Judge Katharine H. Parker — United States District Court, Southern District of New York

Electronic Device - Wifi Request Form

UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF NEW YORK IN THE MATTER OF AN APPLICATION TO BRING PERSONAL ELECTRONIC DEVICE(S) OR GENERAL PURPOSE COMPUTING DEVICE(S) INTO THE COURTHOUSES OF THE
SOUTHERN DISTRICT OF NEW YORK FOR
USE IN A PROCEEDING OR TRIAL
The following Order is subject to the definitions, obligations and restrictions imposed pursuant to Standing Order M10-468, as Revised. Upon submission of written application to this Court, it is hereby
ORDERED that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/ or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned:

. ORDERED that for the device(s) checked below SDNY Courtroom WI-FI access shall be provided. The date(s) for which such authorization is provided is (are) .
Attorney(s) E-mail Device(s) Courtroom WiFi Granted (Attach Extra Sheet If Needed) The attorney(s) identified in this Order must present a copy of this Order when entering the Courthouse. Bringing any authorized Device(s) into the Courthouse or its Environs constitutes a certification by the attorney that he or she will comply in all respects with the restrictions and obligations set forth in Standing Order M10-468, as Revised.
SO ORDERED: Dated: United States Judge DO NOT FILE ON ECF. THIS FORM MUST BE EMAILED TO CHAMBERS AT LEAST 24 HOURS BEFORE THE SCHEDULED CONFERENCE: Parker_NYSDChambers@nysd.uscourts.gov

Use of AI Rule

USE OF GENERATIVE AI Federal Rule of Civil Procedure 11 imposes a duty on atorneys and pro se liƟgants to cerƟfy that they have conducted a reasonable inquiry and have determined that any papers filed with the court are well grounded in fact and that they have verified all cited sources for accuracy. See Cooter & Gell v. Hartmarx Corp., 496 U.S. 384, 393 (1990).
Although the use of ChatGPT and other such generaƟve arƟficial intelligence (“AI”) tools is not prohibited, unqualified reliance on such tools may result in filings replete with misrepresentaƟons and fabricated case law. Failure to exercise due care in reviewing and filing work product created with the assistance of generaƟve AI tools may violate Rule 11 and other applicable standards of pracƟce and expose the filer to sancƟons or other correcƟve or disciplinary acƟon. See, e.g., Park v. Kim, 91 F.4th 610, 614 (2d Cir. 2024) (referring atorney who filed brief relying on non-existent cases to grievance panel).

Individual Practices in Civil Cases

Revised February 2025

INDIVIDUAL PRACTICES IN CIVIL CASES1 KATHARINE H. PARKER, UNITED STATES MAGISTRATE JUDGE

The following rules apply for proceedings before Judge Parker on consent and within the scope of a referral. They do not modify or affect the practices of the District Judge before whom a case may also be pending.

I. Communications with Chambers.

a. Letters. Communications with the Court should be by letter filed on ECF except for settlement conference submissions and in camera submissions. Letters may not exceed 3 single-space pages in length (exclusive of exhibits).

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 500 Pearl St., Room 230, New York, NY 10007. A pro se party may not call Chambers or send any document or filing directly to Chambers. Submissions requiring immediate attention should be hand-delivered to the Pro Se Intake Unit. Unless the Court orders otherwise, all communications with the Court will be docketed upon receipt; such docketing shall constitute service on any user of the ECF system. If any other party is not a user of the ECF system (e.g., if there is another pro se party in the case), a pro se party must send copies of any filing to the party and include proof of service affirming that he or she has done so. Copies of correspondence between a pro se party and opposing parties shall not be sent to the Court. Question can be directed to the pro se unit at (212) 805-0175.

Requests for reasonable accommodations on account of disability or religion with respect to the Court’s rules or in connection with any proceeding before Judge Parker may be emailed to Parker_NYSDChambers@nysd.uscourts.gov. Counsel and parties are invited to inform the Court of their preferred pronouns.

Communications between parties and discovery requests and responses should not be filed with the court (except as exhibits to an otherwise properly filed document).

b. Letter-Motions. Letter motions shall be filed on ECF in accordance with the S.D.N.Y. Local Rules and the S.D.N.Y. Electronic Case Filing Rules and Instructions. Requests that may be made by letter motion include requests for a discovery conference to address a discovery dispute before formal motion practice, adjournments, extensions, pre-motion conferences, sealing, and requests for a settlement conference. Letter motions are limited to 3 single-space pages (not including exhibits).

c. Requests for Adjournments or Extensions of Time. Absent good cause, any request for extension or adjournment shall be made at least 48 hours or 2 business days, whichever is greater, before the deadline or scheduled appearance.

All requests for adjournments or extensions of time must be filed on ECF as letter-motions. The letter-motion must state: (1) the original date(s); (2) the number of previous requests for adjournment or extension; and (3) whether the adversary consents and, if not, the reasons given by the adversary for refusing to consent.

d. Hand Deliveries. Hand-delivered mail 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.

e. Faxes. No faxed communications shall be permitted without prior permission from Judge Parker’s Chambers. Faxes must not exceed three pages.

f. Courtesy Copies. As a general rule, and except as otherwise specified herein, no physical/paper courtesy copies of documents filed on ECF should be sent to Judge Parker.

g. Docketing, Scheduling and Calendar Matters. For docketing, scheduling and calendar matters, please email Judge Parker’s Chambers email. Please allow for at least two business days for a response.

h. ECF. All counsel 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, at http://www.nysd.uscourts.gov/ecf_filing.php. Counsel are responsible for updating their contact information on ECF, should it change, and they are responsible for checking the docket sheet regularly, regardless of

whether they receive an ECF notification of case activity.

