Establishes techniques and the utilization of alternative dispute resolution and establishes the New York state committee on public dispute resolution techniques

Section 601, subdivision 1 states that the term "agency" as used in this article shall have the same meaning as in subdivision one of section one hundred two of the state administrative procedure act.

Section 601, subdivision 2 defines the term "public dispute" as it relates to this article.

Section 601, subdivision 3 defines the term "alternative dispute resolution" as it relates to this article.

Section 601, subdivision 4 defines the term "convenor" as it relates to this article.

Section 601, subdivision 5 defines the term "neutral" as it relates to this article.

Section 602, subdivision 1 authorizes state agencies, except where prohibited by law, to use alternative dispute resolution (ADR) to resolve any dispute. Both the use of ADR and the particular techniques employed are at the discretion of the agency involved.

Section 602, subdivision 2 states when the use of ADR may be suitable and when it may not.

Section 602, subdivision 3 lists some of what may be included in agreements to utilize ADR.

Section 602, subdivision 4 states that an agency may pay the costs necessary to achieve the objectives of this article from any appropriate area of its budget.

Section 602, subdivision 5 states that each state agency shall appoint an ADR coordinator. The ADR coordinator shall take action to facilitate the use of ADR and provide information about the agency's ADR practices to relevant or interested parties.

Section 603 states that no agreement or understanding reached through the use of ADR shall require an agency to take action inconsistent with any statute, rule, or regulation, or refrain from action required by any such statute, rule or regulation.

Section 604 outlines the selection and payment of neutrals utilized in an ADR proceeding.

Section 605 states that no neutral or convenor shall be held liable for acts or omissions related to their participation in an ADR proceeding.

Section 606, subdivision 1 states that documents prepared specifically for an ADR proceeding shall be confidential. Oral statements may also be kept confidential as agreed upon by participants. Further, this section states that ADR participants may not disclose, nor be compelled to disclose, confidential information either in any judicial or administrative proceeding or through the Freedom of Information Act.

Section 606, subdivision 2 states the exception to the confidentiality provision set forth in subdivision 1 of this section.

Section 606, subdivision 3 states that the parties involved in an ADR proceeding may agree to meet in closed session.

Section 2 of this bill creates the New York State committee on public dispute resolution.

Subdivision 1 of this section states that the purpose of a committee on public dispute resolution shall be to assist the executive, legislative and judicial branches of state and local government in resolving public disputes. In addition, this subdivision lists how the committee shall assist the branches of state and local governments in resolving public disputes.

Subdivision 2 of this section states that the committee on public dispute resolution shall have thirteen members and outlines how those members shall be appointed.

Subdivision 3 of this section states that the committee shall have a budget, facilities and employees as necessary to carry out its purposes. The committee shall also appoint a staff director.

Subdivision 4 of this section states that the committee may establish and collect fees for providing its services. The subdivision further states that the committee may also accept certain contributions to help finance its work. The committee may also enter into agreements with government and private entities to assist in carrying out the purposes of the act.

Subdivision 5 of this section states that the committee shall issue a public report on its progress two years after the effective date of this act and every two years thereafter.

Section 3 of this bill sets forth the effective date of this act.

Justification

Although New York is a leader in providing alternative dispute resolution services at the community level, it lags behind other states in its use of such processes to resolve public disputes. This bill is intended to bring New York to the forefront of the growing movement toward "public ADR." Twenty-seven other states have already established offices dedicated to fostering the use of mediation and other ADR techniques to resolve public disputes, but there is no such office in New York.

At the core of the bill is the notion that government often works best, and is perceived to be the most fair, when it employs processes designed to foster the building of consensus. The bill is necessary because many public and private disputants are reluctant to utilize ADR in the absence of clear statutory authority to do so.

This legislation takes a two-step approach to public ADR. First, it explicitly authorizes state agencies to employ and experiment with ADR. This authorization is broad but permissive; ADR is never mandated. Second, the bill establishes a thirteen person Committee on Public Dispute Resolution to provide information, training, and technical assistance. The makeup of the committee is broad in an attempt to forge both political and public support and interest in the program.

Currently, New York State has two areas where legislation has been enacted to foster the use of ADR techniques. The first occurs in Section 4404-a of the New York State Education Law. This section requires school districts to make mediation available to parents in order to help parents and school districts resolve disagreements related to special education programs. The second occurs in Article 21-A of the New York State Judiciary Law, which enacts the Community Dispute Resolution Centers Program. This program was enacted to advance the utilization of alternative dispute resolution at the community level.

Experience at the federal level, in other states and in New York makes plain that a New York State office of dispute resolution could play a major role in helping to prevent or resolve a wide variety of public disputes arising at every level and in every branch of government. The office could assist in regulatory reform, coordination and consolidation of public services, local and regional land planning, contract management, as well as environmental disputes.

Wherever agencies are experiencing a large volume of disputes the office could work with agency personnel to design new procedures and mechanisms to handle such disputes more effectively. A state office could also help agencies design and implement meaningful public outreach and participation programs, which assume special value in situations where there is widespread public mistrust.

Legislative history

New bill.

Fiscal implications

$450,000 would fund a staff of four and allow the committee to carry out its functions. However, experience in other states suggests that the office could become self sufficient within a few years by charging fees for training and other services.

Effective date

This act shall take effect 120 days after it shall have become law.