Judge Gary Stein — United States District Court, Southern District of New York

Consent to Proceed before a Magistrate Judge

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

Consent to Proceed with Magistrate Judge Over Specific Motion

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

Electronic Device Form and Procedure

ELECTRONIC DEVICE FORM AND PROCEDURE GARY STEIN, UNITED STATES MAGISTRATE JUDGE Chambers United States District Court Southern District of New York 500 Pearl Street New York, NY 10007 212-805-6120 GSteinNYSDChambers@nysd.uscourts.gov Court Procedure Regarding Electronics As per Local Civil Rule 1.8 the courthouse does not permit visitors to enter the courthouse with electronic devices without a signed order from Chambers (see attached). Please note that attorneys with a valid attorney card may enter the courthouse with one cell phone.
Wi-Fi Requests If Wi-Fi is required, the request must be made to chambers no less than 2 business days in advance of the conference. When filling out the attached form, enter an “X” or “YES” under the “WIFI GRANTED” box. The Wi-Fi log-in credentials will only be emailed to the provided email addresses and will only be valid the day of the conference. Note: If requesting Wi-Fi is being requested for trial purposes, the credentials will be valid for the duration of trial in its entirety.

UNITED STATES DISTRICT COURT   SOUTHERN DISTRICT OF NEW YORK           IN THE MATTER OF AN APPLICATION   TO BRING PERSONAL ELECTRONIC DEVICE(S) OR GENERAL PURPOSE COMPUTING DEVICE(S) INTO THE COURTHOUSES OF THE   SOUTHERN DISTRICT OF NEW YORK FOR   USE IN A PROCEEDING OR TRIAL         The following Order is subject to the definitions, obligations and restrictions imposed pursuant to   Standing Order M10-468, as Revised. Upon submission of written application to this Court, it is hereby   ORDERED that the following attorney(s) are authorized to bring the Personal Electronic Device(s) and/ or the General Purpose Computing Device(s) (collectively, "Devices") listed below into the Courthouse for use in a proceeding or trial in the action captioned:   ___________________________________________________________________.   ORDERED that for the device(s) checked below SDNY Courtroom WI-FI access shall be provided.   The date(s) for which such authorization is provided is (are).   Attorney   E-Mail Device(s)   Courtroom WIFI Granted                                       (Attach Extra Sheet If Needed)     The attorney(s) identified in this Order must present a copy of this Order when entering the Courthouse. Bringing any authorized Device(s) into the Courthouse or its Environs constitutes a certification by the attorney that he or she will comply in all respects with the restrictions and obligations set forth in Standing Order M10-468, as Revised.     SO ORDERED:       Dated:

United States Judge       Revised: July 1, 2019.

Individual Practices in Civil Cases

Individual Practices in Civil Cases.docx As of September 2023 INDIVIDUAL PRACTICES IN CIVIL CASES BEFORE MAGISTRATE JUDGE GARY STEIN

Chambers Courtroom 500 Pearl Street, Room 702 500 Pearl Street, Room 9A United States Courthouse United States Courthouse New York, NY 10007 Southern District of New York (212) 805-6120 New York, New York 10007 GSteinNYSDChambers@nysd.uscourts.gov Deputy Clerk: Mr. Tanuj Arora

Introduction Cases come before magistrate judges in one of two ways: for specific purposes pursuant to an order of reference by the assigned district judge, or for all purposes on consent of the parties. Consent to jurisdiction of the Magistrate Judge has a number of benefits, including ready access to the judge and a reliable trial date calendared well in advance.
The reason for this is that magistrate judge dockets have few criminal cases, which otherwise take precedence over civil proceedings and trials. If counsel jointly wish to consent to have Judge Stein hear their case for all purposes, the necessary form is at https://nysd.uscourts.gov/hon-gary-stein.
Unless otherwise ordered by Judge Stein, civil matters before him, whether for all purposes or by specific reference, shall comply with the practices.1 These practices do not modify or affect the practices of the District Judge before whom a case may also be pending.

1 Requests for reasonable accommodations on account of disability or religion with respect to the Court’s practices and rules or in connection with any proceeding before Judge Stein may be emailed to Chambers.

Individual Practices in Civil Cases.docx I. Communications with Chambers A. Letters. In general, communications with the Court should be by letter, via electronic case filing (“ECF”), without email or other copy to Chambers. Unless otherwise permitted by the Court, letters may not exceed 3 single- spaced pages (exclusive of exhibits) and must otherwise adhere to Local Civil Rule 11.1. All letters filed on ECF must be in searchable PDF form. Any letter containing sensitive or confidential information that a party does not wish to appear on the docket should follow the procedures outlined in Section III.H below. B. Pro Se Parties. By Standing Order, a pro se party must mail all communications with the Court to the Pro Se Intake Unit located at 500 Pearl Street, Room 200, New York, NY 10007. A pro se party may not call Chambers or send any document or filing directly to Chambers. Submissions requiring immediate attention should be hand-delivered to the Pro Se Intake Unit. Unless the Court orders otherwise, all communications with the Court will be docketed upon receipt on ECF; such docketing shall constitute service on any user of the ECF system. If any other party is not a user of the ECF system (e.g., if there is another pro se party in the case), a pro se party must send copies of any filing to that party and include proof of service affirming that he or she has done so. Copies of correspondence between a pro se party and opposing parties should not be sent to the Court. Any non-incarcerated pro se party who wishes to participate in ECF filing must file a Motion for Permission for Electronic Case Filing, available in the Pro Se Intake Unit or at https://nysd.uscourts.gov/prose. Any non- incarcerated pro se party who wishes to receive documents in their case by email instead of by regular mail may consent to electronic service by filing a Pro Se (Non-prisoner) Consent & Registration Form to Receive Documents Electronically, available in the Pro Se Intake Unit or at https://nysd.uscourts.gov/prose. C. Emails and Faxes. Emails to Chambers are permitted for urgent matters requiring immediate attention or where otherwise expressly permitted by the Court in advance. No faxed communications shall be permitted without prior permission from Chambers. D. Telephone Calls. For procedural or administrative matters that do not request a ruling from the Court, counsel may call Chambers.
E. Docketing, Scheduling and Calendar Matters. For docketing, scheduling and calendar matters, call Tanuj Arora, the Courtroom Deputy at (212) 805- 6120 between 9:00 a.m. and 4:00 p.m.

