Source: http://cand.uscourts.gov/localrules/ADR
Timestamp: 2014-11-01 05:11:23
Document Index: 292353133

Matched Legal Cases: ['arty 4', 'arty7', '§ 651', '§ 651', '§ 636', '§ 453', '§ 455', '§ 455', '§ 455']

Alternative Dispute Resolution Local Rules | United States District Court, Northern District of California
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1. PURPOSE AND SCOPE OF RULES1-1. Title1-2. Purpose and Scope
(a) Purpose(b) Scope(c) Magistrate Judges Consent Cases 2. GENERAL PROVISIONS2-1. ADR Unit
(a) Staff and Responsibilities(b) ADR Internet Site and Handbook(c) Contacting the ADR Unit 2-2. ADR Magistrate Judge2-3. Referral to ADR Program by Stipulation, Motion or Order2-4. Violation of the ADR Local Rules
(a) Informal Resolution(b) Reporting Violation(c) Proceeding in Response to Complaint or Report of Violation and Sanctions. 2-5. Neutrals
(a) Panel(b) Qualifications and Training(c) Oath(d) Disqualification of Neutrals(e) Immunities. 2-6. Evaluation of ADR Programs 3. ADR MULTI-OPTION PROGRAM3-1. Purpose3-2. Summary Description3-3. Assignment to ADR Multi-Option Program
(a) Automatic Assignment(b) By Stipulation, Motion or Order(c) Relief from Automatic Referral 3-4. ADR Options
(a) Court-Sponsored ADR Processes(b) Private ADR.(c) Early Settlement Conference with a Magistrate Judge. 3-5. Selecting an ADR Process
(a) Meet and Confer to Select ADR Process(b) ADR Certification(c) Stipulation to ADR Process or Notice of Need for ADR Telephone Conference(d) Selection Through ADR Phone Conference(e) Selection at Case Management Conference 3-6. Timing of ADR Process in the ADR Multi-Option Program 4. NON-BINDING ARBITRATION4-1. Description4-2. Eligible Cases4-3. Arbitrators
(a) Appointment(b) Compensation(c) Payment and Reimbursement 4-4. Timing and Scheduling the Hearing
(a) Scheduling by Arbitrator(b) Place and Time 4-5. Requests to Extend Deadline
(a) Motion Required(b) Content of Motion 4-6. Ex Parte Contact Prohibited4-7. Telephone Conference Before Arbitration4-8. Written Arbitration Statements
(a) Time for Submission(b) Prohibition against Filing(c) Content of Statement(d) Modification of Requirement by Arbitrator(s) 4-9. Attendance at Arbitration
(a) Parties(b) Counsel(c) Request to be Excused(d) Participation by Telephone 4-10. Authority of Arbitrators and Procedures at Arbitration
(a) Authority of Arbitrators(b) Prohibition on Facilitating Settlement Discussions(c) Presumption against Bifurcation(d) Quorum(e) Testimony(f) Transcript or Recording(g) Default of Party 4-11. Award and Judgment
(a) Form of Award(b) Filing and Serving the Award(c) Sealing of Award(d) Entry of Judgment on Award 4-12. Trial De Novo
(a) Time for Demand(b) Limitation on Admission of Evidence(c) Award Not to be Attached 4-13. Stipulation to Binding Arbitration4-14. Federal Arbitration Act Presumptively Inapplicable 5. EARLY NEUTRAL EVALUATION5-1. Description5-2. Eligible Cases5-3. Evaluators
(a) Appointment(b) Compensation(c) Payment 5-4. Timing and Scheduling the ENE Session
(a) Scheduling by Evaluator(b) Deadline for Conducting Session 5-5. Requests to Extend Deadline
(a) Motion Required(b) Content of Motion 5-6. Ex Parte Contact Prohibited5-7. Telephone Conference Before ENE Session5-8. Written ENE Statements
(a) Time for Submission(b) Prohibition Against Filing(c) Content of Statement 5-9. Special Provisions for Patent, Copyright, or Trademark Cases
(a) Patent Cases(b) Copyright Cases(c) Trademark Cases 5-10. Attendance at Session
(a) Parties(b) Counsel(c) Insurers(d) Request to be Excused(e) Opposing a Request to be Excused or Seeking to Compel Attendance by an Appropriate Party Representative(f) Participation by Telephone 5-11. Procedure at ENE Session
