Judge Sarah L. Cave — United States District Court, Southern District of New York

Case Report and Proposed Case Management Plan for Pro Se Cases

Revised February 24, 2020

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK [PLAINTIFF], Plaintiff(s), against [DEFENDANT], Defendant(s).

CIVIL ACTION NO.: ___ Civ. ___ ( )(SLC)

CASE REPORT AND PROPOSED CASE MANAGEMENT PLAN FOR PRO SE CASE

Summary of Claims, Defenses, and Relevant Issues: Plaintiff/Defendant (circle one)

I understand my obligation to preserve information relevant to this action and I am

preserving that information now. Plaintiff/Defendant (circle one)

Proposed Schedule: All discovery must be completed by ___________. a. Initial Requests for Documents must be made by ___________________. b. Depositions shall be completed by ____________________________. i. Neither party may take more than ___ depositions. Absent an agreement between the parties or an order from the Court, non- party depositions shall follow initial party depositions. c. Documents from Third Parties (such as doctors) will/will not (circle one) be required. If required, the following are the Third Parties from whom the parties will request documents: _________________________________

___________________________________________________________. i. Subpoenas requesting documents from Third Parties must be served by ________. Any party that receives a production from a Third Party must provide a copy of that production to all other parties in this action. d. There will/will not (circle one) be expert testimony in this case. If expert testimony will be needed, please describe the topic on which each expert is expected to testify.

i. Written reports by any expert(s) must be served on the other parties in this action by ______________________. Depositions of experts must be completed by ________________. 4. Early Settlement or Resolution: The parties have/have not (circle one) discussed the possibility of settlement. The parties request a settlement conference by no later than _______________________. The following information is needed before settlement can be discussed:

Other Matters: Plaintiff/Defendant (circle one) wishes to discuss the following additional topics at the Initial Case Management Conference.

Respectfully submitted this ____ day of ___________.

Name

Address Counsel for ___________ (if applicable)

Email Address

Phone Number

Consent to Proceed Before US Magistrate Judge

AO 85 (Rev. 02/17) Notice, Consent, and Reference of a Civil Action to a Magistrate Judge UNITED STATES DISTRICT COURT for the __________ District of __________ ) ) ) ) ) Plaintiff v. Civil Action No. Defendant NOTICE, CONSENT, AND REFERENCE OF A CIVIL ACTION TO A MAGISTRATE JUDGE Notice of a magistrate judge’s availability. A United States magistrate judge of this court is available to conduct all proceedings in this civil action (including a jury or nonjury trial) and to order the entry of a final judgment. The judgment may then be appealed directly to the United States court of appeals like any other judgment of this court. A magistrate judge may exercise this authority only if all parties voluntarily consent. You may consent to have your case referred to a magistrate judge, or you may withhold your consent without adverse substantive consequences. The name of any party withholding consent will not be revealed to any judge who may otherwise be involved with your case. Consent to a magistrate judge’s authority. The following parties consent to have a United States magistrate judge conduct all proceedings in this case including trial, the entry of final judgment, and all post-trial proceedings. Printed names of parties and attorneys Signatures of parties or attorneys Dates Reference Order IT IS ORDERED: This case is referred to a United States magistrate judge to conduct all proceedings and order the entry of a final judgment in accordance with 28 U.S.C. § 636(c) and Fed. R. Civ. P. 73. Date: District Judge’s signature Printed name and title Note: Return this form to the clerk of court only if you are consenting to the exercise of jurisdiction by a United States magistrate judge. Do not return this form to a judge. Print Save As... Reset

Consent to Proceed Before US Magistrate Judge Over a Specific Motion

AO 85A (Rev. 02/17) Notice, Consent, and Reference of a Dispositive Motion to a Magistrate Judge UNITED STATES DISTRICT COURT for the __________ District of __________ ) ) ) ) ) Plaintiff v. Civil Action No. Defendant NOTICE, CONSENT, AND REFERENCE OF A DISPOSITIVE MOTION TO A MAGISTRATE JUDGE Notice of a magistrate judge’s availability. A United States magistrate judge of this court is available to conduct all proceedings and enter a final order dispositive of each motion. A magistrate judge may exercise this authority only if all parties voluntarily consent. You may consent to have motions referred to a magistrate judge, or you may withhold your consent without adverse substantive consequences. The name of any party withholding consent will not be revealed to any judge who may otherwise be involved with your case. Consent to a magistrate judge’s consideration of a dispositive motion. The following parties consent to have a United States magistrate judge conduct any and all proceedings and enter a final order as to each motion identified below (identify each motion by document number and title). Motions: Printed names of parties and attorneys Signatures of parties or attorneys Dates Reference Order IT IS ORDERED: The motions are referred to a United States magistrate judge to conduct all proceedings and enter a final order on the motions identified above in accordance with 28 U.S.C. § 636(c). Date: District Judge’s signature Printed name and title Note: Return this form to the clerk of court only if you are consenting to the exercise of jurisdiction by a United States magistrate judge. Do not return this form to a judge. Print Save As... Reset

Individual Practices in Criminal Cases

Revised March 17, 2025

INDIVIDUAL PRACTICES IN CRIMINAL CASES MAGISTRATE JUDGE SARAH L. CAVE

Chambers Courtroom
Daniel Patrick Moynihan Courthouse 500 Pearl Street, Room 1670 New York, NY 10007
Email: CaveCriminalDuty@nysd.uscourts.gov Daniel Patrick Moynihan Courthouse 500 Pearl Street, Courtroom 18A
New York, NY 10007

I. Criminal Applications

A. Warrants. Arrest and search warrants, including applications for cell site information, triggerfish, and GPS tracking, should be emailed to CaveCriminalDuty@nysd.uscourts.gov specifying the time that the agent and U.S. Attorney are available to swear out the complaint.

B. Late-night or weekend warrants. If you anticipate the need for a late-night or weekend warrant, please send Judge Cave an email at CaveCriminalDuty@nysd.uscourts.gov.

II. Pleas

A. At least 24 hours in advance of a plea, the indictment/information, plea agreement, a summary of the elements of the offense(s), and the maximum and mandatory penalties for each crime/count should be emailed to CaveCriminalDuty@nysd.uscourts.gov.

III. Misdemeanor Sentencing

A. Pre-sentence submissions for misdemeanors should be submitted no later than 2 weeks before the scheduled meeting.

Individual Rules and Practices in Civil Cases

INDIVIDUAL PRACTICES IN CIVIL CASES MAGISTRATE JUDGE SARAH L. CAVE

Chambers Courtroom
Daniel Patrick Moynihan Courthouse
500 Pearl Street, Room 1670 New York, NY 10007
Email for Civil Matters: Cave_NYSDChambers@nysd.uscourts.gov Email for Criminal Matters: CaveCriminalDuty@nysd.uscourts.gov

Daniel Patrick Moynihan Courthouse 500 Pearl Street, Courtroom 18A
New York, NY 10007

Cases come before Magistrate Judges in one of two ways: for one or more specific purposes pursuant to an order of reference by the assigned District Judge, or, on consent of the parties, for all purposes pursuant to 28 U.S.C. § 636(c). When a District Judge approves an all-purposes consent form signed by counsel, the Magistrate Judge assumes the role of the District Judge. Any appeal is directly to the Court of Appeals and the right to a jury trial is preserved.

It is the uniform practice of the Magistrate Judges in this District to schedule trials in civil consent cases for firm dates, which are unlikely to be changed absent unusual circumstances. Should counsel wish to consent to have Judge Cave hear their case for all purposes, they should complete and file the necessary form, which is available on the Court’s website at https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf.

