Your planning committee will probably use another court’s rules as a base for developing your own rules. This makes sense as you can avoid reinventing the wheel. Beware, however, that not all rules are equally good. To help planning committees build their rules on solid foundations, RSI has developed this Guide to Exemplary Rules.
The selected rules cover the main case types and ADR processes in both state and federal court. For each rule, RSI created a packet of information that guides you through the rule, starting with a summary of the rule, case types, ADR processes, and any related statutes or rules. The packet then highlights the especially good aspects of the rule and any interesting approaches it takes. To further guide you in determining how to adapt your rule, the packet discusses the benefits and drawbacks of specific aspects of the rule. It then offers links to resources that provide further discussion about specific topics, such as training and standards.
The rules, which are listed below, come from state and federal courts for programs for civil, foreclosure, family, child dependency, probate, bankruptcy, and appellate cases. They cover mediation, arbitration, early neutral evaluation, summary jury trials, and other processes. The rules are to be used as samples only; please be sure to search for any updates to the rules since they were selected for this site.
Background
RULE SECTION
After examining almost 1,000 rules, RSI staff selected 13. Our goal was to have one to three samples for each type of program. When more than one rule is provided for a particular case type, we selected rules that differ significantly from one another. In making the decision as to which rules to include, we assumed that they would be used as models that could be adapted to a court's specific context. With this in mind, while also recognizing that no rule is perfect, we selected rules that were well-written, with no significant problems or issues. Further, the rules had to cover all the necessary bases. Finally, the rules had to be written and structured in a way that they could be useful to other jurisdictions. Rules that had a language or structure that were specific to a particular jurisdiction were not selected.
Once the above criteria were met, we looked for rules that in some way rose above the others. Rules were selected if they were particularly good in dealing with a specific issue, or if they were particularly well organized and written.
We also made some judgment calls about what to include. Certain issues that are the subject of serious debate in the ADR field were left out. Because we did not annotate or discuss in detail whether to use a particular item and why, it would have been unhelpful to include these debated topics. So, for example, no sample rule has a good faith requirement for the participants because RSI does not recommend that courts include such requirements, and there is disagreement about whether they are a good idea. See our discussion of good faith requirements here.
RULE SUMMARIES
To aid courts in selecting rules for their own use, we created a cover page for each rule that provides a summary of the rule, including the case types and processes covered and any related statutes or rules. The summary is followed by highlights of the especially good aspects of the rule, as well as interesting approaches to a particular topic.
Some highlights discuss the benefits and drawbacks of a specific aspect of the rule. Others offer links to resources that provide further discussion about a specific topic that will better inform those writing rules, such as model standards and codes of ethics. We encourage you to follow those links to get more in-depth and nuanced information regarding some of the more important aspects of court ADR programs.
ACKNOWLEDGEMENTS
This Guide, and the sample rules it contains, are the product of a comprehensive review of court rules around the United States. With the assistance of an Advisory Committee of national experts, RSI collected court rules governing ADR, analyzed them and summarized the best examples of rules that other courts may want to emulate. The guidance that follows is based on that work. RSI is very grateful to the JAMS Foundation for its generous support of the development of this Guide and to the Advisory Committee, whose advice contributed greatly to the quality of the Guide. Any errors are RSI’s, however, and not those of the Foundation or the Committee.
The Rules
Following are links to packets of information for each type of rule. For state court, they include general ADR, arbitration, civil cases, family, child dependency and appellate. For federal court, they include bankruptcy, district and appellate.
