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UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF ALABAMA DIVISION ABC, Plaintiff, v. XYZ, Defendant. Case No. INITIAL ORDER GOVERNING ALL FURTHER PROCEEDINGS This order governs all proceedings in this action, unless modified for good cause shown. All parties should review it thoroughly. By appearing in this case, each attorney or pro se party certifies to this court that he or she has read this order; has read this court’s local rules; and is prepared to fully comply with each. See www.alnd.uscourts.gov, Local Rules and Orders. I. DUTIES UNDER RULE 26(f) A. The Planning Conference Rule 26(f) requires the parties to confer “as soon as practicable,” which, in this action, is no later than 30 days from the first appearance of a defendant. At this planning conference, the parties must, at a minimum: • Consider the nature and basis of their claims and defenses; • Discuss the possibility of a prompt settlement or resolution of the case; • Make or arrange for the disclosures required by Federal Rule of Civil Procedure 26(a)(1); • Develop a proposed discovery plan that indicates the parties’ views and proposals concerning all of the matters addressed in Rule 26(f), subparagraphs (1) through (4); and, in appropriate cases, • Consider whether to consent to the exercise of Magistrate Judge jurisdiction under 28 U.S.C. § 636(c). If the parties are unable to agree upon a date, time, or place for this conference, the parties are hereby ORDERED to meet at 10:00 a.m. in the chambers of the undersigned judge on the last Friday falling within the 30-day period starting from the first appearance of a defendant. If use of the court’s chambers is required, counsel should telephone chambers at least seven (7) days prior to the required meeting to advise the court. If a party is proceeding without counsel, the obligation to telephone chambers rests upon counsel for the opposing party. B. Report from the Planning Conference Within 14 days after the planning conference, the parties shall jointly file a report with the Clerk of Court that follows the general format of Appendix III to this order. The report should begin with a brief synopsis of the case that advises the court of the general claims and defenses of the parties. The report should include precise dates for all deadlines. And the last page of the report shall include the chart on the last page of Appendix III with the left column filled out. The court will return any report that does not include this chart. Should the parties disagree about an item in the report, the positions of the parties as to that item should be clearly set forth in separate paragraphs. When preparing the report, be aware that the case should be ready for trial within 12 months from the date of service of the complaint, unless extraordinary circumstances exist. Note that the burden lies on the parties to explain why the case cannot be tried within that time frame. The report must include a discovery plan stating the parties’ views and proposals on: • any issues about disclosure, discovery, or preservation of electronically stored information, including the form or forms in which it should be produced; and, • any issues about claims of privilege or of protection as trial- preparation materials. If the parties agree on a procedure to assert these claims after production (i.e., a “Clawback” Agreement), the report should include a statement whether they want the court’s 2 scheduling order to adopt their agreement under Federal Rule of Evidence 502. Upon receipt of the report, the court will set a Rule 16(b) scheduling conference if requested by the parties and may set a conference without the parties’ request. C. Compliance with HIPAA In accordance with the requirements of the Health Insurance Portability and Accountability Act of 1996 (“HIPAA”), Pub. L. No. 104- 191, 110 Stat. 1936 (1996), and regulations promulgated thereto, when “protected health information” is relevant to the claims or defenses presented in an action, the party seeking such “protected health information” shall present a valid authorization at the Rule 26 planning meeting to be executed by the party from whom such “protected health information” is sought. The parties shall include in their report a deadline (specific date) by which the authorization will be executed. The parties may file with the court a motion for a “qualified protective order,” to which all parties stipulate, and, contemporaneously with that filing, e-mail to [email protected], a proposed “qualified protective order,” in substantially the form attached to this order as Appendix I, to be entered by stipulation of counsel for all parties. The parties shall not request a “qualified protective order” in their Rule 26(f) report. And the court will only enter a “qualified protective order” if the parties have filed a motion for “qualified protective order.” D. Suitability of Action for Alternative Dispute Resolution All parties should give early consideration to the possibility of settlement to avoid unnecessary costs and fees. The court requires that the attorneys for all parties make an early analysis of the case along with their clients and be prepared to discuss settlement at an early date. The parties shall also consider and discuss whether this action may be suitable for mediation, whether under the court’s ADR plan or otherwise. In the absence of an objection by any of the parties, the court will order this case to mediation before the submission of dispositive motions. 3 Each attorney is directed to immediately forward a copy of the initial order to his or her client. Plaintiff(s)’ attorneys are ordered to immediately discuss the feasibility of settlement with the Defendant(s)’ attorneys. E. Commencement of Discovery The parties are authorized to commence discovery pursuant to the terms of Rule 26 immediately after the required report has been filed. In cases removed from state court in which any discovery requests were filed before such removal, those discovery requests shall be deemed to have been filed on the date the parties file the report required by Rule 26(f) and described above. Under Local Rule 5.3, the parties generally cannot file discovery materials in civil cases except when otherwise directed by the court. The court directs the parties to file with the court all initial disclosures and supplemental disclosures under Rules 26(a)(1)(A) and 26(e). All other discovery materials should not be filed with the court unless (1) this is a case in which there is a pro se party, or (2) the discovery material is needed by a party in connection with a motion, response to a motion, or during trial. See L.R. 5.3. F. Dismissal of Non-Served Defendants Any defendant who has not been served with a summons and complaint within 90 days after the filing of the complaint (or within 90 days after the party was added to the action) may be dismissed without further order of the court unless the party required to serve shows good cause why service has not been perfected. G. Courtesy Copies For all submissions exceeding 30 pages (including exhibits), the filing party must submit, within three (3) business days of filing, an exact courtesy copy of the submission, reflecting the CM/ECF case number, document number, page numbers and filing date, to the court’s chambers at United States District Court, Anniston Federal Courthouse, 1100 4 Gurnee Avenue, Anniston, Alabama 36201.1 Copies may be hand delivered or mailed to the courthouse. The parties must also email a copy of any filed brief to [email protected], with opposing counsel copied on the email. All digital copies should be sent in Microsoft Word format. All hard copies should be double-sided and securely bound in a three-ring binder or by a large clip. H. Electronic Submissions 1. CM/ECF Record The official record of this case is maintained electronically pursuant to CM/ECF. Documents must be filed through CM/ECF in PDF (Portable Document Format), unless submitted by a party appearing pro se, in which case documents should be filed with the Clerk of Court. Except in extraordinary circumstances, all filings shall be consistent with the Court’s Civil Administrative Procedures Manual.2 2. Protected Information Counsel are reminded to comply with the court’s Administrative Procedures Manual for electronic filing with respect to redacting personal identifiers (e.g., Social Security numbers, drivers’ license numbers, birth dates, addresses, telephone numbers, bank account and credit card information) and other personal or sensitive information, in compliance with the E-Government Act. When filing material under seal, parties must comply with the Administrative Procedures Manual. 3. Required Electronic Submissions to Chambers The email is [email protected]. Counsel must e-mail copies of all proposed orders in Microsoft Word Format. Judge Maze’s chambers address for 1 The rules for submitting a courtesy copy of materials related to motions for summary judgment are governed by Appendix II. 2 The Administrative Procedures Manual is available on the court’s website: http://www.alnd.uscourts.gov/forms/civil-administrative-procedures-manual- cmecf-1-2017. 