1994 ANNUAL REPORT 

OF THE UNITED STATES DISTRICT COURT - IN 

CONSULTATION WITH THE 

CIVIL JUSTICE REFORM ACT ADVISORY GROUP 

FOR THE 

DISTRICT OF RHODE ISLAND 

Appointed Under The 

CIVIL JUSTICE REFORM ACT OF 1990 
ADVISORY GROUP 

William A. Curran, 

Thomas C. Angelone, 

Joseph V. Cavanagh, Esq. 

Honorable Edward C. Clifton 

Professor Diane M. Disney 

Mark P. Dolan, Esq. 

David Duffy 

Jay S. Goodman. Esq .. 

Members 

Chairman 

J. Michael Keating, Jr. 

Beverly Ledbetter, Esq. 

Kenneth Liffmann, M. 

James M. Lynch, Esq. 

Sheryl Serreze, Esq. 

Andrew C. Spacone, Esq. 

John Tramonti, Jr. 

Ex..()fficio Members 

Honorable Ronald R. Lagueux, Chief Judge 

Raymond F. Burghardt, Clerk of Court 

Sheldon M. Whitehouse, u. S. Attorney 

Honorable Timothy M .. Boudewyns, Reporter 

Berry B. Mitchell, Ph.D., CJRA Project ManagerlADR Administrator 
TABLE OF CONTENTS 

I. INTRODUCTION 1 

II. THE CJRA PLAN 3 

III ASSESSMENT OF THE CIVIL & CRIMINAL DOCKETS 9 

IV. CONCLUSION 14 

V. APPENDIX: AMENDED ADR PLAN 15 
INTRODUCTION 

In October, 1993, the Advisory Group (hereafter the "Group") for the District of Rhode 

Island, appointed pursuant to the Civil Justice Reform Act of 1990 (hereafter the "Act"), 

submitted to the Court it's recommendations for incorporation into a Civil Justice 

Reform Act Expense and Delay Reduction Plan (hereafter the "Plan"). The Group 

analyzed civil litigation in the District, relying upon members' experience, the 

deliberations of its committees and the results of several surveys, as well as 

consideration of other quantitative and qualitative information. In the Group 

concluded that this Court functions well in its management of judicial workload and in 

its delivery of judicial services to litigants and members of the bar. This conclusion 

continues to be supported by workload data that reflects a tremendous increase in the 

number of cases terminated, both as a of the civil docket and as an actual 

number. There is as well a pronounced decline in the Court's pending caseload during 

both 1993 and 1994. It is anticipated that trends will continue. 

Group's original conclusion that the Court functions well, was not 

statistically anticipated in 1992, given the fact that difficult civil cases had risen, 

of criminal cases (as well as the number of defendants) had increased dramatically, 

and the percentage of cases tried was well above national averages for both civil and 

criminal dockets. 

The number of trials completed by judges in this district remains very high, 

however, fewer trials are conducted. This is not for reason of any delay in the 

civil or criminal dockets, nor the availability of a district judge to preside over trials, 

rather, the decline is due largely to the success of the court's judicial officers in 

achieving settlements through active settlement conferencing. These settlements have 

occurred in large numbers and earlier on in the life of the cases filed. 

PAGE 1 
Median time to disposition has declined from 11 to 10 months. Disposition time 

of cases remains low due to a number of factors. First, the unprecedented 

complement of three active judges and two extremely active senior judges, one 

bankruptcy judge, as well as two full-time magistrate judges and the services of one 

retired magistrate judge (recently officially recalled), all of whom have work habits that 

lend themselves to expeditious management their dockets. 

Did dramatic changes need to be made in the court's practices and procedures? 

No. The Court in it's wisdom however, realized that without significant change or 

expense to the Court, that the Civil Justice Reform Act created a positive opportunity 

to devise and implement changes that have enhanced the court's practices and the 

way it functions, as well as introduce means adjunct to trial that might reduce cost, 

make delay less likely and resolve disputes much earlier on in the life of cases. The 

Courts rationale for change and enhancement of judicial services was predicated upon 

several reasons, including: 

B. The Court will never be "blessed" with greater judicial assets than 

it presently enjoys-three active district judges, two senior district judges, 

one bankruptcy judge, two full-time magistrate judges and one retired 

magistrate judge (as noted, recently recalled) available for assistance, 

and 

b. That in the event that, civil and criminal case filings increase dramatically 

during a period when the court does not have the same level of judicial 

resources it presently has, the court will be able to manage it's docket without 

delay and unnecessary cost associated with such delay 

On November 18, 1993, the court adopted the Plan which calls for the following: 

1. Consideration of proposed revisions of the Local Rules submitted by 

the CJRA Advisory Group at the earliest time practicable. 

Revision of the categories for assigning cases. 

PAGE 2 
3. Requires that all discovery motions contain a certification by moving 

counsel that counsel have met and conferred good faith to attempt to 

resolve disputes prior to filing such motions. 

4. Reducing the time for filing responses to non-dispositive motions to (11 ) 

days from the date the motion was filed. 

5. Encouraging referral of discovery motions that the district judges in their 

sole discretion deem appropriate to the assigned magistrate judge. 

S. Encouraging the consensual referral of appropriate cases to the assigned 

magistrate judge. 

Adopting and Implement an Alternative Dispute Resolution Plan. 

8. Considering the use of video technology to conduct arraignments of 

criminal defendants in order to reduce cost associated with transporting 

prisoners and detainees as well as eliminate the security risk inherent in 

the process, and in appropriate circumstances in civil matters as well. 

Implementation of the Plans provisions are discussed briefly below. Also 

included in this Report is an update of the Court's civil and criminal dockets 

II. 

THE CJRA PLAN 

1. Local Rules: In December, 1993 the Federal Rules of Civil Procedure 

were amended. As a result, the Court delayed any further. consideration of the 

proposed revisions to the District Court's Local Rules until such time as the Court 

decided whether to opt out of new Rule and determine how the new rules generally 

might impact on existing local rules and the proposed changes thereto. Recently the 

Court has renewed consideration of the proposed revisions. 

2. Categories for Assigning Cases: The Court revised the categories for 

assigning cases. Prior to the change in categories the following were the categories 

assigned: 

PAGE 3 
CIVIL 

-

Admiralty 

Antitrust 

Bankruptcy 

Civil Rights 

Contracts 

Habeas Corpus 

Taxes 

Labor 

Miscellaneous 

Patents/copyrightsfTrademarks 

Real Property 

Social Security 

Torts 

Miscellaneous Grand Jury Proceedings 

Prisoner Petitions 

Transfers from other districts 

CRIMINAL 

All indictments 

Bail Appeals 

Forfeitures 

While each judged received a pro rata share of cases, the weighted value of 

those cases was skewed by several factors: 

The number of categories 

The number of cards for each judge in the category 

The difficulty of the case, etc. 

In order to assure the close approximation in each category of the expected 

cases to be assigned, TROs and Transfers from other districts have been drawn from 

the category which most closely fits the nature of the TRO or Transfer case. All 

criminal matters have been consolidated into two categories. Further, Indictments and 

Bail Appeals have included as a third Miscellaneous category. At present, the 

categories for assigning civil cases are: 

PAGE 4 
CIVil 

-

Admiralty 

Antitrust 

Bankruptcy Appeals 

Civil Rights 

Contracts 

Environmental (new category) 

Forfeiture/PenaltyfTax Suits 

Labor 

Miscellaneous (including Grand Jury Proceedings and Bail Appeals) 

Patents/CopyrightsfTrademarks (Intellectual Property Rights) 

Prisoner Petitions (Habeas Corpus) 

Real Property 

Social Security 

Torts (subdivided into (a) products liability, (b) all malpractice, and (c) all other). 

In making these assignments the Court has been mindful of historical data for 

the number of cases to be expected from any category to assure that the least number 

of judge cards necessary are used for the draw. 

The Court noted in the Group's Report that the civil docket is heavily influenced 

by the criminal docket. While the Group did not evaluate the criminal docket in depth, 

the observation was meaningful in causing the Court to better categorize criminal cases 

so as to minimize the possibility of one judge receiving a number of very timeconsuming cases. A statistical evaluation of this problem disclosed that one of this 

court's judges had in fact received a number of such cases, and as a result, had a very 

high percentage of the total criminal trial hours on the bench, leaving less time for civil 

matters. 

