Alternative Dispute Resolution for Queens Surrogates Court

Overview

It is the policy of the Unified Court System to encourage the resolution of civil legal disputes by methods including mediation, arbitration, neutral evaluation, in-court settlement practices, and summary jury trials. All actions or proceedings heard in Surrogate’s Court, shall be presumptively eligible for early referral to an alternative dispute resolution process unless otherwise excluded. The Court may refer parties to an ADR process at any time after an action has been commenced and are encouraged to do so at the earliest appropriate opportunity.

ADR

ADR CONTACT INFORMATION

Denise Colón, Esq. MSW
[email protected] 
Court Attorney – Referee/ADR Coordinator
Surrogate’s Court (Citywide)

 

Call for Mediators

Queens Surrogates Court 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 Court’s 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 Queens Surrogates Mediation Program Rosters attract and retain neutrals who represent a range of personal and professional backgrounds who can, thereby, better serve and instill confidence in participants in the alternate dispute resolution process. To that end, qualified applicants of all diverse backgrounds and experiences are encouraged to apply for admission to the Mediation Rosters in Queens Surrogates Court.

Universal Application Form

 

Mediator Requirements

The Surrogate shall establish, and the ADR Program Contact 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 as follows:

All Court Roster Mediators shall have received at least 24 hours of basic mediation training, 16 hours of additional training in the specific mediation techniques applicable to Surrogates matters. In addition, all Court Roster Mediators shall have recent experience mediating actual cases in the area of Trusts and Estates and Surrogates matters. Mediation experience can be achieved by mediating at least three (3) Court cases in a New York State, or b. Completing a Court Mediation Apprenticeship.

A Court Mediation Apprenticeship shall include: i. observing at least one (1) mediation, regardless of case type; ii. co-mediating three (3) Court cases in the subject area of the types of cases to be referred to them; iii. debriefing all observations and mediations with a Court Roster mediator or ADR Program Contact; and iv. receiving an evaluation by a Court Roster mediator or ADR Program Contact.

All Court Roster Mediators must attend six hours of approved Continuing Education relevant to mediating in their respective practice areas every two years.

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 District Administrative Judge under Part 146 of the Rules of the Chief Administrator.

 

ADR Referrals

Proceedings in the Queens County Surrogate’s Court are presumptively eligible for ADR, subject to the discretion of the Surrogate. Referrals to ADR are made via Order of Reference. Depending on the referral, parties may select to pursue mediation with a Court Roster Mediator, Community Dispute Resolution Center, Judicial Hearing Officer, or Private Mediator. The Court may continue appearances of the matter during the mediation process. Discovery may also continue at the discretion of the Court. The Surrogate’s Court Presumptive ADR Program Referral Guide provides a general overview of Surrogate’s Court referrals to ADR in NYC. The Queens Surrogate’s ADR Rules offer information on ADR referrals, the mediation process, mediator compensation, and other ADR related guidelines specific to their court. 

 

Community Dispute Resolution Centers

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 are not in court. Many CDRCs offer virtual mediation. 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. 

Get more information on your local CDRC.

 

Definitions

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.

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.

Community Dispute Resolution Center (CDRC): The New York State Unified Court System partners with local non-profit organizations known as CDRC’s to provide mediation, arbitration, and other dispute resolution options as an alternative to court. CDRC’s help litigants resolve a wide range of family and matrimonial courts disputes involving parents and children as well as child custody and visitation issues.

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.

Mediator: A trained third party neutral. The Mediator is not a decision maker. The Mediator serves as a neutral facilitator of communication and helps the litigants reach resolution of the issue(s) being mediated.

Part: A part shall mean any branch of court so designated by Administrative Rule or any Supreme Court IAS Justice, Acting Justice, Family Court Judge, Surrogate Judge or Judicial Hearing Officer presiding over the matter assigned.

Presumptive ADR: In a presumptive Alternative Dispute Resolution (ADR) referral model, parties are referred early on to utilize some form of ADR such as arbitration, mediation, neutral evaluation, settlement conferencing or a special masters.

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.

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.

Summary Jury trials: A summary jury trial is a one-day trial in which attorneys for each party present a shortened version of the case in a real courtroom before a jury.

 

Sample Forms, Required Report, Survey

Mediation Fee Agreement

Mediation Opt-Out Form/Court Order

Mediation Participant Statement of Understanding

Mediation Selection form

Report of Mediator Form

Post Mediation Survey

 

Frequently Asked Questions

Right to Counsel/Right to Assigned Counsel (where applicable): Parties have a right to have an attorney present with them during mediation. Attorneys are strongly encouraged to prepare clients for mediation sessions and assist with drafting agreements. Parties do not need to agree to anything in mediation without first speaking with an attorney.


Who Can attend? When parties have lawyers, some forms of ADR might involve only the lawyers. If the people involved in the case wish to participate in ADR or the court asks them to take part, they will always be allowed to bring their lawyer.

People can always ask to stop the ADR session so they have time to talk to a lawyer or have a lawyer assigned.

ADR can be very flexible and customized. So as long as everyone agrees, there are many ways that other people, who are not parties in the case or the lawyers could also be invited to join in an ADR session.


When will I be referred to ADR? Parties may be referred to ADR at any stage during the proceeding. However, one of the goals of presumptive ADR is to refer cases as early as practicable to limit the financial and emotional costs of litigation. As such, a case could be referred to ADR during a preliminary conference or before extensive discovery takes place. Each court makes this determination based on the case type and the resources available.


What notice will I receive? The Court will provide the parties with a written Court Order (sometimes referred to as an “Order of Reference”) which will inform them of the Court’s referral to ADR.


Whom do I contact if I have questions? Parties should refer to the Court Order (“Order of Reference”) for instructions on how to proceed and who to contact with questions.


How can I obtain information on Language Access? The Unified Court System is committed to ensuring language access in our courts. This commitment extends to our ADR initiative. Where one of the parties or a participant in the mediation has limited ability to hear or proficiency in communicating in English the party, participant, or counsel for the party may contact the ADR Coordinator for assistance securing an interpreter or other required service.


Are there exceptions to participation in Mediation? ADR Generally? It is presumed that all contested cases will be directed to some form of ADR unless the Surrogate determines, upon a party’s application or its own evaluation, that there is good cause for exempting a case.  For more on exemptions, please review the Surrogate’s ADR Rules.


COST? Mediators on the Court Roster have agreed to provide the first 90-120 minutes of mediation free of charge. Some mediation providers may offer additional, free mediation services to qualifying families, while others may offer a sliding fee scale. Community Dispute Resolution Centers (CDRCs) may charge a nominal (small) administrative fee but are, in many instances, free of charge.


Who is delivering the service: Judges, Court Attorney Referees, Judicial Hearing Officers, Law Clerks, Court Attorneys, private attorneys, Court Roster Mediators and CDRCs.
 

 

Roster of Mediators

Parties and/or Attorney may select a mediator from those who sit on the Queens Surrogates Roster, searchable below.  

Statewide Mediator Directory

 

Rules

Queens Surrogates’ Court Mediation Rules