5 Ex parte communications with the judge or chambers are not allowed. In cases featuring opposing counsel, all communications to the chambers’ e-mail address must copy all opposing counsel. This copy must be visible to the court; that is, do not “blind copy” opposing counsel. In cases featuring pro se parties, communications may be made via the chambers’ e-mail address if the pro se party has provided an email address that can be copied on the email. If the pro se party has not provided an email address, then parties seek to communicate with the court shall file a motion seeking a telephone conference. II. ATTORNEY FEE SHIFTING CASES If a party anticipates that during or upon the completion of this action it may seek an award of attorneys’ fees from the opposing party pursuant to any statute or other law, for any reason other than as a sanction under the Federal Rules of Civil Procedure, the party seeking fees must comply with the following requirements as a precondition to any such award: (a) Counsel must maintain a separate record of time with a complete and accurate accounting of all time devoted to this particular action (to the nearest 1/10 of an hour), recorded contemporaneously with the time expended, for each attorney and with sufficient detail to disclose the nature of the work performed in the action. For example, do not simply list “research,” list the specific matter being researched. Do not simply list “conference,” identify the persons conferring and the general subject matter of the conference. (b) If a claim will be made for services performed by any person not a member of the bar, a separate time record shall be maintained for each such individual in accordance with (a) above. (c) Counsel is directed to review and verify all attorney and non- attorney time records no less than once per month. (d) Although the court does not require counsel to file a copy of the time records before a request for a fee, counsel may file with the Clerk of Court either a copy of the time record referred to in (a) above, or a separately prepared document setting forth the 6 information described in (a) above. If counsel elects to file reports, they should be filed by the 15th day of the month following the month in which the work was performed during the pendency of the case. If counsel elects to file time reports, the material filed may be filed under seal, subject to further court order, by placing the same in a sealed envelope with the case name and number along with “ATTORNEY TIME RECORDS - FILE UNDER SEAL” written thereon. However, if the material is filed under seal, then the filing party must, at the time of such filing, also file (and serve a copy on opposing parties or their counsel) a document stating the total of the hours represented by the sealed filing, allocated as to total attorney hours and total non-attorney hours included in the current filing under seal. Upon the conclusion of this case, without further order, the seal will be lifted as to all attorney fee materials filed under seal. (e) A Petition for Attorney Fees shall be accompanied by Counsel’s Certification that all time records are accurate; that such records were prepared contemporaneously with the performance of the work for which the fees are claimed; and that counsel reviewed and verified all attorney and non-attorney time records no less frequently than once per month. III. CASES THAT REQUIRE EEOC CHARGES If this case is one in which the filing of a charge of discrimination with the Equal Employment Opportunity Commission (“EEOC”) or similar agency is required as a prerequisite to suit, then the plaintiff(s) must file the following with the Clerk of Court at the time of filing the disclosures required by Rule 26(a)(1): (a) a copy of all charges of discrimination filed with the EEOC and which form the bases of the action; and (b) a copy of the EEOC’s response to all such charges of discrimination filed with that agency, including the notice of right to sue. IV. MOTION PRACTICE A. Dispositive Motions Any motion(s) for summary judgment filed in this action must comply with all requirements of Appendix II to this order. 7 B. Other Motions All other motions shall be electronically filed via CM/ECF and shall not exceed 15 pages, double spaced. Before filing a motion (other than a motion to remand or motion for summary judgment), moving counsel shall contact the opposing counsel and determine if counsel opposes the motion. All motions shall include, in the caption under the case number, a notation that the motion is either “Opposed” or “Unopposed.” The first paragraph shall briefly summarize the parties’ attempts to resolve the issue(s) and set forth areas of agreement and disagreement. Failure of the parties to abide by these requirements can result in a sua sponte denial of the motions for failure to comply. C. Discovery Disputes Parties must seek leave of the court before filing a motion about a discovery dispute. If the motion for leave is opposed, opposing counsel may file a response within three (3) days. The motion for leave of the court must specify the nature of the discovery dispute and the steps the parties have taken to resolve that dispute. The motion need only include the facts relevant to the dispute. Legal argument and/or legal citations are not necessary. Failure of the parties to abide by these requirements can result in a sua sponte denial of the motions for failure to comply. D. Motion of Counsel to Withdraw Once an attorney has appeared as counsel for a party, he or she may not withdraw from the action merely by filing a “notice of withdrawal.” Instead, the attorney must file a motion stating the specific grounds for withdrawal and seeking permission of the court to do so. Any motion to withdraw which, if granted, would leave a party unrepresented by counsel must include a certification that the moving attorney has served a copy of the motion on his or her client and has informed the client of the right to promptly file an objection with the court. The motion must also include the notation, “Future notice to (name of party) is to be made at the following address: (state last known address of the party).” 8 E. Type Size and Font The Court requires that all documents submitted to the Court be in Times New Roman, 14-point type, except that footnotes may be in Times New Roman, 12-point type. All documents must use 1” margins. DONE and ORDERED on August 4, 2025. _________________________________ COREY L. MAZE UNITED STATES DISTRICT JUDGE 9 APPENDIX I UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF ALABAMA SOUTHERN DIVISION AAA, Plaintiff(s), v. BBB, Defendant(s). Case No. ______ QUALIFIED HIPAA PROTECTIVE ORDER The court GRANTS the parties the right, upon compliance with the applicable discovery provisions of the Federal Rules of Civil Procedure and the orders of this court, to obtain from any health care provider, health plan, or other entity covered by the Health Insurance Portability and Accountability Act of 1996, Pub. L. No. 104-191, 110 Stat. 1936 (1996) (“HIPAA”), any and all information relating to the past, present, or future medical condition of any individual who is a party to this action (or the decedent or ward of a party who sues in a representative capacity), as well as any and all information relating to the provision of health care to such individual and payment for the provision of such health care. This order authorizes any third-party who is provided with a subpoena requesting the production of documents or commanding attendance at deposition or trial to disclose the Protected Health Information in response to such request or subpoena. This order is intended to authorize such disclosures under the privacy regulations issued pursuant to HIPAA. 45 C.F.R. § 164.512(e)(1)(i). The court expressly prohibits the parties from using or disclosing the protected health information obtained pursuant to this order for any purpose other than this action. Further, the court orders the parties either to return to the covered entity from whom or which such protected health information was obtained, or to destroy the protected health information 10 (including all copies made), immediately upon conclusion of this action. See 45 C.F.R. §§ 163.502(b); 164.512(e)(1)(v). DONE and ORDERED on XX DAY _________________________________ COREY L. MAZE UNITED STATES DISTRICT JUDGE 11 APPENDIX II SUMMARY JUDGMENT REQUIREMENTS NOTICE This appendix contains specific, mandatory instructions regarding the preparation and submission of briefs and evidentiary materials in support of and in opposition to potentially dispositive motions. These instructions must be followed explicitly. Except for good cause shown, briefs and evidentiary materials that do not conform to the following requirements may be stricken. INTRODUCTION This appendix sets forth the Court’s instructions for submitting and responding to motions for summary judgment. For the ease of the Parties, the Court summarizes its instructions in the chart on the following page. As you will see, the court staggers the deadlines for filing motions, supporting briefs, evidentiary materials, and courtesy copies to the court. The point of staggering the deadlines in this manner is to allow the parties sufficient time to cite CM/ECF document and page numbers in the briefs—particularly citations to evidentiary materials. Proper, uniform citation to the CM/ECF record assists both the court and the parties and is thus expected in all briefing. 12 SUMMARY CHART Unless otherwise ordered by the Court, the following chart summarizes the parties’ filing responsibilities. “Day 0” is the day the dispositive motion is filed. PARTY Movant WHEN MATERIALS DUE Day 0 Motion for Summary Judgment, Evidentiary Materials Brief in Support Day 1 Day 3 (noon) Three-ring binder containing: a) Motion b) Brief in Support c) Evidentiary Materials WHERE FILED AND/OR DELIVERED CM/ECF (electronic filing) CM/ECF (electronic filing) Chambers (email Word document) Chambers (Anniston Federal Courthouse) Respondent Day 21 Evidentiary Materials (if CM/ECF (electronic filing) any) Day 22 Response in Opposition Day 24 (noon) Three-ring binder containing: CM/ECF (electronic filing) Chambers (email Word document) Chambers (Anniston Federal Courthouse) a) Response in Opposition b) Evidentiary Materials (if any) Movant Day 35 Evidentiary Materials (if CM/ECF (electronic filing) Day 36 any) Reply Brief Day 38 (noon) Three-ring binder containing: CM/ECF (electronic filing) Chambers (email Word document) Chambers (Anniston Federal Courthouse) a) Reply Brief b) Evidentiary Materials (if any) Page Limits: Brief in Support of Motion (35), Brief in Opposition (35), Reply Brief (15) Font/Spacing: Double Spaced, Times New Roman, 14-point type in body, 12-point footnotes, 1-inch margins **Motions to alter these rules must be filed at least 48 hours before the deadline** 13 A. REQUIREMENTS FOR MOTIONS AND BRIEFS All motions and briefs shall use 14-point, Times New Roman font in the body and 12-point, Times New Roman font in footnotes. The text of briefs must be double-spaced, except for quotations exceeding 50 words, which may be block indented from the left and right margins and single spaced. All briefs must use 1-inch margins. The brief supporting a motion for summary judgment cannot exceed 35 pages. The brief in opposition to a motion for summary judgment cannot exceed 35 pages. Reply briefs cannot exceed 15 pages. All briefs must include a table of contents that accurately reflects the organization of the document. The table of contents is not included in the page limit. The court will not consider arguments incorporated by reference to earlier filings and will not consider substantive arguments made in footnotes. The court may strike any brief that would exceed the page limits because of attempts to incorporate by reference or include substantive arguments in footnotes. B. CALCULATING SUBMISSION DATES The day that the motion(s) for summary judgment are filed