Judge Alison J. Nathan — United States District Court, Southern District of New York

Civil Case Management Plan and Scheduling Order (Fillable)

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

Plaintiff(s),
-v-

Defendant(s).

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

__ Civ. _____ (AJN)

CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER

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

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

2. Settlement discussions [have ______ / have not ______] taken place.

3. The parties [have ______ / have not ______] conferred pursuant to Fed. R. Civ. P. 26(f).

4. [For F.L.S.A. actions only]

The plaintiff(s) [do_____ / do not______] anticipate moving for conditional certification of this case as a collective action.

The defendant(s) [will_____ / will not______] stipulate to conditional certification.

[If defendant(s) will not stipulate to conditional certification:]

Proposed briefing schedule:

Opening:

Opposition:

Reply:

[Opening brief to be filed no later than 30 days from the date of the initial pretrial conference; full briefing to be completed within 30 days of the opening brief]

5. 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, choose a date not more than thirty (30) days following the initial pretrial conference.]

6. Initial disclosures pursuant to Fed. R. Civ. P. 26(a)(1) shall be completed no later than ______ days from the date of this Order. [Absent exceptional circumstances, a date not more than fourteen (14) days following the initial pretrial conference.]

7. All fact discovery is to be completed no later than _____________. [A date not more than 120 days following the initial pretrial conference, unless the Court finds that the case presents unique complexities or other exceptional circumstances.]

8. The parties are to conduct discovery in accordance with the Federal Rules of Civil Procedure and the Local Rules of the Southern District of New York. The following interim deadlines may be extended by the parties on consent without application to the Court, provided that the parties meet the deadline for completing fact discovery set forth in ¶ 7 above.

a. Initial requests for production of documents shall be served by ______________________.

b. Interrogatories shall be served by ______________________.

c. Depositions shall be completed by _______________________.

d. Requests to admit shall be served by ______________________.

9. All expert discovery, including disclosure of expert reports, production of underlying documents, and depositions shall be completed by ______________. [Absent exceptional circumstances, a date forty-five (45) days from the completion of fact discovery].

10. All motions and applications shall be governed by the Court’s Individual Rules.

11. All counsel must meet in person for at least one hour to discuss settlement within fourteen (14) days following the close of fact discovery.

12. Counsel for the parties propose the following alternative dispute resolution mechanism(s) for this case:

a. _____ Referral to a Magistrate Judge for a settlement conference.

b. _____ Referral to the Southern District’s Mediation Program.

c. _____ Retention of a private mediator.

The parties seek the above-noted referral [now _____ / at a later date _____ ].

Unless otherwise ordered by the Court, settlement discussions do not stay or modify any date in this Order.

[If the parties seek the above-noted referral at a later date:]

Counsel for the parties will submit a letter by __________________ seeking the referral.

13. Summary Judgment and Daubert motions are to be filed within 30 days of the close of all discovery. Absent good cause, the Court will not ordinarily have summary judgment practice in a non-jury case.

14. Unless otherwise ordered by the Court, within forty (40) days of the close of all discovery, or, if a dispositive motion has been filed, within fourteen (14) days of a decision on such motion, the parties file via ECF a Joint Pretrial Report prepared in accordance with the Court’s Individual Practices and Fed. R. Civ. P. 26(a)(3). Any motions in limine shall be filed via ECF at the same time that the a Joint Pretrial Report is filed. If this action is to be tried before a jury, proposed voir dire, jury instructions, and a verdict form shall also be filed at the same time as the Joint Pretrial Report.

15. The parties shall be ready for trial within two weeks of filing the Joint Pretrial Report.

16. This case [is ______ / is not ______] to be tried to a jury.

17. Other issues to be addressed at the Initial Pretrial Conference, including those set forth in Fed. R. Civ. P. 26(f)(3), are set forth below.

Counsel for the Parties:

Except for the dates contained in ¶ 8 above, 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 shall be made in a written application in accordance with Court’s Individual Rules and shall be made no fewer than two (2) business days prior to the expiration of the date sought to be extended. Absent exceptional circumstances, extensions will not be granted after deadlines have already passed. Ongoing settlement discussions do not extend any date herein unless expressly ordered by the Court.

The next Case Management Conference is scheduled for ______________________ at ______________.

SO ORDERED.

Dated: _______________

New York, New York

JUDGE ALISON J. NATHAN

United States District Judge

Individual Practices in Civil Cases

Revised: July 7, 2022

INDIVIDUAL PRACTICES IN CIVIL CASES ALISON J. NATHAN, United States Circuit Judge Sitting by Designation

Chambers

United States District Court

Southern District of New York

40 Foley Square, Room 2102

New York, NY 10007 ca02_AJNchambers@ca2.uscourts.gov

Unless otherwise ordered by Judge Nathan, these Individual Practices apply to all civil matters except for civil pro se cases (see Rules for Pro Se Cases). In cases designated to be part of one of the Court’s pilot programs or plans (e.g. the Section 1983 Plan or Initial Discovery Protocols for Employment Cases Alleging Adverse Action), those procedures shall govern to the extent that they are inconsistent with these Individual Practices.

