(a) Purpose. The purpose of the settlement conference is to permit an informal discussion
between the attorneys, parties, and the settlement judge on every aspect of the case bearing
on its settlement value in an effort to resolve the matter before trial. The parties and counsel
shall participate in the conference in good faith. This means that based on discussion at the
conference, the parties will reconsider their negotiating positions, objectively evaluating
the strengths and weaknesses of their case or defense, the anticipated cost of the litigation
and the uncertainty of a particular result.
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(b) Scheduling. All civil cases set on a trial docket are automatically set for settlement
conference before the settlement judge. The Court may, sua sponte, or on the request of
any of the parties, schedule a settlement conference at any practicable time. The terms of
the Settlement Conference Order govern the procedures for the settlement conference. The
assigned district judge may, in his or her discretion, require that the parties pay for a
settlement conference in any reasonable manner or amount.
(c) Settlement Judges.
(1) Definition and Disqualification. The settlement judge who presides over the
settlement conference may be a district judge or a magistrate judge, other than a judge
assigned to the case, or an adjunct settlement judge. The settlement judge will take no
part in adjudicating the case after the settlement conference. Any party or counsel of
record may move to disqualify the assigned settlement judge pursuant to 28 U.S.C. §
455, other applicable law or professional responsibility standards.
(2) Adjunct Settlement Judges.
(A) Selection. Adjunct settlement judges shall be selected by the Court from among
members of the bar in good standing and chosen based upon their expertise,
experience, actual and apparent impartiality, reputation for fairness, training, and
temperament. They shall be invited to serve without compensation and commit to
conduct a minimum of six settlement conferences per year.
(B) Assignment and Appointment. The magistrate judge responsible for the
Court’s settlement program will assign a settlement judge to a particular case. In
cases where the settlement effort is expected to be extensive, or in connection with
discovery matters, the Court may appoint an adjunct settlement judge as a special
project settlement judge or discovery judge, and order the parties to pay for the
adjunct settlement judge’s time at a reasonable hourly rate. Such payment shall be
apportioned between the parties as agreed, or by the Court on an equitable basis.
(3) Authority of Settlement Judge. The settlement judge may excuse attendance of any
attorney, party, or party’s representative, except as provided in LCvR16-2(d)(2); meet
jointly or individually with counsel, alone or with parties or persons or representatives
interested in the outcome of the case without the presence of counsel; and issue such
other and additional requirements as shall seem proper, including follow-up sessions
telephonically or otherwise, in order to expedite an amicable resolution of the case.
(d) Settlement Conference Process.
(1) Pre-conference Preparation. Before the settlement conference, attorneys shall discuss
settlement with their respective clients and opposing counsel (or pro se parties) so that
the issues and bounds of settlement have been explored in advance of the settlement
conference. The parties, their representatives and attorneys must be prepared to be
completely candid with the settlement judge so that the judge may properly guide
settlement discussions. Pertinent evidence to be offered at trial may be brought to the
settlement conference for presentation if particularly relevant.
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(2) Governmental Entities. In the event a governmental entity that is a party determines
that it will be unable to provide a representative with full settlement authority at the
settlement conference, the governmental entity shall promptly move for leave to
proceed with a representative with limited authority. The motion shall be filed no later
than fourteen days before the settlement conference and shall contain: (1) a statement
explaining why it is impracticable for a representative with full settlement authority to
attend the conference; (2) a detailed description of the limited authority to be exercised
at the conference; and (3) alternative proposals by which the governmental entity may
exercise full authority at or after the conference. Upon consideration of the motion, the
Court may allow the governmental entity to appear through a representative with
limited authority or may, notwithstanding the motion, require appropriate
representatives to appear as may be necessary to have full settlement authority at the
conference.
(3) Written Settlement Conference Statements. Settlement conference statements shall
be submitted to the settlement judge and served on opposing counsel in accordance
with the deadlines outlined in the Settlement Conference Order filed in the case. The
statements shall concisely summarize the parties’ claims/defenses/counterclaims, and
the parties’ views concerning factual issues, issues of law, liability, damages or relief
requested. The statement shall not exceed five, single-spaced pages and shall not be
filed in the case or made part of the Court file.
(4) Attendance Requirements. The lead attorney who will try the case for each party shall
appear at the settlement conference. If a party is not a natural person, the party shall
send a representative with full settlement authority. Outside counsel may not serve as
a party representative. Other interested entities such as insurers or indemnitors shall
attend and are subject to the provisions of this Rule. Governmental entities and boards
shall send a representative and counsel who, together, are knowledgeable about the
facts of the case and the governmental unit’s or board’s position, and have, to the
greatest extent feasible, authority to settle. Except as provided in LCvR16-2(d)(2), only
the settlement judge or the Court may excuse attendance of any attorney, party, or party
representative. Any party excused from appearing in person shall be available to
participate remotely, if required. Failure to attend the settlement conference or failure
to cooperate fully may result in the imposition of sanctions in accordance with Fed. R.
Civ. P. 16(f).
(5) Conclusion of the Settlement Conference. At the conclusion of the settlement
conference, the settlement judge shall notify the Court whether the case did or did not
settle and submit a Settlement Conference Report to the magistrate judge responsible
for the Court’s settlement program. If the case settled, counsel shall prepare and file the
appropriate dismissal or closing papers by any deadline set in the report.
(e) Confidentiality. The settlement judge, all counsel and parties, and any other persons
attending the settlement conference shall treat as confidential all written and oral
communications made in connection with or during any settlement conference. Neither the
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settlement conference statements nor communications during the conference with the
settlement judge may be used by any party in the trial of the case unless otherwise permitted
under Fed. R. Evid. 408. No communication relating to or occurring at a Court-ordered
settlement conference may be used in any aspect of any litigation except proceedings to
enforce a settlement agreed to at the conference, unless otherwise permitted under Fed. R.
Evid. 408. No settlement judge may be called as a witness, except as requested by a judge
of this Court. In that instance, the settlement judge shall not be deposed, and shall testify
as the Court’s witness.
(f) Alternative Methods. The Court may, in its discretion, set any civil case for summary jury
trial, mini-trial, executive summary jury trial (summary jury trial where chief executive
officers of corporate parties participate as part of a three-judge trial panel), mediation,
arbitration, or other method of alternative dispute resolution as the Court may deem proper,
so long as due process is not abrogated or impaired.
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