Unless otherwise ordered by Judge Cave, matters before her shall be conducted in accordance with the following practices.1 These practices are applicable to cases before Judge Cave if the matter is within the scope of the District Judge’s order of reference or if the case is before Judge Cave for all purposes pursuant to 28 U.S.C. § 636(c). Otherwise, the practices of the District Judge to whom the case is assigned apply.

I. Communications with Chambers

A. Letters. Communications with the Court must be by letter, filed on the docket via electronic case filing (“ECF”). Courtesy copies are unnecessary. Letters may not exceed 1,050 words in length, exclusive of attachments, which should be kept to a minimum. Any letter containing sensitive or confidential information that a party does not wish to appear on the docket should follow the procedures outlined in Section I.F. below.

1 Requests for reasonable accommodations on account of disability or religion with respect to these rules or in connection with any proceeding before Judge Cave may be included in a party’s first filing to the Court or made by separate letter.

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B. Urgent Telephonic or Email Communications. If a matter requires urgent attention, the parties must first file a request for relief on the docket before alerting Chambers by telephone call or email. If you are encountering difficulties using ECF, call the ECF Help Desk at 212‐805‐0800.

C. Pro Se Parties. By Standing Order, a pro se party must mail all communications with the Court to the Pro Se Intake Unit located at 40 Centre Street, Room 105, New York, NY 10007. A pro se party may not call or email Chambers or send any document or filing directly to Chambers. Submissions requiring immediate attention should be hand‐delivered to the Pro Se Intake Unit. Any non‐ incarcerated pro se party who wishes to participate in ECF must file a Motion for Permission for Electronic Case Filing, available in the Pro Se Intake Unit or at: https://nysd.uscourts.gov/node/844. Any non‐incarcerated pro se party who wishes to receive documents by email instead of by regular mail may consent to electronic service by filing a Pro Se (Non-prisoner) Consent & Registration Form to Receive Documents Electronically, available in the Pro Se Intake Unit or at https://www.nysd.uscourts.gov/node/845.

D. Requests for Adjournments or Extensions of Time. Requests to adjourn any court conference or proceeding or to extend a deadline must be made by Letter‐ Motion filed on ECF, after consultation with all parties, and must state: (1) the original date of the conference, proceeding or deadline; (2) the number of previous requests for adjournment or extension; (3) whether these previous requests were granted or denied; (4) the reason for the present request; (5) whether all affected parties consent; and (6) if not, the reasons given for refusing.
If the requested adjournment or extension affects any other scheduled dates, a proposed Revised Case Management Plan must be attached.

Absent unforeseeable emergencies, all requests for adjournment of a court conference or other court proceeding (including a telephonic court conference) must be made at least 48 hours in advance of the proceeding to be adjourned, and must include at least two (2) proposed dates, on which all counsel are available, for the adjourned proceeding.

E. Hand Deliveries. Where permitted by these Rules, hand deliveries should be left with the Court Security Officers at the Worth Street entrance of 500 Pearl Street and may not be brought directly to Chambers. If the hand delivery is urgent and requires the Court’s immediate attention, ask the Court Security Officers to notify Chambers that an urgent package has arrived that needs to be retrieved immediately by Chambers staff.

F. Electronic Filing Under Seal. These procedures only apply to motions and applications before Judge Cave. Filing under seal requires permission of the Court. Unless otherwise ordered, any party wishing to file a document or

Revised March 17, 2025

portion thereof under seal must comply with the following procedures on or before the date on which the relevant filing is due.

Sealing/Redactions Not Requiring Court Approval. Fed. R. Civ. P. 5.2 describes sensitive information that must be redacted from public court filings without seeking prior Court permission. Parties should also consult the S.D.N.Y. ECF Rules & Instructions, Section 21, Rules 21.3
and 21.4, available at https://nysd.uscourts.gov/rules/ecf-related- instructions.

Sealing/Redactions 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-583, and ECF Rules & Instructions, Section 6, available at https://nysd.uscourts.gov/rules/ecf-related-instructions.

G. Citations. All moving papers, letter-motions, and letters filed on ECF or emailed to Chambers when permitted must be in searchable PDF form. When citing unreported cases, parties shall use Westlaw citations whenever possible.
Citations to all documents filed on ECF must include the ECF document number and ECF page number. For example, citation to an exhibit accompanying a declaration would appear as “ECF No. 123-4 at 10,” rather than “Smith Decl. Ex. 4 at 10.”

H. Electronic Device Order Requests. Attorneys’ use of electronic devices (including mobile telephones, personal electronic devices, computers, and printers) within the Courthouse and its environs is governed by the Court’s Standing Order M10-468.4. Attorneys seeking to bring a device into the Courthouse shall submit a completed copy of the Electronic Devices General Purpose Form, available on the Court's website, to the Court by email at least 24 hours prior to the court proceeding. Requests for a so-ordered electronic device order are not filed on ECF.

II. Pretrial Procedures

A. Initial Case Management Conference. Except for Pro Se Cases, parties must confer and file a Report of Rule 26(f) Conference and Proposed Case Management Plan one (1) week before the Initial Case Management Conference.
A template form for the Report of Rule 26(f) Conference and Proposed Case Management Plan is available at www.nysd.uscourts.gov/hon-sarah-l-cave.

Revised March 17, 2025

Pro Se Cases. Each party must submit a Case Report and Proposed Case Management Plan for Pro Se Cases one (1) week before the scheduled conference in conformance with the procedures in Section I above. The parties shall use the form Proposed Case Management Plan template for Pro Se Cases found at www.nysd.uscourts.gov/hon-sarah-l-cave.

Attendance. Lead counsel for the parties are expected to attend the Initial Case Management Conference. Reasonable accommodations will be made for parties or their counsel who cannot attend in person on account of disability. An incarcerated party who is unable to attend this or other conferences may be able to participate by telephone. If appropriate, the Court’s scheduling order will outline the procedures for participation by telephone.

B. Confidentiality Stipulations and Protective Orders. In cases where confidential information will be exchanged, the parties must utilize the Court’s Model Confidentiality Stipulation and Proposed Protective Order found at www.nysd.uscourts.gov/hon-sarah-l-cave. The parties may apply for a protective order that differs from the Court’s model by submitting a letter request via ECF and attaching the proposed order showing in a blackline comparison how the proposed order differs from the Court’s model. The letter should explain why the modifications are needed and note any disagreements between the parties regarding the modifications from the Court’s model.

C. Discovery Disputes.

Requirement to Meet and Confer. The Court will not hear any discovery dispute unless the moving party (including a non‐party seeking relief) has first conferred in good faith with any adverse party to resolve the dispute. An exchange of letters or emails alone does not satisfy this requirement. Counsel must respond promptly and in good faith to any request from another party to confer in accordance with this paragraph.

Letter‐Motion for Discovery Conference. If the parties have met and conferred but were unable to resolve their dispute, the moving party must request a discovery conference with the Court, by Letter‐Motion, as required by Local Civil Rule 37.2. Counsel should select the “Letter‐ Motion” option—not “Motion to Compel”—when filing on ECF. Letter- Motions may not exceed 1,050 words in length, exclusive of attachments, which should be kept to a minimum, and must clearly set forth the issues in dispute and the relief sought. As part of the Letter‐Motion, the moving party must certify that the required in‐person or telephonic conference took place between counsel for the relevant parties and, in

Revised March 17, 2025

particular, must state: (1) the date and time of such conference; (2) the approximate duration of the conference; (3) the names of the attorneys who participated in the conference; (4) the adversary’s position as to each issue being raised (as stated by the adversary during the in‐person or telephone conference); and (5) that the moving party informed the adversary during the conference that the moving party believed the parties to be at an impasse and that the moving party would be requesting a conference with the Court. Simply attaching copies of correspondence between attorneys does not satisfy these requirements.

