Judge Vernon S. Broderick — United States District Court, Southern District of New York

Case Management Plan and Scheduling Order

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

Plaintiff(s),

• v - Defendant(s).

X : : : : : : : : : : : : X -CV-__ (VSB) CASE MANAGEMENT PLAN AND SCHEDULING ORDER VERNON S. BRODERICK, United States District Judge: Pursuant to Rules 16-26(f) of the Federal Rules of Civil Procedure, the Court hereby adopts the following Case Management Plan and Scheduling Order: 1. All parties [consent ____/ do not consent ____] to conducting all further proceedings before a United States Magistrate Judge, including motions and trial, pursuant to 28 U.S.C. § 636(c). The parties are free to withhold consent without adverse substantive consequences. [If all consent, the remainder of the Order need not be completed at this time, and the parties should instead complete the AO 85 Notice, Consent, and Reference of a Civil Action to a Magistrate Judge, available at https://www.nysd.uscourts.gov/forms/consent-proceed-us-magistrate-judge.] 2. The parties [have ____/ have not ____] engaged in settlement discussions. 3. This case [is ____/ is not ____] to be tried to a jury. 4. No additional parties may be joined after 30 days from the entry of this order absent a showing of good cause under Federal Rule of Civil Procedure 16. 5. No additional causes of action or defenses may be asserted after 30 days from the entry of this order absent a showing of good cause under Federal Rule of Civil Procedure 16. 6. Initial disclosures pursuant to Rule 26(a)(1) of the Federal Rules of Civil Procedure shall be completed no later than ____________________. [Absent exceptional circumstances, within 14 days of the date of the parties’ conference pursuant to Rule 26(f).] 7. All fact discovery is to be completed no later than ____________________. [A period not to exceed 120 days unless the Court finds that the case presents unique complexities or other exceptional circumstances.]

The parties are to conduct discovery in accordance with the Federal Rules of Civil Procedure and the Local Rules of the Southern District of New York. The following interim deadlines may be extended by the parties on consent without application to the Court, provided that the parties meet the deadline for completing fact discovery set forth in ¶ 7 above. a. Initial requests for production of documents shall be served by ____________________. b. Interrogatories shall be served by ____________________. c. Depositions shall be completed by ____________________. i. Absent an agreement between the parties or an order from the Court, depositions are not to be held until all parties have responded to initial requests for document production. ii. There is no priority for depositions by reason of a party’s status as a plaintiff or a defendant. iii. Absent an agreement between the parties or an order from the Court, non- party depositions shall follow initial party depositions. d. Requests for admissions shall be served no later than ____________________. 9. All expert discovery, including disclosures, reports, production of underlying documents, and depositions shall be completed by ____________________. 10. All discovery shall be completed no later than ____________________. 11. No later than ____________________ [to be completed by the Court], the parties are to submit a joint letter updating the Court on the status of the case, including but not limited to whether either party intends to file a dispositive motion, what efforts the parties have made to settle the action, whether any discovery disputes remain outstanding, and whether the parties request referral to a Magistrate Judge for settlement purposes. If either party contemplates filing a dispositive motion, the parties should be prepared to discuss a briefing schedule at the post-discovery conference. 12. The Court will conduct a telephonic post-discovery conference on ____________________ at _________. [To be completed by the Court.] The dial-in number is 1-855-244-8681 and the access code is 2309 3085 835. There is no attendee ID. 13. Unless otherwise ordered by the Court, the joint pretrial order and additional submissions required by Rule 6 of the Court’s Individual Rules and Practices shall be due 30 days from the close of discovery, or if any dispositive motion is filed, 30 days from the Court’s decision on such motion. This case shall be trial ready 60 days from the close of discovery or from the Court’s decision on any dispositive motion.

Counsel for the parties propose the following alternative dispute resolution mechanism for this case: a. ____ Referral to a Magistrate Judge for settlement discussions. b. ____ Referral to the Southern District’s Mediation Program. [Note that all employment discrimination cases and cases brought under the Fair Labor Standards Act of 1938, 29 U.S.C. § 201 et seq., are designated for automatic referral to the Court’s Alternative Dispute Resolution program of mediation. Accordingly, counsel in such cases should select 14(b).] c. ____ Retention of a private mediator. The use of any alternative dispute resolution mechanism does not stay or modify any date in this Order. 15. The parties have conferred and their present best estimate of the length of trial is _____________. SO ORDERED. Dated: New York, New York Vernon S. Broderick United States District Judge

Certificate Regarding the Use of Generative Artificial Intelligence

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

[PLAINTIFF(S)],

Plaintiff(s),

• against -

[DEFENDANT(S)],

Defendant(s).

X : : : : : : : : : : : : X

XX-XX-XXXX (VSB)

CERTIFICATE REGARDING THE USE OF GENERATIVE ARTIFICIAL INTELLIGENCE

I, __________ [print name], hereby certify that I have read the Individual Rules & Practices in Civil Cases for Judge Broderick, United States District Judge for the Southern District of New York.

I, or someone under my supervision, used an artificial intelligence (“AI”) tool in preparing the filing submitted in the above-captioned case on _______ [insert date] and titled ____________ [insert title] at Doc. __ [insert document number]. I further certify that:

☐ I personally reviewed the filing for accuracy.

☐ I did not personally review the filing for accuracy but someone under my supervision personally reviewed the filing for accuracy.

☐ Neither I nor anyone under my supervision personally reviewed the filing for accuracy (failure to do so violates the Court’s Individual Rules).

