Northern District of New York
IN BRIEF
Process summary
Arbitration.
The Northern District of New York is one of ten courts authorized by 28 U.S.C. §§ 651-658 to offer voluntary, nonbinding court-annexed arbitration to civil litigants. See below.
Other ADR.
On occasion a judge has conducted a summary jury trial or appointed a special master for settlement purposes.
Magistrate judge settlement conferences.
Each civil case is referred to a magistrate judge for pretrial discovery and settlement discussions. Each party must provide the court and all parties with a settlement conference statement five days before the conference. The settlement statement is not filed with the court.
Of note
Obligations of counsel.
Attorneys must discuss the voluntary arbitration program with their clients and opposing counsel and must be prepared to discuss arbitration with the assigned judge at the initial case management conference. Counsel must also address the case's suitability for arbitration and settlement in their proposed case management plan.
Information from court.
Information about the arbitration program is issued by the court at filing and served by the plaintiff on all parties. Additionally, the court participates in bar gatherings throughout the district to explain its case management and ADR approaches.
Plans.
The court is considering adoption of early neutral evaluation, mediation, and settlement week and has surveyed the bar about the court's ADR approaches.
Evaluation.
The court's voluntary arbitration program was studied by the Federal Judicial Center as part of its evaluation of the voluntary arbitration programs. See David Rauma & Carol Krafka, Voluntary Arbitration in Eight Federal District Courts: An Evaluation (Federal Judicial Center 1994).
For more information
Terry John Mitchell, Arbitration Clerk, 607-773-2756; Thomas Smith, CJRA Attorney, 315-448-0595
IN DEPTH
Arbitration in New York Northern
Overview
Description and authorization.
The Northern District of New York is one of ten districts authorized by 28 U.S.C. §§ 651-658 to provide voluntary, nonbinding court-annexed arbitration. This experimental program, which is governed by Local Rule 83.7, was implemented on April 30, 1991. Parties in eligible cases are informed of the court's arbitration program at filing and at the initial case management conference. If parties consent to arbitration, they may elect to proceed before a single arbitrator or a panel of three arbitrators. Parties who are not satisfied with the arbitration award may file a request for trial de novo within thirty days of the filing of the award. The court pays the arbitrator's fees.
Number of cases.
No cases were referred to arbitration between January and September 1994.
Case selection
Eligibility of cases.
All civil cases are eligible for voluntary arbitration except pro se prisoner civil rights cases, habeas corpus cases, Social Security appeals, bankruptcy appeals, forfeitures and foreclosures, debt collection cases, and cases in which legal issues predominate.
Referral method.
A case is referred to arbitration by consent of all parties and a judicial referral order. The plaintiff, using the court's forms, is responsible for securing the consent of all parties to arbitrate.
Opt-out or removal.
Any party to the arbitration may request removal from arbitration at any time by filing a motion with the assigned judge. The assigned judge may also exempt a case from arbitration on his or her own motion.
Scheduling
Referral.
Cases may be referred to arbitration at any time if the parties consent. Referrals generally occur at the initial case management conference. If a motion to dismiss or join parties is pending, the referral to arbitration is delayed until the motion is decided.
Discovery and motions.
Parties have 120 days to complete discovery unless the referral order issued by the assigned judge grants more or less time. Arbitration is suspended if a dispositive motion is filed. All time frames set by the court's referral order are monitored by the court.
Written submissions.
The plaintiff's attorney sends the arbitrator copies of all pleadings when the arbitrator is appointed. At least ten days before the arbitration hearing, each attorney sends the arbitrator and the opposing party copies of all exhibits that will be used at the hearing.
Arbitration hearing.
The arbitration clerk sets the date of the hearing, which is held in a courtroom and takes place within six months of the arbitration referral order.
Length of hearing.
Arbitration hearings generally last about four hours.
Program features
Party roles and sanctions.
The arbitrator may order the parties to attend the arbitration hearing. If a party fails to participate in a meaningful manner, the arbitrator must notify the clerk in writing. The assigned judge will conduct a hearing on the issue and impose appropriate sanctions, including but not limited to the striking of any demand for a trial de novo filed by the offending party.
Filing of award.
The arbitration decision must be issued within ten days of the hearing. The decision is filed under seal and becomes the final judgment unless a party files a timely request for trial de novo.
De novo request.
Parties desiring trial de novo must file a request within thirty days of the arbitration decision. The party requesting trial de novo must deposit a sum equal to the arbitrator's fees with the clerk. If the requesting party fails to obtain a judgment more favorable to that party than the arbitration decision, the deposited funds are kept by the court.
Confidentiality.
The hearing is closed to the public and the decision is placed under seal and may not be made known to any judge unless (1) the assigned judge is asked to decide whether to assess costs; (2) the court has entered final judgment or the action has been terminated; or (3) the judge needs the information for the purpose of preparing the report required by § 903(b) of the Judicial Improvements and Access to Justice Act. At trial de novo, the court may not admit any evidence regarding the arbitration.
Neutrals
Qualifications and training.
To serve as an arbitrator, a candidate must be admitted to practice in the district; must have a minimum of five years' experience as a practicing attorney; and must have devoted at least 50% of his or her practice in the past five years to litigation or dispute resolution. Arbitrators are also charged with familiarizing themselves with the court's arbitration procedure manual.
Selection for case.
The parties may select a single arbitrator or a panel of three arbitrators from the court's roster. If the parties prefer, the clerk will prepare a short list of arbitrator candidates from the full roster.
Disqualification rules.
No party may serve as an arbitrator in an action in which any of the circumstances specified in 28 U.S.C. § 455 exist or in good faith are believed to exist.
Fees.
The court compensates arbitrators at a rate of $100 per day for each member of a panel of three arbitrators or $250 per day for a single arbitrator.
Immunity.
This issue is not addressed in the local rules.
Program administration
The program is administered and monitored by the arbitration clerk. A CJRA subcommittee consisting of the court's CJRA attorney, chief deputy clerk, and local attorneys reviews the program and recommends changes. Procedural problems are handled by the arbitration clerk; legal issues are referred to the district or magistrate judge assigned to the case.
Excerpted from
ADR and Settlement in the Federal District Courts: A Sourcebook for Judges & Lawyers, 1996,
a publication of the Federal Judicial Center and CPR Institute for Dispute Resolution