Briefing Schedule. Unless the Court has ordered or approved otherwise, any opposition to a Letter‐Motion must be filed within three (3) business days of the moving letter, and any reply shall be filed within one (1) business day of the opposition. Letters in opposition and replies may not exceed 1,050 words in length exclusive of attachments, which should be kept to a minimum. The parties may agree to a different briefing schedule, but they must request the Court’s approval of their alternate schedule, either in the moving letter or as soon as agreement is reached. The Court must approve the alternate schedule, otherwise, the parties must adhere to the schedule as enumerated in these Individual Practices. If the Letter‐Motion requests emergent or expedited relief, the opposing attorney is advised to file any opposition as promptly as possible.

Courtesy Copies. Courtesy copies of Letter‐Motions are not required unless the attached exhibits exceed 50 pages, in which case one (1) courtesy copy, marked as such on a cover page, should be submitted to Chambers promptly after filing. Courtesy copies should bear the ECF header generated at the time of electronic filing and include protruding tabs for any exhibits. Bulky materials should be two‐sided, and placed in 3‐ring binders, with appropriate dividers.

Discovery Conferences/Oral Argument on Letter‐Motions. The Court’s preference is to hold a conference with the parties to address discovery disputes raised by a Letter‐Motion. Based on the parties’ letters and matters discussed during or after the conference, the Court will decide the discovery dispute or request a more formal briefing.

Junior attorneys are invited to argue Letter-Motions they have helped prepare. Firms are encouraged to provide this opportunity to junior attorneys for training purposes. The Court is amenable to permitting more than one lawyer to argue for one party if this creates an opportunity for a junior lawyer to participate. The ultimate decision of

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who speaks on behalf of the client is for the lawyer in charge of the case, not for the Court.

III. Motions Other Than Discovery Motions For motions other than discovery motions, a pre‐motion conference is not required unless otherwise ordered. A party may request a pre‐motion conference by Letter‐Motion where counsel believes that an informal conference with the Court may obviate the need for the motion or reduce the issues in dispute. Counsel should select the “Letter‐Motion” option on ECF for filing such a request.

A. Briefing Schedule. Unless the Court has ordered or approved otherwise, opposition and reply papers with respect to formal motions will be due in accordance with Local Civil Rule 6.1. The parties are strongly encouraged to agree on a reasonable briefing schedule before the moving papers are filed. If the parties have agreed to such a schedule, they must request the Court’s approval of their alternate schedule, either in the moving party’s notice of motion or by Letter‐Motion as soon as agreement is reached. Should the parties thereafter agree to modify their briefing schedule, they must promptly request the Court’s approval of the new schedule by Letter‐Motion.
The Court must approve the alternate or new briefing schedule; otherwise, the parties must adhere to the schedule as enumerated in Local Civil Rule 6.1.

B. Memoranda of Law. The typeface, margins, and spacing of motion papers must conform to Local Civil Rule 7.1. Unless prior permission has been granted, memoranda of law may not exceed the limits set forth in Local Rule 7.1(c).
Memoranda of 3,500 words or more shall contain a table of contents and a table of authorities.

C. Courtesy Copies. Courtesy copies are not required and should not be submitted unless otherwise requested by the Court. Should the Court so request, courtesy copies should bear the ECF header generated at the time of electronic filing and include protruding tabs for any exhibits. Bulky materials should be two‐sided, and neatly bound or placed in 3‐ring binders, with appropriate dividers.

D. Oral Argument on Motions. Parties may request oral argument by Letter‐Motion.
Counsel should select the “Letter‐Motion” option on ECF for filing such a request. The Court will determine whether argument will be heard and, if so, will advise counsel of the argument date and time.

Junior attorneys are invited to argue motions they have helped prepare. Firms are encouraged to provide this opportunity to junior attorneys for training purposes.
The Court is amenable to permitting more than one attorney to argue for one party if this creates an opportunity for a junior lawyer to participate. The attorney in charge

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of the case, not the Court, makes the ultimate decision of who speaks on behalf of the client.

E. Motions in Pro Se Cases. As required by Local Civil Rule 7.2, counsel must provide a pro se litigant with printed copies of decisions cited in any submission that are unreported or reported exclusively on computerized databases.

Where a party seeks summary judgment against a pro se litigant, the party must also comply with the notice requirements of Local Civil Rule 56.2. Where a party moves to dismiss or for judgment on the pleadings against a pro se litigant and refers to matters outside the pleadings, the party must serve and file the notice set forth in Local Civil Rule 12.1.

IV. Pretrial Procedures for Consent Cases

A. Applicability. The procedures set out below apply only to cases in which the parties have consented pursuant to 28 U.S.C. § 636(c) to have all proceedings, including trial, occur before Judge Cave.

B. Pretrial Disclosure. The parties are reminded of their obligations to make certain disclosures regarding expert testimony pursuant to Fed. R. Civ. P. 26(a)(2) and to make disclosures regarding evidence that may be presented at trial pursuant to Fed. R. Civ. P. 26(a)(3). Failure to comply with these requirements may result in preclusion or other sanctions.

C. Joint Pretrial Order. Unless otherwise ordered by the Court, the parties shall submit to the Court for its approval a Joint Pretrial Order within 30 days after the date for the completion of discovery, or, if a summary judgment motion has been filed, within 30 days after the decision on the motion. The proposed Joint Pretrial Order shall be signed by all parties and include the following:

The full caption of the action. 2. The names, addresses, telephone numbers (both office and cellular), and email addresses of each principal member of the trial team. 3. A brief statement by plaintiff (or, in a removed case, by defendant) 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, including citations to all statutes relied on and relevant facts, such as citizenship and jurisdictional amount. 4. A brief summary by each party of the claims and defenses that party has asserted that remain to be tried, including citations to all statutes relied on, but without recital of evidentiary matter.

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With respect to each claim remaining to be tried, a brief statement listing each element or category of damages sought with respect to such claim and a calculation of the amount of damages sought with respect to such element or category. 6. A statement by each party as to whether the case is to be tried with or without a jury and the anticipated number of trial days needed. 7. Any stipulations or agreed-to statements of fact or law. 8. A statement by each party as to the witnesses whose testimony is to be offered in its case in chief, indicating whether such witnesses will testify in person or by deposition. Absent extraordinary circumstances, a party may not call as a witness in its case in chief any person not listed in the Joint Pretrial Order. 9. A designation by each party of deposition testimony to be offered in that party’s case in chief, referencing page and line numbers, with any cross‐designations and objections by any other party. If there is no objection or cross‐designation, the Court will deem the opposing party to have waived any such objection or cross‐designation. Absent extraordinary circumstances, a party may not offer in its case in chief deposition testimony that is not listed in the Joint Pretrial Order. 10. A list by each party of exhibits to be offered in its case in chief. Each exhibit shall be pre‐marked (plaintiff to use numbers, defendant to use letters). For each exhibit as to which there is an objection, the party objecting must briefly specify, next to the listing for that exhibit, the nature of the party’s objection (e.g., “authenticity,” “hearsay,” “Rule 403”). Any objection not listed shall be deemed waived. Absent extraordinary circumstances, a party may not offer in its case in chief any exhibit not listed in the Joint Pretrial Order. 11. A proposed schedule by which the parties will exchange demonstrative exhibits that the parties intend to use at trial, notify each other of any objections thereto, consult with each other regarding those objections and notify the Court of any remaining disputes. 12. All other matters that the Court may have ordered or that the parties believe are important to the efficient conduct of the trial.

