Judge P. Kevin Castel — United States District Court, Southern District of New York

Case Management Plan and Scheduling Order

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK ---------------------------------------------------------------x : : : Plaintiff(s),

: : ___ cv ______ (PKC)

• against -

: : :
CIVIL CASE MANAGEMENT PLAN
: AND SCHEDULING ORDER

Defendant(s).
:

: ---------------------------------------------------------------x

This Civil Case Management Plan (the “Plan”) is submitted by the parties in accordance with Rule 26(f)(3), Fed. R. Civ. P.

All parties (consent) (do not consent) to conducting all further proceedings before a Magistrate Judge, including motions and trial. 28 U.S.C. § 636(c). [Circle one.] The parties are free to withhold consent without adverse substantive consequences. [If all parties consent, the remaining paragraphs need not be completed.]

This case (is) (is not) to be tried to a jury. [Circle one.]

Amended pleadings may not be filed and additional parties may not be joined except with leave of the Court. Any motion to amend or to join additional parties shall be filed within ___ days from the date of this Order. [Absent exceptional circumstances, thirty (30) days.]

Initial disclosures, pursuant to Rules 26(a)(1), Fed. R. Civ. P., shall be served not later than
____ days from the date of this Order. [Absent exceptional circumstances, fourteen (14) days.]

All fact discovery shall be completed no later than ___________________. [A period not to exceed 120 days (use an exact date), 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 (use exact dates) may be extended by the written consent of all parties without application to the Court, provided that all fact discovery is completed by the date set forth in paragraph 5 above:

a. Initial requests for production of documents to be served by _________________________.

b. Interrogatories to be served by ________________________________________________.

c. Depositions to be completed by _________________________________________________.

d. Requests to Admit to be served no later than ____________________________________.

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a. All expert discovery shall be completed no later than _______________.

[Absent exceptional circumstances, a date forty-five (45) days (use an exact date) from the date in paragraph 5, i.e. the completion of all fact discovery.]

b. No later than thirty (30) days prior to the date in paragraph 5, i.e. the completion of all fact discovery, the parties shall meet and confer on a schedule for expert disclosures, including reports, production of underlying documents and depositions, provided that (i) expert report(s) of the party with the burden of proof shall be due before those of the opposing party’s expert(s); and (ii) all expert discovery shall be completed by the date set forth in paragraph 7(a).

All motions and applications shall be governed by the Court’s Individual Practices, including pre- motion conference requirements, except that motions in limine may be made without a premotion conference on the schedule set forth in paragraph 11. Pursuant to the authority of Rule 16(c)(2), Fed. R. Civ. P., any motion for summary judgment will be deemed untimely unless a Pre-Motion Letter relating thereto is filed no later than fourteen (14) days after the date set by the Court for the close of fact discovery.

All counsel must meet face-to-face for at least one hour to discuss settlement within fourteen (14) days after the close of fact discovery.

a. Counsel for the parties have discussed an informal exchange of information in aid of an early settlement of this case and have agreed upon the following:

b. Counsel for the parties have discussed the use of the following alternate dispute resolution mechanisms for use in this case: (i) a settlement conference before a Magistrate Judge; (ii) participation in the District’s Mediation Program; and/or (iii) retention of a privately retained mediator. Counsel for the parties propose the following alternate dispute resolution mechanism for this case: ____________________________________________________

c. Counsel for the parties recommend that the alternate dispute resolution mechanism designated in paragraph b, be employed at the following point in the case (e.g. within the next sixty days; after the deposition of plaintiff is completed (specify date); after the close of fact discovery)

d. The use of any alternative dispute resolution mechanism does not stay or modify any date in this Order.