Individual Practices in Civil Cases.docx F. Hand Deliveries. Where permitted, hand-delivered mail from counsel should be left with the Court Security Officers at the Worth Street entrance of 500 Pearl Street and may not be brought directly to Chambers.
G. Requests for Adjournments or Extensions of Time. Requests for adjournments or extensions of time must be filed on ECF as letter motions. (If a request contains sensitive or confidential information, it may be submitted by PDF via e-mail in lieu of being filed electronically.) The letter motion must state: (i) the originally scheduled date(s); (ii) the number of previous requests for an adjournment or extension and whether those previous requests were granted or denied; (iii) the reason for the requested adjournment or extension; and (iv) whether all affected parties consent, and if not, the reasons given for refusing to consent. Absent good cause, any request for an adjournment of a court conference or other court proceeding (including a telephone conference) must be made at least 48 hours in advance of the proceeding and include at least two proposed dates, on which all counsel are available, for the adjourned proceeding. II. Case Management and Discovery A. Initial Case Management Conference. The parties must confer on a discovery plan before the Initial Case Management Conference. No later than one week before the Initial Case Management Conference, the parties must file on ECF a joint Proposed Case Management Plan and Scheduling Order. The parties should use the template form for the Proposed Case Management Plan and Scheduling Order available at https://nysd.uscourts.gov/hon-gary-stein.

Pro Se Cases. In cases involving pro se litigants, the parties may each submit their own Proposed Case Management Plan and Scheduling Order if conferring is not feasible.
2. Attendance. Lead counsel for the parties, as well as non- incarcerated pro se parties, must attend the Initial Case Management Conference. An incarcerated party who is unable to attend in person may be allowed to participate by telephone or video conference. The Initial Case Management Conference may be conducted either in person, via telephone, or via video conference, at the Court’s discretion.
B. Confidentiality Stipulations and Orders. In cases where confidential information will be exchanged, the parties may submit a proposed
confidentiality stipulation and order. If a party expects to have responsive discovery material they deem confidential, they must proceed promptly with

Individual Practices in Civil Cases.docx proposing the terms of a confidentiality stipulation and order, and all parties must negotiate the terms in good faith so that the absence of a confidentiality stipulation and order does not delay production of discovery material. The parties should use the Court’s model Stipulation and Protective Order available at https://nysd.uscourts.gov/hon-gary-stein, but may apply for a protective order that differs from the Court’s model by submitting a letter request via ECF and attaching the proposed order showing in a blackline comparison how the proposed order differs from the Court’s model. The letter should explain why the modifications are needed and note any disagreements between the parties regarding the modifications. C. Discovery Disputes. Parties shall follow Fed. R. Civ. P. 37(a) and Local Rule 37.2 with the following modifications.
1. Requirement to Meet and Confer. Any party wishing to raise a discovery dispute with the Court must first confer in good faith with the opposing party in an effort to resolve the dispute. An exchange of letters or emails alone does not satisfy this requirement. Counsel must respond promptly and in good faith to any request from another party to confer in accordance with this paragraph. 2. Letter Motion for Discovery Conference. If the meet-and-confer process does not resolve the dispute, the party may file an ECF letter motion to the Court or, if applicable, to the Pro Se Intake Clerk, no longer than 3 single-spaced pages, explaining the nature of the dispute and requesting a conference. Such letter must include a representation that the meet-and-confer process occurred, including when it occurred and whether it was in person or via telephone or video conference. Any responsive letter should be submitted within 3 business days following submission of the letter motion and shall also be limited to 3 single-spaced pages. No further letters may be submitted without permission of the Court. Parties shall keep in mind Rule 1 of the Federal Rules of Civil Procedure, which requires the Court and the parties to construe, administer, and employ the rules of procedure to secure the just, speedy, and inexpensive determination of every action. Parties also shall keep in mind Rule 26(b)(1) of the Federal Rules of Civil Procedure, which provides that “[p]arties may obtain discovery regarding any nonprivileged matter that is relevant to any party’s claim or defense and proportional to the needs of the case, considering the importance of the issues at stake in the action, the

Individual Practices in Civil Cases.docx amount in controversy, the parties’ relative access to relevant information, the parties’ resources, the importance of the discovery in resolving the issues, and whether the burden or expense of the proposed discovery outweighs its likely benefit.” Discovery motions should address these rules to the extent applicable. 3. Discovery Conference/Oral Argument. The Court retains discretion to rule on the dispute based on the parties’ letter submissions, without more formal briefing, and with or without a conference. The Court’s preference, however, is to hold a conference with the parties and attempt to resolve the dispute during the conference. If formal briefing is required, the Court will set a schedule for such briefing at the conference.
III. Motions A. Format. All motions and moving papers filed on ECF or emailed to chambers shall be in searchable PDF form. B. Letter Motions. Letter motions should be filed via ECF and comply with the S.D.N.Y. Local Rules and the S.D.N.Y. Electronic Case Filing Rules and Instructions. Letter motions are limited to 3 single-spaced pages (not including exhibits). Any responsive letter should be submitted within 3 business days following submission of the letter motion and also be limited to 3 single-spaced pages (not including exhibits). Parties must file as letter motions the following requests:
• Requests for adjournments or extensions of time; • Requests to resolve discovery disputes; • Requests for pre-motion conferences; and • Requests for settlement conferences.

