Case Report and Proposed Case Management Plan for Pro Se Cases; Individual Practices in Criminal Cases; Individual Rules and Practices in Civil Cases; Report of Rule 26(f) Conference and Proposed Case Management Plan; Standing Order Applicable to Settlement Conferences Before Magistrate Judge Cave

=== Case Report and Proposed Case Management Plan for Pro Se Cases ===

Revised February 24, 2020 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK [PLAINTIFF], against [DEFENDANT], Plaintiff(s), CIVIL ACTION NO.: ___ Civ. ___ ( )(SLC) CASE REPORT AND PROPOSED CASE MANAGEMENT PLAN FOR PRO SE CASE Defendant(s). 1. Summary of Claims, Defenses, and Relevant Issues: Plaintiff/Defendant (circle one) ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ 2. I understand my obligation to preserve information relevant to this action and I am preserving that information now. Plaintiff/Defendant (circle one) 3. Proposed Schedule: All discovery must be completed by ___________. a. b. Initial Requests for Documents must be made by ___________________. Depositions shall be completed by ____________________________. i. Neither party may take more than ___ depositions. Absent an agreement between the parties or an order from the Court, non- party depositions shall follow initial party depositions. c. Documents from Third Parties (such as doctors) will/will not (circle one) be required. If required, the following are the Third Parties from whom the parties will request documents: _________________________________ ____________________________________________________________ ___________________________________________________________. i. Subpoenas requesting documents from Third Parties must be served by ________. Any party that receives a production from a Third Party must provide a copy of that production to all other parties in this action. d. There will/will not (circle one) be expert testimony in this case. If expert testimony will be needed, please describe the topic on which each expert is expected to testify. ____________________________________________________________ ____________________________________________________________ ____________________________________________________________ 2 i. Written reports by any expert(s) must be served on the other parties in this action by ______________________. Depositions of experts must be completed by ________________. 4. Early Settlement or Resolution: The parties have/have not (circle one) discussed the possibility of settlement. The parties request a settlement conference by no later than _______________________. The following information is needed before settlement can be discussed: ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ 5. Other Matters: Plaintiff/Defendant (circle one) wishes to discuss the following additional topics at the Initial Case Management Conference. ______________________________________________________________________________ ______________________________________________________________________________ ______________________________________________________________________________ Respectfully submitted this ____ day of ___________. ______________________________ Name Counsel for ___________ (if applicable) ______________________________ ______________________________ Address ______________________________ Email Address ______________________________ Phone Number 3

=== Individual Practices in Criminal Cases ===

Revised March 17, 2025 INDIVIDUAL PRACTICES IN CRIMINAL CASES MAGISTRATE JUDGE SARAH L. CAVE Chambers Courtroom Daniel Patrick Moynihan Courthouse 500 Pearl Street, Room 1670 New York, NY 10007 Email: [email protected] Daniel Patrick Moynihan Courthouse 500 Pearl Street, Courtroom 18A New York, NY 10007 I. Criminal Applications A. B. II. Pleas A. Warrants. Arrest and search warrants, including applications for cell site information, to [email protected] specifying the time that the agent and U.S. Attorney are available to swear out the complaint. triggerfish, and GPS should be emailed tracking, Late-night or weekend warrants. If you anticipate the need for a late-night or weekend warrant, at [email protected]. please Judge email Cave send an At least 24 hours in advance of a plea, the indictment/information, plea agreement, a summary of the elements of the offense(s), and the maximum and mandatory penalties to [email protected]. for each crime/count should be emailed III. Misdemeanor Sentencing A. Pre-sentence submissions for misdemeanors should be submitted no later than 2 weeks before the scheduled meeting.

