(a) In General.
In each civil action, a mandatory settlement conference shall be scheduled
before the assigned magistrate judge, district judge, or such other judicial officer as
the court may direct. In a non-jury case, the written stipulation of counsel shall be
necessary if the judge trying the case conducts the settlement conference. The
judge conducting the settlement conference may require the parties or
representatives of a party other than counsel who have authority to negotiate and
enter into a binding settlement to be present at the settlement conference.
(b) Settlement Conference Procedures.
(1) Confidential Settlement Conference Statement. At least
seven (7) days before the settlement conference, each party shall deliver
directly to the settlement judge a Confidential Settlement Conference
Statement, which should not be filed or served on the other parties. The
Confidential Settlement Conference Statement will not be made a part of the
record and information of a confidential nature contained in the statement
will not be disclosed to other parties without express authority from the
party submitting the statement.
The Confidential Settlement Conference Statement shall indicate the
date of the settlement conference and shall include the following:
(A) A brief statement of the case;
(B) A brief statement of the claims and defenses, e.g.,
statutory and other grounds upon which claims are founded, a
forthright evaluation of the parties’ likelihood of prevailing on the
claims and defenses, and a description of the major issues in dispute,
including damages;
(C) A summary of the proceedings to date, including a
statement as to the status of discovery;
(D) An estimate of the time to be expended for further
discovery, pretrial proceedings, and trial;
(E) A brief statement of present demands and offers and the
history of past settlement discussions, offers, and demands; and
(F) A brief statement of the party’s position on settlement,
including issues regarding the availability of insurance proceeds.
(2) Required Attendance at the Settlement Conference. Unless
otherwise permitted in advance by the court, lead trial counsel and all parties
appearing pro se, except prisoners, shall appear in person at the settlement
conference with full authority to negotiate and to settle the case. Unless
otherwise ordered by the court, parties may be present at the settlement
conference. If not physically present, a party shall be available by telephone
to its counsel during the settlement conference. The parties must be
immediately available throughout the conference until excused regardless of
any time zone differences. Any other special arrangements desired in cases
in which settlement authority rests with a governing body shall be proposed
to the court in advance of the settlement conference.
(3) Sanctions. If any trial attorney, party, or person with authority
to negotiate and settle the case fails to attend the conference or to be
available by telephone, the court may assess sanctions, including the fees
and costs expended by the other parties in preparing for and attending the
conference. Failure to timely deliver a Confidential Settlement Conference
Statement may also result in sanctions.
(c) Confidentiality of Settlement Communications.
The settlement conference will be conducted in such a way as to permit a
candid, confidential discussion among counsel, the parties, and the settlement
judge. At the presiding settlement judge’s discretion, settlement discussions may
take place before and after the settlement conference in person or remotely (by
video conference, phone, e-mail, etc.) as necessary. All such settlement
communications shall be absolutely protected from disclosure for use in trial or for
any other purpose, including a motion to enforce settlement.
