Minn. Gen. R. Prac. 114.12

As amended through February 1, 2024

Rule 114.12 - ADR ROSTERS AND TRAINING

Subdivision 1.Applicability of Rules; Definitions.

(a) Applicability of Rules. These rules apply to ADR Neutral rosters and training requirements maintained by the State Court Administrator's office. The definitions for any terms used in Rules 114 and 310 of the Minnesota General Rules of Practice for the District Courts, and as set forth below.

(b) Definitions.

(1) "Classroom training" includes both interactive training conducted in person and interactive training conducted through virtual means. Classroom training also includes a "ride- along."

(2) "Experiential learning" includes, but is not limited to, a "ride-along."

(3) "Ride-along" means observation of a real-life ADR process, including observation by remote means, conducted by a Qualified Neutral. With consent of the parties and under the supervision of the Qualified Neutral, the ride-along may also include participation in the ADR process.

Subd. 2.Rosters of Neutrals; Fees.

(a) Rosters. The State Court Administrator shall establish rosters of Qualified Neutrals in the following categories:

(1) Civil

(A) Civil Facilitative/Hybrid

(B) Civil Adjudicative/Evaluative

(2) Family

(A) Family Law Facilitative/Hybrid

(B) Family Law Hybrid

(i) Parenting Time Expeditor

(ii) Parenting Consultant

(C) Family Law Evaluative/Hybrid

(i) Social Early Neutral Evaluation

(ii) Financial Early Neutral Evaluation

(iii) Moderated Settlement Conference

(D) Family Law Adjudicative

The State Court Administrator shall review applications from individuals who apply to be listed on the roster of Qualified Neutrals, which shall include those who meet the training requirements established in subdivision 4, or who have received a waiver under subdivision 4(m). Each roster shall be updated and published on a regular basis. The State Court Administrator shall not place on, and shall delete from, the rosters the name of any applicant or Neutral whose professional license has been suspended or revoked. A Qualified Neutral may not provide services during a period of suspension of a professional license unless a waiver is granted by the ADR Ethics Board. A Qualified Neutral shall immediately notify the State Court Administrator if his or her professional license has been suspended, revoked, or reinstated.

(b) Fees. The State Court Administrator shall establish reasonable fees for qualified individuals to be placed on either roster.

Subd. 3.Qualification of Neutrals.

(a) Qualification. To become a Qualified Neutral, an applicant must have completed the certified training requirements provided in these rules. Once qualified, the Neutral must comply with the continuing education requirements set out in Rule subdivision 4(j)-(k) of this rule to remain on the roster.

(b)Community Dispute Resolution Programs (CDRPs). A Community Dispute Resolution Program (CDRP) is one certified by the State Court Administrator pursuant to Minn. Stat. ch. 494. Each CDRP may place its organization on the appropriate roster of Qualified Neutrals as a provider of services pursuant to these rules provided that the CDRP maintains records and ensures that any Neutral providing services that are subject to these rules satisfies the roster requirements for those services. These Neutrals are subject to the jurisdiction of the ADR Ethics Board when providing services within the scope of these rules, and shall follow the Code of Ethics set forth in this rule. Rule 114 Code of Ethics for Court-Annexed ADR Neutrals.

Subd. 4.Training, Standards and Qualifications for Neutral Rosters.

(a)Civil Facilitative/Hybrid Neutrals Roster.

(1)Qualifications. All Qualified Neutrals providing facilitative or hybrid services, that include a mediation component in civil, non-family matters, must have received a minimum of 30 hours of classroom training, with an emphasis on experiential learning.