C. Pre-Motion Conferences. A pre-motion conference is not required before a party may file a motion (other than a discovery motion with formal briefing). A party may, however, request a pre-motion conference by letter motion where counsel believes that an informal conference with the Court may obviate the need for the motion or narrow the issues in dispute.
D. Memoranda of Law. The typeface, margins and spacing of motion papers must conform to Local Civil Rule 11.1. Unless prior permission has been granted by the Court, memoranda of law in support of and in opposition to motions are limited to 25 pages and reply memoranda are limited to 10 pages. Memoranda of 10 pages or more shall contain a table of contents and a table of authorities, neither of which shall count against the page limit.

Individual Practices in Civil Cases.docx Sur-reply memoranda will not be accepted without prior permission of the Court. To the extent citing unreported cases, parties are requested to use Westlaw citations whenever possible. Page citations to ECF filings shall be to the page number appearing on the original document and not to the page number in the ECF header.
E. Courtesy Copies. Unless otherwise requested by the Court, courtesy copies are not required. If requested, courtesy copies should bear the ECF header generated at the time of electronic filing and include protruding tabs for any exhibits.
F. Oral Argument. Requests for oral argument of motions should be made by letter. Counsel should select the “Letter-Motion” option on ECF for filing such a request. Whether oral argument will be held remains in the Court’s discretion. In some instances, the Court may hold oral argument even if the parties have not requested it.
G. Motions in Pro Se Cases. As required by Local Civil Rule 7.2, counsel must provide a pro se litigant with printed copies of cases and other authorities cited in any submission that are unpublished or reported exclusively on computerized databases. Where a party seeks summary judgment against a pro se litigant, the party must also comply with the notice requirements for Local Civil Rule 56.2. Where a party moves to dismiss for judgment on the pleadings against a pro se litigant and refers to matters outside the pleadings, counsel must serve and file the notice set forth in Local Civil Rule 12.1. In such situations, counsel is strongly encouraged to move in the alternative for summary judgment so that the pro se litigant understands, based on the Local Civil Rule 56.1 submission, which facts are relevant to the motion.
H. Electronic Filing Under Seal. Unless otherwise ordered, any party wishing to file a document or portion thereof under seal or with redactions must comply with the following procedures on or before the date on which the relevant filing is due.
1. Sealing/Redactions Not Requiring Court Approval. Federal Rule of Civil Procedure 5.2 describes sensitive information that must be redacted from public court filings. No Court approval is required for these redactions. 2. Sealing/Redactions Requiring Court Approval. Motions or letter motions for approval of sealed or redacted filings in civil and miscellaneous cases and the subject documents must be filed electronically through the Court’s ECF system in conformity with the

Individual Practices in Civil Cases.docx Court’s Standing Order, 19-mc-583, and ECF Rules & Instructions, Section 6, available at https://nysd.uscourts.gov/rules/ecf-related- instructions. The proposed sealed or redacted document may be electronically filed on ECF using a restricted Viewing Level.
IV. Settlement Procedures See Settlement Conference Procedures for Magistrate Judge Gary Stein, available at https://nysd.uscourts.gov/hon-gary-stein.
V. Pretrial and Trial Procedures in Consent Cases The following procedures apply to those cases where the parties have consented pursuant to 28 U.S.C. § 636(c) to have all proceedings, including trial, before Judge Stein. Absent such consent, the parties should refer to the individual practices of the district judge. A. Joint Pretrial Orders in Civil Cases.
1. Unless otherwise ordered by the Court, within 30 days after the date for the completion of discovery in a civil case or, if a dispositive motion has been filed, within 30 days after a decision resolving the motion, the parties shall jointly prepare and submit to the court for its approval a Proposed Pretrial Order. 2. In appropriate cases, the Court may be willing to dispense with portions of the Pretrial Order, if both sides consent, in order to secure the just, speedy and inexpensive determination of every action. The parties should discuss such requests with each other and then with the Court sufficiently in advance so that the Proposed Pretrial Order will be filed within the time frames described above. 3. The Proposed Pretrial Order shall be filed by ECF. B. Contents of the Proposed Pretrial Order. 1. Caption: The full caption of the action.
2. Counsel: The name, address, telephone number and email of each principal member of the trial team, and identification of each party’s lead trial counsel. 3. Subject Matter Jurisdiction: A brief statement identifying the basis for subject matter jurisdiction, and, if that jurisdiction is disputed, the reasons therefor. Such statement shall include citations to all

