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Chapter Eleven (Rules 1100 to 1104): the ADR Committee (Rule 1100); the Court Administered Dispute Resolution (CADRe) Program Information and a Stipulation and Order to Alternative Dispute Resolution (ADR) Process form served with complaints, and a consultation with CADRe staff within ten (10) court days of the 120-day CMC (Rule 1101); the court's determination of the amount in controversy - judicial arbitration or CADRe Limited Mediation up to $50,000, a CMADRESS conference with a court-appointed neutral above it (the first 1.5 hours free), mandatory settlement conferences, stipulations filed within ten (10) court days and personal attendance (Rule 1102); the ADR process within sixty (60) calendar days of the ADR Stipulation and the neutral's ADR-100 within ten (10) court days (Rule 1103); and complaints about court program mediators (Rule 1104).
California > Second Appellate District > Santa Barbara County > Superior Court of California, County of Santa Barbara
Chapter Eleven: Alternative Dispute Resolution (“ADR”) 1100 ADR COMMITTEE An ADR Committee is established pursuant to CRC 10.783 for guidance and oversight of all court alternative dispute resolution programs, including the Judicial Arbitration Program. Members of the ADR Committee and the ADR Program Administrator are appointed by the Presiding Judge. (Amended 07-01-09; adopted 07-01-98; amended effective 01-20-05) 1101 JUDICIAL ARBITRATION; MEDIATION (a) [Arbitration Administrator] The ADR Administrator shall serve as ADR program administrator for all court administered ADR as provided in CRC 10.783, including serving as Arbitration Administrator for judicial arbitration. The ADR Administrator shall establish such local forms, lists of arbitrators and other procedures necessary to implement the Judicial Arbitration Program, and other court administered ADR programs to the extent not otherwise provided by law or the Standards of Judicial Administration. (b) [Service and Filing] Plaintiff(s) shall include with service of complaints a copy of the Court Administered Dispute Resolution (CADRe) Program Information and a Stipulation and Order to Alternative Dispute Resolution (ADR) Process form pursuant to CRC 3.221(c). (c) [ADR Consultation] Counsel and self-represented litigants may be required to attend a consultation with the CADRe staff within ten (10) court days of the 120-day CMC or as otherwise directed by the court. Parties and counsel shall be fully prepared to discuss the appropriate dispute resolution method(s) for the case with the court and CADRe staff. (Amended 07-01-18; adopted effective 07-01-98; previously amended effective 07-01-09 and 01-20-05) 1102 COURT ADMINISTERED DISPUTE RESOLUTION (CADRe) (a) [Applicability of Certain Methods] The Court will make a determination of the amount in controversy at the CMC pursuant to Code of Civil Procedure sections 1141.16 and 1775.5. (b) [Amount in Controversy Does Not Exceed $50,000] Where the Court determines that the amount in controversy does not exceed $50,000 for each plaintiff, the court shall order the parties to engage in either of the following ADR processes unless exempt by law: 1. Judicial arbitration pursuant to Code of Civil Procedure section 1141.10 et seq. and CRC 3.810 et seq.; or, 2. Limited Mediation in lieu of judicial arbitration pursuant to Code of Civil Procedure section 1775 et seq. ("CADRe Limited Mediation") subject to program rules, at the request of the parties or in the discretion of the court. (c) [Amount in Controversy Exceeds $50,000] Where the Court determines that the amount in controversy exceeds $50,000, the Court may order the parties to attend a continued Case Management and ADR Early Settlement Session ("CMADRESS") orientation conference with a court-appointed neutral. The neutral will meet with the parties and their counsel to discuss the case with respect to issues of trial preparation, the volume of anticipated discovery, and the potential costs of the litigation if pursued through trial, and to assist them in deciding whether ADR would help resolve the dispute. The parties will be given the opportunity to mediate their case at this conference if they choose. The parties will not have to pay for the services of the neutral assigned to the case for the first 1.5 hours of the session. The neutral for each case will be chosen by the CADRe Director from a list of mediators approved by the Court's ADR Committee. The parties shall be responsible for scheduling the CMADRESS conference, which must be held within the time limits set by the Court in the case management order. (d) [Settlement Conferences] The Court may order one or more mandatory settlement conference in all cases to be conducted pursuant to CRC 3.1380. At the request of the parties, the Court may in its discretion order mediation in addition to or in lieu of a mandatory settlement conference. (e) [Stipulations] The parties may stipulate to ADR processes in addition to or different from CADRe processes ordered by the Court. If an ADR process is stipulated, counsel shall file a fully executed Stipulation and Order to Alternative Dispute Resolution Process form ("ADR Stipulation") within ten (10) court days after the later of either (1) the 120-day CMC or (2) the CADRe consultation. If the parties elect to pursue private ADR with their own neutral and at their own expense, they must inform the Court at the CMC and the Court will exempt them from the CMADRESS conference. Parties attending