In order to avoid a reoccurrence of this problem the Court adopted categories of 

criminal cases based on the expected length of trial. 

The U.S. Attorney estimates trial length on all new indictments on form AO 257 

("Defendant information relative to a criminal action in the U.S. District Court") While 

most cases are Category I type cases (that is cases which are more routine in nature 

PAGES 
and take up less judicial time [5 days or less] for disposition), only one set of cards is 

placed in the Category II type (cases that are more complex and time consuming [more 

than 5 days]). may involve mUlti-party defendants, RICO, complex fraud or 

conspiracy charges against one or more defendants, and which are likely to more 

than 5 days of trial. 

All cards are drawn from category II before being replaced. In this way, each 

judge is assured of receiving only one category II case out of each five cases assigned 

in that category. 

3. Motion Practice (certification): If there was any delay in this district, it 

resided in the area of motion practice. 

Group. 

was a finding supported by the work of the 

In the course of developing Report and Plan, the Group through interviews 

with the magistrate judges disclosed that one third to one-half of all discovery matters 

themselves at the courthouse when counsel discuss the motion just prior to 

scheduled hearing. While current Local Rule 13(d) requires counsel to confer about 

objections to interrogatories or request for production of documents, the Court has 

fashioned in it's Plan a rule that requires that all motions contain a certification by 

moving counsel stating that counsel for the parties have met and conferred in good 

faith to attempt to resolve disputes prior to the filing of such motions. 

The effect of this requirement has insured that Rule 13( d) is complied with and 

greater communication takes place over disputes involving discovery, such that the 

great majority of the same are resolved without resort to the Court as a means 

compelling compliance. The decrease in these motions reduces cost and delay and 

insures more efficient use of judicial resources. 

PAGES 
4. Response Time (Non-dispositive motions): As a means of saving 

time, Local Rule 12(2) was amended by Order of the Court to require that all nondispositive motions filed within 11 days from the date the motion is filed. This 

change saves almost ten days in closing the response time to motions. The 11 days is 

inclusive of weekdays and holidays. The 10 days under former Local Rule 12(2) was 

exclusive of weekends and holidays (10 days computes to about 17 days under 

Federal Rule of Civil Procedure 6(a). Eleven days compute as 11 days. Starting the 

11 day clock from filing rather than service saves an additional 2 to 3 days. 

5. Referral of Discovery Motions to Magistrate Judges: 

The Plan calls for the Court to encourage referral of discovery motions that the 

district judges, in their sole discretion, deem appropriate to the assigned magistrate 

judge. The referral of such motions is not uniform among the practice of the district 

judges, though as Plan contemplated, each of district judges gives 

consideration to such referral. 

6. Referral of Cases to Assigned Magistrate Judges: 

As contemplated by the Plan, the court gives careful consideration to the 

consideration of referral. 

7. Adoption and Implementation of the ADR Plan: 

In November, 1993, the Court adopted an ADR Plan which provides for a 

wide range of choices among various ADR methods for litigants to choose, including: 

arbitration, mediation, early neutral evaluation, summary jury/bench trials and 

settlement conferences. The adoption came about due in part to the unusually large 

percentage of cases that are tried in this district. At the time of the Report and Plan 

being issued, 18 percent of the civil cases filed went to trial and 22.6 percent of the 

PAGE 7 
criminal docket went to trial. The national average at the time was approximately 7 

percent civil and 12 percent criminal. In 1994, 20.6 percent of the criminal docket and 

approximately 14 nO'"I"Qinr of the civil docket went trial. 

In February, 1 the ADR Plan was amended and is attached to this Report as 

Appendix A. The Amended Plan includes a provision that requires all civil cases, 

except those specifically exempted by a district judge, to attend and participate in a 

mandatory settlement conference before a magistrate judge, to be held within 120 days 

of a responsive pleading to the complaint or Motion to Dismiss pursuant to Rule 12 (b) 

of the Federal Rules of Civil Procedure [whichever is first]. Parties may opt out of this 

conference if they elect to pursue one of the ADR options provided by the Court, prior 

to or at the time of the Rule 16 conference. This approach is unique among existing 

ADR programs in other district courts in the sense that it preserves both mandatory and 

voluntary options, as well as providing a wide range of ADR methods. 

Through a highly competitive process of selection, the Court offered 

appointments persons, to serve as ADR Panel Members. 

underwent extensive training in November and December, 1994. 

candidates 

The Court has 

certified their qualification to serve in capacities of arbitrators, mediators and early 

neutral evaluators upon cases being referred them under the Plan. 

In January the Court, together with the Rhode Island Federal Bench/Bar 

Committee, co-sponsored an ADR Conference to introduce in detail the ADR Plan 

including practice and procedure thereunder. The Conference was a success, with 

attendees providing valuable recommendations, some which were adopted as part of 

the Amended ADR Plan. The ADR Program offiCially commenced on February 1, 1995. 

Interest the program has 

be referred remains unclear. 

high, though exactly how many cases will ultimately 

PAGE 8 
8. Consideration of Use of Video Technology: 

The Court in it's Plan gave careful consideration to the Group's recommendation 

that Court use video technology to conduct arraignments of criminal defendants in 

order to reduce cost associated with transporting prisoners and detainees as well as 

eliminating the security risk inherent the process, and in appropriate cases use of 

such technology in civil matters such as depositions. Due to a lack of funding the 

Court has delayed any further consideration of this technology until such funding is 

available. 

m. 

ASSESSMENT OF THE CRIMINAL AND CIVIL DOCKETS 

A. The Civil Docket 

Since 1993, the percentage of civil cases 3 years old or older in this District 

increased 'from (25) or 3.4 percent in 1993 to (32) or 4.9 percent in 1994. This District's 

level of such cases, however, remains well below the national average of 8.9 percent 

and is second only to the District of Maine in the Circuit. The increase is an aberration, 

and is due largely to several and complex cases. 

A breakdown of civil cases by specific case types provides further detail and 

allows for a more precise analysiS of the court's docket. The mixture of civil cases filed 

in this District has not changed significantly over the last year. The most significant 

change since 1993 has been a marked decline in the number of Type II cases. 1 

1 II cases are generally more complex and demand greater amounts of time and other 

judicial resources than do Type I cases which are more routine, and in most cases place 

less burden on the judicial resources of courts. The "big four" cases types in this district 

remain: Contract, Civil Rights, Injury and Prisoner cases. 

PAGES 
In terms of actual numbers, civil filings per judgeship for 1994 rose from to 

239. Criminal felony filings also increased from 34 to 37. These changes do not 

represent increases that are statistically significant. The number of total pending cases 

per judgeship has declined from 283 in 1993 to 257 cases in 1994. This is a significant 

decline. This decline is complimented by the dramatic increase in termination's per 

judge, from 277 in 1993 to 293 in 1994. The decline is due in part to the large number 

of cases settled or otherwise disposed of short of triaL The number of trials per judge 

completed has also declined from 42 in 1993 to 30 in 1994. Weighted filings per 

judgeship have decreased from in 1 to in 1994. Terminations per judgeship 

increased from 237 in 1993 to 239. This trend is likely to continue in 1995. 

A number of factors have contributed to these improvements: leveling off of the 

economic downturn in Rhode Island which is credited for much of increase in 

commercial litigation over last four to six years; the of 3 "active" district 

judges, two senior district judges, two full-time magistrate judges, and the adjunct 

services of a retired magistrate judge. As well, the Court has placed significant 

emphasis on settlement conferences. It is likely that the Court's ADR Program and 

continued use of active settlement conferencing will result in even greater success in 

resolving disputes on in the of cases filed in this district. 

graph on the following page "colorfully" describes the success of the district 

in terminating cases and keeping it's pending case load down. As the graph indicates, 

the terminations have far outpaced the number cases filed and the Court's 

pending caseload continues to decline. 

Median time from filing to disposition has remained rather constant. In 1992 it 

was (10) months. In 1993 it rose to (11) months and in 1994 declined to (10) months. 

The "life expectancy" of civil cases in this District has remained relatively constant. 

