Judge Nelson S. Roman — United States District Court, Southern District of New York

Civil Case Management Plan and Scheduling Order

UNITED STATES DISTRICT COURT Rev. Jan. 2012 SOUTHERN DISTRICT OF NEW YORK -------------------------------------------------------------x CIVIL CASE DISCOVERY PLAN Plaintiff(s), AND SCHEDULING ORDER

• against -

         Defendant(s).
          CV                         (NSR)
  

-------------------------------------------------------------x This Civil Case Discovery Plan and Scheduling Order is adopted, after consultation with counsel, pursuant to Fed. R. Civ. P. 16 and 26(f): 1. All parties [consent] [do not consent] to conducting all further proceedings before a 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 of this form need not be completed.) 2. This case [is] [is not] to be tried to a jury. 3. Joinder of additional parties must be accomplished by _______________________. 4. Amended pleadings may be filed until _____________________. 5. Interrogatories shall be served no later than ___________________, and responses thereto shall be served within thirty (30) days thereafter. The provisions of Local Civil Rule 33.3 [shall] [shall not] apply to this case. 6. First request for production of documents, if any, shall be served no later than ____________________. 7. Non-expert depositions shall be completed by ____________________________. a. Unless counsel agree otherwise or the Court so orders, depositions shall not be held until all parties have responded to any first requests for production of documents. b. Depositions shall proceed concurrently. c. Whenever possible, unless counsel agree otherwise or the Court so orders,

non-party depositions shall follow party depositions. 8. Any further interrogatories, including expert interrogatories, shall be served no later than _______________________. 9. Requests to Admit, if any, shall be served no later than ______________________. 10. Expert reports shall be served no later than ______________________. 11. Rebuttal expert reports shall be served no later than ______________________. 12. Expert depositions shall be completed by ______________________. 13. Additional provisions agreed upon by counsel are attached hereto and made a part hereof. 14. ALL DISCOVERY SHALL BE COMPLETED BY ______________________. 15. Any motions shall be filed in accordance with the Court’s Individual Practices.
16. This Civil Case Discovery Plan and Scheduling Order may not be changed without leave of Court (or the assigned Magistrate Judge acting under a specific order of reference). 17. The Magistrate Judge assigned to this case is the Hon. . 18. If, after entry of this Order, the parties consent to trial before a Magistrate Judge, the Magistrate Judge will schedule a date certain for trial and will, if necessary, amend this Order consistent therewith. 19. The next case management conference is scheduled for _____________________, at ____________. (The Court will set this date at the initial conference.) SO ORDERED. Dated: White Plains, New York

Nelson S. Román, U.S. District Judge

Emergency Individual Rules and Practices in Light of COVID-19

Revised: March 21, 2020

EMERGENCY INDIVIDUAL RULES AND PRACTICES IN LIGHT OF COVID-19 Nelson S. Román, United States District Judge

Chambers Email:

RomanNYSDChambers@nysd.uscourts.gov Unless otherwise ordered by the Court, these Emergency Individual Rules and Practices apply to all matters before Judge Román (whether criminal or civil and whether involving a pro se party or all counseled parties), and they are a supplement to Judge Román’s standard Individual Rules and Practices. If there is a conflict between these Rules and Judge Román’s standard Individual Rules and Practices, these Rules control.

1. No Paper Submissions Absent Undue Hardship A. No papers, including courtesy hard copies of any filing or document, may be submitted to Chambers. All documents must be filed in text-searchable PDF Format on ECF or, if permitted or required under the Court’s Individual Rules and Practices, emailed to RomanNYSDChambers@nysd.uscourts.gov. B. In the event that a party or counsel is unable to submit a document electronically — either by ECF or email — the document may be mailed to the Court. To the maximum extent possible, however, this means of delivery should be avoided, as delivery of mail to the Court is likely to be delayed.