The Final Pretrial Submission Date is thirty (30) days after the close of fact and expert discovery (whichever is later). By the Final Pretrial Submission Date, the parties shall submit a Joint Pretrial Order prepared in accordance with the undersigned’s Individual Practices and Rule 26(a)(3), Fed. R. Civ. P. Any motions in limine shall be filed after the close of discovery but sufficiently before the Final Pretrial Submission Date to allow all briefing by all parties by the Final Pretrial Submission date; the Pre-Motion Letter requirement is waived for any such motion in limine. If this action is to be tried before a jury, proposed voir dire, jury instructions and verdict form shall also be filed by the

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Final Pretrial Submission Date. Counsel are required to meet and confer on a joint submission of proposed jury instructions and verdict form, noting any points of disagreement in the joint submission. Jury instructions may not be submitted after the Final Pretrial Submission Date, unless they meet the standard of Rule 51(a)(2)(A), Fed. R. Civ. P. If the action is to be tried to the Court, all “Final Pretrial Submissions (Non-Jury)” described in the Judge’s Individual Practices (at ¶6.D) shall be filed by the Final Submission Date with the schedule for each party’s submission to be agreed upon by the parties.

Counsel for the parties have conferred and their present best estimate of the length of trial is:

___________________.

[Parties may include other provisions. See Rule 26(f)(3).]

TO BE COMPLETED BY THE COURT:

The Plan has been reviewed by the Court and, except as modified, is adopted as the Scheduling Order of this Court in accordance with Rule 16(b), Fed. R. Civ. P.

14. [Other provisions included by Court.]

The next Case Management Conference is scheduled for ________________ at ____________.

This ORDER may not be modified or the dates herein extended, except by further Order of this Court for good cause shown. Any application to modify or extend the dates herein (except as noted in paragraph 6) shall be made in a written application in accordance with paragraph 1(C) of the Court’s Individual Practices and shall be made no less than five (5) days prior to the expiration of the date sought to be extended.

P. Kevin Castel United States District Judge Dated: New York, New York

Individual Practices for Sentencing Proceedings

Individual Practices for Sentencing Proceedings P. Kevin Castel, United States District Judge

Every sentencing submission, including letters, should be filed in the public record either in paper form or through the ECF system, using the procedures described below. 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.

In this regard, the parties are referred to 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 the initials only], dates of birth [use the year only], financial account numbers, and home addresses [use only the City and State]). 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 application to the Court.

If any material is redacted from the publicly filed document, only those pages containing the redacted material will be filed under seal. A copy of the redacted material should be sent to Chambers and also an additional copy should be handed up at the sentencing proceeding, marked to indicate what information has been redacted from the publicly filed materials.

I. A defendant's sentencing submission shall be served two weeks in advance of the date set for sentence. The government's sentencing submission shall be served one week in advance of the date set for sentence. The parties should provide the Court with one courtesy copy of each submission when it is served. At the time it is served, a party shall file its sentencing submission following one of the two procedures described here. (If the criminal case is a non-ECF case, then only paper filing is allowed.)

a. Paper Filing If letters are filed as hard copies, a party shall group all letters together in a single paper filing under a cover marked SENTENCING MEMORANDUM bearing the caption and docket number and submit it to the Clerk's Office.

b. ECF Filing If letters are filed electronically, they must be grouped and filed together as attachments to a single document marked SENTENCING MEMORANDUM bearing the caption and docket number.

If a party redacts information beyond the eleven categories of information identified in the Privacy Policy, an application to do so must be served and filed at the time the sentencing submission is served. The application should clearly identify the redaction and explain the reasons for the redaction. The application will be addressed at the sentencing proceeding.

If you have any questions about these practices, please email Chambers at CastelNYSDChambers@nysd.uscourts.gov.

Individual Practices in Civil Cases

Amended: March 17, 2025

Individual Practices in Civil Cases P. Kevin Castel, United States District Judge

Chambers United States District Court Southern District of New York 500 Pearl Street
New York, New York 10007
CastelNYSDChambers@nysd.uscourts.gov Courtroom Courtroom 11D 500 Pearl Street Florence Nacanther, Courtroom Deputy

Unless otherwise ordered, all civil actions and miscellaneous matters before Judge Castel shall be conducted in accordance with the following practices.