However, in 1993 and in 1994, the average has continued to decline, from 

approximately 13 months 1992 to 11 months in 1 This trend supports the 

PAGE 10 
Civil Caseflow Trend CY 94-95 

100 Pending trend line --- --.--, 800 

"'0 

Q) 80 ......, 

co 600 

c 0) 

.-

E 60 

;: I 

I.- .1.1 

Q) 1 . 11:1 

,I 

C 

.-

"0 

c 

t::: .",; 

il "0 ;):[ 

Q) l. - 40 II, 

400 cT. 

.-

L1.. l· r 

~ CJ) ·c 

CJ) 

Q) it" 

Q) 

:-

CJ) :: 

CJ) 

co 20 

co 

0 

,I 

0 

200 

a .... - p ....... --.\' "~ , Wi" =' - -., _ =-n ' WA a 
continued belief of the Group and Court that there continues to be little, if any, delay in 

this district. indexed Average Life Span ("IAL")2 for this District is 11 months, 

which is below national U:::.r·!lI'lO of 12 months for all cases. 

B. The Criminal Docket 

Felony filings per p only slightly in 1994 from 34 

preceding year to cases. The absolute numbers of filings while significant is 

important, but the burden to judges in criminal cases is generally proportional to the 

number of defendants per case. In 1992 were an average 1.5 defendants 

case. In both 1993 in 1994, the average has declined to 1.3 defendants, 

representing a reduction in the burden criminal cases to the I administration of 

cases by the district judges. average for the five period 1989 to 1993 is 1 

percentage of drug defendants, compared to all criminal defendants 

declined sharply in 1994 over the preceding year from approximately 50 percent to just 

under 30 percent. The number of drug defendants both as a percentage and as an 

actual number have declined from approximately 75 in 1 to 45 in 1994. 

declines have significantly reduced the demands and burdens of such cases upon the 

courts resources. However, in an interview with the Assistant United 

Attorney this District in December, it appears that criminal prosecutions are on the 

and a resurgence of prosecutions of drug defendants is likely. Staffing shortages 

2 Life expectancy is used to assess change in the trend of actual cases life span; it is a 

timeliness measure, corrected for changes in the filing but not for changes in case mix. 

IAL permits comparison of the characteristic span of this court's cases to those at all 

district courts over the past IAL is indexed at a value of 12 the 

national for to disposition is about 12 months nationally. This then 

represents an average of case disposition, shown on figure 10 as IAL Reference. 

Values below 12 indicate the court is disposing of cases faster than the average, and, 

conversely, values above 12 indicate that cases are being disposed of at a slower rate 

the national average. 

PAGE 11 
in U. Attorney's Office in 1993, resulted in approximately percent fewer 

indictments obtained. 

In 1983, median time from filing to disposition of criminal cases was months. 

By 1992 it had declined to 5.3 months. In 1993 time significantly to 

0, due in part to an unusually high number of highly complex criminal cases. In 

1994 median time declined to 9 months. With the present compliment of judges, it is 

likely median time will decline further. 

Despite the decline in criminal case filings and defendants, the District continues 

try an unusually large percentage of it's criminal docket, approximately 

U.S. DISTRICT COURT --JUDICIAL WORKLOAD PROFILE 

PAGE 12 

percent. 
RHODE ISLAND 

Filings· 

OVERALL Terminations 

WORKLOAD Pending 

STATISTICS Percent Change 

in Total Filings 

Current Year 

Number of Judgeships 

Vacant Judgeship Months'" 

! Total 

FILINGS Civil 

Criminal 

ACTIONS 

PER Cases 

JUDGESHIP Weighted 

Terminations 

Trials Completed 

MEDIAN From Criminal 

TIMES Filing to Felony 

(MONTHS) Disposition Civil'" 

From Issue to Trial 

(Civil Only) 

Number (alld %) of Civil 

Cases Over 3 Years Old 

OTHER Average Number of Felony' 

Defendants Filed per Case 

Avg. Present for 

Jury Selection·" 

Jurors Percent Not 

Selected or 

Challenged** 

TWELVE MONTH PERIOD ENDED 

SEPTEMBER 30 

I 

1994 1993 1992 1991 1990 

813 87 2 792 

880 830 866 717 

770 848 868 865 828 

% over 1 Last Yr, 

Over Earlier 

Yrs", -4.9 87 4.5 

3 3 3 3 3 

11.4 6.9 .0 .0 6.6 

276 ?R4 

239G37 241 216 230 I 

37 34 34 

257 283 289 288 276 

287 299 365 312 

240 239 

30 42 51 57 43 

5.9 0 5.6 

10 11 11 11 10 

20 17 13 10 12 

25 27 

4.9 3.4 3.6 I 4.1 3.4 

1.3 1.3 1 1.5 1.4 

21.28 25.16 20.96 17.43 19.16 

36.4 32.3 16.7 20.8 

1989 

816 

813 

748 

1.5 

3 

9.2 

272 

248 

249 

294 

271 

45 

6.9 

10 

11 

24 

3.5 

1 

15.55 

10.1 

Numerical 

Standing 

Within 

U.S. CIRCUIT 

I:: I 

4 

4 

79 4 

44 1 

5 

74 

1 

3 · 

3 

2 

Magistrate Judges: workload trend for magistrate judges in this district is one of 

consistent growth. 'This trend will likely be enhanced by the requirement under the 

Court's Alternative Dispute Resolution Plan that all civil cases submit to a mandatory 

settlement conference, unless parties elect to pursue one of the court approved ADR 

PAGE 13 
The magistrate judges have aided the court substantially in 

number of cases that are tried in this district by conducting very active and 

conferences. These judges experiences, knowledge and 

repeatedly the value of the magistrate judge roles, including 

facilitating meaningful negotiations between litigants. 

IV. 

CONCLUSION 

While great success in maintaining expeditious fil to 

disposition and has significantly increased the number of case terminations, 

mindful the one constant, change, which at some point in the future will 

compliment of judges the Court now enjoys and is likely to see a return to 

more trends in civil filings. New legislation, like the recently enacted "Crime 

Bill" may impose upon the District greater workload demands upon the criminal docket. 

Civil Justice Reform Act Expense and Delay Reduction Plan has an 

infrastructure that is likely to address successfully the uncertainties of change. 

PAGE 14 
Appendix 

Amended ADR Plan 

PAGE 15 
J 

AL TERNATIVE DISPUTE RESOLUTION 

AMENDED PLAN 

DISTRICT OF RHODE ISLAND 

EFFECTIVE - FEBRUARY 8, 1995 
AMENDED 

ALTERNATIVE DISPUTE RESOLUTION PLAN 

United States District Court for the District of Rhode Island 

"DISCOURAGE LITIGATION. PERSUADE YOUR NEIGHBOR TO 

COMPROMISE WHENEVER YOU CAN. POINT OUT TO THEM 

HOW THE NOMINAL WINNER IS OFTEN A REAL LOSER-IN 

FEES, EXPENSES, AND WASTE OF TIME" 

-Abraham Lincoln1850 

I. 

INTRODUCTION 

The United States District Court for the District of Rhode Island provides this 

manual as an informal overview of the Court's Alternative Dispute Resolution Program 

available to litigants, effective February 1995. The Court's ADR Program \NaS 

developed in 1993 as part of its Civil Justice Reform Act Expense and Delay Reduction 

Plan (hereafter "the Plan"). As an outgrowth of an ADR sponsored by the 

Court on January 3D, 1995, the original ADR Plan adopted by this Court 'NaS amended 

on February 6, 1995 as forth herein. The Plan is designed to litigants ready 

access to case evaluation and/or modern ADR settlement techniques. The program 

seeks to encourage a mutually satisfactory resolution to disputes in the early stages of 

litigation. Such early case resolution is likely to litigant satisfaction with 

judicial process and make more efficient use of judicial and private resources. 

II. 

ACCESS TO INFORMATION 

Prior to 16 (b) Conference, the Court shall include with the Notice and 

Order mailed to the parties, a brief summary of essential ADR information, This 

information shall provide counsel and litigants with the following: (1) introduction to the 

existence of the ADR Program and Plan; (2) information as to which cases are subject 

to ADR; (3) basic definitions as to approved ADR methods; (4) information about the 

ADR Panel; and finally, (5) information regarding the process of referral. Upon 

of cases to ADR, the ADR Administrator shall provide litigants (prior to referral 

PAGE 1 
meeting with the ADR Administrator, required under this Plan). a copy of this ADR Plan. 

