Hon. Andrew L. Carter Jr. — Individual Rules of Practice

INDIVIDUAL PRACTICES OF ANDREW L. CARTER, JR.

Current as of November 10, 2025

Chambers Courtroom

United States District Court Courtroom 444

Southern District of New York Tara D. Hunter-Hicks

40 Foley Square Courtroom Deputy

New York, NY 10007

ALCarterNYSDChambers@nysd.uscourts.gov

Unless otherwise ordered by Judge Carter, matters before Judge Carter will be conducted in

accordance with the following practices:

1. Communications with Chambers

A. Letters. Except as otherwise provided below, communications with Chambers

should be by letter, with copies simultaneously delivered to all counsel. All letters must provide

the name of the case and its docket number, and must state the name of the party that counsel

represents.

Generally, letters should be filed electronically on ECF and courtesy copies should be emailed to

Chambers at ALCarterNYSDChambers@nysd.uscourts.gov as a .pdf attachment, with all

counsel copied on the email. Counsel should include the case caption, docket number, and a brief

description in the subject line of every email sent to Chambers. Example: Jane v. John; 12 Civ.

0000; Defendant’s request for a Pre-Motion Conference.

Courtesy copies of letters filed under seal or containing sensitive or confidential information

should also be emailed to Chambers in the format listed above. Pro se litigants may send letters

via email or regular mail. Copies of correspondence between counsel should not be sent to

Chambers.

B. Routine Questions. For routine docketing, scheduling, and calendar matters, please

email Chambers at ALCarterNYSDChambers@nysd.uscourts.gov.

D. Requests for Adjournments or Extensions of Time. Applications for

adjournments and extensions of time must be made by letter posted to ECF (not by telephone)

and received in Chambers by email (or regular mail for pro se litigants) at least two business

days before the scheduled appearance. See Rule 1A.

All such applications must state (1) the original date, (2) the number of previous requests, (3)

whether those previous requests were granted or denied, and (4) whether the adversary consents,

and, if not, the reasons given by the adversary for refusing to consent. Failure to comply with

these requirements will result in a denial of the request, absent good cause shown. If the

requested adjournment or extension affects any other scheduled dates, a proposed Revised

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Scheduling Order must be attached. Requests for extensions of deadlines regarding a matter that

has been referred to a Magistrate Judge should be directed to that assigned Magistrate Judge.

E. Related Cases. After an action has been accepted as related to a prior filing, all

future court papers and correspondence must contain the docket number of the new filing, as

well as the docket number of the case to which it is related.

F. Proposed Stipulations and Orders. In accordance with the Local Rules and the

Electronic Case Filing Rules and Instructions, parties should file on ECF all proposed

stipulations and orders that they wish the Court to sign, using the appropriate ECF filing event.

See SDNY ECF Rules & Instructions §§ 13.17-19 & App’x A. Notwithstanding the foregoing,

parties should not file on ECF a Consent to Proceed Before United States Magistrate Judge; the

parties should e-mail it to the Orders and Judgments Clerk at judgments@nysd.uscourts.gov.

G. Courtesy Copies. Any courtesy copy submitted to Chambers that was originally

filed on ECF must be clearly marked “Courtesy Copy,” “Original Filed by ECF,” and “Assigned

Document Number [print or type assigned document number].”

H. Submission of Large Electronic Files. The Court has a file transfer protocol for the

safe electronic transmission of large files. If a party needs to submit large files by email (as

opposed to ECF), the party should email the Court at

ALCarterNYSDChambers@nysd.uscourts.gov requesting a link to be used for such transfer. The

email should include the name and docket number of the case as well as the nature and size of

the materials to be submitted electronically. The Government may use USAfx.

2. Motions

A. Pre-Motion Conferences in Civil Cases. For discovery motions, follow Local Civil

Rule 37.2, requiring the moving party to request an informal conference with the Court before

the filing of any such motion. Strict adherence to Fed. R. Civ. P. 37(a)(1), the “meet and confer”

rule, is required. To raise a discovery dispute with the Court, contact the assigned Magistrate

Judge.

A pre-motion conference with the Court is required before making any motion, except:

• orders to show cause;

• motions for admission pro hac vice;

• motions to remand;

• motions for reargument or reconsideration (time to oppose (14 days); time to reply (7

days));

• motions for reduction of sentence;

• in forma pauperis motions;

• applications for attorney’s fees;

• motions to be relieved as counsel;

• motions for a new trial or amendment of judgments;

• motions for default judgment;

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• motions that are required by the Federal Rules of Appellate Procedure;

• objections to Magistrate Judges’ rulings;

• motions for appointment of lead plaintiffs and counsel in class actions;

• petitions to confirm or compel arbitration;

• motions in limine;

• habeas corpus petitions;

• motions in Social Security cases; and

• motions for temporary restraining orders or preliminary injunctions.