2. Conferences and Proceedings A. In General. Any conference or proceeding conducted by Judge Román (telephonically or in-person) will be held either on a Thursday or a Friday. B. In Civil Cases. Unless otherwise ordered by the Court, all conferences and proceedings in civil cases will be held by telephone. In some cases, the Court may direct one of the parties to set up a conference line. In all other cases, the parties should call into the Court’s dedicated conference line at (877) 336-1839, and enter Access Code 123-1334, followed by the pound (#) key. C. In Criminal Cases. To the maximum extent possible, all conferences and proceedings will be held by either telephone or video. No later than one week before a scheduled appearance, counsel must confer and submit a letter to the Court indicating their views on whether the Court can, consistent with the U.S. Constitution, Federal Rules of Criminal Procedure (see, e.g., Rules 5(f), 10(b) & (c), and 43) and any other relevant law, conduct the matter by telephone or video and, if applicable, whether the Defendant either consents to appearing in that manner or to waiving his or her appearance altogether. Counsel should include the same information in any request for a conference or other proceeding.

3. Communications with Chambers A. Telephone Calls. Telephone calls will not be answered. Thus, parties are encouraged to make any requests or inquiries to the Court through ECF or, if permitted or required under the Court’s Individual Rules and Practices, by email.
   B. Urgent Matters. For urgent matters requiring immediate attention, parties should send an email to Chambers that (1) includes the word “URGENT” in the subject line; (2) specifies the case name and docket number; (3) briefly describes the nature of the issue; and (4) provides a telephone number at which the party (and any other relevant parties) can be reached. C. Faxes. Faxes are not permitted for any purposes.
   D. Hand Deliveries. Nothing may be delivered to Chambers absent advance permission from the Court. E. By Pro Se Parties. Pro se parties are encouraged to (1) consent to electronic service (via ECF or email); or (2) seek the Court’s permission to file documents through the ECF system or by email to the Court. Unless the Court grants permission to file documents electronically, all communications with the Court by a pro se party must be mailed to: Pro Se Intake Unit
   Charles L. Brieant Courthouse 300 Quarropas Street White Plains, NY 10601

F. In New Criminal Cases. Upon assignment of a new criminal case to Judge Román, the Assistant United States Attorney must immediately email the Court to arrange for a prompt conference.
4. Applications for Temporary Restraining Orders (“TROs”).
Parties intending to file applications for TROs or other emergency relief must send all of their papers (in text-searchable PDF format) to the Court by email. The email should (1) include the word “URGENT” in the subject line; (2) provide a telephone number at which the party (and any other relevant parties) can be reached; and (3) provide the relevant parties’ availability for a telephone conference in the next few days. As noted above, parties should not hand-deliver any documents without advance permission.
5. Pro Se Clinic The New York Legal Assistance Group’s Pro Se Clinic has suspended all in-person client meetings until further notice. Limited-scope legal assistance will continue to be provided, but only by appointment and only over the telephone. To schedule an appointment, call (212) 659-6190 and leave a message specifying a call-back number.

Individual Rules of Practice in Civil Cases

July 23, 2013 INDIVIDUAL PRACTICES IN CIVIL CASES Nelson S. Román, United States District Judge

Chambers

Courtroom Deputy Clerk United States Courthouse

Ms. Gina Sicora 300 Quarropas Street

(914) 390-4178 White Plains, NY 10601

Gina_Sicora@nysd.uscourts.gov Tel (914) 390-4177 Fax (914) 390-4179 Courtroom 218

Unless otherwise ordered by Judge Román, 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 the Court’s pilot programs or plans (e.g., the Section 1983 Plan, the Case Management Plan for Complex Civil Cases, 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. Letters. Except as otherwise provided below, communications with Chambers shall be by letter, with copies simultaneously delivered to all counsel. Letters sent to Chambers by fax are preferred. Do not both fax and mail the same letter. Copies of correspondence between counsel shall not be sent to the Court.

B. Docketing, Scheduling, and Calendar Matters. Please call Gina Sicora, Courtroom Deputy Clerk, at (914) 390-4178.

C. Telephone Calls. Except for docketing, scheduling, and calendar matters, telephone calls to Chambers are permitted only for urgent matters requiring immediate attention. In such rare situations, call Chambers (914) 390-4177.