the CMADRESS conference may continue mediation or other ADR with the assigned neutral or any mediator after the CMADRESS conference, but they will be responsible for making a fee arrangement with the selected mediator for subsequent ADR sessions. (f) [Participation] All parties are required to participate in court ordered ADR processes in good faith. Personal attendance at the CMADRESS and mandatory settlement conferences is required of all parties, their attorney and any claims representatives, except for defendants who are fully insured and represented by a claims agent for their insurance carrier and who do not have to consent to a settlement. Requests for excused personal attendance must be directed to the Mandatory Settlement Conference Judge. (Amended 07-01-18; adopted 01-01-98; previously amended effective 07-01-09 and 01-20-05) 1103 ADR TIMING AND COMPLETION (a) [Timing] The parties shall conduct the ADR process within sixty (60) calendar days of filing the ADR Stipulation unless otherwise approved by the court. The neutral shall file a Statement of Agreement or Non-Agreement (ADR-100) within ten (10) court days of the final ADR session. All reports to the court by any mediator shall comply strictly with Evidence Code sections 1115 et seq. regarding disclosure of confidential or privileged information. (b) [Court Monitoring] At the time an ADR process is ordered by the Court, or at any time in the Court's discretion, the Court may schedule a follow-up CMC or order to show cause to ensure that the ADR process has been completed by the time set by the Court. Any continuance of dates scheduled for ADR, including mandatory settlement conference dates and completion dates, must be directed to the assigned trial judge. Participation in an ADR process shall not affect time periods specified in the Trial Court Delay Reduction Act. (c) [Settlement] Upon any settlement or other disposition of a case other than by trial, where an ADR process has occurred or is pending, notice of such disposition shall be given to all parties, the court, the arbitrator or other ADR neutral involved in the case, and to the CADRe staff as required by CRC 3.1385. (d) [Follow-Up Reports] The neutral will be directed by the Court to report to the CADRe Director on the CMADRESS conference using a form approved by the Court's ADR Committee and provided to the neutral upon assignment of the case. The completed forms will be filed with the Court. (Adopted effective 07-01-18) 1104 PROCEDURES FOR HANDLING COMPLAINTS ABOUT COURT PROGRAM MEDIATORS (a) Application This rule establishes the court's procedures for receiving, investigating, and resolving complaints about mediators in the court's mediation program for general civil cases, as required by rule 3.868 of the California Rules of Court. Nothing in this rule should be interpreted in a manner inconsistent with rules 3.865–3.862 of the California Rules of Court or as limiting the court's inherent or other authority, in its sole and absolute discretion, to determine who may be included on or removed from its list of mediators or who may be recommended, selected, appointed, or compensated as a mediator by the court. This rule also does not limit the court's authority to follow other procedures or take other actions to ensure the quality of mediators who serve in the court's mediation program in contexts other than when addressing a complaint. The failure to follow a requirement or procedure in this rule will not invalidate any action taken by the court in addressing a complaint. (b) Definitions As used in this rule: 1. "The rules of conduct" means the Rules of Conduct for Mediators in Court-Connected Mediation Programs for Civil Cases set out in rules 3.850–3.860 of the California Rules of Court. 2. "Court-program mediator" means a mediator who: 1. (A) Has agreed to be included on the court's list or panel of mediators for general civil cases and is notified by the court or the parties that he or she has been selected to mediate a case within the court's mediation program; or 2. (B) Has agreed to mediate a general civil case in the court's mediation program after being notified by the court or the parties that he or she was recommended, selected, or appointed by the court or will be compensated by the court to mediate that case. 3. "Inquiry" means an unwritten communication presented to the court's complaint coordinator indicating that a mediator may have violated a provision of the rules of conduct. 4. "Complaint" means a written communication presented to the court's complaint coordinator indicating that a mediator may have violated a provision of the rules of conduct. 5. "Complainant" means the person who makes or presents a complaint. 6. "Complaint coordinator" means the person designated by the presiding judge to receive complaints and inquiries about the conduct of mediators. 7. "Complaint proceeding" means all of the proceedings that take place as part of presenting, receiving, reviewing, responding to, investigating, and acting on any specific inquiry or complaint. 8. "Mediation communication" means any statement that is made or any writing that is prepared for the purpose of, in the course of, or pursuant to a mediation or a mediation consultation, as defined in Evidence Code section 1115, and includes any communications, negotiations, and settlement discussions between participants in the course of a mediation or a mediation consultation. (c) Confidentiality 1. Preserving the confidentiality of mediation communications All complaint proceedings will be conducted in a manner that preserves the confidentiality of mediation communications, including but not limited to the confidentiality of any communications between the mediator and individual mediation participants or subgroups of mediation participants. 