If I reviewed the filing for accuracy, or had another under my supervision review the filing for accuracy, I/we took the following steps to verify the accuracy of all cited legal authorities and factual assertions generated by the AI tool (e.g., that each legal assertion and/or citation to the law or the record has been independently verified as accurate):

I understand that I will be held individually responsible for the contents thereof according to Rule 11(b) of the Federal Rules of Civil Procedure and the certifications required thereunder, including verifying any portions of the filing drafted by generative AI, and that failure to comply with the Court’s Individual Rules may result in sanctions, the document being stricken, or other remedies that the Court deems appropriate.

Date: _________

Signed: ___________________________

Individual Rules & Practices in Civil Cases

Judge Broderick Civil Rules & Practices

October 29, 2025

INDIVIDUAL RULES & PRACTICES IN CIVIL CASES VERNON S. BRODERICK, UNITED STATES DISTRICT JUDGE

Chambers United States District Court Southern District of New York Thurgood Marshall United States Courthouse 40 Foley Square, Room 415 New York, NY 10007
Email: BroderickNYSDChambers @nysd.uscourts.gov
Courtroom United States District Court Southern District of New York Thurgood Marshall United States Courthouse 40 Foley Square, Courtroom 518 New York, NY 10007

Unless otherwise ordered by Judge Broderick, these Individual Rules & Practices apply to all parties in all civil matters.

1. Communications with Chambers

A. Pro Se Litigants. Civil pro se litigants must send all communications with the Court to the Pro Se Intake Unit by mail to 500 Pearl Street, Room 205, New York, NY 10007 or by email to ProSe@nysd.uscourts.gov.

B. Letters. Except as otherwise provided below, communications with the Court shall be by letter, no longer than three pages, filed on the Court’s Electronic Case Filing System (“ECF”). Letters solely between parties or their counsel or otherwise not addressed to the Court may not be filed on ECF or otherwise sent to the Court (except as exhibits to an otherwise properly-filed document).

C. Telephone Calls. For questions that cannot be answered by reference to these Rules or the S.D.N.Y. Local Rules, or for docketing, scheduling, and calendar matters, counsel may contact the Courtroom Deputy. For situations requiring immediate attention from the Court, counsel should call Chambers directly, or if needed, the parties should email the Chambers inbox requesting the Court’s contact information.

D. Faxes. Faxes to Chambers are not permitted.

E. Emails. Except as otherwise noted in these Rules (e.g., Rules 1.C, 5.B.iii.d, and 6.B), parties and counsel may not send emails to Chambers without prior permission.

F. Courtesy Copies. Except as otherwise noted in these Rules (e.g., Rules 4.D and 6.E), parties should not send courtesy copies to Chambers.

Judge Broderick Civil Rules & Practices

G. Hand Deliveries. Hand-delivered mail should be left with the Court Security Officers at the Worth Street entrance to 500 Pearl Street; it may not be brought directly to Chambers. Hand deliveries are continuously retrieved from the Worth Street entrance and then taken to Chambers. If the hand-delivered letter is urgent and requires the Court’s immediate attention, however, ask the Court Security Officers to notify Chambers that an urgent package has arrived that needs to be retrieved by Chambers staff immediately.

H. Requests for Adjournments or Extensions of Time. All requests for adjournments or extensions of time must be made in writing and filed on ECF as letter-motions. The letter-motion must state the following: (1) the original due date; (2) the number of previous requests for adjournments or extensions of time; (3) whether these previous requests were granted or denied; (4) whether the adversary consents and, if not, the reasons given by the adversary for refusing to consent; and (5) the specific reasons for the adjournment or extension of time.

If the requested adjournment or extension affects any other scheduled dates, including discovery deadlines, a proposed revised Scheduling Order, the template for which is available on the Court’s website at https://nysd.uscourts.gov/hon-vernon-s-broderick, must be included.

Absent an emergency, the request must be made at least 48 hours prior to the original due date or the date of the previously scheduled court appearance.

The Court will independently review all requests for extensions and adjournments and will not automatically grant stipulated agreements as to scheduling. Requests for an extension or adjournment that are not based upon good cause will be denied. Non-urgent proceedings in other matters, scheduled vacations, and other commitments known well in advance generally do not constitute good cause. Repeated requests for adjournments or extensions of time may require demonstration of extraordinary circumstances.

2. Conferences

A. Attendance by Principal Trial Counsel. Absent prior authorization, the attorney who will serve as principal trial counsel must appear at all conferences with the Court.

B. Attendance by Telephone. If the parties are ordered to appear in person, requests to appear at the conference by telephone instead must be made at least 48 hours prior to the scheduled appearance via letter filed on ECF explaining why counsel cannot appear in person. The dial-in for telephonic conferences is 1-855-244-8681, and the access code is 2309 3085 835. There is no attendee ID.

C. Initial Case Management Conference. Within three months of the filing of the Complaint, the Court will generally file a Notice of Initial Pretrial Conference, either scheduling a Fed. R. Civ. P. 16(c) conference or ordering the parties to submit certain pretrial materials in lieu of a conference. The Notice will be made available on ECF, and plaintiff’s counsel will be responsible for distributing copies to all parties. This Notice

Judge Broderick Civil Rules & Practices

will direct the parties to file on ECF (i) a joint letter to the Court containing the information set forth in the Notice, and (ii) a proposed Civil Case Management Plan and Scheduling Order, the template for which is available on the Court’s website at https://nysd.uscourts.gov/hon-vernon-s-broderick. If a Magistrate Judge has been referred for general pretrial purposes, the parties should follow the Magistrate Judge’s Individual Rules and related orders regarding an initial case management conference.