Individual Practices in Civil Cases.docx statutes relied on and relevant facts as to citizenship and jurisdictional amount. 4. Claims and Defenses: A list of each claim and defense that will be tried and a list of any claims and defenses asserted in the pleadings that are not to be tried. Where applicable, the statements shall identify citations to relevant statutes relied on. 5. Law: Identification of the governing law for each claim and defense that will be tried and a brief description of any dispute regarding choice of law.
6. Damages: With respect to each claim remaining to be tried, a statement and calculation of the damages claimed, broken down by element or category (e.g., lost profits, back wages, medical costs, etc.), and a description of any other relief sought. 7. Length of Trial: The number of days estimated for trial. If the parties do not agree, each party shall give its estimate and the basis for that estimate. 8. Fact-Finder: Whether the case is to be tried with or without a jury. If a jury trial, state whether the parties agree to a non-unanimous verdict pursuant to Fed. R. Civ. P. 48. 9. Stipulations: Any agreed-upon stipulations or statements of fact or law. 10. Openings: Requested amount of time for openings. 11. Witness Lists: A list by each party of its trial witnesses that it, in good faith, expects to present on its case in chief, with a statement of the general subject areas of the witness’s testimony and an indication of whether the witnesses will testify in person or by deposition. The witness lists shall also include identification of rebuttal witnesses that the party may call if needed. Absent good cause, a party will not be allowed to present a witness not previously identified on their witness list. 12. Witness Order: A statement as to how and when the parties will give notice to each other of the order of their trial witnesses. 13. Depositions: Designation by each party of deposition testimony to be offered in its case, referencing page numbers, with any cross- designations and objections by any other party. If there is no

Individual Practices in Civil Cases.docx objection or cross-designation, the Court will deem the opposing party to have waived any such objection or cross-designation.
14. Exhibits: A list by each party of exhibits to be offered in its case. For any exhibit as to which there is an objection, the party objecting must briefly specify, next to the listing for that exhibit, the nature of the party’s objection (e.g., “authenticity,” “hearsay,” “Rule 403”). Any objection not listed shall be deemed waived. Exhibits not produced during discovery or otherwise provided to other parties prior to trial likely will not be allowed for any purpose.
15. Demonstratives: A proposed schedule by which the parties will exchange demonstratives that the parties intend to use at trial, notify each other of any objections thereto, consult with each other regarding those objections, and notify the Court of any remaining disputes. 16. Other Issues: All other matters that the Court may have ordered or that the parties believe are important to the efficient conduct of the trial, such as bifurcation or sequencing of issues to be tried.
C. Additional Pretrial Filings in Civil Cases. Unless otherwise ordered by the Court, the following shall be filed at the same time as the Proposed Pretrial Order: 1. Jury Cases.
a. Each party must file a Trial Memorandum of Law addressing each issue of law that the party expects to arise at or before trial. b. The parties must jointly prepare and submit jury materials consisting of: ● proposed voir dire questions to be asked of prospective jurors;

● proposed jury instructions (with each instruction separately numbered and beginning on a separate page); and

● a proposed verdict form.

c. To the extent a party objects to another party’s requested voir dire questions, jury instructions, or proposed verdict form, that

Individual Practices in Civil Cases.docx party must (i) set forth the grounds for the objection and (ii) if applicable, propose an alternative (all in the same document so that the Court can compare the parties’ respective proposals).
d. All jury instructions, objections, and alternative proposals must include citation to supporting authority.
e. In addition to ECF-filing of voir dire questions, jury instructions, and verdict sheets, electronic copies must also be submitted as Microsoft Word documents and sent by email to: GSteinNYSDChambers@nysd.uscourts.gov.

Non-Jury Cases.
a. Each party must file a Trial Memorandum of Law identifying the issues, summarizing facts and applicable law, and addressing any evidentiary issues.
b. The Court may also ask each party to file Proposed Findings of Fact and Conclusions of Law before or after trial. D. Motions in Limine. Each party shall file and serve any motions in limine at the same time as the proposed pretrial order. Within two weeks of filing the proposed pretrial order, each party shall file and serve its opposition to any motion in limine. There shall be no replies for motions in limine. E. Pro Se Cases. In pro se cases, the parties are not required to prepare joint pretrial filings (but may do so jointly if feasible). Instead, within 30 days from the date for the completion of discovery in a civil case or, if a dispositive motion has been filed, within 30 days of a decision resolving the motion, the represented party(ies) shall submit the pretrial materials set forth in Sections V.A, B, C and D above. The pro se party shall file its own Pretrial Statement. The pro se party’s Pretrial Statement need take no particular form, but must be concise and contain:
1. a statement of the facts the party hopes to prove at trial;
2. a list of all documents or other physical objects that the party plans to put into evidence at trial; and
3. a list of the names and addresses of all witnesses the party intends to have testify at trial and the general subject matter of each witness’s expected testimony.

Individual Practices in Civil Cases.docx The Pretrial Statement must be sworn or affirmed by the pro se party to be true and accurate based on the facts known by the party. The pro se party must file an original Pretrial Statement with the Pro Se Office and serve a copy on all other parties or their counsel if represented. The original Pretrial Statement must indicate the date a copy was mailed to the other party or that party’s attorney. F. Witnesses. 1. No later than the end of each trial day, counsel must notify each other and the Court of witnesses to be called the following trial day. The parties may agree to earlier notification. 2. When a party’s case commences, the party is expected to have witnesses available to fill the trial day, which will run from 9:30 am to 4:30 pm with two short breaks in the morning and afternoon and a one-hour lunch break. The parties are on notice that if a party does not have a witness available to testify, the Court may preclude testimony or deem that party to have rested. Any requests to schedule a witness out of order and/or for a particular day must be made as soon as counsel is aware of the limited availability of that witness. Absent good cause, untimely applications will be denied. G. Exhibits. Unless otherwise ordered by the Court, no later than two business days before trial begins, each party must provide each other party, and the Court, with a tabbed binder or binders containing courtesy copies of its trial exhibits and deposition designations.