D. Filings Before Trial. Unless otherwise ordered, the following must be filed at the same time as the filing of the joint pretrial order:

In jury cases, the parties must jointly file (a) requests to charge, (b) proposed voir dire questions, and (c) where applicable, a proposed special verdict form. To the extent a party objects to another party’s

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requested charge, voir dire questions, or special verdict form, the joint submission should include the objecting party’s (1) grounds for objection (or refer to the joint pretrial memorandum for a full discussion of the objection), and (2) proposed alternative. All requests to charge, objections, and alternatives must include citations to controlling authority. Electronic copies of this joint submission should be submitted to the Court; counsel should contact Chambers for instructions on how to submit these materials.

In non‐jury cases, where ordered by the Court, parties must file proposed findings of fact and statements of law. If the parties believe it would be useful, they may file pretrial memoranda limited to 8,750 words.

In all cases, motions in limine addressing any evidentiary or other issues must be filed at the same time as the Joint Pretrial Order.

E. Marking Exhibits for Trial. Unless otherwise ordered by the Court, no later than the business day before trial begins, each party must provide each other party, and the Court, with a tabbed binder or binders containing courtesy copies of its trial exhibits and deposition designations.

F. Witnesses at Trial. When a party’s case commences, that party is expected to have witnesses available to fill the trial day, which runs from 9:30 am to 5:00 pm, with a one‐hour lunch break. The parties are on notice that if a party does not have a witness available to testify, the Court may deem that party to have rested. Any request to have a witness testify out of order and/or on a particular day must be included in the joint pretrial order. Untimely applications will be denied.

Model Confidentiality Stipulation and Proposed Protective Order

Revised February 24, 2020

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK [PLAINTIFF], Plaintiff(s), against
[DEFENDANT], Defendant(s).

CIVIL ACTION NO.: __ Civ. ___ ( ) (SLC)

MODEL CONFIDENTIALITY STIPULATION AND PROPOSED PROTECTIVE ORDER WHEREAS, the Parties having agreed to the following terms of confidentiality, and the Court having found that good cause exists for the issuance of an appropriately tailored confidentiality order pursuant to Rule 26(c) of the Federal Rules of Civil Procedure, it is hereby ORDERED that the following restrictions and procedures shall apply to the information and documents exchanged by the parties in connection with the pre-trial phase of this action: 1. Counsel for any party may designate any document or information, in whole or in part, as confidential if counsel determines, in good faith, that such designation is necessary to protect the interests of the client in information that is proprietary, a trade secret or otherwise sensitive non-public information. Information and documents designated by a party as confidential will be stamped “CONFIDENTIAL.” 2. The Confidential Information disclosed will be held and used by the person receiving such information solely for use in connection with the action. 3. In the event a party challenges another party’s designation of confidentiality, counsel shall make a good faith effort to resolve the dispute, and in the absence of a resolution, the challenging party may seek resolution by the Court. Nothing in this Protective Order constitutes an admission by any party that Confidential Information disclosed in this case is relevant or admissible. Each party reserves the right to object to the use or admissibility of the Confidential Information. 4. The parties should meet and confer if any production requires a designation of “For Attorneys’ or Experts’ Eyes Only.” All other documents designated as “CONFIDENTIAL” shall not be disclosed to any person, except: a. The requesting party and counsel, including in-house counsel; b. Employees of such counsel assigned to and necessary to assist in the litigation;

c. Consultants or experts assisting in the prosecution or defense of the matter, to the extent deemed necessary by counsel; and d. The Court (including the mediator, or other person having access to any Confidential Information by virtue of his or her position with the Court). 5. Prior to disclosing or displaying the Confidential Information to any person, counsel must: a. Inform the person of the confidential nature of the information or documents; b. Inform the person that this Court has enjoined the use of the information or documents by him/her for any purpose other than this litigation and has enjoined the disclosure of the information or documents to any other person; and c. Require each such person to sign an agreement to be bound by this Order in the form attached as Exhibit A. 6. The disclosure of a document or information without designating it as “Confidential” shall not constitute a waiver of the right to designate such document or information as Confidential Information. If so designated, the document or information shall thenceforth be treated as Confidential Information subject to all the terms of this Stipulation and Order. 7. Any Personally Identifying Information (“PII”) (e.g., social security numbers, financial account numbers, passwords, and information that may be used for identity theft) exchanged in discovery shall be maintained by the receiving party in a manner that is secure and confidential and shared only with authorized individuals in a secure manner. The producing party may specify the minimal level of protection expected in the storage and transfer of its information. In the event the party who received PII experiences a data breach, it shall immediately notify the producing party of same and cooperate with the producing party to address and remedy the breach. Nothing herein shall preclude the producing party from asserting legal claims or constitute a waiver of legal rights and defenses in the event of litigation arising out of the receiving party’s failure to appropriately protect PII from unauthorized disclosure. 8. Pursuant to Federal Rule of Evidence 502, the production of privileged or work- product protected documents or communications, electronically stored information (“ESI”) or information, whether inadvertent or otherwise, shall not constitute a waiver of the privilege or protection from discovery in this case or in any other federal or state proceeding. This Order shall be interpreted to provide the maximum protection allowed by Federal Rule of Evidence 502(d). Nothing contained herein is intended to or shall serve to limit a party’s right to conduct a review of documents, ESI or information (including metadata) for relevance,

responsiveness and/or segregation of privileged and/or protected information before production. 9. Notwithstanding the designation of information as “Confidential” in discovery, there is no presumption that such information shall be filed with the Court under seal. The parties shall follow the Court’s procedures for requests for filing under seal. 10. At the conclusion of litigation, Confidential Information and any copies thereof shall be promptly (and in no event later than 30 days after entry of final judgment no longer subject to further appeal) returned to the producing party or certified as destroyed, except that the parties’ counsel shall be permitted to retain their working files on the condition that those files will remain protected. 11. Nothing herein shall preclude the parties from disclosing material designated to be Confidential Information if otherwise required by law or pursuant to a valid subpoena.

SO STIPULATED AND AGREED.

Dated: New York, New York
_________, 20 SO ORDERED.

SARAH L. CAVE United States Magistrate Judge

Exhibit A

Agreement I have been informed by counsel that certain documents or information to be disclosed to me in connection with the matter entitled have been designated as confidential. I have been informed that any such documents or information labeled “CONFIDENTIAL” are confidential by Order of the Court. I hereby agree that I will not disclose any information contained in such documents to any other person. I further agree not to use any such information for any purpose other than this litigation.

DATED:

Signed in the presence of:

(Attorney)

Model Joint Electronic Discovery Submission and Proposed Order

Revised February 24, 2020

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK [PLAINTIFF], Plaintiff(s), against [DEFENDANT], Defendant(s). CIVIL ACTION NO.: ___ Civ. ___ ( )(SLC)

MODEL JOINT ELECTRONIC DISCOVERY SUBMISSION AND PROPOSED ORDER

One or more of the parties to this litigation have indicated that they believe that relevant information may exist or be stored in electronic format, and that this content is potentially responsive to current or anticipated discovery requests. This Model Joint Submission and Proposed Order (and any subsequent to this) shall be the governing document(s) by which the parties and the Court manage the electronic discovery process in this action. The parties and the Court recognize that this Model Joint Submission and Proposed Order is based on facts and circumstances as they are currently known to each party, that the electronic discovery process is iterative, and that additions and modifications to this Submission may become necessary as more information becomes known to the parties.