=== Individual Rules and Practices in Civil Cases ===

INDIVIDUAL PRACTICES IN CIVIL CASES MAGISTRATE JUDGE SARAH L. CAVE Chambers Courtroom Daniel Patrick Moynihan Courthouse 500 Pearl Street, Room 1670 New York, NY 10007 Email for Civil Matters: [email protected] Email for Criminal Matters: [email protected] Daniel Patrick Moynihan Courthouse 500 Pearl Street, Courtroom 18A New York, NY 10007 Cases come before Magistrate Judges in one of two ways: for one or more specific purposes pursuant to an order of reference by the assigned District Judge, or, on consent of the parties, for all purposes pursuant to 28 U.S.C. § 636(c). When a District Judge approves an all-purposes consent form signed by counsel, the Magistrate Judge assumes the role of the District Judge. Any appeal is directly to the Court of Appeals and the right to a jury trial is preserved. It is the uniform practice of the Magistrate Judges in this District to schedule trials in civil consent cases for firm dates, which are unlikely to be changed absent unusual circumstances. Should counsel wish to consent to have Judge Cave hear their case for all purposes, they should complete and the Court’s website at is available on https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf. the necessary form, which file Unless otherwise ordered by Judge Cave, matters before her shall be conducted in accordance with the following practices.1 These practices are applicable to cases before Judge Cave if the matter is within the scope of the District Judge’s order of reference or if the case is before Judge Cave for all purposes pursuant to 28 U.S.C. § 636(c). Otherwise, the practices of the District Judge to whom the case is assigned apply. I. Communications with Chambers A. Letters. Communications with the Court must be by letter, filed on the docket via electronic case filing (“ECF”). Courtesy copies are unnecessary. Letters may not exceed 1,050 words in length, exclusive of attachments, which should be kept to a minimum. 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 I.F. below. 1 Requests for reasonable accommodations on account of disability or religion with respect to these rules or in connection with any proceeding before Judge Cave may be included in a party’s first filing to the Court or made by separate letter. B. C. D. E. F. Revised March 17, 2025 Urgent Telephonic or Email Communications. If a matter requires urgent attention, the parties must first file a request for relief on the docket before alerting Chambers by telephone call or email. If you are encountering difficulties using ECF, call the ECF Help Desk at 212-805-0800. 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 40 Centre Street, Room 105, New York, NY 10007. A pro se party may not call or email Chambers or send any document or filing directly to Chambers. Submissions requiring immediate attention should be hand-delivered to the Pro Se Intake Unit. Any non- incarcerated pro se party who wishes to participate in ECF must file a Motion for Permission for Electronic Case Filing, available in the Pro Se Intake Unit or at: https://nysd.uscourts.gov/node/844. Any non-incarcerated pro se party who wishes to receive documents 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://www.nysd.uscourts.gov/node/845. Requests for Adjournments or Extensions of Time. Requests to adjourn any court conference or proceeding or to extend a deadline must be made by Letter- Motion filed on ECF, after consultation with all parties, and must state: (1) the original date of the conference, proceeding or deadline; (2) the number of previous requests for adjournment or extension; (3) whether these previous requests were granted or denied; (4) the reason for the present request; (5) whether all affected parties consent; and (6) if not, the reasons given for refusing. If the requested adjournment or extension affects any other scheduled dates, a proposed Revised Case Management Plan must be attached. Absent unforeseeable emergencies, all requests for adjournment of a court conference or other court proceeding (including a telephonic court conference) must be made at least 48 hours in advance of the proceeding to be adjourned, and must include at least two (2) proposed dates, on which all counsel are available, for the adjourned proceeding. Hand Deliveries. Where permitted by these Rules, hand deliveries 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. If the hand delivery is urgent and requires the Court’s immediate attention, ask the Court Security Officers to notify Chambers that an urgent package has arrived that needs to be retrieved immediately by Chambers staff. Electronic Filing Under Seal. These procedures only apply to motions and applications before Judge Cave. Filing under seal requires permission of the Court. Unless otherwise ordered, any party wishing to file a document or 2 portion thereof under seal must comply with the following procedures on or before the date on which the relevant filing is due. Revised March 17, 2025 1. 2. Sealing/Redactions Not Requiring Court Approval. Fed. R. Civ. P. 5.2 describes sensitive information that must be redacted from public court filings without seeking prior Court permission. Parties should also consult the S.D.N.Y. ECF Rules & Instructions, Section 21, Rules 21.3 and 21.4, available at https://nysd.uscourts.gov/rules/ecf-related- instructions. 