Model Stipulation and Protective Order

As of September 2023

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

____________________, Plaintiff(s), -against- ____________________, Defendant(s).

-cv-          (      ) (GS) 

STIPULATION AND PROTECTIVE ORDER

WHEREAS, the parties to this action (collectively, the “Parties,” and individually, a “Party”) request that this Court issue a protective order pursuant to Federal Rule of Civil Procedure 26(c) to protect the confidentiality of certain nonpublic and confidential material that they may need to disclose in connection with discovery in this case; and

WHEREAS, the Parties, through counsel, agree to the following terms; and

WHEREAS, the Court finds that good cause exists for issuance of an appropriately tailored confidentiality order governing the pretrial phase of this action,

IT IS HEREBY ORDERED that any person subject to this Stipulation and Protective Order (“Protective Order”)—including without limitation the Parties to this action, their representatives, agents, experts and consultants, all third parties providing discovery in this action, and all other interested persons with actual or constructive notice of this Protective Order—shall adhere to the following terms: 1. Any person subject to this Protective Order who receives from any other person subject to this Protective Order any “Discovery Material” (i.e., information of any kind produced or disclosed pursuant to and in course of discovery in this action) that is designated as “Confidential” pursuant to the terms of this Protective Order (hereinafter “Confidential Discovery Material”) shall not disclose such Confidential Discovery Material to anyone else except as expressly permitted hereunder.

The person producing any given Discovery Material or that person’s counsel may designate such material as Confidential, in whole or in part, only if counsel determines reasonably and in good faith that such designation is necessary to protect the interests of the client in information that is proprietary, a trade secret, or otherwise sensitive and non-public financial or business information; that is of a personal or intimate nature regarding any individual; or that is subject to a contractual or other duty of confidentiality owed by the client to a third party.

With respect to the Confidential portion of any Discovery Material other than deposition transcripts and exhibits, the producing person or that person’s counsel may designate such

As of September 2023

portion as “Confidential” by stamping or otherwise clearly marking as “Confidential” the protected portion in a manner that will not interfere with legibility or audibility.

With respect to deposition transcripts and exhibits, a producing person or that person’s counsel may designate such portion as Confidential either by (a) indicating on the record during the deposition that a question calls for Confidential information, in which case the reporter will bind the transcript of the designated testimony (consisting of question and answer) in a separate volume and mark it as “Confidential Information Governed by Protective Order”; or (b) notifying the reporter and all counsel of record, in writing, within 30 days after a deposition has concluded, of the specific pages and lines of the transcript and/or the specific exhibits that are to be designated Confidential, in which case all counsel receiving the transcript will be responsible for marking the copies of the designated transcript or exhibit (as the case may be) in their possession or under their control as directed by the producing person or that person’s counsel by the reporter. During the 30-day period following the conclusion of a deposition, the entire deposition transcript will be treated as if it had been designated Confidential.

If at any time prior to the trial of this action, a producing person realizes that some portion(s) of Discovery Material that it previously had produced without limitation should be designated as Confidential, such producing person may so designate such material by so apprising all prior recipients in writing, and thereafter such designated portion(s) of the Discovery Material will be deemed to be and treated as Confidential under the terms of this Protective Order.

No person subject to this Protective Order other than the producing person shall disclose any of the Discovery Material designated by the producing person as Confidential to any other person whomsoever, except to:

(a) the Parties to this action, their insurers, and counsel to their insurers;

(b) counsel for the Parties, including in-house counsel, and any paralegal, clerical and other assistant employed by such counsel and assigned to this matter;

(c) outside vendors or service providers (such as copy-service providers and document-management consultants, graphic production services or other litigation support services) that counsel hire and assign to this matter, including computer service personnel performing duties in relation to a computerized litigation system;

(d) any mediator or arbitrator engaged by the Parties or appointed by the Court in this matter, provided such person has first executed a Non-Disclosure Agreement in the form annexed as an Exhibit hereto;

(e) as to any document, its author, its addressee and any other person indicated on the face of the document as having received a copy;

(f) any witness who counsel for a Party in good faith believes may be called to testify at trial or deposition in this action, provided such person has first executed a Non-Disclosure Agreement in the form annexed as an Exhibit hereto;

As of September 2023

(g) any person retained by a Party as a consultant or expert to assist in the prosecution or defense of this action, to the extent deemed necessary by counsel, provided such person has first executed a Non-Disclosure Agreement in the form annexed as an Exhibit hereto;

(h) stenographers engaged to transcribe depositions conducted in this action; and

(i) this Court, including any appellate court, and the court reporters and support personnel for the same.

Any Party who objects to any designation of confidentiality may at any time prior to the trial of this action serve upon counsel for the designating person a written notice stating with particularity the grounds of the objection. If the Parties cannot reach agreement promptly, counsel for the Parties will address their dispute to this Court in accordance with Section II of Magistrate Judge Stein’s Individual Practices in Civil Cases.

Any Party who requests additional limits on disclosure (such as “attorneys’ eyes only” in extraordinary circumstances) may at any time prior to the trial of this action serve upon counsel for the receiving Party a written notice stating with particularity the grounds for the request. If the Parties cannot reach agreement promptly, counsel for the Parties will address their dispute to this Court in accordance with Section II of Magistrate Judge Stein’s Individual Practices in Civil Cases.

Recipients of Confidential Discovery Material under this Protective Order may use such material solely for the prosecution and defense of this action, and specifically (and by way of example and not limitation) may not use Confidential Discovery Material for any business, commercial or competitive purpose. Nothing contained in this Protective Order, however, will affect or restrict the rights of any person with respect to its own documents or information produced in this action. Nor does anything contained in this Protective Order limit or restrict the rights of any person to use or disclose information or material obtained independently from and not through or pursuant to discovery in this action.