Communications

A.
Letters.

i. Communications with the Court shall be by letter and filed on ECF. Absent a specific direction from the Court, the text of an email transmitted to Chambers does not qualify as a letter and its contents will not be addressed by the Court or Chambers’ Staff.

ii. All letters must contain the docket number of the action, as well as the docket number of any related action before the Judge (e.g. 25 cv 3456(PKC) [rel. 25 cv 3457(PKC)]).

iii. The first paragraph of all letters must set forth the date of the next conference before the Court.

B. Questions and Matters Requiring Immediate Attention. Questions or requests on matters of scheduling, substance or procedure should be presented by letter. (See 1.A.) For matters requiring immediate attention, please email Chambers at: CastelNYSDChambers@nysd.uscourts.gov.

C. Requests for Adjournments or Extensions of Time. All requests for adjournments or extensions of time shall be made by letter filed on ECF. The letter should state:
i. the date sought to be adjourned or extended;

ii. the reasons for the request;

iii. whether any adjournment or extension of the date was previously sought and whether it was granted;

iv. whether the adversary consents to the request and, if not, the reasons given by the adversary for declining to consent; and

v. the information in 1.A. ii & iii above.

vi. A request for an extension of the schedule for completion of discovery shall attach a proposed Revised Case Management Plan and Scheduling Order (reflecting actual dates which are business days). It should also include a request to adjourn the next conference to a date at least 14 days after any proposed date for the close of fact discovery.

vii. A request for an adjournment of time to answer a complaint should include a request to adjourn the initial conference to a date at least 14 days after the answer would be due.

viii. A request for adjournment of a motion schedule shall include proposed dates for all submissions of all parties relating to the motion.

D. Courtesy Copies. If, but only if, they exceed 40 pages in length, courtesy copies of all pleadings (complaint, answer, counterclaim, etc.) shall be sent to Chambers within five days of filing.

E. Electronic Device Request. The Electronic Device Request form should not be submitted on ECF. It should be emailed to the Chambers’ email. It will be processed and returned to the requesting party and the party should bring a copy of the signed Request Form to Court.

Case Management Plans. For all civil cases, the parties shall confer and prepare a proposed Case Management Plan and Scheduling Order (a model Plan and Order is found under Judge Castel’s name on the Court website) and the agreed upon Plan and Order (together with any alternate proposal) shall be filed on ECF no later than 48 hours before the Initial Pretrial Conference.

Motions

A.
Pre-Motion Letter in Civil Cases i. The filing of a Pre-Motion letter to the Court is required prior to the filing of all motions, except the following:
a Discovery motions, which are governed by 3.B. below;
b Motions brought by order to show cause; c Motions by incarcerated pro se litigants;

d Motions for a default judgment; e Motions for appointment of lead counsel under the PSLRA; f Motions for admission pro hac vice; g Motions to withdraw as counsel;
h Motions for reconsideration; i Motions to seal or unseal (see 5.B below); j Motions relating to discovery which shall be brought on in compliance with 3.B below; k Any motion described in Rule 6(b)(2), Fed. R. Civ. P., Rule 4(a)(4)(A), Fed. R. App., or section 1447 of title 28.

ii. The letter shall set forth in detail the legal and factual basis for the anticipated motion and a proposed schedule for the motion.

iii. A response to the letter shall be filed within four business days.

iv. If a Pre-Motion Letter seeks to file a motion to dismiss, the party responding shall unambiguously state in the first paragraph whether he, she or it seeks leave to amend. The Pre-Motion Letter and response will be taken into account in deciding whether further leave to amend will be granted in the event the motion to dismiss is granted. Among other purposes, the Pre- Motion Letter and response enables the Court to set an appropriate briefing schedule and to explore whether the motion may be (a) obviated by an amendment to the pleadings or consent to the relief; or (b) deferred to a different juncture in the case.

v. The transmittal of a Pre-Motion Letter for a proposed motion under Rule 12(b), Fed. R. Civ. P., stays the time to answer or move until further order of the Court.

vi. The Pre-Motion Letter shall state in the first paragraph the date of any conference scheduled before the Court.