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, including the proposed sealed document(s) must be filed electronically through the Court’s ECF system in conformity with the Court’s Standing Order, 19-mc-583, and ECF at Instructions, https://nysd.uscourts.gov/rules/ecf-related-instructions. available Section Rules 6, & G. H. Citations. All moving papers, letter-motions, and letters filed on ECF or emailed to Chambers when permitted must be in searchable PDF form. When citing unreported cases, parties shall use Westlaw citations whenever possible. Citations to all documents filed on ECF must include the ECF document number and ECF page number. For example, citation to an exhibit accompanying a declaration would appear as “ECF No. 123-4 at 10,” rather than “Smith Decl. Ex. 4 at 10.” Electronic Device Order Requests. Attorneys’ use of electronic devices (including mobile telephones, personal electronic devices, computers, and printers) within the Courthouse and its environs is governed by the Court’s Standing Order M10-468.4. Attorneys seeking to bring a device into the Courthouse shall submit a completed copy of the Electronic Devices General Purpose Form, available on the Court's website, to the Court by email at least 24 hours prior to the court proceeding. Requests for a so-ordered electronic device order are not filed on ECF. II. Pretrial Procedures A. Initial Case Management Conference. Except for Pro Se Cases, parties must confer and file a Report of Rule 26(f) Conference and Proposed Case Management Plan one (1) week before the Initial Case Management Conference. A template form for the Report of Rule 26(f) Conference and Proposed Case Management Plan is available at www.nysd.uscourts.gov/hon-sarah-l-cave. 3 Revised March 17, 2025 1. 2. Pro Se Cases. Each party must submit a Case Report and Proposed Case Management Plan for Pro Se Cases one (1) week before the scheduled conference in conformance with the procedures in Section I above. The parties shall use the form Proposed Case Management Plan template for Pro Se Cases found at www.nysd.uscourts.gov/hon-sarah-l-cave. Attendance. Lead counsel for the parties are expected to attend the Initial Case Management Conference. Reasonable accommodations will be made for parties or their counsel who cannot attend in person on account of disability. An incarcerated party who is unable to attend this or other conferences may be able to participate by telephone. If appropriate, the Court’s scheduling order will outline the procedures for participation by telephone. B. Confidentiality Stipulations and Protective Orders. In cases where confidential information will be exchanged, the parties must utilize the Court’s Model Confidentiality Stipulation and Proposed Protective Order found at www.nysd.uscourts.gov/hon-sarah-l-cave. The parties may apply for a protective order that differs from the Court’s model by submitting a letter request via ECF and attaching the proposed order showing in a blackline comparison how the proposed order differs from the Court’s model. The letter should explain why the modifications are needed and note any disagreements between the parties regarding the modifications from the Court’s model. C. Discovery Disputes. 1. 2. Requirement to Meet and Confer. The Court will not hear any discovery dispute unless the moving party (including a non-party seeking relief) has first conferred in good faith with any adverse party 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. Letter‐Motion for Discovery Conference. If the parties have met and conferred but were unable to resolve their dispute, the moving party must request a discovery conference with the Court, by Letter-Motion, as required by Local Civil Rule 37.2. Counsel should select the “Letter- Motion” option—not “Motion to Compel”—when filing on ECF. Letter- Motions may not exceed 1,050 words in length, exclusive of attachments, which should be kept to a minimum, and must clearly set forth the issues in dispute and the relief sought. As part of the Letter-Motion, the moving party must certify that the required in-person or telephonic conference took place between counsel for the relevant parties and, in 4 Revised March 17, 2025 particular, must state: (1) the date and time of such conference; (2) the approximate duration of the conference; (3) the names of the attorneys who participated in the conference; (4) the adversary’s position as to each issue being raised (as stated by the adversary during the in-person or telephone conference); and (5) that the moving party informed the adversary during the conference that the moving party believed the parties to be at an impasse and that the moving party would be requesting a conference with the Court. Simply attaching copies of correspondence between attorneys does not these requirements. satisfy Briefing Schedule. Unless the Court has ordered or approved otherwise, any opposition to a Letter-Motion must be filed within three (3) business days of the moving letter, and any reply shall be filed within one (1) business day of the opposition. Letters in opposition and replies may not exceed 1,050 words in length exclusive of attachments, which should be kept to a minimum. The parties may agree to a different briefing schedule, but they must request the Court’s