II. Pre-Trial Practice.

a. Initial Case Management Conference. Before the Initial Case Management Conference, parties must meet and confer on a discovery plan. One week before the scheduled conference, the parties shall file on ECF Proposed Case Management Plan and Report on Rule 26(f) Meeting. For non-pro se cases, the parties should use the template form Proposed Case Management Plan and Report on Rule 26(f) Meeting. For cases involving pro se litigants, the parties may use the simpler Proposed Case Management Plan for Pro Se Cases. Both forms are available at https://nysd.uscourts.gov/hon-katharine-h-parker.

In complex cases and cases where substantial ESI discovery is contemplated, the parties are expected to review Judge Parker’s Discussion Topics for Rule 26(f) Meeting found at https://nysd.uscourts.gov/hon-katharine-h-parker.

Attendance at ICMC. 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. Additionally, an incarcerated party who is unable to attend this or other conferences, may be able to participate by telephone or video. If appropriate, the Court’s scheduling order will outline the procedures for participation by telephone or video.

b. Case Management Conferences. The Court holds regular case management conferences. Counsel are expected to be prepared for such conferences and ready to discuss the status of discovery, the potential for settlement, and any other issue. In some cases, the Court may require a joint pre-conference agenda letter. Joint pre-conference agenda letters shall be limited to 6 pages and filed a week in advance of a conference unless otherwise specified or permitted by the Court.

Junior members of legal teams representing clients are invited to address the Court at case management conferences. Firms are encouraged to provide this opportunity to junior attorneys for training purposes. This Court is amenable to permitting different lawyers on a team to speak on different issues if this creates an opportunity for a junior lawyer to participate.

c. Discovery Disputes. Parties shall follow Local 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 submit an ECF letter-motion to the

Court or, if applicable, to the Pro Se Intake Clerk, no longer than 3 single-space pages, explaining the nature of the dispute and requesting a conference. Such letter must include a representation that the meet-and-confer process occurred and state when it occurred. Any responsive letter should be submitted within 3 business days after submission of the letter-motion. The Court will endeavor to resolve the issue during a conference without the need for formal briefing. However, if formal briefing is required, the Court will set a schedule for such briefing at the conference.

Parties shall keep in mind Rule 1 of the Federal Rules of Civil Procedure, which requires the Court and the parties to construe, administer, and employ the rules of procedure to secure the just, speedy, and inexpensive determination of every action. Parties also shall keep in mind Rule 26(b)(1) of the Federal Rules of Civil Procedure, which provides that “[p]arties may obtain discovery regarding any nonprivileged matter that is relevant to any party’s claim or defense and proportional to the needs of the case, considering the importance of the issues at stake in the action, the amount in controversy, the parties’ relative access to relevant information, the parties’ resources, the importance of the discovery in resolving the issues, and whether the burden or expense of the proposed discovery outweighs its likely benefit.” Discovery motions should address these rules to the extent applicable.

d. Confidentiality Stipulations and Orders. In cases where confidential information will be exchanged, the parties must utilize the Court’s model Protective Order found at https://nysd.uscourts.gov/hon-katharine-h-parker; provided, however, 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.

e. Electronic Discovery. The parties are expected to review Judge Parker’s Discussion Topics for Rule 26(f) Meeting found at https://nysd.uscourts.gov/hon- katharine-h-parker. The parties also may utilize the model Joint Electronic Discovery Submission and Proposed Order, as appropriate, found at https://nysd.uscourts.gov/hon-katharine-h-parker. This model may be modified to the extent appropriate for the case.

f. Video Depositions. A model form for the conduct of video depositions can be found at hattps://nysd.uscourts.gov/hon-katharine-h-parker.

g. Telephonic and Video Conferences. The Court, in its discretion,

may schedule or permit telephonic or video conferences. The Court utilizes Microsoft Teams for virtual proceedings. Counsel and parties appearing by video are expected to be dressed appropriately for Court.

III. Formal Motions.

a. Conferences of Counsel Before Filing Motions Under Rule 12(b) or (c). Except in cases involving pro se parties, if a motion pursuant to Fed. R. Civ. P. 12(b) or 12(c) is contemplated, the plaintiff or counterclaimant must indicate whether it wishes to amend the subject pleading before motion practice, and the parties must consider in good faith a stipulation permitting such amendment. If the parties are unable to reach a resolution, counsel for the moving party shall include the following statement in the notice of motion: “This motion is made following the conference of counsel, which took place on [date]. Plaintiff [or Counter Claimant] declined an opportunity to amend.”

b. Pre-Motion Conferences. A pre-motion conference is required for all motions except (i) letter motions specified in 1(b) above; (ii) motions that are required by the Federal Rules of Appellate Procedure or the Federal Rules of Civil Procedure to be made by a certain time, (iii) motions by litigants in actions where a party is incarcerated and pro se, (iv) motions for reconsideration, (v) motions for a new trial, (vi) motions in limine, (vii) motions to dismiss habeas corpus petitions, (viii) motions for default (see also Appendix A); and (ix) motions for judgment on the pleadings or summary judgment in social security cases.