is considered “Day 0,” and all deadlines that follow flow from that day. The Court will provide the parties with the deadline to file dispositive motions. That date will not be extended absent good cause. If the moving party wishes to file its motion before that date, it must file the motion on either a Monday or Tuesday to avoid weekend deadlines. C. SUMISSIONS 1. Motion for Summary Judgment The party filing a dispositive motion has four responsibilities that begin on the filing deadline for dispositive motions—i.e. “Day 0”: • Day 0: File the Motion for Summary Judgment via CM/ECF; • Day 0: File evidentiary materials via CM/ECF • Day 1: File a brief in support of summary judgment via CM/ECF and email a copy to the court’s chambers account; and, 14 • Day 3 (by noon): Submit a binder containing the Motion for Summary Judgment, brief in support, and evidentiary materials to the court’s chambers at the Anniston Federal Courthouse. The Court provides additional details on these submissions below: (a) Motion for Summary Judgment The Court expects the dispositive motion to be concise, to clearly state which claims are due to be summarily dismissed, and to clearly state the relief sought. Argument shall be reserved for the subsequent brief in support. The motion shall be electronically filed via CM/ECF on the previously ordered deadline for dispositive motions. (b) Evidentiary Materials On the same day that it files the motion for summary judgment, the moving party shall also electronically file via CM/ECF one set of all evidentiary materials (e.g., affidavits, exhibits, depositions, or other products of discovery) that the party relies upon to support the motion. Each volume of evidentiary materials must include a table of contents that includes a brief narrative description of each document included; for example, “Plaintiff’s Exhibit 1, the Deposition of John Jones.” For ease of citation, each affidavit, exhibit, deposition, or other product of discovery must be separately identified by a capital letter or numeral (i.e., “Exhibit A” or “Exhibit 1”); and, if the exhibit contains more than one page, each page must be separately numbered. Counsel are directed to submit entire depositions, even if relying only on excerpts, including all exhibits to the depositions. Deposition travel transcripts that are submitted as part of the evidentiary record should include no more than four pages of deposition text per 8.5” by 11” page. (c) Brief in Support The moving party shall electronically file via CM/ECF a brief supporting its Motion for Summary Judgment the day after filing the motion. On the same day, the moving party shall also email a copy of the at brief, in Microsoft Word format, court the to 15 [email protected]. opposing counsel on this email. The moving party shall copy The brief in support shall contain, in this order, a table of contents, a statement of undisputed facts, and arguments supporting the motion, including citations to relevant legal authorities. The moving party’s statement of facts shall list in separately numbered paragraphs each material fact the moving party contends is true and not in genuine dispute, and upon which the moving party relies to demonstrate that it is entitled to summary judgment. Counsel must state these facts in clear, unambiguous, simple, declarative sentences. Each statement of fact must be followed by a specific reference to those portions of the evidentiary record that the movant claims supports it. All citations to the evidentiary record, in all sections of the brief, shall include the CM/ECF document number, page number, and line number (if any). While the court reserves the right to consider evidentiary materials that are not specifically referenced in the brief, no party has a right to assume the court will consider such materials. (d) Binder of Materials (courtesy copy to court) By noon on the third day after filing its Motion for Summary Judgment, the moving party shall deliver to the court’s chambers a 3-ring binder(s) that contains the following, in this order: (a) motion for summary judgment, (b) brief in support, and (c) evidentiary materials. The binder(s) may be mailed or hand delivered to the court’s chambers at the United States District Court, Anniston Federal Courthouse, 1100 Gurnee Avenue, Anniston, Alabama 36201. Each document shall contain the CM/ECF stamp reflecting the document number, page number, and filing date of that document. The moving party shall include a tab that identifies each of these documents. Additionally, the evidentiary material should include a tab corresponding to each document, with the specific identifier for that tab. Regarding the hard copies of depositions, parties shall include the entire deposition, in travel transcript format consisting of no more than 16 four pages of deposition text per 8 ½ by 11 inch page, as well as all exhibits to the depositions with sub-tabs, clearly labeled. 2. Response in Opposition A party opposing summary judgment has three responsibility that begin 21 days after the filing of the motion: • Day 21: File evidentiary materials via CM/ECF; • Day 22: File a brief in opposition to the motion via CM/ECF and email a copy to the court’s chambers account; and, • Day 24 (by noon): Submit a binder containing the brief in opposition and evidentiary materials to the court’s chambers at the Anniston Federal Courthouse. The Court provides additional details on these submissions below: (a) Evidentiary Materials Parties should refrain from re-submitting additional copies of previously-submitted materials. Instead, the party opposing the motion should reference materials included in the moving party’s initial evidentiary submission without resubmitting those materials. If the opposing party must reference evidentiary materials that were not submitted by the moving party, the opposing party shall electronically file via CM/ECF one set of such evidentiary materials (e.g., affidavits, exhibits, depositions, or other products of discovery) 21 days after the moving party files its motion for summary judgment and evidentiary materials. Each volume of evidentiary materials must include a table of contents that includes a brief narrative description of each document included; for example, “Defendant’s Exhibit 1, the Deposition of Jane Jones.” For ease of citation, each affidavit, exhibit, deposition, or other product of discovery must be separately identified by a capital letter or numeral (i.e., “Exhibit A” or “Exhibit 1”); and, if the exhibit contains more than one page, each page must be separately numbered. Counsel are directed to submit entire depositions, even if relying only on excerpts, including all exhibits to the depositions. Deposition travel transcripts that 17 are submitted as part of the evidentiary record should include no more than four pages of deposition text per 8.5” by 11” page. (b) Brief in Opposition The opposing party shall electronically file via CM/ECF its brief opposing the Motion for Summary Judgment 21 days after the moving party files its brief in support of the motion (i.e. “Day 22”). On the same day, the opposing party shall also email a copy of the brief, in Microsoft Word format, to the court at [email protected]. The opposing party shall copy opposing counsel on this email. The brief in support shall contain, in this order, a table of Contents, a statement of facts, and arguments opposing the motion, including citations to relevant legal authorities. The statement of facts may include up to three sections, in the following order: • Response to Moving Party’s Statement of Facts (if any) The first section must consist of only the non-moving party’s disputes, if any, with the moving party’s claimed undisputed facts. The non-moving party’s response to the moving party’s claimed undisputed facts shall be in separately numbered paragraphs that coincide with those of the moving party’s claimed undisputed facts. Any statements of fact that are disputed by the non-moving party must be followed by a specific reference to those portions of the evidentiary record upon which the dispute is based. All material facts set forth in the statement required of the moving party will be deemed to be admitted for summary judgment purposes unless controverted by the response of the party opposing summary judgment. • Additional Undisputed Facts (if any) The second section may contain additional, allegedly undisputed facts set out in separately numbered paragraphs that the opposing party contends require the denial of summary judgment. The second section of the opposing party’s statement of facts, if any, shall be clearly designated as such. Each statement of fact in this section shall be supported by its own evidentiary citation. The opposing party should include only facts that the opposing party contends are true and not in genuine dispute. 18 • Additional Disputed Facts (if any) The third section may contain additional, allegedly disputed facts set out in separately numbered paragraphs that the opposing party contends require the denial of summary judgment. The third section of the opposing party’s statement of facts, if any, shall be clearly designated as such. Each statement of allegedly disputed facts must be followed by specific reference to those portions of the evidentiary record which both support and contradict the alleged fact. Each statement of fact must be followed by a specific reference to those portions of the evidentiary record that the opposing party claims supports it. All citations to the evidentiary record, in all sections of the party’s brief, shall include the CM/ECF document number, page number, and line number (if any). (c) Binder of Materials (courtesy copy) By noon on the third day after filing its evidentiary materials (i.e. “Day 24”), the opposing party shall deliver to the a 3-ring binder(s) that contains the following, in this order: (a) brief in opposition and (b) evidentiary materials. The binder(s) may be mailed or hand delivered to the court’s chambers at the United States District Court, Anniston Federal Courthouse, 1100 Gurnee Avenue, Anniston, Alabama 36201. Each document shall contain the CM/ECF stamp reflecting the document number, page number, and filing date of that document. The opposing party shall include a tab that identifies each of these documents. Additionally, the evidentiary material should include a tab corresponding to each document, with the specific identifier for that tab. Regarding the hard copies of depositions, parties shall include the entire deposition, in travel transcript format consisting of no more than four pages of deposition text per 8 ½ by 11 inch page, as well as all exhibits to the depositions with sub-tabs, clearly labeled. 