approval of their alternate schedule, either in the moving letter or as soon as agreement is reached. The Court must approve the alternate schedule, otherwise, the parties must adhere to the schedule as enumerated in these Individual Practices. If the Letter-Motion requests emergent or expedited relief, the opposing attorney is advised to file any opposition as promptly as possible. Courtesy Copies. Courtesy copies of Letter-Motions are not required unless the attached exhibits exceed 50 pages, in which case one (1) courtesy copy, marked as such on a cover page, should be submitted to Chambers promptly after filing. Courtesy copies should bear the ECF header generated at the time of electronic filing and include protruding tabs for any exhibits. Bulky materials should be two-sided, and placed in 3-ring binders, with appropriate dividers. Discovery Conferences/Oral Argument on Letter‐Motions. The Court’s preference is to hold a conference with the parties to address discovery disputes raised by a Letter-Motion. Based on the parties’ letters and matters discussed during or after the conference, the Court will decide the discovery dispute or request a more formal briefing. Junior attorneys are invited to argue Letter-Motions they have helped prepare. Firms are encouraged to provide this opportunity to junior attorneys for training purposes. The Court is amenable to permitting more than one lawyer to argue for one party if this creates an opportunity for a junior lawyer to participate. The ultimate decision of 5 3. 4. 5. Revised March 17, 2025 who speaks on behalf of the client is for the lawyer in charge of the case, not for the Court. III. Motions Other Than Discovery Motions For motions other than discovery motions, a pre-motion conference is not required unless otherwise ordered. A party may 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 reduce the issues in dispute. Counsel should select the “Letter-Motion” option on ECF for filing such a request. A. Briefing Schedule. Unless the Court has ordered or approved otherwise, opposition and reply papers with respect to formal motions will be due in accordance with Local Civil Rule 6.1. The parties are strongly encouraged to agree on a reasonable briefing schedule before the moving papers are filed. If the parties have agreed to such a schedule, they must request the Court’s approval of their alternate schedule, either in the moving party’s notice of motion or by Letter-Motion as soon as agreement is reached. Should the parties thereafter agree to modify their briefing schedule, they must promptly request the Court’s approval of the new schedule by Letter-Motion. The Court must approve the alternate or new briefing schedule; otherwise, the parties must adhere to the schedule as enumerated in Local Civil Rule 6.1. B. Memoranda of Law. The typeface, margins, and spacing of motion papers must conform to Local Civil Rule 7.1. Unless prior permission has been granted, memoranda of law may not exceed the limits set forth in Local Rule 7.1(c). Memoranda of 3,500 words or more shall contain a table of contents and a table of authorities. C. Courtesy Copies. Courtesy copies are not required and should not be submitted unless otherwise requested by the Court. Should the Court so request, courtesy copies should bear the ECF header generated at the time of electronic filing and include protruding tabs for any exhibits. Bulky materials should be two-sided, and neatly bound or placed in 3-ring binders, with appropriate dividers. D. Oral Argument on Motions. Parties may request oral argument by Letter-Motion. Counsel should select the “Letter-Motion” option on ECF for filing such a request. The Court will determine whether argument will be heard and, if so, will advise counsel of the argument date and time. Junior attorneys are invited to argue motions they have helped prepare. Firms are encouraged to provide this opportunity to junior attorneys for training purposes. The Court is amenable to permitting more than one attorney to argue for one party if this creates an opportunity for a junior lawyer to participate. The attorney in charge 6 of the case, not the Court, makes the ultimate decision of who speaks on behalf of the client. Revised March 17, 2025 E. Motions in Pro Se Cases. As required by Local Civil Rule 7.2, counsel must provide a pro se litigant with printed copies of decisions cited in any submission that are databases. unreported computerized exclusively reported on or Where a party seeks summary judgment against a pro se litigant, the party must also comply with the notice requirements of Local Civil Rule 56.2. Where a party moves to dismiss or for judgment on the pleadings against a pro se litigant and refers to matters outside the pleadings, the party must serve and file the notice set forth in Local Civil Rule 12.1. IV. Pretrial Procedures for Consent Cases A. B. C. Applicability. The procedures set out below apply only to cases in which the parties have consented pursuant to 28 U.S.C. § 636(c) to have all proceedings, including trial, occur before Judge Cave. Pretrial Disclosure. The parties are reminded of their obligations to make certain disclosures regarding expert testimony pursuant to Fed. R. Civ. P. 26(a)(2) and to make disclosures regarding evidence that may be presented at trial pursuant to Fed. R. Civ. P. 26(a)(3). Failure to comply with these requirements may result in preclusion or other sanctions. Joint Pretrial Order. Unless otherwise ordered by the Court, the parties shall submit to the Court for its approval a Joint Pretrial Order within 30 days after the date for the completion of discovery, or, if a summary judgment motion has been filed, within 30 days after the decision on the motion. The proposed Joint Pretrial Order shall be signed by all parties and include the following: 1. 