To arrange a pre-motion conference, the moving party should submit a letter, not to exceed 3

pages (exclusive of letterhead and signature block(s)), setting forth the basis for the anticipated

motion. The opposing party should submit a letter, also not to exceed 3 pages, setting forth its

position within 3 business days from the service of the moving party’s letter. If a pre-motion

conference is requested in connection with a proposed motion to dismiss, the request will stay

the deadline for the requesting party to move or answer.

B. Page Limits. A memorandum of law, in support of or in opposition to any motion, is

limited to 25 pages and reply briefs should be no longer than 10 pages. All memoranda of law

should be in 12-point font or larger, with 1" margins on all sides. Sur-reply memoranda will not

be accepted without prior permission of the Court.

C. Filing of Motion Papers. Counsel should electronically file its own motion papers

at the time of service. In cases involving pro se litigants, the party represented by counsel is

responsible for filing the entire motion on ECF. Counsel should deliver one courtesy copy of

the respective motion papers to Chambers after service.

D. Special Rules for a Motion to Dismiss.

i. During a pre-motion conference to discuss a motion to dismiss, the non-moving

party must advise the Court and its adversary whether it intends to file an

amended pleading based on the pre-motion conference letter, and if so, when it

will do so. If the party amends, the opposing party may then: (a) file an answer or

(b) submit a letter stating that it still intends to file a motion to dismiss. No further

requests for a pre-motion conference are necessary.

ii. If the non-moving party elects not to amend its complaint and the motion to

dismiss is granted, it is unlikely that the Court will grant the non-moving

party leave to amend.

E. Special Rules for a Summary Judgment Motion.

i. Except in pro se cases, the moving party should provide all other parties with an

electronic copy of the moving party’s Statement of Material Facts Pursuant to

Local Civil Rule 56.1. The 56.1 Statement must contain only one factual assertion

in each numbered paragraph. Each factual assertion must be followed by a

citation to the portion(s) of the evidentiary record relied upon. Opposing parties

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must reproduce each entry in the moving party’s Rule 56.1 Statement, and set out

the opposing party’s response directly beneath it. The response must state

specifically what is admitted and what is disputed, and the basis for any dispute,

citing specific portions of the evidentiary record relied upon. The response may

go on to make additional factual allegations in paragraphs numbered

consecutively to those of the moving party (i.e., do not begin re-numbering at 1).

If additional factual allegations are made by the opponent, the moving party must

file a responsive 56.1 Statement addressing the additional assertions.

ii. If multiple parties are submitting 56.1 Statements, they must coordinate their

statements to provide for consecutive, non-overlapping, numbered paragraphs in

their respective statements.

iii. With respect to any deposition that is supplied, whether in whole or in part, in

connection with a summary judgment motion, the index to the deposition should

be included if it is available.

F. Oral Argument on Motions. The parties may request oral argument; the Court will

advise counsel if argument will be heard and, if so, of the argument date.

G. Default Judgments. See Attachment A.

H. Unpublished Cases. Westlaw citations should be provided, if available, to cases not

available in an official reporter.

3. Conferences

A. Principal Trial Counsel. The attorney who will serve as principal trial counsel must

appear at all conferences with the Court.

B. Initial Civil Case Management Conference. At the start of a case, parties

consenting to proceeding before a magistrate judge should file form AO85 with the Clerk of

Court. Parties wishing to proceed before Judge Carter are required to register in accordance with

the Procedures for Electronic Case Filing as soon as reasonably practicable and file a notice of

appearance. Counsel can access the web site www.nysd.uscourts.gov and click on CM/ECF

Home Page for complete instructions on how to register. In any case involving allegations of

personal injury – whether physical, psychological, emotional or otherwise – the plaintiff is

to provide to the defendant, prior to the initial pretrial conference, all necessary medical

authorizations.

C. Criminal Cases. Upon assignment of a criminal case to Judge Carter, the parties

should immediately email Chambers at ALCarterNYSDChambers@nysd.uscourts.gov to arrange

for a prompt conference, at which the defendant will be present, in order to set a discovery and

motion schedule. The Assistant United States Attorney should deliver a courtesy copy of the

indictment and the criminal complaint, if one exists, to Chambers as soon as practicable.

