Initial Status Report; Final Pretrial Orders - Civil Jury Trials; Final Pretrial Orders - Civil Bench Trials; Standing Order for Settlement Conferences

=== Initial Status Report ===

[CASE CAPTION] [JOINT] INITIAL STATUS REPORT 1. The Nature of the Case: A. Identify (names and contact information) for all attorneys of record for each party, including the lead trial attorney. B. Briefly describe the nature of the claims asserted in the complaint and any counterclaims and/or third party claims. C. Briefly identify the major legal and factual issues in the case. D. State the relief sought by any of the parties. 2. Jurisdiction: Explain why the Court has subject matter jurisdiction over the plaintiff(s)’ claim(s). A. Identify all federal statutes on which federal question jurisdiction is based. B. If jurisdiction over any claims is based on diversity or supplemental jurisdiction: (1) State whether/why the amount in controversy exceeds the jurisdictional threshold or whether there is a dispute regarding the amount in controversy (and, if so, the basis of that dispute). (2) Identify the state of citizenship of each named party. For unincorporated associations, LLCs, partnerships, and other business entities that are not corporations, the state(s) in which any individual members of the business unit are citizens must be identified. NOTE 1: Individuals are citizens of the state where they are domiciled; that may or may not be the state where they currently reside. See Heinen v. Northrop Grumman Corp., 671 F.3d 669, 670 (7th Cir. 2012). NOTE 2: The report must address whether there is diversity in any case in which pendent jurisdiction over state law claims is asserted, so that the Court may exercise informed discretion about whether to resolve such claims in the event that the federal question claims are resolved or dismissed. 3. 4. Status of Service: Identify any defendants that have not been served. Consent to Proceed Before a United States Magistrate Judge: Confirm that counsel have advised the parties that they may proceed before a Magistrate Judge if they consent unanimously and advise whether there is, or is not, unanimous consent. Do NOT report whether individual parties have so consented. 5. Motions: A. Briefly describe any pending motions. B. State whether the defendant(s) anticipate responding to the complaint by filing an Answer or by means of motion. NOTE 3: If the latter, counsel should be prepared to discuss at the Initial Status Hearing the basis of the anticipated motion. 6. Case Plan: A. Submit a proposal for a discovery plan, including the following information: (1) The general type of discovery needed; (2) A date for Rule 26(a)(1) disclosures; (3) First date by which to issue written discovery; (4) A fact discovery completion date; (5) An expert discovery completion date, including dates for the delivery of expert reports; and (6) A date for the filing of dispositive motions. B. With respect to trial, indicate the following: (1) Whether a jury trial is requested; and (2) The probable length of trial. 7. Status of Settlement Discussions: A. Indicate whether any settlement discussions have occurred; B. Describe the status of any settlement discussions; and C. Whether the parties request a settlement conference. NOTE 4: Do NOT provide the particulars of any demands/offers that have been made.

=== Final Pretrial Orders - Civil Jury Trials ===

JUDGE SARA L. ELLIS FINAL PRETRIAL ORDERS – CIVIL JURY TRIALS In all civil jury trials scheduled before Judge Ellis, the parties shall jointly prepare and submit a final pretrial order. In each case, the Court will set the date in advance of trial on which the parties must file the final pretrial order. The final pretrial order (including the Court’s two courtesy copies) must include the following items: 1. Jurisdiction: A statement of the basis for the Court’s jurisdiction. 2. Trial Attorneys: A list of the attorneys trying the case, including business addresses and telephone numbers. 3. Case Statement: A concise agreed statement of the case, including: (a) the nature of the case; (b) the claims, counterclaims and cross-claims; and (c) the defenses raised to those claims. The Court will read this statement to the jury during voir dire. 4. Witness Lists: Separate lists for plaintiff and defendant providing the names of witnesses, including expert witnesses, divided into the following three categories: (a) witnesses who will be called to testify at trial: (b) witnesses who may be called to testify at trial; and (c) witnesses whose testimony a party will present by deposition or other prior testimony (indicating whether the presentation will be by transcript or video). For each witness, provide a very concise (2 or 3 sentences) description of the witness and the witness’s role in the case. For example: “George Washington is Plaintiff’s cousin. Washington witnessed the arrest of Plaintiff where Defendants allegedly used excessive force.” Or: “John Adams is Defendant’s Chief Operating Officer. Adams made promises concerning the timing of payments under the contract at issue in the case.” The Court will read the names of witnesses on the lists during voir dire. 5. Exhibit Lists: A list by each side of all exhibits the party will definitely use at trial (including demonstratives, summaries of