1. Communications with Chambers A. All Communications by Letter. Except as otherwise provided below in Rule 1.B and 1.C, all communications with the Court shall be by letter filed on ECF. This rule also applies to questions regarding the Undersigned’s Individual Rules. Parties should not call the Chambers telephone line except as directed in Rule 1.B. Letters may not exceed three pages in length (exclusive of exhibits or attachments). Any letter longer than one page must be double spaced. Letters solely between parties or their counsel or otherwise not addressed to the Court may not be filed on ECF or otherwise sent to the Court (except as exhibits to an otherwise properly filed document). Unless otherwise noted, parties should not submit courtesy copies of letters filed on ECF. B. Urgent Communications. As a general matter, letter motions or requests filed via ECF are reviewed by the Court the day that they are filed. Other materials filed on ECF are reviewed the business day after they have been filed. If you believe you have an urgent matter that requires Judge Nathan’s truly immediate attention, please notify Chambers by email at ca02_AJNchambers@ca2.uscourts.gov after you file the submission via ECF. If you seek to provide information to the Court, or seek information from the Court, you must file a letter on ECF, unless sealing is sought pursuant to Rule 1.C. C. Letter Requests to Seal Information. Letters that include requests to be filed under seal shall be emailed to the Court (ca02_AJNchambers@ca2.uscourts.gov) as .pdf attachments. The letter shall explain the basis for seeking sealing. Parties should not make any requests in the body of the email. Refer to Rule 4 for further instruction regarding requests for redactions and filing under seal. Any time a party

submits a document to the Court without filing it on the public docket, the party must also submit a copy of the document to the Court’s email address. Paper copies alone are insufficient. D. Letter-Motions. Letter-motions may be filed via ECF if they comply with the S.D.N.Y. Local Rules and the S.D.N.Y. “Electronic Case Filing Rules and Instructions” (the “ECF Rules”). All requests for adjournments, extensions, and pre- motion conferences (including pre-motion conferences with respect to discovery disputes) shall be filed as letter-motions. E. Requests for Adjournments or Extensions of Time. All requests for adjournments or extensions of time must be made in writing and filed on ECF as letter-motions, or submitted pursuant to Rule 1.C, if appropriate. Such requests must state: (i) the original date(s); (ii) the number of previous requests for adjournment or extension; (iii) whether these previous requests were granted or denied; and (iv) whether the adversary consents and, if not, the reasons given by the adversary for refusing to consent. If the parties are requesting adjournment of a conference, they must also provide three mutually agreeable alternate conference dates. If the parties are requesting adjournment of an initial pretrial conference or post-discovery conference, the proposed dates should be Friday afternoons. All requests for adjournment or extension of time must be made at least 48 hours prior to the scheduled deadline or appearance. Absent extraordinary circumstances, requests outside this period will be denied. If the requested adjournment or extension affects any other scheduled dates, a proposed Revised Scheduling Order should be attached to the request. F. Hand Deliveries. Hand-delivered mail should be left with the Court Security Officers at the Worth Street entrance of the 500 Pearl Street Courthouse and may not be brought directly to Chambers. Hand deliveries are regularly retrieved from Court Security. However, if the hand-delivery is urgent and requires the Court’s immediate attention, proceed to the entrance of the 40 Foley Square Courthouse ask the Court Security Officers to notify Chambers that an urgent package has arrived that needs to be retrieved by Chambers staff immediately. G. Related Cases. After an action has been accepted as related to a prior filed action, all future court papers and correspondence must contain the docket number of the new action, as well as the docket number of the case to which it is related (e.g., 11 Civ. 1234 [rel. 10 Civ. 4321]). H. ECF. In accordance with the ECF Rules, all attorneys representing parties before Judge Nathan are required to register promptly as ECF filers and to enter an appearance in the case. The pertinent instructions are available on the Court website (https://nysd.uscourts.gov/rules/ecf-related-instructions). Counsel are responsible for updating their contact information on ECF, should it change, and for checking the docket sheet regularly, regardless of whether they receive an ECF notification of case activity. Pursuant to ECF Rule 4.3, counsel “have an obligation to review the Court’s actual order, decree, or judgment, as available on ECF, and should not rely on the description of such order, decree or judgment in the Notice of Electronic Filing

alone.” 2. Conferences A. Attendance by Principal Trial Counsel. The attorney who will serve as principal trial counsel must appear at all conferences with the Court. Any attorney appearing before the Court must enter a Notice of Appearance with the Clerk of Court. B. Initial Case Management Conference. The Court will generally schedule a Fed. R. Civ. P. 16(c) conference for a date within three months of the filing of the Complaint. The Notice of Initial Pretrial Conference will be docketed on ECF; plaintiff’s counsel is directed to notify all counsel of this Order forthwith. This Notice will, inter alia, direct the parties to submit a Joint Letter (as described in the Notice) and a proposed Civil Case Management Plan and Scheduling Order to the Court at least seven days prior to the conference date. The parties shall use the form Proposed Case Management Plan and Scheduling Order available at the Court’s website (https://nysd.uscourts.gov/hon-alison-j-nathan). In a diversity case, parties shall also comply with Paragraph 5.C below. If counsel agree on a schedule that calls for the close of all discovery not more than six months from the date of the Notice of Initial Pretrial Conference, the parties may request in the above-referenced Joint Letter that the Initial Pretrial Conference be cancelled. The Court will ordinarily grant such a request. C. Discovery Disputes. Parties must follow Local Civil Rule 37.2 with the following modifications. Any party wishing to raise a discovery dispute with the Court must first confer in good faith with the opposing party, in person or by telephone, in an effort to resolve the dispute. If this meet-and-confer process does not resolve the dispute, the party may file a letter-motion, explaining the nature of the dispute and requesting an informal conference. Such a letter must include a representation that the meet-and-confer process occurred by telephone or in person and was unsuccessful. If the opposing party wishes to respond to the letter, it must submit a responsive letter, within two business days of the initial letter. To the extent a party’s letter contains information for which sealing is requested, the party is directed to Rule 1.C. Counsel should be prepared to discuss with the Court the matters raised by such letters, as the Court will seek to resolve discovery disputes quickly, including by telephone conference call. 3. Motions A. Pre-Motion Conferences in Civil Cases. Pre-motion conferences are not required, except for disputes concerning discovery, which are governed by Rule 2.C, and summary judgment motions made before the close of discovery, which are governed by Rule 3.G.vii. B. Memoranda of Law. The Court encourages and appreciates brevity. 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. All

