UNITED STATES DISTRICT COURT

Robert C. Heinemann Eastern District of New York Please Reply to:

Clerk BROOKLYN OFFICE

U.S. COURTHOUSE

James Giokas *GERALD P. LEPP, ESQ*. 225 CADMAN PLAZA EAST

Chief Deputy ADR Administrator BROOKLYN, NEW YORK, 11201

Telephone 718-260-2577 Fax 718-260-2546

<Gerald_P._Lepp@nyed.uscourts.gov>

Dear Mediator:

Copies of the Eastern District\'s Local Civil Rule 83.11, the signed
Mediation Order and two forms of stipulation and agreement to mediate
are attached. I am available to answer your questions and make
suggestions at any time.

[1. Parties Pre-Hearing Mediation Statement]{.underline}

Under the Local Civil Rule 83.11, no less than seven days prior to the
first mediation session, each party shall submit directly to the
mediator a mediation statement not to exceed ten pages double-spaced,
not including exhibits, outlining the key facts and legal issues in the
case. Insist on timely receipt of the mediation statements and promptly
advise me as to any lack of cooperation. Where appropriate a conference
with the referring judge will be requested by me.

[2. Clients to attend Mediation Sessions]{.underline}

Attendance at all mediation sessions of the actual clients is important
and strongly encouraged. The Court or the Mediator may require the
attendance of a party or its representative with authority to settle the
matter and bind the party. If parties are not brought to the mediation
sessions as per the Mediator\'s request, please advise me promptly.

Moreover, the Court requires of each party that the attorney who has
primary responsibility for handling the trial of the matter attend the
mediation sessions.

[3. No Conflict of Interests]{.underline}

Your service is appropriate only if no conflict of interest would
compromise your impartiality or the appearance of your impartiality.
Promptly review the Docket and any other materials submitted by the
parties or the Clerk\'s Office respecting the matter. Notify me (in
writing or by telephone) within ten days whether there is a conflict
that would prevent you from serving in this action.

[4. Oath]{.underline}

**Please complete the enclosed Oath as a Mediator prescribed** by 28
U.S.C. section 453, have your signature notarized, and return the
executed Oath to me.

Gerald P. Lepp

Instructions to Mediator

[5. Confidentiality Agreement]{.underline}

The Confidentiality Agreement will be signed by the mediator, counsel
and by the parties at the beginning of the first Mediation session.
Copies of the signed Confidentiality Agreement should be retained by the
mediator and the parties.

[6. Settlement]{.underline}

If an agreement is reached in whole or in part, the agreement should be
put into writing before the parties leave the mediation session. A hand
written agreement is sufficient. If an agreement settling the entire
case is reached, Counsel should execute a Stipulation of Discontinuance.
A sample stipulation is enclosed.

[7. Courthouse Room Assignments]{.underline}

Sessions that will take place in the federal courthouses need
confirmation of a room assignment two business days prior to the
session. For Southern District, call Anne Ford at 212-805-0148. For
Central Islip, call Jean Bollbach,631-712-6047.

[8. Last Minute Cancellations]{.underline}

All cancellations or adjournments within 48 hours of scheduled mediation
sessions will be denied. Where appropriate a request will be made by me
that a conference before the referring judge be scheduled with counsel
and their clients.

[9. Assessment Forms]{.underline}

To assist in the continued development of the Mediation Program, we ask
that assessment forms be completed. At the end of the mediation process,
please ask the counsels complete the Questionnaire for Attorneys in
Mediated Cases. Mediators should complete their own Mediator Assessment
Forms.

All documents can be found on the Program's website, at
[[http://www.nyed.uscourts.gov/adr]{.underline}, if you need additional
copies.](http://www.nyed.uscourts.gov/adr.)

Thank you for your commitment to the Eastern District\'s Mediation
Program. If you have any questions, please telephone me at 718-260-2577.

With best regards,

Gerald P. Lepp

ADR Administrator

**[28 § 455. Disqualification of Justice, Judge, or
Magistrate]{.underline}**

\(a\) Any justice, judge, or magistrate of the United States shall
disqualify himself in any proceeding in which his impartiality might
reasonably be questioned.