3. Reply Brief The moving party may (but is not required to) file a reply brief and additional evidentiary materials. If it does, it must also submit a binder containing these items. 19 (a) Additional Evidentiary Materials Additional evidentiary materials may be electronically filed via CM/ECF 14 days after the opposing party files its evidentiary materials (i.e. “Day 35”). Only those previously-unfiled evidentiary materials necessary to rebut factual statements made by the opposing party should be filed—i.e. no evidence should be filed twice. (b) Reply Brief The moving party may file a reply brief 14 days after the opposing party files its brief in opposition (i.e. “Day 36”). The reply brief must include the moving party’s disputes, if any, with the non-moving party’s additional claimed undisputed facts. The moving party’s response to the non-moving party’s additional claimed undisputed facts shall be in separately numbered paragraphs that coincide with those of the non- moving party’s additional claimed undisputed facts. Any statements of fact that are disputed by the moving party must be followed by a specific reference to those portions of the evidentiary record upon which the disputation is based. All additional material facts set forth in the statement required of the opposing parties will be deemed to be admitted for summary judgment purposes unless controverted by the statement of the movant. (c) Binder of Materials (courtesy copy) By noon on the third day after filing its additional evidentiary materials (i.e. “Day 38”), the moving party shall deliver a 3-ring binder(s) that contains the following, in this order: (a) reply brief and (b) evidentiary materials. The same rules that governed the party’s binder containing the motion for summary judgment and supporting materials govern this binder of reply materials. * * * These rules and deadlines are designed to assist the parties and the court, and thus the Court is disinclined to deviate from them. If a party believes it is unable to meet a deadline, that party shall file a motion for extension at least 48 hours before the deadline that shows good cause why the court should adjust the schedule. 20 APPENDIX III (This document should be submitted in the formatting used below. The parties need not file this document with 1-inch margins, 12-point Times New Roman font, etc., as the court requires for other documents) UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF ALABAMA SOUTHERN DIVISION AAA, v. BBB, Plaintiff(s), Defendant(s). Case No. ______ REPORT OF THE PARTIES’ PLANNING MEETING Synopsis of the Case: <Provide a brief synopsis of the case that 1. advises the court of the general claims and defenses of the parties> 2. The following persons participated in a Federal Rule of Civil Procedure 26(f) conference on <date> by <state the method of conferring>: <Name>, representing the <plaintiff(s)> <Name>, representing the <defendant(s)> Initial Disclosures. The parties [having completed] [will complete 3. by<date>] the initial disclosures required by Rule 26(a)(1). 4. Discovery Plan: The parties propose this discovery plan: <Use separate paragraphs or subparagraphs if the parties disagree.> (a) Discovery will be needed on these subjects: <Describe> (b) <Dates for commencing and completing discovery, including dates to be commenced or completed before other discovery> (c) <Dates for supplementation under Rule 26(e)> (d) <Dates for exchanging reports of expert witnesses> (e) <Maximum number of interrogatories by each party to another party, along with the dates the answers are due> 21 (f) <Maximum number of requests for admission, along with the dates responses are due> (g) <Maximum number of requests for production, along with the dates responses are due> (h) <Maximum number of depositions by each party> (i) <Limits on the length of depositions, in hours> 5. Other items: (a) <A date if the parties ask to meet with the court before a scheduling order> (b) <Final dates for the plaintifff to amend pleadings or to join parties> (c) <Final dates for the defendant to amend pleadings or to join parties> (d) <Final dates to file dispositive motions> (e) (f) <State the prospects for settlement> <Identify any alternative dispute resolution procedure that may enhance settlement prospects> (g) <Final dates for submitting Rule 26(a)(3) witness lists, designations of witnesses whose testimony will be presented by deposition, and exhibit lists> (h) <Final dates to file objections under Rule 26(a)(3)> (i) (j) <Requested dates for pretrial conferences> <Suggested trial date and estimated length of trial> (k) <Other matters> Date: <Date> Date: <Date> the attorney or <Signature of unrepresented party> _________________________________ <Printed Name> <Address> <Email Address> <Telephone Number> <Signature of unrepresented party> _________________________________ the attorney or 22 <Printed Name> <Address> <Email Address> <Telephone Number> 23 (This document should be submitted in the formatting used below) Plaintiff v. Defendant Case No. x:xx-cv-xxxxx-CLM A. Deadlines Parties’ Report Court’s Suggestion P: D: P: D: n/a Initial Disclosures Deadline to Join Parties or Amend Pleadings Rule 26(e) Supplementations Expert Reports P: D: P: D: Fact & Expert Discovery Complete Status Conference (telephone) Dispositive motions Witness and Exhibit Lists Motions in Limine/Objections Responses to MIL/Objections Pretrial Conference *Follow Appx II* *Follow Appx IV* (x-x days) Trial Date (Jury) (x-x days) B. Discovery Limits Parties’ Suggestion each, due within 30 days of service each, due within 30 days of service each, due within 30 days of service each, 7 hours each Court’s Suggestion each, due within 30 days of service each, due within 30 days of service each, due within 30 days of service each, 7 hours each Interrogatories Requests for Admissions Requests for Production Depositions 24 APPENDIX IV MOTION IN LIMINE REQUIREMENTS The court will provide the parties with a deadline to file their witness and exhibit lists and motions in limine. All motions in limine must be consolidated in a single motion. The court will strike motions in limine that are not consolidated in a single motion. The opposing party shall file its brief opposing the motion in limine 7 days after the moving party files its motion in limine. The moving party may (but is not required to) file a reply brief in support of its motion in limine. The deadline to file a reply brief shall be 2 business days after the opposing party files its response brief. All motions and briefs shall use 14-point, Times New Roman font in the body and 12-point Times New Roman font in footnotes. The text of briefs must be double-spaced, except for quotations exceeding 50 words, which may be block indented from the left and right margins and single spaced. Motions in limine cannot exceed 20 pages. The brief in opposition to a motion in limine cannot exceed 20 pages. Reply briefs cannot exceed 10 pages. 25

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UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF ALABAMA ___________________ DIVISION UNITED STATES OF AMERICA, vs. _____________________________ , Defendant. Case No. ______________________ GUILTY PLEA ADVICE OF RIGHTS CERTIFICATION1 Instructions to Counsel Before the offer of a plea of guilty, counsel for the defendant must personally discuss, in detail, each of the following matters with the defendant. If able, the defendant should inscribe his or her initials in the appropriate places on this form. Once completed, the certification will be filed on the record. A. At the Change of Plea Hearing 1. I will be placed under oath. 2. 3. 4. 5. 6. I will be subject to penalties for perjury or further prosecution if I willfully make a false statement. If anything is said or done in court that I do not understand, I must tell the judge. I may be asked about my education and job history and whether I read, write, and understand the English language. I will be asked if I have any mental or emotional impairment or physical illness that might affect my ability to understand the court proceedings. I will be asked if I have taken any drugs, medications, or other substances that might affect my ability to understand the court proceedings. I understand, __________. I understand, __________. I understand, __________. I understand, __________. I understand, __________. I understand, __________. 1 This form was approved for use in the United States District Court for the Northern District of Alabama on May --, 2013. Do not use an earlier version. 1 of 5 7. I will be asked if my plea is voluntary. 8. I will be asked if anyone coerced or threatened me to plead guilty. 9. I will be asked if I have any complaints about my attorney. 10. I will be asked: a. If I received the indictment; b. If I read the indictment or my attorney read it to me; and c. If I understand the charge(s) against me. 11. I will be asked: I understand, __________. I understand, __________. I understand, __________. I understand, __________ __________ __________. I understand, a. If I have read the plea agreement or my attorney read it to me; __________ b. If I had enough time to discuss the content of the plea agreement with my attorney; __________ c. If the plea agreement includes all agreements with the prosecutor; __________ d. If I personally understand the content of the plea agreement. __________. B. Explanation of Substantive Rights 1. I am not required to plead guilty to any charge. 2. By pleading guilty, I am giving up the following: a. The presumption of innocence; b. A speedy and public jury trial in which the Government must prove each and every element of the charge(s) beyond a reasonable doubt; c. The right to confront the Government’s witnesses; d. The right to cross-examine the Government’s witnesses; e. The right to call witnesses on my behalf; f. The right to choose to testify. 2 of 5 I understand, __________. I understand, __________ __________ __________ __________ __________ __________. 3. 4. If I decided to testify at trial, I would be placed under oath, and I would be subject to cross-examination by the prosecutor. If I decided not to testify at trial or to offer any evidence in my defense, those facts could not be used against me. 5. By pleading guilty, I am not giving up the right to be represented by a Constitutionally adequate attorney. C. Explanation of the Charge(s) 1. 