Alternative Dispute Resolution Protocol v1

1. Purpose

The Alternative Dispute Resolution Protocol establishes standards for organizations providing mediation, arbitration, and other dispute resolution services outside of traditional litigation. This protocol addresses provider qualifications, procedural fairness, disclosure requirements, confidentiality protections, and documentation standards.

Alternative dispute resolution offers parties the opportunity to resolve conflicts more efficiently and with greater flexibility than traditional court proceedings. However, the integrity of these processes depends on qualified practitioners, transparent procedures, and meaningful protections for all participants.

This protocol recognizes that ADR processes vary widely in formality, binding authority, and procedural structure, and establishes baseline standards applicable across the spectrum of dispute resolution methods.

This protocol is designed to:

  • Establish qualification standards for dispute resolution practitioners
  • Define procedural fairness requirements for ADR processes
  • Implement disclosure and transparency obligations for providers
  • Ensure confidentiality protections appropriate to each process type
  • Guide documentation and record keeping practices
  • Standardize how ADR processes are explained in educational materials
  • Protect the voluntary and informed nature of participation in ADR

2. Scope

This protocol applies to:

  • Organizations and individuals providing mediation services
  • Arbitration providers and individual arbitrators
  • Neutral evaluation and early neutral assessment programs
  • Collaborative law practitioners and organizations
  • Online dispute resolution platforms
  • Court annexed ADR programs and referral services
  • Educational platforms publishing ADR related content
  • Informational resources addressing dispute resolution topics

This protocol is developed with reference to New York CPLR Article 75 and the New York Uniform Mediation Act but may be adapted for use in other jurisdictions with appropriate modifications to reflect local statutory and procedural requirements.

This protocol does not govern attorney conduct, which is subject to rules of professional responsibility in each jurisdiction.

3. What This Protocol Is Not

This protocol does not:

  • Provide legal advice regarding dispute resolution options
  • Replace consultation with licensed legal counsel
  • Certify mediators, arbitrators, or other dispute resolution professionals
  • Interpret statutes, court rulings, or regulatory requirements
  • Establish professional licensing requirements beyond voluntary adoption
  • Create legal obligations beyond voluntary adoption
  • Override court orders, arbitration agreements, or statutory requirements
  • Substitute for jurisdiction specific ADR requirements
  • Create any attorney client or fiduciary relationship with the publisher

Organizations and individuals adopting this protocol remain fully responsible for compliance with all applicable laws and regulations in their jurisdictions. Practitioners shall consult qualified legal counsel regarding specific requirements applicable to their circumstances.

4. Definitions

Alternative Dispute Resolution (ADR). Any method of resolving disputes outside of traditional court litigation, including mediation, arbitration, neutral evaluation, and collaborative processes.

Mediation. A voluntary, confidential process in which a neutral third party facilitates communication between disputing parties to assist them in reaching a mutually acceptable resolution.

Arbitration. A process in which a neutral third party or panel hears evidence and arguments from disputing parties and renders a decision that may be binding or nonbinding depending on the agreement of the parties.

Neutral Evaluation. A process in which a neutral third party with subject matter expertise provides a nonbinding assessment of the merits of the dispute to assist parties in evaluating settlement options.

Collaborative Law. A dispute resolution process in which parties and their attorneys commit to resolving the dispute through negotiation without resorting to litigation, with the understanding that the attorneys must withdraw if the process fails.

Online Dispute Resolution (ODR). Dispute resolution processes conducted primarily or entirely through electronic communication platforms.

Practitioner. Any individual serving as a mediator, arbitrator, neutral evaluator, or other dispute resolution professional.

Informed Consent. Agreement to participate in an ADR process based on adequate disclosure of the process, the practitioner qualifications, applicable fees, and the binding or nonbinding nature of the outcome.

Confidentiality. The obligation to protect information disclosed during ADR proceedings from disclosure to outside parties, subject to applicable legal exceptions.

Impartiality. The absence of favoritism or bias toward any party in the dispute resolution process.

Court Annexed ADR. Dispute resolution programs operated under the authority of or in connection with a court, including mandatory mediation and arbitration programs.

