Judge Lorna G. Schofield — United States District Court, Southern District of New York

PILOT PROJECT REGARDING INITIAL DISCOVERY PROTOCOLS
FOR EMPLOYMENT CASES ALLEGING ADVERSE ACTION

November 2011

TABLE OF CONTENTS

Page Introduction .......................................................................................................................... 1 Employment Protocols Committee Roster........................................................................... 3 Initial Discovery Protocols for Employment Cases Alleging Adverse Action ....................4 Standing Order for Certain Employment Cases.................................................................10 Model Protective Order......................................................................................................12

INTRODUCTION

The Initial Discovery Protocols for Employment Cases Alleging Adverse Action provide a new pretrial procedure for certain types of federal employment cases. As described in the Protocols, their intent is to “encourage parties and their counsel to exchange the most relevant information and documents early in the case, to assist in framing the issues to be resolved and to plan for more efficient and targeted discovery.” Individual judges throughout the United States District Courts will pilot test the Protocols and the Federal Judicial Center will evaluate their effects.

This project grew out of the 2010 Conference on Civil Litigation at Duke University, sponsored by the Judicial Conference Advisory Committee on Civil Rules for the purpose of re-examining civil procedures and collecting recommendations for their improvement. During the conference, a wide range of attendees expressed support for the idea of case-type-specific “pattern discovery” as a possible solution to the problems of unnecessary cost and delay in the litigation process. They also arrived at a consensus that employment cases, “regularly litigated and [presenting] recurring issues,”1 would be a good area for experimentation with the concept.

Following the conference, Judge Lee Rosenthal convened a nationwide committee of attorneys, highly experienced in employment matters, to develop a pilot project in this area. Judge John Koeltl volunteered to lead this committee. By design, the committee had a balance of plaintiff and defense attorneys. Joseph Garrison2 (New Haven, Connecticut) chaired a plaintiff subcommittee, and Chris Kitchel3 (Portland, Oregon) chaired a defense subcommittee. The committee invited the Institute for the Advancement of the American Legal System at the University of Denver (IAALS) to facilitate the process.

1 Civil Rules Advisory Committee, Report to the Standing Committee, 10 (May 17, 2010).
2 Mr. Garrison was a panelist at the Duke Conference. He also wrote and submitted a conference paper, entitled A Proposal to Implement a Cost-Effective and Efficient Procedural Tool Into Federal Litigation Practice, which advocated for the adoption of model or pattern discovery tools for “categories of cases which routinely appear in the federal courts” and suggested the appointment of a task force to bring the idea to fruition.
3 Ms. Kitchel serves on the American College of Trial Lawyers Task Force on Discovery and Civil Justice, which produced the Final Report on the Joint Project of the American College of Trial Lawyers Task Force on Discovery and the Institute for the Advancement of the American Legal System, 268 F.R.D. 407 (2009). As a result of her role on the ACTL Task Force, Ms. Kitchel had already begun discussing possibilities for improving employment litigation with Judge Rosenthal when she attended the Duke Conference.

The group worked diligently over the course of one year. Committee members met at IAALS for valuable in-person discussions in March and July of 2011. Judge Koeltl was in attendance as well, to oversee the process and assist in achieving workable consensus. In addition, committee members exchanged hundreds of emails, held frequent telephone conferences, and prepared numerous drafts. The committee’s final product is the result of rigorous debate and compromise on both sides, undertaken in the spirit of making constructive and even-handed improvements to the pretrial process.

The Protocols create a new category of information exchange, replacing initial disclosures with initial discovery specific to employment cases alleging adverse action. This discovery is provided automatically by both sides within 30 days of the defendant’s responsive pleading or motion. While the parties’ subsequent right to discovery under the F.R.C.P. is not affected, the amount and type of information initially exchanged ought to focus the disputed issues, streamline the discovery process, and minimize opportunities for gamesmanship. The Protocols are accompanied by a standing order for their implementation by individual judges in the pilot project, as well as a model protective order that the attorneys and the judge can use a basis for discussion.

The Federal Judicial Center will establish a framework for effectively measuring the results of this pilot project.4 If the new process ultimately benefits litigants, it is a model that can be used to develop protocols for other types of cases.

4 Civil Rules Advisory Committee, Draft Minutes of April 2011 Meeting, 43 (June 8, 2011).

EMPLOYMENT PROTOCOLS COMMITTEE ROSTER

Fred Alvarez Wilson Sonsini Goodrich & Rosati Palo Alto, CA

Kathryn Burkett Dickson Dickson Levy Vinick Burrell Hyams LLP Oakland, CA

Herbert Eisenberg Eisenberg & Schnell LLP New York, NY

Joseph Garrison Garrison, Levin-Epstein, Chimes, Richardson & Fitzgerald, PC New Haven, CT

Margaret Harris Butler & Harris
Houston, TX

John Jansonius Akin Gump Strauss Hauer & Feld LLP Dallas, TX

Chris Kitchel Stoel Rives LLP Portland, OR

Jonathan Margolis Rodgers, Powers & Schwartz, LLP
Boston, MA

Ellen Messing Messing, Rudavsky & Weliky, PC
Boston, MA

Bettina (Betsy) Plevan Proskauer Rose LLP New York, NY

Felix Springer Day Pitney LLP
Hartford, CT

INITIAL DISCOVERY PROTOCOLS
FOR EMPLOYMENT CASES ALLEGING ADVERSE ACTION

PART 1: INTRODUCTION AND DEFINITIONS. (1) Statement of purpose.

a. The Initial Discovery Protocols for Employment Cases Alleging Adverse Action is a proposal designed to be implemented as a pilot project by individual judges throughout the United States District Courts. The project and the product are endorsed by the Civil Rules Advisory Committee.

b. In participating courts, the Initial Discovery Protocols will be implemented by standing order and will apply to all employment cases that challenge one or more actions alleged to be adverse, except:
i. Class actions; ii. Cases in which the allegations involve only the following:

1. Discrimination in hiring;
2. Harassment/hostile work environment;
3. Violations of wage and hour laws under the Fair Labor Standards Act (FLSA);
4. Failure to provide reasonable accommodations under the Americans with Disabilities Act (ADA);
5. Violations of the Family Medical Leave Act (FMLA);
6. Violations of the Employee Retirement Income Security Act (ERISA). If any party believes that there is good cause why a particular case should be exempted, in whole or in part, from this pilot program, that party may raise such reason with the Court.

c. The Initial Discovery Protocols are not intended to preclude or to modify the rights of any party for discovery as provided by the Federal Rules of Civil Procedure (F.R.C.P.) and other applicable local rules, but they are intended to supersede the parties’ obligations to make initial disclosures pursuant to F.R.C.P. 26(a)(1). The purpose of the pilot project is to encourage parties and their counsel to exchange the most relevant information and documents early in the case, to assist in framing the issues to be resolved and to plan for more efficient and targeted discovery.

d. The Initial Discovery Protocols were prepared by a group of highly experienced attorneys from across the country who regularly represent plaintiffs and/or defendants in employment matters. The information and documents identified are those most likely to be requested automatically by experienced counsel in any similar case. They are unlike initial disclosures pursuant to F.R.C.P. 26(a)(1) because they focus on the type of information most likely to be useful in narrowing the issues for employment discrimination cases.

(2) Definitions. The following definitions apply to cases proceeding under the Initial Discovery Protocols.

a. Concerning. The term “concerning” means referring to, describing, evidencing, or constituting.

b. Document. The terms “document” and “documents” are defined to be synonymous in meaning and equal in scope to the terms “documents” and “electronically stored information” as used in F.R.C.P. 34(a).

c. Identify (Documents). When referring to documents, to “identify” means to give, to the extent known: (i) the type of document; (ii) the general subject matter of the document; (iii) the date of the document; (iv) the author(s), according to the document; and (v) the person(s) to whom, according to the document, the document (or a copy) was to have been sent; or, alternatively, to produce the document.

d. Identify (Persons). When referring to natural persons, to “identify” means to give the person’s: (i) full name; (ii) present or last known address and telephone number; (iii) present or last known place of employment; (iv) present or last known job title; and (v) relationship, if any, to the plaintiff or defendant. Once a person has been identified in accordance with this subparagraph, only the name of that person need be listed in response to subsequent discovery requesting the identification of that person.

(3) Instructions.

a. For this Initial Discovery, the relevant time period begins three years before the date of the adverse action, unless otherwise specified.

b. This Initial Discovery is not subject to objections except upon the grounds set

forth in F.R.C.P. 26(b)(2)(B).

c. If a partial or incomplete answer or production is provided, the responding party shall state the reason that the answer or production is partial or incomplete.

d. This Initial Discovery is subject to F.R.C.P. 26(e) regarding supplementation and F.R.C.P. 26(g) regarding certification of responses.

e. This Initial Discovery is subject to F.R.C.P. 34(b)(2)(E) regarding form of production.

PART 2: PRODUCTION BY PLAINTIFF.

(1) Timing.

a. The plaintiff’s Initial Discovery shall be provided within 30 days after the defendant has submitted a responsive pleading or motion, unless the court rules otherwise.

(2) Documents that Plaintiff must produce to Defendant.

a. All communications concerning the factual allegations or claims at issue in this lawsuit between the plaintiff and the defendant.

b. Claims, lawsuits, administrative charges, and complaints by the plaintiff that rely upon any of the same factual allegations or claims as those at issue in this lawsuit.

c. Documents concerning the formation and termination, if any, of the employment relationship at issue in this lawsuit, irrespective of the relevant time period.

d. Documents concerning the terms and conditions of the employment relationship at issue in this lawsuit.

e. Diary, journal, and calendar entries maintained by the plaintiff concerning the factual allegations or claims at issue in this lawsuit.

f. The plaintiff’s current resume(s).

g. Documents in the possession of the plaintiff concerning claims for unemployment benefits, unless production is prohibited by applicable law.

h. Documents concerning: (i) communications with potential employers; (ii) job search efforts; and (iii) offer(s) of employment, job description(s), and income

and benefits of subsequent employment. The defendant shall not contact or subpoena a prospective or current employer to discover information about the plaintiff’s claims without first providing the plaintiff 30 days notice and an opportunity to file a motion for a protective order or a motion to quash such subpoena. If such a motion is filed, contact will not be initiated or the subpoena will not be served until the motion is ruled upon.

i. Documents concerning the termination of any subsequent employment.

j. Any other document(s) upon which the plaintiff relies to support the plaintiff’s claims.

(3) Information that Plaintiff must produce to Defendant.

a. Identify persons the plaintiff believes to have knowledge of the facts concerning the claims or defenses at issue in this lawsuit, and a brief description of that knowledge.

b. Describe the categories of damages the plaintiff claims.

c. State whether the plaintiff has applied for disability benefits and/or social security disability benefits after the adverse action, whether any application has been granted, and the nature of the award, if any. Identify any document concerning any such application.

PART 3: PRODUCTION BY DEFENDANT. (1) Timing.

a. The defendant’s Initial Discovery shall be provided within 30 days after the defendant has submitted a responsive pleading or motion, unless the court rules otherwise.

(2) Documents that Defendant must produce to Plaintiff.

a. All communications concerning the factual allegations or claims at issue in this lawsuit among or between: i. The plaintiff and the defendant; ii. The plaintiff’s manager(s), and/or supervisor(s), and/or the defendant’s human resources representative(s).

b. Responses to claims, lawsuits, administrative charges, and complaints by the plaintiff that rely upon any of the same factual allegations or claims as those at issue in this lawsuit.

c. Documents concerning the formation and termination, if any, of the employment relationship at issue in this lawsuit, irrespective of the relevant time period.

d. The plaintiff’s personnel file, in any form, maintained by the defendant, including files concerning the plaintiff maintained by the plaintiff’s supervisor(s), manager(s), or the defendant’s human resources representative(s), irrespective of the relevant time period.

e. The plaintiff’s performance evaluations and formal discipline.

f. Documents relied upon to make the employment decision(s) at issue in this lawsuit.

g. Workplace policies or guidelines relevant to the adverse action in effect at the time of the adverse action. Depending upon the case, those may include policies or guidelines that address: i. Discipline; ii. Termination of employment;
iii. Promotion; iv. Discrimination;
v. Performance reviews or evaluations; vi. Misconduct; vii. Retaliation; and viii. Nature of the employment relationship.

h. The table of contents and index of any employee handbook, code of conduct, or policies and procedures manual in effect at the time of the adverse action.

i. Job description(s) for the position(s) that the plaintiff held.

j. Documents showing the plaintiff’s compensation and benefits. Those normally include retirement plan benefits, fringe benefits, employee benefit summary plan descriptions, and summaries of compensation.

k. Agreements between the plaintiff and the defendant to waive jury trial rights or to arbitrate disputes.

l. Documents concerning investigation(s) of any complaint(s) about the plaintiff or made by the plaintiff, if relevant to the plaintiff’s factual allegations or claims at issue in this lawsuit and not otherwise privileged.

m. Documents in the possession of the defendant and/or the defendant’s agent(s) concerning claims for unemployment benefits unless production is prohibited by applicable law.

n. Any other document(s) upon which the defendant relies to support the defenses, affirmative defenses, and counterclaims, including any other document(s) describing the reasons for the adverse action.

(3) Information that Defendant must produce to Plaintiff.

a. Identify the plaintiff’s supervisor(s) and/or manager(s).

b. Identify person(s) presently known to the defendant who were involved in making the decision to take the adverse action.

c. Identify persons the defendant believes to have knowledge of the facts concerning the claims or defenses at issue in this lawsuit, and a brief description of that knowledge.

d. State whether the plaintiff has applied for disability benefits and/or social security disability benefits after the adverse action. State whether the defendant has provided information to any third party concerning the application(s). Identify any documents concerning any such application or any such information provided to a third party.

UNITED STATES DISTRICT COURT
FOR THE _________ DISTRICT OF __________ ________________ DIVISION

, ) ) Plaintiff,

) ) vs.

) Case No.

)

, ) Judge

) Defendant.

)

STANDING ORDER FOR CERTAIN EMPLOYMENT CASES This Court is participating in a Pilot Program for INITIAL DISCOVERY PROTOCOLS FOR EMPLOYMENT CASES ALLEGING ADVERSE ACTION, initiated by the Advisory Committee on Federal Rules of Civil Procedure (see www.website.com).

The Initial Discovery Protocols will apply to all employment cases pending in this court that challenge one or more actions alleged to be adverse, except:

i. Class actions; ii. Cases in which the allegations involve only the following:

1. Discrimination in hiring;
2. Harassment/hostile work environment;
3. Violations of wage and hour laws under the Fair Labor Standards Act (FLSA);
4. Failure to provide reasonable accommodations under the Americans with Disabilities Act (ADA);
5. Violations of the Family Medical Leave Act (FMLA);
6. Violations of the Employee Retirement Income Security Act (ERISA).

Parties and counsel in the Pilot Program shall comply with the Initial Discovery Protocols, attached to this Order. If any party believes that there is good cause why a particular case should be exempted from the Initial Discovery Protocols, in whole or in part, that party may raise the issue with the Court.

Within 30 days following the defendant’s submission of a responsive pleading or motion, the parties shall provide to one another the documents and information described in the Initial Discovery Protocols for the relevant time period. This obligation supersedes the parties’ obligations to provide initial disclosures pursuant to F.R.C.P. 26(a)(1). The parties shall use the documents and information exchanged in accordance with the Initial Discovery Protocols to prepare the F.R.C.P. 26(f) discovery plan.

The parties’ responses to the Initial Discovery Protocols shall comply with the F.R.C.P. obligations to certify and supplement discovery responses, as well as the form of production standards for documents and electronically stored information. As set forth in the Protocols, this Initial Discovery is not subject to objections, except upon the grounds set forth in F.R.C.P. 26(b)(2)(B).