In accordance with the S.D.N.Y. ECF Rules and Instructions (“ECF Rules & Instructions”), counsel are required to register as ECF filers and enter an appearance in the case before the initial pretrial conference. The pertinent instructions are available at https://nysd.uscourts.gov/rules/ecf-related-instructions. Counsel must ensure that any contact information on ECF is up to date.

3. Discovery Disputes. Unless otherwise directed, counsel should describe their discovery disputes in a single letter, jointly composed, not to exceed five pages. Separate and successive letters will not be read. Strict adherence to Fed. R. Civ. P. 37(a)(1), the “meet and confer” rule, is required, and should be described in the joint submission as to time, place, and duration, naming the counsel involved in the discussion. The joint letter shall set forth, with specificity, the requested discovery that each dispute involves and the respective position of each party, citing the applicable authority that the respective parties claim for support. As a general matter, affidavits or exhibits are not permitted in connection with discovery dispute letters without prior written request and permission. However, when the dispute concerns the refusal to respond to a specific written request, the parties shall attach that request. If an opposing party refuses to participate in writing a joint letter or does not provide its portion of a joint letter within 72 hours of a party’s request, a party may submit a letter without the opposing party’s contribution and shall attach a copy of the correspondence seeking the opposing party’s contribution.

4. Motions

A. Pre-Motion Conferences. Pre-motion conferences are not required, except for motions concerning discovery, which are governed by Section 3 above.

B. Memoranda of Law. As a general matter, citations to cases should be in the body, rather than footnotes, of memoranda of law. Unless prior permission has been granted, memoranda of law in support of and in opposition to motions are limited to 8,750 words, and reply memoranda are limited to 3,500 words. See also Local Civil Rule 7.1 of the Local Rules of the United States District Courts for the Southern and Eastern Districts of New York (“Local Rules”). Objections to a Magistrate Judge’s Report and Recommendation and responses to objections should not exceed 3,500 words. These limits do not include the caption, any index, table of contents, table of authorities, signature blocks, or any required certifications, but do include material contained in footnotes or endnotes. Requests for additional pages will not be granted absent demonstration of good cause. All memoranda shall be text-searchable, if possible. Sur- reply memoranda will not be accepted without prior permission of the Court.

Judge Broderick Civil Rules & Practices

C. Unpublished Cases. Westlaw citations shall be provided, if available, to cases not available in an official reporter. Copies of any unpublished cases that are not available on Westlaw should be attached as an exhibit to an otherwise properly-filed document. In pro se cases, parties represented by counsel shall provide a copy of all unpublished opinions to the pro se litigant.

D. Affidavits and Exhibits. Parties are limited to a total of five affidavits each in support of or in opposition to a motion. Affidavits may not exceed ten double-spaced pages. Parties may request leave, for good cause, to file additional or over-length affidavits. All exhibits shall be clearly labeled, tabbed, and indexed. For any hearing or deposition transcript submitted, the parties shall provide the Court with an electronic, text- searchable courtesy copy of the entire proceeding by email, if such copy is available, unless doing so would be unduly burdensome.

E. Motions for Summary Judgment. Except in pro se cases, the moving party shall provide all other parties with an electronic copy of the moving party’s Statement of Material Facts Pursuant to Local Civil Rule 56.1 of the Local Rules. The opposing party must reproduce each entry in the moving party’s Rule 56.1 Statement and set out its response directly beneath it.

F. Letter Motions. Letter-motions filed via ECF must comply with the Local Rules and the ECF Rules & Instructions.

G. Proposed Stipulations and Orders. In accordance with the Local Rules and the ECF Rules & Instructions, parties should file on ECF all proposed stipulations and orders that they wish the Court to sign, except for the following four categories of documents: (1) Consent to Proceed Before U.S. Magistrate Judge; (2) Preliminary Injunction with Temporary Restraining Order; (3) Judgment (Jury Trial); and (4) Clerk’s Judgment. If parties wish the Court to sign any of those four categories of documents, parties should first e-mail the proposed stipulation or order to the Orders and Judgments Clerk at judgments@nysd.uscourts.gov in accordance with the ECF Rules & Instructions. Courtesy copies need not be sent to Chambers for any proposed stipulation or order.

H. Default Judgments. A plaintiff seeking a default judgment must proceed by way of an order to show cause pursuant to the procedure set forth in Attachment A.

I. Oral Argument on Motions. Parties seeking oral argument on a motion may request oral argument as part of moving papers for the substantive motion at the time their moving or opposing or reply papers are filed and should not move separately for oral argument. The Court will determine whether argument will be heard and, if so, will advise counsel of the argument date.

J. Use of Generative Artificial Intelligence. Consistent with Rule 11(b) of the Federal Rules of Civil Procedure, and the certifications required thereunder, any party, whether appearing pro se or through counsel, who utilizes any generative artificial intelligence (AI) tool in the preparation of any documents filed with the Court must

Judge Broderick Civil Rules & Practices

disclose that AI has been used. If generative AI is utilized in the drafting of any documents filed with the Court, the party must further certify in the document that it has independently reviewed and verified the accuracy of any portion of the document drafted by generative AI, including all citations, quotations, and legal authority, and that the document complies with the filer’s Rule 11 obligations. This rule does not apply to information gathered using AI embedded in legal search engines, such as Westlaw, LexisNexis, etc. Failure to comply with this rule may result in sanctions, the document being stricken, or other remedies that the Court deems appropriate. A model certification may be found on the Court’s website (https://www.nysd.uscourts.gov/hon-vernon-s-broderick).