(1) Brief Joint Statement Describing the Action:

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(a) Estimated amount of Plaintiff(s)’ Claim(s):

 Less than $100,000 
 Between $100,000 and $999,999 
 Between $1,000,000 and $49,999,999 
 More than $50,000,000 
 Equitable Relief 
 Other (if so, specify)   

(b) Estimated amount of Defendant(s)’ Counterclaim(s)/Cross-Claim(s):

 Less than $100,000 
 Between $100,000 and $999,999 
 Between $1,000,000 and $49,999,999 
 More than $50,000,000 
 Equitable Relief 
 Other (if so, specify)   

(2) Competence: Counsel certify that they are sufficiently knowledgeable in matters relating to their client(s)’ technological systems to competently discuss issues relating to electronic discovery, or have involved someone competent to address these issues on their behalf.

(3) Meet and Confer: Pursuant to Fed. R. Civ. P. 26(f), counsel must meet and confer regarding matters relating to electronic discovery before the Initial Pretrial Conference (the Rule 16 Conference). Counsel now certify that they met and conferred to discuss these issues on ____________ .

(4) Unresolved Issues: After the meet-and-confer conference(s) taking place on the date(s) listed above, the following issues remain outstanding and/or require court intervention: Preservation; Search and Review; Source(s) of Production; Form(s) of Production; Identification or Logging of Privileged Material; ___ Inadvertent Production of Privileged Material; ___ Cost Allocation; and/or ___ Other. Please briefly describe any specific issues below:

Revised February 24, 2020

To date, the parties have addressed the following issues:

(5) Preservation:

(a) The parties have discussed the obligation to preserve potentially relevant electronically stored information and agree to the following scope and methods for preservation, including but not limited to: retention of electronic data and implementation of a data preservation plan; identification of potentially relevant data; disclosure of the programs and manner in which the data is maintained; identification of computer system(s) utilized; and identification of the individual(s) responsible for data preservation, etc. To the extent that the parties have reached agreement as to preservation methods, provide details below:

Plaintiff(s):

Defendant(s):

(b) State the extent to which the parties have disclosed or have agreed to disclose the dates, contents, and/or recipients of “litigation hold” communications:

Revised February 24, 2020

(c) The parties anticipate the need for judicial intervention concerning the duty to preserve, the scope, or the method(s) of preserving electronically stored Information:

(6) Search and Review:

(a) The parties have discussed methodologies or protocols for the search and review of electronically stored information, as well as the disclosure of techniques to be used. Some of the approaches that may be considered include: the use and exchange of keyword search lists, “hit reports,” and/or responsiveness rates; concept search; machine learning, or other advanced analytical tools; limitations on the fields or file types to be searched; date restrictions; limitations on whether back-up, archival, legacy, or deleted electronically stored information will be searched; testing; sampling; etc. To the extent the parties have reached agreement as to search and review methods, provide details below:

Plaintiff(s):

Defendant(s):

Revised February 24, 2020

(b) State if the parties anticipate the need for judicial intervention concerning the search and review of electronically stored information:

(7) Production:

(a) Source(s) of Electronically Stored Information: The parties anticipate that discovery may occur from one or more of the following potential source(s) of electronically stored information [e.g., email, word processing documents, spreadsheets, presentations, databases, instant messages, web sites, blogs, social media, ephemeral data, etc.]:

Plaintiff(s):

Defendant(s):

Revised February 24, 2020

(b) Limitations on Production: The parties have discussed factors relating to the scope of production, including but not limited to: (i) number of custodians; (ii) identity of custodians; (iii) date ranges for which potentially relevant data will be drawn; (iv) locations of data; (v) timing of productions (including phased discovery or rolling productions); and (vi) electronically stored information in the custody or control of non-parties. To the extent the parties have reached agreements related to any of these factors, describe below:

Plaintiff(s):

Defendant(s):

(c) Form(s) of Production:

(1) The parties have reached the following agreements as to the form(s) of productions:

Plaintiff(s):

Revised February 24, 2020

Defendant(s):

(2) Please specify any exceptions to the form(s) of production indicated above (e.g., word processing documents in TIFF with load files, but spreadsheets in native form):

(3) The parties anticipate the need for judicial intervention regarding the following issues concerning the form(s) of production:

Revised February 24, 2020

(d) Privileged Material:

(1) Identification: The parties have agreed to the following method(s) for the identification (including the logging, if any, or alternatively, the disclosure of the number of documents withheld), and the redaction of privileged documents:

(2) Inadvertent Production/Claw-Back Agreements: Pursuant to Fed R. Civ. Proc. 26(b)(5) and Fed. R. Evid. 502(e), the parties have agreed to the following concerning the inadvertent production of privileged documents (e.g. “quick-peek” agreements, on-site examinations, non-waiver agreements or orders pursuant to Fed. R. Evid. 502(d), etc.):

(3) The parties have discussed a 502(d) Order: Yes ___; No ___

The provisions of any such proposed Order shall be set forth in a separate document and presented to the Court for its consideration.

(e) Cost of Production: The parties have analyzed their client’s data repositories and have estimated the costs associated with the production of electronically stored

Revised February 24, 2020

information. The factors and components underlying these costs are estimated as follows:

(1) Costs:

Plaintiff(s):

Defendant(s):

(2) Cost Allocation: The parties have considered cost-shifting or cost-sharing and have reached the following agreements, if any:

Revised February 24, 2020

(3) Cost Savings: The parties have considered cost-saving measures, such as the use of a common electronic discovery vendor or a shared document repository, and have reached the following agreements, if any:

(f) State if the parties anticipate the need for judicial intervention concerning the production of electronically stored information:

(8) Other Issues:

Revised February 24, 2020

The preceding constitutes the agreement(s) reached, and disputes existing, (if any) between the parties to certain matters concerning electronic discovery as of this date. To the extent additional agreements are reached, modifications are necessary, or disputes are identified, they will be outlined in subsequent submissions or agreements and promptly presented to the Court. Party: ____________________________ By: __________________________ Party: ____________________________ By: __________________________ Party: ____________________________ By: __________________________ Party: ____________________________ By: __________________________ Party: ____________________________ By: __________________________ Party: ____________________________ By: __________________________

The next scheduled meet-and-confer conference between the parties to address electronic discovery issues, including the status of electronic discovery and any issues or disputes that have arisen since the last conference or Order, shall take place on:_____________________.
The next scheduled conference with the Court for purposes of updating the Court on electronic discovery issues has been scheduled for ____________. Additional conferences, or written status reports, shall be set every four (4) weeks, as determined by the parties and the Court, based on the complexity of the issues at hand. An agenda should be submitted to the Court four (4) days before such conference indicating the issues to be raised by the parties. The parties may jointly seek to adjourn the conference with the Court by Letter-Motion at least 48 hours in advance of a scheduled conference, if the parties agree that there are no issues requiring Court intervention.

