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Welcome to the audio edition of BHBA's Mediation Training.
In this episode, your host, Shannon Lamb of Shannon C. Lamb, APC, will guide you through
mediation administration. Let's dive in.
Welcome to the Mediation Administration Course, a crucial component for professionals seeking
compliance with the Dispute Resolution Programs Act, DRPA, and Los Angeles Superior Court
requirements.
This comprehensive course will equip you with the essential administrative and organizational
skills needed to excel in the administration of dispute resolution services.
Throughout this program, we'll delve into the intricacies of the DRPA, hone your intake
and administrative abilities, and explore the nuances of program management.
Prepare to enhance your expertise in handling paperwork, tracking cases, and mastering
the art of effective communication in the realm of dispute resolution.
Signed into law in 1986, DRPA allows counties to fund alternative dispute resolution services
that provide forums for resolving matters outside of formal work proceedings.
It is codified in Business and Professions Code, sections 465 through 471.5, and they
explicitly recognize that disputes can be unnecessarily costly, time-consuming, and complex when
achieved in the courtroom, where the parties are adversaries and are subjected to formalized
procedures.
The DRPA aims to promote and support the use of alternative dispute resolution methods
in California, providing a framework for establishing and maintaining effective dispute resolution
programs outside of the formal work process.
The goal of the Act is the creation of a statewide system of locally funded programs
which will provide dispute resolution services to county residents.
The public policy espoused by DRPA is that courts, prosecuting authorities, law enforcement
agencies, and administrative agencies should encourage greater use of ADR techniques whenever
the administration of justice will be improved.
It also sets forth that counties should consider increasing use of ADR while plans for much
needed court reforms are developed and implemented.
The key requirements of DRPA are as follows.
It mandates specific standards for program administration, including qualifications for
mediators, confidentiality provisions, and reporting obligations to ensure quality and
consistency across dispute resolution services.
Ruth, the DRPA, the Superior Court of the County of Los Angeles, works with county funded
agencies including the Los Angeles County Department of Consumer and Business Affairs
and the Center for Conflict Resolution.
To provide voluntary day of hearing mediation services for small claims, a lawful detainer,
limited civil and civil harassment matters, DCBA and CCR staff and trained volunteers
serve as mediators primarily for self-represented litigants.
There is no charge.
DRPA offers free mediation services, both community and court connected, to the residents and businesses
of LA County.
Dispute resolution services refers to a variety of dispute resolution processes and techniques,
both proven and experimental, which are designed to assist parties in resolving disputes without
the necessity of formal judicial proceedings.
Those include conciliation, which means a process of independent communications between
the disputants and a neutral person.
Mediation, which is a process in which a neutral person facilitates communication between
the disputants to assist them in reaching a reconciliation settlement or other understanding.
Arbitration, which means a voluntary adjudicative process in which a neutral person conducts
a hearing, receives spoken and or written evidence from the disputants and their witnesses
and renders a decision that may be binding or non-binding, depending on the consent of
the disputants.
The agencies may also take place in the provision of collateral services, which includes the
screening and intake of disputants, preparing for and conducting dispute resolution proceedings,
drafting agreements and or awards, providing information and or referral services, and
conducting follow-up surveys.
Some of the areas in which these services are rendered include for neighbor disputes,
such as parking noise, property disputes, children, pets, property boundaries, etc.
for tenant disputes, including rent increases, repairs, security deposits, HOA disagreements,
etc.
Consumer disputes, such as issues with goods or services for funds and returns, contract
disputes and billing.
Sometimes for family disputes, including disputes with current and or former household members,
sibling rivalry, business issues and other disagreements about living arrangements, finance,
and debt.
Sometimes the process is used for business disputes, which include contractual disagreements,
partnership disputes, and breaches of contract.
Sometimes for healthcare disputes, such as billing and debt collection, and other times
for justice-involved disputes, including issues involving law enforcement or judicial officers,
and interested professionals or community members.
The features of these programs include that they're confidential, neutral, and voluntary.
So confidentiality enables the parties to share information without worrying about it
getting out.
It's also accessible and friendly because it happens to be free or no charge at a sliding
scale.
It also helps to preserve relationships.
Litigation is adversarial and can damage relationships, and dispute resolution focuses
on collaboration, which is particularly beneficial for the disputes that we just discussed.
These programs also have high satisfaction rates.
The collaborative nature of mediation and the control it provides participants over
the outcome contribute to a sense of fairness.
This can lead to better compliance with agreements and further fewer recurring disputes.