2. 3. 4. The full caption of the action. The names, addresses, telephone numbers (both office and cellular), and email addresses of each principal member of the trial team. A brief statement by plaintiff (or, in a removed case, by defendant) as to the basis of subject matter jurisdiction, and a brief statement by each other party as to the presence or absence of subject matter jurisdiction, including citations to all statutes relied on and relevant facts, such as citizenship and jurisdictional amount. A brief summary by each party of the claims and defenses that party has asserted that remain to be tried, including citations to all statutes relied on, but without recital of evidentiary matter. 7 Revised March 17, 2025 5. 6. 7. 8. 9. 10. With respect to each claim remaining to be tried, a brief statement listing each element or category of damages sought with respect to such claim and a calculation of the amount of damages sought with respect to such element or category. A statement by each party as to whether the case is to be tried with or without a jury and the anticipated number of trial days needed. Any stipulations or agreed-to statements of fact or law. A statement by each party as to the witnesses whose testimony is to be offered in its case in chief, indicating whether such witnesses will testify in person or by deposition. Absent extraordinary circumstances, a party may not call as a witness in its case in chief any person not listed in the Joint Pretrial Order. A designation by each party of deposition testimony to be offered in that party’s case in chief, referencing page and line numbers, with any cross-designations and objections by any other party. If there is no objection or cross-designation, the Court will deem the opposing party to have waived any such objection or cross-designation. Absent extraordinary circumstances, a party may not offer in its case in chief deposition testimony that is not listed in the Joint Pretrial Order. A list by each party of exhibits to be offered in its case in chief. Each exhibit shall be pre-marked (plaintiff to use numbers, defendant to use letters). For each 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. Absent extraordinary circumstances, a party may not offer in its case in chief any exhibit not listed in the Joint Pretrial Order. 11. A proposed schedule by which the parties will exchange demonstrative exhibits 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. 12. All other matters that the Court may have ordered or that the parties important to the efficient conduct of the trial. believe are D. Filings Before Trial. Unless otherwise ordered, the following must be filed at the same time as the filing of the joint pretrial order: 1. In jury cases, the parties must jointly file (a) requests to charge, (b) proposed voir dire questions, and (c) where applicable, a proposed special verdict form. To the extent a party objects to another party’s 8 Revised March 17, 2025 requested charge, voir dire questions, or special verdict form, the joint submission should include the objecting party’s (1) grounds for objection (or refer to the joint pretrial memorandum for a full discussion of the objection), and (2) proposed alternative. All requests to charge, objections, and alternatives must include citations to controlling authority. Electronic copies of this joint submission should be submitted to the Court; counsel should contact Chambers for instructions on how to submit these materials. 2. 3. In non-jury cases, where ordered by the Court, parties must file proposed findings of fact and statements of law. If the parties believe it would be useful, they may file pretrial memoranda limited to 8,750 words. In all cases, motions in limine addressing any evidentiary or other issues must be filed at the same time as the Joint Pretrial Order. Marking Exhibits for Trial. Unless otherwise ordered by the Court, no later than the business day 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. Witnesses at Trial. When a party’s case commences, that party is expected to have witnesses available to fill the trial day, which runs from 9:30 am to 5:00 pm, with 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 deem that party to have rested. Any request to have a witness testify out of order and/or on a particular day must be included in the joint pretrial order. Untimely applications will be denied. E. F. 9

=== Report of Rule 26(f) Conference and Proposed Case Management Plan ===