other specially prepared exhibits), which includes the following: (a) the exhibit number for each document; (b) the date of the document; (c) (d) (e) a brief description of the document and a concise statement of the exhibit’s relevance; whether there is an objection to admission of the document and, if so, a concise statement of the basis for the objection (e.g., Rule 402— relevance; Rule 403—undue prejudice or confusion); and a concise statement of the asserted basis of admissibility, if there is an objection. At least one week before the pretrial conference, the parties must provide the court with two sets of exhibit binders containing copies of the objected-to representative exhibits. If the representative exhibits require more than a single binder, the parties must contact the Court’s courtroom deputy to explain why additional binders are required. After the pretrial conference and rulings on exhibits, two binders of the final exhibits will be required. Note: There is no need to list every conceivable exhibit that can possibly be used. The parties should submit a list of trial exhibits they definitely intend to introduce. Exhibits not likely to be used need not be listed. If, due to unforeseen circumstances during trial a party wishes to introduce an exhibit not previously listed, notice should be given as soon as possible to the opposing side and to the Court so that any objections can be discussed. Absent abuse of this process, an exhibit will not be deemed inadmissible simply because it was not included on the original exhibit list, provided the exhibit/document was earlier produced to the opposing side during discovery. - 2 - 6. Damage Itemization: An itemization of damages and other relief sought. 7. Motions in Limine: Unless otherwise ordered, all motions in limine must be filed three weeks before the filing of the pretrial order. Responses are due one week before the filing of the pretrial order. No replies will be filed unless ordered by the Court. The parties are directed to meet and confer on all motions in limine before filing them. Parties filing motions in limine should submit their initial motions and the supporting exhibits in one document for the Court. Responses to motions in limine should also be submitted in one document. 8. Voir Dire Questions: The parties must file a joint document that includes both: (a) each party’s proposed voir dire questions; and (b) each party’s objections, if any, to the voir dire questions proposed by the other parties. 9. Jury Instructions: The parties are instructed to meet and attempt to agree on jury instructions and to file proposed instructions before filing the pretrial order. The Court uses the 7th Circuit Pattern Jury Instructions where applicable. If the parties wish to modify a 7th Circuit Pattern Jury Instruction, the party proposing the modification must submit a redline to the Court showing the modification to the pattern instruction. The parties should concentrate their efforts on the substantive jury instructions related to the merits. The parties must submit all agreed and proposed jury instructions with the final pretrial order. Each proposed instruction must indicate the proponent of the instruction and whether the instruction is agreed or disputed. The bottom of each instruction must identify the legal authority supporting the instruction. If an instruction is disputed, the grounds for the objection (and any proposed modification or alternate instruction) must be concisely stated on the same page immediately following the disputed instruction. The party proposing the instruction may then state concisely the reasons supporting the instruction as proposed. - 3 - 10. Trial Briefs: The Court does not require trial briefs in jury trials. Parties who wish to file a trial brief must seek leave of the Court to do so. 11. Evidence Projection Systems: The Court has a limited number of evidence projection systems, which may or may not be available. Parties who would like access to evidence projection systems are advised to make a request as early as possible (four weeks prior to trial is suggested) to Alexander Zeier, the Courtroom Technology Administrator. He may be reached at (312) 435-6045. Parties will be permitted to use their own evidence projection systems, upon reasonable terms, if a request is made in advance of trial. 12. Final Pretrial Conference: A Final Pretrial Conference will be held approximately one to three weeks before trial. The purpose of this conference will be to avoid surprises and to simplify the trial. At the conference, the Court will address any pending motions in limine, objections to witnesses and exhibits, contested jury instructions, trial procedures, and scheduling matters. Lead trial counsel fully prepared and with authority to discuss all aspects of the case must attend. Dated: December 2, 2015 ENTER: SARA L. ELLIS United States District Judge - 4 -

=== Final Pretrial Orders - Civil Bench Trials ===