Letters requesting a pre-motion conference should summarize the basis of the motion and follow the procedures for communicating with the Court set forth in Section I. Letters may not exceed 3 pages. Within 3 business days of receipt of the letter, each opposing party may submit a written response of no more than 3 pages. The Court will, as soon as possible thereafter, hold the pre-motion conference. The filing of a request for a pre-motion conference to dismiss prior to the Answer stays the time for the filing of an Answer until after the conference is held or until further order of the Court.

c. Memoranda of Law. The formatting and length of motion papers must conform to Local Civil Rule 7.1. Memoranda of law may only exceed the length limitations set forth under Local Civil Rule 7.1 if prior permission has been granted. Memoranda of 10 pages or more shall contain a table of contents and a table of authorities, neither of which shall count against the word limit. Sur-reply memoranda will not be accepted without prior permission of the Court.

All moving papers, letter-motions, and letters filed on ECF or emailed to chambers must be in searchable PDF form. Additionally, to the extent citing unreported cases, parties are requested to use Westlaw citations whenever possible.

d. Redactions and Filing Under Seal. All Confidential Materials filed with the Court may be redacted or filed under seal only as the Court directs upon appropriate application by either party or as required by Federal Rule of Civil Procedure 5.2, which describes sensitive information that must be redacted from public court filings.

To avoid the unnecessary filing of documents under seal, counsel for the parties will discuss, in good faith, the need to file Confidential Materials under seal. If the parties agree in writing that a particular document that has been designated Confidential Material shall not be filed under seal, that document can be filed without redaction and such filing will not be a breach of any Stipulation of Confidentiality.

Any party wishing to file in redacted form any pleading, motion, memorandum, exhibit, or other document, or any portion thereof, based on a party’s designation of information as Confidential, must make a specific request to the Court by letter motion explaining the reasons for seeking to file that submission under seal and addressing the request in light of the Court of Appeals’ opinions in Lugosch v. Pyramid Co. of Onondaga, 435 F.3d 110 (2d Cir. 2006) and Bernstein v. Bernstein Litowitz Berger & Grossman LLP, 814 F.3d 132 (2d Cir. 2016). If a request for redactions is based on another party’s designation of information as Confidential, the parties shall confer and jointly submit the request for redactions.

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

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.

If the Court approves the filing under seal, no further submissions shall be required. If the Court denies, in part, the motion for filing under seal, the party who made the submission shall be required to refile the document with modified redactions as directed by the Court. The Court will file under seal any clean and unredacted pages for which the Court has approved redactions.

The above practices for filing under seal are applicable to cases before Judge Parker if the matter is within the scope of the district judge’s order of reference or if the case is before Judge Parker 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.

e. Oral Argument on Motions. Parties may request oral argument when the motion has been fully briefed. This request should be made by letter in accordance with the procedures set forth in Section I.

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.

f. Proposed Stipulations and Orders. Parties should file stipulations and orders they wish the Court to sign on ECF, in accordance with the ECF Rules and Instructions.

g. Nothing in my Individual Practices supersedes a specific time period for filing a motion specified by statute or Federal Rule -- including but not limited to Fed. R. Civ. P 50, 52, 54, 59, and 60, and Fed. R. App. P. 4 -- where failure to comply with the specified time period could result in forfeiture of a substantive right.

IV. Pretrial Procedures.

Joint Pretrial Orders. After the close of discovery, the Court will file a Scheduling Order scheduling a pre-trial conference and containing instructions for the parties’ Proposed Joint Pretrial Order. In general, except in pro se cases, a Joint Pretrial Order shall include, as applicable:

a. the full caption of the action;

b. the name, address, telephone number and email of each principal member of the trial team, and an identification of each party’s lead trial counsel;

c. a list of each claim and defense that will be tried and identification of the governing law (including applicable regulations) governing each such claim and defense;

d. if applicable, a list of any claims and defenses asserted in the pleadings that are not to be tried;

e. a list by each party of its trial witnesses that it, in good faith, expects to present, with an indication of whether the witnesses will testify in person or by deposition and the general subject area of the witness’s testimony and anticipated length of time needed for witness;

f. a statement as to how and when the parties will give notice to each other of the order of their trial witnesses and, if the parties cannot agree, the parties statement that they will agree to the Court’s default rule for trials of this length (i.e., that the parties shall advise each other by no later than 48 hours before the start of trial as to the order of their witnesses);

g. a list by each party of exhibits that it, in good faith, expects to offer in its case in chief, together with any specific objections thereto;

h. all stipulations or statements of fact or law on which the parties have agreed;

i. a proposed schedule by which the parties will exchange demonstratives 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;

j. proposed voir dire questions;

k. proposed jury instructions;

l. proposed verdict sheet; and

m. all other matters that the Court may have ordered or that the parties believe are important to the efficient conduct of the trial, such as bifurcation or sequencing of issues to be tried, anticipated in limine motions, and technology needed for trial.