Revised December 3, 2025 UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK [PLAINTIFF], -v- [DEFENDANT], Plaintiff(s), CIVIL ACTION NO.: Civ. ( ) (SLC) REPORT OF RULE 26(f) CONFERENCE AND PROPOSED CASE MANAGEMENT PLAN Defendant(s). In accordance with Federal Rule of Civil Procedure 26(f) and Judge Cave’s Individual Practices, the parties met on (at least one week before the Initial Case Management Conference) and exchanged communications thereafter. The parties now submit the following report for the Court’s consideration: 1. The Court’s Expectations: Rule 1, Rule 26(b)(1), and 26(f)(3). Counsel are expected to have reviewed Federal Rules of Civil Procedure 1, 26(b)(1), and 26(f)(3) and considered their obligations thereunder in discussing and preparing a discovery plan. As of December 1, 2025, counsel are deemed to be aware of the amendment to Rule 26(f)(3)(D) regarding the timing and method for assertion of claims of privilege or of protection as trial-preparation materials.0F 1 Additional consideration of proportionality. Counsel shall discuss and consider whether phased or iterative discovery will increase efficiency, reduce costs and lead to a faster resolution of the case when preparing a discovery plan. Document Requests. Counsel shall be fully familiar with their obligations under Rules 34 and 26(g) and consider and discuss ways to ensure compliance and minimize disputes regarding overbreadth and specificity of requests and responses. Competence. Counsel shall be sufficiently knowledgeable in matters relating to their 1 “A discovery plan must state the parties’ views and proposals on any issues about claims of privilege or of protection as trial-preparation materials, including the timing and method for complying with Rule 26(b)(5)(A) and—if the parties agree on a procedure to assert these claims after production—whether to ask the court to include their agreement in an order under Federal Rule of Evidence 502[.]” Fed. R. Civ. P. 26(f)(3)(D). 1 clients’ technological systems to discuss competently issues relating to electronic discovery, or have involved someone competent to address these issues on their behalf. Counsel are directed to the Model Confidentiality Stipulation and Proposed Protective Order and Stipulation and [Proposed] Order Concerning the Protocol for Conducting Remote Depositions on Judge Cave’s Individual Practices Page. Counsel represent by their signature below that they have read and will comply with the above. 2. Summary of Claims, Defenses, and Relevant Issues: Plaintiff(s): Defendant(s): 3. Basis of Subject Matter Jurisdiction (and any dispute as to jurisdiction): 4. Subjects on Which Discovery May Be Needed: Plaintiff(s): Defendant(s): 5. Informal Disclosures: Plaintiff[s] disclosed the information required by Rule 26(a)(1) of the Federal Rules of Civil Procedure on . On , Plaintiff[s] [produced/will produce] an initial set of relevant documents identified in [its/their] Initial Disclosures and will continue to supplement [its/their] production. Defendant[s] disclosed the information required by Rule 26(a)(1) of the Federal Rules of Civil Procedure on . On , Defendant[s] [produced/will produce] an 2 initial set of relevant documents identified in [its/their] Initial Disclosures and will continue to supplement [its/their] production. 6. Discovery Plan: The parties jointly propose to the Court the following discovery plan: A. All fact discovery must be completed by . No later than one week after the close of fact discovery, that is, by ____, the parties must file a joint letter on the docket certifying that fact is discovery is complete. B. The parties will conduct discovery in accordance with the Federal Rules of Civil Procedure, the Local Rules of the Southern District of New York, and Judge Cave’s Individual Practices. The following interim deadlines may be extended by the parties on written consent without application to the Court, provided that the parties meet the deadline for completing fact discovery set forth in paragraph 6(A) above. i. Depositions: Depositions shall be completed by and limited to no more than depositions per party. Absent an agreement between the parties or an order from the Court, non-party depositions shall follow initial party depositions. ii. Interrogatories: Initial sets of interrogatories shall be served on or before . All subsequent interrogatories must be served no later than 30 days before the fact discovery deadline. iii. Requests for Admission: Requests for admission must be served on or before , and in any event no later than 30 days before the fact discovery deadline. iv. Requests for Production: Initial requests for production were/will be exchanged on and responses shall be due on . All subsequent requests for production must be served no later than 30 days 3 before the discovery deadline. v. Supplementation: Supplementations under Rule 26(e) must be made within a reasonable period of time after discovery of such information, and in any event, no later than the fact discovery deadline. C. Timing and Method for Claiming Privilege or Protection as Trial-Preparation Materials under Rule 26(b)(5)(A): 7. Anticipated Discovery Disputes: Describe any anticipated discovery disputes or proposed limitations on discovery. 8. Amendments to Pleadings: a. b. Does any party anticipate amending the pleadings? Last date to amend any pleading pursuant to Fed. R. Civ. P. 15(a) is Amendment of pleadings after this date will be permitted only on a showing of “good cause” under Fed. R. Civ. P. 16(b)(4). 