ADR Ethics Board reviews recommendation no later than the next scheduled Board meeting.

SCAO staff in conjunction with one Board member screens complaint and recommend whether allegations, if true, constitute violation of Code of Ethics.

The panel shall serve and file the written decision on the Board, neutral and complainant within 45 days of the hearing.  The decision of the Panel is final. 

Hearing held before three-member panel.
•	Neutral has the right to be represented by an attorney
•	Hearing to be electronically recorded by staff.
•	Panel members may appear by ITV for the hearing.
•	Panel members will deliberate immediately following hearing
•	Witnesses may also appear by ITV.

Discovery.  Within 30 days after receipt of a request for an appeal hearing, counsel for the Board and the neutral shall exchange the names and addresses of all persons known to have knowledge of the relevant facts.  The Panel may issue subpoenas for the attendance of witnesses and production of documents or other evidentiary material.  Both the Board and the neutral have a continuing duty to supplement information required to be exchanged under this rule. All discovery must be completed within 10 days of the scheduled appeal hearing.

Neutral shall be entitled to appeal the proposed sanctions and findings of the Board to the ADR Ethics Panel by written request within 14 days from receipt of the Board’s action on the complaint.  The Panel shall be appointed by the Judicial Council and shall be composed of two sitting or retired district court judges and one qualified neutral in good standing on the Rule 114.  Members of the Panel shall serve for a period to be determined by the Judicial Council.  One member of the Panel shall be designed as the presiding member.

Hearing request shall be submitted to the Board, in writing, to:
ADR Ethics Board
120 Minnesota Judicial Center
25 Rev. Dr. Martin Luther King Jr. Blvd.
Saint Paul, MN  55155

Board meets and confers on the findings of the investigation. The Board must find by clear and convincing evidence there was a violation of the Code and agree on the proposed action. Members may be present by telephone conference or interactive television (ITV).

Within 30 days the neutral must respond in writing to Board’s request for written response.

If sanctions are imposed, neutral accepts sanctions.

If sanctions are imposed, neutral has 14 days to request a hearing.

(see next column – “ADR Rules 114 Code of Ethics Procedures – For Requested Hearing”)

Complainant and neutral are notified of Board’s proposed action. If complaint is dismissed after investigation, no appeal by complainant.

Board determines whether to proceed further.

If mediated settlement reached Board will dismiss the complaint - unless sanctions are to be imposed. Board levies sanctions.

Mediation fails.

Parties agree to mediation – 
select volunteer neutral and establish timelines. Parties notify Board of timelines. If parties cannot agree on a neutral the Board will appoint.

Board determines if mediation is appropriate and offers to parties.

Staff and assigned Board member complete investigation, draft findings and proposed recommendation to Board.

If neutral fails to respond in writing within 30 days, allegations are deemed admitted, unless good cause shown. Good cause shown to be determined on a case-by-case basis. Staff to review and recommend Board approval or denial.

Neutral and complainant notified of review and investigation. Neutral sent by certified mail:
•	Copy of complaint.
•	List identifying the ethical rules which may have been violated
•	Request for written response to allegations and any specific questions posed by Board
Request for interview(s) may follow initial mailing if nature of the complaint requires investigators to ask questions.

Allegation(s), if true, violate the Code of Ethics. The ADR Ethics Board determines appropriate review and investigation to be conducted or refers to mediation. The Board determines on a case-by-case basis investiga-tion guidelines, assigns staff or designee to conduct investigation and establish timelines. Board member assigned as contact for staff during the investigation.

Complaint dismissed.
Complainant and neutral notified via mail by Board staff. No appeal.

Parties do not agree to mediate.

Written complaint received by ADR Ethics Board

ADR Rule 114 Code of Ethics Procedures

ADR Rule 114 Code of 
Ethics Procedures

For Requested Hearing