S.D. Ohio Civ. R. 16.3

(a) Evaluation of Cases for Alternative Dispute Resolution (“ADR”)

(1) Upon request by any party or in its discretion and at such times during the progress

of the case as appear appropriate, the Court may assign any civil case that is not

exempted hereunder for one or more mediation conferences. With the consent of

all parties, the Court will also consider assigning any case for any other type of

dispute resolution process that is an alternative to traditional litigation, including a

summary jury trial.

(2) Litigants shall consider the use of one or more ADR processes at the conference

held pursuant to Fed. R. Civ. P. 26(f). They shall also confer about structuring

initial discovery to focus potential settlement discussions most economically and

efficiently.

(3) The Court will consult with counsel at conferences held pursuant to Fed. R. Civ. P.

16 about the application of ADR processes to the case. The Court may at any stage

of any case convene a separate conference to be attended by the trial attorney and

each party or their authorized representative to determine whether the issues of the

case, the needs and relationships of the parties, or other factors make further efforts

at ADR appropriate.

(b) Exclusion of Categories of Cases. Unless otherwise ordered in a specific case, the

categories of cases exempted from initial disclosure by Fed. R. Civ. P. 26(a)(1)(B) are

also exempt from assignment to mediation administered through this Court. Actions

for review on an administrative record and actions by the United States to recover

benefit payments or collect on student loans guaranteed by the United States may be

assigned to such ADR proceedings as the ADR Coordinator at that location of the Court

deems prudent.

(c) Confidentiality

(1) In addition to Fed. R. Evid. 408 and any other applicable privilege, pursuant to 28

U.S.C. § 652(d), evidence of conduct or statements made in settlement negotiations

is not admissible to prove liability for or the invalidity of a claim or its amount in

the case in which the settlement negotiations occur. In order to promote candor and

protect the integrity of this Court’s ADR processes, in addition to other protections

afforded by law, all communications made by any person (including, but not limited

to parties, counsel, and Judge or other neutral participants) during ADR

proceedings conducted under the authority of this Court are confidential and are

subject to disclosure only as provided in subsection (c)(3) of this Rule. Any

participant in the process, regardless of whether that participant is a party to the

case in which the ADR proceeding has been attempted or has occurred, may seek

an order to prevent disclosure of any communication deemed confidential by this

Rule.

(2) Communications deemed confidential by this Rule include, but are not limited to,

statements or expressive conduct occurring during the ADR proceeding itself, such

as offers to compromise, statements about the value of a case or claim, statements

about the strength or weakness of a claim or defense, and statements concerning

the possible resolution of all or part of a case. Confidential communications also

include communications made in connection with selecting an ADR process,

initiating the process, and selecting or retaining a mediator or other neutral.

(3) Communication deemed confidential by this Rule may be disclosed, if such

disclosure is not otherwise prohibited by law or court order, only in the following

circumstances:

(A) Following an actual or attempted ADR proceeding, neutrals are permitted to

report to the Court information intended to aid in further management of the

case, including: (i) whether the case has settled or may settle in the near future

without further Court management; (ii) if the case has not settled, suggestions

about case management (such as the desirability of further pretrial discovery

followed by the scheduling of additional ADR proceedings or followed by

rulings on one or more issues); (iii) information about the parties’ conduct if

the neutral concludes that a party did not participate in good faith in the ADR

proceeding or otherwise violated a court order or Disciplinary Rule related to

the proceeding; and (iv) any other information that the parties authorize the

neutral to communicate to the Court; or

(B) All participants to the ADR process, including parties, counsel, and neutrals,

consent in writing to the disclosure of the communication; or

(C) A Judge assigned to the case determines that such disclosure is needed in

connection with possible sanctions for misconduct relating to the ADR

proceeding; or

(D) The Judge who would otherwise enter judgment in the case or, in the event of

the unavailability of that Judge, the Chief District Judge, conducts an in

camera hearing or comparable proceeding and determines that evidence of

the content of the communication is not otherwise available and that there is

a compelling need for the evidence that substantially outweighs the policy

favoring confidentiality and determines any of the following: (i) that the

evidence will be used to establish or disprove a claim of criminal or

professional misconduct or malpractice made against a neutral, counsel, or

party relating to the ADR proceeding; (ii) that the evidence will be used in a

proceeding in which fraud, duress, or incapacity is at issue regarding the

validity or enforceability of an agreement reached during the ADR

proceeding; or (iii) that maintaining the confidentiality of the communication

will pose a significant threat to public health or safety; or

(E) The disclosure is otherwise required by law.

(d) Selection of Mediators and Other Neutrals

(1) Each location of the Court shall maintain and regularly update a roster of

appropriately experienced attorneys willing to serve as volunteer neutrals for the

Court’s ADR programs. A United States Magistrate Judge or Court employee at

each location of the Court shall be designated by the Chief District Judge as the

“ADR Coordinator” to implement, administer, oversee, and evaluate the Court’s

ADR programs at that location and to be primarily responsible for recruiting,

screening, and training attorneys to serve as neutrals for the Court pursuant to 28

U.S.C. § 651(d).

(2) ADR Coordinators may coordinate scheduling, training of neutrals, and other

features of this Court’s ADR program with comparable state court ADR programs

or bar association programs.

(3) Volunteer mediators for ADR programs administered by the Court shall be

appointed by the ADR Coordinator from the lists maintained at the location of the

Court where the case is pending. Counsel are encouraged to consult about the

selection of a mediator and to propose the appointment of someone having

familiarity with the subject matter of a particular case when that is deemed likely

to improve the ADR process.

(4) Before accepting appointment in any ADR proceeding conducted under the

authority of this Court, the neutral shall make inquiry reasonable under the

circumstances to determine whether there are facts that a reasonable person would

consider likely to affect his or her impartiality, including personal or financial

interest in the outcome of the proceeding, or existing or past relationships with a

party, counsel, or a significant, foreseeable witness to the dispute. The neutral shall

consider the factors set forth in 28 U.S.C. § 455. The neutral shall decline to

participate in circumstances likely to be considered to affect impartiality, and if in

doubt, shall disclose facts known or learned to all counsel and pro se parties as soon

as is practical.

(5) In unusually complex cases or in other situations in which service as a neutral is

anticipated to impose a significant time demand, parties are permitted (but not

required) to agree among themselves and with the assigned neutral (other than a

Magistrate Judge) to reasonably compensate such neutral. If the parties have

memorialized such an arrangement in writing, the Court may enter such orders as

are just to enforce such a written agreement.

(e) Remedies and Procedures Not Specified in this Rule

(1) This Court, or any Division or location of this Court, may by general order provide

supplemental procedures for ADR that are not inconsistent with this Rule and

applicable law.

(2) Any Judge presiding in a civil case may, in that case, enter such orders as are lawful,

just, and appropriate to administer fairly an ADR program suitably tailored to it.

(3) Mediators and other neutrals used in ADR proceedings conducted by this Court

shall control the proceedings before them.

(4) Any breach or threatened breach of the confidentiality provisions of this Rule and

any refusal to attend and participate in good faith by a party or counsel shall be

reported to the presiding Judges who may, after notice, impose sanctions or make

such other orders as are just.