memoranda of law shall be in 12-point font or larger and be double-spaced. Memoranda of 10 pages or more shall contain a table of contents and a table of authorities, neither of which shall count against the page limit. Sur-reply memoranda will not be accepted without prior permission of the Court. All appendices to memoranda of law must be tabbed and indexed. C. Filing of Motion Papers. Motion papers shall be filed promptly after service. D. Oral Argument on Motions. Parties may request oral argument by letter at the time their moving, opposing, or reply papers are filed. The Court will determine whether argument will be heard and, if so, will advise counsel of the argument date. E. Motions to Dismiss. When a motion to dismiss is filed, the non-moving party must, within 10 days of receipt of the motion, notify the Court and its adversary in writing whether (i) it intends to file an amended pleading and when it will do so, or (ii) it will rely on the pleading being attacked. Non-moving parties are on notice that declining to amend their pleadings to timely respond to a fully briefed argument in the motion to dismiss may well constitute a waiver of their right to use the amendment process to cure any defects that have been made apparent by the briefing. See Loreley Fin. (Jersey) No. 3 Ltd. v. Wells Fargo Sec., LLC., 797 F.3d 160, 190 (2d Cir. 2015) (leaving “unaltered the grounds on which denial of leave to amend has long been held proper, such as undue delay, bad faith, dilatory motive, and futility.”). This provision does not alter the time to file a response in the Fed. R. Civ. P. or Local Rules. If the party amends, the opposing party may then (i) file an answer; (ii) file a new motion to dismiss; or (ii) submit a letter stating that it relies on the initially filed motion to dismiss. If the moving party files an answer or a new motion to dismiss, the Court will deny the original motion to dismiss as moot without notice to the parties. F. Summary Judgment Motions: i. Unless otherwise ordered by the Court, summary judgment motions shall be submitted within 30 days of the close of all discovery. ii. All memorandum of law shall identify the law governing the dispute, identify the relevant facts, and apply that law to the facts. All memorandum of law must make specific reference to the relevant portions of the record. Failure to provide specific record citations or apply law to fact may be grounds for ruling against the party in the summary judgment motion context. See Amnesty America v. Town of West Hartford, 288 F.3d 467, 471 (2d Cir. 2002). iii. Any Rule 56.1 statement in support of a motion for summary judgment is limited to no more than 25 pages unless leave of the Court to file a longer document is obtained at least one week prior to the due date of such motion for summary judgment. iv. Any party moving for summary judgment shall provide all other parties with

an electronic copy, in Microsoft Word format, of the moving party’s Statement of Material Facts Pursuant to Local Rule 56.1. Opposing parties must reproduce each entry in the moving party’s Rule 56.1 Statement, and set out the opposing party’s response directly beneath it. An opposing party’s response to the moving party’s Rule 56.1 statement shall be no longer than 50 pages, unless leave of the Court to file a longer document is obtained at least one week prior to the due date of such submission. If necessary, the opposing party may provide an additional Local Rule 56.1 statement containing a separate, short and concise statement of additional facts as to which it is contended that there exists a genuine issue to be tried. This submission shall be no longer than 25 pages. v. Each statement by a movant or opponent pursuant to Rule 56.1(a) and (b), including each statement controverting any statement of material fact, must be followed by citation to evidence which would be admissible, set forth as required by Fed. R. Civ. P. 56(c). vi. Parties submitting papers in support of or opposition to a motion for summary judgment should submit only those exhibits necessary to decide the motion and should not submit, for example, entire deposition transcripts or every exhibit used at a deposition. The Court may strike documents that do not comply with these rules. vii. Absent good cause, the Court will not ordinarily have summary judgment practice in a non-jury case. Summary judgment motions made before the close of discovery are strongly discouraged, although the Court will consider them in exceptional circumstances. A pre-motion conference with the Court is required before making any such motion. To arrange a pre-motion conference, the moving party shall submit a letter of not more than two pages setting forth the basis for the anticipated motion and explaining why exceptional circumstances justify submitting it before discovery closes. The opposing party may respond with a letter of not more than two pages within three days after the pre-motion letter is filed.