9. Expert Witness Disclosures: a. b. Does any party anticipate utilizing experts? Expert discovery shall be completed by . . . . No later than one week after the close of expert discovery, that is, by____, the parties must file a joint letter on the docket certifying that all discovery is complete. This letter should also state which dispositive motions, if any, each party intends to file. 4 10. Electronic Discovery and Preservation of Documents and Information: a. Have the parties discussed discovery of electronically stored information (ESI)? b. c. Is there an ESI discovery protocol in place? If not, the parties expect to have one in place by . Are there issues the parties would like to address concerning preservation of evidence and/or ESI discovery at the Initial Case Management Conference? 11. Early Settlement or Resolution: The parties have/have not (circle one) discussed the possibility of settlement. The parties request a settlement conference by no later than . The following information is needed before settlement can be discussed: 12. Trial: a. b. c. The parties anticipate that this case will be ready for trial by The parties anticipate that the trial of this case will require . days. The parties do/do not (circle one) consent to a trial before a Magistrate Judge at this time. d. The parties request a jury/bench (circle one) trial. 13. Other Matters: a. Fed. R. Evid. 502(d). The disclosure of documents or information (electronic or otherwise) subject to the attorney-client privilege, the work product doctrine, or other privilege or immunity from production shall not operate as a waiver of that privilege or immunity in this case or in any other federal or state proceeding. This paragraph shall be interpreted to provide the maximum protection permitted by Fed. R. Evid. 502(d). 5 Respectfully submitted this day of . ATTORNEYS FOR PLAINTIFF(S): ATTORNEYS FOR DEFENDANT(S): Dated: New York, New York , 20 _ SO ORDERED. SARAH L. CAVE United States Magistrate Judge 6

=== Standing Order Applicable to Settlement Conferences Before Magistrate Judge Cave ===

UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK SARAH L. CAVE UNITED STATES MAGISTRATE JUDGE Standing Order Applicable to Settlement Conferences Before Magistrate Judge Cave 1. Settlement conferences form no part of the record. All communications made as part of the settlement conference process are strictly confidential and may not be used for any purpose either in this litigation or elsewhere. 2. Magistrate Judge Cave will function as a mediator, attempting to help the parties reach agreement on terms of settlement. This process requires that counsel and their clients be both prepared for the conference and candid with the Court. The Court generally holds only one settlement conference. 3. Each party must attend the settlement conference in the format prescribed by the Court, accompanied by that party's lead attorney(s), who must be fully knowledgeable concerning the facts of the case, relevant law, and the progress of the case to date, including settlement discussions. 4. No later than four business days before the conference, each party must send to the Court and opposing counsel a letter of no longer than four (4) pages marked “Confidential Materials For Use Only At Settlement Conference,” setting forth concisely the following: (1) a discussion of the relevant facts and applicable law, with an emphasis on the issues more pertinent to settlement, including a discussion of liability and damages in the event liability were established; (2) if non‐monetary relief—including a general or specific release of claims—is sought in addition to or instead of money damages, each party must set forth its position as to the provision of such relief; (3) the existence and amount of any lien(s) that may attach to the settlement proceeds; and (4) the history of settlement discussions, including any prior offers or demands.1 This letter must be received by the Court and opposing counsel no later than midnight four business days before the settlement conference. Counsel must immediately provide a copy of the opposing party’s letter to their client and/or insurer, and must also ensure before the conference that the client and/or insurer has read the opposing party’s letter. This letter, along with the Attendance Acknowledgment Form appended to the Settlement Conference Scheduling Order, must be sent to the Court by hand delivery or by email to: [email protected]. Any application for adjournment or other modification of the conference must be submitted via Letter‐Motion on ECF in accordance with at: https://www.nysd.uscourts.gov/hon‐sarah‐l‐cave. Magistrate Individual Practices, Cave’s found Judge 5. At the settlement conference, counsel for each side should expect to make a succinct presentation (10–15 minutes) in the presence of all parties and the Court summarizing the 1 The Court notes that it is normally unhelpful for a party to state in this letter its final settlement position. issues counsel believes are important for the client(s) and/or insurer(s) of the opposing party to consider for purposes of formulating a settlement position. The purpose of the presentation is to address and persuade the opposing party, not the Court. Thus, it is usually (1) unnecessary to recount in full the background of the dispute, and (2) unhelpful to discuss issues raised in the opposing party’s confidential settlement letter. The Court prefers that counsel not use slideware or other summary presentations, although key evidence from discovery in the case, that has previously been disclosed to the opposing party at least five (5) days before the conference or is already in the possession of the opposing party, may be helpful. After the initial statements, counsel may respond and have their clients speak if they choose. 