(a) Components of ENE Session(b) Process Rules(c) Evaluation and Settlement Discussions 5-12. Confidentiality
(a) Confidential Treatment(b) Limited Exceptions to Confidentiality(c) Confidentiality Agreement 5-13. Follow Up
(a) Discussion at Close of ENE(b) Follow Up the Evaluator May Order(c) Stipulation to Follow Up Session(d) Limitations on Authority of Evaluator 5-14. Certification of Session 6. MEDIATION6-1. Description6-2. Eligible Cases6-3. Mediators
(a) Appointment(b) Standards of Conduct(c) Compensation(d) Payment 6-4. Timing and Scheduling the Mediation
(a) Scheduling by Mediator(b) Deadline for Conducting Mediation 6-5. Request To Extend the Deadline
(a) Motion Required(b) Content of Motion 6-6. Telephone Conference Before Mediation6-7. Written Mediation Statements
(a) Time for Submission(b) Prohibition Against Filing(c) Content of Statement 6-8. Special Provisions for Patent, Copyright, or Trademark Cases
(a) Patent Cases(b) Copyright Cases(c) Trademark Cases 6-9. Contact with Mediator Before the Mediation6-10. Attendance at Session
(a) Parties(b) Counsel(c) Insurers(d) Request to be Excused(e) Opposing a Request to be Excused or Seeking to Compel Attendance by an Appropriate Party Representative(f) Participation by Telephone 6-11. Procedure at Mediation
(a) Procedure(b) Separate Caucuses 6-12. Confidentiality
(a) Confidential Treatment(b) Limited Exceptions to Confidentiality(c) Confidentiality Agreement 6-13. Follow Up6-14. Certification of Session 7. SETTLEMENT CONFERENCES7-1. Description7-2. Referral to a Settlement Conference7-3. Request of a Party7-4. Directives from the Settlement Judge
(a) Corporation or Other Non-Governmental Entity(b) Government Entity(c) Insurers 7-5. Settlement Conference Confidentiality
(a) Confidential Treatment(b) Limited Exceptions to Confidentiality 8. OTHER ADR PROCESSES8-1. Other Court ADR Processes
(a) Non-binding Summary Bench or Jury Trial(b) Special Masters 8-2. Private ADR 1. PURPOSE AND SCOPE OF RULES 1-1. Title
These are the Local Rules for Alternative Dispute Resolution in the United States District Court for the Northern District of California. They should be referred to as "ADR L.R. ___." 1-2. Purpose and Scope (a) Purpose. The Court recognizes that full, formal litigation of claims can impose large economic burdens on parties and can delay resolution of disputes for considerable periods. The Court also recognizes that sometimes an alternative dispute resolution procedure can improve the quality of justice by improving the parties' clarity of understanding of their case, their access to evidence, and their satisfaction with the process and result. The Court adopts these ADR Local Rules to make available to litigants a broad range of court-sponsored ADR processes to provide quicker, less expensive and potentially more satisfying alternatives to continuing litigation without impairing the quality of justice or the right to trial. The Court offers diverse ADR services to enable parties to use the ADR process that promises to deliver the greatest benefits to their particular case. In administering these Local Rules and the ADR program, the Court will take appropriate steps to assure that no referral to ADR results in imposing on any party an unfair or unreasonable economic burden.
Commentary The Alternative Dispute Resolution Act of 1998, 28 U.S.C. §§ 651-58, requires each federal district court to authorize by local rule the use of at least one ADR process in all civil actions. In accordance with § 651(c), the Court has examined the effectiveness of its ADR programs and has adopted improvements consistent with the Act.