Additional Instructions or Orders, if any:

Revised February 24, 2020

Dated:
New York, New York

______, 20

SO ORDERED

SARAH L. CAVE

United States Magistrate Judge

Proposed Remote Deposition Stipulation

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK , Plaintiff, v. , Defendant. Case No. ___________ (__) (SLC) Plaintiff

and Defendant

(together, the “Parties”) jointly stipulate and propose [and the Court adopts] the following protocol for conducting depositions via remote means in this action, in light of the COVID-19 pandemic and consistent with the Court’s _______ Orders (ECF No. ____):
1. All depositions shall be conducted remotely using videoconference technology, and each deponent shall be video-recorded.
2. The Parties agree to use [insert vendor name] for court reporting, videoconference and remote deposition services. The Parties agree that a [insert vendor name] employee may attend each remote deposition to video record the deposition, troubleshoot any technological issues that may arise, and administer the virtual breakout rooms. 3. The Parties agree that these video-recorded remote depositions may be used at a trial or hearing to the same extent that an in-person deposition may be used at trial or hearing, and the Parties agree not to object to the use of these video recordings on the basis that the deposition was taking remotely. The Parties reserve all other objections to the use of any deposition testimony at trial. STIPULATION AND [PROPOSED] ORDER CONCERNING THE PROTOCOL FOR CONDUCTING REMOTE DEPOSITIONS

The deponent, court reporter, and counsel for the Parties will each participate in the videoconference deposition remotely and separately. Each person attending a deposition shall be visible to all other participants, their statements shall be audible to all participants, and they should each strive to ensure their environment is free from noise and distractions.
5. Consistent with Local Rule 30.4, no counsel shall initiate a private conference, including through text message, electronic mail, or the chat feature in the videoconferencing system, with any deponent while a question is pending, except for the purpose of determining whether a privilege should be asserted. 6. During breaks in the deposition, the Parties may use the breakout room feature provided by [insert vendor name], which simulates a live breakout room through videoconference. Conversations in the breakout rooms shall not be recorded. The breakout rooms shall be established by [insert vendor name] before the deposition and controlled by [insert vendor name]. 7. Remote depositions shall be recorded by stenographic means consistent with the requirements of Rule 30(b)(3), but given the COVID-19 pandemic, the court reporter will not be physically present with the witness whose deposition is being taken. The Parties agree not to challenge the validity of any oath administered by the court reporter, even if the court reporter is not a notary public in the state where the deponent resides. 8. The court reporter will stenographically record the testimony, and the court reporter’s transcript shall constitute the official record. [Insert vendor name] will simultaneously videotape the deposition and preserve the video recording.

Consistent with the Court’s ____, 2020 Order, “the court reporter may be given a copy of the video recording (of any videotaped deposition) and may review the video recording to improve the accuracy of any written transcript.” (ECF No. ___). 10. The Parties agree that the court reporter is an “Officer” as defined by Federal Rule of Civil Procedure 28(a)(2) and shall be permitted to administer the oath to the witness via the videoconference. The deponent will be required to provide government-issued identification satisfactory to the court reporter, and this identification must be legible on the video record. 11. The Party that noticed the deposition shall be responsible for procuring a written transcript of the remote deposition. The Parties shall bear their own costs in obtaining a transcript and/or video record of the deposition. 12. The Party that noticed the deposition shall provide [insert vendor name] with a copy of this Stipulation and [Proposed] Order at least twenty-four hours in advance of the deposition. 13. At the beginning of each deposition, consistent with Rule 30(b)(5)(A) of the Federal Rules of Civil Procedure, the [insert vendor name] employee responsible for video-recording the deposition shall “begin the deposition with an on-the-record statement that includes: (i) the officer’s name and company affiliation; (ii) the date, time, and place of the deposition; (iii) the deponent’s name; (iv) the officer’s administration of the oath or affirmation (v) and the identity of all persons present. 14. At the beginning of each segment of the deposition, consistent with Rule 30(b)(5)(B) of the Federal Rules of Civil Procedure, the [insert vendor name] employee responsible for video- recording the deposition shall begin the segment of the remote deposition by reciting (1) the officer's name and business address; (ii) the date, time and place of the deposition; and (iii) the deponent's name.

The Parties agree to work collaboratively and in good faith with [insert vendor name] to assess each deponent’s technological abilities and to troubleshoot any issues at least 48 hours in advance of the deposition so any adjustments can be made. The Parties also agree to work collaboratively to address and troubleshoot technological (including audio or video) issues that arise during a deposition and make such provisions as are reasonable under the circumstances to address such issues. This provision shall not be interpreted to compel any Party to proceed with a deposition where the deponent cannot hear or understand the other participants or where the participants cannot hear or understand the deponent. 16. Every deponent shall endeavor to have technology sufficient to appear for a videotaped deposition (e.g., a webcam and computer or telephone audio), and bandwidth sufficient to sustain the remote deposition. Counsel for each deponent shall consult with the deponent prior to the deposition to ensure the deponent has the required technology. If not, counsel for the deponent shall endeavor to supply it prior to the deposition. In the case of third-party witnesses, counsel noticing the deposition shall supply any necessary technology that the deponent does not have. 17. The Parties agree that this Stipulation and [Proposed] Order applies to remote depositions of non-parties under Rule 45 and shall work in a collaborative manner in attempting to schedule remote depositions of non-parties. The Party noticing any third-party deposition shall provide this Stipulation and [Proposed] Order to counsel for any non-party under Rule 45 a reasonable time before the date of the deposition. 18. The Parties agree that any of the following methods for administering exhibits may be employed during a remote deposition, or a combination of one or more methods:

(i) Counsel noticing the deposition may choose to send physical copies of documents that may be used during the deposition to the deponent, the deponent’s counsel, the other Party’s counsel, and the court reporter. In that event, noticing counsel shall so inform the deponent’s counsel, the other Party’s counsel, and the court reporter prior to mailing the documents and shall provide tracking information for the package. Such documents shall be delivered by 12:00 pm ET the business day before the deposition. Counsel for the deponent, the other Party’s counsel, and the court reporter shall confirm receipt of the package by electronic mail to Counsel noticing the deposition. If physical copies are mailed, every recipient of a mailed package shall keep the package sealed until the deposition begins and shall only unseal the package on the record, on video, and during the deposition when directed to do so by the counsel taking the deposition. This same procedure shall apply to any physical copies of documents any other counsel intends to use for examining the witness. (ii) Counsel noticing the deposition may choose to send a compressed .zip file of the documents that may be used during the deposition via electronic mail to the deponent, the deponent’s counsel, the other Party’s counsel, and the court reporter. The .zip file shall be delivered by 12:00 pm ET the business day before the deposition. Counsel for the deponent, the other Party’s counsel, and the court reporter shall confirm receipt of the .zip file by electronic mail to Counsel noticing the deposition. The .zip file shall be password protected, and counsel taking the deposition shall supply the password via electronic email immediately prior to the commencement of the deposition. Every recipient of a .zip file shall not open the

.zip file until the deposition begins and when directed to do so by the counsel taking the deposition. If sending documents by electronic mail, counsel will be mindful of file size limitations, which presumptively should be less than 50 MB. (iii) Counsel may introduce exhibits electronically during the deposition, by using the Lexitas LegalView document-sharing technology, by using the screen-sharing technology within the videoconferencing platform, or by sending the exhibit to the deponent and all individuals on the record via electronic mail. 19. All deponents receiving documents before or during a deposition, pursuant to Paragraph 18 above, shall return the documents to the counsel who sent them originally, within two business days following the completion of the deposition, and shall not retain them in any manner. Counsel noticing the deposition shall include a pre-paid return shipping label in any package of documents mailed to a deponent.
20. Counsel for the Parties may keep any document or exhibit used during the deposition, in accordance with the Stipulated Protective Order entered by the Court on ______(ECF No. __), and shall return any documents not used during the deposition to the counsel who sent them originally, within two business days following the completion of the deposition, and shall not retain them in any manner. 21. Counsel noticing the deposition shall provide any counsel for third-party witnesses with a copy of the Parties’ Stipulated Protective Order. Counsel for third-party witnesses may keep any document used during the deposition in accordance with the Stipulated Protective Order, and shall return any documents not used during the deposition to the Counsel who sent them originally, within two business days following the completion of the deposition, and shall not retain them in any manner.