Copies of this Plan are available upon written request to the ADR Administrator: 1 

Exchange Terrace, Providence, RI 02903. 

III. 

CASES SUBJECT TO ADR 

All civil cases filed in this district (except those specifically exempted upon 

application to the Court, or upon further order of the this Court. All ADR options 

offered by the Court are voluntary, except that, parties not electing ADR shall be 

required to attend a settlement Conference within 120 days of a responsive pleading to 

the complaint, or Motion to Dismiss pursuant to Rule 12(b) [whichever is first]. 

IV. 

DEFINITIONS 

1. "Mandatory Settlement Conference" is a non-binding settlement process 

involving a neutral (in most cases a magistrate judge), who V\IOrks with the parties and 

their counsel to identify issues, promote settlement dialogue and, if possible, 

the dispute in a mutually acceptable way. fundamental of this process 

help parties overcome obstacles to effective negotiation and settlement. 

"Early Neutral Evaluation" (ENE) is a pre-trial involving a neutral 

evaluator vvho meets with the parties early in the development of the litigation (less 

than 75 days after answer is filed) to help parties and counsel focus on the 

issues, organize discovery, prepare case for trial and, to the extent pOSSible, aid in 

the settlement of the case. The evaluator provides an expert assessment disputed 

legal and factual issues and estimates the perceived value of the case. 

3. "Summary Jury/Bench Trial' is a non-binding in which the parties 

present an abbreviated version of their respective cases to a mock jury or before a 

judiCial officer. In a summary jury trial, the parties use the decision of the jury and 

information about the jurors' reactions to the parties' legal and factual arguments as an 

aid to A summary bench trial works in same except there is no 

jury. Court has already conducted summary jury trials with some success. 

are sometimes referred to in this jurisdiction as "mini-trials." 

PAGE 2 
4. "Mediation" is a voluntary, non-binding process in vvhich the 

parties, with the help of a neutral mediator, identify underlying interests 

and develop acceptable means of addressing those interests and 

settling differences. The focus in mediation is on the pragmatic needs 

of parties and the preservation of any relationship that may exist 

between them. 

"Arbitration" a non-binding, adjudicative process in Vv'i1ich a 

neutral decides the rights obligations of parties and imposes an 

appropriate remedy in the form of an award. 

V. 

ADR ADMINISTRATOR 

The proposed ADR options, with the sole exception of the mandatory magistrate 

judge settlement conference, an ADR Administrator to manage and supervise 

their operations. ADR Administrator has been appointed by the Chief Judge of this 

Court and, \Nhile attached administratively to Clerk's Office, reports directly to the 

Chief Judge. ADR Administrator possesses a full range of authority and 

responsibility to implement and direct the program options described in manual. 

The ADR Administrator shall: 

1. Administer the selection, training, and use of a panel of neutral 

3. 

intervenors for the various ADR options established by Court; 

Serve as a member of Court's ADR conducting mediation 

upon direct referral of cases by the Court to the ADR Administrator; 

Serve as liaison to judges, court clerk, and other on matters 

relating the program; 

4. Direct and coordinate the ADR Program; 

Provide strategiC 

the district; 

master planning relating to AOR in 

6. Draft and propose revisions of the ADR Plan, local rules, or orders 

and/or procedures that may improve the efficiency and 

effectiveness of the ADR program, 

7. Collect maintain biographical data on neutral intervenors to 

permit aSSignments commensurate with the neutral's experience, 

training and expertise and make the collected biographical data 

available to parties and counsel; 

8. the ADR budget; 

PAGE 3 

} 
9. Prepare applications for funding and submit to the United States 

Government or other funding sources such applications; 

10. Prepare reports required by the United ':;)Ld'Lt::'.;) Government or other 

funding on the use of funds in 9peration and evaluation 

of the ADR options; 

11. Develop and maintain necessary forms, docket controls, 

and to administer and evaluate the options effectively; 

12. Periodically evaluate, or arrange for outside evaluation of the 

13. 

14. 

15. 

ADR if necessary, and submit the resulting evaluation to 

the Court, along with appropriate recommendations for change; 

Develop, make available upon a list of private or 

extra-judicial ADR providers; 

and action in the ADR area 

the Court of new 

ADR entities. 

.,."II,nn.,.cnrC' in other 

Make presentations to judges, 

the public on ADR and the COUlt's 

VI. 

lawyers, benchlbar groups and 

program; and 

PANEL OF NEUTRAL INTERVENORS 

Court <:i<;:)'.CUJI a of of 

education, experience, training and them to act as 

one or more of the ADR options (arbitration, early neutral evaluation and 

implemented by the Court. 

A. Appointment to panel. The panel of intervenors consists of no .. ",,, ... ,,,, 

nominated by the AdviSOry Group's ADR Panel Subcommittee and confirmed by the 

of this Court. Intervenors are appointed for a period of three 

AppOintment may be upon a demonstration of continued qualification. 

PAGE 4 
) 

1. Panelists are lawyers who have been admitted to the practice of law 

for at least ten years and who are currently members of the bar of the 

United States District Court for the District of Rhode Island. The panel 

also includes non-lawyers who or unique expertise in 

particular fields and/or have substantial or training in one 

of the options, and are for inclusion on 

panel by the 

All persons as intervenors have: 

a. Undergone dispute resolution training prescribed by the Court; 

b. Taken the oath forth in 28 U C. § and 

c. follow the guidelines the various 

by the Court. 

Compensation. 

1. Magistrate presiding over settlement conferences and the AOR 

Administrator serving in the capacity of upon referral of cases 

by the Court shall serve without compensation; 

Persons (other than the aforementioned) 

intervenors no compensation for 

Thereafter, are equally 

compensation at a rate agreed to by the 

$150 per hour, 

as neutral 

first hour of their 

an intervenors 

but not to exceed 

3. No single intervenor may be assigned in one calendar year to 

more than one complex case (defined as a case in which discovery 

likely to months), nor to a of more than five 

cases, without or her consent. 

VII. 

THE PROCESS 

REQUIREMENT TO MEET AND CONFER REGARDING FERRAL TO ADR: 

to a Rule 16(b) 

of Civil the Notice 

f'lnlrCU'l::>nr'O and any 

Conference, held 

Order advising the 

IrCIT'lQnfCl! established by the 

PAGES 

to the Federal 

of the date and time of 

in order to further 
the objectives of the Conference, pursuant to F. R. Civ. P. Rule 16 (a), shall, in addition 

to any requirements set forth in the Notice Order, include a requirement 

that parties attending be prepared to possible referral to the Court's ADR 

Program. 

The Court shall include with the Notice and Order, a brief summary of essential 

information. This summary information shall provide counsel and litigants with 

the following: (1) introduction to the existence of an the ADR Program and Plan; (2) 

information as to which cases are subject to ADR; (3) basic definitions as to approved 

ADR methods; (4) information about the ADR Panel; and finally. information 

regarding the process referral. 

,:I..I" ... !;;,";;,..;:lI OF REFERRAL TO ADR: 

If the parties express and interest in referral to ADR, the shall 

advised by the presiding judicial officer to contact the ADR Administrator, in order to 

arrange a mutually convenient time for the parties and the Administrator meet to 

discuss: (1) the Court's ADR Program in greater , (2) facts and issues the 

case (3) selection of an ADR method most likely to of value to the parties, and (4) 

the selection an ADR Neutral. 

RULES GOVERNING THE ADR 

ADR conference(s) shall conducted in accordance with procedures 

outlined in this Amended Plan, a copy of which shall provided to the parties in 

advance of conference with ADR Administrator. Referral to ADR does not 

constitute a waiver of any requirement established by statute, Local Rule, or 

procedure required by the individual district judges of this court. 

SCHEDULING ADR CONFERENCES: 

Upon the selected neutral receiving from the ADR Administrator of his/her 

designation as the neutral, the neutral shall with the Clerk's Office, with a 

copy to ADR Administrator, his/her acceptance of the designation, shall 

promptly schedule the first meeting with the (not to exceed 30 days) from the 

of the Order of Referral being signed by district judge assigned to the case. 

TIME FRAME FOR SETTLEMENT 

The time for concluding the ADR process shall set forth in the Order of 

Referral, and may be extended by of the Court upon good cause shown. 

