Document ID: s3://data.kl3m.ai/documents/govinfo/USCOURTS/USCOURTS-azd-2_01-cv-01571/USCOURTS-azd-2_01-cv-01571-0/pdf.json

Parties Involved:
Jeffery Austin
Plaintiff
Maricopa County Community College District
Defendant

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IN THE UNITED STATES DISTRICT COURT

FOR THE DISTRICT OF ARIZONA

Jeffery Austin,

Plaintiff,

vs.

Maricopa County Community College

District,

Defendant. 

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NO. CIV 01-1571-PHX-ROS

SETTLEMENT CONFERENCE ORDER

This case has been referred to United States Magistrate Judge David K. Duncan for a

Settlement Conference. 

The purpose of the Settlement Conference is to facilitate settlement of this case, if that

is appropriate. It will be conducted in such a manner as not to prejudice any party in the event

settlement is not reached. To that end, all matters communicated to the undersigned expressly

in confidence will be kept confidential, and will not be disclosed to any other party. Rule 408,

Federal Rules of Evidence, applies to all aspects of the Settlement Conference. All

communications and information exchanges made in the settlement process, not otherwise

discoverable, will not be admissible in evidence for any purpose, and shall not be used for any

purpose outside the settlement process itself. At the conclusion of the Settlement Conference,

all documents submitted by the parties shall be returned, destroyed, or otherwise disposed of

in the manner directed by the settlement judge.

At the Settlement Conference and subject to modification by the Court depending on the

uniqueness of each case, each party, through counsel or individually if unrepresented, may be

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asked to give a brief presentation outlining the factual and legal highlights of that party’s case

and each party may be asked general and specific questions by the Court. Thereafter, separate

and private caucuses will be held with each party, the party’s representative and the settlement

judge. 

This Order mandating the parties’, representatives’, and insurers’ physical appearance

is intended to increase the efficiency and effectiveness of the Settlement Conference by

reducing the time for communication of offers and expanding the ability to explore the varied

options for settlement, to give the adverse parties the opportunity to hear the rationale and

arguments regarding the likelihood of success of the claims/defenses directly from the lawyers

who will be trying the case, to meet the litigants and representatives themselves and to hear

first-hand the candid, objective comments by a neutral settlement judge regarding the case or

the judicial process. 

Experience has taught the undersigned that the physical presence, rather than the

availability by telephone, and participation of those individuals with the authority to settle cases

will substantially increase the likelihood of settlement and will lead to more meaningful

negotiations. Consequently, and pursuant to the authority granted to the Court in 28 U.S.C. §

473(b)(5), representatives of the parties with full, complete, and unlimited authority to discuss

and settle the case shall be physically present unless expressly excused by the undersigned by

formal motion and order issued prior to the subject settlement conference for good cause shown.

Accordingly,

Pursuant to Rule 16, Federal Rules of Civil Procedure, and 28 U.S.C. § 473(b)(5),

IT IS ORDERED that:

1. All parties and their counsel who are responsible for trial of this case SHALL

physically appear before the undersigned settlement judge, Courtroom 305, Sandra Day

O’Connor U. S. Courthouse, 401 West Washington Street, Phoenix, Arizona on Thursday,

December 15, 2005, at 1:30 p.m.

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This requirement that a representative physically appear with full, complete, and unlimited authority is only

satisfied where the representative is the decision-maker with full authority to settle the matter: for a party asserting a claim,

this means full authority to stipulate to dismissal and release of all claims; for a party defending a claim, this means full

authority to satisfy the opposing party's existing settlement demand or offer. If it becomes apparent to the Court that a party

has not complied with this requirement, the Court will recess the settlement conference until such time that the noncomplying

party is in full compliance with this Order. The Court may further order the noncomplying party to show cause why it

should not pay the opposing party's reasonable attorney's fees and transportation costs incurred in attending the first

conference. 

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If a Defendant is an insured party, a representative of that party’s insurer with full,

complete, and unlimited authority to discuss and settle the case SHALL physically appear at

the aforesaid date and time. An uninsured or self-insured corporate party SHALL physically

appear at aforesaid Settlement Conference through its authorized representative with full,

complete, and unlimited authority to discuss and settle the case.1

2. Experience also teaches that settlement conferences are often unproductive unless the

parties have exchanged demands and offers of compromise before the conference and have

made a serious effort to settle the case on their own. Accordingly, before arriving at the

Settlement Conference the parties are to negotiate and make a good faith effort to settle the case

without the involvement of the Court. Should the parties wish to submit information regarding

the status of their case, they are requested to submit confidential correspondence directly to the

undersigned. The confidential correspondence must be submitted at least five (5) business

days before the Settlement Conference. The confidential settlement correspondence shall

NOT be filed with the Clerk or served on the parties but rather shall be delivered directly to the

chambers of U.S. Magistrate Judge David K. Duncan. Said correspondence may be transmitted

by facsimile (602-322-7639) or such other methods of transmittal as will assure receipt by the

undersigned by no later than the prescribed deadline.

3. If the Settlement Conference is held, the Court will assume that the parties have

agreed to separate meetings (caucuses) with the settlement judge. Ethical rules prohibit ex parte

caucuses without such agreement. By appearing at this conference, the Court will deem that

the parties have consented to this procedure and have waived any objection thereto unless a

written objection is filed not less than three (3) business days before the Settlement Conference.

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4. Absent good cause shown, if any party, counsel or representative fails to promptly

appear at the Settlement Conference, fails to comply with the terms of this Order, is

substantially unprepared to meaningfully participate in the Settlement Conference, or fails to

participate in good faith in the Settlement Conference, sanctions may be imposed pursuant to

Rules 16(f) and 37(b)(2)(D), Federal Rules of Civil Procedure, which may include an award of

reasonable attorney’s fees and expenses and/or a finding of contempt. See 28 U.S.C. § 636(e).

5. Counsel and any party, if unrepresented by counsel, shall notify the Court in writing

at least ten (10) business days before the Settlement Conference if one or more of the attorneys

or unrepresented parties believes that the Settlement Conference would be a futile act resulting

in an economic waste because, for example, a party or insurer has adopted a position from

which that party or insurer refuses to deviate. The Court will then consider whether the

Settlement Conference would be helpful and, if not, whether the Settlement Conference should

be canceled or other forms of alternative dispute resolution be considered. If there is

disagreement between or among the attorneys or unrepresented parties on this issue or any other

issue, they are instructed to arrange for a telephonic conference with the Court and all counsel

as soon as reasonably practical. If no such conference is arranged, it will be presumed that all

counsel, their clients and any unrepresented party believe that there is a reasonable, good faith

opportunity for settlement, and that the involvement of a settlement judge is needed to

accomplish it.

DATED this 24th day of October, 2005.

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