ENTER: Dated:

[Name]

United States [District/Magistrate] Judge

The Initial Discovery Protocols for Employment Cases Alleging Adverse Action are designed to achieve the goal of more efficient and targeted discovery. If a protective order will be entered in a case to which the Initial Discovery Protocols applies, immediate entry of the order will allow the parties to commence discovery without delay. In furtherance of that goal, the Employment Protocols Committee offers the following Model Protective Order.
Recognizing that the decision to enter a protective order, as well as the parameters of any such order, rests within the Court’s sound discretion and is subject to local practice, the following provisions are options from which the Court might select.

MODEL PROTECTIVE ORDER

It is hereby ordered by the Court that the following restrictions and procedures shall apply to certain information, documents and excerpts from documents supplied by the parties to each other in response to discovery requests:

1. □ Counsel for any party may designate any document, information contained in a document, information revealed in an interrogatory response or information revealed during a deposition as confidential if counsel determines, in good faith, that such designation is necessary to protect the interests of the client. Information and documents designated by a party as confidential will be stamped “CONFIDENTIAL.”
   “Confidential” information or documents may be referred to collectively as “confidential information.”
2. □ Unless ordered by the Court, or otherwise provided for herein, the Confidential Information disclosed will be held and used by the person receiving such information solely for use in connection with the above-captioned action.
3. □ In the event a party challenges another party’s confidential designation, counsel shall make a good faith effort to resolve the dispute, and in the absence of a resolution, the challenging party may thereafter 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 specifically reserves the right to object to the use or admissibility of all Confidential Information disclosed, in accordance with applicable law and Court rules.
4. □ Information or 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; d. □ Any person from whom testimony is taken or is to be taken in these actions, except that such a person may only be shown that Confidential Information during and in preparation for his/her testimony and may not retain the Confidential Information; and e. □ The Court (including any clerk, stenographer, or other person having access to any Confidential Information by virtue of his or her position with the Court) or the jury at trial or as exhibits to motions. 5. □ Prior to disclosing or displaying the Confidential Information to any person, counsel shall: a. □ inform the person of the confidential nature of the information or documents; and 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 that information or documents to any other person. 6. □ The Confidential Information may be displayed to and discussed with the persons identified in Paragraphs 4(c) and (d) only on the condition that prior to any such display or discussion, each such person shall be asked to sign an agreement to be bound by this Order in the form attached hereto as Exhibit A. In the event such person refuses to sign an agreement in the form attached as Exhibit A, the party desiring to disclose the Confidential Information may seek appropriate relief from the Court. 7. □ 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 provided that the material is designated pursuant to the procedures set forth herein no later than that latter of fourteen (14) days after the close of discovery or fourteen (14) days after the document or information’s production.
If so designated, the document or information shall thenceforth be treated as Confidential Information subject to all the terms of this Stipulation and Order.

8. □ All information subject to confidential treatment in accordance with the terms of this Stipulation and Order that is filed with the Court, and any pleadings, motions or other papers filed with the Court disclosing any Confidential Information, shall be filed under seal to the extent permitted by law (including without limitation any applicable rules of court) and kept under seal until further order of the Court. To the extent the Court requires any further act by the parties as a precondition to the filing of documents under seal (beyond the submission of this Stipulation and Order Regarding Confidential Information), it shall be the obligation of the producing party of the documents to be filed with the Court to satisfy any such precondition. Where possible, only confidential portions of filings with the Court shall be filed under seal.
9. □ At the conclusion of litigation, the Confidential Information and any copies thereof shall be promptly (and in no event later than thirty (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 confidential. The foregoing is entirely without prejudice to the right of any party to apply to the Court for any further Protective Order relating to confidential information; or to object to the production of documents or information; or to apply to the Court for an order compelling production of documents or information; or for modification of this Order. This Order may be enforced by either party and any violation may result in the imposition of sanctions by the Court.

EXHIBIT A

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 – PRODUCED PURSUANT TO PROTECTIVE ORDER” 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)

View source on SDNY.uscourts.gov →

Revised March 17, 2025

INDIVIDUAL TRIAL RULES AND PROCEDURES

Lorna G. Schofield United States District Judge

Mailing Address:
United States District Court

Southern District of New York

500 Pearl Street

New York, New York 10007

Courtroom: Courtroom 1106 40 Foley Square New York, New York 10007 Mr. James Street, Courtroom Deputy

For any case that settles after the final pretrial conference, costs will be assessed for obtaining a jury panel and seating a jury.

Table of Contents

Page

I. PRETRIAL PROCEDURES AND RELATED FILINGS ..........................................1 A. Filings in Anticipation of Trial ................................................................................1 1. Trial-related Dates ...............................................................................................1 2. In Limine Motions ................................................................................................1 3. Joint Proposed Voir Dire, Jury Instructions and Verdict Sheet ...........................1 4. Final Pretrial Memorandum of Law ....................................................................2 5. Joint Final Pretrial Order – Civil Cases Only ......................................................2 B. Matters to be Addressed at the Final Pretrial Conference and During Trial ...........3 1. Voir Dire, Jury Instructions and Verdict Sheet ....................................................3 2. Trial Exhibits and Demonstrative Aids................................................................3 3. Expert Witnesses ..................................................................................................4 4. Deposition Designations ......................................................................................4 II. TRIAL PROCEDURES ...............................................................................................5 A. Transparency, Efficiency and Time Management ...................................................5 1. Schedule ................................................................................................................. 2. Maximizing the Court and the Jury’s Time .........................................................6 3. Jury Instructions ...................................................................................................7 4. Other Tools to Promote Juror Understanding ......................................................7 5. Juror Deliberations ...............................................................................................8 B. Courtroom Decorum and Other Matters ..................................................................9

I. PRETRIAL PROCEDURES AND RELATED FILINGS The following pretrial procedures rules apply in all civil cases that will be tried to a jury. The same procedures apply to bench trials, except for § I.A.2. regarding in limine motions, § I.A.3 regarding joint proposed voir dire, jury instructions and verdict sheet, and § I.B.1 regarding the jury charge.

In criminal cases, the Court will set deadlines for the parties to submit some but not all of the pretrial materials listed below, including motions in limine and joint proposed voir dire, requests to charge and verdict sheet. A. Filings in Anticipation of Trial

1. Trial-related Dates The Court usually will set the dates for trial and all pre-trial submissions, as detailed below, after discovery is complete and dispositive motions have been decided.
2. In Limine Motions In jury cases only, the parties shall file and serve motions addressing any evidentiary issues or other matters to be resolved in limine. Any party may respond within one week after the filing of an in limine motion. Memoranda of law in connection with a motion in limine are limited to five pages. No reply briefs shall be filed.
3. Joint Proposed Voir Dire, Jury Instructions and Verdict Sheet In all jury cases, the parties shall file joint proposed case specific requests to charge (in plain English), a joint verdict sheet and joint case specific proposed voir dire questions. The parties each shall file a one paragraph statement describing their own claims and/or defenses to be read during voir dire and the preliminary charge before opening statements. The parties should not submit generalized jury instructions or generalized voir dire questions.

For any instruction or question about which the parties disagree, each party shall clearly state its proposed instruction or question and may state, in a footnote, the grounds on which the Court shall use that charge or question and citations to case law sufficient to enable the Court to render a decision.

The parties shall provide the Court with a courtesy digital copy of both the proposed voir dire and requests to charge in Word format by email to Chambers.

4. Final Pretrial Memorandum of Law If a party believes it would be useful to the Court, the party may file and serve a pretrial memorandum of law. Any party may respond within one week after the filing of a pretrial memorandum of law. The pretrial memoranda and response each shall not exceed 25 pages.
5. Joint Final Pretrial Order – Civil Cases Only The parties shall file on ECF a proposed joint final pretrial order, including the following:

(a) The full caption of the action;

(b) The names, law firms, addresses, telephone numbers and email addresses of trial counsel;

(c) A brief statement (by each party to the extent their positions differ) of the factual and legal basis for subject matter jurisdiction, including citations to statutes and relevant facts as to citizenship and amount in controversy;

(d) A brief summary (by each party to the extent their positions differ) of the claims and defenses that remain to be tried, including citations to any relevant statute; and a brief summary of claims and defenses previously asserted that are not to be tried. The summaries shall not cite any evidentiary matter and shall not be argumentative;

(e) The number of trial days requested and whether the case is to be tried with or without a jury;

(f) A statement whether all parties have consented to trial by a magistrate judge, without identifying which parties do or do not consent;

(g) A list of trial witnesses each party genuinely intends to call in its case in chief, and a separate list “identifying those whom the party may call if the need arises” (Fed. R. Civ. P. 26(a)(3)), including a short description and estimate of the length of each witness’s testimony, and whether the witness will be called live or by prior testimony. In general, the Court expects testimony to be elicited live for any witness who appears live at trial, and that admissible prior testimony will be used only to supplement;

(h) Admissions, interrogatory answers or other written discovery responses the parties intend to offer into evidence, together with any objections to these materials;

(i) A list of in limine motions;

(j) A list of all proposed exhibits for each party’s case in chief to facilitate the pre-admission of exhibits. The list shall (1) mark each exhibit with one star for no authenticity objection and two stars for no objections at all, (2) for exhibits with objections other than authenticity, state the nature of any objection or the Federal Rule of Evidence that is the basis for the objection and (3) state whether an outstanding motion in limine will resolve the objection. Any objections not made shall be deemed waived, and any exhibits not objected to shall be deemed admissible at trial;

(k) Stipulations of uncontested facts;

(l) A statement of each element of damages and, except for intangible damages (e.g., pain and suffering, mental anguish or loss of consortium), the dollar amount, including prejudgment interest, punitive damages and attorneys’ fees;

(m) Other requested relief;

(n) A statement whether the parties consent to less than a unanimous verdict.
Typically, the Court seats 10 jurors for a civil trial. B. Matters to be Addressed at the Final Pretrial Conference and During Trial

1. Voir Dire, Jury Instructions and Verdict Sheet In most cases, prior to the final pretrial conference, the Court will distribute to the parties a draft voir dire and a draft preliminary jury charge that the Court will deliver prior to opening statements. At the final pretrial conference, the parties shall be prepared to address any objections or proposed changes to these materials.

A charging conference will be scheduled before the close of the evidence at trial. Prior to that conference, the Court will distribute to the parties a draft final jury charge that the Court will deliver prior to summations and a draft verdict sheet. The parties shall be prepared to address any objections or proposed changes to those materials at that conference. 2. Trial Exhibits and Demonstrative Aids At least one week before the final pretrial conference, the parties shall provide the Court with a digital copy of exhibits and demonstrative aids that they intend to use in their case in chief at trial, and an index (exhibit list).
The parties shall email Schofield_NYSDChambers@nysd.uscourts.gov requesting a link to upload these materials. In criminal and civil cases, the index shall be marked as specified in paragraph I.A.5.j above. For cases with more than 15 exhibits, the index shall be on an Excel spreadsheet in native format, with hyperlinks to the exhibits if possible.

Prior to the final pretrial conference, the parties shall confer in an effort to resolve any objections to the demonstrative aids. Any objections that are not resolved shall be identified in a letter filed at least two business days in advance of the final pretrial conference.

At the final pretrial conference, the parties shall be prepared to address each exhibit with a previously identified objection. If there are too many such exhibits to make a discussion of each one practical, the party opposing admission, one week prior to the final pretrial conference, shall file a letter grouping objections into no more than five categories with representative samples of each category, and explain the nature of the objection.

Concurrent with their summations, the parties shall provide the Court with a digital copy for the jury of the exhibits admitted into evidence and an updated index with hyperlinks, omitting all information except the exhibit number and description of the exhibit.
3. Expert Witnesses At least one week before trial, each of the parties must submit to the Court any disclosures pertaining to expert witnesses under Federal Rule of Criminal Procedure 16 or Federal Rule of Civil Procedure 26(a)(2). 4. Deposition Designations The parties shall submit to the Court designations and counter-designations of deposition testimony they seek to offer at trial two trial days before the designating party intends to offer the testimony at trial. The designations or counter-designations shall be made by highlighting in different colors for each party the relevant parts of the transcript. The opposing party shall
object in the margin by noting the basis for objection (e.g., FRE 801, 802 or hearsay). Any objections not made are waived. Such deposition testimony shall be submitted as a flattened PDF and may be submitted on the condensed (four pages to a page) version of the transcript. In a bench trial, for all deposition excerpts that will be offered as substantive evidence, the offering party shall submit a brief synopsis of the excerpts, not to exceed one page for each deposition, including page citations to the deposition transcript.

II. TRIAL PROCEDURES

The Court adopts the following trial guidelines to increase efficiency, promote juror understanding, preserve juror time, avoid surprises and advance respect between and among the parties. A. Transparency, Efficiency and Time Management

1. Schedule (a) Trial dates and times. Unless otherwise decided by the Court, the Court will hear five hours of testimony each day beginning at 10:00 A.M.
   with a one-hour lunch break and two fifteen-minute breaks. The trial generally will adjourn at approximately 4:45 P.M., but will go later if necessary. In all events, the jury will be seated promptly at 10:00 A.M.
   When the jury is not seated -- before 10:00 A.M., during breaks and after the jury is excused for the day -- the parties may raise issues for rulings that may arise during the trial. In jury trials, in order to keep distractions during the trial to a minimum, counsel shall be present by 9:30 A.M. and available after 4:45 P.M. to discuss scheduling and any disputed matters that may arise.
   Jurors will be informed of the trial schedule and any necessary changes to the schedule at the earliest possible time.
   (b) Time keeping. In civil trials, the Court will impose and enforce time limits on the trial to promote attorney efficiency, preserve scarce judicial resources and reduce repetition and redundancy.
   The Court will establish time limits before or at the final pretrial conference based on, e.g., input from the parties, the number and complexity of issues and the nature of proof to be offered. The Court will hold the parties to the time limits.
   Time will be kept by the Courtroom Deputy and reported on the record periodically and at the close of evidence on each trial day. Time will accrue when counsel is standing in the presence of the jury and during the presentation of a party’s designated deposition testimony.
2. Maximizing the Court and the Jury’s Time (a) Minimizing delay. The Court will eliminate unnecessary trial delay and disruption. When delay is unavoidable, if the case is being tried to a jury, the Court will explain the reason for the delay to the jury. (b) Sidebars. Sidebars during jury trials are not permitted under any circumstance, and during bench trials, generally will not be permitted.
   The Court will use conferences before and after the trial day and, if

necessary, during breaks, to consider and resolve any objections and other issues.
Counsel shall anticipate evidentiary and legal issues and raise them well in advance of the relevant testimony, outside the presence of the jury.
(c) Conferring with opposing party. A party shall first raise any issue with the opposing party before raising the issue with the Court, including anticipated evidentiary and legal issues that require argument.
(d) Witness availability. The parties are expected to present witnesses throughout the entire trial day. Unless good cause is shown, if a party does not have another witness available on a given day, that party will be deemed to have rested. Counsel shall notify the Court and other counsel in writing, at the earliest possible time, of any particular scheduling problems involving witnesses so that other arrangements can be made to fill the trial day. (e) Exhibits. Court time may not be used for marking exhibits. Exhibits shall be pre-marked, and if possible, will be pre-admitted in advance of the court session.