D. Faxes and Emails. Faxes to Chambers in lieu of mail or hand deliveries are encouraged. The fax number is (914) 390-4179. Copies must be simultaneously faxed or delivered to all counsel. No document longer than five pages may be faxed without prior permission.

If a party wishes to email a .pdf letter or document to the Court, it must obtain prior approval of the Court. The body of the email must clearly identify the person in Chambers who authorized permission to send it. The email subject line must state clearly (i) the docket number of the case, (ii) the party names, and (iii) the subject of the communication.

E. Requests for Adjournments or Extensions of Time. All requests for adjournments or extensions of time shall be sent to Chambers by fax and state: (1) the original date(s), (2) the number of previous requests for adjournment or extension, (3) whether

these previous requests were granted or denied, (4) the reason for the instant request, (5) whether the adversary consents, and, if not, the reasons given by the adversary for refusing to consent, and (6) if the adversary consents, three mutually agreeable alternate conference dates, which should be on a Thursday or Friday.

Any request for adjournments of conferences shall be made at least 48 hours prior to the scheduled appearance. If the requested adjournment or extension affects any other scheduled dates, a proposed Revised Scheduling Order must be attached.

Absent extraordinary circumstances, requests for extensions of time will be denied if not made before the expiration of the original deadline.

F. Proposed Orders and Stipulations. All proposed orders, and stipulations requiring the Court’s signature, must be submitted directly to the Clerk via email, wpclerk@nysd.uscourts.gov. Do not file proposed orders and stipulations via ECF, and do not send courtesy copies to Chambers.

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 related case (e.g., 11 Civ. 1234 [rel. 10 Civ. 4321]).

H. ECF. All attorneys representing parties before Judge Román are required to register promptly as filing users on ECF and to file a notice of appearance. Pertinent instructions are available on the Court website, at http://www.nysd.uscourts.gov/ecf.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.

2. Conferences

A. In General. Conferences conducted by Judge Román will generally take place Thursdays and Fridays. Conferences conducted by a Magistrate Judge will take place according to the Magistrate’s instructions. As a matter of policy, the Court supports the professional development of the next generation of litigators and strongly encourages the participation of relatively inexperienced attorneys in all types of courtroom proceedings, including conferences and trials.

B. Attendance by Principal Trial Counsel. The attorney who will serve as principal trial counsel shall appear at all conferences with the Court. However, the Court encourages junior attorneys who have worked on the case to take an active role during conferences. Any attorney appearing before the Court shall enter a Notice of Appearance with the Clerk of Court.

C. Initial Case Management Conference, Personal Injury Case. In any case involving allegations of personal injury—whether physical, psychological, emotional or otherwise—the plaintiff is to provide to the defendant all necessary medical authorizations prior to the initial pretrial conference.

3. Pleadings and Motions

A. Pre-Motion Conferences.

i. For discovery motions, follow Local Civil Rule 37.2, which requires the moving party to request an informal conference with the Court before the filing of any such motion. Strict adherence to Fed. R. Civ. P. 37(a)(1), the “meet and confer” rule, is required. The parties should be prepared to describe the time, place, and duration of the meeting, and to identify the counsel involved.

ii. A pre-motion conference with the Court is required before making any other motion, except motions for admission pro hac vice, motions in limine, motions for reargument or reconsideration, and motions for temporary restraining orders or preliminary injunctions. To arrange a pre-motion conference, the moving party shall submit a letter, not to exceed three pages, setting forth the basis for the anticipated motion. The opposing party shall submit a letter, also not to exceed three pages, setting forth its position within three business days from the service of the moving party’s letter. If a pre- motion conference is requested in connection with a proposed motion to dismiss, the request will stay the deadline for the requesting party to move or answer, and a new deadline will be set at the conference.

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 via ECF promptly after reply papers have been served. Discovery disputes are not to be raised by motion unless directed by the Court.

D. Courtesy Copies. One courtesy copy of all pleadings shall be submitted to Chambers as soon as practicable after filing. Two courtesy copies of all motion papers shall be submitted to Chambers when served on the other parties. All courtesy copies must be clearly marked as such, bound, and tabbed. Whenever possible,

courtesy copies should be accompanied by an electronic copy submitted on any portable media (CD/DVD preferred).