LOCATION OFADR CONFERENCES: 

Conferences may conducted such locations as are agreeable to the 

and neutral aSSigned to case. is lable conduct 

United Courthouse (RQom 518) located at 1 

by making arrangements with the Court's Administrator. 

PAGES 
DUTY TO ATTEND AND PARTICIPATE: 

If required by the judicial officer or neutral assigned to the case, all parties, 

counsel of record, and corporate representatives or claims professionals having 

authority to bind and settle shall attend all ADR conferences and participate in good 

faith. 

AGREEMENT OF THE PARTIES TO REFERRAL: 

In consultation with the Court, at the time of the Rule 16(b) Conference, if parties 

desire to refer their case to ADR, both parties, or their counsel if represented must 

indicate their mutual consent to referral on the Order of Referral. 

REFERRAL TO ADR PRIOR TO THE RULE 16 CONFERENCE: Patries may request 

referral to ADR prior to the Rule 16 Conference. In such cases the parties shall contact 

the ADR Administrator. 
DUTY TO ATTEND AND PARTICIPATE: 

If required by the judicial officer or neutral assigned to the case, all parties, 

counsel of record, and corporate representatives or claims professionals having 

authority to bind and settle shall attend all ADR conferences and participate in good 

faith. 

AGREEMENT OF THE PARTIES TO REFERRAL: 

In consultation with the Court, at the time of the Rule 16(b) Conference, if parties 

desire to refer their case to ADR, both parties, or their counsel if represented must 

indicate their mutual consent to referral on the Order of Referral. 

REFERRAL TO ADR PRIOR TO THE RULE 16 CONFERENCE: Patries may request 

referral to ADR prior to the Rule 16 Conference. In such cases the parties shall contact 

the ADR Administrator. 

VIII. 

MANDATORY MAGISTRATE SETTLEMENT CONFERENCE 

Parties in all civil cases filed in this district must participate in a settlement 

conference before a magistrate judge, unless they have elected to use one of the 

other ADR options available. This mandatory conference is in addition to any pretrial 

conference the district judge may require of the parties to prepare a case for trial 

pursuant to Rule 16 of the Federal Rules of Civil Procedure. If the parties fail to 

activate one of the ADR options, they shall be-required to appear before a magistrate 

judge for a settlement conference within 120 days of a responsive pleading to the 

complaint or motion to dismiss pursuant to Rule 12 (b) [whichever is first. 

1. Preliminaries to a magistrate settlement conference: 

At least ten days prior to the settlement conference, the parties shall submit to 

the magistrate judge: 

. a. A jOint copy of relevant pleadings and motions; 

b. A brief memorandum, not to exceed ten pages, stating the legal and 

factual positions of each party on the issues in dispute; and 

c. Such other material as each party believes would be beneficial to the 

magistrate judge. 

2. Attendance of parties: 

The primarily responsible attorney in each case (or the party, if proceeding pro 

se) shall attend the magistrate settlement conference. Parties shall also be present. 

PAGE 7 
If a party other than an individual is involved, or when a party's interests are being 

represented by an insurance company, an authorized representative of such party or 

insurance company, with full authority to settle, shall attend. 

Magistrate judge settlement conference procedures: J 

a. The magistrate judge settlement conference shall be informal. The 

magistrate judge shall conduct the process to assist the parties in 

amVing at a settlement of all or some of the issues involved in the 

case. 

b. The magistrate judge may hold separate, private discussions with any 

party or counsel associated with the case, but may not, without the 

consent of that party or counsel, disclose the contents of the 

discussion to any other party or counsel. 

c. If the parties have failed, after reasonable efforts, to develop 

settlement terms, or if the parties so request, magistrate judge may 

submit to the parties a final settlement proposal.which the magistrate 

judge believes to be reasonable and fair. parties shall carefully 

consider the proposal and, if requested, the magistrate judge may 

discuss it with the parties. The magistrate judge may comment on 

questions of law at any appropriate time. 

The magistrate judge may conclude the process when: 

1. A settlement is reached; or 

2. The magistrate judge concludes, and so informs the parties, that 

further efforts will not be useful. 

If a settlement agreement is not reached, the magistrate Judge shall inform the 

ADR Administrator in writing that the settlement conference been held, forward to 

the ADR Administrator any resulting agreements, stipulations or other pertinent 

developments and make any appropriate recommendation for the future processing of 

the case. 

IX. 

ADROPTIONS 

A. EARLY NEUTRAL EVALUATION (ENE) 

Any civii case may be referred to upon the of both In 

for the case to be referred, both parties must execute the form Order of Referral 

referring the case to ADR, and must upon the form ir method of 

8 
ADR. Within 10 days of the execution of the Order both parties must arrange for a joint 

meeting with the Court's ADR Administrator to (1) discuss process and procedure 

under the Court's ADR Plan; (2) discuss the facts and issues involved in the case; 

(3) with the assistance of the ADR Administrator review the proposed ADR ) 

method selected in the Referral Order and (4) select a panel neutral to assist the 

parties in resolution of the case. The parties must select a neutral from a list of 

approved evaluators provided by the AOR Administrator. 

Upon selecting a neutral, the parties shall complete the fonn "Designation of 

Neutral By Parties", and file the same with the Court. If the If the parties fail to make 

selection from the approved list of neutrals, the ADR Administrator shall select 

randomly (unless the case requires special expertise, in which the ADR Administrator 

shall select a person from the list whose experience and qualifications are 'lNS1l suited 

to the appOintment and the needs of the parties) from the list of approved evaluators a 

qualified neutral to serve as the evaluator. The ADR Administrator shall promptly notrfy 

the parties of the neutral and shall file 'Nith the Court the form "Designation 

of Neutral By ADR Administrator", 

1. Challenges to neutrality: 

If the evaluator aware of, or if a party an issue about the 

evaluator's neutrality because of some interest in the case or because of a relationship 

or affiliation with one of the parties or attorneys, the evaluator shall immediately 

disclose to the parties the relevant facts giving rise to the alleged conflict of interest. If 

a party requests the evaluator to withdraw because of disclosed facts, the evaluator 

shall withdraw, and the parties shall select another evaluator from the list provided by 

the ADR Administrator. 

2. Preliminaries to 

a. Promptly after receiving a notice of designation, neutral and the 

parties shall schedule the evaluation session. The neutral shall send 

written notice to aI/ parties ( see form "Initial ADR Conference 

Report"), with a copy to the ADR Administrator, of the time and place 

the session. evaluation session shall held within 30 days of 

the receipt by the neutral of the notice of deSignation unless otherwise 

ordered by the Court for good cause. A request for postponement of a 

scheduled evaluation session must be presented to the neutral and 

on the ADR Administrator and al/ without delay, 

b. No later than ten days prior to the evaluation each party shall 

submit to the evaluator and serve on a/l other parties a written 

evaluation statement. The statement shall not pages and 

shall: 

PAGE 9 
1. Identify the person, in addition to counsel, who will attend the 

session as representative of the party with decision making 

authority; 

Identify any legal or factual issues/whose early resolution might 

reduce the scope of the dispute or contribute to settlement; and, 

3. Describe discovery which is contemplated. 

statement may include any other information the party believes useful in 

preparing the neutral and other parties for a productive session. The statement 

identify individuals connected to another person (including a representative of an 

insurer) whose presence \I\IOuld be helpful or necessary to make the session 

productive. The neutral shall determine whether any person so identified should be 

requested to attend and, where appropriate, may order such attendance. Written 

evaluation statements shall not be filed with, nor revealed to, the Court. 

In addition to submitting a written evaluation statement, the parties shall 

to respond fully and candidly in a private caucus to questions from the neutral 

concerning: 

1. The estimated cost, including legal fees, to that Party, of litigating the 

case through trial; 

2. Witnesses (both lay and expert); 

Damages, including the method of computation and proof to be 

offered; and 

4. Plans for discovery. 

3. Attendance of parties: 

All parties shall be present. When a party other than an individual is involved, or 

when a party's interests are represented by an insurance company, an authorized 

representative of such party or insurance company, with full authority to act and to 

settle, shall attend. Willful failure of a party to attend the evaluation conference shall 

be reported to the aSSigned magistrate judge or district judge· vvho may impose 

appropriate sanctions. party shall be represented the session by the attorney 

expected be primarily responsible for handling the trial of the case. 