B. Discovery Disputes. Discovery Disputes shall be brought on by letter motion and the parties shall comply with Local Civil Rule 37.2 unless otherwise ordered. A Discovery Dispute Letter to the Court shall contain the certification required under Rule 37(a)(1), Fed. R. Civ. P., and set forth the full text of any a discovery request and response or objection thereto, together with any case law support and any affidavits required to adjudicate the issue. The party from whom discovery is sought shall respond within four business days and shall include any case law support and any affidavits required to adjudicate the motion.

C. Motion Response Time. Unless otherwise ordered, the time for a response or reply to a motion is as set forth in Local Civil Rule 6.1. (The response time to a Pre-Motion Letter or Discovery Dispute are as set forth in 3.A.iii and 3.B.)

D. Memoranda of Law. Unless prior permission has been granted, memoranda of law in support of and in opposition to motions are limited to 25 pages, and reply memoranda are limited to 10 pages. A memorandum of 10 pages or more shall contain a table of contents.

E. Courtesy Copies. Courtesy copies of all motion papers shall be submitted in hard copy to Chambers within four days of filing.

F. Oral Argument on Motions. Parties may request oral argument by letter. The court will determine whether argument will be heard and, if so, will advise counsel of the argument date.

G. Summary Judgment.

i. A summary judgment movant shall provide the opposing party with a copy of its Local Rule 56.1(a)(1) Statement in Microsoft Word format within four days of filing.

ii. The Local Rule 56.1(a)(2) Statement by the party opposing summary judgment shall set forth verbatim the text of each paragraph of the Local Rule 56.1(a)(1) Statement of the movant immediately preceding its response thereto.

H. Default Judgment. A party seeking a default judgment must proceed by filing a motion for default judgment on ECF pursuant to Rule 55(b)(2), Fed. R. Civ. P. and Local Civil Rule 55.2(b). A party seeking a default judgment should not proceed by order to show cause. The motion must be supported by the following papers:

i. an attorney’s affidavit or declaration setting forth:

(a) the basis for entering a default judgment, including a description of the method and date of service of the summons and complaint;

(b) the procedural history beyond service of the summons and complaint, if any;

(c) 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;

(d) the proposed damages and the basis for each element of damages, including interest, attorney’s fees, and costs; and

(e) an explanation why an inquest into damages would be necessary or not.

ii. a proposed default judgment;

iii. a copy of the affidavit of service of the summons and complaint; and

iv.
if failure to answer is the basis for the default, a Certificate from the Clerk
of Court stating that no answer has been filed.

The Court for a motion for default judgment shall be served on the party against whom default judgment is sought. The time for a response and reply are as set forth in Local Civil Rule 6.1.

Confidentiality Orders. Any proposed Confidentiality Order shall contain the following language:

Notwithstanding any other provision, no document may be filed with the Clerk under seal without a further Order of this Court addressing the specific documents or portions of documents to be sealed. Any application to seal shall be accompanied by an affidavit or affidavits and a memorandum of law, demonstrating that the standards for sealing have been met and specifically addressing the applicability of Lugosch v. Pyramid Co. of Onondaga, 435 F.3d 110, 119-120 (2d Cir. 2006) and any other controlling authority. Unless otherwise ordered, a party seeking to file an opposing party’s confidential information shall so advise the opposing party fourteen
(14) days in advance specifying the precise portion of the information the party seeks to use, the general purpose thereof and any redactions to which the party does not object. Within seven (7) days thereafter, the party whose confidential information is sought to be used may make an application to seal in accordance with the first paragraph of this Order, indicating the portion or portions of the information it seeks to have sealed. Nothing herein is intended to alter or modify the applicability of Rule 5.2, Fed. R. Civ. P., to this case. The redactions expressly authorized by Rule 5.2 may be made without further application to the Court.

