District of Connecticut
IN BRIEF
Process summary
Parajudge settlement conferences.
In the District of Connecticut, six of the seven active judges and two senior judges use attorneys called parajudges to conduct settlement conferences. A parajudge is an attorney, usually with considerable trial experience, who is either fully or nearly fully retired. A parajudge is usually assigned to one judge and comes to the court regularly-for example, one to three days per week. Two or three matters are scheduled before a parajudge on a given day. As with judicial settlement conferences, the parties must submit a confidential settlement statement outlining their factual and legal assessments of the case, the history of any settlement negotiations, and their positions regarding settlement. The parajudge reviews these statements and the pleadings if necessary. Parajudges are also on call for conferences that may arise when a bench trial or hearing is being conducted and counsel want a settlement conference but the judge hearing the matter cannot conduct it. The parajudge retains the case for additional conferences if settlement is not achieved at the first conference but is considered possible. When settlement prospects are exhausted, the parajudge notifies the assigned judge, who then places the case in line for a trial assignment.
Summary jury trials (SJT).
At the request of the parties, the assigned judge or a magistrate judge has the discretion to conduct a summary jury trial or a minitrial. Counsel present a summary of the case, including evidence, to a jury that has been advised of their function and argue for a resolution in their client's favor. No testimony is permitted, but exhibits may be submitted. After return of the jury's advisory verdict, the parties are encouraged to discuss settlement. The presiding judge facilitates the negotiation.
Private ADR.
To seek referral to a private ADR provider, parties must file a Stipulation for Reference to ADR, which must specify (1) the ADR process; (2) its scope (e.g., resolution of the case or only certain specified issues); (3) the ADR provider; (4) the procedures to be completed before the ADR process convenes (e.g., medical examinations); (5) the judicial proceedings to be stayed, if any; (6) whether the ADR outcome will be binding or nonbinding; and (7) the date or dates for filing progress reports and/or completing the ADR process. Attendance at ADR sessions takes precedence over all non-judicially assigned matters, such as depositions. Parties pay the private ADR provider. The clerk of court maintains a file of information submitted by the private ADR organizations approved by the court, which is made available to counsel and parties for selection of an ADR provider. If the case is not resolved through private ADR, the court process is resumed.
Judicial settlement conferences.
At the request of a party or sua sponte, the assigned district judge or a magistrate judge may conduct a settlement conference-which, according to the court, is essentially a mediation process. The assigned judge decides when settlement discussions are likely to be most productive. A party's request, either formal or confidential, prompts an immediate conference. Each party must submit a confidential settlement statement outlining its factual and legal assessments of the case, the history of any settlement negotiations, and its settlement position. The parties or representatives with full authority to settle must attend the conference. Attendance is excused in some instances if the individual is immediately available to counsel by telephone.
Special master settlement conferences.
Local Rule 28 authorizes settlement conferences before special masters at the request of a party or on court assignment. These conferences are conducted by two attorneys selected by the judge from a panel of volunteers established by the court and composed of attorneys with settlement experience. As in judicially hosted settlement conferences, parties participating in a special master settlement conference must submit a confidential settlement statement outlining their factual and legal assessments of the case, the history of any settlement negotiations, and their position regarding settlement.
Of note
Obligations of counsel.
A form attached to the court's ADR brochure must be signed by the attorney and party and filed with the court to certify that they are aware of the court's ADR options.
Information from court.
Each party or the party's attorney is given a copy of the court's brochure Your Day in Court, which describes the available ADR options, including mediation, early neutral evaluation, summary jury trial, minitrial, and arbitration.
For more information
Kevin F. Rowe, Clerk of Court, 203-773-2140
Excerpted from ADR and Settlement in the Federal District Courts: A Sourcebook for Judges & Lawyers, 1996, a publication of the Federal Judicial Center and CPR Institute for Dispute Resolution