viii. In the case of cross-motions for summary judgment, the following briefing schedule applies, unless the Court orders otherwise. Plaintiff shall submit a motion for summary judgment and supporting papers as described above. Defendant shall then submit a motion for summary judgment and a memorandum of law of no more than 50 pages supporting their motion and opposing Plaintiff’s motion. Defendant shall also file any Rule 56.1 statement in support of their motion, and any response to Plaintiff’s Rule 56.1 statement. Plaintiff shall then file a memorandum of law of no more than 35 pages opposing Defendant’s motion and replying to Defendant’s opposition to Plaintiff’s motion. Plaintiff shall also file any response to Defendant’s Rule 56.1 statement. Defendant shall then file a reply to Plaintiff’s opposition of no more than 10 pages. G. Failure of the Court to Schedule Argument or Decide a Motion. If a motion is not decided within 90 days of the time that it has become fully briefed, counsel for the movant shall send a letter to alert the Court. H. Preliminary Injunction Motions. The Court generally follows the procedure for the conduct of non-jury trials described in Rule 5 below. I. Motions to Exclude Testimony of Experts. Pursuant to Federal Rules of Evidence 702-705 and the Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579 (1993) line of cases, motions to exclude testimony of experts must be made by the deadline for dispositive motions and should not be treated as motions in limine. Absent extraordinary circumstances, the Court will not resolve such motions prior to trial in non-jury cases, and the parties are discouraged from filing Daubert motions in non- jury cases. J. Applications for a Temporary Restraining Order. A party must confer with its adversary before making an application for a temporary restraining order unless proceeding ex parte is justified by Fed. R. Civ. P. 65(b)(1). As soon as a party decides to seek a temporary restraining order, that party must file a letter on ECF (or by email if proceeding ex parte), or, in the case of a true emergency, email Chambers at ca02_AJNchambers@ca2.uscourts.gov and state clearly whether (i) it has notified its adversary, and whether the adversary consents to temporary injunctive relief; or (ii) the requirements of Fed. R. Civ. P. 65(b) are satisfied and no notice is necessary. If a party’s adversary has been notified but does not consent to temporary injunctive relief, the party seeking a restraining order must bring the application to the Court at a time mutually agreeable to it and its adversary, so that the Court may have the benefit of advocacy from both sides in deciding whether to grant temporary injunctive relief. K. Default Judgments. A plaintiff seeking a default judgment must proceed by filing a motion for default judgment on ECF pursuant to Federal Rule of Civil Procedure 55(b)(2) and Local Civil Rule 55.2(b). A plaintiff 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:

1. The basis for entering a default judgment, including a description of the method and date of service of the summons and complaint;
2. The procedural history beyond service of the summons and complaint, if any;
3. 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;
4. The proposed damages and the basis for each element of damages, including interest, attorney’s fees, and costs; and
5. Legal authority for why an inquest into damages would be unnecessary; ii. A proposed default judgment; iii. Copies of all the operative pleadings; iv. A copy of the affidavit of service of the summons and complaint; and v. 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 plaintiff must serve the motion for default judgment and supporting paperwork on the party against whom default judgment is sought and file an affidavit of service on ECF within fourteen days of filing the motion for default judgment. The Court will not consider the motion for default judgment until such affidavit of service is filed. If more than fourteen days are required to complete service of the motion for default judgment and supporting papers, the plaintiff should file a letter on ECF explaining why additional time is necessary and when the plaintiff anticipates service will be completed. The Court will review the motion for default judgment and, if appropriate, issue an order setting a date and time for a default judgment hearing. If the Court issues such an order, the plaintiff must then serve on the party against whom default judgment is sought the Court’s order setting a date and time for the default judgment hearing. The plaintiff must filed proof of such service on the docket in the manner and by the date specified in the Court’s order setting the default judgment hearing. L. Proposed Orders. All proposed orders that parties wish the Court to sign should be submitted on ECF as attachments or exhibits to an appropriate formal application to the Court seeking the endorsement of such order.
6. Sealing and Redactions A. Sealing and Redactions Not Requiring Court Approval. The parties are referred to the EGovernment 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 [use the last four digits only], names of minor children [use the initials only], dates of birth [use the year only], financial account numbers [use the last four digits only], and home addresses [use only the City and State]). Parties may redact the five categories of “sensitive information” and the six categories of information requiring caution (i.e., personal identifying number, medical records (including information regarding treatment and diagnosis), employment history, individual financial information, proprietary or trade secret information, and information regarding an individual’s cooperation with the government), as described in the Privacy Policy, without Court approval. B. Sealing and Redactions Requiring Court Approval. Except as permitted by Section 4.A, all sealing and redactions require 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. 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.

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.

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 redactions highlighted. Both documents must be electronically filed through the ECF system and related to the motion.

To be approved, any redaction or sealing of a court filing must be narrowly tailored to serve whatever purpose justifies the redaction or sealing and must be otherwise consistent with the presumption in favor of public access to judicial documents. See Lugosch v. Pyramid Co. of Onondaga, 435 F.3d 110, 119-20 (2d Cir. 2006). In general, the parties’ consent or the fact that information is subject to a confidentiality agreement between litigants is not, by itself, a valid basis to overcome the presumption in favor of public access to judicial documents. See, e.g., In re Gen. Motors LLC Ignition Switch Litig., No. 14-MD-2543 (JMF), 2015

WL 4750774, at *4 (S.D.N.Y. Aug. 11, 2015). The party seeking leave to file sealed or redacted materials should meet and confer with any opposing parties (or third parties seeking confidential treatment of the information, if any) in advance to narrow the scope of the request. When a party seeks leave to file sealed or redacted materials on the ground that an opposing party or third party has requested it, that party shall notify the opposing party or third party that it must file, within three days, a letter explaining the need to seal or redact the materials.