(b) Scope. These ADR Local Rules are effective December 1, 2009, and shall govern actions pending or commenced on or after that date. These rules supplement the Civil Local Rules of the Court and, except as otherwise indicated, apply to all civil actions filed in this Court. Cases subject to these ADR Local rules also remain subject to the other local rules of the Court.
(c) Magistrate Judges Consent Cases. In cases in which the parties have consented to jurisdiction by a Magistrate Judge under 28 U.S.C. § 636(c), the Magistrate Judge shall have the full scope of powers that these ADR local rules confer on District Judges, including the authority to refer cases to ADR programs and to grant relief from the requirements of these ADR local rules. 2. GENERAL PROVISIONS
(b) ADR Internet Site and Handbook. The ADR Unit’s Internet site, located at cand.uscourts.gov/adr, contains information about the Court’s ADR processes and their comparative benefits, answers to frequently asked questions, various forms approved by the Court, and information about becoming a neutral in the Court’s programs.
(c) Contacting the ADR Unit. The address, phone and fax numbers, and e-mail address of the ADR Unit are: U.S. District Court ADR Unit
San Francisco, CA 94102Telephone:(415) 522-2199Fax:(415) 522-4112E-Mail:ADR@cand.uscourts.govWebsite: cand.uscourts.gov/adr Commentary
The Court encourages litigants and counsel to consult the ADR Internet site and to contact the ADR Unit to discuss the suitability of ADR options for their cases or for assistance in tailoring an ADR process to a specific case. 2-2. ADR Magistrate Judge
The Court shall designate one of its magistrate judges as the ADR Magistrate Judge. The ADR Magistrate Judge is responsible for overseeing the ADR Unit, consulting with the ADR Director and legal staff on matters of policy, program design and evaluation, education, training and administration. The ADR Magistrate Judge shall rule on all requests to be excused from appearing in person at arbitration, ENE and mediation sessions, and shall hear and determine all complaints alleging violations of these ADR local rules. When necessary, the Chief District Judge will appoint another Magistrate Judge of this Court to perform, temporarily, the duties of the ADR Magistrate Judge. 2-3. Referral to ADR Program by Stipulation, Motion or Order
Subject to pertinent jurisdictional and resource constraints, a case may be referred to a Court ADR process by order of the assigned Judge following a stipulation by all parties, by motion of a party under Civil L.R. 7, or on the Judge's initiative. A stipulation and proposed order selecting an ADR process must (1) designate the specific ADR process the parties have selected, (2) specify the time frame within which the ADR process will be completed, and (3) set forth any other information the parties would like the Court to know. The parties may use the form provided by the Court. Commentary
A form stipulation and proposed order is available on the Court's ADR website, cand.uscourts.gov. Limited printed copies are available from the Clerk’s Office for parties in cases not subject to the Court’s Electronic Case Filing program (ECF) under Civil L.R. 5-1(b).
(a) Informal Resolution. Without prejudice to the use of more formal procedures set forth in sections (b) and (c) below, a complaint alleging that any person or party, including the neutral, has materially violated any of the ADR local rules other than ADRL.R. 7 (pertaining to judicially hosted settlement conferences) may be presented informally to the ADR Director, or to such legal staff as the Director may designate, who will attempt to resolve the matter to the satisfaction of all concerned.
(1) Complaints Alleging Material Violations. A formal complaint alleging that any person or party, including the neutral, has materially violated any of the ADR local rules other than ADR L.R. 7 (pertaining to judicially hosted settlement conferences) must be presented in writing (not electronically) directly to the ADR Magistrate Judge. Such a letter of complaint must be accompanied by a competent declaration. Copies of the letter of complaint and declaration must be sent contemporaneously to all other parties, the neutral (if a neutral has been appointed) and the ADR Unit. The letter of complaint and declaration must be marked “Confidential-Not to be Filed” and must neither be filed nor disclosed to the assigned Judge.