The parties shall each send a courtesy copy of all exhibits, pre-marked, to Parker_NYSDChambers@nysd.uscourts.gov. Exhibits need not be filed electronically on ECF. The parties shall also each submit one hard copy of the pre-marked exhibits in a well- organized three-ring binder separated by tab dividers.

In pro se cases, no Joint Pretrial Order is needed. Instead, within 30 days after the completion of discovery each party shall file its own Pretrial Statement. The pro se party’s Pretrial Statement need take no particular form, but must be concise and contain: (1) a statement of the facts the party hopes 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 the party intends to have testify at trial. The Statement must be sworn by the party to be true and accurate based on the facts known by the party. The party must file an original Statement with the Pro Se Office (see I(a)) and serve a copy on all other parties or their counsel if represented. The original Statement must indicate the date a copy was mailed to the other party or that party’s attorney.

V. Settlement Conferences

The Court believes the parties should fully explore settlement at the earliest practical opportunity. Early consideration of settlement allows the parties to avoid the substantial cost, expenditure of time, and uncertainty that are typically a part of the litigation process. Even for those cases that cannot be resolved, early consideration of settlement can provide the parties with a better understanding of the factual and legal nature of their dispute and streamline the issues to be litigated.

The following are the procedures applicable to Settlement Conferences:

a. Confidential. All settlement conferences are “off the record” and strictly confidential. All communications relating to settlement may not be used in discovery and will not be admissible at trial.

b. Magistrate Judge’s Role. The magistrate judge functions as a mediator, attempting to help the parties reach a settlement.

c. Pre-Conference Telephone Call. The Court will schedule a telephone call with the parties prior to the conference to discuss issues pertinent to the conference, after which a settlement conference will be scheduled.

d. Ex Parte Settlement Conference Summary Form and Letter. Unless otherwise directed by the Court, no later than 7 days before the Settlement Conference,

each party must complete the Court’s Settlement Conference Summary Form found at https://nysd.uscourts.gov/hon-katharine-h-parker. Each party also must provide the Court with a letter, not to exceed three pages, summarizing the issues in the case, the settlement value of the case and rationale for it, case law authority relevant to settlement discussions, and any other facts that would be helpful to the Court in preparation for the conference. Parties may attach exhibits to their letters to the extent they believe the exhibits would aid settlement discussions. The Settlement Conference Summary Form and letter should be emailed to Parker_NYSDChambers@nysd.uscourts.gov.

e. Exchange of Demand/Offer. If the plaintiff has not already made a settlement demand, such a demand shall be communicated to the opposing party no later than 14 days prior to the conference. If it has not already done so, the opposing party shall respond to any demand no later than 8 days prior to the conference.

f. Attendance. The parties – not just the attorneys – must attend the Settlement Conference in person. In the event personal attendance is a hardship, a party may make a written request no later than one week in advance of the conference to attend by phone. Each party must supply its own interpreter, if required. Corporate parties or labor unions must send the person with decision- making authority to settle the matter to the conference. Where liability insurance is involved, a decision-making representative of each carrier must attend unless specifically excused by the Court. Where any government agency is a party, counsel of record must be accompanied by a knowledgeable representative from the agency. In addition, in cases where the Comptroller of the City of New York has authority over settlement, the Assistant Corporation Counsel must make arrangements in advance of the conference for a representative of the Comptroller either to attend the conference or to be available by telephone to approve any proposed settlement.

g. Consequences of Non-Compliance with Attendance Requirement. If a party fails to comply with the attendance requirements, that party may be required to reimburse all the other parties for their time and travel expenses and may face other sanctions.

h. Conference Location. Unless advised otherwise by the Court, the conference will take place in Courtroom 17D at 500 Pearl Street.

i. Settlement Conference Materials: A courtesy copy of Ex Parte Settlement Conference Summary Forms and Letters shall be submitted to the Court if the exhibits to the Letter exceed 10 pages. Courtesy copies must be provided no later than one business day after submission of the Form and Letter. Courtesy copies should be placed in well-organized three-ring binder(s). Where appropriate, the binder(s) shall be separated by tab dividers preceded by an

exhibit list. Courtesy copies must be provided no later than one business day after the filing.

If a party is submitting a video, the clip shall be provided on a thumb drive delivered to Chambers and labeled with a case name and docket number. Alternatively, the clip may be emailed to the Chambers email address noted above.

VI. Default Judgment

Parties should follow Local Civil Rule 55 regarding default judgment. In addition, parties shall provide the following information in the notice of motion or memorandum of law supporting the motion:

1. The procedural history beyond service of the summons and complaint, if any;
2. Whether the default is applicable to fewer than all of the defendants, and, if so, a statement addressing whether the Court may appropriately order a default judgment on the issue of damages prior to resolution of the entire action.

Individual Practices in Criminal Cases

Revised March 2021

INDIVIDUAL PRACTICES IN CRIMINAL CASES KATHARINE H. PARKER, UNITED STATES MAGISTRATE JUDGE

I. Criminal Applications a. Warrants. Arrest and search warrants, including applications for cell site information, triggerfish, and GPS tracking, should be emailed to KHP_Rule41Warrants@nysd.uscourts.gov specifying the time that the agent and U.S. Attorney are available to swear out the complaint or affidavit. b. Late-night or weekend warrants. If you anticipate the need for a late-night or weekend warrant, please send Judge Parker an email at the warrant address and call Judge Parker on her personal cell phone, available on the criminal duty roster. II. Pleas. 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 Parker_NYSDChambers@nysd.uscourts.gov.
III. Misdemeanor Sentencing. Pre-sentence submissions for misdemeanors should be submitted no later than 2 weeks before the scheduled sentencing.