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. 5. Other Pretrial Guidance A. Settlement Agreements. The Court will not retain jurisdiction to enforce confidential settlement agreements. If the parties wish that the Court retain jurisdiction to enforce the agreement, the parties must place the terms of their settlement agreement on the public record. The parties may either provide a copy of the settlement agreement for the Court to endorse or include the terms of their settlement agreement in their stipulation of settlement and dismissal. In FLSA actions, Rule 41(a)(1)(A)(ii) of the Federal Rules of Civil Procedure requires that the Court review and scrutinize a proposed settlement agreement to ensure that it is fair. See Cheeks v. Freeport Pancake House, Inc., 796 F.3d 199, 206 (2d Cir. 2015); see also Wolinsky v. Scholastic Inc., 900 F. Supp. 2d 332, 338 (S.D.N.Y. 2012). The parties must submit to the Court both the settlement agreement and a joint letter explaining why the settlement should be approved. The joint letter should contain the following: i. Discussion of the considerations detailed in Wolinksy, 900 F. Supp. 2d at 335–36. ii. A description of the method used to calculate the settlement amounts. iii. A list of the hours plaintiff(s) worked and at what wages. This should be detailed enough to enable the Court to follow the parties’ steps in calculating the settlement amounts. If the parties disagree on hours worked or wages owed, both parties’ estimates should be included.Detailed billing records to support any request for attorneys’ fees, documenting the hours expended and the nature of the work done. iv. If the proposed settlement contains a non-disparagement provision, authority and argument demonstrating that the proposed provision is fair and reasonable. The Court will not ordinarily approve settlement agreements that contain a confidentiality provision or a general release from all liability. See Wolinsky, 900 F. Supp. 2d at 337–40; Flores-Mendieta v. Bitefood Ltd., No. 15-CV-4997 (AJN),

2016 WL 1626630, at *2 (S.D.N.Y. Apr. 21, 2016); see also Lugosch v. Pyramid Co. of Onondaga, 435 F.3d 110, 126 (2d Cir. 2006). B. Diversity Jurisdiction Cases. In any action in which subject matter jurisdiction is founded on diversity of citizenship pursuant to 28 U.S.C. § 1332, the party asserting the existence of such jurisdiction shall, prior to the Initial Pretrial Conference, submit to the Court a letter no longer than two pages explaining the basis for that party’s belief that diversity of citizenship exists. Where any party is a corporation, the letter shall state both the place of incorporation and the principal place of business. In cases where any party is a partnership, limited partnership, limited liability company, or trust, the letter shall state the citizenship of each of the entity’s members, shareholders, partners, and/or trustees. C. Cases Removed from State Court. Counsel for the party or parties which removed the case must, in addition to providing a copy of all process, pleadings, and papers served upon the defendants pursuant to 28 U.S.C. § 1446(a), file a copy of any pleading filed or served while the case remained in State court. Counsel for all parties must file a notice of appearance in this Court promptly upon removal. D. Bankruptcy Appeals. Briefs must be submitted in accordance with Fed. R. Bankr. P. 8009–8010. Counsel may extend the default deadlines by stipulation submitted to the Court no later than two business days before the brief is due. 6. Trial Procedures A. Joint Pretrial Report. Unless otherwise ordered by the Court, within 40 days from the date for the completion of all discovery, or, if a dispositive motion has been filed, within 14 days of a decision on such motion, the parties shall electronically file a proposed Joint Pretrial Report. This document, which should be ECF filed under the event heading “Joint Pretrial Report,” shall include the following: i. The full caption of the action; ii. The names, law firms, addresses, and telephone and fax numbers of trial counsel; iii. A brief statement by plaintiff as to the basis of subject matter jurisdiction, and a brief statement by each other party as to the presence or absence of subject matter jurisdiction. Such statements shall include citations to all statutes relied on and relevant facts as to citizenship and jurisdictional amount;