Nothing in this Protective Order will prevent any person subject to it from producing any Confidential Discovery Material in its possession in response to a lawful subpoena or other compulsory process, or if required to produce by law or by any government agency having jurisdiction; provided, however, that such person receiving such a request will (unless prohibited by law from doing so) provide written notice to the producing person before disclosure and as soon as reasonably possible, and, if permitted by the time allowed under the request, at least 10 days before any disclosure. This notice is intended to enable the producing person to seek to oppose compliance with the subpoena, other compulsory process, or other legal notice if the producing person deems it appropriate to do so.

All persons seeking to file redacted documents or documents under seal with the Court in connection with non-dispositive matters, or in cases where the Parties have consented to the jurisdiction of Magistrate Judge Stein for all purposes, shall follow Section I(H) of Magistrate Judge Stein’s Individual Practices in Civil Cases as well as the applicable provisions of the Federal Rules of Civil Procedure and rules and standing orders of the U.S. District Court for the Southern District of New York. With respect to dispositive matters, the Individual Rules of the presiding District Judge

As of September 2023

shall be followed instead of Magistrate Judge Stein’s Individual Practices. The Parties shall use their best efforts to minimize such sealing.

All persons are hereby placed on notice that the Court is unlikely to seal or otherwise afford confidential treatment to any Discovery Material introduced in evidence at trial or supporting or refuting any motion for summary judgment, even if such material has previously been sealed or designated as Confidential.

Any Party filing a motion or any other papers with the Court under seal shall also publicly file a redacted copy of the same, via the Court’s Electronic Case Filing (“ECF”) system, that redacts only the Confidential Discovery Material itself, and not text that in no material way reveals the Confidential Discovery Material.

Each person who has access to Discovery Material that has been designated as Confidential shall take all due precautions to prevent the unauthorized or inadvertent disclosure of such material.

Any Personally Identifying Information (“PII”) (e.g., social security numbers, financial account numbers, passwords, and information that may be used for identity theft) exchanged in discovery shall be maintained by the persons who receive such information and are bound by this Protective Order in a manner that is secure and confidential. In the event that the person receiving PII experiences a data breach, she, he or it immediately shall notify the producing person of the same and cooperate with the producing person to address and remedy the breach. Nothing herein shall preclude the producing person from asserting legal claims or constitute a waiver of legal rights or defenses in the event of litigation arising out of the receiving person’s failure to appropriately protect PII from unauthorized disclosure.

This Protective Order shall survive the termination of the litigation. Within 30 days of the final disposition of this action, all Discovery Material designated as “Confidential,” and all copies thereof, shall be promptly returned to the producing person, or, upon permission of the producing person, destroyed.

All persons subject to this Protective Order acknowledge that willful violation of this Protective Order could subject them to punishment for contempt of Court. This Court shall retain jurisdiction over all persons subject to this Protective Order to the extent necessary to enforce any obligations arising hereunder or to impose sanctions for any contempt thereof.

SO STIPULATED AND AGREED:

Dated: Dated:

As of September 2023

SO ORDERED:

GARY STEIN United States Magistrate Judge

Dated:

As of September 2023

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

XXXXXXXXXX, Plaintiff(s), -against- XXXXXXXXXX, Defendant(s).

-cv- ( ) (GS) NON-DISCLOSURE AGREEMENT

I,
, acknowledge that I have read and understand the Stipulation and Protective Order (the “Protective Order”) in this action governing the non- disclosure of those portions of Discovery Material that have been designated as Confidential. I agree that I will not disclose such Confidential Discovery Material to any other person; that I will not use such Confidential Discovery Material other than for purposes of this litigation; and that at the conclusion of the litigation I will either return all discovery information to the party or attorney from whom I received it, or, upon permission of the producing party, destroy such discovery information. By acknowledging these obligations under the Protective Order, I understand that I am submitting myself to the jurisdiction of the United States District Court for the Southern District of New York for the purpose of any issue or dispute arising hereunder and that my willful violation of any term of the Protective Order could subject me to punishment for contempt of Court.

Dated:

Proposed Case Management Plan and Scheduling Order

Form As of September __, 2023

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK

Plaintiff(s),  

-against-

Defendant(s). : : : : : : : : : : : :

__ CIV. NO. ________ [Proposed] Case Management Plan and Scheduling Order

The parties submit this [Proposed] Case Management Plan and Scheduling Order pursuant to Federal Rule of Civil Procedure 26(f):

Meet and Confer: The parties met and conferred pursuant to Fed. R. Civ. P. 16(c) and 26(f) on ____________________ via ____________________.

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

Defendant(s):

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

Subjects on Which Discovery May Be Needed: Plaintiff(s):

Defendant(s):

Initial Disclosures pursuant to Fed. R. Civ. P. 26(a)(1) will be exchanged no later than _______________.
a. Plaintiff(s) __ has/have disclosed __ will disclose by __________ the information required by Fed. R. Civ. P. 26(a)(1).

b. Defendant(s) __ has/have disclosed __ will disclose by __________ the information required by Fed. R. Civ. P. 26(a)(1).

Amended Pleadings:
a. No additional parties may be joined after _______________. Any motion to join after this date will need to meet the good cause requirements of Fed. R. Civ. P. 16.

b. No amended pleadings may be filed after _______________. Any motion to amend after this date will need to meet the good cause requirements of Fed. R. Civ. P. 16.