It is also more diverse and reflective of the community and especially helpful in kinds
of disputes where the parties have a continuing relationship.
Every applicant for DRPA funding must certify that its status is one of the following.
A distinct definitive unit of a governmental entity with a separate and identifiable annual
budget, a non-partisan nonprofit corporation, or a distinct definitive component or product
project of a nonpartisan nonprofit corporation with a separate and identifiable annual budget.
For those non-profit and non-partisan organizations, they must also demonstrate that they are exempt
from federal taxation under IRS Code 501-C3 or that their application is pending.
In addition to these requirements, all applicants shall provide the following as part of their
application for funding.
And these requirements include a description of the applicant's organizational structure,
including that of any sponsoring or parent organizations, a description of the proposed
geographic area of service, the service population, and the number of persons the applicant will
have the capacity to serve on an annual basis, a description of the types of disputes to
be handled, the types of dispute resolution services to be offered, and any restrictions
to be imposed by the program.
The description of any fee schedules to be used, a list of civic groups, social services
agencies, governmental entities, and justice system agencies available to accept and make
referrals to the applicant, a description of the applicant's plans for publicizing
its services to potential referral agencies, courts, and justice system agencies and the
public.
A description of the applicant's plans for publicizing its services to potential referral
agencies, courts, and justice system agencies and the public.
And a statement that in hiring staff, recruiting volunteers, or rendering services, the applicant
will not discriminate with regard to race, frugality discreet, color, national origin,
ancestry, physical handicap, mental condition, marital status, sex, sexual orientation,
or age.
Applicant agencies must also satisfy the following requirements.
There is a section of rules and regulations that have been promulgated by DRPA, and the
applicants must all comply with those provisions, which we will be discussing in greater detail.
Applicants and participating agencies must also provide people adequately trained in
the conflict resolution techniques promulgated by the advisor or council.
They must provide programs on a sliding scale and without cost to indigent individuals.
They must provide neutral procedures without benefit or consideration given to those that
fund the programs.
They must employ procedures that emphasize that participation is voluntary and that the
parties are not coerced into entering the ADR process.
And they must also employ procedures that highlight that alternative dispute resolution
is the focus of the program.
Recipients shall, whenever reasonably possible, make use of public facilities, but free for
nominal costs.
So how does DRPA fund this?
The Act outlines funding sources and allocation procedures for dispute resolution programs,
ensuring sustainable operation and accessibility of services to the public, which means that
$1 to $8 of most filing fees are used to fund these programs.
DRPA additionally establishes mechanisms for monitoring program compliance and performance,
including regular audits and reporting requirements to maintain high standards of service delivery.
There are a number of annual reporting requirements under the DRPA, which includes statistical data
regarding the operating budget, the number of referrals, categories or types of cases
referred to the program, the number of persons served by the program, the number of disputes
resolved, the nature of the disputes resolved, rates of compliance, the number of persons
utilizing the process more than once, the duration of an estimated cost of the hearings
conducted by the programs, and any other information that the county may require.
Keeping in mind these annual reporting requirements will help you develop your administrative and
intake skills.
The DRPA requires that each grantee shall submit a yearly report prepared by an independent
accountant that describes and assesses the grantee's fiscal practices and status.
It must be delivered to the Board of Supervisors and to the Department of Consumer Affairs
no later than 90 days from the close of the grant period.
And then annually, or within 90 days of the close of each grant period, grantees shall
submit to the Board of Supervisors or its designee and to the Department of Consumer
Affairs a final reconciliation of actual revenues and expenses compared to the estimated budget
for the grant period.
These reports need to include the amount of revenues collected from Superior, Municipal,
and Justice Court filing fees during the year, the amount of revenues deposited in,
and interest accrued on the dispute resolution program account during the year, and accounting
of all of the disbursements, any problems encountered in implementing the Act, any evaluations
or review processes instituted to monitor the services, any evidence of misuse or misappropriation
of revenues, and any rules or procedures in addition to the Act that have been invoked
by the Board of Supervisors upon its applicant for funding or grantees.
And again, this includes statistical data, number of referrals, number of persons served
by the program, etc.
So keeping this in mind, you will want to turn to the initial contact, something you
are taking in this information.
So people in the middle of a dispute are rarely happy, they're scared and not always able
to think clearly.
So mastering the art of first impressions and information gathering is key.
Learn to effectively greet clients, explain the mediation process, and collect essential
details for case initiation.
Make sure that your communication is friendly, instructive, and frequent enough to make the
client feel more comfortable.