2. I will be asked if I had enough time to discuss the case with my attorney. I will be asked if my attorney has explained the elements of the charge(s) against me. 3. The judge will not accept my guilty plea(s) until he or she is satisfied that the Government can prove a factual basis for each element of the charges to which I am pleading guilty. 4. If my guilty plea(s) is accepted by the judge, only two things remain to be done: a. A United States Probation Officer will conduct a presentence investigation and produce a Presentence Investigation Report; and b. The judge will impose a sentence. D. Explanation of Possible Penalties 1. 2. I will be asked if my attorney has explained the mandatory statutory minimum sentence (if any) and the maximum statutory penalty for each charge against me. If a mandatory statutory minimum sentence is applicable, the judge cannot sentence me below the minimum sentence unless a rare exception exists. 3. The judge is required to consider the United States Sentencing Guidelines before imposing a sentence. 4. I will be asked if my attorney has discussed the Guidelines with me and the fact that the judge may sentence me to a higher or lower sentence. 3 of 5 I understand, __________. I understand, __________. I understand, __________. I understand, __________. I understand, __________. I understand, __________. I understand, __________ __________. I understand, __________. I understand, __________. I understand, __________. I understand, __________. 5. The judge will require me to make restitution to any and all victims of the charge(s) to which I am pleading guilty. 6. The amount of restitution, and the schedule of its payment, will be based on the information within Presentence Investigation Report. 7. The judge may require that I be supervised by the United States Probation Office following any term of imprisonment. 8. The judge may be required to impose a fine, unless: a. I am unable to pay a fine, or; b. Imposing a fine would unduly burdensome. 9. If I have financial means, the judge may require me to pay all or part of the costs of my imprisonment or supervision. 10. If I am not a citizen of the United States, I may be deported as a result of the guilty plea. E. Plea Agreement 1. If there is a plea agreement, the agreement will be disclosed on the record. 2. The judge is not bound by the terms of plea agreement, and if the agreement is rejected, I cannot withdraw the guilty plea. I understand, __________. I understand, __________. I understand, __________. I understand, __________ __________. I understand, __________. I understand, __________. I understand, __________. I understand, __________. F. Certification of Defendant 1. 2. 3. I, _______________________________, hereby acknowledge that my attorney, whose name is signed to the attorney certification below, has explained to me, in detail each of the matters set out above. I also certify that I am satisfied with the representation my attorney has provided me, and that I have no complaints about any aspect of his or her representation of me. I further certify that I am not under the influence of any alcoholic beverage, intoxicating liquor, drugs, medication, or other substance that affected my ability to understand all of the matters set out above. 4 of 5 4. Finally, I certify that I am entering my guilty plea(s) because I am in fact guilty, and I request that the court accept my plea(s). __________________________ Date ____________________________________ Signature of Defendant G. Certification of Counsel As counsel of record for the above named defendant, I hereby certify that: 1. I have discussed with the defendant, in detail, each of the matters set out above; 2. 3. I have observed the defendant today, before the plea proceeding, and I am aware of no reason why the defendant is not competent to enter a guilty plea(s) at this time; and, I am aware of no reason, at this time, why the defendant’s guilty plea(s) should not be accepted by the court. __________________________ Date ____________________________________ Signature of Attorney for Defendant 5 of 5

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UNITED STATES DISTRICT COURT NORTHERN DISTRICT OF ALABAMA ___________________ DIVISION TRIBUNAL DE DISTRITO DE LOS ESTADOS UNIDOS DE AMERICA DISTRITO NORTE DE ALABAMA DIVISIÓN _________________ UNITED STATES OF AMERICA, Estados Unidos de América, vs. ___________________________________ , Defendant. Acusado(a). Case No. CR- ________________________ ) Causa Nro. GUILTY PLEA ADVICE OF RIGHTS CERTIFICATION BILINGUAL (ENGLISH/SPANISH) VERSION[1] CERTIFICACIÓN DE NOTIFICACIÓN DE DERECHOS PARA DECLARACIONES DE CULPABILIDAD VERSIÓN BILINGÜE (INGLES/ESPAÑOL) INSTRUCTIONS TO COUNSEL Prior to the offer of a plea of guilty, counsel for the defendant, with the aid of a certified Spanish interpreter, must personally discuss, in detail, each of the following matters with the defendant, and, must indicate compliance in the appropriate places on this form. 2 This revised form is lengthy. You will need at least one hour to thoroughly review it with the defendant. Therefore, counsel must arrange his or her schedule to meet with the defendant and a certified Spanish interpreter well in advance of the plea proceeding. The court prefers that compliance be indicated by instructing the defendant to inscribe his or her initials in the appropriate places on this form. Once completed, the form shall be filed in open court, at the beginning of the plea proceeding. Antes de la audiencia de declaración de culpabilidad el abogado deberá repasar personalmente y en detalle cada uno de los siguientes párrafos con el (la) acusado (a) con la ayuda INDICACIONES AL ABOGADO 1 The English text of this form was approved for use in the United States District Court for the Northern District of Alabama on Aug. 21, 2003, and the Spanish translation was approved by the Administrative Office of United States Courts on Dec. 15, 2003. DO NOT USE ANY EARLIER VERSION. 2 This refers to a Spanish-speaking interpreter certified by the Administrative Office of United States Courts, Washington, D.C. (hereinafter, “certified Spanish interpreter). Page 1 of 17 de un intérprete certificado en español y deberá indicar el cumplimiento de este requisito en los lugares apropiados en este formulario. Este formulario es bastante largo y tomará por lo menos una hora repasarlo punto por punto con el (la) acusado (a). El abogado deberá hacer todos los arreglos necesarios para reunirse con su cliente y un intérprete certificado en español, con suficiente antelación a la fecha fijada para la audiencia de declaración de culpabilidad. Para indicar el cumplimiento con los requisitos de la sala pídale al acusado (a) que coloque sus iniciales en los espacios apropiados en este formulario. El formulario completado será presentado en actas antes del inicio de la audiencia de declaración de culpabilidad. A. Preliminary Matters / Asuntos Preliminares 1. I understand that I will be placed under oath and, accordingly, that my answers to the court’s questions and any statement I make during the plea proceeding will be subject to the penalties for perjury or for making a false statement. I further understand that, if I should willfully be untruthful, I may be prosecuted in a separate proceeding for perjury and, if convicted, could receive a separate and distinct sentence. Comprendo que seré juramentado, por lo tanto, mis respuestas a las preguntas de la sala y cualquier declaración que yo preste durante la audiencia de declaración de culpabilidad estarán sujetas a las penas por perjurio o por dar una declaración falsa. Ademas, comprendo que si a sabiendas respondo con una falsedad podré ser encausado por separado por perjurio, y si soy condenado, podría recibir una pena separada y a parte. Done: ____________ Hecho: ___________ 2. I understand that I may be asked to state my age, date of birth, the extent of my education or schooling, and whether I can read, write, and understand either the English language or the Spanish language. Comprendo que me podrían pedir que diga mi edad, fecha de nacimiento, y hasta que nivel cursé mis estudios , y si sé leer, escribir y entender el inglés o español.3 Done: ____________ Hecho: ___________ 3 The Castilian language. La lengua castellana. Page 2 of 17 3. I understand that I may be asked whether I have any physical or mental defect that makes it more difficult for me to hear clearly, or to understand anything that is said to me. Comprendo que me podrían preguntar si sufro de alguna condición física o mental que me dificulte o impida oír o entender claramente cualquier cosa que me digan. Done: ____________ Hecho: ___________ 4. I understand that I may be asked whether I recently have been treated for any mental illness or addiction to narcotic drugs of any kind, and, whether I presently am suffering from any mental illness, emotional impairment, or physical illness that might affect my ability to understand the plea proceeding. Comprendo que me podrían preguntar si he recibido tratamiento recientemente por alguna enfermedad mental o por dependencia a cualquier tipo de drogas narcóticas y si actualmente padezco de alguna enfermedad mental, emocional, o física que pueda afectar mi habilidad de entender el proceso de declaración de culpabilidad. Done: ____________ Hecho: ___________ 5. I understand that I may be asked whether I have taken, consumed, or ingested any of the following substances during the preceding 48 hours: (a) alcoholic beverages or intoxicating liquors; (b) drugs or medications of any kind (prescription or otherwise); and (c) any other substance that might affect my ability to understand the plea proceeding. Comprendo que me podrían preguntar si he bebido, consumido o ingerido alguna de las siguientes sustancias durante las últimas 48 horas: (a) bebidas alcohólicas o licores intoxicantes; (b) drogas o medicamentos de cualquier tipo (recetados o no); y (c) cualquier otra sustancia que pueda afectar mi habilidad de entender el proceso de declaración de culpabilidad. Done: ____________ Hecho: ___________ 6. I understand that the court must be satisfied that I completely understand the plea proceeding, and that I accordingly have an affirmative duty to inform the court if I do not understand anything that is said or done. Comprendo que la sala debe estar segura que comprendo bien el proceso de declaración de culpabilidad y que es mi obligación informarle a la sala si no entiendo cualquier cosa que se haga o se diga. Done: ____________ Hecho: ___________ Page 3 of 17 7. I further understand that, if I inform the court that I do not understand anything that is said or