On the first trial day, before opening statements, the Court will admit exhibits as to which there are no objections or as to which any objections have been resolved. No later than three business days before trial, and in criminal cases on the first day of trial, the parties shall email the Court the current witness list and exhibit list. The exhibit list shall be in Excel format and shall include a column to indicate when an exhibit is admitted. In this column, on the first day of trial, the exhibit list shall identify exhibits to be admitted at the opening of trial (based on absence of objection or in limine rulings). The exhibit list may, but need not, include documents to be used only for cross-examination or impeachment. The exhibit list should not include exhibits that have been excluded from evidence or withdrawn. Each trial day, by 8:30 A.M., the parties shall email the Court an updated exhibit list and updated witness list, indicating which, if any, exhibits are new.
At the end of each trial day, counsel shall advise the Court of any exhibits to be offered into evidence the following day and inform the Court of any objections that the parties have not been able to resolve. The Court will then admit exhibits as to which there are no objections, and to the extent possible will rule on the admissibility of any exhibits as to which there are objections.
(f) 3500 Material. In criminal cases, at the beginning of trial, the Government shall provide the Court with two hard copies or one digital

copy of Section 3500 material. To provide these materials in electronic form, counsel may request a link from the Courtroom Deputy. (g) Interpreters. All interpreters shall interpret simultaneously rather than consecutively, unless prior permission is granted. In civil cases, the parties are responsible for retaining and paying for interpreters.
3. Jury Instructions (a) General Matters. All instructions to the jury will be in plain language that is as understandable as possible to non-lawyers.
(b) Preliminary Instructions. The Court will give preliminary instructions on the law at the beginning of the trial, before the parties’ opening statements.
The preliminary instructions will explain the jury’s role, trial procedures, the nature of evidence and its evaluation, basic relevant legal principles, including definitions of unfamiliar legal terms, the parties’ claims and defenses, what the parties need to prove in order to sustain their claims and defenses, burden of proof and any pertinent instructions.1
Preliminary instructions will facilitate better decision-making by jurors as well as their greater understanding of their duty in the decision-making process. Jurors’ ability to recall relevant evidence and apply the law to the facts will improve if they understand in advance the context in which they will be required to evaluate or analyze the evidence presented during the trial.
(c) Supplemental Instructions. The Court will give supplemental instructions during the course of the trial, as necessary, to assist the jury in understanding the facts and law.
(d) Final Instructions. The Court will give final instructions on the law at the end of the presentation of evidence, before the parties’ closing statements.
The Court will communicate clearly to the jury that the instructions given at the end of the trial will control deliberations. Each juror will be provided with a written copy of the final instructions for use while the jury is being instructed and during deliberations.
4. Other Tools to Promote Juror Understanding

1See, e.g., United States v. Stein, 429 F. Supp. 2d 648, 649 (S.D.N.Y. 2006) (“It is only common sense to think that it would be helpful to the jurors to know at the outset of a long trial what they are going to be asked to decide at the end.”); see also Fed. R. Civ. P. 51(b)(3) (“The court may instruct the jury at any time before the jury is discharged.”).

(a) Juror Questions. In civil cases, jurors ordinarily will be permitted to submit written questions for witnesses.2
When appropriate, the Court will instruct the jury during the preliminary instructions and prior to the opening statements that they may submit clarifying questions in writing at the end of a witness’s testimony, that the rules of evidence govern the questioning and that they should draw no conclusions or inferences if a question is not asked or is modified.
Upon receipt of a written question, the Court will make the question part of the Court record. Outside the hearing of the jury, the Court will disclose the question to the parties, and hear objections and proposed modifications. If the Court determines that the question is permissible, the Court will pose the question to the witness and any follow-up questions.
(b) Juror Note Taking. Jurors will be permitted but not required to take notes during the trial. Jurors will be instructed that the notes are to aid their memory of the evidence and are not to substitute for their recollection of the evidence in the case.3 Counsel shall confer and arrange to provide each juror with a notebook or paper and pens at the beginning of trial. The notes will be collected and destroyed at the conclusion of the trial.
(c) Other. The Court is open to techniques to enhance juror comprehension including alternating the sequencing of experts, deposition summaries and other aids. 5. Juror Deliberations (a) Exhibits. The Court ordinarily will provide all exhibits admitted into evidence to the jurors for use in the jury room for use during deliberations.
Immediately before the jury deliberates, the parties shall provide the court with digital copies of the admitted exhibits as set forth in Section I.B.2 above.
(b) Juror questions. When jurors submit a question during deliberations, the Court, in consultation with the parties, will supply a prompt, complete, and responsive answer or will explain to the jurors why it cannot do so.

2 United States v. Bush, 47 F.3d 511, 514 (2d Cir. 1995), citing United States v. Witt, 215 F.2d 580, 584 (2d Cir. 1954) (“[D]irect questioning by jurors is a ‘matter within the judge’s discretion, like witness- questioning by the judge himself.’”).
3 Sample jury instruction: “If you took notes during the course of the trial, you shall not show your notes to or discuss your notes with any other juror during your deliberations. Any notes you have taken are to be used solely to assist you. The fact that a particular juror has taken notes entitles that juror’s views to no greater weight than those of any other juror. Finally, your notes are not to substitute for your recollection of the evidence in the case. If you have any doubt as to any testimony, you may request that the testimony be read back to you as I mentioned earlier.”

(c) Impasse. The Court will endeavor to assist a jury that advises the Court that it has reached an impasse in its deliberations, including directing that further proceedings occur if appropriate.

B. Courtroom Decorum and Other Matters

1. Counsel are advised to review the most recent standing orders regarding the SDNY COVID-19 procedures on the court website. Only those individuals who meet the Court’s entry requirements will be permitted entry.

2. Counsel shall consult the most recent standing order on the Court’s website for the current policy concerning electronic devices.

3. Any request for a witness to testify remotely, i.e. live, but by videoconference, shall be made as early as possible and at least three business days in advance of the witness being called.

4. All witnesses shall wear civilian clothes -- no uniforms or badges.

5. Counsel and parties are to stand as the Court is opened, recessed and adjourned, and when the jury enters or leaves the courtroom.

6. Counsel and parties are to be on time for each court session. If counsel have matters in other courtrooms when a trial is scheduled, they shall arrange in advance to have a colleague handle the other appearance.

7. Only one attorney for each party shall examine, or cross-examine, each witness. The attorney stating objections, if any, during direct examination, shall be the attorney recognized for cross-examination.

8. Counsel shall stand at or near the table or lectern when addressing the Court, including when making objections and for opening and closing statements.
   Counsel unable to stand on account of physical disabilities will be excused from this requirement. Counsel shall not stand when opposing counsel is addressing the Court.

9. Redirect testimony generally will be limited to no more than five minutes. There shall be no re-cross.

10. In making an objection, counsel shall be brief and direct. (For example, “Objection, hearsay.”) In jury trials, counsel shall not argue the objection in the presence of the jury or argue with the ruling of the Court in the presence of the jury.

11. Offers of, or requests for, a stipulation shall be made in private (not within the hearing of the jury).

12. During jury trials, counsel shall not make any motion (e.g., for a mistrial) in the presence of the jury. Such matters may be raised during a recess.

13. Counsel shall address all remarks to the Court, not to opposing counsel.

14. Counsel shall refer to all persons, including witnesses, other counsel, and parties by their surnames and not by their first or given names.

15. Counsel shall refrain from approaching the bench or any witness. Any document counsel wishes to have the Court examine ordinarily shall be provided to the Court electronically.

16. Persons at counsel tables shall not make gestures, facial expressions, audible comments or the like as manifestations of approval or disapproval at any time during trial.

17. Counsel intending to question a witness about a group of documents shall have all documents prepared at the beginning of the examination.

18. Fact witnesses shall not be in the courtroom until after they have testified, except that one corporate representative per side may be present in the courtroom or remotely for the duration of the trial.

19. Counsel may not confer with a witness who is being cross-examined, including during breaks and overnight.

20. Counsel shall not move to “qualify” a witness as an expert.

View source on SDNY.uscourts.gov →

INDIVIDUAL RULES AND PROCEDURES FOR CRIMINAL CASES

Lorna G. Schofield United States District Judge

Mailing Address: United States District Court

Southern District of New York

500 Pearl Street

New York, New York 10007

Courtroom: Courtroom 1106 40 Centre Street James Street, Courtroom Deputy

Revised March 17, 2025

Table of Contents

A. Procedural Rules ......................................................................................................1 B. Communications with Chambers .............................................................................1 1. Initial Pretrial Conference.. ..................................................................................1 2. General Communications with Chambers ...........................................................1 3. Requests for Adjournments and Extensions of Time. .........................................1 4. Other Docket, Schedule and Calendar Matters.. ..................................................2 5. Urgent Matters .....................................................................................................2 6. Authorized Hand Deliveries.. ..............................................................................2 7. Other Communications ........................................................................................2 C. Filing and Submission of Papers .............................................................................2 1. Electronic Case Filing (“ECF”) ...........................................................................2 2. Proposed Stipulations and Orders ........................................................................3 3. Redactions and Filing Under Seal........................................................................3 D. Defense Counsel ......................................................................................................3 1. Benefactor Payments. ..........................................................................................3 2. Substitution of Counsel ........................................................................................3 E. Motions ....................................................................................................................3 F. Bail Hearings, Modifications and Appeals ..............................................................4 G. Guilty Pleas ..............................................................................................................4 1. Plea Agreements and Pimentel Letters ................................................................4 2. Preparation for Allocution ...................................................................................4 H. “Brady” Disclosures.................................................................................................4 I. Trials ........................................................................................................................5 J. Sentencing ................................................................................................................5 1. Sentencing Adjournments ....................................................................................5 2. Sentencing Submissions.......................................................................................6 3. Public Filing .........................................................................................................6 4. Letters. .................................................................................................................6 5. Privacy Policy ......................................................................................................6 6. Redactions Related to Sentencing ........................................................................6 (a) Redactions Not Requiring Court Approval..................................................6 (b) Redactions Requiring Court Approval.........................................................6

A. Procedural Rules The Court’s procedures are governed by the Federal Rules of Criminal Procedure, the Local Criminal Rules of the United States District Courts for the Southern and Eastern Districts of New York (the “Local Rules”), and the Individual Practices set forth below. Unless otherwise ordered, these Individual Practices apply to all criminal matters before Judge Schofield, except criminal pro se cases.
B. Communications with Chambers

1. Initial Pretrial Conference. When a criminal case is assigned to Judge Schofield, the Assistant United States Attorney (“AUSA”) shall immediately contact Chambers to arrange for a prompt conference / arraignment. The AUSA shall email a courtesy copy of the indictment or information and the criminal complaint, if one exists, to the Court Schofield_NYSDChambers@nysd.uscourts.gov as soon as practicable.
2. General Communications with Chambers. All communications with Chambers shall be by letter, not to exceed two pages, including exhibits, and in 12-point font, except as provided below. Letters to the Court shall be filed via ECF and should not be sent to Chambers, except letters containing information that should not be in the public file (for example concerning cooperation or medical information) shall be emailed to Chambers as a .PDF attachment at Schofield_NYSDChambers@nysd.uscourts.gov. Emails shall state clearly in the subject line: (1) the docket number of the case, (2) the case caption with the parties’ names, and (3) a brief description of the contents of the letter (e.g., “11-cr-999, USA v. Smith, Request for Extension of Time”).
   Substantive statements shall be made only in the letter attachment; the Court will not review statements made in the body of the email. Copies of communications emailed to Chambers shall be emailed simultaneously to all counsel and unrepresented parties. The parties shall not send the Court copies of correspondence between counsel.
   If a party does not want a letter to be docketed because of a protective order or for other good cause, the sender shall explicitly state in the letter the grounds for a request of confidential treatment, and include the header “CONFIDENTIAL” on every page of the letter. If a party wishes to ensure preservation of an undocketed letter for the record on appeal, it shall clearly so indicate in the first paragraph of the letter.
3. Requests for Adjournments and Extensions of Time. All requests for adjournments or extensions of time shall be made as a letter-motion filed via ECF except as provided above. The body of the letter shall state: (1) the original due date, the date sought to be extended, and the new date the party now seeks; (2) the number of previous requests for adjournment or extension of time; (3) whether

these previous requests were granted or denied; and (4) whether the adversary consents, and if not, the reasons given by the adversary for refusing to consent.
Requests for adjournment of court conferences, briefing deadlines, or any other deadlines shall be made by noon at least two business days before the scheduled appearance or date -- except sentencings for which adjournments must be requested at least 72 hours in advance. Absent extraordinary circumstances, untimely requests for extension of time will be denied.
The Court’s permission is required to extend or adjourn Court-imposed dates and deadlines. Extensions and adjournments of Court-imposed dates and deadlines will be granted only for compelling reasons. When adjournments are granted, it is upon the condition that the party requesting the adjournment notifies all other parties of the new date and/or time.
4. Other Docket, Schedule and Calendar Matters. For docket, schedule and calendar matters, other than requests for adjournments and extensions of time, counsel may email Chambers at Schofield_NYSDChambers@nysd.uscourts.gov. The subject line of any email shall contain the information specified in paragraph I.B.1. above. Parties shall consult the ECF to confirm conference dates and times.
5. Urgent Matters. For urgent matters requiring the Court’s immediate attention, counsel may contact Chambers and shall include all counsel.
6. Authorized Hand Deliveries. Material specifically permitted or ordered by the Court to be delivered by hand shall be left with the Court Security Officers at the Worth Street entrance of Daniel P. Moynihan Courthouse and shall not be brought directly to Chambers. If the hand-delivered material is urgent and requires the Court’s immediate attention, counsel shall ask the Court Security Officers to notify Chambers that an urgent package has arrived and needs to be retrieved by Chambers staff immediately. 7. Other Communications. Emails, telephone calls and hand deliveries to chambers are not permitted except as provided above. Faxes to Chambers are not permitted except with the prior authorization of Chambers, which will be given only in exceptional circumstances. In such situations, each faxed submission shall clearly identify the person in Chambers who authorized the sending of a fax, and copies shall be simultaneously faxed or delivered to all counsel.
C. Filing and Submission of Papers

1. Electronic Case Filing (“ECF”). All attorneys representing parties before Judge Schofield are required to register promptly as filing users on ECF. Instructions are available on the Court website https://nysd.uscourts.gov/electronic-case-filing.
   Counsel are responsible for updating their contact information on ECF and for checking the docket sheet regularly, regardless of whether they receive an ECF notification of case activity.

2. Proposed Stipulations and Orders. Except as otherwise provided in these Rules, parties shall email all proposed stipulations and orders that they wish the Court to sign to the Orders and Judgments Clerk at judgments@nysd.uscourts.gov in accordance with the ECF Rules and Instructions. Courtesy copies shall not be sent to Chambers.

3. Redactions and Filing Under Seal. Except as provided in Section I.6 below regarding sentencing letters, any party wishing to file in redacted form any document under seal, or any portion thereof, shall email a letter to Chambers explaining the reasons for seeking to file under seal. The party shall attach to its letter one full set of the relevant page(s) or document(s) in highlighted form (i.e., with the proposed redactions highlighted). If the submission exceeds 25 pages, it shall be delivered in hard copy by hand as provided in Section C.6 above. The Court will review the proposed redactions and notify the party of its decision.
   The party may then, to the extent permitted by the Court, file the redacted documents on ECF and the full, unredacted documents under seal in accordance with this district’s procedures set forth https://nysd.uscourts.gov/programs/records/request. On application of a party, and provided the unredacted papers are timely served on the party’s adversary, the Court will deem papers filed on the date the party delivers them to Chambers for review of proposed redactions.
   D. Defense Counsel

4. Benefactor Payments. Whenever defense counsel has received, or is receiving, a benefactor payment that subjects counsel to a conflict of interest, he or she shall promptly inform the Court and request that the Court schedule a Curcio hearing.