(2) Report by Neutral. An arbitrator, evaluator, or mediator who perceives a material violation of these ADR local rules shall make a written report directly to the ADR Magistrate Judge and contemporaneously provide copies to all counsel and to the ADR Unit. Such report must be marked “Confidential-Not to be Filed” and must neither be filed nor disclosed to the assigned Judge. (c) Proceeding in Response to Complaint or Report of Violation and Sanctions. If, upon receiving an appropriately presented and supported complaint or report of a material violation of these ADR local rules, the ADR Magistrate Judge determines that the matter warrants further proceedings, the ADR Magistrate Judge may refer the matter to the ADR Director to explore the possibility of resolving the complaint informally in accordance with section (a) above. If no such referral is made, or if the matter is not resolved informally, the ADR Magistrate Judge shall take appropriate action. The ADR Magistrate Judge may issue an order to show cause why sanctions should not be imposed. Any such sanctions proceedings shall be conducted on the record but under seal. The ADR Magistrate Judge will afford all interested parties an opportunity to be heard before deciding whether to impose sanctions. Any objections to the ADR Magistrate Judge’s order resolving the sanctions issue must be made by motion under Civil L.R. 7 before the General Duty Judge, unless the General Duty Judge is the assigned Judge, in which case the objections shall be made to the Chief Judge. Any such objection shall be marked “Confidential-Not to be Filed” and must be delivered directly to the appropriate Judge within 14 days of the filing of the ADR Magistrate Judge’s order resolving the sanctions issue. Such objection shall not be filed or disclosed to the assigned Judge, and shall be served immediately on the ADR Magistrate Judge, all other counsel, the neutral and the ADR unit. Commentary
(a) Panel. The ADR Unit shall maintain a panel of neutrals serving in the Court's ADR programs. Neutrals will be selected from time to time by the Court from applications submitted by lawyers willing to serve or by other persons as set forth in section (b)(3) below. The legal staff of the ADR Unit may serve as neutrals.
(b) Qualifications and Training. Each lawyer serving as a neutral in a Court ADR program must be a member of the bar of this Court or a member of the faculty of an accredited law school and must successfully complete initial and periodic training as required by the Court. Additional minimum requirements for serving on the Court's panel of neutrals, which the Court may modify in individual circumstances for good cause, are as follows:
(1) Arbitrators. Arbitrators must have been admitted to the practice of law for at least 10 years and must have:
(A) For not less than five years, committed 50% or more of their professional time to matters involving litigation; or(B) Substantial experience serving as a neutral in dispute resolution proceedings. (2) ENE Evaluators. Evaluators must have been admitted to the practice of law for at least 15 years and have considerable experience with civil litigation in federal court. Evaluators must also have substantial expertise in the subject matter of the cases assigned to them and must have the temperament and training to listen well, facilitate communication across party lines and, if called upon, assist the parties with settlement negotiations.(3) Mediators. Generally, mediators must have been admitted to the practice of law for at least 7 years and must be knowledgeable about civil litigation in federal court. Mediators shall have strong mediation process skills and the temperament and training to listen well, facilitate communication across party lines and assist the parties with settlement negotiations. Mediators who are not lawyers may also be selected to serve on the Court’s panel of mediators if they have appropriate professional credentials in another discipline and are knowledgeable about civil litigation in federal court. A non-lawyer mediator may be appointed to a case only with the consent of the parties. (c) Oath. Persons serving as neutrals in any of the Court's ADR programs must take the oath or affirmation prescribed in 28 U.S.C. § 453.
(A) the standards set forth in 28 U.S.C. § 455, or(B) any applicable standard of professional responsibility or rule of professional conduct, or(C) other guidelines adopted by the Court concerning disqualification of neutrals. (2) Mandatory Disqualification and Notice of Recusal. A prospective neutral who discovers a circumstance requiring disqualification must immediately notify the parties and the ADR Unit in writing. The parties may not waive a basis for disqualification that is described in 28 U.S.C. Section 455 (b).