\(b\) He shall also disqualify himself in the following circumstances:

\(1\) Where he has a personal bias or prejudice concerning a party, or
personal knowledge of disputed evidentiary facts concerning the
proceeding;

\(2\) Where in private practice he served as lawyer in the matter in
controversy, or a lawyer with whom he previously practiced law served
during such association as a lawyer concerning the matter, or the judge
or such lawyer has been a material witness concerning it;

\(3\) Where he has served in governmental employment and in such
capacity participated as counsel, adviser or material Witness concerning
the proceeding or expressed an opinion concerning the merits of the
particular case in controversy;

\(4\) He knows that he, individually or as a fiduciary, or his spouse or
minor child residing in his household, has a financial interest in the
subject matter in controversy or in a party to the proceeding, or any
other interest that could be substantially affected by the outcome of
the proceeding;

\(5\) He or his spouse, or a person within the third degree of
relationship to either of them, or the spouse of such a person:

\(i\) Is a party to the proceeding or an officer, director, or trustee
of a party;

\(ii\) Is acting as a lawyer in the proceedings;

\(iii\) Is, known by the judge to have an interest that could be
substantially affected by the outcome of the proceeding;

\(iv\) Is to the judge\'s knowledge likely to be a material witness in
the proceeding.

\(c\) A judge should inform himself about his personal and fiduciary
financial interests, and make a reasonable effort to inform himself
about the personal financial interests of his spouse and minor children
residing in his *household.*

\(d\) For the purposes of this section the following words or phrases
shall have the meaning indicated:

\(1\) \"proceeding\" includes pretrial, trial, appellate review, or
other stages of litigation;

\(2\) the degree of relationship is calculated according to the civil
law system;

\(3\) \"fiduciary\" includes such relationships as executor,
administrator, trustee, and guardian;

\(4\) \"financial interest\" means ownership of a legal or equitable
interest, however small, or a relationship as director, adviser, or
other active participant in the affairs of a party, except that:

\(i\) Ownership in a mutual or common investment fund that holds
securities is not a \"financial interest\" in such securities unless the
judge participates in the management of the fund;

\(ii\) An office in an educational, religious, charitable, fraternal, or
civic organization is not a \"financial interest\" in securities held by
the organization,

\(iii\) The proprietary interest of a policyholder in a mutual insurance
company, of a depositor in a mutual savings association, or a similar
proprietary interest, is a \"financial interest\" in the organization
only if the outcome of the proceeding could substantially affect the
value of the interest;

\(iv\) Ownership of government securities is a \"financial interest\" in
the issuer only if the outcome of the proceeding could substantially
affect the value of the securities.

\(e\) No Justice, judge, or magistrate shall accept from the parties to
the proceeding a waiver of any ground for disqualification enumerated in
subsection (b). Where the ground for disqualification arises only under
subsection (a), waiver may be accepted provided it is preceded by a full
disclosure on the record.

TO: NEUTRALS APPOINTED PURSUANT TO EDNY LOCAL CIVIL RULES 83.10 AND
83.11.

I, , do solemnly swear (or affirm) that I will administer justice
without respect to persons, and do equal right to the poor and to the
rich, and that I will faithfully and impartially discharge and perform
all the duties incumbent upon me as Mediator under the Constitution and
laws of the United States. So help me God.

Sworn to and subscribed before me this \_\_\_\_\_\_\_ day of
\_\_\_\_\_\_\_\_\_, 20\_\_\_,

at \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_,
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Signature

OATHMED 28 USC 453

UNITED STATES DISTRICT COURT

EASTERN DISTRICT OF NEW YORK

\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-- x

Plaintiff(s),

-against- STIPULATION OF DISCONTINUANCE

Case No. Cv

Defendant(s)

\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\-\--
x

It is hereby stipulated by and between counsel that this action is
settled.

Therefore it is Ordered by the Court that this action is discontinued
without costs and without prejudice to the right to reopen the action if
settlement is not consummated.