Discussion Topics for Rule 26(f) Meeting

May 21, 2019 KATHARINE H. PARKER, U.S. MAGISTRATE JUDGE DISCUSSION TOPICS/CONSIDERATIONS FOR PARTIES FOR USE AT RULE 26(f) CONFERENCE: Court Expectations: (1) Competence. Counsel shall be sufficiently knowledgeable in matters relating to their clients’ technological systems to discuss competently issues relating to electronic discovery, or have involved someone competent to address these issues on their behalf. (2) Rule 1 and Rue 26(b)(1). Counsel are expected to have reviewed Rule 1 and Rule 26(b)(1) and considered their obligations thereunder in discussing and preparing a discovery plan. (3) 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. (4) 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. (5) Preliminary Investigation by Counsel. Counsel for the parties are expected to speak with clients/key witnesses and data managers at the earliest time possible in the case to identify how the witnesses communicated with others and/or recorded information on relevant topics (e.g., text, phone, in-person meetings, instant messaging, video conferences/skype, web-based conferences, wikis, email, power points, blogs, social media, other applications) and where the clients/witnesses maintain documents on topics relevant to the litigation (e.g., personal mobile devices and social media accounts, external vendor’s servers, internal servers and databases). This investigation is required in order to determine the most efficient way to collect and exchange relevant information. Topics for Discussion/Consideration: (1) Preservation. (Universe of documents to be preserved may be broader than universe of documents to be searched in appropriate cases and as part of a phased discovery process.) (a) Discuss 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.

Plaintiff(s) are preserving the following data (email, databases, text messages on mobile devices, video, phone messages, photographs, communications and posting on websites or social media (e.g., Facebook, LinkedIn, Twitter, Instagram), communications via applications (e.g., What’s App, Snap Chat, etc.):

Defendant(s) are preserving the following data (email, databases, text messages on mobile devices, communications and posting on websites or social media (e.g., Facebook, LinkedIn, Twitter, Instagram), communications via applications (e.g., What’s App, Snap Chat, etc.):

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

(c) Anticipated need for judicial intervention regarding the following issues concerning the duty to preserve, the scope, or the method(s) of preserving electronically stored Information:

(2) Production (a) Source(s) of Hard Copy Documents and Method for producing such documents (e.g., exchange of paper copies, scans of documents into scannable PDF format).

(b) 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) custodians and/or databases:

Defendant(s) custodians and/or databases:

(c) Form(s) of Production: (1) Documents will produced in the following formats with the following metadata:

(2) 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) Anticipated need for judicial intervention regarding the following issues concerning the form(s) of production:

(3) Search and Review (a) Limitations on Production. 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 (including subject matter files and folders maintained by key custodians); (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:

1. Plaintiff(s) custodians and date range(s)

2. Defendant(s) custodians and date range(s):

3. Limitations on number of custodians:

4. Non-party custodians of data and whether subpoenas are contemplated and/or authorizations needed:

5. Timing of Review and Production: Priority of custodian review (i.e., should certain custodians’ records be reviewed before others?) and timing for production (including rolling production schedule):

[The parties are reminded that discovery is iterative and that producing parties have an obligation to supplement productions.] (b) Methodologies or protocols for the search and review of electronically stored information, as well as the disclosure of techniques to be used/level of transparency. 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:

1. Search terms (if they will be used for collections, culling or otherwise) (search terms may not be appropriate for documents pulled from certain custodians/sources):

Plaintiff(s):

Defendant(s):

2. Methods to increase efficiency and reduce costs in connection with document review and production (e.g., de-duplication, identification of

near duplicates, domain limitations, deNISTing, file types excluded, filtering, email threading and e-mail thread reduction (isolating only the all-inclusive e-mails for review), clustering similar types of documents for review, prioritization and predictive coding (finding potentially relevant documents based on a "sample set"). 3. Are there any stipulations that the parties can enter into that would reduce the scope of discovery needed? If so, when will the parties finalize the stipulation(s)? (c) Privacy and Secure Storage of Data. Are there special privacy concerns (protected health and genetic information, financial information, other special privacy concerns) and/or privacy laws pertinent to the information to be exchanged (e.g. GDPR)? Have Counsel considered and discussed secure transfer and storage of data (use of encryption, secure FTP sites, etc.)?

(d) Anticipated need for judicial intervention regarding the following issues concerning the search and review of electronically stored information:

(4) Confidentiality. Is a stipulation and order of confidentiality needed? [The parties are directed to Judge’s Parker’s model form.]