5. Substitution of Counsel. When there is a substitution of defense counsel, counsel of record shall contact Chambers to schedule a conference as soon as possible. At the conference, the Court will address the application by defense counsel to be relieved. The defendant, replacement counsel, and the AUSA also shall attend the conference.
   E. Motions
   Discovery Motions. Counsel shall comply with Southern District Local Criminal Rule 16.1, and the discovery motion shall contain a Rule 16.1 affidavit. Paper Courtesy Copies. One printed courtesy copy of all parties’ motion papers, including exhibits, marked “Courtesy Copy,” shall be submitted to Chambers by the movant at the time the reply is served. Courtesy copies shall not be submitted to Chambers at the time of filing. The non-moving party shall provide the movant with an unbound set of its opposition and any cross-motion papers, double sided and three-hole punched. All motion papers shall be doubled-sided, three-hole punched, tabbed and placed in binders in the order that they were filed. If the parties have redacted or filed under seal any portion of the motion papers in

compliance with Section C.3 above, courtesy copies are to be unredacted, but the portions redacted from public filings shall be highlighted and identified, so that the Court will know to refrain from quoting those passages in opinion and orders. F. Bail Hearings, Modifications and Appeals

1. All requests for bail hearings, modifications, and appeals shall be made as a letter- motion filed via ECF. The body of the letter shall state: (1) the original conditions of bail (if applicable); (2) the new proposed conditions of bail; (3) whether the Defendant, the Government and the Pre-Trial Services Officer consent to the proposed conditions of bail, and if not, the respective positions of the Defendant, the Government and the Pre-Trial Services Officer; and (4) three proposed dates for a bail hearing. If the requested hearing affects any other scheduled dates, the requesting party shall propose new dates.
   G. Guilty Pleas
2. Plea Agreements and Pimentel Letters. Upon notification that a Defendant has decided to plead guilty, the AUSA will: (1) promptly contact Chambers to schedule a plea hearing; (2) email a copy of the applicable plea agreement, cooperation agreement, or Pimentel letter to the Court as provided in Section B.2 above; and (3) attach any related documents (i.e superseding information, order of forfeiture, etc.) in the same email correspondence.
3. Preparation for Allocution. Prior to the date set for the plea, defense counsel are expected to have reviewed with the defendant -- if necessary, with the assistance of an interpreter -- any Pimentel letter or plea, cooperation or other agreement, as well as the Advice of Rights form available at https://nysd.uscourts.gov/hon- lorna-g-schofield. Defense counsel and the defendant shall execute any plea or cooperation agreement, as well as the Advice of Rights form, prior to the plea.
   Defense counsel shall prepare the defendant to give narrative allocutions that incorporate all of the elements of the offense(s) to which the defendant is pleading guilty. H. “Brady” Disclosures
4. Materials and information required to be disclosed pursuant to Brady v. Maryland and its progeny (“Brady Material”) -- whether in written or recorded format, or otherwise -- must be disclosed to defense counsel according to the following schedule:
   (a) Brady Material known to the Government at the time of indictment-- other than purely impeachment materials and information required to be produced pursuant to Giglio v. United States and its progeny (“Giglio Material”) -- must be produced to defense counsel no later than two weeks following the date of the filing of the indictment, regardless of whether the parties are engaged in plea discussions. Such Brady Material includes (simply by way of example) not only information that tends to exculpate a defendant or support a potential

defense to the charged offense(s), but also information that tends to mitigate the degree of the defendant’s culpability or to mitigate punishment. Also, this requirement applies regardless of whether the Government credits the Brady Material. (b) Brady Material (other than Giglio Material) that becomes known to the Government following the filing of the indictment must be disclosed, absent exceptional circumstances, within two weeks of when it becomes known and, in any event, no later than four weeks prior to any trial or guilty plea. (c) Absent exceptional circumstances, Giglio Material must be disclosed four weeks prior to the date of the start of trial or guilty plea. Such material includes (simply by way of example) a witness’s prior inconsistent statements, written or oral; benefits given and promises made to the witness; information that tends to show that the witness has a personal motive to inculpate the defendant; and information that tends to show that the witness has a physical or mental impairment that could affect the witness’s ability to perceive, recall, or recount relevant events. Giglio Material developed less than four weeks before trial (e.g., as a result of further interviews of witness) must be disclosed immediately. (d) To achieve adequate compliance with the foregoing rules, the Government has a continuing obligation to seek Brady Material and Giglio Material from law enforcement and regulatory agencies that are or have been involved in the prosecution of the defendant or in parallel proceedings or investigations involving defendant.
2. The above time-tables, being necessary to fulfill the constitutional obligations imposed by Brady v. Maryland, Giglio v. United States, and their progeny, apply regardless of whether the Brady Material and Giglio Material also happen to be producible pursuant to the Federal Rules of Criminal Procedure or the Jencks Act and the time-tables applicable thereto. 3. For good cause shown, the Government may seek a protective order delaying disclosure of such materials and information, but applications for such orders should only be made in exceptional circumstances.
I. Trials Please refer to Judge Schofield’s Individual Trial Rules and Procedures. J. Sentencing

1. Sentencing Adjournments. Any request for an adjournment of a sentencing shall be made as early as possible, and no later than 72 hours before the sentencing proceeding in accordance with Section B.3 above.

2. Sentencing Submissions. Unless otherwise ordered by the Court, a defendant’s sentencing submission shall be served seven (7) days in advance of the date set for sentencing. The Government’s sentencing submission shall be served four (4) days in advance of the date set for sentencing.

3. Public Filing. The Court assumes that every document in a sentencing submission, including letters, will be filed in the public record, through the ECF system. If letters are filed electronically, they shall be grouped and filed together as attachments to a single document marked SENTENCING MEMORANDUM with the caption and docket number clearly indicated.

4. Letters. The defendant is responsible for filing all letters submitted on behalf of the defendant, including those from friends and relatives. The Government is responsible for filing all letters from victims. The parties shall provide an English translation for any letter written in a language other than English.

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

6. Redactions Related to Sentencing. If any material is redacted from a publicly filed document relating to sentencing, only those pages containing the redacted material will be filed under seal. Counsel shall bring to the sentencing proceeding a copy of the pages containing redactions, marked to indicate what information has been redacted from the publicly filed materials, to give to the Court for filing under seal.
   (a) Redactions Not Requiring Court Approval. Parties may redact the five categories of “sensitive information” and the six categories of information requiring caution (i.e., personal identifying number, medical records, treatment and diagnosis, employment history, individual financial information, proprietary or trade secret information, and information regarding an individual’s cooperation with the government), as described in the Privacy Policy, without Court approval.
   (b) Redactions Requiring Court Approval. If a party redacts information beyond the eleven categories of information identified in the Privacy Policy, an application filed at the time the sentencing submission is served. The application shall clearly identify the redaction and explain the reasons for the redaction. The application will be addressed at the sentencing proceeding.
   The party shall email an unredacted copy of the filing to Schofield_NYSDChambers@nysd.uscourts.gov.

View source on SDNY.uscourts.gov →

SPECIAL RULES & PRACTICES IN CIVIL PRO SE CASES THE HONORABLE LORNA SCHOFIELD, UNITED STATES DISTRICT JUDGE

Pro Se Intake Unit United States District Court Southern District of New York 500 Pearl Street, Room 200 New York, New York 10007 (212) 805-0175

1. Electronic Case Filing for Nonincarcerated Parties

A. ECF Filing by Pro Se Parties. Any nonincarcerated pro se party who wishes to participate in electronic case filing (“ECF”) should complete a Motion for Permission for Electronic Case Filing, available in the Pro Se Intake Unit or at https://nysd.uscourts.gov/forms. The form should be mailed to the Pro Se Intake Unit, 500 Pearl Street, Room 200, New York, NY, 10007.

B. Consent to Electronic Service by Pro Se Parties. Any nonincarcerated pro se party who wishes to receive documents in their case electronically (by e-mail) instead of by regular mail may consent to electronic service by filing a Pro Se (Nonprisoner) Consent & Registration Form to Receive Documents Electronically, available in the Pro Se Intake Unit or at https://nysd.uscourts.gov/forms.

2. Communications

A. By a Pro Se Party. All communications with the Court by a pro se party that are not filed on ECF must be in writing and sent to the Pro Se Intake Unit at 500 Pearl Street, Room 200, New York, NY, 10007 or through the drop box located in the lobby of the U.S. Courthouse at 500 Pearl Street, New York, NY. Documents or Court filings should not be sent directly to Chambers or Judge Schofield. No telephone calls will be accepted by Chambers.

B. By Parties Represented by Counsel. Communications with the Court by a represented party shall be governed by Judge Schofield’s Individual Rules and Practices in Civil Cases, available at https://nysd.uscourts.gov/hon-lorna-g-schofield. Except for cases in which the pro se party has received permission to participate in ECF, such communications must include a separate proof of service indicating that the pro se party was served with a copy of the communication.

C. Conferences and Proceedings. All routine conferences, proceedings and oral arguments in civil cases may be held either in person at the address provided in the Court’s scheduling order, or telephonically at the number provided in the Court’s scheduling order.

D. Requests for Adjournments or Extensions of Time. All requests for adjournments or extensions of time must be made in writing and must 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; and (4) whether the adversary consents and, if not, the reasons given by the adversary for refusing to consent. Requests for extensions of deadlines regarding a matter that has been referred to a Magistrate Judge shall be directed to that assigned Magistrate Judge. Absent an emergency, any request for adjournment of a court conference shall be made at least 48 hours prior to the scheduled appearance. Requests for extensions ordinarily will be denied if made after the expiration of the original deadline.

3. Filing of Papers

A. By a Pro Se Party. If the pro se party is not participating in ECF, all papers to be filed with the Court by a pro se party must be sent to the Pro Se Intake Unit, United States Courthouse, 500 Pearl Street, Room 200, New York, New York 10007. The Court will accept filings via email from pro se parties without ECF privileges. Filings submitted by email must be sent to Pro_Se_Filing@nysd.uscourts.gov, and done so in accordance with the procedures found in Section 1.1 of the ECF Rules and Instructions located at https://www.nysd.uscourts.gov/rules/ecf-related-instructions. B. By Parties Represented by Counsel. Except for cases in which the pro se party has received permission to participate in ECF or has consented to electronic service, counsel in pro se cases must serve a pro se party with a paper copy of any document that is filed electronically and include a proof of service indicating that the pro se party was served with a copy of the filed document. Submissions filed without proof that the pro se party was served will not be considered. 4. Discovery

A. Discovery Requests. All requests for discovery must be sent to counsel for the opposing party. Discovery requests must not be sent to the Court.

B. Discovery Disputes. The parties shall confer amongst themselves with respect to discovery demands prior to raising any issue with the Court. Parties should not contact the Court regarding discovery disputes unless they have first attempted to resolve the issue with the opposing party without the assistance of the Court.

5. Motions

A. Filing and Service. Before filing a motion to dismiss, a party must file a letter stating the basis for the motion and a proposed briefing schedule. The letter shall be no longer than 750 words, single-spaced. No response is required. Unless otherwise ordered by the Court, papers filed in opposition to a motion must be served and filed within four weeks of service of the motion papers, and reply papers, if any, must be served and filed within two weeks of receipt of opposition papers.

B. 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.

C. Memoranda of Law. All written motions shall be accompanied by a memorandum of law.
Unless prior permission has been granted, memoranda of law in support of and in opposition to motions are limited to 8,750 words, and reply memoranda are limited to 3,500 words. If handwritten or prepared with a typewriter, memoranda in support of or in opposition to motions may not exceed 25 pages, and reply memoranda may not exceed 10 pages. These limits do not apply to memoranda in support of or in opposition to a motion for reargument or reconsideration, which are limited to 3,500 words, and reply memoranda are limited to 1,750 words. If a memorandum is handwritten or prepared with a typewriter, it may not exceed 10 pages for memoranda in support of or opposition to reconsideration or reargument, and 5 pages for reply memoranda. Those limits also do not apply to memoranda in support of or opposition to in limine motions, which shall not exceed 2,500 words if prepared on a computer, or five pages if prepared with a typewriter or handwritten. Any words or pages in excess of the applicable limit will be disregarded.
Those limits do not include the caption, any index, table of contents, table of authorities, signature blocks, or any required certifications, but do include material contained in footnotes or endnotes. If any memorandum of law is filed with a computer, the party shall also file a certificate of compliance as required by Local Civil Rule 7.1(c).

6. Initial Case Management Conference. The Court will generally schedule an initial case management conference within three months of the filing of the Complaint. An incarcerated party may not be able to attend this or other conferences, but may be able to participate by telephone or video conference.

7. Trial Documents

A. Joint Pretrial Statement. Unless otherwise ordered by the Court, within 30 days of the completion of discovery, the parties shall file a concise, written Joint Pretrial Statement. This Statement need take no particular form, but it must contain the following: (1) a statement of the facts that each party hopes to prove at trial; (2) a list of all documents or other physical objects that each party plans to put into evidence at trial; and (3) a list of the names and addresses of all witnesses that each party intends to have testify at trial. The Statement must be sworn by the parties to be true and accurate based on the facts known by the parties. If any party is represented, that party shall file the Joint Pretrial Statement. If no party is represented, the parties shall jointly file an original of this Statement with the Pro Se Intake Unit.

B. Other Pretrial Filings. At the time of filing the Pretrial Statement, any parties represented by counsel must also submit proposed findings of fact and conclusions of law, if the case is to be tried before only a judge without a jury, or a proposed jury charge, if it will be tried before a jury. The pro se party may also file either proposed findings of fact and conclusions of law or a proposed jury charge, but is not required to do so. In all jury cases, the parties also shall file joint proposed case specific voir dire (i.e., jury selection) questions and a one or two paragraph statement describing the case that will be read to the prospective jurors and the beginning of voir dire. The parties need not file generalized jury instructions or voir dire instructions.

8. Pro Se Legal Assistance Clinic

The City Bar Justice Center provides limited-scope legal assistance through the Southern District of New York’s Pro Se Legal Assistance Clinic. Assistance can be requested through the Center’s online application located at https://www.citybarjusticecenter.org/projects/federal-pro- se-legal-assistance-project/. If you are not able to complete the form or have questions regarding the form, please contact the Clinic at (212) 382-4794.

If you have any questions about these rules and practices, please contact the Pro Se Intake Unit at (212) 805-0175.

Revised 1/22/2025.

View source on SDNY.uscourts.gov →

Revised January 21, 2025

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

Plaintiff(s),
-v-

Defendant(s).

X : : : : : : : : : X

__ Civ. _____ (LGS)

CIVIL CASE MANAGEMENT PLAN AND SCHEDULING ORDER

LORNA G. SCHOFIELD, United States District Judge:

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

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

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

This case is governed by one of the following sets of rules, and the parties' proposed dates in this order have been adjusted accordingly.

a. An employment case governed by the Initial Discovery Protocols for Employment cases? https://nysd.uscourts.gov/hon-lorna-g-schofield.
[Yes ______ / No ______]

b. A case governed by Local Civil Rule 83.10, Plan for Certain § 1983 Cases Against the City of New York? https://nysd.uscourts.gov/rules.
[Yes ______ / No ______]

d. A wage and hour case governed by Initial Discovery Protocols for Fair Labor Standards Act? https://nysd.uscourts.gov/hon-lorna-g-schofield.
[Yes / No__]

Alternative Dispute Resolution/Settlement

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

b. Counsel for the parties have discussed an informal exchange of information in aid of early settlement and have agreed to exchange the following:

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

d. Counsel for the parties recommend that the alternate dispute resolution mechanism designated in paragraph 4(c) be employed at the following point in the case (e.g., within the next 60 days; after the deposition of plaintiff is completed (specify date); after the close of fact discovery):

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

No additional parties may be joined after __________ without leave of Court.