Procedures: 

a. Each ENE conference shall be informal. The neutral shall conduct the 

process in order to help the parties to focus on work 

effiCiently 'and expeditiously to ready the case for trial or settlement. 

b. At the conference, the neutral shall. 

PAGE 10 
1. Permit each party to make a brief oral presentation (not to exceed 

15 minutes) of its position, without interruption, through counselor 

otherwise; 

2. Help the parties to identify areas of agreement and,' if feasible, 

enter stipulations on the court record; 

3. Determine whether the parties wish to negotiate, with or without 

neutral assistance, before evaluation of the case; 

4. Help the parties identify issues and assess the relative strengths 

and weaknesses of the parties' positions; 

5. Help the parties to on a plan for exchanging information and 

conducting discovery which will enable them to prepare 

expeditiously for the resolution of the case by trial, settlement, or 

dispositive motions; 

6. Help the parties to assess litigation costs realistically; 

7. Determine whether one or more additional conferences would 

assist in the settlement of the case and, if so, schedule such a 

conference and direct the parties to prepare and submit any 

additional written materials needed for the conference; 

8. Provide the parties with an evaluation of the parties' strengths and 

weaknesses and the probable outcome, if the case is tried, 

including, if feasible, the dollar value each claim and 

counterclaim; 

9. Report, promptly and in writing, to the ADR Administrator the 

that the ENE process has been completed, any agreements 

by the parties, and the neutral's recommendation, if any, 

as to any other ADR processes that might be of assistance in 

resolving the dispute. For example, as a result of the the 

parties may elect to submit their dispute, or some element(s) 

thereof, to court-annexed arbitration. Any such referrals must be 

coordinated with the supervising district judge or magistrate 

judge. 

SUMMARY JURYIBENCH TRIAL ("MINI-TRIAL") 

The summary jury trial is a flexible ADR procedures to be followed 

should be determined in advance by the judicial officer assigned to the case in light of 

the circumstances of each case. Ordinarily a case should be set for summary jury trial 

PAGE 11 
when discovery is substantially completed and conventional pretrial negotiations have 

failed to achieve settlement. Some cases may be ripe for early summary jury trial, with 

limited and expedited discovery. The summary jury trial should precede the trial by 

approximately 60 days. 

1.) Preliminaries to a summary jury trial: 

a. Materials, such as statements of stipulations if any, exhibits, 

and proposed jury instructions, should be submitted in advance of the 

summary jury trial. 

) Attendance of parties: Each party shall attend the summary jury trial. When 

a party is other than an individual or when the party's interest is being represented by 

an insurance company, an authorized representative of the party or insurance 

company, with full authority to settle, shall 

3.) Procedures: 

a. Usually, the jury will consist of six jurors. Trials are generally 

concluded in a day or less. 

b. The Court, its discretion, may permit counsel to engage in limited 

voir dire or may, on its own, question members of a jury panel. The 

Court may in its sole discretion, determine whether to allow 

challenges. 

c. Each party shall make a brief opening 

d. A party may cause a transcript or recording to be made of the 

proceedings at the party's expense, but no transcript of the 

proceedings shall be submitted in evidence at any subsequent trial 

unless the evidence would be otherwise admissible under the Federal 

Rules of Evidence. 

e. Counsel shall present a condensed narrative summarizing the entire 

including opening statements, presentation and final 

arguments. Counsel may present exhibits; read excerpts from 

exhibits, reports and depositions, all of which should be subject to the 

approval of the presiding judge by the filing of motions in limine 

reasonably in advance of the summary jury tna/. Generally, live 

witnesses shall not be permitted, in exceptional cases and only 

upon the approval of the presiding judicial officer. 

PAGE 12 
g. Jury deliberations shall be limited in time, subject to the sole discretion 

of the judicial officer. 

I 

h. After the verdict, the judicial officer should initiate and encourage 

parties and jurors to discuss the case. 

1. Within a reasonable time after the summary jury trial, the judicial officer 

and the parties should meet to see whether the matter can be settled. 

If the case does not as a result of the summary jury trial, it 

should proceed to trial on the scheduled trial date. 

j. The judicial officer shall not admit at a subsequent trial any evidence 

that discloses there has been a summary jury trial, the nature or 

amount of any verdict, or any other matter concerning the conduct of 

the summary jury trial or negotiations related to it, unless; 

1. The evidence would otherwise be admissible under the Federal 

Rules of Evidence; or 

2. The parties have stipulated otherwise. 

D. SUMMARY BENCH TRIAL 

The summary bench trial is a pretrial procedure intended to facilitate settlement 

through a summarized presentation of a case. to either a district judge (if the case is 

heard by a district judge, it shall be a judge other than the one who will ultimately 

preside at the binding trial) or a magistrate judge, whose decision and. subsequent 

factual and legal analysis may serve as an aid to settlement negotiations. A case may 

be referred to a summary bench trial when making the selection of one of the ADR 

alternatives provided for in this proposal. 

The parties shall submit proposed findings of facts and conclusions of law in 

advance of the summary bench trial to the judicial officer. Where appropriate, the 

same procedures applicable in summary jury trials may be adapted. to summary bench 

trials. 

E. MEDIATION 

Any civil case may be referred to mediation upon the election of both 

parties. In order for the case to be referred, both paliies must execute a form 

Order referring case to ADR, and must upon the form indicate their proposed 

method of ADR Within 10 days of the execution of the Order both parties must 

arrange for a joint meeting with the Court's ADR Administrator to 

PAGE 13 
(1) discuss process and procedure under the Court's ADR Plan; (2) discuss the 

facts and issues involved in the case; (3) with the assistance of the ADR 

Administrator review the proposed ADR method selected in the Referral Order 

and (4) select a panel neutral to assist the parties in resolution of the case. 

parties'must select a neutral from a list of approved evaluators provided by the 

ADR Administrator. 

Upon selecting a neutral, the parties shall complete the form "Designation of 

Neutral By Parties", and file the same with the Court (with a copy to the ADR 

Administrator). If the If the parties fail to make selection from the approved list of 

neutrals, the ADR Administrator shall randomly (unless the case requires 

expertise, in which the ADR Administrator shall select a person from the list whose 

experience and qualifications are well suited to the appointment and the needs of the 

parties) from the list of approved evaluators a qualified neutral to serve as the 

evaluator. The ADR Administrator shall promptly notify the parties of selected 

neutral and shall file with the Court the form "DeSignation of Neutral By ADR 

Administrator" (with copies to the 

1. Challenges to neutrality: If the assigned mediator becomes aware of, or if a 

party raises an about the mediators neutrality of some interest in 

case or because of a relationship or affiliation with one of the parties or attomeys, the 

mediator shall immediately disclose to the parties the relevant facts giving rise to the 

leged conflict of interest. If a party requests the mediator to withdraw because of the 

disclosed facts, the mediator shall withdraw, and parties shall select another 

mediator from the list provided by the ADR Administrator. 

Preliminaries to mediation: 

a. Promptly after receiving a notice of designation and 

consultation with counsel, the mediator shall schedule the mediation 

session. The mediator shall send written notice to aI/ parties, with a 

copy to the ADR Administrator, of the time and place of the session 

form notice, "Initial ADR Conference Report" at Appendix A). 

The mediation session shall be held within 30 days of the by 

the mediator of the notice of deSignation unless otherwise ordered by 

the Court for good cause. A request for postponement of a scheduled 

mediation session must be presented to the neutral and served on the 

ADR Administrator and all parties without delay 

b. No later than five days prior to the mediation session, each party 

shall submit to the mediator a written, confidential summary of the 

case. The summary shall not five pages and shall 

the nature and history of the dispute, the applicable legal theory and 

any settlement discussions that may have occurred, The summary 

may identify individuals whose could be helpful or necessary 

to make the session productive, The wriHen summaries shall not be 

filed with, nor revealed to, the Court, nor shall the mediator share 

the summaries with other parties. 

PAGE 14 
Attendance 

All parties shall be present. 

When a party other than an individual is involved or when a party's interest is 

being represented by an insurance company, an authorized representative of the party 

or the insurance company, with full authority to settle, shall attend. The absence of a 

party shall not be grounds for a continuance, but the mediator may continue the 

and compel the attendance of an absent party. 