5. Other Pretrial Guidance

A. Cases Removed from State Court. Counsel for the party or parties that removed the case must, in addition to providing a copy of all process, pleadings, and papers served upon the defendants pursuant to 28 U.S.C. § 1446(a), file on ECF a copy of any pleading filed or served while the case remained in State court. Counsel for all parties must file a notice of appearance in this Court promptly upon removal.

B. Redactions and Filing Under Seal.

i. Redactions Not Requiring Court Approval. The parties are referred to Rule 5.2
of the Federal Rules of Civil Procedure, the Southern District’s ECF Privacy Policy (“Privacy Policy”), and the Southern District’s September 24, 2025 Notice to the Bar announcing changes to electronic access to and service of sealed documents.0F1 There are two categories of information that may be redacted from public court filings without prior permission from the Court: “sensitive information” and information requiring “caution.” Parties should not include in their public filings, unless necessary, the five categories of “sensitive information” (i.e., social security numbers [use the last four digits only], names of minor children [use the initials only], dates of birth [use the year only], financial account numbers [use the last four digits only], and home addresses [use only the City and State]). Parties may also, without prior Court approval, redact from their public filings the six categories of information requiring caution described in the Privacy Policy (i.e., any personal identifying number, medical records [including information regarding treatment and diagnosis], employment history, individual financial information, proprietary or trade secret information, and information regarding an individual’s cooperation with the government).

ii. Redactions and Sealed Filings Requiring Court Approval. Except for redactions permitted by the previous Paragraph, all redactions or sealing of public court filings require Court approval. To be approved, any redaction or sealing of a court filing must be narrowly tailored to serve whatever purpose justifies the redaction or

1 https://www.nysd.uscourts.gov/sites/default/files/2025-09/Notice%20to%20Bar%20with%20Standing%20Order%20- %20Sealed%20Document%20Access.pdf.

Judge Broderick Civil Rules & Practices

sealing and must be otherwise consistent with the presumption in favor of public access to judicial documents. See, e.g., Lugosch v. Pyramid Co. of Onondaga, 435 F.3d 110, 119–20 (2d Cir. 2006). In general, the parties’ consent or the fact that information is subject to a confidentiality agreement between litigants is not, by itself, a valid basis to overcome the presumption in favor of public access to judicial documents. See, e.g., In re Gen. Motors LLC Ignition Switch Litig., No. 14-MD- 2543, 2015 WL 4750774, at *4 (S.D.N.Y. Aug. 11, 2015).

iii. Procedures for Filing Sealed or Redacted Documents. Any party seeking to file a document under seal or in redacted form shall proceed as follows:

Meet and Confer. The party seeking leave to file sealed or redacted materials should meet and confer with any opposing party (or any third party seeking confidential treatment of the information) in advance to narrow the scope of the request. When a party seeks leave to file a document under seal or in redacted form on the ground that an opposing party or third party has requested it, the filing party shall notify the opposing party or third party that it must file, within three days, a letter explaining the need to seal or redact the document. Sealed documents can no longer be served through electronic filing in the ECF system.
Accordingly, any method of service of sealed documents, other than those provided for in the Federal Rules of Civil Procedure (such as by email), must be discussed and agreed upon by the parties.

Sealed Document(s). The party shall electronically file a letter motion seeking leave to file a document under seal on ECF in accordance with Standing Order 19-MC-583 and Section 6 of the S.D.N.Y. Electronic Case Filing Rules and Instructions. The letter motion itself shall be filed in public view, should explain the reasons for seeking to file the document under seal, and should not include confidential information. The proposed sealed document shall be separately and contemporaneously filed under seal on ECF (with the appropriate level of restriction) and electronically related to the motion (or to the relevant Court order if the Court previously granted leave to file the document under seal). Note that the summary docket text, but not the document itself, will be open to public inspection and, thus, the summary docket text should not include confidential information sought to be filed under seal. Also note that the filed document will only be accessible by the Court; it will not be available to the parties.

Redacted Document(s). Where a party seeks leave to file a document in redacted form, the party shall electronically file a letter motion seeking leave to file a document in redacted form on ECF in accordance with Standing Order 19-MC-583 and Section 6 of the S.D.N.Y. Electronic Case Filing Rules and Instructions. The letter motion itself shall be filed in public view, should explain the reasons for seeking to file the document in

Judge Broderick Civil Rules & Practices

redacted form, and should not include confidential information. At the same time, the party shall (1) publicly file on ECF and electronically relate to the letter motion a copy of the document with the proposed redactions; and (2) file under seal on ECF (with the appropriate level of restriction) and electronically relate to the motion an unredacted copy of the document with the proposed redactions highlighted.

Submission by E-Mail. Any party unable to utilize the process for electronically filing under seal through the ECF system, or who believes that a particular document should not be electronically filed at all, shall file a letter motion by e-mail seeking leave of the Court to file in a different manner. All counsel must be copied on the email. The email shall state clearly in the subject line the following: (1) the caption of the case, including the docket number and lead party names; and (2) a brief description of the contents of the letter (e.g., “14-cv-9999 – Jones v. Smith – Request to File Under Seal”). Parties shall not include substantive communications in the body of the email; substantive communications shall appear only in the body of the attached letter.

C. Bankruptcy Appeals. Unless otherwise ordered, briefs must be submitted in accordance with Federal Rules of Bankruptcy Procedure 8015–8018. The appeal may be dismissed if the opening brief is not timely filed. Counsel may apply for an extension of the dates specified in Bankruptcy Rule 8018 by joint request but must do so at least two business days before the brief is due. The page limits in Bankruptcy Rule 8015 must be observed.