(5) Privileged Material. (a) Identification. The parties have agreed to the following method(s) for the identification (including the categorical logging; a combination of categorical and document by document logging; the disclosure of the number of documents withheld; production of metadata list with some combination of the above; exclusion of certain documents or domain communications from privilege logging altogether), and the redaction of privileged documents:

(b) Inadvertent Production / Claw-Back Agreements. Pursuant to Fed R. Civ. Proc. 26(b)(5) and F.R.E. 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 F.R.E. 502(d), etc.):

[The parties are advised that Judge Parker has a form 502(d) Order incorporated into her model Confidentiality Stipulation and Order located on the SDNY Individual Practices webpage. The parties also are advised that to the extent there is a dispute about privilege, the Court expects that privilege log to be submitted in excel format with hyperlinks to any in camera documents for review and columns addressing author, recipients, attorney designations, privilege asserted, subject matter of communication, explanation for privilege.]

(c) Date(s) for production of privilege logs (The Court’s preference is that privilege logs be produced simultaneously or within a week of each production tranche):

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

(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:

(6) Authenticity. The parties have discussed and considered ways to authenticate documents and stipulations regarding same to minimize disputes and costs.

(7) Additional Unresolved Issues Needing Court Intervention:

Proposed Case Management Order and Report on Rule 26(f) Meeting

Revised July 2023 IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK

Plaintiff, against Defendant.

X : : : : : : : : : : : : : X CIVIL ACTION NO.: PROPOSED CASE MANAGEMENT PLAN AND REPORT OF RULE 26(f) MEETING Court Expectations Rule 1 and Rule 26(b)(1). Counsel are expected to have reviewed Rule 1 and Rule 26(b)(1) and considered their obligations thereunder in discussing and preparing a discovery plan. 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 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 Order and Discussion Topics for Rule 26(f) Conference on Judge Parker’s Individual Practices Page. Counsel represent by their signature below that they have read and will comply with the above.

Revised July 2023 Proposed Discovery Plan In accordance with Federal Rule of Civil Procedure 26(f) and Judge Parker’s Individual Rules, the parties met on ________________ (at least one week before the Initial Case Management Conference) and are exchanging communications thereafter. At least one week before the Initial Case Management Conference, the parties submit the following report for the Court’s consideration: 2. Summary of Claims, Defenses, and Relevant Issues Plaintiff:

Defendant:

Basis of Subject Matter Jurisdiction: ___________________________________

Revised July 2023 4. Subjects on Which Discovery May Be Needed Plaintiff(s):

Defendant(s):

Informal Disclosures The information required by Rule 26(a)(1) of the Federal Rules of Civil Procedure was disclosed by Plaintiff(s) on ____________. In addition, on _______________, Plaintiff(s) produced/will produce an initial set of relevant documents identified in its Initial Disclosures and will continue to supplement its production. The information required by Rule 26(a)(1) of the Federal Rules of Civil Procedure was disclosed by Defendant(s) on ____________. In addition, on _____________, Defendant(s) produced/will produce an initial set of relevant documents identified in its Initial Disclosures and will continue to supplement its production. 6. Formal Discovery The parties jointly propose to the Court the following discovery plan: All fact discovery must be completed by ____________. 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 3(a) above.

Revised July 2023 a. 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. b. Interrogatories: Initial sets of interrogatories shall be served on or before ______________. All subsequent interrogatories must be served no later than 30 days prior to the discovery deadline. c. Requests for Admission: Requests for admission must be served on or before _________________. d. 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 prior to the discovery deadline. e. Supplementation: Supplementations under Rule 26(e) must be made within a reasonable period of time after discovery of such information. 7. Anticipated Discovery Disputes Are there any anticipated discovery disputes? Does either party seek limitations on discovery? Describe. 8. Amendments to Pleadings a. Are there any amendments to pleadings anticipated? b. Last date to amend the Complaint: ______________________________

Revised July 2023 9. Joinder of Parties a. Are there other necessary parties that need to be joined? Y/N b. Is joinder of other parties anticipated? __________________ c. Last date to join other parties: __________________________ 10. Expert Witness Disclosures At this time, the parties do/do not (circle one) anticipate utilizing experts. Expert discovery shall be completed by _________________________________________. 11. Electronic Discovery and Preservation of Documents and Information a. Have the parties discussed electronic discovery? ___________________ b. Is there an electronic discovery protocol in place? If not, when the parties except to have one in place? ____________________ c. Are there issues the parties would like to address concerning preservation of evidence and/or electronic discovery at the Initial Case Management Conference? 12. Anticipated Motions 13. 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 ___________________.

Revised July 2023 The following information is needed before settlement can be discussed:
14. 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 request a jury/bench (circle one) trial. d. The parties consent/do not consent (circle one) to Magistrate Judge jurisdiction at this time. 15. Other Matters The parties are advised that they may consent to Magistrate Judge jurisdiction at any time during the case pursuant to 28 USC § 636(c). To consent to Magistrate Judge jurisdiction for all purposes or specific dispositive motions, please utilize the consent form on Judge Parker’s Individual Practices Webpage.
Respectfully submitted this _____ day of _______________, 20. ATTORNEYS FOR PLAINTIFF(S):

ATTORNEYS FOR DEFENDANT(S):

Proposed Case Management Plan For Pro Se Case

March 2021

IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK

Plaintiff, against

Defendant.