Sealing in Civil and Miscellaneous Cases: ECF Requirements

A. Sealing/Redactions Not Requiring Court Approval. Rule 5.2, Fed. R. Civ. P., describes sensitive information that must be redacted from public court filings

and such redactions shall be made without seeking prior permission from the Court.

B. Sealing/Redaction Requiring Court Approval. Motions or Letter Motions for approval of sealed or redacted filings in civil and miscellaneous cases and the subject documents, including the proposed sealed document(s), must be filed electronically through the court’s ECF system in conformity with the Court’s Standing Order, 19-mc-00583, and ECF Rules & Instructions, section 6.
Specifically, the following procedures must be followed:

i The motion must be filed in public view, must explain the particular reasons for seeking to file that information under seal and should not include confidential information sought to be filed under seal. Supporting papers must be separately filed electronically and may be filed under seal or redacted only to the extent necessary to safeguard information sought to be filed under seal.

ii. The proposed sealed document must be contemporaneously filed under seal in the ECF system and electronically related to the motion. The summary docket text, but not the sealed document, will be open to public inspection and should not include confidential information sought to be filed under seal.

iii. Where the motion seeks approval to redact information from a document that is to be publicly filed, the filing party shall: (a) publicly file the document with the proposed redactions, and (b) electronically file under seal a copy of the unredacted document with the proposed redactions highlighted. Both documents must be electronically filed through the ECF system and related to the motion.

iv. Any party unable to comply with the requirement for electronic filing under seal through the ECF system, or who has reason to believe that a particular document should not be electronically filed, must move for leave of the Court to file in the traditional manner, on paper.

Final Pretrial Submissions. Unless otherwise ordered by the Court, no later than 45 days following the scheduled date for completion of fact and expert discovery, the parties shall submit to the Court and electronically file:

A. A proposed Joint Pre-Trial Order that includes the information required by Rule 26(a)(3), Fed. R. Civ. P., and also the following:

i. The names, addresses, mobile phone numbers and email addresses of all counsel participating in the trial.

ii. Stipulations of fact and testimony, including a certification by lead trial counsel for all parties that they have met face-to-face for the purpose of

endeavoring to reach agreement upon stipulations of fact and stipulations of testimony and the content of their stipulations.

iii. A statement of the claims and defenses that remain to be tried. Any claim or defense not so identified is deemed withdrawn.

iv. A statement by each party as to whether the case is to be tried with or without a jury, and the number of trial days needed.

v. A page and line designation of deposition testimony to be offered by each party on the party’s case-in-chief, with any cross-designations and objections by any other party.

vi. A list by each party of exhibits to be offered in the party’s case-in-chief, with one star indicating exhibits to which no party objects on grounds of authenticity, and two stars indicating exhibits to which no party objects on any ground.

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

B. Unless otherwise ordered, any motions in limine shall be filed within 21 days following the scheduled date for completion of fact and expert discovery and responded to within 14 days of service.

C. In addition to A and B above, in any action to be tried to a jury, the following shall be submitted:

i. proposed voir dire;

ii. proposed jury instructions; and

iii. proposed verdict form.

Unless otherwise ordered, plaintiff shall file (i), (ii), and (iii) 21 days following the scheduled date for completion of fact and expert discovery and defendant’s response (including areas of agreement) and counterproposals on (i), (ii) and (iii) shall be filed 14 days thereafter. These submissions must be filed on ECF with a copy in Microsoft Word submitted to Chambers electronically within four days.