Discovery Plan: a. All fact discovery shall be completed by _____________________.

b. Initial requests for production were/shall be served by _______________.
Any subsequent requests for production must be served no later than 45 days prior to the discovery completion deadline.

c. Initial interrogatories were/shall be served by ______________. Any subsequent interrogatories must be served no later than 45 days prior to the discovery completion deadline.

d. Requests to admit shall be served by_____________________________.

e. Depositions shall be completed by _______________________________.

f. The parties propose the following limits on discovery:

g. Except as otherwise modified in 7(f) above, the parties are to conduct discovery in accordance with the Federal Rules of Civil Procedure and the Local Rules of the Southern District of New York. The interim fact discovery deadlines may be altered by the parties on consent without application to the Court, provided that the parties meet the deadline for completing fact discovery.

h. The parties would like to address at the conference with the Court the following disputes, if any, concerning fact discovery:

Expert Discovery (if applicable): a. The parties do ___ / do not ___ anticipate using testifying experts.

b. Anticipated areas of expertise:

c. Expert discovery shall be completed by ___________________________.

d. By _____________, 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 above.

e. The parties would like to address at the conference with the Court the following disputes, if any, concerning expert discovery:

Electronic Discovery and Preservation of Documents and Information: a. The parties have ___ / have not ___ discussed electronic discovery.

b. If applicable, the parties shall have a protocol for electronic discovery in place by ___________________.

c. The parties would like to address at the conference with the Court the following disputes, if any, concerning electronic discovery:

Anticipated Motions (other than summary judgment, if any):

Summary Judgment Motions: No less than 30 days before a party intends to file a summary judgment motion, and in no event later than the close of discovery, the party shall notify this Court, and the District Judge, that it intends to move for summary judgment and, if required by the District Judge’s Individual Practices, request a pre-motion conference.
If pre-motion clearance has been obtained from the District Judge where required, summary judgment motions must be filed no later than 30 days following the close of all discovery if no date was set by the District Judge or, if a date was set by the District Judge, in accordance with the schedule set by the District Judge. If no pre- motion conference is required, summary judgment motions must be filed no later than 30 days following the close of discovery. Any summary judgment motion must comply with the Federal Rules of Civil Procedure, the Local Rules of this District, and the Individual Practices of the District Judge to whom the case is assigned. 12. Pretrial Submissions: The parties shall submit a joint proposed pretrial order and any required accompanying submissions 30 days after decision on the summary judgment motion(s), or, if no summary judgment motion is made, 30 days after the close of all discovery. 13. Trial: a. All parties do ___ / do not ___ consent to a trial before a Magistrate Judge at this time.

b. The case is ___ / is not ___ to be tried to a jury.

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

Early Settlement or Resolution:
a. Settlement discussions have ___ / have not ___ taken place.

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

c. The parties have discussed use of alternative dispute resolution mechanisms for use in this case, such as (i) a settlement conference before the Magistrate Judge, (ii) participation in the District’s Mediation Program, and (ii) retention of a private mediator. The parties propose the following alternative dispute mechanism for this case:

d. The parties recommend that the alternative dispute resolution mechanism designated above be employed at the following point in the case (e.g., within the next 30 days; after exchange of specific information; after deposition of plaintiff; etc.):

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

Other Matters the Parties Wish to Address (if any):

The Court will fill in the following: □ A status conference will be held before the undersigned on
_________________ at ______.m. in Courtroom 9A, 500 Pearl Street. □ The parties shall submit a joint status letter by ___________________ no longer than __ pages.

Respectfully submitted this ______ day of ___________________, ______

PLAINTIFF(S):

DEFENDANT(S):

ATTORNEY NAME(s):

ATTORNEY NAME(s):

ADDRESS

ADDRESS

TEL: ____________________________
TEL:___________________________

EMAIL: __________________________
EMAIL:_________________________

Dated: New York, New York

SO ORDERED.

      ________________________________ 

GARY STEIN

United States Magistrate Judge

Settlement Conference Procedures

As of September 2023 SETTLEMENT CONFERENCE PROCEDURES FOR MAGISTRATE JUDGE GARY STEIN

Chambers Courtroom 500 Pearl Street, Room 702 500 Pearl Street, Room 9A United States Courthouse United States Courthouse New York, NY 10007 Southern District of New York (212) 805-6120 New York, New York 10007 GSteinNYSDChambers@nysd.uscourts.gov Deputy Clerk: Mr. Tanuj Arora

The Court believes the parties should fully explore settlement at the earliest practical opportunity. Early settlement allows the parties to avoid the substantial cost, expenditure of time, and uncertainty that typically are part of the litigation process. Even for those cases that cannot be resolved, early consideration of settlement can provide the parties with a better understanding of the factual and legal nature of their dispute and streamline the issues to be litigated. Consideration of settlement is a serious matter that requires thorough preparation prior to a settlement conference. It also requires thoughtful consideration of the other side’s point of view. Set forth below are the procedures the Court requires the parties and counsel to follow, and the manner in which the Court will typically conduct the conference. 1. Confidentiality. All settlement conferences are “off the record.” All communications relating to settlement are strictly confidential and may not be used for any purpose other than settlement. They are not to be used in discovery and will not be admissible at trial. 2. Magistrate Judge’s Role. The magistrate judge functions as a mediator, attempting to help the parties reach a settlement. Efficient use of this process requires that counsel and their clients be prepared for the conference, candid with the mediator, and genuinely committed to finding a resolution. 3. Pre-Conference Phone Call. The Court will typically schedule a telephone call with the parties prior to the settlement conference to discuss issues pertinent to settlement, during which the conference will be scheduled.
4. Exchange of Information. Each party should consider what key information they believe they need from any other party in order to effectively assess a potential settlement. The parties should then cooperate in good faith to discuss the material to be exchanged and then effect the exchange sufficiently in advance of the settlement conference. This does not require a party to furnish any information they