X : : : : : : : : : : : : : X CIVIL ACTION NO.:
PROPOSED CASE MANAGEMENT PLAN FOR PRO SE CASE

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

2. I understand my obligation to and am preserving relevant information. Plaintiff/Defendant (circle one)

3. Proposed Schedule
   All discovery should be completed by ____________________________

a. Depositions: Depositions shall be completed by ____________ b. 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. Initial Requests for Documents must be made by ____________. d. Responses to Requests for Documents must be made by ___________________. e. Documents from third-parties (such as doctors) will/will not (circle one) be required. If required, the following are the third-parties from whom Documents will be requested.

f. Subpoenas requesting Documents from third-parties must be served by _________________. Documents obtained from third-parties must be provided to all parties in this matter. g. There will/will not (circle one) be expert testimony in this case. If expert testimony will be needed, please describe the topic on which the expert(s) is expected to testify

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:

5. Other Matters Plaintiff(s)/Defendant(s) (circle one) wish to discuss the following additional matters at the Initial Case Management Conference.

Respectfully submitted this ____day of _______.

Name

Address

Phone number

Email

Party representing (if applicable)

Model Protective Order

Revised June 1, 2026

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

X XX CIV XXXX (XXX) (XXX) STIPULATION AND PROPOSED PROTECTIVE ORDER XXXXXXXXXX, Plaintiff(s), against XXXXXXXXXX Defendant(s). :
:
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X

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 hereto. 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. Restrictions on Use of Artificial Intelligence (“AI”) to process Confidential or Highly Confidential Information: Absent notice to and written permission from the

producing party, any person or entity authorized to have access to Confidential Information under the terms of this Order shall not (a) use or employ any “open system” AI application, service, or analytical software that will transfer, transmit, send, or allow unauthorized persons access to Confidential Information of Highly Confidential Information, in whole or in part, including metadata, or (2) permit any Confidential Information of Highly Confidential Information to be used to train any publicly accessible artificial intelligence tool. The parties may utilize private “closed system” AI tools, subject to all other Federal Rules of Civil Procedure, attorney ethical obligations, and the law. 9. 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.
10. 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 with respect to filing under seal.
11. 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. 12. 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:

Dated:

SO ORDERED.

KATHARINE H. PARKER, U.S.M.J.

Dated:
New York, New York

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 ESI Plan and Proposed Order

Revised March 2021

UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF NEW YORK

Plaintiff(s) -against-

Defendant(s) ) ) ) ) ) ) ) ) ) ) ) ) No.: CV___ ESI Plan and [Proposed] Order The parties in this action stipulate and agree that the following ESI Plan and [Proposed] Order shall govern the preservation, collection and production of electronically stored information and documents in this action.
(1) Description of Claims/Counterclaims/CrossClaims:

(a) Plaintiff’s Estimated Monetary Damages and Description of Other Relief Sought:

(b) Defendant’s Estimated Damages on any Counterclaim/Cross-Claims and Description of Other Relief Sought:

By signing below, counsel for the parties confirm that they have factored in the potential damages and relief sought in this case, as well as the resources of the parties, to develop an ESI Plan that is proportional to the needs of this case.

(2) Meet and Confer. Pursuant to Fed. R. Civ. P. 26(f), counsel are required to meet and confer regarding certain matters relating to electronic discovery before the Initial Pretrial Conference (the Rule 16 Conference). Counsel hereby certify that they have met and conferred to discuss these issues. Date(s) of parties’ meet-and-confer conference(s):

By signing below, the parties confirm that they have reviewed Judge Parker’s Discussion Topics for Rule 26(f) Meeting. (3) 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: (e.g., 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.) 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.

(4) Collection (a) State the extent to which the parties have agreed on the scope of documents to be collected (e.g., custodians and files/folders, servers, databases) for search and review and agreement on methods of collection.

(b) 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):

(c) Custodians/Databases. The parties have agreed that data will be collected from the following custodians/databases for review:

Plaintiff(s):

Defendant(s):

(5) 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):

(6) Production (a) Limitations on Production. The parties have discussed factors relating to the scope of production, including but not limited to: (i) number of custodians; (ii) date ranges for which potentially relevant data will be drawn; (iii) timing of productions (including phased discovery or rolling productions); (iv) prioritization of review; 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):

(b) Form(s) of Production and Metadata to be produced: (1) The parties have readied the following agreements regarding the form(s) of productions and metadata fields to be produced: Plaintiff(s):

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) Methods to expedite review. The parties have discussed and agree to the following (e.g., de-deduplication, email threading, etc.)

(4) Privileged Material. (a) Identification. The parties have agreed to the following method(s) for the identification (e.g., form of logs, acceptability of categorical logs for certain categories of communications, production of metadata log in lieu of or in advance of more limited document by document log, categories of documents that need not be logged, disclosure of number of documents withheld pursuant to certain privileges in lieu of document by document log), and the redaction of privileged documents:

(b) Inadvertent Production / Claw-Back Agreements. Pursuant to Fed R. Civ. Proc. 26(b)(5) and F.R.E. 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 F.R.E. 502(d), etc.) (the parties are referred to the Rule 502 order in Judge Parker’s form confidentiality order):

(c) 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. (5)Cost of Production. The parties have analyzed their client’s data repositories and have estimated the costs associated with the production of electronically stored 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:

(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:

