of the Rules of the Chief Administrator.

To assist court users with locating a Mediator that might be appropriate for their case, we have created the Statewide Mediator Directory, which lists Mediators who are approved to mediate in courts throughout New York State.  

Types of ADR

Alternative Dispute Resolution (ADR): ADR stands for Alternative Dispute Resolution – a variety of processes that help parties resolve their dispute without a trial. ADR may also refer to appropriate dispute resolution, referring to a number of processes that can be used to resolve a conflict, dispute or claim.

Mediation: Mediation refers to a confidential dispute resolution process in which a neutral third party --- the mediator -- helps parties identify issues, clarify perceptions, and explore options for a mutually acceptable outcome. The mediator does not decide the case but helps the parties to resolve the dispute themselves. Mediation seeks to ensure that the parties arrive at a voluntary, uncoerced decision in which each party makes free and informed choices as to process and outcome.

Arbitration: Arbitration is a process where disputing parties agree that one or several individuals --- the arbitrators --- can make a decision about the dispute after receiving evidence and hearing arguments. Arbitration is different from mediation because the arbitrator has the authority to make a decision about the dispute. Arbitration may be binding or non-binding, which depends on either an agreement between the parties or any applicable law in this area. In binding arbitration, parties agree to accept the arbitrator’s decision as final. In non-binding arbitration, the parties may request a trial if they don’t accept the arbitrator’s decision.

Neutral Evaluation: Neutral evaluation is an ADR process where the case is referred to an expert, usually an attorney, who is asked to provide a balanced and unbiased evaluation of the dispute. Early Neutral Evaluation (ENE) may take place soon after a case has been filed in court. A court may refer the case to ENE or the parties may mutually agree to this process. The parties either submit written comments or meet in person with the expert. The expert identifies each side’s strengths and weaknesses and provides an evaluation of the likely outcome of a trial. This evaluation can assist the parties in assessing their case and may propel them towards a settlement.

Settlement Conferencing: Settlement conferences are similar to mediation in that a third-party neutral assists the parties in exploring settlement; however, these conferences are usually conducted by a judge or court staff and generally focus on the attorneys and their legal arguments. A settlement conference is an important case management tool, is usually shorter than a mediation session and provides fewer opportunities for direct party participation or for consideration of non-legal interests that may be driving the conflict.

Community Dispute Resolution Center (CDRC)

You may seek the services of a Community Dispute Resolution Center (CDRC), which offers free and low-cost mediation. There is a CDRC for every county in New York State. They can mediate court cases, as well as disputes that have yet to be filed in court. Many CDRCs offer virtual mediation. In the 3rd JD, our CDRC's primarily handle mediations related to family court cases, small claims disputes and sometimes in Surrogates Court.  If a court refers your case to mediation, consult first with the referring court about your options: in some courts and in some case types, mediation services may be free of charge. More information and a link to your local CDRC can be found at Community Dispute Resolution Center.

Family Court

What cases are eligible: Custody and Visitation cases

Type of ADR: Mediation, Settlement Conference by Judge or Court Staff

Process: Custody and Visitation cases will be screened at intake, for eligibility referral to the by the CDRC serving that county. After an initial appearance, the Judge will also review the case to determine if it is appropriate for either mediation by the CDRC or a settlement conference by the Judge or Court Staff.

Agreements reached in mediation will be sent to the Family Court Judge for approval.

Exempt from ADR: PINS, Juvenile Delinquency proceedings, Abuse and Neglect Proceedings, Cases with Domestic Violence, Cases with incarcerated litigants, Adoptions.

City Court

What cases are eligible: Small Claims and Commercial Claims in all City Courts in the 3rd Judicial District

Type of ADR: Mediation, Settlement Conference by Judge or Court Staff

Process: Judge will refer cases to presumptive mediation to be conducted by the CDRC that serves that County.  Judges also actively engage in settlement conferencing with the parties, and their counsel if applicable in an attempt to reach an amicable resolution.