E. Oral Argument on Motions. Parties may request oral argument by letter at the time their moving or opposing reply papers are filed. The Court will determine whether argument will be heard and, if so, will advise counsel of the argument date. In keeping with the Court’s commitment to providing courtroom opportunities to less experienced attorneys, the Court will make a greater effort to grant argument where a junior attorney will argue the motion.

F. Motions to Dismiss. See Rule 3.A.ii., supra, concerning pre-motion conferences.

G. Summary Judgment Motions.

i. See Rule 3.A.ii., supra, concerning pre-motion conferences, and Local Civil Rule 56.1 concerning statements of material facts.

ii. 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.

iii. 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 shall reproduce each entry of the moving party’s Rule 56.1 Statement and shall set out responses to each entry directly beneath it.

iv. Parties submitting papers in support of or in opposition to a motion for summary judgment shall 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.

H. Motions to Exclude Testimony of Experts. Pursuant to Rules 702–705 of the Federal Rules of Evidence and the Daubert v. Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579 (1993), line of cases, motions to exclude testimony of experts should be treated as motions in limine. See infra Rule 5.B.

I. Applications for a Temporary Restraining Order. A party must confer with his or her adversary before making an application for a temporary restraining order, unless the requirements of Fed. R. Civ. P. 65(b) are met. As soon as a party decides to seek a temporary restraining order, the party must call Chambers at (914) 390-4177 and state clearly whether (1) the party has notified the adversary, and whether the adversary consents to temporary injunctive relief; OR (2) the requirements of Fed. R. Civ. P. 65(b) are satisfied and no notice is necessary.

If the 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 the adversary, so that the Court may have the benefit of advocacy from both sides in deciding whether to grant temporary injunctive relief.

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

K. Proposed Orders. All proposed orders that parties wish the Court to sign should be submitted as attachments or exhibits to an appropriate formal application to the Court seeking the endorsement of such order.

4. Other Pretrial Guidance

A. Redacting Personal Information. Regarding document submissions, the parties must comply with the E-Government Act of 2002 and the Southern District’s ECF Rules & Instructions, Section 21, Privacy and Public Access to ECF Cases (“ECF Privacy Policy”). See also Lugosch v. Pyramid Co. of Onondaga, 435 F.3d 110 (2d Cir. 2006).

i. Parties may not, unless necessary, include 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]).

ii. Parties may redact the above 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 ECF 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.

iii. If a party redacts information beyond the eleven categories of information identified in the ECF 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.

B. Cases Removed from State Court. Counsel for the party or parties which removed the case shall, in addition to providing a copy of all process, pleadings, and papers served upon the defendants pursuant to 28 U.S.C. § 1446(a), provide the Court with a courtesy copy of any pleading filed or served while the case remained in State court.

All courtesy copies shall be clearly marked as such, bound, and tabbed. Counsel for all parties must file a notice of appearance in this Court promptly upon removal.

C. Bankruptcy Appeals. Briefs must be submitted in accordance with Federal Rules of Bankruptcy Procedure 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. The page limits in Local Rule 7.1(b) must be observed.

5. Trial Procedures

A. Joint Pretrial Orders. Unless otherwise ordered by the Court, within 30 days after the date for completion of discovery, or, if a dispositive motion has been filed, within 30 days after a decision on the motion, the parties should electronically file via ECF a joint pretrial order and provide one courtesy copy to the Court. The joint pretrial order shall include the information required by Federal Rule of Civil Procedure 26(a)(3) and 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 upon and relevant facts as to citizenship and jurisdictional amount;

iv. A brief summary by each party of the claims and defenses that, according to the party, remain to be tried, without recitation of evidentiary matters but including citations to all statutes relied upon. Such summaries shall also identify all claims and defenses previously asserted which are not to be tried;

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 in person;

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

x. A list by each party of exhibits to be offered in its case in chief, with 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;

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 file such a motion via ECF at the time that the joint pretrial report is filed. Opposition papers shall be filed within seven days thereafter, and reply papers, if any, shall be filed within four days of any opposition. Each party shall submit to the Court two courtesy copies of all motion papers on the date those papers are filed. All courtesy copies shall be clearly marked as such, bound, and tabbed. Whenever possible, courtesy copies should be accompanied by an electronic copy submitted on any portable media (CD/DVD preferred).