JUDGE SARA L. ELLIS FINAL PRETRIAL ORDERS – CIVIL BENCH TRIALS In all civil bench trials scheduled before Judge Ellis, the parties shall jointly prepare and submit a final pretrial order. In each case, the Court will set the date in advance of trial on which the parties must file the final pretrial order. The final pretrial order (including the Court’s two courtesy copies) must include the following items: 1. Jurisdiction: A statement of the basis for the Court’s jurisdiction. 2. Trial Attorneys: A list of the attorneys trying the case, including business addresses and telephone numbers. 3. Case Statement: A concise agreed statement of the case, including: (a) the nature of the case; (b) the claims, counterclaims and cross-claims; and (c) the defenses raised to those claims. 4. Witness Lists: Separate lists for plaintiff and defendant providing the names of witnesses, including expert witnesses, divided into the following three categories: (a) witnesses who will be called to testify at trial: (b) witnesses who may be called to testify at trial; and (c) witnesses whose testimony a party will present by deposition or other prior testimony (indicating whether the presentation will be by transcript or video). For each witness, provide a very concise (2 or 3 sentences) description of the witness and the witness’s role in the case. For example: “George Washington is Plaintiff’s cousin. Washington witnessed the arrest of Plaintiff where Defendants allegedly used excessive force.” Or: “John Adams is Defendant’s Chief Operating Officer. Adams made promises concerning the timing of payments under the contract at issue in the case.” 5. Exhibit Lists: A list by each side of all exhibits the party will definitely use at trial (including demonstratives, summaries of other specially prepared exhibits), which includes the following: (a) the exhibit number for each document; (b) the date of the document; (c) (d) (e) a brief description of the document and a concise statement of the exhibit’s relevance; whether there is an objection to admission of the document and, if so, a concise statement of the basis for the objection (e.g., Rule 402— relevance; Rule 403—undue prejudice or confusion); and a concise statement of the asserted basis of admissibility, if there is an objection. At least one week before the pretrial conference, the parties must provide the court with two sets of exhibit binders containing copies of the objected-to representative exhibits. If the representative exhibits require more than a single binder, the parties must contact the Court’s courtroom deputy to explain why additional binders are required. After the pretrial conference and rulings on exhibits, two binders of the final exhibits will be required. Note: There is no need to list every conceivable exhibit that can possibly be used. The parties should submit a list of trial exhibits they definitely intend to introduce. Exhibits not likely to be used need not be listed. If, due to unforeseen circumstances during trial a party wishes to introduce an exhibit not previously listed, notice should be given as soon as possible to the opposing side and to the Court so that any objections can be discussed. Absent abuse of this process, an exhibit will not be deemed inadmissible simply because it was not included on the original exhibit list, provided the exhibit/document was earlier produced to the opposing side during discovery. 6. Damage Itemization: An itemization of damages and other relief sought. 7. Motions in Limine: Unless otherwise ordered, all motions in limine must be filed three weeks before the filing of the pretrial order. Responses are due one week before the filing of the pretrial order. No replies will be filed unless ordered by the Court. The parties are directed to meet and confer on all motions in limine before filing them. - 2 - Parties filing motions in limine should submit their initial motions and the supporting exhibits in one document for the Court. Responses to motions in limine should also be submitted in one document. 8. Trial Briefs: The Court does not require trial briefs in bench trials. Parties who wish to file a trial brief must seek leave of the Court to do so. 9. Proposed Findings and Conclusions: No later than the first day of trial, each party shall file its proposed findings of fact and conclusions of law. Parties are asked to submit a hard copy and e-mail a Microsoft Word version to the Court’s proposed orders e-mail address: [email protected]. 10. Evidence Projection Systems: The Court has a limited number of evidence projection systems, which may or may not be available. Parties who would like access to evidence projection systems are advised to make a request as early as possible (four weeks prior to trial is suggested) to Alexander Zeier, the Courtroom Technology Administrator. He may be reached at (312) 435-6045. Parties will be permitted to use their own evidence projection systems, upon reasonable terms, if a request is made in advance of trial. 11. Final Pretrial Conference: The Court will determine whether a Final Pretrial Conference is warranted. A Final Pretrial Conference may be held approximately one to three weeks before trial. The purpose of this conference will be to avoid surprises and to simplify the trial. At the conference, the Court will address any pending motions in limine, objections to witnesses and exhibits, trial procedures, and scheduling matters. Lead trial counsel fully prepared and with authority to discuss all aspects of the case must attend. Dated: December 2, 2015 ENTER: SARA L. ELLIS United States District Judge - 3 -

=== Standing Order for Settlement Conferences ===

