That gap matters. Page limits, delivery method, confidentiality, and attendance rules vary widely. Within the same federal district, Judge Westmore requires receipt 14 calendar days before the conference, while the Central District of California rule asks for delivery at least 5 days before.
This guide covers what the statement should contain, how to prepare it, and how to check it before submission.
Key Takeaways
- Treat the sample PDF as a drafting framework, never a substitute for the court's order or attorney review.
- Build the statement around the issues blocking settlement, backed by concise facts, damages data, and labeled exhibits.
- Confirm attendees, settlement authority, deadlines, and confidentiality before you finalize anything.
- Write neutrally so the settlement officer can evaluate realistic outcomes.
Mandatory Settlement Conference Statement: Purpose and Scope
A mandatory settlement conference (MSC) is a court-ordered opportunity to resolve a filed case before trial. Terminology and procedure differ across US jurisdictions.
In California state court, Rule 3.1380 allows the court to set one on its own motion or at a party's request. In the Northern District of California, the judicial officer helps negotiate but cannot impose a settlement.
MSC statement versus mediation brief
The two documents often follow different rules. An MSC statement may be governed by court rules and orders, while mediation materials can fall under separate confidentiality and submission expectations.
California illustrates the difference. Its special mediation confidentiality provisions do not apply to Rule 3.1380 settlement conferences. Federal Rule of Evidence 408 restricts how compromise offers are used to prove or disprove a claim, but it is an admissibility rule, not blanket secrecy.
Items to check against the current court requirements
- Required attendees and who holds settlement authority
- Service on opposing counsel, or private delivery to the settlement officer
- Page limits and exhibit allowances
- Confidentiality markings and any needed stipulation
The California examples in this article are California-specific. Do not treat them as nationwide requirements.
Mandatory Settlement Conference Statement Sample PDF: What It Should Include
Orange County's official L-0052 form, revised June 3, 2024, is a useful court-issued model for California civil cases. Most mandatory settlement conference statements share the same core sections.
Case caption and conference information
Include the court, case number, parties, case type, assigned judge or settlement officer if known, conference date, and counsel contact details. Add a field showing whose statement it is (plaintiff, defendant, petitioner, or respondent). Also note whether it is submitted, served, lodged, or exchanged under the applicable procedure.
Factual and procedural background
Give a short chronology: filing, key claims or defenses, major procedural events, prior settlement talks, and where the case stands now. Separate agreed facts from disputed ones. Skip argumentative narrative that does not help the settlement officer.
Issues, liability, and requested relief
Address each material issue, such as liability, an affirmative defense, causation, damages, or a contract term, in its own short entry. For each, state the relief sought and the factual and legal basis in a few lines.
Damages, valuation, and settlement position
Use organized fields for:
- Economic and noneconomic damages
- Offsets, liens, and attorney fees
- Property damage or special valuations, where relevant
- Current demand or offer and prior meaningful proposals
- Non-monetary terms and conditions for a binding deal
California's rule expects a good-faith demand, itemized damages, and a good-faith offer from each defendant.
Evidence, legal authority, and exhibits
Identify the key records, testimony, expert opinions, statutes, and cases for each disputed issue. Keep it from turning into a trial brief. Build an exhibit index with clear labels, page references, and bookmarks. Cite or highlight the exact portion relied on if the court requires it.
Attendance, settlement authority, and requested action
List every party, counsel, insurer, claims representative, corporate representative, lienholder, or interpreter whose participation may be required. Close with your proposed settlement framework, information still needed, and any procedural request to the settlement officer.
How to Prepare Your Statement Before the Conference
Review the order, local rules, and deadlines first
Get the conference order and current official court instructions before touching the PDF. Then verify terminology, page limits, delivery rules, and required forms.
Look for these requirements:
- A good-faith demand or offer
- Pre-conference negotiations
- Personal attendance
- Proof of service
- A separate confidential submission
- A specific exhibit format
Pre-conference exchanges can come early. Judge Westmore's order sets a plaintiff's written demand 28 days before the conference when no prior demand exists. Judge Stein's procedures set that at 14 days.
Assemble and organize the case record
Gather the full case file, including:
- Operative pleadings and relevant orders
- Discovery responses and deposition transcripts
- Medical, financial, and expert materials
- Contracts, insurance, and lien information
- Prior offers
Then build a working issue list. Map each disputed point to its evidence, legal authority, estimated exposure, and missing information.
Defense teams with large claim files can use tools to speed this stage. OraClaim, a claims intelligence platform for the defense side, reviews policy, medical, wage-loss, liability, and correspondence records. It surfaces key facts, pre-existing conditions, credibility flags, and coverage triggers.
Its closed system is designed to preserve attorney-client privilege and work-product protection. Outputs are not legal advice, so counsel still performs the privileged legal review.