D. Applications for Temporary Restraining Orders. A party seeking a temporary restraining order should file a Motion for a Temporary Restraining Order, supporting documents, and a proposed order on ECF in accordance with the procedures found in ECF Rule 18.2 and Standing Order 21-MC-16. Information on filing an application ex parte may be found in section 6, Sealed Filing, of the S.D.N.Y. ECF Rules & Instructions, available online at https://nysd.uscourts.gov/rules/ecf-related- instructions. Where the motion is made on notice to the other parties, the moving party should simultaneously serve the documents on any party that will not receive electronic service via the ECF system. The moving party shall email chambers at BroderickNYSDChambers@nysd.uscourts.gov, and provide notice of the filing and the time frame requested for Court action.

E. Social Security. Parties are directed to refer to the Local Social Security Rules, which take effect on January 1, 2025 and govern actions filed on or after that date.

F. Settlement. The Court will not retain jurisdiction to enforce confidential settlement agreements. If the parties wish that the Court retain jurisdiction to enforce the agreement, the parties must place the terms of their settlement agreement on the public record. The parties may either provide a copy of the settlement agreement for the Court to endorse or include the terms of their settlement agreement in their stipulation of settlement and dismissal.

Judge Broderick Civil Rules & Practices

6. Trial Submissions

A. Joint Pretrial Order. Unless otherwise specified by the Court, within thirty days after the close of discovery or, if any dispositive motion is filed, within thirty days from the Court’s decision on such motion, the parties shall file on ECF a proposed joint pretrial order, which shall include the information required by Fed. R. Civ. P. 26(a)(3) and the following:

i. The full caption of the action.

ii. The names, law firms, business addresses, and telephone and fax numbers of trial counsel.

iii. A brief statement by the plaintiff as to the basis of subject matter jurisdiction, and a brief statement by each other party as to the presence or absence of subject matter jurisdiction. Such statements shall include citations to all statutes relied on and relevant facts as to citizenship and jurisdictional amount.

iv. A brief summary by each party of the claims and defenses that the party asserts remain to be tried, including citations to any statutes on which the party relies. The summaries shall also identify all claims and defenses previously asserted which are not to be tried. The summaries should not recite any evidentiary matter.

v. A statement as to the number of trial days needed and as to whether the case is to be tried with or without a jury.

vi. A statement as to whether all parties have consented to trial by a magistrate judge, without identifying which parties do or do not consent.

vii. Any stipulations or agreed statements of fact or law to which all parties consent.

viii. A list of all trial witnesses, in the order in which the parties anticipate they will be called, indicating whether such witnesses will testify in person or by deposition, and a brief summary of the substance of each witness’s testimony.

ix. A designation by each party of deposition testimony to be offered in its case in chief, and any counter-designations and objections by any other party.

x. A list by each party of exhibits to be offered in its case in chief, with an indication by exhibit number as to whether any party objects to the exhibit. The party objecting must include a brief statement that makes clear the basis for its objection and must provide any necessary supporting authority.

xi. A statement of the damages claimed, and any other relief sought, including the manner and method used to calculate any claimed damages and a breakdown of the elements of such claimed damages.

Judge Broderick Civil Rules & Practices

xii. A statement as to whether the parties consent to less than a unanimous verdict.

B. Required Pretrial Filings. Each party shall file on ECF and serve with the joint pretrial order:

i. In all cases—motions addressing any evidentiary issues or other matters which should be resolved in limine. Any document that is the subject of an in limine motion should be submitted to the Court by email to BroderickNYSDChambers@nysd.uscourts.gov and served on opposing counsel but not filed on ECF.

ii. In all cases—a pretrial memorandum of law where a party believes it would be helpful to the Court.

iii. In jury cases—joint proposed voir dire questions, a verdict form, and jury instructions. These joint submissions shall consist of single documents, jointly composed, noting any areas of disagreement between the parties. The voir dire questions and jury instructions shall include both the text of any requested question or instruction as well as a citation, if relevant, to the authority from which it derives. These documents must also be submitted by email to BroderickNYSDChambers@nysd.uscourts.gov in Word format.

iv. In non-jury cases—proposed findings of fact and conclusions of law. The proposed findings of fact should be detailed and should include citations to the proffered trial testimony and exhibits, as there may be no opportunity for post- trial submissions. These documents must also be submitted by email to BroderickNYSDChambers@nysd.uscourts.gov in Word format.

C. Additional Submissions in Non-Jury Cases. At the time the joint pretrial order is filed in a non-jury case, each party shall send to the Court by mail or hand delivery and serve on opposing counsel, but not file on ECF, the following:

i. All deposition excerpts which will be offered as substantive evidence.

ii. All documentary exhibits.

D. Filings in Opposition. Any party may file the following documents in opposition. These documents shall be filed no later than one week after the filing of the pretrial order or three days before the scheduled trial date, whichever comes first:

i. Objections to another party’s requests to charge or proposed voir dire questions.

ii. Opposition to any motion in limine.

iii. Opposition to any legal argument in a pretrial memorandum.

Judge Broderick Civil Rules & Practices

E. Courtesy Copies. Two courtesy copies of all documents identified in Rules 6.A, B, C.i, and D above shall be submitted to Chambers on the date on which they are to be served or filed. Only one set of documentary exhibits is required. Voluminous material may be organized either in binders or manila file folders, but in any event, the courtesy copies shall be separately arranged into two independent sets (except for documentary exhibits).

F. Exhibits. All exhibits must be pre-marked in advance of trial and two bound copies provided to the Court not later than the first day of trial. If counsel intend to distribute copies of documentary exhibits to the jury, they are to make a separate copy for each juror. Counsel shall make certain that they have custody of all original exhibits. The Court does not retain them, and the Courtroom Deputy is not responsible for them.