Amended pleadings may be filed without leave of Court until ______________.

Initial disclosures pursuant to Fed. R. Civ. P. 26(a)(1) shall be completed no later than __________ days from the date of this Order. [Within 14 days of the parties' Rule 26(f) conference, absent exceptional circumstances.]

Fact Discovery

a. All fact discovery shall be completed no later than ______________________.
[A period not to exceed 120 days, unless the Court finds that the case presents unique complexities or other exceptional circumstances.]

b. Initial requests for production of documents pursuant to Fed. R. Civ. P. 34 shall be served by ______________________.

c. Responsive documents shall be produced by _________________. Do the parties anticipate e-discovery? [Yes ______ / No ______]

d. Interrogatories pursuant to Fed. R. Civ. P. 33 shall be served by ______________________.

e. Depositions pursuant to Fed. R. Civ. P. 30, 31 shall be completed by ______________________.

f. Requests to admit pursuant to Fed. R. Civ. P. 36 shall be served by ______________________.

g. Any of the deadlines in paragraphs 8(b) through 8(f) may be extended by the written consent of all parties without application to the Court, provided that all fact discovery is completed by the date set forth in paragraph 8(a).

Expert Discovery [if applicable]

a. Anticipated types of experts if any:

b. If you have identified types of experts in question 9(a), all expert discovery shall be completed no later than ______________________. [Within 45 days from the date in paragraph 8(a), i.e., the completion of all fact discovery, absent exceptional circumstances.] Omit if you have not identified types of experts.

c. If you have identified types of experts in question 9(a), by _________ [no later than one month before the date in paragraph 8(a), i.e., the completion of all fact discovery] the parties shall meet and confer on a schedule for expert disclosures, including reports, production of underlying documents and depositions, provided that (i) expert report(s) of the party with the burden of proof shall be due before those of the opposing party's expert(s); and (ii) all expert discovery shall be completed by the date set forth in paragraph 9(b).

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

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

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

Status Letters and Conferences

a. By ___________ [60 days after the commencement of fact discovery], the parties shall submit a joint status letter, as outlined in Individual Rule III.D.3.

b. By ______________ [14 days after the close of fact discovery], the parties shall submit a joint status letter, as outlined in Individual Rule III.D.3 and, in the event that they have not already been referred for settlement discussions, shall also advise the Court whether or not they request a referral for settlement discussions as provided in Paragraph 4(c) above.

c. On _______________ at ______A.M. [usually 14 days after the close of all discovery], a pre-motion conference will be held for any anticipated dispositive motions, provided:

i. A party wishing to file a summary judgment or other dispositive motion shall file a pre-motion letter at least two weeks before the conference and in the form provided in the Court's Individual Rule III.A.1. Any party wishing to oppose shall file a responsive letter as provided in the same Individual Rule. The motion will be discussed at the conference. The conference will be in person at the United States Courthouse, Southern District of New York, 40 Foley Square, New York, NY, 10007 at Room 1106. The time of the conference is approximate, but the parties shall be ready to proceed at that time.

ii. If no pre-motion letter is timely filed, this conference will be canceled and the matter placed on the Court's trial-ready calendar. The parties will be notified of the assigned trial-ready date and the filing deadlines for pretrial submissions. The parties are warned that any settlement discussions will not stay pretrial deadlines or the trial date.

This Order may not be modified or the dates herein extended, except as provided in paragraph 8(g) or by further Order of this Court for good cause shown. Any application to modify or extend the dates herein, except as provided in paragraph 8(g), shall be made in a written application in accordance with the Court's Individual Rules and shall be made no less than 2 business days prior to the expiration of the date sought to be extended.

Notwithstanding any other rules governing discovery or other deadlines, the parties shall follow the deadlines set forth herein unless expressly ordered otherwise by the Court.

The Clerk of Court is directed to enter the dates under paragraphs 5, 6, 8(a), 9(b)-(c) and 13(a)-(c) into the Court's calendar, and to schedule the conference under paragraph 13(c) as a Pre-Motion Conference.

SO ORDERED.

Dated: _________________
New York, New York

LORNA G. SCHOFIELD

United States District Judge

Counsel for the Parties:

View source on SDNY.uscourts.gov →

Revised: February 19, 2015 ADVICE OF RIGHTS FORM United States v. __________________________________ ____ Cr. _______ (LGS) I have received and read a copy of the indictment or information and understand the nature of the charges made against me. I have had the opportunity to tell my lawyer all I know about the matters referred to in the indictment or information. I understand the nature of the charges against me, my constitutional rights, and the punishment that could be imposed by the Court upon my plea of guilty, including: any maximum and mandatory minimum terms of imprisonment; the effect of any term of supervised release that may be imposed; the possibility of an order of forfeiture; the possibility of an order of restitution if any financial injury was caused by the offense; the fact that the Court must consider any applicable sentencing guidelines as well as the other factors enumerated in Title 18, United States Code, Section 3553(a), in imposing sentence; and the fact that the Court may depart from the sentencing guidelines in some circumstances. I understand that if I plead not guilty to any count or counts in the indictment or information: x I would be presumed under the law to be innocent of the charges against me in such count or counts. x I would be entitled to a speedy, public trial by an impartial jury in which the burden would be upon the Government to establish my guilt beyond a reasonable doubt to the satisfaction of all 12 jurors. x Upon such trial (1) I would be entitled to remain silent and no inference could be drawn against me because of my silence; (2) I could, if I wished, testify on my behalf; (3) I would be entitled, through my lawyer, to confront and cross-examine all witnesses against me; and (4) I would be entitled to compulsory process of the Court to obtain witnesses to testify and evidence to be offered in my defense. I understand that if my plea of guilty to any count or counts is accepted by the Court, I will give up the foregoing rights with respect to such count or counts and the Court will have the same power to sentence me as if a jury had brought in a verdict of guilty with respect to such count or counts. My decision to plead guilty is freely and voluntarily made. I have not been induced to plead guilty to any count by any promises other than those contained in any written plea agreement that I have signed, if such an agreement exists. No one has promised me that I would receive leniency, a lesser sentence, or any other consideration if I pleaded guilty instead of going to trial. I have not been induced to plead guilty by any force or coercion. I am pleading guilty because after discussing the case with my lawyer I believe that I am guilty. I am satisfied with how my lawyer has represented me.

I have had a full opportunity to discuss with my lawyer whether there are any meritorious defenses to the count or counts to which I am pleading guilty. I understand that, by pleading guilty, I am giving up the right to assert any such defenses. I have had a full opportunity to discuss with my lawyer whether there is a basis to seek suppression of some or all of the evidence against me on the ground that my constitutional rights were violated. I understand that, by pleading guilty, I am giving up the right to seek suppression of any of the evidence against me, unless the Court, as a condition of my guilty plea, specifically permits me to retain the right to appeal the denial of any suppression motion I have made or joined.
I am not under the influence of any substance, such as medication, narcotics or alcohol, that would affect my ability to understand the nature and consequences of my action in pleading guilty. I have read and fully understand the foregoing statement.

Signature of Defendant

Signature of Interpreter Dated: ______________________ I, the lawyer for the above-named defendant, have reviewed the foregoing with the defendant, have explained to the defendant the nature of the charges against him or her, his or her constitutional rights, and the punishment that could be imposed upon entering a guilty plea. The defendant has had a full opportunity to discuss with me whether there are any meritorious defenses to the count or counts to which the defendant is pleading guilty. I have explained to the defendant that, by pleading guilty, he or she is waiving the right to assert any such defense. The defendant has also had a full opportunity to discuss with me whether there is a basis to seek suppression of some or all of the evidence against him or her on the ground that his or her constitutional rights were violated. I have explained to the defendant that, by pleading guilty, he or she is giving up the right to seek suppression of any of the evidence against him or her, unless the Court, as a condition of the guilty plea, specifically permits the defendant to retain the right to appeal the denial of any suppression motion he or she may have made or joined.

Signature of Lawyer Dated: _______________________

View source on SDNY.uscourts.gov →

INITIAL DISCOVERY PROTOCOLS FOR FAIR LABOR STANDARDS ACT CASES NOT PLEADED AS COLLECTIVE ACTIONS

January 2018

The Federal Judicial Center is making this document available at the request of the Advisory Committee on Civil Rules, in furtherance of the Center’s statutory mission to conduct and stimulate research and development for the improvement of judicial administration. While the Center regards the contents as responsible and valuable, this document does not reflect policy or recommendations of the Board of the Federal Judicial Center.

ii

TABLE OF CONTENTS

Page Introduction ........................................................................................................................... 1 FLSA Protocols Committee Roster ....................................................................................... 3 Initial Discovery Protocols for Fair Labor Standards Act Cases .......................................... 4 Standing Order for Certain Fair Labor Standards Act Cases .............................................. 10 Interim Protective Order ...................................................................................................... 12

INTRODUCTION The Initial Discovery Protocols for Fair Labor Standards Act Cases Not Pleaded as Collective Actions (Initial Discovery Protocols) provide a new pretrial procedure for certain types of Fair Labor Standards Act (FLSA) cases. As described in the Initial Discovery Protocols, their intent is to “encourage the parties and their counsel to exchange information and documents early in the case, help frame the issues to be resolved, and plan for more efficient and targeted discovery.” The Initial Discovery Protocols are designed to be implemented on an individual basis by judges throughout the United States District Courts. The Initial Discovery Protocols are the second set of case-specific discovery protocols to be developed and implemented in the federal courts. The first set of protocols, the Initial Discovery Protocols for Employment Cases Alleging Adverse Action (Employment Protocols), were published as a pilot project by the FJC in November 2011.1 The Employment Protocols were developed by a nationwide committee of attorneys with expertise in employment matters, and the project was facilitated by IAALS, the Institute for the Advancement of the American Legal System at the University of Denver. The Employment Protocols project grew out of the 2010 Conference on Civil Litigation at Duke University, sponsored by the Judicial Conference Advisory Committee on Civil Rules. During the conference, a wide range of attendees expressed support for the idea of case-type-specific “pattern discovery” as a possible solution to the problems of unnecessary cost and delay in the litigation process. The Employment Protocols have been adopted by over 50 judges and on a district-wide basis in multiple jurisdictions around the country, including the District of Connecticut and the District of Oregon. The FJC issued a formal report on the pilot project in October 2015.2 The report includes several key findings, including that there was less motions activity in pilot cases than in comparison cases. The average number of discovery motions filed was about half the average number in comparison cases, and both motions to dismiss and motions for summary judgment were less likely to be filed. In addition, the study found that it appears the pilot cases were more likely to settle.3 The FJC issued a follow up Memorandum in 2016 noting the results of the FJC’s ongoing research on the Employment Protocols pilot.4 Inspired by the results of the Initial Discovery Protocols for Employment Cases Alleging Adverse Action, and at the encouragement of Judge Lee Rosenthal, Chief Judge of the United States District Court of the Southern District of Texas, to consider pattern discovery for FLSA cases, IAALS formed a Committee with the goal of replicating the successes of the Employment

1 FED. JUDICIAL CTR., PILOT PROJECT REGARDING INITIAL DISCOVERY PROTOCOLS FOR EMPLOYMENT CASES ALLEGING ADVERSE ACTION (2011). 2 EMERY G. LEE, III AND JASON A. CANTONE, FED. JUDICIAL CTR., REPORT ON PILOT PROJECT REGARDING INITIAL DISCOVERY PROTOCOLS FOR EMPLOYMENT CASES ALLEGING ADVERSE ACTION (2015). 3 Id. at 1. 4 Memorandum from Emery G. Lee, III and Jason A. Cantone to the Judicial Conference Advisory Committee on Civil Rules (Oct. 26, 2016).

Protocols for another case type that is both prevalent in our federal district courts and lends itself well to pattern initial discovery.
As with the Employment Protocols, the committee was composed of a balanced group of highly experienced attorneys from across the country who regularly represent plaintiffs or defendants in FLSA matters. The Committee was co-chaired by Joseph Garrison and Chris Kitchel, who also co-chaired the Committee that developed the Employment Protocols, and IAALS supported and facilitated the effort throughout. Judge Lee Rosenthal and Judge John Koeltl, District Judge of the United States District Court of the Southern District of New York, played an instrumental role in this effort, each facilitating a meeting and providing important guidance and support.
The Committee worked diligently over the course of the project, meeting three times in person and holding numerous conference calls of the Plaintiff and Defense Sub-Committees. As with the Employment Protocols, the Committee’s final product is the result of rigorous debate and compromise on both sides, inspired by the ultimate goal of improving the pretrial process in FLSA cases nationwide.
The Initial Discovery Protocols create a new category of information exchange, replacing initial disclosures with initial discovery specific to FLSA cases. This discovery is provided automatically by both sides within 30 days of the defendant’s responsive pleading or motion. While the parties’ subsequent right to discovery under the Federal Rules of Civil Procedure is not affected, the amount and type of information initially exchanged ought to focus the disputed issues, streamline the discovery process, and minimize opportunities for gamesmanship. The Initial Discovery Protocols are accompanied by a Standing Order for their implementation by individual judges, as well as an Interim Protective Order that the attorneys and the judge can use as a template for discussion. The FJC’s 2016 report noted that judges have applied the Employment Protocols “more widely than one would expect given the parameters in the pilot materials, such as in actions brought under the Fair Labor Standards Act or the Family Medical Leave Act.”5 It is the goal of these Initial Discovery Protocols to meet the needs of judges and litigants around the country seeking to implement pattern discovery in FLSA cases and to make the process in FLSA cases more efficient, more streamlined, and less costly.

5 Id. at 1.

FAIR LABOR STANDARDS ACT PROTOCOLS COMMITTEE ROSTER

William F. Allen Littler Mendelson Washington, D.C.
David Borgen Goldstein, Borgen, Dardarian & Ho Oakland, CA
Reena I. Desai Nichols Kaster Minneapolis, MN Joseph D. Garrison Garrison, Levin-Epstein, Fitzgerald & Pirrotti, P.C. New Haven, CT Chris Kitchel Stoel Rives Portland, OR Michael D. Mandel McGuireWoods Los Angeles, CA
Dennis M. McClelland Phelps Dunbar LLP Tampa, FL
Camille Olson Seyfarth Shaw LLP Chicago, IL Justin M. Swartz Outten & Golden LLP New York, NY Douglas M. Werman Werman Salas PC Chicago, IL

INITIAL DISCOVERY PROTOCOLS FOR FAIR LABOR STANDARDS ACT CASES NOT PLEADED AS COLLECTIVE ACTIONS

PART 1: INTRODUCTION AND DEFINITIONS. (1) Statement of purpose.

a. These Initial Discovery Protocols apply to FLSA cases not pleaded as collective actions. The Protocols are designed to be implemented by trial judges throughout the United States District Courts. The Protocols encourage the parties and their counsel to exchange information and documents early in the case, help frame the issues to be resolved, and plan for more efficient and targeted discovery.

b. Participating courts may implement the Initial Discovery Protocols by local rule or by standing, general, or individual case orders. The Protocols apply to cases alleging minimum wage and overtime violations under the FLSA (the “FLSA Claims”). If any party believes that there is good cause why a case should be exempted, in whole or in part, from the Protocols, that party may raise such reason with the Court.

c. The Initial Discovery Protocols are not intended to preclude or modify the rights of any party for discovery as provided by the Federal Rules of Civil Procedure
and other applicable local rules, but they are intended to supersede the parties’ obligations to make initial disclosures under FRCP 26(a)(1) for the FLSA Claims.

d. The Initial Discovery Protocols were prepared by a balanced group of highly experienced attorneys from across the country who regularly represent plaintiffs or defendants in FLSA matters. The Protocols require the exchange of information and documents routinely requested in FLSA cases. They are unlike initial disclosures under FRCP 26(a)(1) because they focus on the type of information most likely to be useful in narrowing the issues for FLSA cases.