2. Confidentiality of complaint proceedings All complaint proceedings will occur in private and will be kept confidential. No information or records concerning the receipt, investigation, or resolution of an inquiry or a complaint will be open to the public or disclosed outside the course of the complaint proceeding except as provided in rule 3.871(d) of the California Rules of Court or as otherwise required by law. (d) Submission of inquiries and complaints to the complaint coordinator All inquiries and complaints should be submitted or referred to the complaint coordinator. (e) Addressing inquiries If the complaint coordinator receives an inquiry, the coordinator must inform the person making the inquiry that the complaint procedure provides for investigation of written complaints only and that the person should submit a written complaint if he or she wants the court to conduct an investigation or take action. If the person does not submit a complaint, the complaint coordinator may prepare a written summary of the inquiry. (f) Acknowledgment and preliminary review of complaints 1. Acknowledgment of complaints When the complaint coordinator receives a complaint, the coordinator will send the complainant a written acknowledgment of this receipt. 2. Preliminary review of complaints A. The complaint coordinator will review each complaint to determine whether it warrants investigation or can be promptly, informally, and amicably resolved or closed. The coordinator may: i. Informally contact the complainant to obtain clarification or additional information or to provide information that may address the complainant's concern. ii. Communicate informally with the mediator to obtain the mediator's perspectives. B. If it appears to the complaint coordinator that the mediator may have violated a provision of the rules of conduct, the complaint coordinator must inform the mediator about the complaint and give the mediator an opportunity to provide an informal response. C. The complaint coordinator may close a complaint without initiating an investigation if: i. The complaint is withdrawn by the complainant; ii. No violation of the rules of conduct appears to have occurred or the complaint is without sufficient merit to warrant an investigation; iii. The conduct alleged would constitute a very minor violation of the rules of conduct, the coordinator has discussed the complaint with the mediator, and the mediator has provided an acceptable explanation or response; or iv. The complainant, the mediator, and the complaint coordinator have agreed on a resolution to the complaint. 3. Notification of closure If the complaint coordinator closes a complaint without initiating an investigation, the coordinator must send the complainant notice of this action. (g) Appointing an investigator or a complaint committee The presiding judge will appoint an investigator who has experience as a mediator and is familiar with the rules of conduct, or a complaint committee that includes at least one such individual, to investigate and make recommendations concerning any complaint that is not resolved or closed by the complaint coordinator as a result of the preliminary review. (h) Investigations 1. Application The procedures in this rule apply only if a complaint is not resolved or closed through the preliminary review or if the complaint coordinator initiates an investigation under (3). 2. Referral of a complaint for investigation If a complaint is not closed as a result of the preliminary review, the complaint coordinator will refer it to the investigator or complaint committee for investigation. The complaint coordinator will provide the investigator or complaint committee with a summary of the preliminary review that includes: (A) A copy of the complaint; (B) A copy or summary of any response from the mediator; (C) A list of any violations of the rules of conduct that it appears may have occurred; and (D) Copies of any previous complaints about the mediator and any written summaries of inquiries that are relevant to the current complaint. 3. Initiation by the complaint coordinator The complaint coordinator may initiate an investigation based on information received from any source, including an inquiry, indicating that a mediator may have violated a provision of the rules of conduct. To initiate the investigation, the complaint coordinator must refer the information received to an investigator or complaint committee with a list of the violations of the rules of conduct that it appears may have occurred. 4. Mediator's notice and opportunity to respond (A) The investigator or complaint committee must provide the mediator with a copy of the materials provided to the investigator or complaint committee by the complaint coordinator under (2) or (3). (B) The mediator will be given an opportunity to respond to the complaint and the list of apparent violations. 5. Preparing report and recommendation The investigator or complaint committee will conduct the investigation that the investigator or complaint committee considers appropriate. Thereafter, the investigator or complaint committee will prepare a written report that summarizes the investigation and states the investigator's or complaint committee's recommendation concerning the final decision on the complaint. The investigator or complaint committee may recommend one or more actions that are permissible under rule 3.870 of the California Rules of Court. 