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D. Courtroom. All conferences will be held in Courtroom 444 in 40 Foley Square,

unless otherwise indicated.

4. Pretrial Procedures

A. Joint Pretrial Orders in Civil Cases. Unless otherwise ordered by the Court, within

30 days after the date for completion of discovery in a civil case, or, if a dispositive motion has

been filed, within 30 days of its decision, the parties should file on ECF a joint pretrial order,

which should include the information required by Fed. R. Civ. P. 26(a)(3) and the following:

i. The full caption of the action.

ii. The names, addresses (including firm names), email addresses, and telephone

and fax numbers of trial counsel.

iii. A brief statement by plaintiff as to the basis of subject matter jurisdiction, and a

brief statement by each other party as to the presence or absence of subject

matter jurisdiction. Such statements should include citations to all statutes relied

on and relevant facts as to citizenship and jurisdictional amount.

iv. A brief summary by each party of the claims and defenses that party has asserted

that remain to be tried, without recital of evidentiary matter but including

citations to all statutes relied on. The parties should also identify all claims and

defenses previously asserted that are not to be tried.

v. A statement by each party as to whether the case is to be tried with or without a

jury, and the number of trial days needed.

vi. A statement as to whether all parties have consented to trial of the case by a

magistrate judge (without identifying which parties have or have not so

consented).

vii. Any stipulations or agreed statements of fact or law.

viii. A list of the witnesses each party expects to call on its case in chief, including a

very brief description of the witness’s role and/or the subject matter of his or her

anticipated testimony, and a statement as to whether any other party objects to

the witness.

ix. A designation by each party of deposition testimony to be offered in its case in

chief, with any cross-designations and objections by any other party.

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

indication of whether any party objects to the exhibit and a brief statement of the

nature of the objection (e.g., “relevance,” “authenticity,” “hearsay”).

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xi. A statement of damages claimed, itemizing each component or element of the

damages sought with respect to each claim, including the manner and method

used to calculate the claimed damages.

xii. A statement as to whether the parties consent to a less than unanimous verdict.

At least 14 days before the parties file their joint pretrial order, all counsel must meet for at

least one hour to discuss settlement in good-faith. Counsel are encouraged to request a

settlement conference before the assigned magistrate judge.

B. Filings Prior to Trial in Civil Cases. Unless otherwise ordered by the Court, each

party should file on ECF (pro se litigants should file via regular mail) the following documents

21 days before the date of commencement of trial:

i. In jury cases, proposed voir dire questions, requests to charge and verdict form.

The plaintiff’s proposed voir dire questions should include an agreed-upon

paragraph (designated as such) for the Court to use in voir dire to provide the jury

panel with a brief explanation of the case. If the parties cannot agree on such a

paragraph after good-faith efforts, their respective proposed paragraphs

(designated as such) should be set forth in their respective voir dire submissions.

In addition to being filed on ECF, the proposed voir dire questions, requests to

charge and verdict form should be emailed as single MS Word documents to

ALCarterNYSDChambers@nysd.uscourts.gov. Each proposed jury instruction

must contain a citation to the source/authority for the proposed instruction.

ii. In nonjury cases, proposed findings of fact and conclusions of law. Proposed

findings of fact should be detailed, and proposed conclusions of law should

include a statement of the elements of each claim or defense.

iii. In all cases, motions addressing any evidentiary or other issues that should be

resolved in limine; and

iv. In any case where any party believes it would be useful, a pretrial memorandum.

C. Filings in Opposition. Unless otherwise ordered by the Court, any represented party

should file on ECF the following documents within 1 week of the filing of any document

described in Section 4.B. above (pro se litigants may file via regular mail):

i. Objections to the other party’s proposed voir dire questions or requests to charge.

ii. Opposition to any motion in limine.

iii. Opposition to any legal argument made in a pretrial memorandum.

D. Additional Submissions in Non-Jury Cases. At the time the joint pretrial order is

filed, each party should serve, but not file, the following:

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i. Affidavits constituting the direct testimony of each trial witness, except for the

testimony of an adverse witness for whom a party has requested and the Court has

agreed to hear direct testimony during the trial. Three business days after

submission of such affidavits, counsel for each party should submit a list of all

affiants whom he or she intends to cross-examine at trial. Only those witnesses

who will be cross-examined need appear at trial. The original affidavit should be

marked as an exhibit at trial.

ii. All deposition excerpts which will be offered as substantive evidence, as well as a

1-page synopsis (with page references) of those excerpts for each deposition.

iii. All documentary exhibits.