DATED:

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Counsel for the Plaintiff

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Counsel for the Defendant

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

SO ORDERED: UNITED STATES DISTRICT JUDGE

**MEDIATOR ASSESSMENT FORM** (1/3 page)

U.S. DISTRICT COURT

EASTERN DISTRICT OF NEW YORK

PLEASE TYPE IF POSSIBLE

CASE
NAME:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

MEDIATOR:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ CASE
NO#.\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

1\. Was an agreement reached in this case? \_\_\_\_\_ Yes \_\_\_\_\_No

2\. Date of designation as Mediator for this case:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Date designated for completion of mediation:

Was deadline extended ? Please explain:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3\. Was a mediation session held ? \_\_\_\_\_\_Yes \_\_\_\_\_\_\_No

If yes, on what date was the session held ?
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Were additional sessions held ? \_\_\_\_\_\_\_ Yes \_\_\_\_\_\_\_No

If so, please list dates:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4\. If a mediation session was NOT held in this case, please indicate
why not.

a\. The case settled prior to the mediation session.\_\_\_\_\_\_\_

b\. The Court dismissed the case. \_\_\_\_\_\_\_

c\. Other - please
specify:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

d\. I don\'t know.\_\_\_\_\_\_\_

5\. Who attended the mediation session**:**

**[For plaintiff]{.underline}** Sessions: 1^st^ 2^nd^ 3^rd^

Party and Counsel \_\_\_\_\_ \_\_\_\_\_ \_\_\_\_\_

Counsel Only \_\_\_\_\_ \_\_\_\_\_ \_\_\_\_\_

Other\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_ \_\_\_\_\_
\_\_\_\_\_

**[For defendant]{.underline}** Sessions: 1^st^ 2^nd^ 3^rd^

Party and Counsel \_\_\_\_\_ \_\_\_\_\_ \_\_\_\_\_

Counsel Only \_\_\_\_\_ \_\_\_\_\_ \_\_\_\_\_

Other\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ \_\_\_\_\_ \_\_\_\_\_
\_\_\_\_\_

6\. If the parties were not present at the session(s), do you think
their presence would have aided the process?

Yes\_\_\_\_\_ No\_\_\_\_\_

If the parties were present, did they appear to understand your role as
mediator of the
case?\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

7\. Please indicate with an \"x\" which, if any, of the following events
occurred during or as a result of the mediation session(s) you handled
in this case.

a\. Two or more of the parties reached a settlement agreement.
\_\_\_\_\_

1\. The agreement disposed of the entire case. \_\_\_\_\_

2\. The agreement disposed of part of the case. \_\_\_\_\_

b\. Parties discussed settlement. \_\_\_\_\_

c\. A party indicated an intention to file a motion for summary judgment
or for dismissal of all or part of the case. \_\_\_\_\_

d\. Parties agreed about the scheduling or conduct of some discovery.
\_\_\_\_\_

e\. Parties agreed to exchange information informally. \_\_\_\_\_

f\. Parties entered one or more stipulations of fact. \_\_\_\_\_

g\. Other

8\. How much time did you spend preparing for the mediation session(s)?
\_\_\_\_\_ hours

9\. How long was the initial mediation session? \_\_\_\_\_ hours

10\. How much time did you spend on follow-up (a second meetinq, phone
calls, etc.)? \_\_\_\_\_ hours

11\. Did parties or counsels comply with the mediation procedures?

Yes\_\_\_\_\_ No\_\_\_\_\_

If not, please describe the procedural problems and how they were
resolved.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

12\. Overall, do you think that the mediation process was sufficiently
beneficial to the parties in this case to justify the resources devoted
to it?

Yes\_\_\_\_\_ No\_\_\_\_\_

If yes, what were the key benefits?
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

If the case [did not]{.underline} settle, please state the critical
reasons for not settling:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

13\. Additional comments.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

AT THE COMPLETION OF THE *MEDIATION* PROCESS, PLEASE RETURN THIS
EVALUATION TO:

GERALD P. LEPP

ADR ADMINISTRATOR

225 CADMAN PLAZA EAST

BROOKLYN, NY 11201

(T)718-260-2577 (F) 71-260-2546