done during the plea proceeding, the court will, before going forward, undertake all reasonable steps — including a recess, to allow me to consult in private with my attorney — to make certain that I do understand. Comprendo que si le informo a la sala que no he entendido algo durante la audiencia de declaración de culpabilidad, que antes de continuar con la audiencia, la sala hará todo lo necesario para asegurarse de que yo entiendo todo, inclusive podrá declarar un receso para permitirme hablar con mi abogado en privado. Done: ____________ Hecho: ___________ 8. I understand that the court must be assured that I am satisfied with my attorney, and, that I have no complaints about the manner in which he or she has, thus far, represented me in this case. Comprendo que la sala debe estar segura que estoy satisfecho con mi abogado y que no tengo ninguna queja en cuanto a la manera en la cual el o ella me ha representado en este caso. Done: ____________ Hecho: ___________ 9. I understand that the court must be satisfied: (a) that I have received a copy of the Grand Jury’s Indictment (or the Information filed by the Government); (b) that I have read the Indictment (or Information), or that it has been read to me by a certified Spanish interpreter; and (c) that I understand the charge (or charges) against me. Comprendo que la sala debe estar segura que: (a) he recibido una copia del documento acusatorio (encausamiento) emitido por el jurado acusatorio (o de la denuncia presentada por el gobierno( o fiscalía); (b) que he leído el encausamiento (o denuncia), o que un intérprete certificado en español me lo ha leído , y (c) que entiendo el cargo (o cargos) que pesa (n) contra mi. Done: ____________ Hecho: ___________ 10. I understand that the court must be satisfied that I am entering my plea (or pleas) of guilty freely and voluntarily. Specifically, I understand that the court must be satisfied that I have not been coerced by any threat, or induced by any improper promise, to enter my plea (or pleas) of guilty — regardless of whether the threat or improper promise was made directly to me, or indirectly, to any other person who is related to me, or close to me, and capable of influencing my decisions. Comprendo que la sala debe estar segura que me estoy declarando culpable de manera libre y voluntaria y no como resultado de una amenaza o coacción o de una promesa impropria - sin importar si la amenaza o promesa impropia fue hecha directa o indirectamente Page 4 of 17 hacia mi o hacia algun pariente o allegado quién podría influenciar mis decisiones. Done: ____________ Hecho: ___________ B. Plea Agreement / Acuerdo o Convenio de declaración de culpabilidad 1. I understand that, if there is a plea agreement, the terms of agreement must be fully and completely disclosed in open court, on the record; and that, if the agreement is in writing, a copy will be filed. Comprendo que si hay un acuerdo o convenio de declaración de culpabilidad, que las condiciones del acuerdo serán reveladas en audiencia pública y constarán en actas y si el acuerdo está escrito, una copia le será presentada a la sala y colocada en el expediente del caso. Done: ____________ Hecho: ___________ 2. I understand that I must confirm: (a) if the plea agreement is in writing, that I have read the plea agreement, or that it has been read to me by a certified Spanish interpreter; (b) that I have had ample opportunity to discuss the terms of the plea agreement with my attorney; (c) that the plea agreement incorporates all understandings I have reached with the attorney for the United States Government; and (d) that I personally understand the terms of my plea agreement. Comprendo que debo confirmar: (a) que he leído el acuerdo, si está escrito, o que me ha sido leído por un intérprete certificado en español; (b) que he tenido suficiente tiempo para hablar con mi abogado sobre las condiciones del acuerdo (c) que el acuerdo incorpora todos los puntos acordados entre la fiscalía y yo, y (d) que entiendo las condiciones de mi acuerdo o convenio de declaración de culpabilidad. Done: ____________ Hecho: ___________ 3. I understand that, if my plea agreement provides for the Government to recommend, pursuant to Federal Rule of Criminal Procedure 11(c)(1)(B), the imposition of (or to not oppose my request for) a particular sentence, the court is not bound by the agreement; and, if the agreement is rejected by the court — in other words, if the judgment and sentence imposed by the court differs in any respect from the terms of my plea agreement — I will not have a right to withdraw my plea (or pleas) of guilty. Comprendo que la sala no esta comprometida ni obligada a aceptar las condiciones de mi acuerdo y que aún si mi convenio o acuerdo provee que, conforme al Reglamento Federal de Procedimientos Penales 11 (c)(1)(B) la fiscalía puede recomendar ( o no oponerse) a mi solicitúd a que se imponga una pena en particular, que si la sala rechaza el acuerdo yo no podré retirar mi declaración (o declaraciones) de culpabilidad . En otras palabras, si la condena y pena dictada por son diferentes a lo que dice mi acuerdo, no podré retractar mi (s) declaración (es) de Page 5 of 17 culpabilidad. Done: ____________ Not Applicable: ____________ Hecho: ___________ No aplica: ____________ 4. I understand that, if my plea agreement provides for the dismissal of other charges pending against me pursuant to Federal Rule of Criminal Procedure 11(c)(1)(A), or for the imposition of a specific sentence pursuant to Federal Rule of Criminal Procedure 11(c)(1)(C), the court may accept or reject the agreement, or may defer its decision as to acceptance or rejection until it has considered the contents of my presentence investigation report. I further understand that, if the plea agreement is accepted by the court, the court will enter a judgment and sentence in accordance with the disposition provided for in my plea agreement. On the other hand, I also understand that, if my plea agreement is rejected by the court: a. b. c. the court will inform me personally, in open court, that it is not bound by the terms of my agreement; and I then will be given the opportunity to withdraw my plea (or pleas) of guilty; and if I choose to persist in my plea (or pleas) of guilty, after having been informed by the court that it rejects my agreement, the sentence imposed upon me may be less favorable than that stated in my plea agreement. Comprendo que si mi acuerdo de declaración de culpabilidad contiene la condición de que se desestimarán otros cargos contra mi , en conformidad con el Reglamento Federal de Procedimientos Penales 11(c)(1)(A), o que recibiré una pena especifíca, según el Reglamento Federal de Procedimientos Penales 11(c)(1)(C), que la sala podrá aceptar o rechazar el acuerdo o aplazar su decisión en cuanto a si aceptarlo o rechazarlo hasta después de leer el informe pre- condenatorio. Asi mismo, entiendo que si la sala acepta el acuerdo , dictará el fallo condentario y la pena de conformidad a mi acuerdo de declaración de culpabilidad. Sin embargo, si la sala rechaza mi acuerdo, entiendo que: a. b. c. la sala me informará personalmente en audiencia pública, que no está comprometida ni obligada a aceptar las condiciones de mi acuerdo, y en ese caso me concederá la oportunidad de retirar mi declaración (o declaraciones) de culpabilidad; y si aún despues que la sala me informe que ha rechazado mi acuerdo, yo insisto en mi declaración (o declaraciones) de culpabilidad, reconozco que podría recibir una pena menos favorable a la que consta en mi acuerdo. Page 6 of 17 Done: ____________ Not Applicable: ____________ Hecho: ___________ No aplica: ____________ C. Explanation of Possible Statutory Penalties / Explicación de las Posibles Penas Bajo Ley 1. I confirm that my attorney has explained, for each charge to which I am entering a plea of guilty, the mandatory minimum sentence (if any) and the maximum penalty provided by statute for each offense to which I am entering a plea of guilty, including the effect of any statute which may enhance or increase the statutory range of punishment. Confirmo que mi abogado me ha explicado la pena mínima obligatoria (si la hubiere) y la pena máxima establecida por ley para cada uno de los delitos a los que me estoy declarando culpable. También me ha explicado las disposiciones legales que podrian aumentar o reducir el marco condenatorio en mi caso. Done: ____________ Hecho: ___________ 2. I understand that, for each count of the Indictment (or Information) to which I enter a plea of guilty, the court will be required to impose a special assessment fee in the amount of $100. Comprendo que la sala tendrá que imponer un recargo especial en la cantidad de $100 dólares por cada cargo en el encausamiento al cual me declare culpable. Done: ____________ Hecho: ___________ 3. I understand that the court may require me to make restitution to any victim of the criminal offense (or offenses) to which I am pleading guilty. Comprendo que la sala puede exigir que pague restitución a la (las) víctima (s) del delito al cual (o delitos a los cuales) me estoy declarando culpable. Done: ____________ Hecho: ___________ 4. I understand that parole has been abolished in the Federal penal system, and that, if I am sentenced to a term of imprisonment, I will not be released on parole. Comprendo que la libertad condicional ha sido abolida en el sistema penal federal. Por lo tanto, si recibo pena de reclusión no saldré libre bajo libertad condicional. Page 7 of 17 Done: ____________ Hecho: ___________ 5. I understand that, if I am sentenced to imprisonment, the court must impose a term of supervised release to follow any term of imprisonment. I confirm that my attorney has explained the potential duration or length of time that I will be subjected to the supervision of a United States Probation Officer. Comprendo que si la sala impone una pena de reclusión, tiene que imponer un período de libertad supervisada a ser cumplida después de la pena de carcel. Confirmo que mi abogado me ha explicado por cuanto tiempo podría estar bajo la supervisión de un oficial de libertad condicional (US Probation Office) de los Estados Unidos. Done: ____________ Hecho: ___________ 6. I understand that, upon the completion of any term of imprisonment, I may be remanded to the custody of the United States Marshal for surrender to an authorized Bureau of Immigration and Customs Enforcement official for deportation proceedings in accordance with the Immigration and Nationality Act. I further understand that, if I am deported, I may not reenter the United States without