One courtesy copy of the joint pretrial order and all documents filed with the pretrial

order should be submitted to chambers on the date of filing. One week before the start of

the trial, each party should file, with an accompanying table of contents or index, all

documents referenced in Section 4.D. of these Rules. Two courtesy copies should be hand

delivered to chambers on that date as well.

5. Post-Trial Procedures

Counsel are responsible for raising promptly any issue concerning the accuracy of transcripts

certified by the Court Reporter to be used for purposes of appeal. Counsel perceiving an error

that is material should stipulate to the appropriate correction or, if agreement cannot be reached,

should proceed by motion on notice. Non-material defects in syntax, grammar, spelling or

punctuation should be ignored.

6. Other Pretrial Matters

A. Bankruptcy Appeals. Briefs must be submitted in accordance with Federal Rule of

Bankruptcy Procedure 8009. Counsel may extend these dates by stipulation submitted to the

Court no later than 2 business days before the brief is due. The page limits in Rule 7.1(b) of the

Local Civil Rules of the United States District Courts for the Southern and Eastern Districts of

New York must be observed.

B. Settlement Agreements. The Court will not retain jurisdiction to enforce

confidential settlement agreements. If the parties wish that the Court retain jurisdiction to enforce

the agreement, the parties must place the terms of their settlement agreement on the public

record. The parties may either provide a copy of the settlement agreement for the Court to

endorse or include the terms of their settlement agreement in their stipulation of settlement and

dismissal.

C. Electronic Filing Under Seal in Civil and Miscellaneous Cases

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i. Sealing/Redactions Not Requiring Court Approval. Federal Rule of Civil

Procedure 5.2 describes sensitive information that must be redacted from

public court filings without seeking prior permission from the Court.

ii. Sealing/Redaction 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-00583, and ECF Rules & Instructions, Section

6.

The motion must be filed in public view, must explain the particular reasons

for seeking to file that information under seal and should not include

confidential information sought to be filed under seal. Supporting papers

must be separately filed electronically and may be filed under seal or redacted

only to the extent necessary to safeguard information sought to be filed under

seal.

The proposed sealed document must be contemporaneously filed under seal in

the ECF system and electronically related to the motion. The summary docket

text, but not the sealed document, will be open to public inspection and should

not include confidential information sought to be filed under seal.

Where the motion seeks approval to redact information from a document that

is to be publicly filed, the filing party shall: (a) publicly file the document

with the proposed redactions, and (b) electronically file under seal a copy of

the unredacted document with the proposed redactions highlighted. Both

documents must be electronically filed through the ECF system and related to

the motion.

Any party unable to comply with the requirement for electronic filing under

seal through the ECF system, or who has reason to believe that a particular

document should not be electronically filed, must move for leave of the Court

to file in the traditional manner, on paper.

D. Requests for Sealing. Parties must obtain leave of this Court before filing any

document under seal. Any sealing request should include a party’s proposed redactions. If leave

is granted, parties must file redacted copies with the Clerk of the Court. Proposed protective

orders should include a provision reflecting this requirement.

7. Policy on the Use of Electronic Devices

A. Mobile Phones and Personal Electronic Devices. Attorneys’ use of mobile phones

and other personal electronic devices within the Courthouse and its environs is governed by

Standing Order M10-468. Any attorney wishing to bring a telephone or other personal electronic

device into the Courthouse must be a member of this Court’s Bar, must obtain the necessary

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service pass from the District Executive’s Office, and must show the service pass upon entering

the Courthouse. Mobile phones are permitted inside the Courtroom, but must be kept

turned off at all times.

B. Computers, Printers, or Other Electronic Equipment. In order for an attorney to

bring into the Courthouse any computer, printer, or other electronic equipment not qualifying as

a “personal electronic device,” specific authorization is required by prior Court Order. Any party

seeking to bring such equipment into the Courthouse should send a letter to Chambers at least 10

business days in advance of the relevant trial or hearing requesting permission to use such

equipment. The request letter should identify the type(s) of equipment to be used and the name(s)

of the attorney(s) who will be using the equipment. Chambers will coordinate with the District

Executive’s Office to issue the Order and forward a copy to counsel. The Order must be shown

upon bringing the equipment into the Courthouse.

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ATTACHMENT A

PROCEDURES FOR DEFAULT JUDGMENTS

1. Certificate of Default. To file for a certificate of default, parties must submit to the Clerk of

the Court a “request for entry of default” and a proposed “clerk’s certificate.” Parties must

submit this electronically through the ECF system but must also send a courtesy copy of the

certificate only, by hand or mail (along with a self addressed stamped envelope) to the Orders

and Judgments Clerk for signature and seal. This signed certificate is to be attached to the

default judgment when the default judgment is electronically filed.