6. Following the presentations, the Court will meet separately with each side in private. In these meetings, the parties and their counsel must be prepared to inform the Court of the amount of attorneys’ fees and expenses incurred to date, and an estimate of the remaining costs (including attorneys’ fees) of litigating the case to judgment, including appeal. 7. The presence of each party (the client), in addition to counsel, is essential to the settlement process. Also, if an insurance company, litigation funder, or other individual or entity has any role in approving a settlement, the decision‐making representative of the insurer must attend in addition to the insured party. Because it is important that the decisionmakers on settlement hear their adversaries’ presentations and be available to answer questions from the Court, the person who attends the conference must be the person with ultimate responsibility for determining the amount of any settlement. Corporations, and any other party that is not a natural person, and insurers must send to the conference the person ultimately responsible within the organization for giving settlement authority, not someone who has received authority from someone else. If a party believes that the individuals scheduled to attend the conference on behalf of the opposing party do not comply with this requirement, that party shall immediately confer with the opposing party and inform the Court by letter promptly if no resolution is reached. a. In cases where the City Comptroller has authority over settlement, the Assistant in advance of the conference for a Corporation Counsel shall arrange representative of the Comptroller either to attend the conference or to be available by telephone. b. A client or insurer’s attendance by telephone may be permitted if the party lives and works more than 100 miles from the Courthouse and it would be a great hardship for the party to attend the conference on any date. In these circumstances, if more than one individual will be appearing by telephone, the parties must immediately arrange for a toll‐free conference call number that the individuals and the Court may dial into for the conference. c. If a party does not speak fluent English, the party must bring an experienced simultaneous interpreter. Counsel may not serve as the interpreter. Counsel should call Chambers if there is any difficulty securing an interpreter. 8. If a party fails to attend the settlement conference with all of the required persons—counsel, the client(s), the decision‐making representative from the insurer, if any, and an interpreter, if needed—that party may be required to reimburse all of the other parties for their time and travel expenses, and may face other sanctions. 9. If counsel becomes aware of the need or potential need for an adjournment of the date of the conference, counsel must make an application for the adjournment as soon as counsel is aware of the need. If the application is made more than fourteen (14) days in advance of the conference, no cause need be provided. Otherwise, counsel must provide reasons for seeking the adjournment. a. The parties are required to seek an adjournment if (1) an adjournment would permit discovery or exchange of information that would make the conference more fruitful, or (2) for in‐person conferences, a client or insurer who would otherwise participate by telephone would be available to attend in person if the conference were held on another date. To seek a new date within 45 days of the originally‐scheduled conference, counsel must consult with all other counsel as to their, their clients’, and their insurer’s availability. The party must then file a Letter‐Motion via ECF in accordance with Magistrate Judge Cave’s Individual Practices proposing options for a new date and time and indicating that all parties are available. If the party wishes to postpone by more than 45 days, an adjournment sine die should be sought by Letter‐Motion, should provide the position of each party as to the request, and should specify an approximate time period when the conference should be held. The Court notes that the scheduled conference date is not changed unless and until the Court grants the written application to change the date. 10. If a defendant intends to claim that its financial situation is relevant to any potential or actual settlement offer (either based on the amount offered or a proposal to pay any portion in more than 30 days), the defendant shall inform plaintiff of this fact no later than fourteen (14) days before the conference. The parties should then discuss whether plaintiff seek proof of defendant’s claim and whether the defendant is willing to provide such proof, which must be provided at least three (3) days before the conference. A summary of any discussions on this topic shall be included in the letters required under paragraph 4 of this Standing Order. 11. The scheduling of a settlement conference has no effect on any deadlines or other pending obligations in the action.