D. In addition to A and B above, in any action to be tried to the Court without a jury, the following procedures shall govern, unless otherwise ordered:

i. The direct testimony of each witness under the control of a party (i.e. excluding adverse witnesses and witnesses whose appearance must be compelled by subpoena) shall be presented in the form of an affidavit or declaration setting forth the narrative of their testimony in numbered paragraphs.

ii. The direct testimony of the plaintiff’s witnesses shall be filed 21 days following the scheduled date for completion of fact and expert discovery and the direct of the defendant’s direct testimony shall be filed 14 days thereafter. The direct testimony of each witness shall be delivered to Chambers within four days of filing in both hard copy and Microsoft Word.

iii. At trial, each witness whose direct testimony previously has been submitted in affidavit or declaration form shall appear and under oath shall reaffirm that the affidavit or declaration is true and correct. The party offering the witness then shall offer the affidavit or declaration as an exhibit, subject to appropriate objections by the opposing party. For good cause shown, the witness then may be allowed to supplement his or her statement by additional direct testimony. Thereafter, cross- examination and any redirect shall proceed in the ordinary course.

iv. The parties may by agreement waive the appearance and cross- examination of any witness.

Trials and Hearings

A. Exhibits.
Unless otherwise ordered, all trial or hearing exhibits shall be pre-marked with exhibit letters for the plaintiff (e.g. PX A, PX B, etc.) and numbers for the defendant (e.g. DX 1, DX 2, etc.) A party shall have two hard copies of all trial exhibits in the Courtroom to be handed up if and when requested by the Court. Unless otherwise ordered, at the commencement of trial, an electronic set of trial exhibits shall be presented to the Court and to opposing counsel. At the close of evidence in a jury trial, a set of all admitted exhibits in electronic form, together with an index, shall be prepared by the parties for the jury’s use during deliberation. Counsel for each side is responsible for maintaining custody of the side’s own exhibits at the conclusion of trial.

B. Witnesses.
Ordinarily, trials and hearings continue from day to day until completed. The Court will advise if a trial or hearing will be held on a Friday (which is often reserved for motions and hearings in other actions). A party is expected to have their next witness at the Courthouse ready to testify immediately upon completion of a prior witness’s testimony.

Trial Consent

OAO 85 (R ev. 8/98) Notice, Consent, and Order of Reference — Exercise of Jurisdiction by a United States Magistrate Judge UNITED STATES DISTRICT COURT District of NOTICE, CONSENT, AND ORDER OF REFERENCE — EXERCISE OF JURISDICTION BY A UNITED STATES Plaintiff MAGISTRATE JUDGE V. Case Number: Defendant NOTICE OF AVAILABILITY OF A UNITED STATES MAGISTRATE JUDGE TO EXERCISE JURISDICTION In accordance with the provisions of 28 U.S.C. §636(c), and Fed.R.Civ.P. 73, you are notified that a United States magistrate judge of this district court is available to conduct any or all proceedings in this case including a jury or nonjury trial, and to order the entry of a final judgment. Exercise of this jurisdiction by a magistrate judge is, however, permitted only if all parties voluntarily consent. You may, without adverse substantive consequences, withhold your consent, but this will prevent the court’s jurisdiction from being exercised by a magistrate judge. If any party withholds consent, the identity of the parties consenting or withholding consent will not be communicated to any magistrate judge or to the district judge to whom the case has been assigned. An appeal from a judgment entered by a magistrate judge shall be taken directly to the United States court of appeals for this judicial circuit in the same manner as an appeal from any other judgment of this district court. CONSENT TO THE EXERCISE OF JURISDICTION BY A UNITED STATES MAGISTRATE JUDGE In accordance with provisions of 28 U.S.C. §636(c) and Fed.R.Civ.P. 73, the parties in this case consent to have a United States magistrate judge conduct any and all proceedings in this case, including the trial, order the entry of a final judgment, and conduct all post-judgment proceedings. Party Represented Signatures Date ORDER OF REFERENCE IT IS ORDERED that this case be referred to United States Magistrate Judge, to conduct all proceedings and order the entry of judgment in accordance with 28 U.S.C. §636(c) and Fed.R.Civ.P. 73. Date United States District Judge

NOTE: RETURN THIS FORM TO THE CLERK OF THE COURT ONLY IF ALL PARTIES HAVE CONSENTED ON THIS FORM TO THE EXERCISE OF JURISDICTION BY A UNITED STATES MAGISTRATE JUDGE.

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