4. Procedures at the mediation session: 

The mediator shall open the session with an explanation of mediation, the 

mediator's role and the ground rules for the session. Parties shall given an 

opportunity to provide an initial uninterrupted overview of the dispute. 

The mediator may find it useful to meet separately with the parties in a caucus. 

Disclosures to the mediator in a caucus shall be treated confidentially unless the 

parties give permission to the mediator to use the disclosed information with the other 

party or parties. 

No transcripts or recordings shall be made of the proceedings, and, at the 

conclusion of the mediation, the mediator shall destroy notes made during the 

course of the session. 

The mediator shall help the parties identify their respective underlying interests 

and develop creative options for meeting those interests in ways that are mutually 

acceptable. 

mediator may determine, with the consent the parties, that one or more 

additional mediation sessions would assist in the settlement of the and, if so, 

schedule another session. 

The mediator shaH report to the ADR Administrator that the mediation process is 

complete, any agreements reached by the parties, and the mediator'S recommendation, 

if any, as to other ADR processes that might be of assistance in resolVing the dispute. 

F. ARBITRATION 

Any civil case may be referred to arbitration as authorized by 

seq., notwithstanding any provision of law to the contrary and 

subsection (b) and (c) of 28 U.S.C. § 652, and 901 (c) 

Improvements and Access to Justice Act. 

PAGE 15 

U.S.C § et 

as provided In 

of the Judicial 
The court may also a case upon 

parties. order for the case to be referred, both parties must a form Order 

referring the case to ADR. and must upon the form indicate their proposed method of 

ADR. Within 10 days of the execution of the Order both parties must arrange for a 

joint meeting with the Court's ADR Administrator to (1) discuss process and procedure 

under the Court's ADR Plan; (2) dfscuss the facts and issues involved in the case; (3) 

with the assistance of the ADR Administrator review the proposed ADR method 

selected in the Referral Order and (4) select a panel neutral to assist the parties in 

resolution of the case. The parties must select a neutral from the list of approved 

evaluators provided by the ADR Administrator. 

Upon selecting a neutral, the parties shall complete the form "Designation of 

Neutral By Parties", and file the same with the Court (with a copy to the ADR 

Administrator). If the parties to make selection from the approved list of neutrals, 

the ADR Administrator shall select randomly (unless the case requires spedal 

expertise, in which case the ADR Administrator shall select a person from the 

vvhose experience and qualifications are well suited to the appointment and the 

of the parties) from the list of approved evaluators a qualified neutral to serve as the 

evaluator. The ADR Administrator shall promptly notify the parties of the selected 

neutral and shall file with the Court form "DeSignation of Neutral By ADR 

Administrator". The ADR Administrator shall give or send VVf'itten notice of the election 

to all parties. 

Parties to any civil action may elect private consensual arbitration under the 

Federal Arbitration Act (9 U.S.C. § 1, et ) and that the case be referred 

binding arbitration. The order of referral shall specify the agreement of the parties with 

respect to the conduct of the arbitration and payment of the arbitrator(s). 

1. Selection of the arbitrator: When a case has been for arbitration, the 

ADR Administrator shall immediately furnish to each party the names of three proposed 

arbitrators drawn at random from the neutrals available on the panel of approved 

neutral intervenors. If there are multiple parties not united in on either side of 

the the ADR administrator shall add the name of one proposed arbitrator for each 

additional party. The parties shall then confer for the purpose of an arbitrator 

in the following manner: 

a. Each party shall be entitled to strike one name from the fist, beginning 

with the first named plaintiff, who may strike the firsfname, followed 

next by the first-named defendant, and alternating thereafter between 

plaintiffs and defendants in the order named until a single name 

remains. 

b. shall submit to the ADR Administrator, within ten days of 

by them of the original list the name of the arbitrator "'01'<:>"-"'=,", 

from the Jist by means of the process just described. In the event that 

the parties to notify the ADR Administrator of the selection of an 

arbitrator within time provided, the ADR Administrator, or in the 

PAGE 16 
absence of the ADR Administrator, the Clerk, shall make the selection 

at random from the original fist of three named arbitrators. 

C. The ADR Administrator shalf promptly notify the neutral of his or her 

selection. If any neutral so selected is unable or unwilling to serve, the 

process of selection shall begin again. 

2. Notification of hearing: When the selected arbitrator has agreed to serve, 

ADR Administrator shall confer with the arbitrator concerning any potential conflicts of 

interest, scheduling, place of hearing, and shall thereafter promptly send vvritten 

notice the arbitrator and to each party advising them as to: 

a. identity of the selected arbitrator; 

b. The date and time of the arbitration hearing, which shall be held not 

more than 30 days from the date of the written notice and not more 

than 180 from the of filing of a responsive pleading to the 

complaint, motion to dismiss pursuant to Rule 12(b) or the date of 

the filing of a reply counterclaim; 

c. The place of the arbitration hearing; and, 

d. There shall be no continuance of the date set for the arbitration 

hearing except for good as determined by the judge assigned 

to the case. 

Neutrality of arbitrators: No person shall serve as an arbitrator in an action 

which any of the circumstances specified in U. § 455 exist. If the arbitrator 

becomes aware of, or if a party raises, an issue about the arbitrator's neutrality 

because of some interest in the case or because of a relationship or affiliation with one 

of the parties or attorneys, the arbitrator shall immediately disclose the relevant 

giving to the conflict of interest to the parties. If a party requests the 

arbitrator to withdraw of the disclosed facts, the arbitrator may withdraw, and 

the parties shall select another arbitrator from the provided by the ADR 

Administrator. If the challenged arbitrator that withdrawal is unwarranted, 

arbitrator may elect to continue, subject to an appeal to the judge assigned to the 

who may allow the arbitrator to continue or remove the arbitrator. 

4. Preliminaries to arbitration: At five days before arbitration hearing, 

the parties shaH submit to arbitrator 

a. A of relevant pleadings; 

PAGE 17 
b. A short memorandum by each party (not to exceed ten pages), stating 

the legal and factual positions of the party, together with copies of the 

documentary exhibits the party intends to offer at the hearing; and, 

c. At least five days before the arbitration hearing, each! party shall 

deliver to the other party a copy of the memorandum and copies of 

documentary exhibits provided to the arbitrator, and each party shall 

make available any non-documentary exhibits for examination by the 

other party. If the party fails to deliver a copy of the documentary 

exhibit or to make available for examination a non-documentary exhibit 

as required} the arbitrator may refuse to receive the exhibit into 

evidence. 

5. Attendance the arbitration hearing: Each individual vvho is a party shall 

attend the hearing in person. When a party other than an individual is involved, or 

vvhen a party's interest is being represented by an insurance company, an authorized 

representative of the party or the insurance company, with full authority to settle, shall 

attend. of a party shall not be grounds for a continuance. 

6. Procedures the arbitration hearing: 

a. The arbitrator may administer oaths and affirmations, and aI/ testimony 

shall given under oath or affirmation. party shall have the 

right to cross-examine witnesses. In receiving the arbitrator 

shall guided by the Federal of Evidence, but shall not thereby 

be precluded from receiving evidence by the arbitrator to 

be relevant and trustworthy, and which is not privileged. Attendance of 

witnesses and production of compelled in 

accordance with Rule 45 of the of Civil Procedure. 

b. A party may cause a transcript or recording to be 

proceedings at the party's expense. 

of the 

c. Arbitration hearings may held any location within the District of 

Rhode Island selected by the arbitrator. In making the selection, the 

arbitrator shall consider the convenience of the panel, the parties, and 

the witnesses. Unless the parties otherwise, hearings shall 

held during normal business hours. 

d. The arbitrator may reasonable rules and orders necessary 

for the fair and efficient conduct of the hearing. 

e. There shall be no ex parte communication arbitrator and 

any counselor party on any matter touching the action except for 

purposes of scheduling or continuing a hearing upon good cause. 