STATE COURTS
General ADR
This rule covers mediation and arbitration of civil cases valued under $25,000. The rule was selected because of its:
- Detailed discussion of the authority and duties of the neutrals, parties and attorneys
- Section on training programs
- Standards of conduct for mediators
- Grievance procedure
- Services for indigent parties
Processes covered are mediation and non-binding arbitration. The rule is on this list because it:
- Is written in clear language
- Has specific delineation of the program director’s duties
- Contains a code of ethics for neutrals
- Has strong requirements for approved training programs
- Requires mediator reporting
- Has a pro bono requirement for neutrals
Civil Cases - Arbitration
Washington, DC, Superior Court Civil Arbitation Rule (PDF)
This rule was selected for its:
- Thoroughness
- Organization and use of plain language
- Strong and reasonable deadlines
- Training requirement for arbitrators
- Explanation of the arbitrator's powers
Civil Cases - Mediation
North Carolina Civil Case ADR Rule (PDF)
Although this rule focuses on mediation, it does cover other dispute resolution procedures that the parties may select. It has been selected for this list because it:
- Allows professionals who aren’t attorneys to be mediators
- Has a strong section on qualifications for mediators
- Has a certification process for training programs
- Requires mediators to abide by standards of conduct
- Has a good description of the duties of attorneys and parties in mediation
- Has a good description of the authority of the mediator
This rule for mandatory mediation of civil cases involving less than $25,000 is on the list because it:
- Provides concrete duties and authority of the mediator
- Outlines the duties of the parties and attorneys in mediation
- Contains a good standard of conduct
- Clearly outlines the requirements to be an approved training program
- Has a good grievance process
This statewide mediation program rule was selected for its:
- Clear, easily understood language
- Delineation of the ADR director’s specific duties
- Code of ethics for mediators
- Requirement that mediators pass an ethics exam
- Well-written requirements for approved training programs
- Pro bono requirement
Family Cases
North Carolina Clerk Mediation Rule (PDF)
This statewide mediation rule covers adult guardianship, estate and land partition cases. It was selected because it:
- Provides a clear process from referral to termination
- Clearly defines the duties of mediation participants
- Provides explicit duties for mediators
- Allows mediators to be professionals other than attorneys
- Has a detailed training curriculum
North Carolina Custody and Visitation Mediation Rule (PDF)
This mandatory mediation rule was selected for its:
- Orientation session requirement for parents
- Requirement that mediators be regularly evaluated
- Strict trainer guidelines and qualifications
- Strong ethics section
North Carolina Family Financial Mediation Rule (PDF)
Mediation, early neutral evaluation and judicial settlement conferences can be used under this rule to resolve equitable distribution, alimony and support issues. This rule was selected because it:
- Has a good description of the authority and duties of the mediator
- Clearly delineates the duties of mediation participants
- Provides clear and detailed certification requirements
- Has strong certification requirements
- Requires mediators to follow a standard of conduct
- Allows mediators to be professionals other than attorneys
- Has strong training program requirements
- Has a provision for indigent parties
Child Dependency
Cook County, Illinois, Child Protection Mediation Rule (PDF)
Anyone involved in a child protection or dependency case can request mediation by staff mediators at any time under this rule. It is on this list because it:
- Has detailed mediator qualifications
- Allows mediators to be professionals other than attorneys
- Provides for the use of interpreters
Appellate
Alabama Appellate Mediation (PDF)
Under this rule, mediation is mandatory for selected cases. It was selected because of its:
- Screening of cases by a knowledgeable administrator
- Strong but reasonable deadlines
- Ethical standards requirement
- Minimum criteria for non-roster mediators
- Pro bono requirement
FEDERAL COURTS
Bankruptcy Court
Hawaii District Bankruptcy Mediation Rule (PDF)
This rule allows mediation in any case, with the court appointing the mediator. It was selected because it:
- Is written in plain English
- Allows mediators to be professionals other than attorneys
- Has a strong administration section
- Provides immunity for mediators
- Has a good section on the mediator’s roles and actions in mediation
District Court
Northern District of California ADR Rule (PDF)
This rule provides for mediation, early neutral evaluation, judicial settlement conference or non-binding arbitration for any case. It is listed here for its:
- Strong and reasonable deadlines
- Description of the duties of the ADR unit
- Detailed ADR processes
- Treatment of confidentiality
- Provision of immunity for neutrals
- Strong evaluation provision
U.S. District Court for the Middle District of Tennessee Rule (PDF)
This rule provides for mediation, early neutral evaluation, judicial settlement conference or non-binding arbitration for any case. It is listed here for its:
- Good ethical guidelines
- Protocols for each process
- Description of the ADR Coordinator’s duties
- Limitation on non-roster neutrals
- Pro bono requirement
Appellate Court
11th Appellate Circuit Mediation Rule (PDF)
Parties represented by counsel are eligible for mediation under this rule. It is on this list because it has:
- Detailed mediation procedures
- Certification of mediators
- Helpful tips for counsel in mediation