Share an intake form calculated to collect the important information required by the
State of California and the County of Los Angeles and provide the ability for the client
or attorney to easily upload documents.
Try to make this process as easy as possible for participants.
As with all legal processes, identifying and disclosing potential conflicts of interest
at the earliest outset is paramount.
Developing skills for assessing ADR suitability is crucial, and although the parties may have
been ordered to mediation, it may be that key discovery is pending and that the litigation
process needs to move forward, even if only briefly.
If insurance is involved, there needs to be enough lead time for reporting and ensuring
that the decision makers are available.
There are a variety of reasons why a case might not yet be ready.
Orcing it before its time might cause the parties to become even more entrenched in their respective
positions.
Once the ADR process has commenced, the next stage is to determine the appropriate ADR
vehicle for that particular matter.
One of the most important ways to make clients feel at ease is in the scheduling and coordination
of whatever steps are decided.
Gain proficiency in managing calendars, coordinating with meteors and parties, and ensuring smooth
logistics for mediation sessions.
The DRPA requires the following disclosures to be given by the agency to parties and their
attorneys.
This disclosure includes the nature of the dispute, the nature of the dispute resolution
process, the rights and obligations of the parties, including but not limited to the
right to call and examine witnesses, the right of the parties to be accompanied by counsel,
who may participate as permitted under the rules and procedures of the program, the procedures
under which the dispute resolution will be conducted, and if parties enter into arbitration,
whether the dispute resolution process will be binding.
Once the disclosures have been made, consideration should be given when making an assignment to
a particular settlement officer, including mediator expertise, conflict checks, and workload
balance.
Provide a friendly and informative face to represent the process.
This might be one of the only interactions a person will have in connection with our
system of justice.
Keep in mind, these are real people with real problems.
Emphasize a humane coach.
Learn best practices for post-session follow-ups, including gathering feedback, processing agreements,
and managing any necessary referrals or additional sessions.
Mastering paperwork and case tracking.
Keeping in mind the annual reporting categories, and the overall requirements of case administration,
we will now turn to case file management.
Management systems for organizing and maintaining case files, both physical and digital, are
key.
Learn best practices for file structure, document retention, and secure storage to ensure the
easy retrieval and confidentiality of information.
Consider sound storage and develop privacy practices.
Consider familiarize yourself with essential forms, including intake questionnaires, agreements
to mediate, and settlement documentation.
Understand the purpose and proper completion of each form to ensure accuracy and compliance.
Being standardized forms utilized by trained staff with clear expectations is paramount.
Make sure employees are appropriately trained to make sure that each of the forms is being
filled out appropriately and the information is being properly collected.
Using proficiency and utilizing case management software to track case projects, to track case
progress, set reminders, and generate reports.
Learn how to input data effectively and leverage system features for optimal case oversight.
Effective communication in dispute resolution is very important given that this is likely
the only interaction that these disputants have with our court system.
Mastering the art of clear, empathetic, and professional communication with the parties
involved in disputes heightens the ability and effectiveness of these programs.
Learn to craft emails, letters, and other correspondence that inform, reassure, and guide
disputes through the mediation process.
Focus on efficiency and accuracy as well as client comfort.
More communication is usually better than sss.
Again, keeping in mind that the people you are coming into contact with are often frightened
and concerned about what will take place.
This is your opportunity to reassure them and to provide a roadmap for where they are
going.
There should be an emphasis on confidentiality.
Enter into agreements about the confidentiality of the proceeding and the inability to use
negotiations as evidence.
Using that disclosure from before, making sure that confidentiality of personal and private
information of participants is highlighted.
Using proficiency in utilizing case management software to crack case projects, learn how
to input data effectively and leverage system features for optimal case oversight.
The DRPA requires that all records and files maintained pursuant to the code need to be
retained for a minimum of four years after the expiration of the grant period.
And personnel time sheets for volunteers and employees shall be maintained for a period
of two years.
And all other statistical data shall be retained for a period of three years.
All records described in this section shall be made available to the Board of Supervisors
or the Department of Consumer Affairs upon request.
And each grantee shall maintain written job descriptions and job qualifications for all
staff and volunteer classifications, as well as maintaining a current organizational chart
that reflects its organizational structure.
In drafting agreements and awards, it is important to keep in mind the provisions of DRPA that
require that oral or written agreements reached between disputants as a result of the dispute
resolution services are presumed not enforceable or admissible as evidence in judicial or administrative
proceedings.
The disputants, however, may elect to make their agreements enforceable at law or admissible
as evidence at judicial or administrative proceedings.