iv. A brief summary by each party of the claims and defenses that the party asserts remain to be tried, including citations to any statutes on which the party relies. Such summaries shall also identify all claims and defenses previously asserted which are not to be tried. The summaries should not recite any evidentiary matter; v. A statement as to the number of trial days needed and regarding whether the case is to be tried with or without a jury; vi. A statement as to whether or not all parties have consented to trial by a magistrate judge, without identifying which parties do or do not consent; vii. Any stipulations or agreed statements of fact or law to which all parties consent; viii. A list of all trial witnesses, indicating whether such witnesses will testify in person or by deposition, and a brief summary of the substance of each witness’s testimony. Deposition testimony will only be permitted if allowed by the Federal Rules of Civil Procedure and the Federal Rules of Evidence and if the witness is not otherwise testifying live; ix. A designation by each party of deposition testimony to be offered in its case in chief and any counter-designations and objections by any other party; and x. A list by each party of exhibits to be offered in its case in chief, with one star indicating an objection by the opposing party based on authenticity. When a party objects to an exhibit on any grounds other than authenticity, the objection should be noted by indicating the Federal Rule of Evidence that is the basis for the objection. Objections not made will be waived. xi. A statement of the damages claimed and any other relief sought, including the manner and method used to calculate any claimed damages and a breakdown of the elements of such claimed damages; and xii. A statement of whether the parties consent to less than a unanimous verdict. B. Motions in limine. Any party wishing to file a motion addressing evidentiary issues or other matters which should be resolved in limine shall electronically file such a motion at the time that the Joint Pretrial Report is filed. Opposition papers shall be filed within seven days thereafter, and reply papers shall be filed within four days of any opposition. C. Pretrial Memorandum of Law. If a party believes that a pretrial memorandum of law would be useful to the Court, it shall electronically file the memorandum at the time that the Joint Pretrial Report is filed. D. Requests to Charge and Proposed Voir Dires. In all jury trials, joint requests to charge, joint proposed verdict forms, and joint proposed voir dire questions shall be electronically filed at the time that the Joint Pretrial Report is filed. The joint proposed voir dire shall include a brief (one or two paragraph) statement about the case to be read to the prospective jurors at the beginning of voir dire.

For any requests to charge on which the parties cannot agree, each party should clearly set forth its proposed charge, as well as the grounds on which the Court should use that charge and should include citations to supporting case law sufficient to enable the Court to render a decision. In addition to filing these documents on ECF, parties should also submit copies of these documents to the Court by email (ca02_AJNchambers@ca2.uscourts.gov), as Microsoft Word documents. E. Trial Exhibits. At the time that the Joint Pretrial Report is filed, each party shall submit to the Court a thumb drive containing one copy of each documentary exhibit sought to be admitted. Exhibits shall also be filed on ECF. F. Additional Submissions in Non-Jury Cases. i. At the time the Joint Pretrial Report is filed, each party shall electronically file proposed findings of fact and conclusions of law. The proposed findings of fact should be detailed and should include citations to the proffered trial testimony and exhibits, as there may be no opportunity for post-trial submissions. ii. At the time the Joint Pretrial Report is filed, each party shall email to the Court and serve on opposing counsel, but not electronically file, all deposition excerpts which will be offered as substantive evidence, as well as a one-page synopsis of those excerpts for each deposition. Each synopsis shall include page citations to the pertinent pages of the deposition transcripts. Note also Rule 5.A.viii. iii. At the time the Joint Pretrial Report is filed, each party shall file on ECF copies of affidavits constituting the direct testimony of each trial witness, except for the direct testimony of an adverse party, a person whose attendance is compelled by subpoena, or a person for whom the Court has agreed to hear direct testimony live at the trial. Three business days after submission of such affidavits, counsel for each party shall submit a list of all affiants whom he or she intends to cross- examine at the trial. Only those witnesses who will be cross-examined need to appear at trial. The original signed affidavits should be brought to trial to be marked as exhibits. G. Trial Schedule. Trials will generally be conducted Monday through Thursday from 9:30 a.m. to 5:00 p.m. 7. Policy on the Use of Electronic Devices 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. If required by the Standing Order, counsel seeking to bring a device into the Courthouse shall submit a copy of the Electronic Devices General Purpose Form, available at https://nysd.uscourts.gov/node/766, to the Court by email at least two business days prior to the relevant trial or hearing. If permitted by the Standing Order, mobile telephones are permitted inside the Courtroom, but they MUST be kept turned off at all times. Non-compliance with this rule may result in forfeiture of the device for the

remainder of the proceedings.

8. Encouraged Participation of Junior Members of Legal Teams Junior members of legal teams representing clients are invited to argue motions they have helped prepare and to question witnesses with whom they have worked. Firms are encouraged to provide this opportunity to junior attorneys for training purposes. This Court is amenable to permitting a number of lawyers to argue for one party if this creates an opportunity for a junior lawyer to participate. The ultimate decision of who speaks on behalf of the client is for the lawyer in charge of the case, not for the Court.

Individual Practices in Criminal Cases

Revised: July 7, 2022

INDIVIDUAL PRACTICES IN CRIMINAL CASES ALISON J. NATHAN, United States Circuit Judge Sitting by Designation

Chambers

United States District Court

Southern District of New York

40 Foley Square, Room 2102

New York, NY 10007

ca02_AJNchambers@ca2.uscourts.gov

1. Electronic Case Filing (ECF)

Counsel are required to register for ECF promptly after being retained or assigned. Counsel can obtain instructions on how to register at: http://www.nysd.uscourts.gov/ecf_filing.php

2. Communications with Chambers

A. Initial Pretrial Conference. Upon assignment of a criminal case to Judge Nathan, the Assistant United States Attorney (A.U.S.A.) shall immediately email Chambers to arrange for a prompt conference/arraignment. As soon as practicable, the A.U.S.A. shall e-mail a courtesy copy of the indictment and the criminal complaint, if one exists, to ca02_AJNchambers@ca2.uscourts.gov, and the subject line of the e-mail shall state the caption of the case (including the docket number) and the contents of the e-mail.