JUDGE SARA L. ELLIS STANDING ORDER FOR SETTLEMENT CONFERENCES The Court encourages the parties to consider settlement at the earliest reasonable opportunity in the case. Even if the case cannot be resolved through settlement, early consideration of settlement often can result in focusing and streamlining the issues to be litigated – which can save the parties considerable time and money. Consideration of settlement is a serious matter, and a settlement conference requires serious and thorough preparation. This Order sets out the procedures that Judge Ellis requires the parties to follow in preparing for the settlement conference and the procedures that the Court typically will employ in conducting the conference. Counsel must provide a copy of this Order to their clients and discuss these procedures with them prior to the settlement conference. SETTLEMENT CONFERENCE PREPARATION 1. PRE-SETTLEMENT CONFERENCE LETTERS. A settlement conference is more likely to be productive if, before the conference, the parties have exchanged their settlement positions in writing. The letters also provide the Court with information it needs to assist the parties in exploring settlement. Copies of the settlement letters will be delivered to Judge Ellis’ courtroom deputy before the scheduled settlement conference. 2. FORMAT FOR PRE-SETTLEMENT CONFERENCE LETTERS. Plaintiff’s counsel’s letter shall set forth at least the following information: a. b. c. d. e. A brief summary of the claims asserted in the complaint and any counterclaim or third party complaint; If an answer has been filed, a brief summary of any affirmative defenses raised by defendant; A brief summary of the evidence and legal principles that plaintiff asserts will allow it to establish liability and defeat the affirmative defenses; An itemization of the damages plaintiff believes can be proven at trial and recovered from defendant, and a brief summary of the evidence and legal principles supporting those damages, including, without limitation, attention to proximate cause; A settlement demand that is less than total victory, recognizing the inherent risk of litigation; and f. Any additional information plaintiff believes would be helpful to the Court in assisting the parties to resolve the dispute. Plaintiff’s letter also should summarize briefly the following matters: a. b. The status of any pending motions, including whether any such motions are fully briefed and any existing briefing schedules; A description of the discovery that has been completed or that is outstanding, including the number of depositions that have been taken or are contemplated by each party, a description of any discovery that is outstanding, and a summary of any future discovery that is contemplated; and c. Any existing discovery cut-off, pre-trial order, pre-trial conference or trial dates. Defendant’s counsel’s responsive letter shall set forth at least the following information: a. b. c. d. Any points in plaintiff’s letter with which defendant agrees; Any points in plaintiff’s letter with which defendant disagrees and the basis for that disagreement; A response to plaintiff’s settlement demand and defendant’s settlement counter- offer (again, less than total victory, recognizing the inherent risk of litigation); and Any additional information defendant believes would be helpful to the Court in assisting the parties to resolve the dispute. Each of these letters typically should be five (5) pages or fewer. However, if counsel believes that more pages are required to provide the comprehensive presentation required, the letter may be as long as deemed necessary. Significant and supporting exhibits may be attached and are often quite helpful both to the court and to opposing counsel. If exhibits are included, they must be tabbed with protruding tabs in accordance with Local Rule 5.2. Unless the Court sets a different schedule, plaintiff’s counsel shall deliver copies of plaintiff’s settlement letter to defendant’s counsel and to Judge Ellis’ courtroom deputy (Room 1720) at least fourteen (14) business days before the settlement conference, and defendant’s counsel shall deliver copies of defendant’s settlement letter to plaintiff’s counsel and to Judge Ellis’ courtroom deputy (Room 1720) at least seven (7) business days before the settlement conference. Do not file copies of these letters in the Clerk’s Office or on the CM/ECF system. Unless a party states otherwise in its settlement letter, a party’s agreement to participate in a settlement conference implicitly includes consent that the Court can discuss settlement matters with counsel for that party or its opponent ex parte during the 2 settlement conference or immediately prior to it. For example, after receiving the settlement letters, the Court may call counsel for one party or the other to discuss or clarify the position(s) set forth in the letters in preparation for the settlement conference. The Court requires that persons attending the settlement conference read the settlement letters exchanged between the parties before coming to the conference. ATTENDANCE OF PARTIES REQUIRED. Unless the Court allows otherwise by separate order, parties with full settlement authority are required to attend the conference in person. If a party is an individual, that