(2) Definitions. The following definitions apply to cases proceeding under the Initial Discovery Protocols.

a. Concerning. The term “concerning” means referring to, describing, evidencing, or constituting.

b. Document. The terms “document” and “documents” are defined to be synonymous in meaning and equal in scope to the terms “documents” and “electronically stored information” as used in F.R.C.P. 34(a).

c. Identify (Documents). When referring to documents, to “identify” means to give, to the extent known: (i) the type of document; (ii) the general subject matter of the document; (iii) the date of the document; (iv) the author(s), according to the document; and (v) the person(s) to whom, according to the document, the document(or a copy) was to have been sent; or, alternatively, to produce the document.

d. Identify (Persons). When referring to natural persons, to “identify” means to give the person’s: (i) full name; (ii) present or last known address and telephone number; (iii) present or last known place of employment; (iv) present or last known job title; and (v) relationship, if any, to the plaintiff or defendant. Once a person has been identified in accordance with this subparagraph, only the name of that person need be listed in response to subsequent discovery requesting the identification of that person.

e. Defendant. Any person or entity alleged to be an employer or joint employer of the plaintiff(s) in the operative Complaint, unless otherwise specified.

f. Plaintiff. Any named individual(s) alleging FLSA Claim(s) in the operative Complaint.

(3) Instructions.

a. For this Initial Discovery, the relevant time period begins two years before the date the initial Complaint was filed, or, if willfulness is alleged, three years. If the Plaintiff alleges a shorter relevant time period, then that is the time period for Initial Discovery.

b. For this Initial Discovery, the relevant time period continues through the last date for which the Plaintiff seeks recovery or relief.

c. This Initial Discovery is not subject to objections except for the reasons under FRCP 26(b)(2)(B) or on the grounds of privilege or work product. Documents withheld based on a claim of privilege or work product are subject to the provisions of FRCP 26(b)(5).

d. If a partial or incomplete answer or production is provided, the responding party must state the reason that the answer or production is partial or incomplete.

e. This Initial Discovery is subject to FRCP 26(e) on supplementation and FRCP 26(g) on certification of responses.

f. This Initial Discovery is subject to FRCP 34(b)(2)(E) on form of production.

g. This Initial Discovery will be subject to the attached Interim Protective Order unless the parties agree or the court orders otherwise. The Interim Protective Order will remain in place only until the parties agree to or the court orders a different protective order. Absent agreement by the parties, the Interim Protective Order will not apply to subsequent discovery.

h. Prior to the production of documents by either Party to the other pursuant to the Initial Discovery Protocols, the Parties will meet and confer regarding the format (e.g. TIFF/text, searchable .pdf, Excel) for such production. This will not delay the timeframes for Initial Discovery absent ruling by the court.

PART 2: PRODUCTION BY THE PLAINTIFF. (1) Timing. The Plaintiff’s Initial Discovery must be provided within 30 days after the Defendant has submitted a responsive pleading or motion, unless the court rules otherwise.

(2) Documents that the Plaintiff must produce to the Defendant.

a. Documents created or maintained by the Plaintiff recording time worked.

b. Documents created or maintained by the Plaintiff recording wages or other compensation paid or unpaid by the Defendant.1

c. If the Plaintiff reported or complained internally to the Defendant (including but not limited to supervisors or administrative departments, such as human resources, payroll, timekeeping or benefits) about the FLSA Claim(s), the report(s) or complaint(s) and any response that the Defendant provided to the Plaintiff.

d. Any offer letters, employment agreements, or compensation agreements for the Plaintiff.

e. Any sworn statements from individuals with information relevant to the FLSA Claim(s).

f. Documents that the Plaintiff relies on to support a claim of willful violation.

1 This Initial Disclosure does not include personal tax returns or tax informational documents.

g. All other documents that the Plaintiff relies on to support the Plaintiff’s FLSA Claim(s).

(3) Information that the Plaintiff must produce to the Defendant.

a. Identify persons the Plaintiff believes to have knowledge of the facts concerning the FLSA Claim(s) or defenses, and a brief description of that knowledge.

b. Identify the start and end dates for the FLSA Claim(s);

c. The Plaintiff’s title or position and a brief description of the Plaintiff’s job duties for the relevant time period.

d. Describe the basis for the FLSA Claim(s).

e. A computation of each category of damages claimed by the Plaintiff, including a) applicable dates, b) amounts of claimed unpaid wages, and c) the method used for computation (including applicable rates and hours).

f. The names of the Plaintiff’s supervisors during the relevant time period.

g. If the Plaintiff reported or complained about the FLSA Claim(s) to any government agency, the identity of each such agency, the date(s) or such reports or complaints, and the outcome or status of each report or complaint.

h. If the Plaintiff reported or complained to the Defendant (including but not limited to supervisors or administrative departments such as human resources, payroll, timekeeping or benefits) about the any FLSA Claim(s), state whether the report or complaint was written or oral, when the report or complaint(s) was made, to whom any report or complaint(s) were made, and any response provided by the Defendant.

PART 3: PRODUCTION BY THE DEFENDANT. (1) Timing.

The Defendant’s Initial Discovery must be provided within 30 days after the Defendant has submitted a responsive pleading or motion, unless the court rules otherwise.

(2) Documents that the Defendant must produce to the Plaintiff.

a. Time and pay records created or maintained by the Defendant for the Plaintiff.

b. If the Plaintiff reported or complained internally to the Defendant (including but not limited to supervisors or administrative departments, such as human resources, payroll, timekeeping or benefits) about the FLSA Claim(s), the report(s) or complaint(s) and any response that the Defendant provided to the Plaintiff.

c. Any sworn statements from individuals with information relevant to the FLSA Claim(s).

d. Documents that the Defendant relies on to support a claim that any alleged violation was in good faith.

e. Any offer letters, employment agreements, or compensation agreements for the Plaintiff.

f. Collective bargaining agreement(s) applicable to the Plaintiff.

g. The job description for the position(s) the Plaintiff held during the relevant time period(s), if the job duties are at issue in the FLSA Claim(s).

h. The Defendant’s policies, procedures, or guidelines for compensation that are relevant to the FLSA Claim(s).

i. The cover page, table of contents, and index of any employee handbook, code of conduct, or employment policies and procedures manual pertaining to compensation or time worked.

j. Any other documents the Defendant relies on to support the defenses, affirmative defenses, and counterclaims to the FLSA Claim(s).

k. Any insurance agreement under which an insurance business may be liable to satisfy all or part of a possible judgment in the action or to indemnify or reimburse for payments made to satisfy the judgment.

(3) Information that the Defendant must produce to the Plaintiff.

a. Provide the following information related to the Plaintiff :

1. Start and end dates for work performed;

2. Work location(s);

3. Job title(s);

4. Employee or contractor identification number;

5. In cases alleging the misclassification of the Plaintiff, the classification
   status of the Plaintiff (i.e., exempt or non-exempt);

6. Immediate supervisor(s) and/or manager(s).

b. If the Defendant does not have a job description for the Plaintiff, a brief description of the Plaintiff’s job duties for the relevant time period(s), if the job duties are at issue in the FLSA Claim(s).

c. Identify persons the Defendant believes to have knowledge of the facts concerning the FLSA Claim(s) or defenses, and a brief description of that knowledge.

d. If the Plaintiff reported or complained to the Defendant about the FLSA Claim(s), whether the report(s) or complaint(s) were written or oral, when the report(s) or complaint(s) were made, to whom any report(s) or complaint(s) were made, and any response(s) provided by the Defendant.

UNITED STATES DISTRICT COURT
FOR THE _________ DISTRICT OF __________ ________________ DIVISION

, ) ) Plaintiff,

) ) vs.

) Case No.

)

, ) Judge

) Defendant.

)

STANDING ORDER FOR FAIR LABOR STANDARDS ACT CASES
NOT PLEADED AS COLLECTIVE ACTIONS

This Court is implementing the INITIAL DISCOVERY PROTOCOLS FOR FLSA CASES NOT PLEADED AS COLLECTIVE ACTIONS, as supported by the Advisory Committee on Civil Rules. The Initial Discovery Protocols apply to FLSA cases not pleaded as collective actions.

Parties and counsel shall comply with the Initial Discovery Protocols, attached to this Order. If any party believes that there is good cause why a particular case should be exempted from the Initial Discovery Protocols, in whole or in part, that party may raise the issue with the Court.

Within 30 days following the defendant’s submission of a responsive pleading or motion, the parties shall provide to one another the documents and information described in the Initial Discovery Protocols for the relevant time period. This obligation supersedes the parties’ obligations to provide initial disclosures under FRCP 26(a)(1) for the FLSA Claims. The parties

shall use the documents and information exchanged in accordance with the Initial Discovery Protocols to prepare the FRCP 26(f) discovery plan.

The parties’ responses to the Initial Discovery Protocols shall comply with the FRCP obligations to certify and supplement discovery responses, as well as the form of production standards for documents and electronically stored information. As set forth in the Protocols, this Initial Discovery is not subject to objections, except upon the grounds set forth in FRCP 26(b)(2)(B) or on the grounds of privilege or work product. Documents withheld based on a claim of privilege or work product are subject to the provisions of FRCP 26(b)(5).

ENTER: Dated:

[Name]

United States [District/Magistrate] Judge

The Initial Discovery Protocols for FLSA Cases Not Pleaded as Collective Actions are designed to achieve the goal of more efficient and targeted discovery. Immediate entry of a protective order will allow the parties to commence discovery without delay. In furtherance of that goal, the FLSA Protocols Committee offers the following Interim Protective Order. The Interim Protective Order will remain in place only until the parties agree to or the court orders a different protective order. Absent agreement by the parties, the Interim Protective Order will not apply to subsequent discovery. Recognizing that the decision to enter a protective order, as well as the parameters of any such order, rests within the Court’s sound discretion and is subject to local practice, the following provisions are options from which the Court might select. INTERIM PROTECTIVE ORDER It is hereby ordered by the Court that the following restrictions and procedures shall apply to certain information, documents and excerpts from documents supplied by the parties to each other in response to discovery requests:

1.  Counsel for any party may designate any document, information contained in a document, information revealed in an interrogatory response or information revealed during a deposition as confidential if counsel determines, in good faith, that such designation is necessary to protect the interests of the client. Information and documents designated by a party as confidential will be stamped “CONFIDENTIAL.” “Confidential” information or documents may be referred to collectively as “confidential information.”
2.  Unless ordered by the Court, or otherwise provided for herein, the Confidential Information disclosed will be held and used by the person receiving such information solely for use in connection with the above-captioned action.
3.  In the event a party challenges another party’s confidential designation, counsel shall make a good faith effort to resolve the dispute, and in the absence of a resolution, the challenging party may thereafter 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 specifically reserves the right to object to the use or admissibility of all Confidential Information disclosed, in accordance with applicable law and Court rules.
4.  Information or 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; d.  Any person from whom testimony is taken or is to be taken in these actions, except that such a person may only be shown that Confidential Information during and in preparation for his/her testimony and may not retain the Confidential Information; and e.  The Court (including any clerk, stenographer, or other person having access to any Confidential Information by virtue of his or her position with the Court) or the jury at trial or as exhibits to motions. 5.  Prior to disclosing or displaying the Confidential Information to any person, counsel shall: a.  inform the person of the confidential nature of the information and documents; and 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 that information or documents to any other person. 6.  The Confidential Information may be displayed to and discussed with the persons identified in Paragraphs 4(c) and (d) only on the condition that prior to any such display or discussion, each such person shall be asked to sign an agreement to be bound by this Order in the form attached hereto as Exhibit A. In the event such person refuses to sign an agreement in the form attached as Exhibit A, the party desiring to disclose the Confidential Information may seek appropriate relief from the Court. 7.  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 provided that the material is designated pursuant to the procedures set forth herein no later than that latter of fourteen (14) days after the close of discovery or fourteen (14) days after the document or information’s production. If so designated, the document or information shall thenceforth be treated as Confidential Information subject to all the terms of this Stipulation and Order. 8.  All information subject to confidential treatment in accordance with the terms of this Stipulation and Order that is filed with the Court, and any pleadings, motions or other papers filed with the Court disclosing any Confidential Information, shall be filed under seal to the extent permitted by law (including without limitation any

applicable rules of court) and kept under seal until further order of the Court. To the extent the Court requires any further act by the parties as a precondition to the filing of documents under seal (beyond the submission of this Stipulation and Order Regarding Confidential Information), it shall be the obligation of the producing party of the documents to be filed with the Court to satisfy any such precondition. Where possible, only confidential portions of filings with the Court shall be filed under seal. 9.  At the conclusion of litigation, the Confidential Information and any copies thereof shall be promptly (and in no event later than thirty (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 confidential.
The foregoing is entirely without prejudice to the right of any party to apply to the Court for any further Protective Order relating to confidential information; or to object to the production of documents or information; or to apply to the Court for an order compelling production of documents or information; or for modification of this Order. This Order may be enforced by either party and any violation may result in the imposition of sanctions by the Court.

EXHIBIT A

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 – PRODUCED PURSUANT TO PROTECTIVE ORDER” 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)

View source on SDNY.uscourts.gov →

INDIVIDUAL RULES AND PROCEDURES FOR CIVIL CASES

Lorna G. Schofield United States District Judge

Mailing Address: United States District Court

Southern District of New York

500 Pearl Street

New York, New York 10007

Courtroom: Courtroom 1106 40 Foley Square Mr. James Street, Courtroom Deputy

Revised March 17, 2025

Table of Contents

Page

I. GENERAL MATTERS ...............................................................................................1 A. Procedural Rules ......................................................................................................1 1. Applicability ........................................................................................................1 2. Section 1983 Cases ..............................................................................................1 3. Discovery Protocols in Certain Employment and FLSA Cases ...........................1 B. Communications with Chambers .............................................................................1 1. General Matters ....................................................................................................1 2. Agreements to Settle ............................................................................................2 3. Requests for Adjournments and Extensions of Time ..........................................2 4. Conferences and Proceedings ..............................................................................3 5. Urgent Matters .....................................................................................................3 6. Authorized Hand Deliveries ................................................................................3 7. Other Communications ........................................................................................3 C. Filing and Submission of Papers .............................................................................3 1. Electronic Case Filing (“ECF”) ...........................................................................3 2. No Paper Submissions .........................................................................................4 D. Redactions and Filing Under Seal............................................................................4 1. Presumptive Right of Access ...............................................................................4 2. Sealing/Redactions Not Requiring Court Approval ............................................4 3. Sealing/Redaction Requiring Court Approval .....................................................4 4. Confidentiality Agreements .................................................................................5 5. Sealed Settlement Agreements ............................................................................5 6. Related Cases .......................................................................................................5 E. Electronic Devices ...................................................................................................6 1. Mobile Phones, Tablets and Personal Electronic Devices ...................................6 2. Computers, Printers and other Electronic Equipment ..........................................6 II. DISCOVERY ...............................................................................................................6 A. Electronic Discovery ................................................................................................6 1. Requests for Production of Documents ...............................................................6 2. Non-Waiver Agreements .....................................................................................7 3. Use of Computer Assisted Technology ...............................................................7 B. Discovery Disputes ..................................................................................................8 1. Oral Applications During a Deposition ...............................................................8 2. Discovery Motions ...............................................................................................8 III. MOTION RULES AND PROCEDURES ...............................................................8 A. Pre-Motion Conference ............................................................................................8 1. Pre-Motion Conference Generally Required .......................................................8 2. Subject of Pre-Motion Conference ......................................................................8 3. Motions Not Requiring a Pre-Motion Conference...............................................8 B. Motion Submissions and Argument ........................................................................9 1. Memoranda of Law ..............................................................................................9 2. Citations to Case Law ........................................................................................10