(3) Disclosure and Waiver of Non-Mandatory Grounds for Disqualification. If a prospective neutral discovers a circumstance that would not compel disqualification under an applicable standard of professional responsibility or rule of professional conduct or other guideline, or under § 455(b), but that might be covered by § 455 (a), the neutral shall promptly disclose that circumstance to all counsel in writing, as well as the ADR Unit. A party who has an objection to the neutral based upon an allegation that the neutral has a conflict of interest must present this objection in writing to the ADR Unit within 7 days of learning the source of the potential conflict or shall be deemed to have waived objection.
(4) Objections Not Based on Disclosures by Neutral. Within 7 days of learning the identity of a proposed neutral, a party who objects to service by that neutral must deliver to the ADR Unit and to all other counsel a writing that specifies the bases for the objection. The ADR Director shall determine whether the proposed neutral will serve or whether another neutral should be appointed. Appeal from such a determination must be made directly to the ADR Magistrate Judge within 7 days of the notice of the ADR Director’s determination. (e) Immunities. All persons serving as neutrals in any of the Court's ADR programs are performing quasi-judicial functions and are entitled to the immunities and protections that the law accords to persons serving in such capacity. 2-6. Evaluation of ADR Programs
Congress has mandated that the Court's ADR programs be evaluated. Neutrals, counsel and clients must promptly respond to any inquiries or questionnaires from persons authorized by the Court to evaluate the programs. Responses to such inquiries will be used for research and monitoring purposes only and the sources of specific information will not be disclosed to the assigned Judge or in any report. 3. ADR MULTI-OPTION PROGRAM
The ADR Multi-Option Program is designed to encourage litigants in a broad range of cases to use ADR and to provide parties with sophisticated assistance in identifying the ADR process that is best suited to their particular case. 3-2. Summary Description
Litigants in certain cases designated when the complaint or notice of removal is filed are presumptively required to participate in one non-binding ADR process offered by the Court (Arbitration, Early Neutral Evaluation, or Mediation) or, with the assigned Judge's permission, may substitute an ADR process offered by a private provider. Unless they have stipulated to an ADR process by the date set forth in the Order Setting Initial Case Management Conference and ADR Deadlines, counsel with appropriate authority must participate in a joint phone conference with the legal staff of the ADR Unit to consider the suitability of the ADR options for their case. When litigants have not stipulated to an ADR process before the Case Management Conference, the assigned Judge will discuss the ADR options with counsel at that conference. If the parties cannot agree on a process before the end of the Case Management Conference, the Judge will select one of the ADR processes offered by the Court, or may refer the case to a settlement conference hosted by a Magistrate Judge, unless persuaded that no ADR process is likely to deliver benefits to the parties sufficient to justify the resources consumed by its use. Cross Reference
See Case Management Conference provisions of Civil L.R. 16. 3-3. Assignment to ADR Multi-Option Program
(a) Automatic Assignment. Appropriate civil cases may be assigned to the ADR Multi-Option Program by the Clerk when the complaint or notice of removal is filed. Notice of such assignment will be given in the Order Setting Initial Case Management Conference and ADR Deadlines issued under Civil L.R. 16-2.
(b) By Stipulation, Motion or Order. Cases not assigned at filing may be assigned to the ADR Multi-Option Program, or to a specific ADR process, by order of the assigned Judge following a stipulation by all parties, on motion by a party under Civil L.R. 7, or on the Judge's initiative.
(c) Relief from Automatic Referral. Any party whose case has been referred automatically to the ADR Multi-Option Program may file with the assigned Judge a motion for relief from automatic referral under Civil L.R. 7. 3-4. ADR Options
(1) Non-binding Arbitration;
(2) Early Neutral Evaluation (ENE); and
(3) Mediation. (b) Private ADR. A private ADR procedure may be substituted for a Court program if the parties so stipulate and the assigned Judge approves. Private ADR proceedings, however, are not subject to the enforcement, immunity or other provisions of the ADR Local Rules.
