FREQUENTLY ASKED QUESTIONS (FAQs) ABOUT SETTLEMENTS

1. Why should I participate in an appellate settlement program? Appellate mediation allows parties to reduce their expenses, and avoid uncertain or unfavorable results. Results often can be achieved through mediation that cannot be accomplished by briefing, argument and decision.

2. Who works at Santa Ana's Judicial Settlement Program? The court's Judicial Settlement Program is directed by Presiding Justice David G. Sills, and managed by Robert S. Wolfe, a supervising attorney.

3. How do I get my appeal into the Judicial Settlement Program? The Judicial Settlement Program is initiated by a questionnaire, called a "SCIF". The clerk's office may send out a notice asking parties in civil appeals (both appellants and respondents) to prepare SCIFs. In addition, any party may request that a SCIF be sent out by writing the Court of Appeal Judicial Settlement Program at P.O. Box 22055, Santa Ana, CA 92702 (such request may be confidential). Based upon its review of the SCIF's and the court record, the court determines whether to hold a settlement conference. The court favorably looks upon stipulated requests for a settlement conference, and will attempt to accommodate the parties' mutually selected choice of dates.

For an electronic copy of the SCIF (formatted either for Adobe Acrobat or Microsoft Word), click here.

4. When is a settlement conference held? There is no fixed rule, the guiding principle being when a settlement conference will be most productive for the parties. Some settlement conferences have been held before the record has been prepared; others, after the case has been fully briefed. Settlement conferences should not be used as an instrument of delay or in bad faith. Once a case has been sent to chambers for preparation of a bench memorandum, the court will not ordinarily entertain requests for settlement conferences.

5. Where are settlement conferences held? Settlement conferences generally are held at the court's settlement conference chambers, located in the Civic Center Professional Building at 500 West Santa Ana Boulevard, Room 400, Santa Ana, California, approximately 3/4 mile from the Spurgeon Street courthouse. The settlement chambers contain a large settlement conference room, two caucus rooms, a waiting room, and administrative offices. There is a paid parking lot adjacent to the chambers. The court does not validate parking. Since settlement conferences also may be held at the courthouse, be sure to check the notice about where to go.

Click here for directions to the settlement conference facilities.

6. What happens at a settlement conference? Settlement conferences are confidential proceedings that are not open to the public. The conference may be conducted in joint session, individual caucuses, or an amalgam of the two. Depending upon the circumstances, the conference may take several hours, or even all day. Parties and their counsel should be prepared to discuss the factual and legal issues on appeal, and the strengths and weaknesses of each side.

7. May I just call in by phone? No. Unless excused, all parties and insurance representatives are required to personally attend. Experience shows that telephone availability does not substitute for face-to-face contact. Exceptions may be made in cases of hardship, or when it is clear that a person only has a nominal role. Any requests for excused or limited participation should be served and filed at least 5 court days before the conference. It is helpful to ascertain the position of the other side.

8. Who conducts the settlement conferences? The presiding justice decides who will preside at any settlement conference. The judicial settlement officer may be a justice at the court, a pro tem, or any other court-appointed officer. Robert S. Wolfe, the supervising attorney who directs the settlement program, has conducted hundreds of appellate mediations and settlement conferences for the court.

9. Do I need to prepare a settlement brief? This may depend upon whether the appellate court has access to the trial court record. Check with the Settlement Conference Clerk at least a week in advance of the settlement conference to see what the court requires.

10. May I use a private mediator? Yes. Parties are encouraged to take advantage of outside alternative dispute resolution services, although the court does not make its facilities available for such purposes. Parties should advise the court as soon as possible if they desire or intend to engage in private mediation, and must immediately inform the court if their case settles.

11. May conferences be held for other reasons besides settlement? Yes. The court may hold a special type of prehearing conference (called a "workout" conference) to simplify issues on appeal, establish briefing schedules, discuss pending or anticipated motions, or deal with any procedural issues or concerns. Parties should submit a written request to the court to request a workout conference either as a standalone conference or in conjunction with a settlement conference.

12. Will participating in the Judicial Settlement Program delay my appeal? No. The settlement program is designed to lessen delays and expenses on appeal, not increase them. The appeal is not stayed while the court sends out SCIF's and decides whether to hold a settlement conference. Neither is there an automatic stay for preparation of the record. The court’s policy is to conduct settlement conferences as expeditiously as possible, and to issue a rule 8.248(d) notice lifting any stay or tolling order within 90 days from the date of the notice of the settlement conference. Counsel for parties are encouraged to telephone the settlement conference clerk at 714-564-3600 if you have any questions concerning the timing of your appeal in relationship to the Judicial Settlement Program.

13. What happens if I we settle on our own? The appellant must immediately serve and file a notice of settlement with the clerk’s office and also telephone the settlement conference clerk at 714-564-3600 if a settlement conference has been scheduled.

14. How much time do we have to effectuate our settlement? You ordinarily have 45 days from the date of notice of your settlement to file a stipulated request for dismissal. The court may extend this time on a showing of good cause. If you don’t file a request for dismissal within 45 days of the notice of settlement, the court may dismiss the appeal on its own unless you write a letter to the court stating good cause why the appeal should not be dismissed. (Rule 8.244(a).)

15. What happens if we don't settle? Confidential information contained in the SCIF's, or disclosed during a settlement conference are for the limited use of the Judicial Settlement Program only. If the case does not settle, the justice or mediator who presided over the conference will not participate in deciding the appeal on the merits.

16. How do I obtain more information? The Judicial Settlement Program is described in the court's Internal Operating Practices & Procedures. Click here for further information. You also may write, telephone or email the Settlement Conference Clerk at (714) 564-3600, or 4d3settlement@jud.ca.gov.