This election may be made at any time, but it must be in writing and signed by all of
the parties, as well as contain a statement that clearly expresses that each disputant
intends that the agreement will be enforceable in any judicial or administrative proceeding.
So an agreement resolving a dispute entered into with the assistance of a mediator through
this program won't be admissible unless the parties opt into a provision that clearly
states the intention of the parties that the agreement or any resulting award shall be enforceable
or admissible as evidence.
Likewise, the parties may agree in writing to toll the applicable statute of limitations
while the dispute is being resolved.
In order to gain confidence in drafting agreements and awards, it is essential to learn to distinguish
between the different types of agreements, including agreements to mediate, interim agreements,
and final settlement agreements.
Understand the key components and the legal implications of each.
Develop skills in writing clear, concise, and unambiguous agreement language.
Learn techniques for avoiding common pitfalls and ensuring that agreements accurately reflect
the parties' intentions.
Gain knowledge of essential legal clauses and requirements for enforceable agreements,
such as the disclosure and the opt-in provision that we just discussed.
This should be done while maintaining neutrality and party autonomy.
Master the process of reviewing, revising, and finalizing agreements.
Learn proper procedures for obtaining signatures, distributing copies, and ensuring all legal
and ethical standards are met.
A key component of making sure that the intake procedures are appropriate and compliant with
DRPA include having standardized forms, crane staff, and clear explanations.
Key considerations include efficiency, accuracy, and client comfort.
For case assignment, having a skill matching system and regular mediator evaluations helps
to reach the goal of mediator expertise, those ever-important conflict checks, and workload
balance.
Likewise, automated reminders, satisfaction surveys, case closure checklists help with
timely communication, outcome tracking, and client satisfaction.
On that note, the DRPA requires that yearly or on a more frequent basis that the program
participants shall conduct follow-up surveys of disputants that have used their services.
Those surveys require the evaluation of the dispute resolution services provided, the
fairness or adequacy of the settlement agreement or award, any particular difficulties experienced
by the parties in carrying out and obtaining compliance with the settlement agreement or
award, the disputant's willingness to use the services in the future, and their willingness
to recommend the services to others who are involved in disputes.
And these survey results are to be included within the yearly statistical report that
we have discussed.
Copy shall also be forwarded to the Department of Consumer Affairs at the same time.
Having a secure database, conducting regular audits, and having adherence to a retention
policy will help meet the aims of confidentiality, accessibility, and compliance in record keeping.
Compliance with DRPA requires implementing best practices.
And quality assurance is key, making sure to institute rigorous quality control measures
to ensure consistent, high-quality dispute resolution services.
This requires regularly reviewing processes, gathering feedback, and making data-driven
improvements to enhance program effectiveness.
Stable standards are also paramount, and DRPA requires maintaining an unwavering commitment
to ethical practices in all aspects of program administration.
Developing and enforcing a comprehensive code of ethics for staff and mediators, emphasizing
confidentiality and impartiality, as well as professionalism, will help meet that goal.
Fostering a culture of ongoing learning and development will also help you to reach your
requirements under DRPA.
Stay abreast of industry trends, participate in professional development opportunities,
and encourage staff to pursue advanced training and certifications in dispute resolution.
Developing strong relationships with community partners, legal professionals, and referral
agencies also will help you reach that goal.
Develop outreach programs to educate the public about dispute resolution services and their
benefits to society.
Develop skills for maintaining positive relationships with referral agencies.
Learn how to provide updates, seek necessary information, and collaborate effectively to
ensure smooth case progression and appropriate resource allocation.
And of course, all of this is made possible by enhancing internal communication.
Enhance your ability to communicate effectively within your organization.
Learn best practices for sharing case information, coordinating with mediators, and reporting
to supervisors to maintain a cohesive and efficient dispute resolution program.
Participation in these programs is vitally important to our community.
Gaining insights into representing your dispute resolution program to the public is vital.
Learn how to handle inquiries, provide general information about services, and maintain confidentiality
while promoting the benefits of alternative dispute resolution.
My name is Shannon Lam.
I've litigated in the state and federal courts of California since 2000 and currently serve
as a settlement officer for the Los Angeles County Superior Court.
My passion is helping people avoid the courthouse by thoughtfully crafting tailored agreements
and contracts.
I'm especially excited about the opportunity to provide information about best practices
in dispute resolution administration.
I can be reached at area code 949-275-2391 or at my email address of Shannon at scleesq.com.
You may be eligible for CLE credit in your state.
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