(c) Early Settlement Conference with a Magistrate Judge. A case may be referred to a settlement conference only by order of the assigned Judge. Commentary
Because of the many other duties assigned to Magistrate Judges, the Court refers only a limited number of cases to Magistrate Judges for early settlement conferences. Cross Reference
See ADR L.R. 3-5(c)(2). 3-5. Selecting an ADR Process
(a) Meet and Confer to Select ADR Process. In cases assigned to the ADR Multi-Option Program, as soon as feasible after filing or removal and no later than the deadline to meet and confer, counsel must confer to attempt to agree on an ADR process.
(b) ADR Certification. In cases assigned to the ADR Multi-Option Program, unless otherwise ordered, no later than the date specified in the Order Setting Initial Case Management Conference and ADR Deadlines, counsel and client must sign, serve and file an "ADR Certification" and shall provide a copy to the ADR Unit. The certification must be filed on a form established for that purpose by the Court and in conformity with the instructions approved by the Court. Separate certifications may be filed by each party. If the client is a government or government agency, the certificate shall be signed by a person who meets the requirements of Civil L.R. 3-9(c). Counsel and client must certify that both have:
(1) Read the handbook entitled “Dispute Resolution Procedures in the Northern District of California” on the Court’s ADR Internet site cand.uscourts.gov/adr;(2) Discussed the available dispute resolution options provided by the Court and private entities; and(3) Considered whether their case might benefit from any of the available dispute resolution options. Commentary
Certification forms are available on the Court’s ADR Internet site cand.uscourts.gov/adr and the ECF Website cand.uscourts.gov/ecf. Limited printed copies of the handbook entitled “Dispute Resolution Procedures in the Northern District of California” are available from the Clerk’s Office for parties in cases not subject to the Court’s Electronic Case Filing program (ECF) under Civil L.R. 5-1(b). (c) Stipulation to ADR Process or Notice of Need for ADR Telephone Conference. In cases assigned to the ADR Multi-Option Program, unless otherwise ordered, no later than the date specified in the Order Setting Initial Case Management Conference and ADR Deadlines, counsel must file, in addition to the "ADR Certification," either a "Stipulation and (Proposed) Order Selecting ADR Process" or a "Notice of Need for ADR Phone Conference" on a form established by the Court.
(1) Stipulation. If the parties agree to participate in a Court-sponsored non-binding arbitration, ENE or mediation, or in private ADR, they must file a form "Stipulation and Proposed Order Selecting an ADR Process."(2) Notice of Need for ADR Phone Conference. If the parties are unable to agree on an ADR process, or if the parties believe that an early settlement conference with a Magistrate Judge is appreciably more likely to meet their needs than any other form of ADR, they must file a "Notice of Need for ADR Phone Conference."
Because of the many other duties assigned to Magistrate Judges, the Court refers only a limited number of cases to Magistrate Judges for early settlement conferences. Forms for “Stipulation to an ADR Process”and “Notice of Need for ADR Telephone Conference” are available on the Court’s ADR Internet site cand.uscourts.gov/adr and the ECF Website cand.uscourts.gov/ecf and in the Appendix to these Local Rules. Limited printed copies are available from the Clerk’s Office for parties in cases not subject to the Court’s Electronic Case Filing program (ECF) under Civil L.R. 5-1(b). (d) Selection Through ADR Phone Conference. In cases assigned to the ADR Multi-Option Program where the parties have filed a "Notice of Need for ADR Phone Conference," counsel are required to participate in a joint ADR Phone Conference at a time designated by the Court. During the phone conference, a member of the ADR legal staff will help counsel identify the ADR process that is likely to benefit their particular case the most. The following procedures shall apply to the ADR Phone Conference:
(1) Participants. Counsel who will be primarily responsible for handling the trial of the matter must participate in the conference. Clients and their insurance carriers may participate as well. Counsel may