2. Motion for Default Judgment. Once the plaintiff obtains a Certificate of Default, it should

deliver to the Orders and Judgments Clerk an Order to Show Cause, including a return date

and time approved by chambers, and a proposed default judgment Order. It should also file

on ECF its motion for a default judgment. The motion should include:

A. An attorney’s affidavit setting forth:

i) why a default judgment is appropriate, including a description of the

method and date of service of the original summons and complaint;

ii) whether, if the default is applicable to fewer than all of the defendants, the

Court may appropriately order a default judgment on the issue of damages

prior to resolution of the entire action;

iii) the proposed damages and the basis for each element of damages

including interest, attorneys’ fees, and costs;

iv) legal authority for why an inquest would be unnecessary; and

v) that the defendant is not an infant or an incompetent.

B. A proposed default judgment.

C. Copies of all the pleadings.

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

E. If failure to answer is the basis for the default, a Certificate from the Clerk of the

Court stating that no answer has been filed.

F. A certificate of service complying with Local Civil Rule 55.2(c). Service on the

defaulting parties must be made by certified mail and the plaintiff should submit the

tracking number to the Court.

G. A memorandum providing the legal and factual authority proving that liability has

been established.

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3. Damages. If the plaintiff seeks an award of damages in the motion for a default judgment,

the plaintiff must also include:

A. A request for an amount equal to or less than the principal amount demanded in the

complaint;

B. Definitive information and documentation such that the amount provided for in the

proposed judgment can be calculated. (If this requirement cannot be satisfied, a

default judgment may be granted as to liability, and damages will be determined by

an inquest);

C. An affidavit representing that no part of the judgment sought has been paid, other

than as indicated in the motion;

D. A request for interest on the principal amount not to exceed 9%, if interest is sought;

E. Reasonable attorney’s fees incurred in the preparation of the default judgment

application, usually not to exceed $2,000, if attorney’s fees are sought; and

F. The calculations made in arriving at the proposed judgment amount.

The plaintiff(s) must submit one courtesy copy to Chambers.

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ATTACHMENT B

PROCEDURE FOR SENTENCINGS

Unless permission to the contrary has been obtained, every document in a sentencing

submission, including letters, should be filed in the public record, either in paper form or through

the ECF system, using the procedures described below. Defense counsel is responsible for filing

all letters submitted on behalf of the defendant, including those from friends, relatives, etc. The

Government is responsible for filing all letters from victims.

In this regard, the parties are referred to E-Government Act of 2002 and the Southern District’s

ECF Rules & Instructions, Section 21, Privacy and Public Access to ECF cases, (“Privacy

Policy”) and reminded not, unless necessary, to include the five categories of “sensitive

information” in their submissions (i.e., social security numbers; names of minor children [use the

initials only]; dates of birth [use the year only]; financial account numbers; and home addresses

[use only the city and state]). Parties may redact the five categories of “sensitive information”

and the six categories of information requiring caution (i.e., personal identifying numbers;

medical records, treatment and diagnosis; employment history; individual financial information;

proprietary or trade secret information; and information regarding an individual’s cooperation

with the government) as described in the Privacy Policy, without application to the Court. If any

material is redacted from the publicly filed document, only those pages containing the redacted

material will be filed under seal. Bring a copy of those pages to the sentencing proceeding,

marked to indicate what information has been redacted from the publicly filed materials, to give

to the Court for filing under seal.

1. A defendant’s sentencing submission should be served two weeks in advance of the date

set for sentence. The Government’s sentencing submission should be served one week in

advance of the date set for sentence. The parties should provide the Court with one

courtesy copy of each submission when it is served. At the time it is served, a party

should file its sentencing submission following one of the two procedures described

here.

a. ECF Filing. If the case is electronically filed, letters must be filed

electronically on the ECF system. A party should group and file the letters

together as attachments to a single document marked SENTENCING

MEMORANDUM with the caption and docket number clearly indicated.

b. Paper Filing. If the case is not electronically filed, letters must be filed as

hard copies. A party should group all letters together in a single paper filing

under a cover marked SENTENCING MEMORANDUM with the caption

and docket number clearly indicated and submit it to the Clerk’s Office.

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

the Privacy Policy, an application to do so must be served and filed at the time the

sentencing submission is served. The application should clearly identify the redaction

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and explain the reasons for the redaction. The application will be addressed at the

sentencing proceeding.

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