Evaluate strengths, weaknesses, and settlement value
Cover each of these points in your analysis:
- Strongest facts for each side and material weaknesses
- Causation and liability uncertainties
- Damages exposure, collectability, and coverage concerns
- Likely trial outcome
Trace every financial figure to a source document. Label estimates and disputed amounts as such.
Develop a realistic demand, offer, and authority plan
Separate the client's target outcome from the acceptable range. Add your negotiation strategy, non-monetary terms, and the authority needed to approve a binding resolution.
Courts care about authority. Judge Westmore's order says needing an absent person's approval is not sufficient authority. The Central District of California requires insurer decision-makers unless excused. Confirm every necessary consent-giver can attend or has an excuse.
Edit for the settlement officer
- Use short paragraphs and descriptive headings
- Write in plain language with consistent defined terms
- Explain why each disputed issue affects settlement
- Cut legalese, unsupported conclusions, inflammatory language, duplicate exhibits, and irrelevant facts
How to Review, Customize, and Submit the PDF
Adapt the sample without treating it as a universal court form
Replace every fictional name, bracketed prompt, sample figure, and placeholder authority. Compare each section against the case type, court order, local rules, and judge-specific instructions.
Do not file or serve the PDF until counsel confirms the correct version, deadline, recipients, signature requirements, and permitted delivery method.
Submission channels differ sharply:
| Court | Length | Delivery |
|---|---|---|
| N.D. Cal. (Westmore) | 10 text + 20 exhibit pages; optional 5 + 15 private letter | Lodged and emailed; statement served, private letter not |
| C.D. Cal. | 5 pages | In camera, not filed |
| S.D.N.Y. (Stein) | 5 single-spaced pages | Emailed, marked confidential, not given to opponents |
| Orange County, CA (L-0052) | 3-page form | Marked "CONFIDENTIAL / NOT TO BE FILE STAMPED"; Rule 3.1380 still requires service |
Complete a document and exhibit quality check
- Compare every factual assertion, damages figure, settlement term, citation, and exhibit reference to the record
- Confirm the PDF opens, page numbers are accurate, and bookmarks work
- Check that exhibits are legible
- Complete all required redactions
If you e-file anything, federal Rule 5.2 limits Social Security and financial account numbers to the last four digits and birth dates to the year. It does not itself create conference confidentiality.
Confirm confidentiality and authorized distribution
Do not mark a statement confidential on the assumption that mediation privilege applies. Verify the governing rule or get any required stipulation. Then send it only to authorized recipients through the court-approved filing, lodging, exchange, or service process.
Final pre-submission checklist
- Caption and conference details are correct
- Deadline and delivery method confirmed
- Service handled as required
- Factual summary and disputed issues are tight
- Damages, demand or offer, and authority are supported
- Exhibits, citations, and bookmarks verified
- Attendance and confidentiality confirmed
- Signatures complete
- Next steps if no settlement is reached are planned
What Happens at the Conference and What to Do Next
The settlement officer may press counsel on disputed facts, authority, damages, negotiation history, or obstacles to resolution. Answer consistently with your submitted statement.
Decision-makers should be available. Interpreters, remote participation, support persons, and excused absences depend on the court's order. Judge Stein's procedures treat in-person attendance as the norm, and Judge Westmore says conferences routinely last 3 or more hours.
Your next steps depend on whether you reach a deal.
If you settle, document it under the applicable court procedure and confirm the material terms and authority:
- In the Central District of California, counsel must promptly report a settlement to the courtroom deputy and memorialize the terms
- California's CCP 664.6 has its own requirements for enforcement
- Review the governing law and the signed terms before assuming a deal is enforceable
If you do not settle, update the file with the final offer, unresolved issues, deadlines, and follow-up tasks.
Frequently Asked Questions
How to prepare for a mandatory settlement conference?
Read the court order, gather evidence and valuation records, and confirm who holds settlement authority. Prepare a realistic demand or offer, and verify attendance and submission deadlines.
How long does a settlement conference usually take?
It varies by court, complexity, number of parties, and format. Judge Westmore's order, for example, says conferences routinely last 3 or more hours. Check your notice or local rules.
What does "mandatory settlement conference" mean?
It is a court-ordered settlement process in a filed case, distinct from voluntary mediation. Procedures differ by jurisdiction.
Is a settlement conference a good thing?
It can resolve risk and expense before trial when parties bring realistic authority and complete information. In 2025, the Central District of California reported 145 settlements across 280 magistrate-judge conferences (52%).
What should be included in a mandatory settlement conference statement?
Include the caption, background, disputed issues, liability or defenses, damages or relief, demand or offer, legal support, exhibits, and attendees. Add any court-required certifications or proof of service.
Are mandatory settlement conference statements confidential?
Not automatically. Confidentiality depends on the law, court rules, local orders, or an approved stipulation, and it is not the same as mediation confidentiality. Verify before including sensitive information.