the express, written permission of the Attorney General of the United States or the Secretary of Homeland Security. Finally, I understand that, if I should reenter the United States within the term of supervised release imposed by the court on the date of sentencing, I must report to the nearest United State Probation Office within 72 hours of my arrival. Comprendo que cuando termine de cumplir la pena de reclusión, podría ser entregado a los alguaciles de los Estados Unidos para ser trasladado a custodia del Servicio de Inmigración y Aduanas y sometido al proceso de deportación según la Ley de Inmigración y Nacionalidad. Asi mismo, entiendo que si me deportan, no podré regresar a los Estados Unidos sin el permiso explícito, por escrito, del Fiscal General de los Estados Unidos o del Secretario de Seguridad Interna. Finalmente, entiendo que si regreso a los Estados Unidos durante la vigencia de mi libertad supervisada, que fué dictada por la sala el día de la imposición de pena, deberé apersonarme a la oficina más cercana de libertad condicional (US Probation Office) de los Estados Unidos durante las primeras 72 horas después de mi llegada al pais. Done: ___________ Not Applicable to U.S. Citizen: ____________ Hecho:___________ No aplica a un ciudadano de los EE.UU.: ____ D. Explanation of U.S. Sentencing Guidelines / Explicación de las Pautas Condenatorias de los Estados Unidos 1. I understand that any sentence imposed upon me will be subject to the requirements Page 8 of 17 of the United States Sentencing Guidelines, and I confirm that my attorney has discussed those Guidelines with me, and, how they could affect any sentence (or sentences) that might be imposed in my case. Comprendo que cualquier pena que se me imponga estará en conformidad a los requisitos de las pautas condenatorias de los Estados Unidos. Mi abogado me ha explicado las pautas federales condenatorias y como éstas pueden afectar cualquier pena (o penas) que pueda(n) ser impuesta(s) en mi caso. Done: ____________ Hecho: ___________ 2. I understand that the Sentencing Guidelines provide for a complex series of calculations that result in a range of sentence for a particular case, and that such calculations are based, in large part, upon a combination of two factors: on the one hand, a factor called the “Offense Level”; and, on the other hand, a factor called the “Criminal History Category,” which is an evaluation of the nature and extent of my prior criminal history (if any). Comprendo que las pautas condenatorias se fundamentan sobre una serie de cálculos bastante complicados que resultan en un marco condenatorio. Estos cálculos están basados, en gran parte, en una combinación de dos factores: el factor denominado “Nivel del Delito” y el segundo factor llamado “Categoría de Antecedentes Penales” que es una evaluación de mis antecedentes penales, si los hubiere. Done: ____________ Hecho: ___________ 3. I also understand that the “Offense Level” calculations take into consideration a variety of matters, including (but not limited to) such things as: (a) the nature and consequences of the offense (or offenses) of conviction; (b) my role in the commission of such offense (or offenses); (c) whether a weapon was involved; (d) the nature of the victims of the crime, if there were any, and, if so, my consideration of such victims; (e) whether bodily injury was inflicted; (f) the amount of any money, property, or drugs which might be embraced in the offense (or offenses) of conviction; (g) my conduct in connection with the investigation and prosecution of the offense (or offenses); and (h) whether I have accepted responsibility for the offense (or offenses). Asi mismo, comprendo que el cálculo del “Nivel del Delito” esta compuesto por una variedad de factores que incluyen, pero no están limitidas a: (1) la naturaleza y consecuencias del delito (o delitos) cometido (s) por el (los) cual (es) he sido condenado; (b) mi papel en la comisión de dicho (s) delito (s); (c) si se usó un arma en la comisión del delito; (d) el tipo de víctima(s) del delito y la consideración mostrada por mi hácia las victimas (si las hubiere); (e) si las victimas sufrieron algún daño físico; (f) la cantidad de dinero, bienes o drogas relacionadas al delito o delitos por el (los) cual (es) he sido condenado; (g) mi conducta en relación a la investigación y procesamiento del delito o delitos y (h) si he aceptado responsabilidad personal por el (los) delito Page 9 of 17 (os). Done: ____________ Hecho: ___________ 4. I understand that the court will not be able to determine the Guidelines sentence range that applies to my case until a pre-sentence investigation has been completed, and both the Government and I have had an opportunity to challenge the reported facts and the application of the Guidelines recommended by the Probation Officer. Comprendo que la sala no podrá determinar el marco condenatorio en mi caso hasta que se realize la investigación pre-condenatoria y hasta que la fiscalía y yo tengamos la oportunidad de disputar los hechos contenidos en el informe asi como la aplicación de las pautas condenatorias recomendadas por el oficial del departamento de libertad condicional (US Probation Office). Done: ____________ Hecho: ___________ 5. I understand that the sentence ultimately imposed by the court may be different from either any estimate my attorney may have given me, or any preliminary evaluation that may have been provided by a United States Probation Officer. Comprendo que la pena que la sala imponga podría ser diferente al cálculo que me diera mi abogado o a cualquier evaluación preliminar por un oficial del departamento de libertad condicional (US Probation Office). Done: ____________ Hecho: ___________ 6. I understand that, even after my Guidelines sentence range has been finally determined, the court still has the authority — in some limited circumstances — to depart from the Guidelines, and to impose a sentence that is either more severe, or less severe, than the sentence called for by application of the Guidelines. Comprendo, aun después que se determine el marco condenatorio aplicable a mi caso, que bajo ciertas cirunstancias limitadas, la sala tiene la autoridad, de desviarse de las pautas e imponer una condena más severa o menos severa que la condena indicada por las pautas condenatorias. Done: ____________ Hecho: ___________ 7. I understand that the Sentencing Guidelines will require the court to impose a fine on me, unless the court concludes either (a) that I am not likely to be able to pay a fine, or (b) that the imposition of a fine would unduly burden any persons who are dependent upon me for financial support. Even so, I also understand that, in either of those events, the court still could require some Page 10 of 17 form and duration of community service in lieu of all or part of a fine. Comprendo que según las pautas condenatorias la sala tiene que imponer una multa monetaria a menos que concluya que (a) no tengo ni tendré los medios para pagar una multa o que (b) una multa causaría penurías a aquellas personas quienes dependen de mi para su sustento económico. No obstante estas dos situaciones, comprendo que en vez de una multa or multa parcial, la sala puede imponer alguna forma de servicio comunitario por un tiempo determinado. Done: ____________ Hecho: ___________ 8. I understand that, if the court determines I have the financial ability to do so, the court could require me to pay all or part of any cost of imprisonment, confinement, or supervision while on probation or supervised release. Comprendo que si la sala concluye que tengo los recursos económicos, podrá exigir que yo pague el costo total o parcial de mi reclusión, detención o supervisión mientras me encuentre bajo libertad condicional o libertad supervisada. Done: ____________ Hecho: ___________ E. Explanation of Substantive Rights / Explicación de Derechos 1. I understand that I have a right to plead “not guilty” to any offense charged against me, and, to persist in such a plea. In other words, I understand that I am not required to enter a plea of guilty to any charge contained in the Indictment (or Information). Comprendo que tengo el derecho de declararme “no culpable” a cualquier delito que se me impute y de insistir en tal declaración. En otras palabras, comprendo que no tengo que declararme culpable a ningún cargo en el encausamiento (o denuncia). Done: ____________ Hecho: ___________ 2. I understand that, if I did enter a plea (or pleas) of “not guilty,” I then would be entitled to a speedy and public trial by a jury composed of twelve people who have been selected from a panel of persons whose names have been drawn at random from a fair cross-section of the community that comprises that area of the Northern District of Alabama in which the indictment (or information) has been filed. Comprendo que si me declaro “no culpable” tendré el derecho a un juicio público, expedito y con un jurado compuesto por doce personas residentes en la zona del distrito norte de Alabama donde fuí encausado y cuyos nombres fueron escojidos al azar. Page 11 of 17 Done: ____________ Hecho: ___________ 3. I understand that, at a jury trial, I would be presumed innocent of the charge (or charges) against me, and that I could not be convicted of any offense unless the Government proved each and every element of the charge (or charges) against me, by evidence, beyond a reasonable doubt. Comprendo que durante un juicio con jurado la ley me presupone inocente del (de los) cargo (s) que pesa (n) contra mi y que no podré ser declarado culpable de ningún delito a menos que el gobierno compruebe cada uno de los elementos del (de los) cargo (s) que pesa(n) contra mi mediante la presentación de prueba más allá de una duda razonable. Done: ____________ Hecho: ___________ 4. following: I understand that, at a jury trial, I would be entitled to numerous rights, including the a. b. c. d. e. f. the right to be represented by Constitutionally adequate counsel; the right to have all witnesses who testify for the Government to come forward and testify under oath, in open court, so that I may see, hear, and confront them; the right, through counsel, to cross-examine each witness who has testified for the Government — to ask them questions concerning any matter that might be relevant to the charge (or charges) against me or my defense, including matters that might be helpful to the jury in evaluating the credibility (or believability) of the witnesses; the right to call witnesses to testify on my behalf, and to use the subpoena power of the court to compel witnesses to come