PAGE 18 
a. The arbitrator shall promptly, and in any event not more than ten days 

following the close of the hearing, file the award with the ADR , 

Administrator who shall transmit the award to the Office of the Clerk for 

filing in the appropriate case file. As soon as the award is filed with 

ADR Administrato" the Administrator shall serve copies on the parties. 

b. The award shall state clearly and concisely the name of prevailing 

party and party or parties against whom it is rendered, and the sum 

of money damages, if any, awarded. If awarded, the award 

shall separately state the amount. No findings of fact and conclusions 

of law or opinions supporting an award are required unless requested 

by a party. 

c. a party filed a demand for trial de novo within 30 days, 

ADR Administrator shall judgment on the arbitration award in 

accordance with Rule Federal Rules of Civil Procedure, and shall 

transmit forthwith the judgment to the Office of the Clerk for final entry 

of the judgment. A judgment so entered shall be subject to the same 

provisions of law and shall have the same as a 

judgment of the Court in a civil action. 

The content of any arbitration award rendered snail 

be confidential and shall not be made known to any 

1 The assigned judge is to whether to assess costs: 

The Court has entered final judgment or action has been 

otherwise terminated; or 

3. The judge needs the information for the purpose of preparing 

report required by § 903(b) of the Judicial Improvements and 

to Act 

8. Trial de Novo: 

a. Any party may demand a tn"al de novo in the distn"ct court by filing with 

the ADR Administrator a wn"tten demand containing a short and plain 

statement reason for the demand. party shall serve a copy 

of the demand upon a/l counsel of record and any unrepresented 

party. Such demand must be filed and within 30 days of 

date of filing of the arbitration award, except that the Umted 

its officers and agencies, shall have 60 days to file and serve a written 

demand for trial de novo. Upon the filing of the demand for trial de 

PAGE 19 
novo, the action shall be treated for all purposes as jf it had not been 

referred to arbitration, except that no additional pretrial discovery shall 

be permitted without leave of the court for good cause. Any right of 

. trial by jury that a party otherwise would have, shall be preserved 

inviolate. Withdrawal of the demand for trial de novo shall reinstate the 

arbitrator's award. J 

b. The assigned judge shall not admit at the trial de novo any evidence 

that there has been an arbItration proceeding, the nature or amount of 

any award, or any other matter concerning the conduct of the 

arbitration proceedings, unless: 

1. evidence would otherwise admissible under the Federal 

of Evidence; or 

2. parties stipulated otherwise. 

of Cost: 

a. The party requesting a trial novo shall deposit with the 

Administrator a sum equal to arbitrator's as advance payment 

for except that this requirement not apply to parties 

proceeding in forma pauperis or to the United States, its officers or 

agencies. 

b. Any sum deposited shall returned to the party demanding trial de 

novo if,' 

1 The party obtains a final judgment more favorable than the 

arbitration award; or 

2 The assigned judge determines that the demand for trial 

novo was for good cause. 

c. Any sum deposited which is not returned to the party shall as 

costs of the arbitration and paid to the of the United States. 

d. In any trial de novo, 

as provided in U 

de novo if.' 

aSSigned judge may assess costs of that trial, 

C. § 1920, against the party who demanded trial 

20 
1, That party a and 

costs, which is substantially more favorable to that party than 

the arbitration award; and 

The assigned judge determines that the party's conduct in 

seeking trial de novo was I"n bad faith. 

3. the purposes of this section, a verdict may be considered 

substantially more favorable if it ;s least ten percent greater 

for the party than the arbitration award. This section does not 

apply to any party in cases involving the United States or one 

of its agencies as a oarty. 

4. No penalty shall be assessed against a party for demanding 

trial novo. 

PAGE 
APPENDIX A 

ADR FOI{t"IS 
vs 

UNITED STATES DISTRICT COURT 

DISTRICT OF RHODE ISIA'TD 

) 

) 

) 

) 

) 

Case 

After due consideration of the issues and in consultation with the the parties having 

indicated their agreement to pursue alternative dispute resolution under the framework of the Court's 

Alternative Dispute Resolution Plan, as indicated below, the Court finds that this case is appropriate 

referral to one of the ADR methods provided by the Court 

IS HEREBY ORDERED 

(a) ReferraHQ ADR Administrator: the parties within 10 days of the execution of 

this Order both parties shall <tlT'''"Cl,A for a joint with Court's ADR Administrator to (1) 

discuss process and procedure under the Court's ADR Plan, (2) discuss and involved 

in the case (3 )with the assistance of the Administrator review the proposed ADR 

method selected below; (4) select a panel neutral to assist the parties H1 resolution of the case. 

(b) The ADR conference(s) shall conducted in 

accordance with procedures outlined in the ADR Plan as amended. a copv of which shall be provided 

to the in advance of the conference with the ADR 
(c) 5.dLeduling APR Conference(s): Upon selected neutral receiving notice from 

the ADR Administrator ofhis/her designation as the desired neutral. the neutral shall with the 

Clerk's Office, with a copy to the ADR Administrator hislher acceptance of the designation and shall ) 

promptly schedule the ADR meeting with the parties (not to exceed 30 days) from 

Order. 

date of this 

(d) Time Frame for APR Settlement Efforts; The ADR conference(s) shall be 

concluded before , 1 

(e) No Waiver of Requirements Established by the Court: Referral to ADR shall 

not excuse a party from compliance with any and all requirements established by the district 

assigned to the case, nor toll any time limitations imposed upon the parties by reason of Rule or Order 

of the Court. 

(f) Location of ADR Conference(s): Conferences may be conducted at such locations 

as are agreeable to the parties and neutral assigned to the case. An 

available (Room 518) in the United States Courthouse located at I ~'u" ...... 

by making arrangements with the Court's ADR Administrator. 

Conference space is 

Terrace, Providence, 

If required by the neutral, all counsel of 

record, and corporate representatives or daims professionals having authority to bind and settle shall 

attend all ADR conferences and in good faith. 

(h) Assigned shall receive no compensation 

for the first hour of his/her service, but shall thereafter receive compensation at a rate agreed upon 

between the neutral and the but not to ......... " ........ u $150 per hour. The parties shall share equally 

in payment of compensation if any. and neutral shaH discuss and come to as 

to the to be paid to the neutral at the first meeting between the neutral and the parties. 

2 
(i) This order shall not be construed to enlarge the for 

discovery or triaL 

AGREEMENT OF THE PARTIES TO REFERRAL: 

consultation with Co~ the parties do hereby consent to referral to alternative dispute 

resolution, and the following method of 0 Arbitration, 0 Early Neutral 

Evaluation 0 Mediation, 0 Summary Jury/Bench Trial. 

Dated 

Plaintiff(s) or Plaintiff(s) Counsel 

s) or Defeodant(s) 

SO ORDERED ____________________ , I 

Judge 

Revised 3/1 
vs 

UNITED STATES DISTRICT COURT 

DISTRICT OF RHODE ISLAND 

) 

) 

) 

) 

) 

Case 

Pursuant to the Court's Order referring the Case to ADR., dated 19 __ , the 

parties hereby designate by agreement the following individual the Court's list of 

neutrals to serve as Neutral in the above styled 

Name 

Telephone/F AX 
vs 

UNITED STATES DISTRICT COURT 

) 

) 

) 

) 

) 

DISTRICT RHODE ISLAND 

Case 

Upon failure of the parties to select an approved neutral pursuant to the Court's Order 

Referring the to ADR, dated ___ , 19 ADR Administrator, 

following individual from the Court's list of neutrals to serve as Neutral in the 

Name 

TelephonelF AX 

This designation shall not the parties of their remaining the 

Court's ~~~~~~~~~~-'L-~~ 
vs 

( 1 ) I am a 

UNITED 

DISTRICT 

) 

) 

) 

) 

) 

tl nancial resources. 

DISTRICT COURT 

RHODE ISLAl'I,]) 

Case 

process in the 

therefore. 

to 

to cost of the 

) ~ n su this 

(4) in this case IS ~ ___________ _ 

on ______ __ 

_ w •••• __ SO ORDERED 

_. __ ~ DENIED 

upon 

that the IS tr~c 

neutral 
UNITED STATES DISTRICT COURT 

DISTRICT OF RHODE ISLAND 

A ____________ , do solemnly swear (or affirm) that I will 

justice without respect to persons, and do equal right to the poor and the rich, and that I will 

faithfully and impartially discharge and perfonn all the duties incumbent upon me as a ADR Pane! 

Member, according to the of my abilities and understanding, agreeably to the Constitution and 

laws of the United States. So help me God. 

Subscribed .... ". ____ --. under penalty of perjury. 

Dated of Neutral