Counsel should communicate with Courtroom Technology/AV Services, available at (212) 805-0134, if any technological support is required.

G. Trial Schedule. Trials will generally be conducted Monday through Thursday from 10:00 a.m. to 5:30 p.m., with lunch from 12:45 p.m. to 2:00 p.m. However, any trial scheduled to last for approximately one week will be conducted Monday through Friday. Upon request, the Court will be available to meet with counsel between 9:00 a.m. and 10:00 a.m. Such requests must be made by 9:30 p.m. the evening before the requested meeting through (i) an email to Chambers, and (ii) an email to the Law Clerk responsible for the case.

7. Post-Trial Procedures. Counsel are responsible for promptly raising any issue concerning the accuracy of transcripts certified by the court reporter to be used for purposes of appeal. Counsel perceiving an error that is material shall stipulate to the appropriate correction or, if agreement cannot be reached, shall proceed by motion on notice. Non-material defects in syntax, grammar, spelling, or punctuation should be ignored.

8. Policy on the Use of Personal Electronic Devices and Other Electronic Equipment. Attorneys’ use of personal electronic devices within the Courthouse and its environs is governed by Standing Order M10-468 (Electronic Devices and General Purposes Computing Devices), available at https://nysd.uscourts.gov/rules. Any attorney wishing to bring a personal electronic device into the Courthouse, can obtain a Valid Service Pass issued by the District Executive’s Office to an attorney who has been admitted to the Bar of this Court and presents a valid State Unified Court System Attorney Service Pass. A Valid Service Pass allows an attorney to bring in one personal electronic device into the courthouse and their environs for that attorney’s own use. A Valid Service Pass by itself does not authorize an attorney to bring a General Purpose Computing Device into the Courthouse and their environs.

An attorney with a Valid Service Pass or any member of the Bar of any court may bring one or more Personal Electronic Devices or General Purpose Computing Devices into the Courthouse and their Environs for use in a particular trial or proceedings with prior written permission. Any party seeking to bring such equipment shall submit a letter with the standard Electronic Device Order (attached as Exhibit A to the Electronic Devices and General

Judge Broderick Civil Rules & Practices

Purposes Computing Devices Standing Order) attached to Chambers at least ten business days in advance of the relevant trial or hearing requesting permission to use such equipment. The letter and order shall identify the type(s) of equipment to be used and the name(s) of the attorney(s) who will be using the equipment. Chambers will coordinate with the District Executive’s Office to issue the Order and forward a copy to counsel. The Order must be shown upon bringing the equipment into the Courthouse.

Mobile phones are permitted inside the Courtroom, but must always be kept turned off. Non- compliance with this rule will result in forfeiture of the device for the remainder of the proceedings.

ATTACHMENT A

DEFAULT JUDGMENT
PROCEDURE

1. Obtain a Certificate of Default for each defaulting defendant from the Clerk’s Office pursuant to Federal Rule of Civil Procedure Rule 55(a) and Local Civil Rule 55.1 of the Local Rules.

2. Prepare an Order to Show Cause for default judgment and make the Order returnable before Judge Broderick in Courtroom 518. Leave blank the date and time of the conference. Judge Broderick will set the date and time when he signs the Order.

3. Provide the following supporting papers with the Order to Show Cause:

A. An attorney’s affidavit setting forth:

i. The basis for entering a default judgment, including a description of the method and date of service of the summons and complaint.

ii. The procedural history beyond service of the summons and complaint, if any.

iii. Whether, if the default is applicable to fewer than all of the defendants, the Court may appropriately order a default judgment on the issue of damages prior to resolution of the entire action.

iv. The proposed damages and the basis for each element of damages, including interest, attorney’s fees, and costs.

v. Legal authority for why an inquest into damages would be unnecessary.

vi. If service of the Order to Show Cause on a defendant is anticipated as being accomplished by any method other than (1) those described in Federal Rule of Civil Procedure 4(e)(2), or (2) an alternative method previously approved by the Court in this case, an explanation of why these methods cannot be followed and why the alternative method is proper under the circumstances of the case.

B. A proposed default judgment.

C. Copies of all the pleadings.

D. A copy of the affidavit of service of the summons and complaint.

E. A Certificate of Default from the Clerk of Court.

4. Electronically file the proposed Order to Show Cause and supporting papers via ECF, in accordance with the ECF Rules & Instructions, available at https://nysd.uscourts.gov/rules/ecf-related-instructions.

5. After the Orders and Judgments Clerk approves the Order to Show Cause on ECF, the Court will review the motion for default judgment and, if appropriate, issue the Order to Show Cause setting a date and time for a default judgment hearing.

6. After the Judge signs the Order to Show Cause, serve a conforming copy of the Order and the supporting papers on the defendant by the following methods of service:

A. one of the methods described in Federal Rule of Civil Procedure 4(e)(2),

B. any alternative method previously approved by the Court in this case, or

C. other alternative method explained in the attorney affidavit.

7. Prior to the return date, file through on ECF: (1) an Affidavit of Service, reflecting that the defendant was served with a conforming copy of the Order to Show Cause and supporting papers; and (2) the supporting papers.

8. Prior to the return date, file the proposed judgment on ECF for the Clerk’s approval. The proposed judgment shall be approved by the Clerk prior to the conference and then brought to the conference for the Judge’s signature. If a default judgment as to liability is granted, it is the Court’s practice to then refer the case to the assigned magistrate judge for an inquest on damages.