Table of Contents

                                                                                                    Page 

ii

Affidavits and Exhibits ......................................................................................10 4. Briefing Schedule...............................................................................................10 5. Paper Courtesy Copies .......................................................................................11 6. Oral Argument ...................................................................................................11 C. Particular Matters and Motions ..............................................................................11 1. Pro Hac Vice Admission ....................................................................................11 2. Motions to Dismiss ............................................................................................11 3. Discovery Motions .............................................................................................12 4. Applications for Temporary Restraining Order and Orders to Show Cause .....12 5. Class Actions .....................................................................................................12 6. Summary Judgment Motions .............................................................................13 7. Default Judgment Procedures ............................................................................13 D. Pretrial Conferences and Related Filings ...............................................................13 1. Attendance by Principal Trial Counsel ..............................................................13 2. Initial Case Management Conference and Plan .................................................13 3. Status Letters ......................................................................................................14 4. Diversity Jurisdiction Cases ...............................................................................14 5. Interim Pretrial Conferences ..............................................................................15 6. Final Pretrial Conference and Filings in Anticipation of Trial ..........................15 7. Jury Cases that Settle After the Final Pre-Trial Conference ..............................15 IV. DIVERSITY AND INCLUSION ..........................................................................15 A. Requests for Reasonable Accommodation ............................................................15 B. Personal Pronouns ..................................................................................................15

I. GENERAL MATTERS A. Procedural Rules

1. Applicability The Court’s procedures are governed by the Federal Rules of Civil Procedure, the Local Rules of the United States District Courts for the Southern and Eastern Districts of New York (the “Local Rules”) and the Individual Practices set forth below. Unless otherwise ordered, these Individual Practices apply to all civil matters before Judge Schofield, except civil pro se cases. Nothing in these Individual Practices supersedes a specific time period for filing a motion specified by statute or Federal Rule -- including but not limited to Federal Rules of Civil Procedure 50, 52, 54, 59 and 60, and Federal Rule of Appellate Procedure 4 -- where failure to comply with the specified time period could result in forfeiture of a substantive right.
2. Section 1983 Cases Cases designated for participation in the Plan for Certain Section 1983 Cases Against the City of New York will proceed under the Plan, except that the plaintiff may request and obtain document discovery in addition to what is provided in paragraph 5 of the Plan, if the discovery is otherwise permissible and would be useful in evaluating the case for the settlement conference.
   Any dispute concerning discovery shall be handled as provided in Section III.C.3 below and Local Rule 37.2. The Plan can be found at https://nysd.uscourts.gov/rules/proposed-amendments.
3. Discovery Protocols in Certain Employment and FLSA Cases The Initial Discovery Protocols for Employment Cases Alleging Adverse Action apply, where applicable, and can be found at https://nysd.uscourts.gov/sites/default/files/practice_documents/ lgsEmploymentProtocols.pdf. The Initial Discovery Protocols for Fair Labor Standards Act Cases Not Pleaded as Collective Actions apply, where applicable, and can be found at https://nysd.uscourts.gov/sites/default/files/ practice_documents/lgsInitialDiscoveryProtocolsForFairLaborStandardsAct. pdf. In cases where they apply, these protocols supersede all other discovery protocols, unless otherwise ordered. B. Communications with Chambers
4. General Matters Unless otherwise ordered by the Court, all communications with Chambers shall be by letter, not to exceed 750 words, not including exhibits, and in 12- point font, except as provided below.

Letters to the Court shall be filed via ECF and should not be sent to Chambers, except letters containing information that should not be in the public file (for example, information concerning settlement discussions or medical information) shall be emailed to Chambers as a PDF attachment at Schofield_NYSDChambers@nysd.uscourts.gov. Emails shall state clearly in the subject line: (1) the docket number of the case, (2) the case caption with the lead party names and (3) a brief description of the contents of the letter (e.g., “11-cv-9999, Jones v. Smith, Request for Extension of Time”).
Substantive statements shall be made only in the letter attachment. The Court will not review statements made in the body of the email. Copies of communications emailed to Chambers shall be emailed simultaneously to all counsel and unrepresented parties. The parties shall not send the Court copies of correspondence between counsel.

If a party does not want a letter to be docketed because of a protective order or for other good cause, the sender shall explicitly state in the letter the grounds for a request of confidential treatment and include the header “CONFIDENTIAL” on every page of the letter. If a party wishes to ensure preservation of an undocketed letter for the record on appeal, it shall clearly so indicate in the first paragraph of the letter and apply to file the letter under seal, citing relevant case law and facts.
2. Agreements to Settle The parties shall email Chambers at Schofield_NYSDChambers@nysd.uscourts.gov immediately upon reaching an agreement to settle. 3. Requests for Adjournments and Extensions of Time All requests for adjournments or extensions of time shall be made at least two business days before the date to be extended. Any such request shall be made as a letter motion filed via ECF except as provided above. The body of the letter shall state: (1) the original due date, the date sought to be extended and the new date the party now seeks; (2) the number of previous requests for adjournment or extension of time; (3) whether these previous requests were granted or denied; and (4) whether the adversary consents, and if not, the reasons given by the adversary for refusing to consent. If the requested adjournment or extension affects any other scheduled dates, the parties shall indicate the new proposed dates.

Requests for adjournment of court conferences shall be made by noon at least two business days before the scheduled appearance. Absent extraordinary circumstances, requests for extension of time will be denied if not made before the expiration of the original deadline.

The Court’s permission is required to extend or adjourn Court-imposed dates and deadlines. Extensions and adjournments of Court-imposed dates and deadlines will be granted only for compelling reasons.

4. Conferences and Proceedings Routine conferences, proceedings and oral arguments in civil cases will be held in person at the address provided in the Court’s scheduling order.

5. Urgent Matters For urgent matters requiring the Court’s immediate attention, counsel may
   call Chambers directly; in such situations, parties should email the Chambers inbox at Schofield_NYSDChambers@nysd.uscourts.gov. requesting the Court’s contact information.

6. Authorized Hand Deliveries Material specifically permitted or ordered by the Court to be delivered by hand shall be left with the Court Security Officers at the Worth Street entrance of Daniel P. Moynihan Courthouse and shall not be brought directly to Chambers. If the hand-delivered material is urgent and requires the Court’s immediate attention, counsel shall ask the Court Security Officers to notify Chambers that an urgent package has arrived and needs to be retrieved by Chambers staff immediately.

7. Other Communications Emails, telephone calls and hand deliveries to Chambers are not permitted except as provided above. Faxes to Chambers are not permitted except with the prior authorization of Chambers, which will be given only in exceptional circumstances. In such situations, each faxed submission shall clearly identify the person in Chambers who authorized the sending of a fax, and copies shall be faxed or delivered to all counsel simultaneously.
   C. Filing and Submission of Papers

8. Electronic Case Filing (“ECF”) All attorneys representing parties before Judge Schofield are required to register promptly as filing users on ECF. Instructions are available on the Court website at https://nysd.uscourts.gov/electronic-case-filing. Counsel are responsible for updating their contact information on ECF and for checking the docket sheet regularly, regardless of whether they receive an ECF notification of case activity. Parties shall consult ECF to confirm conference dates and times.

9. No Paper Submissions No papers, including courtesy hard copies of any filing or document, may be submitted to Chambers unless requested or required to be filed in hard copy by the Local Civil rules. All documents, including confidential and sealed materials, must be filed on ECF, except Highly Sensitive Documents, which must be filed in hard copy pursuant to Local Civil Rule 5.2. When an entire case is under seal, the parties shall follow the filing procedures at § 6.14 of the Southern District of New York’s Electronic Case Filing Rules & Instructions (the “SDNY ECF Rules & Instructions”), available here.

D. Redactions and Filing Under Seal

1. Presumptive Right of Access The public has a presumptive right of access to judicial documents. The parties shall not include any provision for filing under seal in any confidentiality order.
2. Sealing/Redactions Not Requiring Court Approval Federal Rule of Civil Procedure 5.2 describes sensitive information that must be redacted from public court filings without seeking prior permission from the Court.
3. Sealing/Redaction Requiring Court Approval Motions or Letter Motions for approval of sealed or redacted filings and the subject documents, including the proposed sealed document(s), must be filed electronically through the Court’s ECF system in conformity with the Southern District’s standing order, 21-mc-13, available here, and § 6 of the SDNY ECF Rules & Instructions, available here.

The motion shall be filed in public view, must explain the particular reasons for seeking to file that information under seal and shall not include confidential information sought to be filed under seal. The motion should include an appendix that identifies all parties and attorneys of record who should have access to the sealed documents. Supporting papers must be separately filed electronically and may be filed under seal or redacted only to the extent necessary to safeguard information sought to be filed under seal.

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

Where the motion seeks approval to redact information from a document that is to be publicly filed, the filing party shall: (a) publicly file the document with the proposed redactions, and (b) electronically file under seal a copy of the unredacted document with the proposed redactions highlighted. Both documents must be electronically filed through the ECF system and related to the motion. The party with an interest in confidential treatment bears the burden of persuasion. If this party is not the filing party, the party with an interest in confidential treatment shall promptly file a letter on ECF within two business days in support of the motion, explaining why it seeks to have certain documents filed in redacted form or under seal.

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.

The Court will review the proposed redactions and notify the parties of its decision via ECF. The party may then, to the extent permitted by the Court, file the redacted documents on ECF. On application of a party, and provided the unredacted papers are timely served on the party’s adversary, the Court will deem papers filed on the date the party delivers them to Chambers for review of proposed redactions.
4. Confidentiality Agreements If the parties believe that a protective order is needed, they may file a proposed order. For documents to be filed under seal, the proposed order must state in substance that: “Documents may be filed under seal only as provided in Judge Schofield’s Rule I.D.3” (above). The proposed order also must contain the following language, preferably in the last paragraph, “The parties acknowledge that the Court retains discretion as to whether, in Orders and Opinions, to afford confidential treatment to information that the parties have redacted, sealed or designated as confidential.”
5. Sealed Settlement Agreements The Court will not retain jurisdiction to enforce confidential settlement agreements. If the parties wish the Court to retain jurisdiction to enforce the agreement, the parties shall place the terms of the agreement on the public record. The parties may either provide a copy of the agreement for the Court to endorse or include the terms of their settlement agreement in their stipulation of settlement and dismissal.
6. Related Cases After an action has been accepted as related to a prior case, all future court papers and correspondence shall contain the docket number of both the new

case and the prior related case (e.g., 13-cv-1234 [rel. 12-cv-4321]), unless the parties are directed otherwise. E. Electronic Devices

1. Mobile Phones, Tablets and Personal Electronic Devices Attorneys’ use of mobile phones, tablets and other personal electronic devices in the Courthouse is governed by Standing Order M10-468, available here. Any attorney wishing to bring a telephone or other personal electronic device into the Courthouse shall be a member of this Court’s Bar, shall obtain the necessary service pass from the District Executive’s Office, and shall show the service pass upon entering the Courthouse.
2. Computers, Printers and 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. A form order is available at https://nysd.uscourts.gov/forms. Parties shall complete the fillable .PDF form and email it to Chambers at least 10 days prior to the requested date of authorization.
   II. DISCOVERY A. Electronic Discovery
3. Requests for Production of Documents Absent an order of the Court upon a showing of good cause or stipulation by the parties, a party from whom electronically-stored information (ESI) has been requested shall not be required to search for responsive ESI:

(a) From more than 10 key custodians;

(b) That was created more than five years before the filing of the lawsuit;

(c) From sources that are not reasonably accessible without undue burden or cost; or

(d) For more than 160 hours, inclusive of time spent identifying potentially responsive ESI, collecting ESI, searching that ESI (whether using properly validated keywords, Boolean searches, computer-assisted or other search methodologies) and reviewing that ESI for responsiveness, confidentiality and for privilege or work product protection. The producing party shall be able to demonstrate that the search was effectively designed and efficiently conducted. A party from whom ESI has been requested shall

maintain detailed time records to demonstrate what was done and the time spent doing it, for review by an adversary and the Court, if requested.
2. Non-Waiver Agreements As part of their duty to cooperate during discovery, the parties are expected to discuss whether the costs and burdens of discovery, especially discovery of ESI, may be reduced by entering into a non-waiver agreement pursuant to Federal Rule of Evidence 502(e).

In accordance with Federal Rule of Evidence 502(d), at the request of the parties and upon submission of a proposed order pursuant to Section I.D.4, the Court will enter an order providing that, except when a party intentionally waives attorney-client privilege or work product protection by disclosing such information to an adverse party as provided in Federal Rule of Evidence 502(a), the disclosure of attorney-client privileged or work product protected information pursuant to a non-waiver agreement entered into under Rule 502(e) does not constitute a waiver in this proceeding, or in any other federal or state proceeding. Further, the provisions of Federal Rule of Evidence 502(b)(2) are inapplicable to the production of ESI pursuant to an agreement entered into between the parties under Rule 502(e).

A party that produces attorney-client privileged or work product protected information to an adverse party under a Rule 502(e) agreement without intending to waive the privilege or protection shall promptly notify the adversary that it did not intend a waiver by its disclosure. Any dispute regarding whether the disclosing party has asserted properly the attorney- client privilege or work product protection shall be brought promptly to the Court if the parties are not themselves able to resolve it. 3. Use of Computer Assisted Technology Parties requesting ESI discovery and parties responding to such requests are expected to cooperate in the development of search methodology and criteria to achieve proportionality in ESI discovery, including appropriate use of computer-assisted search methodology.

The parties also shall discuss whether to use computer-assisted search methodology to facilitate pre-production review of ESI to identify information that is beyond the scope of discovery because of the attorney- client privilege or work product protection.

B. Discovery Disputes

1. Oral Applications During a Deposition Notwithstanding the provisions of Section III.C.3 below and provided the parties have made their best efforts to resolve their differences without intervention, the parties may telephone Chambers during a deposition for immediate resolution of a dispute.
2. Discovery Motions Parties shall follow Section III.C.3 below and Local Rule 37.2 before making any discovery motion.
   III. MOTION RULES AND PROCEDURES A. Pre-Motion Conference
3. Pre-Motion Conference Generally Required Before bringing any motion (except certain motions listed below), a party shall file a letter motion on ECF requesting a pre-motion conference. This letter shall be filed at least 10 business days before the proposed conference date and shall identify all of the issues in dispute and explain the legal and other grounds for the motion. No later than five business days after receipt of the letter, subject to any superseding deadline ordered by the Court, an adversary wishing to oppose the motion shall file on ECF a written response.
   Each party shall file a single letter not to exceed 1,200 words, not including any attached exhibits, for each pre-motion conference.
4. Subject of Pre-Motion Conference Motions will be resolved at the pre-motion conference to the extent possible.
   If briefing is found to be necessary, the issues to be considered will be defined and a briefing schedule and return date set.
5. Motions Not Requiring a Pre-Motion Conference A pre-motion conference is not required for the following motions:

– Motions to dismiss in lieu of an answer (see Section III.C.2) – Motions to transfer case – Habeas corpus petitions – All motions in Social Security cases – Motions to consolidate and/or appoint lead plaintiff in securities cases – Motions for admission pro hac vice (see Section III.C.1) – Applications for a temporary restraining order or preliminary injunction (see also below)

– Motions for reargument or reconsideration (parties shall not submit opposition to a motion for reconsideration unless directed to do so by the Court) – In forma pauperis motions – Applications for attorney’s fees – Motions to be relieved as counsel
– Motions for a new trial or amendment of judgments – Motions for emergency relief – Motions to object to a Magistrate Judge’s ruling

While a pre-motion conference also is not required for the following motions, the movant shall communicate with the opposing party by letter not exceeding 1,200 words, citing the controlling authorities that the movant contends would warrant granting the motion. The opposing party shall respond by similar letter within seven calendar days indicating the extent, if any, to which the opposing party concurs with movant’s objections and the amendments, if any, to be made to address them, or the reasons and controlling authority that support the pleadings as filed.