choose not to provide and are not otherwise obligated to produce, but providing such information is encouraged. 5. Ex Parte Settlement Letter. No later than 5 business days before the conference, counsel for each party must send the Court by e-mail a letter, marked “Confidential Material for Use Only at Settlement Conference,” which should not be provided to opposing parties. The reason the letter is not to be shared with other parties is to ensure that counsel is candid with the Court as to the strengths and weaknesses of their client’s case and the nature and range of an acceptable settlement. The letter should be emailed to GSteinNYSDChambers@nysd.uscourts.gov.1 The letter must not exceed 5 pages (single spaced), unless permission has been granted by the Court, and must otherwise adhere to Local Civil Rule 11.1. The letter should include, at a minimum, the following: (a) a concise statement of the issue(s) in dispute; (b) the history of settlement negotiations, including any prior offers or demands; (c) evaluation of the settlement value of the case and the rationale for it; (d) identification of the strengths and weaknesses of the case to the extent not already included; and (e) any other information that would be helpful to the Court in preparing for the conference. Parties may attach exhibits to their letters to the extent they believe the exhibits would aid settlement discussions; however, if the exhibits exceed 10 pages, a courtesy copy of the letter and exhibits must be hand-delivered or sent by overnight courier to the Court. 6. Attendance Acknowledgment Form. Counsel shall complete the Attendance Acknowledgment Form that appears at the end of these Procedures. This Form must be submitted at the same time as the Ex Parte Settlement Letter by e-mail to GSteinNYSDChambers@nysd.uscourts.gov with a copy simultaneously e-mailed to all counsel of record who will be participating in the settlement conference. Parties proceeding pro se need not submit the Attendance Acknowledgment Form.
7. Exchange of Demand/Offer. If the plaintiff has not already made a settlement demand, such a demand shall be communicated to the opposing party no later than 14 days prior to the conference. If it has not already done so, the opposing party shall respond to any demand no later than 7 days prior to the conference. 8. Attendance Requirements. The parties—not just their attorneys—must attend the settlement conference in person. Corporate parties or labor unions must send to the conference the person with decision-making authority to settle the matter. Where liability insurance is involved, a decision-making representative of each carrier must attend unless specifically excused by the Court. Where any

1 If a party (e.g., a pro se litigant) is unable to send the letter by e-mail, the party may fax or hand-deliver the letter to the Court, or send it by mail or overnight delivery, so long as it arrives no later than five business days before the conference.

government agency is a party, counsel of record must be accompanied by a knowledgeable representative from the agency. In addition, in cases where the Comptroller of the City of New York has authority over settlement, the Assistant Corporation Counsel must make arrangements in advance of the conference for a representative of the Comptroller either to attend the conference or to be available by telephone to approve any proposed settlement. In the event personal attendance is a great hardship, counsel may write to the Court seeking permission for that individual to participate by telephone or video conference (although permission will be the exception, not the rule). This issue should be raised with the Court as soon as possible and preferably during the pre- conference phone call. Incarcerated parties may participate in the conference by telephone. Any party requiring an interpreter must supply its own interpreter (who need not have any special certification). The Court does not provide interpreters for settlement conferences. 9. Consequences of Non-Compliance with Attendance Requirements. If a party fails to comply with the Attendance Requirements set out above, that party may be required to reimburse all the other parties for their time and travel expenses, and may face other sanctions. 10. Conference Location. Unless advised otherwise by the Court, the settlement conference will take place in Courtroom 9A at 500 Pearl Street.
11. Adjournments of Settlement Conferences. Requests for adjournment shall conform to the Individual Practices in Civil Cases of Magistrate Judge Stein, with the following modification: requests submitted more than 14 days before the scheduled conference date ordinarily will be granted without a showing of good cause; requests submitted within 14 days of the date of the scheduled conference must demonstrate good cause. Ordinarily, good cause will be found where (a) an adjournment would permit necessary discovery or exchange of information that would make the conference more fruitful, or (b) a client who would otherwise be permitted to participate by telephone would be available to attend the conference
in person were it held on another date. All requests should provide alternative dates when all the parties are available. The conference date is not changed unless and until ordered by the Court. 12. No Effect on Other Deadlines. The scheduling of a settlement conference has no effect on any deadlines or other pending obligations in the case, unless otherwise ordered by the Court.

ATTENDANCE ACKNOWLEDGMENT FORM FOR APPEARANCE AT SETTLEMENT CONFERENCE BEFORE MAGISTRATE JUDGE GARY STEIN CASE NAME: ________________________________________________________________ DOCKET #: __________________________________________________________________ I represent the: □ Plaintiff □ Defendant □ Other
Name of client(s): ______________________________ □ I acknowledge that I and my client must attend a settlement conference at : __.m. on ____________, 20, in Courtroom 9A, United States Courthouse, 500 Pearl Street, New York, New York.

My name and the name of any co-counsel who will attend the conference with me are:

□ I acknowledge that my client is, or will be accompanied (in person, or by telephone if applicable) by, an individual who has decision-making authority for approving any settlement; that is, a person with authority to settle without having to obtain the approval of any other person.

The name and title, if applicable, of the individual(s) from my client are:

□ I certify that I have obtained the Court’s permission for the following individual(s) to participate in the conference by telephone or videoconference:

□ I certify that I have read the Settlement Conference Procedures for Magistrate Judge Gary Stein.

Dated:__________

   Attorney Signature    

Print Attorney’s Name

View source on SDNY.uscourts.gov →