5. Requirements

5.1 Practitioner Qualifications

5.1.1 Training Requirements

Organizations providing ADR services shall ensure that practitioners meet minimum training requirements including:

  • Completion of a minimum of 40 hours of basic mediation training from an accredited program for mediators
  • Completion of subject matter specific training relevant to the types of disputes handled
  • Ongoing continuing education of not fewer than 12 hours annually in dispute resolution topics
  • For arbitrators, demonstrated expertise in the subject matter of disputes to be arbitrated
  • For ODR practitioners, training in the effective use of technology platforms for dispute resolution

5.1.2 Experience Requirements

Organizations shall establish experience requirements including:

  • A minimum number of supervised mediations or co-mediations before independent practice
  • Documentation of mentorship or apprenticeship hours completed
  • Ongoing peer review or case consultation participation
  • Maintenance of records documenting qualifications and continuing education

5.1.3 Ethical Standards

Practitioners shall adhere to ethical standards including:

  • Commitment to impartiality and freedom from conflicts of interest
  • Obligation to disclose any relationships or circumstances that could affect impartiality
  • Duty to conduct processes with competence and diligence
  • Obligation to maintain confidentiality as required by law and agreement
  • Duty to ensure voluntary and informed participation by all parties

5.2 Procedural Fairness

5.2.1 Intake and Screening

Organizations shall implement intake procedures that include:

  • Assessment of the suitability of the dispute for the proposed ADR process
  • Screening for power imbalances, safety concerns, or other factors that may affect fairness
  • Determination of whether all necessary parties are willing and able to participate
  • Assessment of whether parties have access to legal counsel where appropriate
  • Documentation of the intake process and any referrals made

5.2.2 Disclosure to Participants

organisationsBefore commencing any ADR process, organizations shall provide participants with:

  • A clear explanation of the process including its voluntary or mandatory nature
  • Disclosure of whether the outcome will be binding or nonbinding
  • Information about the practitioner qualifications and any potential conflicts of interest
  • A complete schedule of fees and how fees will be allocated among parties
  • An explanation of confidentiality protections and their limitations
  • Information about the right to consult legal counsel before and during the process
  • Information about the right to withdraw from voluntary processes

5.2.3 Process Conduct

During ADR proceedings, practitioners shall:

  • Ensure all parties have a reasonable opportunity to be heard
  • Maintain impartiality throughout the process
  • Manage power imbalances to the extent practicable within the process
  • Suspend or terminate proceedings if continued participation would be unfair or unsafe
  • Refrain from coercing parties into settlement or agreement
  • Ensure that any agreement reflects the informed and voluntary consent of all parties

5.3 Confidentiality Requirements

5.3.1 Confidentiality Obligations

Organizations and practitioners shall maintain confidentiality of ADR proceedings including:

  • All communications made during the ADR process
  • Documents and information exchanged during proceedings
  • The terms of any settlement or agreement unless the parties consent to disclosure
  • Notes, recordings, and work product of the practitioner

5.3.2 Exceptions to Confidentiality

Confidentiality obligations do not apply to:

  • Information required to be disclosed by law including threats of harm to persons
  • Information necessary to enforce or challenge a settlement agreement or arbitration award
  • Information that all parties agree may be disclosed
  • Mandatory reporting obligations under applicable law

5.4 Documentation Standards

5.4.1 Process Documentation

Organizations shall maintain documentation of each ADR engagement including:

  • Intake forms and screening assessments
  • Signed agreements to participate including acknowledgment of disclosures
  • Practitioner conflict of interest disclosures
  • Session records including dates, duration, and participants
  • Any written agreements reached by the parties
  • Termination notices or withdrawal documentation

5.4.2 Agreement Documentation

Written agreements resulting from ADR processes shall include:

  • Clear identification of all parties to the agreement
  • Specific terms of the agreement in plain language
  • Signatures of all parties and the date of execution
  • A statement that the agreement was reached voluntarily
  • Notation of whether the agreement is intended to be legally binding
  • Advice to consult legal counsel before signing where appropriate

5.4.3 Record Retention

Organizations shall retain records for:

  • A minimum of seven years after conclusion of the ADR process
  • Longer if any litigation or enforcement action is pending or reasonably anticipated
  • In accordance with applicable recordkeeping laws and regulations