The Court’s procedure is that a firm trial date will be selected at the initial criminal conference. Prior to that conference, counsel shall confer and be prepared to propose to the Court a trial date and a schedule for any pretrial motions. Once a trial date is selected, it will not be moved absent exceptional circumstances.

B. Letters. Except for matters requiring immediate attention or as otherwise provided below, all communications with the Court must be submitted by letter and filed on ECF. Any letter that is longer than one page must be double spaced. Parties should not submit courtesy copies of letters filed on ECF.

Letters to be filed under seal or containing sensitive or confidential information may be emailed to the Court (ca02_AJNchambers@ca2.uscourts.gov) as .pdf attachments.
Copies of any such letter should be simultaneously delivered to all counsel, unless otherwise necessary due to the sensitivity of the material contained therein. Any such email shall state clearly in the subject line (i) the full caption of the case, and (ii) a brief description of the contents of the letter. Parties shall not include substantive communications in the body of the email; such communications shall be included only in the body of the letter. Any time a party submits a document to the Court

without filing it on the public docket, the party must also submit a copy of the document to the Court’s email address. Paper copies alone are insufficient.

Unless prior approval has been granted, no letter (however it is filed) may exceed three pages in length (exclusive of exhibits or attachments). Letters solely between parties or their counsel or otherwise not addressed to the Court may not be filed on ECF or otherwise sent to the Court (except as exhibits to an otherwise properly filed document).

C. Requests for Adjournments or Extensions of Time. All requests for adjournments or extensions of time must be made in writing and filed on ECF as letter-motions, consistent with Paragraph 2.B above. (If a request contains sensitive or confidential information, it may be submitted by email in lieu of being filed electronically.) Such requests must state: (i) the original date(s); (ii) the number of previous requests for adjournment or extension; (iii) whether these previous requests were granted or denied; (iv) whether the adversary consents and, if not, the reasons given by the adversary for refusing to consent; and (v) the date of the parties’ next scheduled appearance before the Court. If a party seeks an exclusion of time under the Speedy Trial Act, 18 U.S.C. § 3161, the party must submit to the Court by email a proposed order (in Microsoft Word format) along with its request for adjournment or extension.

Absent an emergency, any request for extension or adjournment shall be made at least 48 hours prior to the deadline or scheduled appearance and any request for adjournment of sentencing shall be made at least 72 hours prior to the scheduled proceeding. Requests for extensions will ordinarily be denied if made after the expiration of the original deadline.

D. Hand Deliveries. Hand-delivered mail should be left with the Court Security Officers at the Worth Street entrance of the 500 Pearl Street Courthouse and may not be brought directly to Chambers. Hand deliveries are regularly retrieved from Court Security. However, if the hand-delivery is urgent and requires the Court’s immediate attention, proceed to the entrance of the 40 Foley Square Courthouse ask the Court Security Officers to notify Chambers that an urgent package has arrived that needs to be retrieved by Chambers staff immediately.

E. Urgent Communications. As a general matter, the Court will review letters filed via ECF within one business day. If a submission requires immediate attention, please notify chambers by email after you file via ECF.

3. Defense Counsel

A. Benefactor Payments. Whenever Defense Counsel has received, or is receiving, a benefactor payment that subjects counsel to a conflict of interest, said counsel must inform the Court and request a Curcio hearing at the initial conference.

B. Substitution of Counsel. When there is a substitution of Defense Counsel, counsel of record must submit a letter, filed on ECF, to schedule a conference. At the conference, the Court will address the application by defense counsel to be relieved.
The defendant, replacement counsel and the A.U.S.A. must also attend the conference.

4. Motions

In making discovery motions, counsel are expected to comply with Southern District Local Criminal Rule 16.1. Any discovery motion must contain the Rule 16.1 affidavit. Letter-motions may be filed via ECF if they comply with the S.D.N.Y. Local Rules and the S.D.N.Y. “Electronic Case Filing Rules and Instructions.”

5. Bail Modification

Any written request for a bail modification by a defendant shall indicate whether the Government and the Pre-Trial Services Officer consent to the request.

6. Guilty Pleas

A. Plea Agreements and Pimentel Letters. When a defendant is pleading guilty pursuant to a plea agreement or a cooperation agreement, or where the Government is providing a Pimentel letter, a copy of the relevant document ordinarily must be emailed to the Court (ca02_AJNchambers@ca2.uscourts.gov) at least two business days before the scheduled plea.

B. Preparation for Allocution. Defense counsel are expected to have reviewed any plea, cooperation or other agreement -- if necessary, with the assistance of an interpreter -- with the defendant prior to the time set for the conference with the Court. Defendants shall also be prepared in advance of a guilty plea to give narrative allocutions that incorporate all of the elements of the offense(s) to which they are pleading guilty.

7. Trials

A. Proposed Voir Dire, Jury Instructions, and Verdict Forms. Unless otherwise ordered, proposed voir dire, jury instructions, and verdict forms shall be ECF filed two weeks prior to the trial date. At the time of ECF filing, each party should also email copies of these documents, as Microsoft Word documents, to ca02_AJNchambers@ca2.uscourts.gov.

B. Exhibits and 3500 Materials. At the start of the trial, the Government must provide the Court with three hard copies of the exhibit list, and one set of pre-marked documentary exhibits and Section 3500 material assembled sequentially in a loose leaf binder, or in separate manila folders labeled with the exhibit numbers and placed in a suitable container for ready reference.