Dated: _________________________________

Honorable Sarah L. Cave United States Magistrate Judge Southern District of New York

Date: _________ Stipulated to: /s/
/s/

Report of Rule 26(f) Conference and Proposed Case Management Plan

Revised December 3, 2025

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK [PLAINTIFF], Plaintiff(s), -v- [DEFENDANT], Defendant(s). CIVIL ACTION NO.: Civ.
(
) (SLC) REPORT OF RULE 26(f) CONFERENCE AND PROPOSED CASE MANAGEMENT PLAN

In accordance with Federal Rule of Civil Procedure 26(f) and Judge Cave’s Individual

Practices, the parties met on
(at least one week before the Initial Case

Management Conference) and exchanged communications thereafter. The parties now submit the following report for the Court’s consideration: 1. The Court’s Expectations:

Rule 1, Rule 26(b)(1), and 26(f)(3). Counsel are expected to have reviewed Federal Rules of Civil Procedure 1, 26(b)(1), and 26(f)(3) and considered their obligations thereunder in discussing and preparing a discovery plan. As of December 1, 2025, counsel are deemed to be aware of the amendment to Rule 26(f)(3)(D) regarding the timing and method for assertion of claims of privilege or of protection as trial-preparation materials.0F1

Additional consideration of proportionality. Counsel shall discuss and consider whether phased or iterative discovery will increase efficiency, reduce costs and lead to a faster resolution of the case when preparing a discovery plan.

Document Requests. Counsel shall be fully familiar with their obligations under Rules 34 and 26(g) and consider and discuss ways to ensure compliance and minimize disputes regarding overbreadth and specificity of requests and responses.

Competence. Counsel shall be sufficiently knowledgeable in matters relating to their

1 “A discovery plan must state the parties’ views and proposals on any issues about claims of privilege or of protection as trial-preparation materials, including the timing and method for complying with Rule 26(b)(5)(A) and—if the parties agree on a procedure to assert these claims after production—whether to ask the court to include their agreement in an order under Federal Rule of Evidence 502[.]” Fed. R. Civ. P. 26(f)(3)(D).

clients’ technological systems to discuss competently issues relating to electronic discovery, or have involved someone competent to address these issues on their behalf.

Counsel are directed to the Model Confidentiality Stipulation and Proposed Protective Order and Stipulation and [Proposed] Order Concerning the Protocol for Conducting Remote Depositions on Judge Cave’s Individual Practices Page.

Counsel represent by their signature below that they have read and will comply with the above.

Summary of Claims, Defenses, and Relevant Issues: Plaintiff(s):

Defendant(s):

Basis of Subject Matter Jurisdiction (and any dispute as to jurisdiction):

Subjects on Which Discovery May Be Needed:

Plaintiff(s):

Defendant(s):

Informal Disclosures:

Plaintiff[s] disclosed the information required by Rule 26(a)(1) of the Federal Rules of Civil Procedure on
. On
, Plaintiff[s] [produced/will produce] an initial set of relevant documents identified in [its/their] Initial Disclosures and will continue to supplement [its/their] production. Defendant[s] disclosed the information required by Rule 26(a)(1) of the Federal Rules of Civil Procedure on
. On
, Defendant[s] [produced/will produce] an

initial set of relevant documents identified in [its/their] Initial Disclosures and will continue to supplement [its/their] production. 6. Discovery Plan:

The parties jointly propose to the Court the following discovery plan: A. All fact discovery must be completed by
.

No later than one week after the close of fact discovery, that is, by ____, the parties must file a joint letter on the docket certifying that fact is discovery is complete. B. The parties will conduct discovery in accordance with the Federal Rules of Civil Procedure, the Local Rules of the Southern District of New York, and Judge Cave’s Individual Practices. The following interim deadlines may be extended by the parties on written consent without application to the Court, provided that the parties meet the deadline for completing fact discovery set forth in paragraph 6(A) above. i. Depositions: Depositions shall be completed by
and limited to no more than
depositions per party. Absent an agreement between the parties or an order from the Court, non-party depositions shall follow initial party depositions.

ii. Interrogatories: Initial sets of interrogatories shall be served on or before

. All subsequent interrogatories must be served no later than 30 days before the fact discovery deadline.

iii. Requests for Admission: Requests for admission must be served on or before

, and in any event no later than 30 days before the fact discovery deadline.

iv. Requests for Production: Initial requests for production were/will be exchanged on
and responses shall be due on
. All subsequent requests for production must be served no later than 30 days

before the discovery deadline. v. Supplementation: Supplementations under Rule 26(e) must be made within a reasonable period of time after discovery of such information, and in any event, no later than the fact discovery deadline. C. Timing and Method for Claiming Privilege or Protection as Trial-Preparation Materials under Rule 26(b)(5)(A):

Anticipated Discovery Disputes:

Describe any anticipated discovery disputes or proposed limitations on discovery.

Amendments to Pleadings:

a. Does any party anticipate amending the pleadings?
.

b. Last date to amend any pleading pursuant to Fed. R. Civ. P. 15(a) is
.
Amendment of pleadings after this date will be permitted only on a showing of “good cause” under Fed. R. Civ. P. 16(b)(4).

Expert Witness Disclosures:

a. Does any party anticipate utilizing experts?
.

b. Expert discovery shall be completed by
.

No later than one week after the close of expert discovery, that is, by____, the parties must file a joint letter on the docket certifying that all discovery is complete. This letter should also state which dispositive motions, if any, each party intends to file.

Electronic Discovery and Preservation of Documents and Information:

a. Have the parties discussed discovery of electronically stored information (ESI)?

b. Is there an ESI discovery protocol in place? If not, the parties expect to have one in place by
.

c. Are there issues the parties would like to address concerning preservation of evidence and/or ESI discovery at the Initial Case Management Conference?

Early Settlement or Resolution:

The parties have/have not (circle one) discussed the possibility of settlement. The parties request a settlement conference by no later than
. The following information is needed before settlement can be discussed:

Trial:

a. The parties anticipate that this case will be ready for trial by
.

b. The parties anticipate that the trial of this case will require
days.

c. The parties do/do not (circle one) consent to a trial before a Magistrate Judge at this time.

d. The parties request a jury/bench (circle one) trial.

Other Matters:

a. Fed. R. Evid. 502(d). The disclosure of documents or information (electronic or otherwise) subject to the attorney-client privilege, the work product doctrine, or other privilege or immunity from production shall not operate as a waiver of that privilege or immunity in this case or in any other federal or state proceeding. This paragraph shall be interpreted to provide the maximum protection permitted by Fed. R. Evid. 502(d).

Respectfully submitted this
day of
.

ATTORNEYS FOR PLAINTIFF(S): ATTORNEYS FOR DEFENDANT(S):

Dated: New York, New York

, 20 _

SO ORDERED.