5.5 Online Dispute Resolution Requirements

Organizations providing ODR services shall additionally:

  • Ensure platform accessibility for participants with varying levels of technical proficiency
  • Implement data security measures appropriate to the sensitivity of information exchanged
  • Provide technical support to participants experiencing platform difficulties
  • Disclose data retention, storage, and security practices to participants
  • Ensure that technology does not create barriers to equal participation
  • Comply with applicable data privacy laws and regulations

5.6 Educational Content Standards

Organizations publishing educational content about alternative dispute resolution shall:

5.6.1 Jurisdictional Clarity

  • Clearly identify the jurisdiction or jurisdictions addressed
  • Distinguish between general principles and jurisdiction specific rules
  • Label all statutory references with the applicable jurisdiction
  • Note that requirements and procedures vary by state and locality

5.6.2 Accuracy Standards

  • Present information accurately based on current law and practice
  • Update content promptly when laws or court rules change
  • Distinguish between legally required and recommended procedures
  • Distinguish between binding and nonbinding processes clearly
  • Cite authoritative sources for legal requirements

5.6.3 Disclaimer Requirements

  • Include clear disclaimers stating content is educational only
  • State prominently that content does not constitute legal advice
  • Recommend consultation with qualified legal counsel for specific situations
  • Disclaim any attorney client relationship with readers

6. Compliance Checklist

Organizations and practitioners adopting this protocol shall verify:

  • Practitioners meet minimum training requirements
  • Practitioners meet experience requirements
  • Ethical standards are documented and enforced
  • Intake and screening procedures are implemented
  • Required disclosures are provided to all participants before proceedings commence
  • Fees are disclosed completely and in advance
  • Confidentiality protections are in place and communicated
  • Exceptions to confidentiality are disclosed to participants
  • Process documentation is maintained for each engagement
  • Agreements are properly documented with required elements
  • Records are retained for required periods
  • ODR platforms meet accessibility and security requirements where applicable
  • Educational content includes jurisdictional disclosure
  • Educational content includes required disclaimers
  • Impartiality is maintained throughout all processes
  • Adoption language complies with the Standards Adoption and Disclosure Protocol

7. How to Cite This Protocol

Standard citation:

Alternative Dispute Resolution Protocol v1.0, Jimmy Wagner, JimmyWagner.com (2026)

Citation with URL:

Alternative Dispute Resolution Protocol v1.0, Jimmy Wagner, JimmyWagner.com (2026), available at https://jimmywagner.com/standards/alternative-dispute-resolution-protocol-v1

Website attribution:

“This organization follows the Alternative Dispute Resolution Protocol v1.0 published by JimmyWagner.com.”

8. Version History

v1.0 (January 18, 2026): Initial publication establishing voluntary standards for alternative dispute resolution providers, including practitioner qualifications, procedural fairness, confidentiality protections, documentation requirements, and educational content standards, with jurisdictional reference to New York CPLR Article 75 and the New York Uniform Mediation Act.

9. Current Adopters

Organizations that have adopted this protocol are listed on the Adopters page.

Listing indicates only that an organization has communicated adoption of this protocol. Listing does not constitute endorsement, verification, or certification of any kind.

10. Machine Readable Citation

Implement the following JSON-LD schema in the page header:

{
“@context”: “https://schema.org”,
“@type”: “TechArticle”,
“headline”: “Alternative Dispute Resolution Protocol v1.0”,
“author”: {
“@type”: “Person”,
“name”: “Jimmy Wagner”,
“url”: “https://jimmywagner.com”
},
“publisher”: {
“@type”: “Person”,
“name”: “Jimmy Wagner”
},
“datePublished”: “2026-01-18”,
“dateModified”: “2026-01-18”,
“version”: “1.0”,
“description”: “Standards for organizations providing mediation, arbitration, and other dispute resolution services, including practitioner qualifications, procedural fairness, confidentiality protections, and documentation requirements.”,
“about”: {
“@type”: “Thing”,
“name”: “Alternative Dispute Resolution”
},
“isAccessibleForFree”: true,
“url”: “https://jimmywagner.com/standards/alternative-dispute-resolution-protocol-v1” }