C. Additional Submissions in Jury Cases. For jury trials, each party shall file via ECF proposed voir dire questions, requests to charge, and verdict forms, and submit one courtesy copy of each to Chambers. Oppositions, if any, must be filed within one week, with one courtesy copy submitted to Chambers.

Proposed voir dire questions must be filed on the day the joint pretrial order is filed.
Plaintiff’s proposed questions should include an agreed upon paragraph (designated as such) for the Court to use in voir dire to provide the jury panel with a brief explanation of the case. If the parties cannot agree to a paragraph after good faith efforts, their respective proposed paragraphs (designated as such) should be set forth in their respective submissions.

Proposed requests to charge and proposed verdict forms must be filed at least 15 days before the commencement of trial, or 30 days after the filing of the joint pretrial order if no date for trial has been fixed. In addition, proposed jury instructions should be emailed to Judge Román’s law clerk. Call Chambers to make arrangements. Each proposed jury instruction must contain a citation to the source or authority for the proposed instruction, or the request will be disregarded.

D. Trial Exhibits. At the time that the joint pretrial order is filed, each party shall submit to the Court a tabbed and indexed binder containing one copy of each documentary exhibit sought to be admitted. Exhibits need not be electronically filed.

E. Additional Submissions in Non-Jury Cases. At the time the joint pretrial order is filed, each party shall:

i. Electronically file via ECF proposed findings of fact and conclusions of law, and provide two courtesy copies to the Court. 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. Submit to the Court and serve on opposing counsel, but shall 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 and lines of the deposition transcripts.

iii. Submit to the Court and serve on opposing counsel, but shall not electronically file, copies of affidavits constituting the direct testimony of each trial witness, except for the direct testimony of (1) an adverse party, (2) a person whose attendance is compelled by subpoena, or (3) a person for whom the Court has agreed to hear direct testimony live at the trial. Three business days after the 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 shall be brought to trial to be marked as exhibits.

F. Trial Counsel. In accordance with its policy of promoting the professional development of relatively new litigators, the Court welcomes the active participation of junior attorneys who have assisted in the preparation of the case during trial.

G. Trial Schedule. Trials will generally be conducted Monday through Thursday from 9:30 a.m. to 5:00 p.m.

6. Policy on the Use of Electronic Devices

A. Mobile Phones and Personal Electronic Devices. The use by attorneys of mobile phones, Blackberries, and other personal electronic devices within the Courthouse and its environs is governed by Standing Order M10-468.

B. Computers, Printers, or Other Electronic Equipment. In order for an attorney to bring into the Courthouse any computer, printer, or other electronic equipment not qualifying as a “personal electronic device,” specific authorization is required by

prior Court Order. Any attorney seeking to bring such equipment into the Courthouse for its use therein shall submit to Chambers an Application to Bring an Electronic Device into the Courthouse at least 10 business days in advance of the relevant trial or hearing. This application is available on the main page of the Southern District of New York website. After an order allowing the attorney to bring the electronic device is issued, the order must be shown upon bringing the equipment into the Courthouse.

ATTACHMENT A

DEFAULT JUDGMENT PROCEDURE

1. Prepare an Order to Show Cause for default judgment and make the Order returnable before Judge Román in Courtroom 218. Leave blank the date and time of the conference. Judge Román will set the date and time when he signs the Order.

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

A. An attorney’s affidavit setting forth:

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

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

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

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

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

B. A proposed default judgment;

C. Copies of all the pleadings;

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

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

3. Take the Order to Show Cause and supporting papers to the Clerk’s Office (1st Floor, White Plains Courthouse) for approval.

4. After the Clerk approves the Order to Show Cause, the Clerk will bring the papers to Chambers (Room 275) for the Judge’s signature.