6. Informing mediator of recommendation The investigator or complaint committee may inform the mediator of its recommendation and inquire whether the mediator accepts that recommendation. If the mediator accepts the recommendation, the investigator's or complaint committee's report must indicate this. 7. Submitting report and recommendation The investigator or complaint committee must submit its report and recommendation to the complaint coordinator. The complaint coordinator must promptly forward a copy of the report and recommendation to the presiding judge or to his or her designee. (i) Final decision on a complaint that was investigated 1. Responsibility for final decision The presiding judge is responsible for making the final decision about the action to be taken on any complaint that was investigated under subdivision (h) or for designating another judicial officer or a committee that includes a judicial officer to perform this function. 2. Acting on recommendation A. Within 30 days after the investigator's or complaint committee's recommendation is forwarded to the presiding judge or the presiding judge's designee, the presiding judge or designee may submit to the complaint coordinator a decision: i. Affirmatively adopting the investigator's or complaint committee's recommendation as the final decision on the complaint; or ii. Directing a different action that is permissible under rule 3.870 of the California Rules of Court. B. If the presiding judge or his or her designee does not submit a decision within 30 days after the complaint committee's recommendation is forwarded, as provided in (A), the investigator's or complaint committee's recommendation will become the final decision on the complaint. 3. Notification of final action The complaint coordinator must promptly notify the complainant and the mediator in writing of the final action taken by the court on the complaint. 4. Authorized disclosures After the decision on a complaint, the presiding judge, or a person whom the presiding judge designates to do so, may authorize the public disclosure of information or records concerning the complaint proceeding that do not reveal any mediation communications. The disclosures that may be authorized under this subdivision include the name of a mediator against whom action has been taken, the action taken, and the general basis on which the action was taken. In determining whether to authorize the disclosure of information or records under this subdivision, the presiding judge or designee should consider the purposes of the confidentiality of complaint proceedings stated in rule 3.871 of the California Rules of Court. (j) Interim suspension pending a final decision on a complaint If the preliminary review or the investigation indicates that a mediator may pose a threat of harm to mediation participants or to the integrity of the court's mediation program, the presiding judge or the other judicial officer or committee designated by the presiding judge to make the final decision about the action to be taken on any complaint may suspend the mediator from the court's panel or list pending final decision on the complaint. The complaint coordinator may make a recommendation to the presiding judge or the designee regarding such a suspension. (Adopted effective 07-01-18)
Chapter Eleven: Alternative Dispute Resolution (“ADR”) 1100 ADR COMMITTEE An ADR Committee is established pursuant to CRC 10.783 for guidance and oversight of all court alternative dispute resolution programs, including the Judicial Arbitration Program. Members of the ADR Committee and the ADR Program Administrator are appointed by the Presiding Judge. (Amended 07-01-09; adopted 07-01-98; amended
Reviewer note: Composed 2026-10-07 (California T4 Santa Barbara build 2026-10-07) from BenchPath custody ca/t4/ca-santa-barbara/pages/forms-filing__local-rules.html (the court's Local Rules page, “Current Local Rules / Effective January 1, 2025”, as fetched 2026-10-07; 894893 bytes, sha256 1059f4db3448c727e841119aa4222d3065d08c4da61c2ab925230763ca01031a) with html-compose.py (the Orange composer) over the page's content sections, after build/ol_markers.py wrote into each ordered-list item the label the browser draws (the page sets the rules' subdivisions as HTML ordered lists, whose labels are not in its text: 327 labels - 192 decimal, 80 lower-alpha, 31 lower-roman and 24 upper-alpha - the counts the browser computed on the live page); the page's opening lines (its heading, effective date, note and links) and its closing Appendices list belong to no chapter; the rule body cut at the chapter headings. Proofs: the composer's (the multiset of non-space characters equals the sections' text less chrome), the labels are the only characters added, the labels match the browser's counts, and the cut reassembles the rule body. The page's “PDF version” link serves a book marked effective January 1, 2027 that carries rules still proposed for comment; it is held with its receipt and a review task, and the page is the source. Review note: Published as printed: Rule 1104(a) “rules 3.865–3.862”; the page draws Rule 1104(b)(2)'s items as “1. (A)” and “2. (B)”.
1 verbatim mandatory provision from 13-16-s.
2 verbatim mandatory provisions from 15-41-s.
43 verbatim mandatory provisions from 07-33-s.