SARAH L. CAVE United States Magistrate Judge

Standing Order Applicable to Settlement Conferences Before Magistrate Judge Cave

UNITED STATES DISTRICT COURT  SOUTHERN DISTRICT OF NEW YORK  SARAH L. CAVE  UNITED STATES MAGISTRATE JUDGE  Standing Order Applicable to Settlement Conferences Before Magistrate Judge Cave

1. Settlement conferences form no part of the record.  All communications made as part of the  settlement conference process are strictly confidential and may not be used for any purpose  either in this litigation or elsewhere.
2. Magistrate  Judge  Cave  will  function  as  a  mediator,  attempting  to  help  the  parties  reach  agreement on terms of settlement.  This process requires that counsel and their clients be  both prepared for the conference and candid with the Court.  The Court generally holds only  one settlement conference.
3. Each party must attend the settlement conference in the format prescribed by the Court,  accompanied by that party's lead attorney(s), who must be fully knowledgeable concerning  the facts of the case, relevant law, and the progress of the case to date, including settlement  discussions.
4. No later than four business days before the conference, each party must send to the Court  and opposing counsel a letter of no longer than four (4) pages marked “Confidential Materials  For Use Only At Settlement Conference,” setting forth concisely the following: (1) a discussion  of the relevant facts and applicable law, with an emphasis on the issues more pertinent to  settlement,  including  a  discussion  of  liability  and  damages  in  the  event  liability  were  established; (2) if non‐monetary relief—including a general or specific release of claims—is  sought in addition to or instead of money damages, each party must set forth its position as  to the provision of such relief; (3) the existence and amount of any lien(s) that may attach to  the settlement proceeds; and (4) the history of settlement discussions, including any prior  offers or demands.1  This letter must be received by the Court and opposing counsel no later  than  midnight  four  business  days  before  the  settlement  conference.    Counsel  must  immediately provide a copy of the opposing party’s letter to their client and/or insurer, and  must also ensure before the conference that the client and/or insurer has read the opposing  party’s letter.  This letter, along with the Attendance Acknowledgment Form appended to the  Settlement Conference Scheduling Order, must be sent to the Court by hand delivery or by  email to: cave_nysdchambers@nysd.uscourts.gov.  Any application for adjournment or other  modification of the conference must be submitted via Letter‐Motion on ECF in accordance  with  Magistrate  Judge  Cave’s  Individual  Practices,  found  at:  https://www.nysd.uscourts.gov/hon‐sarah‐l‐cave.
5. At  the  settlement  conference,  counsel  for  each  side  should  expect  to  make  a  succinct  presentation (10–15 minutes) in the presence of all parties and the Court summarizing the

1 The Court notes that it is normally unhelpful for a party to state in this letter its final settlement position.

issues counsel believes are important for the client(s) and/or insurer(s) of the opposing party  to  consider  for  purposes  of  formulating  a  settlement  position.    The  purpose  of  the  presentation is to address and persuade the opposing party, not the Court.  Thus, it is usually  (1) unnecessary to recount in full the background of the dispute, and (2) unhelpful to discuss  issues raised in the opposing party’s confidential settlement letter.  The Court prefers that  counsel  not  use  slideware  or  other  summary  presentations,  although  key  evidence  from  discovery in the case, that has previously been disclosed to the opposing party at least five  (5) days before the conference or is already in the possession of the opposing party, may be  helpful.  After the initial statements, counsel may respond and have their clients speak if they  choose.      6. Following the presentations, the Court will meet separately with each side in private.  In these  meetings, the parties and their counsel must be prepared to inform the Court of the amount  of attorneys’ fees and expenses incurred to date, and an estimate of the remaining costs  (including attorneys’ fees) of litigating the case to judgment, including appeal.  7. The presence of each party (the client), in addition to counsel, is essential to the settlement  process.  Also, if an insurance company, litigation funder, or other individual or entity has any  role in approving a settlement, the decision‐making representative of the insurer must attend  in  addition  to  the  insured  party.    Because  it  is  important  that  the  decisionmakers  on  settlement hear their adversaries’ presentations and be available to answer questions from  the  Court,  the  person  who  attends  the  conference  must  be  the  person  with  ultimate  responsibility for determining the amount of any settlement.  Corporations, and any other  party that is not a natural person, and insurers must send to the conference the person  ultimately responsible within the organization for giving settlement authority, not someone  who  has  received  authority  from  someone  else.    If  a  party  believes  that  the  individuals  scheduled to attend the conference on behalf of the opposing party do not comply with this  requirement, that party shall immediately confer with the opposing party and inform the  Court by letter promptly if no resolution is reached.    a. In cases where the City Comptroller has authority over settlement, the Assistant  Corporation  Counsel  shall  arrange  in  advance  of  the  conference  for  a  representative  of  the  Comptroller  either  to  attend  the  conference  or  to  be  available by telephone.  b. A client or insurer’s attendance by telephone may be permitted if the party lives  and works more than 100 miles from the Courthouse and it would be a great  hardship  for  the  party  to  attend  the  conference  on  any  date.    In  these  circumstances, if more than one individual will be appearing by telephone, the  parties must immediately arrange for a toll‐free conference call number that the  individuals and the Court may dial into for the conference.  c. If  a  party  does  not  speak  fluent  English,  the  party  must  bring  an  experienced  simultaneous interpreter.  Counsel may not serve as the interpreter.  Counsel  should call Chambers if there is any difficulty securing an interpreter.

8. If a party fails to attend the settlement conference with all of the required persons—counsel,  the client(s), the decision‐making representative from the insurer, if any, and an interpreter,  if needed—that party may be required to reimburse all of the other parties for their time and  travel expenses, and may face other sanctions.  9. If counsel becomes aware of the need or potential need for an adjournment of the date of  the conference, counsel must make an application for the adjournment as soon as counsel is  aware of the need.  If the application is made more than fourteen (14) days in advance of the  conference, no cause need be provided.  Otherwise, counsel must provide reasons for seeking  the adjournment.  a. The parties are required to seek an adjournment if (1) an adjournment would  permit discovery or exchange of information that would make the conference  more  fruitful,  or  (2)  for  in‐person  conferences,  a  client  or  insurer  who  would  otherwise participate by telephone would be available to attend in person if the  conference were held on another date.  To seek a new date within 45 days of the  originally‐scheduled conference, counsel must consult with all other counsel as to  their, their clients’, and their insurer’s availability.  The party must then file a  Letter‐Motion  via  ECF  in  accordance  with  Magistrate  Judge  Cave’s  Individual  Practices proposing options for a new date and time and indicating that all parties  are  available.    If  the  party  wishes  to  postpone  by  more  than  45  days,  an  adjournment  sine  die  should  be  sought  by  Letter‐Motion,  should  provide  the  position of each party as to the request, and should specify an approximate time  period when the conference should be held.  The Court notes that the scheduled  conference  date  is  not  changed  unless  and  until  the  Court  grants  the  written  application to change the date.  10. If a defendant intends to claim that its financial situation is relevant to any potential or actual  settlement offer (either based on the amount offered or a proposal to pay any portion in  more than 30 days), the defendant shall inform plaintiff of this fact no later than fourteen  (14) days before the conference.  The parties should then discuss whether plaintiff seek proof  of defendant’s claim and whether the defendant is willing to provide such proof, which must  be provided at least three (3) days before the conference.  A summary of any discussions on  this topic shall be included in the letters required under paragraph 4 of this Standing Order.  11. The scheduling of a settlement conference has no effect on any deadlines or other pending  obligations in the action.

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