5. After the Judge signs the Order, the Clerk’s Office will docket the Order. Immediately thereafter, supporting documents shall be filed via ECF. Serve one copy of the Order and supporting papers on the defendant. Provide the Court with a courtesy copy of the Order, supporting documents, and affidavit of service.

Individual Rules of Practice in Criminal Cases

July 23, 2013 INDIVIDUAL PRACTICES IN CRIMINAL CASES Nelson S. Román, United States District Judge Chambers

Courtroom Deputy Clerk United States Courthouse Ms. Gina Sicora 300 Quarropas Street
(914) 390-4178 White Plains, NY 10601 Gina_Sicora@nysd.uscourts.gov Tel (914) 390-4177 Fax: (914) 390-4179 Courtroom 218 ECF

1. Counsel are required to register in accordance with the Procedures for Electronic Case Filing promptly after being retained or assigned. Pertinent instructions are available on the Court website, at https://www.nysd.uscourts.gov/electronic-case-filing. PROCEDURE
2. A firm trial date will be selected at a status conference. Prior to the 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. COMMUNICATIONS
3. Scheduling. For scheduling please call Judge Román’s Courtroom Deputy Clerk, Gina Sicora, at (914) 390-4178. Upon assignment of a criminal case to Judge Román, the parties should contact Ms. Sicora to set an appropriate date for an initial appearance. The A.U.S.A. shall at that time submit to Chambers a courtesy copy of the criminal complaint, if one exists.
4. Telephone Calls. Telephone calls to Chambers are permitted only for urgent matters requiring immediate attention. In such rare situations, call Chambers at (914) 390-4177.
5. Letters. Except for scheduling and urgent matters, all communication with the Court should be in writing and must contain the docket number for the case and the Court’s initials (NSR). Letters should be faxed to the Court.
6. 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 in writing a Curcio hearing. SUBSTITUTION OF COUNSEL
7. When there is a substitution of Defense Counsel, counsel of record must contact the Deputy Clerk 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.
MOTIONS 8. 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. GUILTY PLEAS 9. Defense counsel are expected to have reviewed any plea, cooperation or other agreement with the defendant—if necessary, with the assistance of an interpreter—prior to the time set for the conference with the Court. 10. Defendants shall be prepared in advance of a guilty plea to give narrative allocutions that incorporate all the elements of the offense(s) to which they are pleading guilty. 11. When a defendant is pleading guilty pursuant to a plea agreement or a cooperation agreement, a copy of the agreement must be received by Chambers before the scheduled plea. Where the government is providing a Pimentel letter, a copy of the Pimentel letter must also be received by Chambers before the scheduled plea. BAIL MODIFICATIONS 12. 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. SENTENCES 13. Documents in the Public Record. The Court assumes that every document in a sentencing submission, including letters, will be filed in the public record either in paper form or through the ECF system, using the procedures described below. 14. Filing Letters. The defendant is responsible for filing all letters submitted on behalf of the defendant, including those from friends, relatives, etc. The Government is responsible for filing all letters from victims. 15. Redacting Personal Information. Regarding document submissions, the parties must comply with the E-Government Act of 2002 and the Southern District’s ECF Rules & Instructions, Section 21, Privacy and Public Access to ECF Cases (“ECF Privacy Policy”). a. Parties may not, unless necessary, include 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]).

b. Parties may redact the above 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 ECF 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. c. If a party redacts information beyond the eleven categories of information identified in the ECF 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. 16. Sentencing Submissions. A defendant’s sentencing submission shall be served two weeks before the date set for sentence. The Government’s sentencing submission shall be served one week before the date set for sentence. The parties must file submissions via ECF, and provide the Court with two courtesy copies, when they serve the other party. Letters must be grouped and filed together as attachments to a single document marked SENTENCING MEMORANDUM with the caption and docket number clearly indicated. If you have any questions about these practices, please contact Judge Román’s Courtroom Deputy Clerk, Gina Sicora, at (914) 390-4178.

