Middle District of Tennessee
IN BRIEF
Process summary
Judicial settlement conferences.
The Middle District of Tennessee Local Rule 20, adopted March 1, 1994, formally authorizes judicial settlement conferences, procedures long used in the district. Any civil case may be referred for a settlement conference before a district or a magistrate judge, although Social Security, land condemnation, and student loan cases generally are not referred. Party consent is not required, but the court rarely refers a case without consent. Referral is made at any appropriate time. The referring judge generally enters an order setting the settlement conference and directing the parties to submit confidential settlement statements.
The settlement statements must be submitted to the settlement judge three days before the conference. For use by settlement judge only, each party's statement must assess the strengths and weaknesses of both sides in the case, appraise liability, and estimate the economic costs of proceeding to trial. They must also contain a statement of the settlement authority extended by the client to the attorney on the basis of the attorney's written evaluation of the case. The evaluation must be furnished to the client in sufficient time to obtain express written settlement instructions.
A judge who is not assigned to the case-usually a magistrate judge-conducts the conference, which typically takes two to three hours (although some may last a day, and in some cases more than one conference may be held). Some magistrate judges use a facilitative mediation model, while others provide a valuation of the case and come closer to a neutral evaluation model. The case manager or the settlement judge may require that the parties or their representative with full settlement authority attend the settlement conference; the judges have generally required in-person attendance.
At the conclusion of the settlement process, the settlement judge may file a report with the court, but there is no requirement to do so. No part of the settlement discussions or any information submitted by the parties may be used by any party in litigating the case under discussion or any other case. These confidentiality protections include but are not limited to the protections provided by Federal Rules of Evidence 408 and 409. All disclosures to the settlement judge must also be kept in confidence.
Approximately forty-five cases were referred to settlement conferences between January and September 1994.
Other ADR.
Local Rule 20 approves and encourages the use of ADR. Any civil case may be referred to mediation, early neutral evaluation, or any other nonbinding ADR method provided by the court, with or without party consent. The court has not yet determined whether and how it might establish court-based programs for other ADR forms, and it is awaiting the recommendations of a court-appointed ADR committee.
Of note
Obligations of counsel.
Attorneys must discuss ADR with opposing counsel and must be prepared to discuss ADR with the judge. In their proposed case management plan, they must discuss whether ADR is suitable for the case.
Plans.
Pursuant to the CJRA plan, an ADR committee has been appointed to make recommendations for adoption of additional ADR programs.
For more information
Juliet Griffin, U.S. Magistrate Judge, 615-736-5164; Robert L. Echols, U.S. District Judge, Chair, ADR Committee, 615-736-2774
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