(2)Training. The training outlined in this subdivision shall include a maximum of 15 hours of lectures and a minimum of 15 hours of experiential learning. The certified training must include the following topics:

(A) Conflict resolution and mediation theories, including: the principle of party self-determination, root causes of conflict, interest-based versus positional bargaining, models of conflict resolution, intercultural conflict, and mediator bias awareness and power dynamics ;

(B) Mediation skills and techniques, including information gathering skills, communication skills, problem solving skills, interaction skills, conflict management skills, negotiation strategies, caucusing, cultural and gender issues ;

(C) Components in the mediation process, including an introduction to the mediation process, information sharing , interest identification, option building, problem solving, agreement building, decision making, closure, drafting agreements, and evaluation of the mediation process;

(D) Mediator conduct, including conflicts of interest, confidentiality and admissibility of evidence, neutrality, ethics, standards of practice, support of party selfdetermination, and mediator introduction pursuant to the Civil Mediation Act, Minnesota Statutes, sections 572.31 -.40;

(E) Rules, statutes and practices governing mediation in the trial court system, including these rules, Special Rules of Court, and applicable statutes, including the Civil Mediation Act; and

(F) The importance of parties understanding and selecting the mediation model in which they are participating.

(b) Civil Adjudicative/Evaluative Neutrals Roster.

(1)Qualifications. All Qualified Neutrals providing arbitration, summary jury trial, early neutral evaluation and adjudicative or evaluative services or serving as a consensual special magistrate must have received a minimum of 6 hours of classroom training.

(2)Training . The certified training must include the following topics:

(A) Pre-hearing communications between parties and between parties and Neutral;

(B) Components of the hearing process including evidence; presentation of the case; witnesses, exhibits, and objectives; awards; dismissals;

(C) Settlement techniques;

(D) Rules, statutes, and practices covering arbitration in the trial court system, including Supreme Court ADR rules, special rules of court and applicable state and federal statutes; and

(E) Management of presentations made during early neutral evaluation procedures and moderated settlement conferences.

(c)Family Law Facilitative/Hybrid Neutrals Roster.

(1)Qualifications. All Qualified Neutrals providing family law facilitative or family law hybrid services that include a mediation component must have received a minimum of 40 hours of classroom training, with an emphasis on experiential learning.

(2)Training . The certified training shall consist of at least 40 percent experiential learning. The training must include at least:

(A) 4 hours of conflict resolution theory, including intercultural conflict and mediator bias awareness;

(B) 4 hours of psychological issues related to separation and divorce, and family dynamics;

(C) 4 hours of issues and needs of children in divorce;

(D) 6 hours of family law including custody and parenting time, visitation, child and spousal support, asset distribution and valuation, and taxation ;

(E) 5 hours of family budget and finances ; and

(F) 2 hours of ethics, including:

(i) self-determination of the parties;

(ii) the role of mediators and parties' attorneys in the facilitative process;

(iii) the prohibition against mediators dispensing legal advice; and,

(iv) the parties' rights to terminate the mediation process; and

(G) A minimum of 6 hours of certified training in domestic abuse issues, which must be a part of the 40-hour training above, to include at least:

(i) 2 hours about domestic abuse in general, including legal definitions, dynamics of abusive relationships, and types of power imbalance;

(ii) 3 hours of domestic abuse screening, including simulation or roleplaying; and,

(iii) 1 hour of legal issues relative to domestic abuse cases.

(d) Family Law Hybrid Neutrals Roster - Parenting Time Expeditor.

(1)Qualifications. All Qualified Neutrals providing parenting time expediting services must:

(1) be qualified family law facilitative Neutrals under subdivision 4(c);

(2) demonstrate at least 5 years of experience working with high-conflict couples in the area of family law ; and

(3) be recognized as qualified practitioners . Recognition may be demonstrated by submitting proof of professional licensure, professional certification, faculty membership of approved continuing education courses related to high conflict couples , or acceptance by peers as experts in their field.

(2)Training. All qualified Parenting Time Expeditors (PTEs) shall have also completed a minimum of 12 hours of certified training, including at least 40% experiential learning, on the following topics:

(A) Overview of family law Neutral roles and distinguishing the PTE role;

(B) Emotional and psychological dynamics of separation and divorce;

(C) Code of Ethics for Court-Annexed ADR Neutrals and the PTE statute;

(D) Appointing orders;

(E) Orientating parties to the process;

(F) Managing the parenting time expediting process, including decision making;

(G) Addressing domestic abuse in parenting time expediting;

(H) Protocols and fees;

(I) Standards and best practices;

(J) Avoiding and handling complaints; and

(K) Drafting summaries and decisions.

(e)Family Law Hybrid Neutrals Roster - Parenting Consultant.