8. Sentencing

A. Sentencing Submissions. Unless otherwise ordered by the Court, a defendant’s sentencing submission shall be served one week in advance of the sentencing date; the Government’s sentencing submission shall be served three days in advance of the sentencing date. The parties should provide the Court with one courtesy copy of each submission at the time it is served. All sentencing submissions must be double spaced.

B. ECF Filing. Except for submissions to be filed under seal or in redacted form, every document in a sentencing submission, including letters, must be filed on ECF.
Letters should be grouped and filed together as attachments to a single document marked SENTENCING MEMORANDUM with the caption and docket number clearly indicated. The defendant is responsible for filing all letters submitted on behalf of the defendant, including those from friends and relatives. The Government is responsible for filing all letters from victims.

C. Privacy Policy. The parties are referred to the E-Government Act of 2002 and the Southern District’s ECF Privacy Policy (“Privacy Policy”) and reminded not to include, unless necessary, the five categories of “sensitive information” in their submissions (i.e., social security numbers, names of minor children [use the initials only], dates of birth [use the year only], financial account numbers, and home addresses [use only the City and State]).

D. Redactions. 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.
Bring a copy of those pages to the sentencing proceeding, marked to indicate what information has been redacted from the publicly filed materials, to give to the Court for filing under seal.

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.

Special Rules of Practice in Civil Pro Se Cases

Revised: April 18, 2022 SPECIAL RULES OF PRACTICE IN CIVIL PRO SE CASES ALISON J. NATHAN, UNITED STATES CIRCUIT JUDGE SITTING BY DESIGNATION Pro Se Intake Unit United States District Court of the Southern District of New York Daniel Patrick Moynihan United States Courthouse 500 Pearl Street, Room 200 New York, New York 10007 (212) 805-0175 COMMUNICATIONS 1. All communications with the Court by a pro se party should be mailed to the Pro Se Intake Unit. No document or filing should be sent directly to Chambers. FILING OF PAPERS 2. All papers to be filed with the Court by a pro se party, along with any courtesy copies of those papers, should be sent to the Pro Se Intake Unit, Room 200, United States Courthouse, 500 Pearl Street, New York, New York 10007. 3. Parties in pro se cases shall serve a pro se party with a paper copy of any document that is filed electronically and file with the Court a separate Affidavit of Service. Submissions filed without proof of service that the pro se party was served with a paper copy will not be considered. DISCOVERY 4. All requests for discovery should be sent to counsel for the party. Discovery requests should not be sent to the Court. Please refer to the Pro Se Intake Unit’s Discovery Guide. MOTIONS 5. Filing and Service: Unless otherwise ordered by the Court, papers filed in opposition to a motion must be served and filed within four weeks of the service of the motion papers, and reply papers, if any, must be served and filed within two weeks of receipt of opposition papers. 6. All motion papers should include one courtesy copy for the Court. All courtesy copies shall be clearly marked as such.

7. Pro Se Notices. Parties who file a motion to dismiss, a motion for judgment on the pleadings or a motion for summary judgment must provide the pro se party with a copy of the notices required under Local Civil Rules 12.1 or 56.2

8. Oral Argument: Unless otherwise ordered by the Court, argument will not be heard in pro se matters.

9. Pages Limits:

a. 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. All memoranda of law shall be in 12-point font or larger and be double-spaced.

b. Rule 56.1 statements: Any Rule 56.1 statement in support of a motion for summary judgment is limited to no more than 25 pages unless leave of the Court to file a longer document is obtained at least one week prior to the due date of such motion for summary judgment. An opposing party’s response to the moving party’s Rule 56.1 statement shall be no longer than 50 pages, unless leave of the Court to file a longer document is obtained at least one week prior to the due date of such submission. If necessary, the opposing party may provide an additional Local Rule 56.1 statement containing a separate, short and concise statement of additional facts as to which it is contended that there exists a genuine issue to be tried. This submission shall be no longer than 25 pages.

c. Letters. Any letter filed with the Court that is longer than one page must be double spaced.

TRIAL DOCUMENTS

10. Within 30 days of the completion of discovery unless otherwise ordered by the Court, a pro se party shall file a concise, written Pretrial Statement. This Statement need take no particular form, but it must contain the following: (1) a statement of the facts the pro se party intends to prove at trial; (2) a list of all documents or other physical objects that the party plans to put into evidence at trial; and (3) a list of the names and addresses of all witnesses that the party intends to have testify at trial. The Statement must be sworn by the pro se party to be true and accurate based on the facts known by the party. The pro se party shall file an original of this Statement with the Pro Se Intake Unit and serve a copy on all other parties or their counsel if they are represented. The original Statement must include a certificate stating the date a copy was mailed to the other parties or their attorneys. Two weeks after service of pro se party’s Statement, the other parties must file and serve a similar Statement of their case containing the same information.

11. Within 30 days of the completion of discovery, if the case is to be tried before only a Judge without a jury, any parties represented by counsel must submit proposed findings of fact and conclusions of law. If the case will be tried before a jury, any parties represented by counsel must submit a proposed jury charge. The pro se party may also file either proposed findings

of fact and conclusions of law or a proposed jury charge within 30 days of the close of discovery, but is not required to do so.

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