Individual Rules of Practice in Pro Se Cases

July 23, 2013 SPECIAL RULES OF PRACTICE IN CIVIL PRO SE CASES Nelson S. Román, United States District Judge

Pro Se Clerk United States District Court Southern District of New York 300 Quarropas Street
White Plains, NY 10601 (914) 390-4000

COMMUNICATIONS

1. By Pro Se Party. All communications with the Court by a pro se party must be mailed to the Pro Se Clerk. No document or filing should be sent directly to Chambers. If there are other pro se parties, the party sending the communication must include an Affirmation of Service stating that he or she sent copies to all other pro se parties.

2. By Represented Party. Counsel must follow Rule 1.A. of Judge Román’s “Individual Practices in Civil Cases.” In addition, counsel must mail copies to all pro se parties and attach to the communication with Chambers an Affidavit of Service affirming such mailing.

FILING OF PAPERS

3. Filing by Pro Se Party. All papers to be filed with the Court by a pro se party, along with any courtesy copies of those papers, must be sent to the Pro Se Office. If there are other pro se parties, the party filing the papers must include an Affirmation of Service stating that he or she sent copies to all other pro se parties.

4. Filing by Represented Party. Counsel in pro se cases must serve a pro se party with a paper copy of any document that is filed via ECF and must file with the Court a separate Affidavit of Service. The Court will not consider submissions filed without proof that the pro se party was served with a paper copy. Counsel must also submit courtesy copies to the Court as explained by Rule 3.D. of Judge Román’s “Individual Practices in Civil Cases.”

5. Electronic Service on Pro Se Party. Pro se parties may waive paper service upon themselves and rely on service through the ECF system by electronically filing a Notice of Waiver of Paper Service (the form is available on the Court’s Forms page on the website, http://www.nysd.uscourts.gov, or in the Clerk’s Office). If such a waiver is filed, other parties will no longer be required to (i) serve paper documents on the pro se party who filed the waiver or (ii) file proof of service of such document. Pro se parties must have reliable internet access waive paper service.

DISCOVERY

6. All requests for discovery should be sent to counsel for the party. Do not send discovery requests to the Court.

MOTIONS

7. Pre-Motion Conference. When no pro se party is incarcerated, any party wishing to file a motion must first write a letter to the Court requesting a pre-motion conference. The parties are referred to Rule 3.A. of Judge Román’s “Individual Practices in Civil Cases.”

8. Filing and Service. Unless otherwise ordered by the Court, papers filed in opposition to a motion must be filed and served within four weeks of the service of the motion papers.
   Reply papers, if any, must be filed and served within two weeks of receipt of the opposition papers.

9. Courtesy Copies. If possible, motion papers should include one courtesy copy for the Court.
   All courtesy copies must be clearly marked as such, bound, and tabbed. Represented parties should follow Rule 3.D. of Judge Román’s “Individual Practices in Civil Cases.”

10. 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.

11. Oral Argument. Unless otherwise ordered, no oral argument will be heard.

INITIAL CASE MANAGEMENT CONFERENCE

12. The Court will schedule an initial case management conference. Arrangements will be made for incarcerated parties to appear by telephone.

TRIAL DOCUMENTS

13. Pretrial Statement by Incarcerated Pro Se Parties. Within 30 days of the completion of discovery, a pro se party must file a concise, written Pretrial Statement, unless otherwise ordered by the Court. This Statement 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 must file an original of this Statement with the Pro Se Clerk and serve a copy on all other pro se parties. The original Statement must include an Affirmation of Service stating the date a copy was mailed to the other parties or their attorneys. Two weeks after service of a pro se party’s Statement, the other parties must file and serve a similar Statement containing the same information.

14. Proposed Findings or Jury Charges in Cases with Incarcerated Pro Se Parties. Within 30 days of the completion of discovery, if the case is to be tried before a Judge without a jury, all parties represented by counsel must submit proposed findings of fact and conclusions of law. If the case will be tried before a jury, all parties represented by counsel must submit a proposed jury charge. A pro se party may also file 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.

15. Cases with No Incarcerated Parties. When no pro se party is incarcerated, the parties must follow Rules 5.A. through 5.F. of Judge Román’s “Individual Practices in Civil Cases,” concerning trial procedures.

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