(1)Qualifications. All Qualified Neutrals providing parenting consulting services must:

(1) be qualified family law facilitative Neutrals under subdivision 4(c) ;

(2) demonstrate at least 5 years of experience working with high conflict couples in the area of family law; and

(3) be recognized as qualified practitioners in their field. Recognition may be demonstrated by submitting proof of professional licensure, professional certification, faculty membership of approved continuing education courses related to high conflict couples, or acceptance by peers as experts in their field.

(2)Training. Parenting Consultants shall have also completed a minimum of 18 hours of certified training, including at least 40% experiential learning, on the following topics:

(A) Emotional and psychological dynamics of separation and divorce;

(B) Developmental needs of children;

(C) Addressing domestic abuse in the parenting consulting process;

(D) Appointing orders;

(E) Fee agreements and billing;

(F) Managing the parenting consulting process;

(G) Standards and best practices;

(H) Statutes and rules, including the Code of Ethics for Court-Annexed ADR Neutrals;

(I) Issues and techniques;

(J) Drafting summaries and decisions; and

(K) Avoiding and handling complaints.

(f)Family Law Evaluative/Hybrid Neutrals Roster - SENE.

(1)Qualifications. All Qualified Neutrals providing Social Early Neutral Evaluations ("SENE") must:

(1) be qualified family law facilitative Neutrals under subdivision 4(c);

(2) have at least 5 years of experience as family law attorneys, mental health professionals dealing with divorce-related matters, or as other professionals working in the area of family law; and

(3) be recognized as qualified practitioners in their field. Recognition may be demonstrated by submitting proof of professional licensure, professional certification, faculty membership of approved continuing education courses related to high conflict couples, or acceptance by peers as experts in their field.

(2)Training. Neutrals performing SENE must have observed two SENEs and completed 12 hours of certified training, including at least 40% experiential learning, on the following topics:

(A) Demonstration of a judicial officer's Initial Case Management Conference orientation;

(B) Pre-SENE considerations and staging the SENE;

(C) Introduction to the process;

(D) Information gathering;

(E) SENE team consultation;

(F) Feedback;

(G) Attorney-client caucus;

(H) Negotiation;

(I) Completing the process;

(J) Reporting to the court; and

(K) Addressing domestic violence in SENE and FENE.

(g) Family Law Evaluative/Hybrid Neutrals Roster - FENE.

(1) Qualifications . All Qualified Neutrals providing Financial Early Neutral Evaluations ("FENE") must:

(1) be qualified family law facilitative Neutrals under Rule 4(c);

(2) have at least 5 years of experience as family law attorneys, as accountants dealing with divorce-related matters, or as other professionals working in the area of family law; and

(3) be recognized as qualified practitioners in their field. Recognition may be demonstrated by submitting proof of professional licensure, professional certification, faculty membership of approved continuing education courses related to family law related finances, or acceptance by peers as experts in their field.

(2)Training . Neutrals performing FENE must have observed two FENEs, and completed 12 hours of certified SENE training and 5 hours of certified FENE training, including at least 40% experiential learning, on the following topics:

(A) Pre-FENE considerations;

(B) the financial evaluative meeting;

(C) making sure the parties are heard;

(D) delivering the opinion;

(E) concluding the FENE; and

(F) finalizing the agreement.

(h) Family Law Evaluative/Hybrid Neutrals Roster - MSC.

(1)Qualifications. All Qualified Neutrals providing a Moderated Settlement Conference ("MSC") must be recognized as qualified practitioners in their field. Recognition may be demonstrated by submitting proof of professional licensure, professional certification, faculty membership of approved continuing education courses related to family law, or acceptance by peers as experts in their field.

(2)Training. Neutrals performing MSCs must have observed one MSC and have completed 4 hours of certified MSC training, including at least 40% of the training experiential learning, with the training to include the following topics:

(A) When MSC process is appropriate;

(B) Logistics of MSC process;

(C) Dealing with attorneys and parties in highly entrenched positions;

(D) How to share opinions without alienating parties or attorneys;

(E) Managing domestic abuse situations (e.g. OFP, DANCO, HRO);

(F) Confidentiality and communication with judicial officers; and

(G) MSC notes and records in discovery process.