Individual Rules of Practice in Criminal Cases

May 19, 2025

INDIVIDUAL RULES & PRACTICES IN CRIMINAL CASES VERNON S. BRODERICK, UNITED STATES DISTRICT JUDGE

Chambers United States District Court Southern District of New York Thurgood Marshall United States Courthouse 40 Foley Square, Room 415 New York, NY 10007 BroderickNYSDChambers@nysd.uscourts.gov
Courtroom United States District Court Southern District of New York Thurgood Marshall United States Courthouse 40 Foley Square, Courtroom 518 New York, NY 10007

1. Initial Matters. Upon assignment of a criminal case to Judge Broderick, the parties shall contact the Courtroom Deputy to arrange a prompt initial conference. If the Courtroom Deputy is unavailable, the parties are directed to email Chambers at BroderickNYSDChambers@nysd.uscourts.gov. The Assistant United States Attorney (“AUSA”) shall provide to Chambers, as soon as practicable, a courtesy copy of the Indictment and the Complaint, if one exists.
2. Electronic Case Filing (ECF). Counsel are required to register for ECF promptly after being retained or assigned. Counsel can obtain instructions on how to register at http://www.nysd.uscourts.gov/ecf filing.php.
3. Communications with Chambers. For docketing, scheduling and calendar matters, counsel shall contact the Courtroom Deputy. Otherwise—except for matters requiring immediate attention—all communications with Chambers must be in writing and contain the docket number for the case and the Court’s initials (VSB). Written communications should be filed on ECF. For situations requiring immediate attention from the Court, counsel should call Chambers directly, or if needed, the parties should email the Chambers inbox requesting the Court’s contact information.
   Parties should not submit courtesy copies of letters filed on ECF, unless the letter has an attachment greater than ten pages. In such cases, counsel should ensure that the courtesy copy is a copy of the ECF-filed version of the letter and includes the automatically-generated ECF header (that is, the text—e.g., “Case 1:14-cr-01234-ABC Document 100 Filed 01/1/14 Page 1 of 1”—appearing at the top of each page of a document on the ECF system). Letters to be filed under seal or containing sensitive or confidential information may be emailed to the Court at BroderickNYSDChambers@nysd.uscourts.gov as a .pdf attachment. All counsel must be copied on the email. The email shall state clearly in the subject line: (1) the caption of the case, including the lead party names and docket number; and (2) a brief description of the contents of the letter (e.g., “14-cr-9999 – U.S. v. Smith – Request to File Under Seal”). Parties shall not include substantive communications in the body of the email; such communications shall be included only in the body of the attached letter. Parties are directed to Rule 10.E for additional guidance for filing documents in redacted form or under seal.

Judge Broderick Criminal Rules & Practices

4. Benefactor Payments. Whenever defense counsel has received, or is receiving, benefactor payments that subject counsel to a conflict of interest, said counsel must inform the Court and request a Curcio hearing in advance of the first conference.
5. Substitution of Counsel. When there is a substitution of defense counsel, counsel of record must promptly contact the Courtroom Deputy to schedule a conference. At the conference, the Court will address the application by defense counsel to be relieved. The defendant, replacement counsel, and the AUSA must also attend the conference.
6. Discovery Motions. In making discovery motions, counsel shall comply with Local Criminal Rule 16.1. Any discovery motion must contain the Rule 16.1 affidavit.
7. Bail Modification. Any written request for a bail modification by a defendant shall indicate whether or not the Government and the Pretrial Services Officer consent to the request.
8. Guilty Pleas. Guilty pleas will ordinarily be taken by Judge Broderick. Permission for guilty pleas to be taken before a Magistrate Judge will be given in certain circumstances. The AUSA shall provide a courtesy copy of the plea agreement, cooperation agreement or Pimentel letter to Chambers as soon as practicable, ordinarily at least two business days before the scheduled plea. These documents should be emailed to BroderickNYSDChambers@nysd.uscourts.gov. Defense counsel are expected to have reviewed any plea, cooperation or other agreement—if necessary, with the assistance of an interpreter—with the defendant prior to the time set for the conference with the Court.
9. Trial Procedures A. Pretrial Submissions. Unless otherwise ordered, in limine motions shall be filed no later than two weeks prior to the scheduled commencement of trial, and responses shall be filed no later than 10 days prior to the scheduled commencement of trial. Any proposed voir dire questions, jury instructions, verdict forms or trial memoranda shall be filed the Thursday prior to trial. Two courtesy copies should be delivered to Chambers that same day. In addition, each party shall email those documents as Word documents to BroderickNYSDChambers@nysd.uscourts.gov. B. Schedule. Trials will generally be conducted Monday through Friday from 10:00 a.m. to 5:30 p.m., with lunch from 12:45 p.m. to 2:00 p.m. Upon request, the Court will be available to meet with counsel from 9:00 a.m. to 10:00 a.m. Such requests must be made by 9:00 p.m. the evening before the requested meeting. Testimony will begin at 10:00 a.m. C. Jury Selection. Jurors will be selected by the struck panel method as described in Judge Broderick’s Rules for Jury Selection, available at http://nysd.uscourts.gov/judge/Broderick.