– Motions for a more definite statement – Motions to remand a removed case – Motions to confirm or compel arbitration B. Motion Submissions and Argument

1. Memoranda of Law All written motions and cross-motions shall be accompanied by a memorandum of law. Local Rule 7.1 specifies the requirements for motion papers, including typeface (12-point font or larger), margins (1 inch or more) and spacing (double spaced). Unless prior permission has been granted, memoranda of law in support of, and in opposition to, motions are limited to 8,750 words, and reply memoranda are limited to 3,500 words. Memoranda of 2,500 words or more shall include a table of contents and a table of authorities, neither of which shall count toward the word limit. These limits do not apply to memoranda in support of or in opposition to a motion for reargument or reconsideration, which are limited to 3,500 words, and reply memoranda, which are limited to 1,750 words; memoranda in support of or in opposition to in limine motions, which shall not exceed 1,500 words; or objections or responses to objections to a Magistrate Judge’s Report and Recommendation, which shall not exceed 2,500 words. These limits do not include the caption, any index, table of contents, table of authorities, signature blocks, or any required certifications, but do include material contained in footnotes or endnotes. If a memorandum of law is filed with a computer, the party shall also file a certificate of compliance as required by Local Civil Rule 7.1(c). These limits do not apply to Bankruptcy Appeals.

The briefing schedule, format and length specifications set forth in Federal Rule of Bankruptcy Procedure 8015 shall govern unless otherwise ordered by the Court. 2. Citations to Case Law For any case citation to support a proposition of law, the parties should endeavor to cite the most recent binding authority — usually, the most recent reported 2d Circuit decision (i.e. not those found in the F. App’x reporter).
District court decisions are not binding and should be cited only for their persuasive authority. Unpublished cases need not be provided if they are available on Westlaw.
3. Affidavits and Exhibits Each party is limited to a total of five affidavits/declarations (each not to exceed 2,500 words) in support of or in opposition to a motion. Each party is limited to a total of 15 exhibits (each not to exceed 15 pages), including exhibits attached to an affidavit/declaration. The exhibits shall be excerpted to include only relevant material. All exhibits shall be clearly labeled. For excerpts of any hearing or deposition transcript, or any expert report submitted, the parties shall provide the Court with an electronic, text- searchable courtesy copy of the entire document, if such copy is available, unless doing so would be unduly burdensome. The parties shall email Schofield_NYSDChambers@nysd.uscourts.gov requesting a link to upload these courtesy copies. If any exhibits are of a kind that is filed with the Clerk of Court but not filed on ECF, such as audio or video files, the parties shall use the email address above to request a link to transmit an electronic copy to the Court.

Although the Court does not ordinarily grant such requests, any application to exceed the limitations of exhibits and/or affidavits shall be by letter to the Court filed on ECF and shall contain: (i) a detailed request for relief specifying the additional documents or pages that the party seeks to file, and (ii) an explanation as to why the relief is necessary.
4. Briefing Schedule Unless the Court already has set a schedule, the parties shall propose a briefing schedule by filing on ECF a letter to the Court with a proposed scheduling order. The schedule should not exceed 60 days from the time of filing. The proposed order need not be sent first to Orders and Judgments.
The parties may change the briefing schedule without consulting or advising the Court, as long as the “fully submit” date previously established by the Court is unchanged. The Court shall be notified only if: (1) the parties cannot agree on dates to serve one another; or (2) the parties wish to change the final submission date set by the Court for the motion.

If the parties do not file a proposed briefing schedule and scheduling order, any opposition or reply memoranda of law shall be filed in accordance with Local Rule 6.1. 5. Paper Courtesy Copies Parties shall not send paper courtesy copies to Chambers unless requested by the Court.
6. Oral Argument The parties may request oral argument by filing on ECF a letter to Chambers no later than the date the last brief is filed in connection with the motion.
The Court will determine whether argument will be heard and, if so, will advise counsel of the argument date. The Court ordinarily does not hear oral argument. A request for oral argument is more likely to be granted if counsel identifies one or two lawyers out of law school for five years or less who will argue the entirety of the motion and references this rule in the request.
Counsel shall assume that the Court is familiar with the motion papers. C. Particular Matters and Motions

1. Pro Hac Vice Admission Counsel seeking a pro hac vice admission shall first seek consent from opposing counsel and state opposing counsel’s position in the motion papers.
   The proposed order of admission shall include the applicant’s email address, mailing address and phone number in accordance with the district’s procedures set forth at https://nysd.uscourts.gov/attorney/prohac. Parties are reminded that a $200 fee shall be paid to the Cashier’s Office with each pro hac vice admission.
2. Motions to Dismiss Although a pre-motion conference is not required for a motion to dismiss, the movant must file a pre-motion letter with the Court in the manner provided in Rule III.A.1. The letter shall include a proposed briefing schedule for the motion. Among other purposes, the pre-motion letter and response enable the Court to set an appropriate briefing schedule and explore whether the motion may be: (i) obviated by an amendment to the pleadings or consent to the relief; or (ii) deferred to a different juncture in the case. The party responding shall unambiguously state any intention to seek leave to amend.
   The pre-motion letter and response will be taken into account in deciding whether further leave to amend will be granted in the event the motion to dismiss is granted. The transmittal of a pre-motion letter for a proposed motion under Rule 12(b), Fed. R. Civ. P., stays the time to answer or move

until further order of the Court. Absent extraordinary circumstances, the Court does not stay discovery or any other case management deadlines during the pendency of a motion to dismiss. 3. Discovery Motions Parties shall follow Local Rule 37.2 with the following modifications: Any party wishing to raise a discovery dispute with the Court first shall confer in good faith with the opposing party, in-person or by telephone, in an effort to resolve the dispute. If this process does not resolve the dispute, the party shall file on ECF a letter motion for a pre-motion discovery conference with the Court, as provided in Section III.A.1 above. The Court will seek to resolve the discovery dispute quickly and likely will convene a telephone conference on short notice or an in-person conference when practical. 4. Applications for Temporary Restraining Order and Orders to Show Cause
A party shall confer with the party’s adversary before making an application for a temporary restraining order unless the requirements of Federal Rule of Civil Procedure 65(b) are met. As soon as a party decides to seek a temporary restraining order, the party shall email the Chambers inbox at Schofield_NYSDChambers@nysd.uscourts.gov. requesting the Court’s contact information. The party shall then call Chambers and state clearly whether: (1) the party has notified its adversary, and whether the adversary consents to temporary injunctive relief; or (2) the requirements of Rule 65(b) are satisfied and no notice is necessary. Parties intending to file an application for TRO 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 a both a PDF and Word version of the proposed TRO. If a party’s adversary has been notified but does not consent to temporary injunctive relief, the party seeking a restraining order shall provide the relevant parties’ availability for an in-person conference in the next few days in the email. As noted above, parties should not hand-deliver any documents. 5. Class Actions Any party moving for preliminary approval of a class action settlement must disclose the proposed plan of allocation and provide a spreadsheet or other document detailing the amount of (a) the total settlement fund, (b) the Claims Administrator’s fee, costs and expenses, (c) proposed attorneys’ fees, costs and expenses, (e) the named Plaintiffs’ proposed service fee, (f) any other deduction from the settlement fund before payment to class members and (g) the anticipated recovery in dollars and as a percentage of the plaintiff’s estimated damages for the class and any subclass in the aggregate and per

class member, including any assumptions used in calculating these amounts.
The party moving for preliminary approval shall also file a proposed schedule for settlement, including dates for proposed class notice, submission of objections and exclusion requests and a fairness hearing.

In accordance with Local Rule 23.1, a party seeking preliminary approval of a class action settlement must disclose any fee sharing agreement with any attorney or other person. The disclosure shall include the names and addresses of the applicants for such fees and the amounts requested, respectively. 6. Summary Judgment Motions Absent good cause, the Court ordinarily will not have summary judgment practice in a non-jury case. A movant for summary judgment shall file a statement of material undisputed facts and the opponent shall respond all as set forth in Local Rule 56.1. The statement shall identify key issues and include only those facts that the movant genuinely believes to be both material and undisputed. The Rule 56.1 statement shall not exceed 8,750 words, double-spaced unless leave of the Court to file a longer document has been obtained at least one week before the motion and statement are due to be filed. The movant shall provide all other parties with an electronic copy, in Microsoft Word format, of its Rule 56.1 statement. Opposing parties shall reproduce each entry in the moving party’s Rule 56.1 Statement, with a response directly beneath it. An opposing party shall not deny each statement as a matter of course, but only those statements that it genuinely believes to be in dispute. No exhibits may be annexed to a Rule 56.1 statement or response. 7. Default Judgment Procedures A party seeking a default judgment shall proceed as set forth in Local Civil Rules 55.1 (Certificate of Default) and 55.2 (Default Judgment).
D. Pretrial Conferences and Related Filings

1. Attendance by Principal Trial Counsel The attorney who will serve as principal trial counsel shall appear at all conferences with the Court.
2. Initial Case Management Conference and Plan The Court generally will schedule a Federal Rule of Civil Procedure 16(c) conference within two months of the filing of the complaint. The Notice of Initial Pretrial Conference will be docketed on ECF and will direct the parties, inter alia, to file a joint letter and a joint proposed Civil Case

Management Plan and Scheduling Order at least one week before the conference date. The parties shall use the form Proposed Case Management Plan and Scheduling Order available at the Court’s website (https://nysd.uscourts.gov/hon-lorna-g-schofield).

After the Initial Pretrial Conference, the Court will issue a scheduling order, adopting and/or modifying the dates the parties set forth in their Proposed Case Management Plan.

3. Status Letters Any status letter ordered by the Court shall include the following details:

(a) What discovery has taken place, specifically

(1) What discovery requests have been propounded, who propounded each request and on what date, (2) What responses were made, who made each response and on what date, (3) The volume of documents produced, who produced the documents and when;

(b) The procedural history of the case to date, specifically

(1) What pleadings have been filed, who filed each pleading and on what date, (2) What motions, if any, have been filed, who filed each motion and on what date each motion was filed, (3) What motions, if any, are currently pending and, for each pending motion, the date it was or is scheduled to be fully briefed; and

(c) The parties’ plans to ensure that they meet the Court ordered discovery deadlines. 4. Diversity Jurisdiction Cases In any action for which subject matter jurisdiction is founded on diversity of citizenship pursuant to 28 U.S.C. § 1332, the party asserting the existence of such jurisdiction shall state in the initial joint letter submitted to the Court before the Initial Pretrial Conference, or shall file on ECF within 60 days of invoking diversity jurisdiction, a letter to the Court explaining the factual and legal basis for such jurisdiction, including: (i) in the case of a corporation, the principal place of business and place of incorporation, (ii) in the case of a partnership, limited liability company or trust, the citizenship of each of the entity's members, shareholders, partners and/or trustees.

5. Interim Pretrial Conferences Pretrial status conferences may be suggested in writing by the parties or called by the Court at any time.
6. Final Pretrial Conference and Filings in Anticipation of Trial The Court usually will set the dates for trial and all pretrial submissions, as detailed below, after discovery is complete and dispositive motions have been decided.
   Please refer to the Court’s Individual Civil Trial Rules and Procedures for information about the filings that will be required after the case is trial ready and for the rules that will govern the conduct of trials.
7. Jury Cases that Settle After the Final Pre-Trial Conference For any case that settles after the pre-trial conference, costs will be assessed for obtaining a jury panel and seating a jury.

IV. DIVERSITY AND INCLUSION A. Requests for Reasonable Accommodation 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 Schofield may be emailed to Schofield_NYSDChambers@nysd.uscourts.gov.
B. Personal Pronouns Counsel and parties are invited to inform the Court of their personal pronouns.

View source on SDNY.uscourts.gov →

Revised October 25, 2017

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

Plaintiff(s),
-v-

Defendant(s).

X : : : : : : : : : X

__ Civ. ____ (LGS)

PATENT CASE MANAGEMENT PLAN AND SCHEDULING ORDER

LORNA G. SCHOFIELD, United States District Judge: The parties propose the following schedule for this matter:

1. Any party claiming infringement shall complete its disclosure of asserted claims, infringement contentions, and other items required by Local Patent Rules 3-1 and 3-2 of the Eastern District of Texas (“Texas Rules”) no later than _____________________. [45 days after the Initial Pretrial Conference]

2. Any party opposing a claim of patent infringement shall complete its invalidity contentions (per SDNY Rule 7) and shall comply with the provisions Texas Rules 3-3 and 3-4 by ______________. [45 days after No. 1]

3. The parties shall exchange proposed terms of claim elements for construction as required by Texas Rule 4-1 by ______________. [10 days after No. 2]

4. The parties shall exchange preliminary claim construction and extrinsic evidence as required by Texas Rule 4-2 by _______________. [20 days after No. 3]

5. The parties shall submit a joint claim construction and prehearing statement as required by Texas Rule 4-3 by _______________. [30 days after No. 4]

6. The parties shall complete all discovery related to claim construction, including any depositions with respect to claim construction of any witnesses, such as experts identified in the joint claim construction and prehearing statement, as required by Texas Rule 4-4 by ________________. [30 days after No. 5]

7. The parties shall appear for a case management conference on _____________ at ___ am/pm. [7 days after No. 6]

8. The party asserting infringement, or the party asserting invalidity if there is no infringement issue present in the case, shall file an opening claim construction brief and all supporting evidence and testimony by _______________. [30 days after No. 6] The opposing party shall file a response to the opening claim construction brief and all supporting evidence and testimony by _____________. [30 days from the filing of the opening brief] The opening party shall file a reply solely rebutting the opposing party’s response by ____________. [7 days from the filing of the response] These submissions shall be submitted in accordance with the page limitations provided in the Court’s Individual Rule III.B.1.

9. Motions for summary judgement, if any, shall be filed in accordance with the briefing schedule in No. 8.

10. The parties shall jointly file a claim construction chart as provided in Texas Rule 4-5(d) and its subparts by _______________. [4 days after the reply in No. 8]

11. The parties shall appear for a claim construction hearing on _____________ at _______ am/pm. [10 days after No. 10]

12. The party claiming infringement may file amended infringement contentions within 30 days of the Court’s claim construction ruling. The party opposing a claim of patent infringement may file amended invalidity contentions within 50 days of the Court’s claim construction ruling. Any amendments shall be filed in accordance with Texas Rule 3-6.

13. Pursuant to SDNY Rule 10, each party that will rely on an opinion of counsel as part of a defense to a claim of willful infringement or inducement of infringement, or that a case is exceptional, must produce or make available for inspection and copying the opinion(s) and any other documents relating to the opinion(s) as to which attorney-client or work product protection has been waived as a result of such production by ________________. [30 days after the Court’s claim construction ruling]

14. The producing party shall serve a privilege log identifying any other documents, except those authored by counsel acting solely as trial counsel, relating to the subject matter of the opinion(s) which the party is withholding on the grounds of attorney-client privilege or work- product protection.

This Order may not be modified or the dates herein extended, except by further Order of this Court for good cause shown. Any application to modify or extend the dates herein shall be made in a written application in accordance with the Court’s Individual Rules and shall be made no less than two business days prior to the expiration of the date sought to be extended.

SO ORDERED.

Dated: _________________
New York, New York

Counsel for the Parties:

View source on SDNY.uscourts.gov →