A Neutral already listed on the Family Law Evaluative/Hybrid Neutrals Roster-SENE or on the Family Law Evaluative/Hybrid Neutrals Roster-FENE may alternatively satisfy the training requirements for the MSC Roster by either (a) observing one MSC, or (b) completing a one-hour classroom training covering the subject matters listed above.

(i) Family Law Adjudicative Neutral Roster.

(1)Qualifications. All Qualified Neutrals providing family law adjudicative services must:

(1) have at least 5 years of professional experience in the area of family law, and

(2) be recognized as qualified practitioners in their field. Recognition may be demonstrated by submitting proof of professional licensure, professional certification, faculty membership of approved continuing education courses for family law, service as court-appointed adjudicative Neutral, including consensual special magistrates, service as referees or guardians ad litem, or acceptance by peers as experts in their field.

(2)Training. All qualified family law adjudicative Neutrals shall have also completed a minimum of 6 hours of certified training on the following topics:

(A) Pre-hearing communications among parties and between the parties and Neutral(s);

(B) Components of the family court hearing process including evidence, presentation of the case, witnesses, exhibits, awards, dismissals, and vacation of awards;

(C) Settlement techniques; and

(D) Rules, statutes, and practices pertaining to arbitration in the trial court system, including this rule, Special Rules of Practice for the District Courts, and applicable state and federal statutes.

In addition to the 6-hour training required above, all qualified family law adjudicative Neutrals must have completed a minimum of 6 hours of certified training in domestic abuse issues, to include at least:

(i) 2 hours about domestic abuse in general, including legal definitions, dynamics of abusive relationships, and types of power imbalance;

(ii) 3 hours of domestic abuse screening, including simulation or roleplaying; and,

(iii) 1 hour of legal issues relative to domestic abuse cases.

(j)Continuing Education for Facilitative, Hybrid, and Evaluative Neutrals All Qualified Neutrals providing facilitative, hybrid, or evaluative services must attend 18 hours of continuing education about alternative dispute resolution subjects within the 3-year period in which the Qualified Neutral is required to complete the continuing education requirements. These hours may be attained through course work and attendance at state and national ADR conferences. Up to 9 hours of continuing education can be from participation in a facilitated consultation group with other Neutrals. The Qualified Neutral is responsible for maintaining attendance records and shall disclose the information to program administrators and the parties to any dispute. The Qualified Neutral shall submit continuing education credit information to the State Court Administrator's office within sixty days after the close of the period during which his or her education requirements must be completed.

(k) Continuing Education for Adjudicative Neutrals . Qualified Neutrals providing adjudicative services must attend 9 hours of continuing education about alternative dispute resolution subjects during the 3-year period in which the Qualified Neutral is required to complete the continuing education requirements. These hours may be attained through course work and attendance at state and national ADR conferences. The Qualified Neutral is responsible for maintaining attendance records. The Qualified Neutral shall submit continuing education credit information to the State Court Administrator's Office within sixty days after the close of the period during which his or her education requirements must be completed.

(l)Certification of Training Programs and Trainers. The State Court Administrator shall certify training programs which meet the training criteria of this rule. In order to qualify as a certified training program, one or more trainers must meet the following requirements:

(1) Have taken a training as set forth in this rule or equivalent training on the same topic before teaching it;

(2) Be a Qualified Neutral if providing ADR services in Minnesota. If a trainer from out of state is not on the roster, the Minnesota ADR rules/law topics as required in this section, including the Code of Ethics for Court-Annexed ADR Neutrals, must be taught by a local expert who is on the roster;

(3) Demonstrate 5 years of experience as a Neutral in the ADR process being taught; and

(4) Demonstrate experience as a trainer using the role play / experiential learning format required by these rules.

(m) Waiver of Training Requirement. An individual seeking to be included on the roster of Qualified Neutrals without having to complete training requirements under these rules shall apply for a waiver to the Minnesota Supreme Court ADR Ethics Board. Waivers may be granted when an individual's training and experience clearly demonstrate exceptional competence to serve as a Neutral.

Minn. Gen. R. Prac. 114.12

Adopted effective 1/1/2023; amended effective 1/1/2023.