forward and give evidence in defense of the charge (or charges) against me; the right to decline to testify, unless I voluntarily elect to do so — in other words, that I could not be forced to testify by the court or anyone else, and that the decision of whether to testify is a matter left entirely to me; and, the right to testify on my own behalf, if I voluntarily elect to do so. I also understand, however, that if I elect to testify on my own behalf, I would be placed under oath, and, that I would be subject to cross-examination by the attorney for the United States Government. Comprendo que en un juicio con un jurado, gozaría de los siguientes derechos: a. a ser representado por un abogado capacitado; Page 12 of 17 b. c. d. e. f. a que todos los testigos de cargo se presenten durante el juicio y declaren en actas, bajo juramento, para que yo pueda verlos, oírlos y encararlos; de contra-interrogar a cada testigo de cargo a través de mi abogado e interrogarlo (s) sobre cualquier punto relacionado al cargo o cargos que pesa (n) contra mi o mi defensa, incluyendo cualquier tema que pudiera ayudar al jurado a evaluar la credibilidad del (de los) testigo(s); obligar la presencia de testigos a que declaren a mi favor mediante el uso de citaciones o comparendos judiciales; negarme a declarar a menos que optase por hacerlo por mi propia voluntad. En otras palabras que nadie, inclusive la sala, me puede obligar a declarar y que la decisión en cuanto a si declaro o no es exclusivamente mia; y declarar por mi propia cuenta en mi defensa si opto por hacerlo. Sin embargo, comprendo que si decido declarar durante el juicio, seré juramentado y sometido a contra-interrogatorio del abogado por el gobierno. Done: ____________ Hecho: ___________ 5. I further understand that, if I elected not to testify at a trial, or even to offer any evidence in defense of the charge (or charges) against me, those facts could not be taken adversely to me by the jury, or by a judge in a non-jury trial. Comprendo, mas aún, en caso que decida no declarar durante el juicio o presentar prueba alguna en mi defensa ante el (los) cargo (s), que ésto no podrá ser utilizado en mi contra por el jurado o por la sala durante un juicio sin jurado. Done: ____________ Hecho: ___________ 6. I understand that, by entering a plea (or pleas) of guilty, I am waiving, or giving up, all of the foregoing rights — specifically: a. b. c. d. the right to trial by jury; the presumption that I am innocent of the charge (or charges) against me; the right to compel the Government to prove each element of each charge against me by evidence, beyond a reasonable doubt; the right to confront and cross-examine each witness against me; Page 13 of 17 e. f. the right to subpoena witnesses to testify on my own behalf; and, the right to testify on my own behalf, if I voluntarily elect to do so. Comprendo que al declararme culpable, renuncio a todos los siguientes derechos: a. b. c. d. e. f. el derecho a un juicio con jurado; a la presunción de inocencia del cargo (o de los cargos) contra mi; obligar que el gobierno compruebe cada uno de los elementos de cada cargo contra mi mediante la presentación de prueba más allá de una duda razonable; de ver e interrogar a cada testigo de cargo; de emitir citaciones o mandamientos judiciales para obligar la presencia de testigos a mí favor, y, de declarar a mi propio favor, si opto por hacerlo voluntariamente. Done: ____________ Hecho: ___________ 7. I understand that, by pleading guilty, I am not waiving, or giving up, the right to be represented by Constitutionally adequate counsel in all further proceedings herein, including the sentencing hearing and any post-sentencing proceedings, such as an appeal. Comprendo que al declararme culpable, no renuncio a mi derecho de ser representado por un abogado capacitado durante las audiencias futuras en mi caso, incluyendo la audiencia de imposición de pena y cualquier gestión incluyendo el proceso de apelación. Done: ____________ Hecho: ___________ F. Explanation of Charge(s) / Explicación del (los) Cargo(s) 1. I confirm that I have had ample time to discuss this case with my attorney, and, that I have told him or her everything I know about the facts, in order that my attorney could prepare himself or herself to represent me, and to defend me, to the best of his or her professional abilities, if I elected to plead “not guilty” and proceeded to trial. Confirmo que he tenido suficiente tiempo para conversar con mi abogado sobre mi caso y que le contado todo lo que sé para que se pueda preparar para representarme y defenderme de la Page 14 of 17 mejor manera posible si decido declararme “no culpable” y proceder a juicio. Done: ____________ Hecho: ___________ 2. I further confirm that my attorney has explained each element of each charge to which I am entering a plea of guilty, and that I understand those facts the Government must prove, by evidence, beyond a reasonable doubt, if I elected to plead “not guilty” and proceeded to trial. Confirmo que mi abogado me ha explicado todos los elementos de cada cargo al cual me estoy declarando culpable y que entiendo los hechos que el gobierno tendría que comprobar mediante la presentación de prueba más allá de una duda razonable si fuera a declararme “no culpable” y proceder a juicio. Done: ____________ Hecho: __________ 3. Even though I am waiving, or giving up, my right to a trial, I understand that the court will not accept my plea (or pleas) of guilty until the court has made such inquiry as it may deem appropriate to satisfy itself that there is a factual basis for the plea (or pleas) of guilty. Comprendo que la sala no aceptará mi declaración (o declaraciones) de culpabilidad, no obstante mi renuncia a mi derecho a un juicio, hasta que la sala esté segura después de la indagatoria respectiva que existe una base de hechos que sustente la declaración (o declaraciones) de culpabilidad. Done: ____________ Hecho: ___________ 4. I understand that, if my plea (or pleas) of guilty is(are) accepted by the court, only two things remain to be done: first, a presentence investigation will be conducted by a United States Probation Officer; and second, not sooner than 35 days after the presentence report is disclosed to me, unless I choose to waive the 35-day period, the court will impose sentence. Comprendo que si la sala acepta mi declaración (o declaraciones) de culpabilidad, habrá solo dos cosas por hacer: primero, el departamento de libertad condicional (US Probation Office) realizará una investigación pre-condenatoria y, segundo, si no renúncio al plazo de 35 días, la sala fijará la fecha para la audiencia de imposición de pena como mínimo 35 días después que me entreguen el informe pre-condenatorio. Done: ____________ Hecho: ___________ G. Certification of Defendant / Certificación del Acusado Page 15 of 17 I hereby certify that I have read all of the preceding parts of this form, or that my attorney, aided by a certified Spanish interpreter, has read the entire form to me. I further certify that my attorney, aided by a certified Spanish interpreter, has explained to me, in detail, and to my personal satisfaction, each of the matters set out above, and that I do not have any questions about my rights. I also certify that I am satisfied with the representation my attorney has provided me, and that I have no complaints about any aspect of his or her representation of me. I further certify that I am not under the influence of any alcoholic beverage, intoxicating liquor, drugs, medication, or other substance that affected my ability to comprehend or understand all of the matters set out above. Finally, I certify that I am entering my plea (or pleas) of guilty because I am in fact guilty, and I request that the court accept my plea (or pleas). Por la presente certifico que he leído todo el formulario o que mi abogado, ayudado por un intérprete certificado en español, me lo ha leído. Ademas certifico que mi abogado, con la ayuda de un intérprete certificado en español, me ha explicado en detalle y a mi satisfacción personal, cada uno de los asuntos detallados anteriormente y que no tengo ninguna duda/pregunta acerca de mis derechos. También certifico que estoy satisfecho con la representación brindada por mi abogado y que no tengo ninguna queja acerca de ningún aspecto de su representación de mi caso. Asi mismo, certifico que no estoy bajo la influencia de ninguna bebida alcohólica, licor intoxicante, drogas, medicamentos, ni otra sustancia que pueda afectar mi habilidad de comprender o entender todos los asuntos anteriormente detallados. Finalmente, certifico que estoy presentando mi declaración (o declaraciones) de culpabilidad porque de hecho soy culpable y pido que la sala acepte mi declaración (o declaraciones). _____________________ Date / Fecha ___________________________________ Signature of Defendant / Firma del Acusado H. Certification of Counsel As counsel of record for the above-named defendant, I hereby certify that: 1. With the aid of the certified Spanish interpreter whose name is signed below, I have discussed with the defendant, in detail, each of the matters set out above; 2. I have observed the defendant today, prior to the plea proceeding, and I am aware of no reason why the defendant is not competent to enter a plea (or pleas) of guilty at this time; and, 3. I am aware of no reason, at this time, why the defendant’s plea (or pleas) of guilty should not be accepted by the court. ___________________ Date ___________________________________ Attorney for Defendant I. Certification of Interpreter Page 16 of 17 I hereby swear or affirm as official court interpreter and officer of the United States District Court for the Northern District of Alabama that I have interpreted accurately and faithfully, and to the best of my abilities, the foregoing Guilty Plea Advice of Rights Certification, all statements made by the defendant to his or her attorney of record, and all statements by the attorney to the defendant. I have conveyed the true meaning of the words, phrases, and statements of the foregoing Guilty Plea Advice of Rights Certification and of each speaker, and that in doing so I have paid special attention to variations of the Spanish language due to educational, cultural, and regional differences. I did not interject my own words, phrases, or views. The original copy of the more extensive “Interpreter’s Written Oath” executed by me has been filed in the records of this case. ___________________ Date/Fecha _____________________________________ Signature of Interpreter / Firma del Intérprete Page 17 of 17