(a) Voluntary Dispute Resolution.
The Court urges the parties to strongly consider voluntary alternative dispute resolution
(ADR) in all non-exempt civil cases as a means of expeditiously resolving a dispute prior to trial.
ADR procedures include mediations and other dispute resolution techniques conducted by a
judicial officer (district or magistrate judge) or private mediator (hereinafter “neutrals”)
pursuant to Court order.
(1) Stipulated Agreement and Motion for Referral to ADR by a judicial officer.
If the parties seek ADR by a judicial officer, they shall file a Stipulated Agreement and Motion
for Referral to ADR before a judicial officer. The Clerk of Court shall forward a copy of the
Stipulated Motion and Agreement for Referral to the presiding judge and the requested judicial
officer to serve as the neutral. The Clerk of Court shall forward a copy of the order approving
ADR to the judicial officer serving as the neutral.
(b) Mandatory Dispute Resolution.
In addition to stipulated agreement, the Court may schedule a mediation whenever the
Court concludes that the nature of the case, the amount in controversy, or the status of the case
indicates a mediation conference might be beneficial. Upon the request of any party, which may
be made at any stage of the proceedings, the Court will consider scheduling a mediation.
(c) ADR Requirements.
Unless otherwise ordered or provided by the neutral, the parties shall comply with the
following requirements in all ADR conducted pursuant to Court Order.
(1) Attendance and Authority to Settle.
(A) Attendance by Counsel. Except with leave of court, counsel who
will try the case shall be present at the mediation. Absent prior approval by the neutral, a
person possessing full settlement authority shall also be present.
(B) Attendance of Parties. The parties to the litigation shall be
present in person or through an authorized corporate/governmental representative.
(C) Plaintiff’s Authority to Settle. A plaintiff, or authorized
representative, absent prior approval by the neutral conducting the mediation, shall have full
and final authority to authorize dismissal of the case with prejudice, or to accept a settlement
amount down to the amount of the defendant's last offer. The purpose of these requirements
is to have parties or representatives present who can settle the case during the course of the
mediation without consulting anyone who is not in attendance.
(D) Defendant’s Authority to Settle. A defendant, or authorized
representative, absent prior approval by the neutral conducting the mediation, shall have full
and final settlement authority to pay a settlement amount up to and including the plaintiff's
last demand.
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The purpose of these requirements is to have parties or representatives present who can
settle the case during the course of mediation without consulting anyone who is not in
attendance.
(E) Government Entity/Board/Committee Approval. If a
governmental entity/board/committee approval may be required to authorize settlement,
absent prior approval by the neutral conducting the mediation, the approval of the government
entity/board/committee, to the extent authorized by law, must be obtained in advance of the
conference, and the attendance of at least one representative of the governmental
entity/board/committee having the authority of the governmental entity/board/committee to
settle is required.
(F) Failure to Appear. Absent prior approval by the neutral
conducting the mediation, counsel appearing without their clients (whether or not counsel has
been given settlement authority) will cause the conference to be canceled and rescheduled.
The noncomplying party, attorney, or both may be assessed the costs and expenses incurred by
other parties and the Court, as a result of such cancellation. Additional sanctions may be
imposed as deemed appropriate by the Court.
(G) Insurance Representatives. Any insurance company that may be a
party or is contractually required to defend or to pay damages, if any, must have an authorized
settlement representative present at the mediation. Absent prior approval by the neutral
conducting the mediation, the representative shall have final settlement authority to commit
the company to pay, in the representative's discretion the lesser of, any amount up to the
policy limits or an amount equal to the plaintiff’s last demand. The purpose of this requirement
is to have an insurance representative present who can settle the outstanding claim or claims
during the course of the conference without consulting a superior who is not in attendance.
Failure to fully comply with this requirement may result in the imposition of appropriate
sanctions by the Court.
(H) Attendance by Telephone or Video Conference. Absent prior
approval by the neutral conducting the mediation, no participant shall appear and participate
by telephone or video conference. Participation by telephone will be allowed only when
exigent circumstances exist and as permitted by the neutral.
(2) Confidentiality.
(A) Confidential Mediation Statement. The parties are required to
submit to the neutral a confidential mediation statement prior to the mediation. The parties
will be advised by the neutral of the information to be included in the statement and when it is
to be submitted. The statement shall be submitted directly to the neutral and not filed with the
Court. The neutral will treat mediation statement as strictly confidential and will destroy all
statements after the conclusion of the mediation.
(B) Confidentiality of Mediation. All communications,
representations, evidence, recordings and transcripts regarding negotiations and agreements
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made during a mediation shall be held to be strictly confidential and are not subject to
disclosure, pursuant to Rule 408 of the Federal Rules of Evidence or as otherwise provided by
law. Disputes between parties concerning the terms or enforcement of the terms of a
settlement agreement may be excepted from above.
(3) Reporting of Negotiations. No transcript or recording shall be made of
any negotiations involved with a mediation.
(4) Reporting of Settlement Agreement. A neutral may require, at the
conclusion of a mediation, that a record be made, by electronic recording or by a court reporter,
of the outcome of the conference and the terms of any settlement reached by the parties. No
transcript of the recording or court reporter’s notes shall be made without the prior written
permission of the Court.
(d) Referral to Arbitration.
A district court may allow referral to arbitration of any civil action, including any
adversary proceeding in bankruptcy, when the parties consent, except in cases alleging
violation of a constitutional right, when jurisdiction is based in whole or part on 28 U.S.C. §
1343, or when the relief sought consists of money damages greater than $150,000.
(e) Cases Exempt from ADR.
Unless otherwise ordered, the following cases are hereby exempt from ADR
proceedings:
(1) Pro se cases;
(2) Preliminary injunctions/TROs;
(3) Cases challenging the constitutionality of a statute;
(4) Social Security cases;
(5) Freedom of Information Act cases;
(6) Privacy Act cases;
(7) Immigration cases;
(8) Prisoner cases.
(f) Private ADR.
Parties are free to engage in private ADR proceedings.
(g) Notice to Court of Private ADR.
The parties shall notify the Court chambers within three (3) business days, telephonically or
via email, of an agreement to engage in private ADR proceedings and the date upon which those
proceedings are to occur. If a resolution was reached, the parties shall notify the Court
immediately.
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