individual must attend in person. If a party is a corporation or governmental entity, a representative of that corporation or governmental entity (in addition to counsel of record) with full settlement authority (as defined more fully below) must attend in person. If a party requires approval by an insurer to settle, then a representative of the insurer with full settlement authority must attend in person. The Court strongly believes that the personal presence of the individuals with a stake in the outcome of the settlement conference, and their participation in the settlement discussions and the “give and take” that occurs, materially increases the chances of settlement. Thus, absent a showing of unusual and extenuating circumstances, the Court will not permit a client or an insurance representative merely to be available by telephone. A party who believes it has good cause for the Court to alter these rules should raise that issue by motion. FULL SETTLEMENT AUTHORITY REQUIRED. The Court reserves a substantial block of time for each settlement conference. This time is wasted and opposing parties incur unnecessary expense if a party comes to the settlement conference with less authority than necessary to settle the case. Therefore, a party or its representative attending the settlement conference must have full settlement authority. “Full settlement authority” means the authority to negotiate and agree to a binding settlement agreement at any level up to the settlement demand of the plaintiff. If the person attending the settlement conference does not have authority to agree to a settlement without making a telephone call, then the person on the other end of that telephone call should attend the settlement conference. Although it is probable and even likely the case will settle for less than the settlement demand, the foregoing requirement is intended to avoid a situation in which a party or its representative comes to the settlement conference with authority that is less than what could be reasonably within the realm of possibility for the case. If a party requires approval by an insurer to settle, then a representative of the insurer with full settlement authority must attend in person. SANCTIONS. A party who comes to a settlement conference without full settlement authority as described in this Order may be sanctioned. If a conference must be adjourned or continued so that a party may obtain additional authority up to the plaintiff’s demand, that party may be sanctioned, including, but not limited to, being required to pay the opposing party’s attorney’s fees incurred by the need to reconvene. CONFERENCE FORMAT. The Court generally will follow a traditional mediation format. Each side will have an opportunity to make an opening presentation to the other side, if he/she/it desires to do so, which then will be followed by joint discussion with the 3 3. 4. 5. 6. Court and private meetings by the Court with each side. The Court expects the lawyers and the party representatives to be fully prepared to participate in these discussions. The Court also encourages all parties to be willing to reassess their previous positions and to be willing to explore creative means for resolving the dispute. 7. 8. CONFIDENTIALITY. The pre-conference letters required by this Order and the settlement conference are governed by Local Rule 83.5 relating to Confidentiality of Alternative Dispute Resolution Proceedings. The Court expects the parties to address each other with courtesy and respect, but also to speak frankly and openly about their views of the case in this confidential setting. TOPICS FOR THE SETTLEMENT CONFERENCE. The parties and their counsel should consider and be prepared to discuss the following topics, among others, at the settlement conference: a. b. c. d. e. f. g. h. i. What are your objectives in the litigation? What issues (in and outside of this lawsuit) need to be resolved? What are the strengths and weaknesses of your case? Do you understand the opposing side’s view of the case? What is wrong with their perception? What is right with their perception? What are the points of agreement and disagreement between the parties? Factual? Legal? What are the practical impediments to settlement? What actual, legal remedies are available to the parties through litigation or otherwise? Are there possibilities for creative resolution of the dispute? If the case does not settle, what are the possible legal and practical consequences for all concerned? Are there outstanding liens? Do we need a representative of the lienholder at the settlement conference? 9. CANCELLATION OR RESCHEDULING OF THE CONFERENCE. If the parties are required to reschedule or if they have concluded that a settlement conference is not necessary, they must inform Judge Ellis’ courtroom deputy as soon as possible. Counsel are cautioned that failure to attend a settlement conference without authorization may result in the imposition of monetary sanctions against them. 4 ANY PARTY WHO WISHES TO VARY ANY OF THE PROCEDURES SET FORTH IN THIS STANDING ORDER SHOULD MAKE AN APPROPRIATE REQUEST TO THE COURT BY MOTION NOTICED FOR PRESENTMENT IN ACCORDANCE WITH THE COURT’S PROCEDURES PRIOR TO THE SETTLEMENT CONFERENCE. Dated: December 10, 2013 ENTER: SARA L. ELLIS United States District Judge 5