Surrogate's Court

What cases are eligible: Accountings, Administration and Probate Disputes

Type of ADR: Mediation, Settlement Conference by Judge or Court Staff

Process: At the Preliminary Conference the assigned judge will evaluate the case to see if it is appropriate for ADR. Cases involving large estates or sophisticated legal arguments will be referred to a Court Attorney-Referee at the 3rd Judicial District Office or to a Roster Mediator. Cases involving self-represented litigants, small estates or cases driven by complex family dynamics will be referred to the CDRC serving that County (see list below). 

Exempt from ADR: 17A Guardianships, Adoptions, Appointment of a Guardian Ad Litem, Kinship hearings

Supreme Court

What cases are eligible:  All Supreme Court matters including contested matrimonials, personal injury, property disputes and commercial/business disputes

Type of ADR: Mediation, Settlement Conference by Judge or Court Staff

Process:  At the Preliminary Conference, or thereafter, the Judge will evaluate whether the matter is appropriate for mediation or a settlement conference. If so, the Judge will direct the parties to engage in ADR and refer the matter to either a Court Attorney-Referee in the 3rd Judicial District Office or a Mediator from the 3rd Judicial District’s approved Roster of Mediators.  Cases not resolved through ADR, or assessed to be not appropriate for ADR, will be released for further proceedings before the assigned Judge.

Cases exempted from ADR: 

a. Article 78 proceedings

b. Article 81-Guardianship cases

c. Child Victim Act cases

d. Foreclosure actions

e. Tax Certiorari cases

Specialized ADR Programs in the 3rd JD:  

Albany County Supreme Court: Commercial Division

Type of ADR: 

A. Mediation:  Judge appoints a Mediator from the 3rd Judicial District approved roster of mediators, a private mediator at the parties expense or a Court Attorney-Referee from the 3rd Judicial District Office.  

B. Neutral Case Evaluator: Appointed by the Judge or a private Neutral Case Evaluator at the parties expense.

C. Judicial Hearing Officer (JHO): appointed by the Judge to preside over Mediation or a settlement conference.

D. Appointment of a Judge, other than the Assigned Judge, to preside over a settlement conference.

E. Settlement conference before the Assigned Judge.

F. Arbitration: a private arbitrator paid for by the parties.

Process: It is up to the parties to reach an agreement on the specific type of ADR to be utilized. If the parties fail to reach an agreement, the Court will designate an appropriate form of ADR. For example: The Court can appoint a Court Attorney-Referee in the 3rd JD to conduct Mediation by signing an Order making that appointment. Within 60 days a Mediation will be scheduled by the Court Attorney-Referee in consultation with the parties. The Court Attorney-Referee then provides updates to the Court on the progress that is being made in resolving the case.

Participation/Opting Out of ADR

The Mediator has the discretion to allow remote participation in ADR when available and appropriate. Parties are strongly encouraged to attend all ADR sessions, with counsel if applicable, but may opt out of ADR at any time. The Court may allow parties to opt out of one or more types of ADR, including mediation, in situations where:

1. Participation could jeopardize a person’s health or safety
2. A party may be a victim of physical, emotional or other abuse by another party
3. A substantial power balance exists between the parties; or
4. Any other occasion where the Court, for good cause shown, concludes that ADR (including mediation) would be imprudent.

Statement About Fee Structure for Both the Mediator and the Parties

The Court itself does not charge or administer fees for ADR. When the Court refers an ADR eligible case to a Court Attorney-Referee from the 3rd Judicial District Office, there is no fee for the parties. If the parties would like to utilize a Mediator from the court’s Roster of approved Mediators, then the following fee structure will apply.

Court Roster Neutrals shall be compensated as follows: A one-time fee of $500.00, to be split evenly by the parties, shall be paid to the Neutral within 20 days of the Order of Reference being issued by the Judge. This one-time fee covers the Neutral’s preparation time as well as the first 90 minutes of mediation. If the mediation is cancelled, without being re-scheduled, by one or all of the parties within 72 hours of the scheduled date for mediation, there will be no refund of the $500.00 payment. Should the parties agree to continue with mediation beyond 90 minutes, the Neutral can charge the parties a maximum of $375.00 per hour to be split evenly by the parties. This hourly fee shall be paid to the Neutral with in 10 days of the conclusion of mediation. Unless otherwise provided in these rules or agreed upon by the parties in writing, the Neutral’s fee structure shall be as set forth in the Neutral Fee Agreement.