Judge Broderick Criminal Rules & Practices

D. Exhibits and 3500 Material i. Exhibits shall be pre-marked. ii. At the start of trial, the Government shall provide the Court with three copies of the witness list and exhibit list and one set of pre-marked documentary exhibits and Section 3500 material assembled sequentially in a binder, or in separate manila folders labeled with the exhibit numbers and placed in a suitable container for ready reference. iii. In advance of each trial session, counsel for the party going forward at that session must show opposing counsel the exhibits he or she intends to introduce at the session. The opponent shall indicate those exhibits to which he or she has no objection, and the Court will admit them when offered at the session. Those exhibits to which there is an objection shall be presented to the Court for ruling before the opening of the session. iv. Sidebars during jury trials are discouraged. Counsel are expected to anticipate any matters that might require argument and to raise those issues with the Court in advance of the time that the jury will be hearing the evidence. v. If counsel intend to distribute copies of documentary exhibits to the jury, they are to make a separate copy for each juror. vi. Counsel shall make certain that they have custody of all original exhibits. The Court does not retain them, and the Courtroom Deputy is not responsible for them. 10. Sentencing A. Sentencing Submissions i. ECF Filing. The defendant’s sentencing submission shall be filed on ECF two weeks in advance of the date set for sentencing. The Government’s sentencing submission shall be filed on ECF one week in advance of the date set for sentencing. The parties shall provide the Court with one courtesy copy of each submission when it is filed. ii. Letters. The defendant is responsible for filing all letters submitted on behalf of the defendant, including those from friends, relatives, etc. The Government is responsible for filing all letters from victims. A party shall group and file the letters together as attachments to a single document marked SENTENCING MEMORANDUM with the caption and docket number clearly indicated. B. Adjournments. Any request for an adjournment of a sentencing proceeding shall be made as early as possible, and no later than three business days before the proceeding. Such requests should indicate whether opposing counsel consents.

Judge Broderick Criminal Rules & Practices

C. Public Record. Unless permission to the contrary has been obtained, every document in a sentencing submission, including letters, shall be filed in the public record. D. Privacy Policy. The parties are directed to the E-Government Act of 2002 and the Southern District’s ECF Privacy Policy (“Privacy Policy”) and reminded not to include, unless necessary, the five categories of “sensitive information” in their submissions (i.e., social security numbers, names of minor children [use only the initials], dates of birth [use only the year], financial account numbers and home addresses [use only the City and State]). E. Redactions i. Redactions Not Requiring Court Approval. Parties may redact the five categories of “sensitive information” and the six categories of information requiring caution (i.e., personal identifying number, medical records, treatment and diagnosis, employment history, individual financial information, proprietary or trade secret information, and information regarding an individual’s cooperation with the government), as described in the Privacy Policy, without Court approval. ii. Redactions Requiring Court Approval. If a party redacts information beyond the eleven categories of information identified in the Privacy Policy, an application to do so must be filed at the time the sentencing submission is served. The application must clearly identify the requested redaction and explain the reasons for the redaction. The application will be addressed at the sentencing proceeding. iii. Sealing. If any material is redacted from a publicly-filed document, only those pages containing the redacted material will be filed under seal. Counsel shall bring a copy of those pages to the sentencing proceeding, marked to indicate what information has been redacted from the publicly-filed materials, to give to the Court for filing under seal.

Rules for Jury Selection

January 29, 2014

RULES FOR JURY SELECTION: STRUCK PANEL METHOD VERNON S. BRODERICK, UNITED STATES DISTRICT JUDGE

The following is a description of the struck panel method by which juries will be selected in trials before Judge Broderick. The Court will conduct a voir dire of a number of panelists computed by totaling: the number of jurors to be selected (8 in most civil cases and 12 in criminal cases); the number of alternates (none in civil cases and usually 2 in criminal cases); and the number of peremptory challenges.
Thus, in a civil case with an 8-person jury and 3 peremptory challenges per side, the Court will voir dire 14 panelists. See Fed. R. Civ. P. 47, 48; 28 U.S.C. § 1870. In a single- defendant criminal case in which the defendant has 10 and the Government 6 peremptory challenges, plus 1 each with respect to alternates, see Fed. R. Crim. P. 24, we will voir dire 32 panelists (12 jurors + 2 alternates + 10 peremptories for defendant + 6 peremptories for the Government + 1 peremptory for defendant for the alternates + 1 peremptory for the Government for the alternates). In trials expected to last for substantially more than 1 week, the Court will consider increasing the number of jurors in a civil case or the number of alternates in a criminal case. The panelists will be voir dired in the Courtroom. If issues are raised that are better discussed outside the presence of the entire panel (e.g., sensitive issues, requests to be excused, etc.), Judge Broderick will follow-up with the individual jurors either at sidebar or in the robing room. After the follow-up voir dire, the Court will entertain challenges for cause (at sidebar or in the robing room). If panelists are excused for cause, they will be replaced and the new panelists will be voir dired, following the procedures above. Once all challenges for cause have been heard and decided, the Court will conduct the final voir dire (in the Courtroom), asking each panelist individual questions relating to county of residence, education, occupation, marital status, children, reading preferences, etc.
The parties will then exercise their peremptory challenges (at sidebar or in the robing room). In a civil case, plaintiff exercises the first challenge and the defendant goes second, with the parties proceeding in that fashion until all peremptories are exhausted. In a single-defendant criminal case with the usual number of peremptories, the parties exercise their challenges in 5 rounds, with the defendant going first and exercising 2 challenges each round and the Government exercising 2 challenges in the first round and 1 challenge in each of the remaining 4 rounds. A party may waive but not reserve a challenge. In other words, counsel may not pass on one round to save the challenge for another round.

Judge Broderick Rules for Jury Selection Challenges may be made to any of the panelists, regardless of where that panelist appears in the array. Counsel would be well advised, however, to focus on the first 8 (or 12 in criminal cases) panelists, as the first 8 (or 12) unchallenged panelists will constitute the jury once all peremptories are exercised. In criminal cases, each side will have one additional challenge exercisable only with respect to the alternates, who will be selected from the remaining panelists.

View source on SDNY.uscourts.gov →