The preceding constitutes the agreement(s) reached between the parties to certain matters concerning electronic discovery as of this date. Counsel certify that in connection with preparation of this ESI Plan and [Proposed] Order they are sufficiently knowledgeable in matters relating to their clients’ technological systems to discuss competently issues relating to electronic discovery, or have involved someone competent to address these issues on their behalf. Party:

Party:

Party:

Party:

Party:

By:
By:
By:
By:
By:

Dated: _______, 20 SO ORDERED:

Katharine H. Parker United Stated Magistrate Judge

Model Video Deposition Protocol

March 2021

SAMPLE PROTOCOL FOR REMOTE DEPOSITIONS

Conducting in-person depositions is not always feasible, particularly under circumstances requiring social distancing. In such instances, the parties may need to or will choose to conduct depositions remotely. This form is an example of a stipulated order the parties can use in connection with arranging for and conducting remote depositions. In this example, the parties agree to use video conferencing through a third- party provider. The form can also be adapted for use in connection with depositions conducted by telephone, and for use without the services of a third-party provider. The parties are of course permitted to agree on whatever terms they see fit, consistent with the Federal Rules of Civil Procedure and the Local Rules of this Court.

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

Case No.
-cv-
(
) (
)

STIPULATION AND [PROPOSED] ORDER CONCERNING PROTOCOL FOR CONDUCTING REMOTE DEPOSITIONS

The Plaintiff(s) and Defendant(s) (collectively, the “Parties”) jointly stipulate to the following protocol for conducting depositions via remote means in the above-captioned manner: 1. All depositions shall be conducted remotely using videoconference Plaintiff,

• against – Defendant.

March 2021

technology, and each deponent shall be video-recorded. 2. The Parties agree to use [SERVICE PROVIDER] for court reporting, videoconference and remote deposition services. The Parties agree that a [SERVICE PROVIDER] 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 taken remotely. The Parties reserve all other objections to the use of any deposition testimony at trial. 4. 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 [SERVICE PROVIDER], which simulates a live breakout room through videoconference. Conversations in the breakout rooms shall not be recorded. The breakout rooms shall be established by [SERVICE PROVIDER] prior to the

March 2021

deposition and controlled by [SERVICE PROVIDER]. 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. [SERVICE PROVIDER] will simultaneously videotape the deposition and preserve the video recording. The court reporter may be given a copy of the video recording and may review the video recording to improve the accuracy of any written transcript. 9. 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. 10. The Party that noticed the deposition shall be responsible for procuring a written transcript and video record of the remote deposition. The Parties shall bear their own costs in obtaining a transcript and/or video record of the deposition. 11. The Party that noticed the deposition shall provide [SERVICE PROVIDER] with a copy of this Stipulation and Order at least twenty-four hours in advance of the deposition. 12. At the beginning of each deposition, consistent with Rule 30(b)(5)(A) of the

March 2021

Federal Rules of Civil Procedure, the [SERVICE PROVIDER] 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 to the deponent; and (v) the identity of all persons present.” 13. At the beginning of each segment of the deposition, consistent with Rule 30(b)(5)(B) of the Federal Rules of Civil Procedure, the [SERVICE PROVIDER] employee responsible for video-recording the deposition shall begin that segment of the remote deposition by reciting (i) the officer’s name and business address; (ii) the date, time, and place of the deposition; and (iii) the deponent’s name. 14. The Parties agree to work collaboratively and in good faith with [SERVICE PROVIDER] 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 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. 15. 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

March 2021

required technology. If not, counsel for the deponent shall endeavor to supply the required technology to the deponent 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. 16. The Parties agree that this Stipulation and 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 Order to counsel for any non-party under Rule 45 a reasonable time before the date of the deposition. 17. 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 mail 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

March 2021

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 [SERVICE PROVIDER] 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. 18. All deponents receiving documents before or during a deposition, pursuant to Paragraph 17 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. 19. Counsel for the Parties may keep any document or exhibit used during the

March 2021

deposition [IF APPLICABLE: ,consistent with the Stipulated Protective Order entered in this case]. Counsel for the Parties 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. 20. [IF APPLICABLE: 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 [IF APPLICABLE: 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: SO ORDERED:

Stipulated to:

[ATTORNEY SIGNATURE BLOCKS]

Katharine H. Parker United States Magistrate Judge

Settlement Conference Summary Form

March 2021 SETTLEMENT CONFERENCE SUMMARY CAPTION:

DISTRICT COURT JUDGE:
JURY / NONJURY (Circle One) CLAIMS: _____________________________________________________________________

DEFENSES: __________________________________________________________________

RELIEF AVAILABLE UNDER APPLICABLE LAW (WITH APPROPRIATE CITATION):

SUMMARY OF ACTUAL DAMAGES: ____________________________________________

COUNSEL ATTENDING SETTLEMENT CONFERENCE: PLAINTIFF/DEFENDANT (Circle One) Name:

Address:

Phone & email:

Client:

Name:

Address:

Phone & email:

Client:

CLIENT(S) AND/OR CLIENT REPRESENTATIVE(S) ATTENDING SETTLEMENT CONFERENCE:

MOTIONS PENDING:

OTHER RELEVANT MATTERS YOU WISH TO BRING TO THE COURT’S ATTENTION:

PRIOR OFFERS / DEMANDS:

ATTACH SYNOPSIS OF CASE (LIMITED TO 3 PAGES)

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

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