Hon. Gary Stein — Individual Rules of Practice

As of September 2023

INDIVIDUAL PRACTICES IN CIVIL CASES BEFORE

MAGISTRATE JUDGE GARY STEIN

Chambers Courtroom

500 Pearl Street, Room 702 500 Pearl Street, Room 9A

United States Courthouse United States Courthouse

New York, NY 10007 Southern District of New York

(212) 805-6120 New York, New York 10007

GSteinNYSDChambers@nysd.uscourts.gov Deputy Clerk: Mr. Tanuj Arora

Introduction

Cases come before magistrate judges in one of two ways: for specific purposes pursuant

to an order of reference by the assigned district judge, or for all purposes on consent of

the parties. Consent to jurisdiction of the Magistrate Judge has a number of benefits,

including ready access to the judge and a reliable trial date calendared well in advance.

The reason for this is that magistrate judge dockets have few criminal cases, which

otherwise take precedence over civil proceedings and trials. If counsel jointly wish to

consent to have Judge Stein hear their case for all purposes, the necessary form is at

https://nysd.uscourts.gov/hon-gary-stein.

Unless otherwise ordered by Judge Stein, civil matters before him, whether for all

purposes or by specific reference, shall comply with the practices.1 These practices do

not modify or affect the practices of the District Judge before whom a case may also be

pending.

1 Requests for reasonable accommodations on account of disability or religion with

respect to the Court’s practices and rules or in connection with any proceeding before

Judge Stein may be emailed to Chambers.

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I. Communications with Chambers

A. Letters. In general, communications with the Court should be by letter, via

electronic case filing (“ECF”), without email or other copy to Chambers.

Unless otherwise permitted by the Court, letters may not exceed 3 single-

spaced pages (exclusive of exhibits) and must otherwise adhere to Local

Civil Rule 11.1. All letters filed on ECF must be in searchable PDF form.

Any letter containing sensitive or confidential information that a party does

not wish to appear on the docket should follow the procedures outlined in

Section III.H below.

B. Pro Se Parties. By Standing Order, a pro se party must mail all

communications with the Court to the Pro Se Intake Unit located at 500

Pearl Street, Room 200, New York, NY 10007. A pro se party may not call

Chambers or send any document or filing directly to Chambers.

Submissions requiring immediate attention should be hand-delivered to the

Pro Se Intake Unit. Unless the Court orders otherwise, all communications

with the Court will be docketed upon receipt on ECF; such docketing shall

constitute service on any user of the ECF system. If any other party is not

a user of the ECF system (e.g., if there is another pro se party in the case),

a pro se party must send copies of any filing to that party and include proof

of service affirming that he or she has done so. Copies of correspondence

between a pro se party and opposing parties should not be sent to the Court.

Any non-incarcerated pro se party who wishes to participate in ECF filing

must file a Motion for Permission for Electronic Case Filing, available in the

Pro Se Intake Unit or at https://nysd.uscourts.gov/prose. Any non-

incarcerated pro se party who wishes to receive documents in their case by

email instead of by regular mail may consent to electronic service by filing

a Pro Se (Non-prisoner) Consent & Registration Form to Receive

Documents Electronically, available in the Pro Se Intake Unit or at

https://nysd.uscourts.gov/prose.

C. Emails and Faxes. Emails to Chambers are permitted for urgent matters

requiring immediate attention or where otherwise expressly permitted by the

Court in advance. No faxed communications shall be permitted without prior

permission from Chambers.

D. Telephone Calls. For procedural or administrative matters that do not

request a ruling from the Court, counsel may call Chambers.

E. Docketing, Scheduling and Calendar Matters. For docketing, scheduling

and calendar matters, call Tanuj Arora, the Courtroom Deputy at (212) 805-

6120 between 9:00 a.m. and 4:00 p.m.

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F. Hand Deliveries. Where permitted, hand-delivered mail from counsel

should be left with the Court Security Officers at the Worth Street entrance

of 500 Pearl Street and may not be brought directly to Chambers.

G. Requests for Adjournments or Extensions of Time. Requests for

adjournments or extensions of time must be filed on ECF as letter motions.

(If a request contains sensitive or confidential information, it may be

submitted by PDF via e-mail in lieu of being filed electronically.) The letter

motion must state: (i) the originally scheduled date(s); (ii) the number of

previous requests for an adjournment or extension and whether those

previous requests were granted or denied; (iii) the reason for the requested

adjournment or extension; and (iv) whether all affected parties consent, and

if not, the reasons given for refusing to consent. Absent good cause, any

request for an adjournment of a court conference or other court proceeding

(including a telephone conference) must be made at least 48 hours in

advance of the proceeding and include at least two proposed dates, on

which all counsel are available, for the adjourned proceeding.

II. Case Management and Discovery

A. Initial Case Management Conference. The parties must confer on a

discovery plan before the Initial Case Management Conference. No later

than one week before the Initial Case Management Conference, the parties

must file on ECF a joint Proposed Case Management Plan and Scheduling

Order. The parties should use the template form for the Proposed Case

Management Plan and Scheduling Order available at

https://nysd.uscourts.gov/hon-gary-stein.

1. Pro Se Cases. In cases involving pro se litigants, the parties may

each submit their own Proposed Case Management Plan and

Scheduling Order if conferring is not feasible.

2. Attendance. Lead counsel for the parties, as well as non-

incarcerated pro se parties, must attend the Initial Case

Management Conference. An incarcerated party who is unable to

attend in person may be allowed to participate by telephone or video

conference. The Initial Case Management Conference may be

conducted either in person, via telephone, or via video conference,

at the Court’s discretion.

B. Confidentiality Stipulations and Orders. In cases where confidential

information will be exchanged, the parties may submit a proposed

confidentiality stipulation and order. If a party expects to have responsive

discovery material they deem confidential, they must proceed promptly with

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proposing the terms of a confidentiality stipulation and order, and all parties

must negotiate the terms in good faith so that the absence of a

confidentiality stipulation and order does not delay production of discovery

material.

The parties should use the Court’s model Stipulation and Protective Order

available at https://nysd.uscourts.gov/hon-gary-stein, but may apply for a

protective order that differs from the Court’s model by submitting a letter

request via ECF and attaching the proposed order showing in a blackline

comparison how the proposed order differs from the Court’s model. The

letter should explain why the modifications are needed and note any

disagreements between the parties regarding the modifications.

C. Discovery Disputes. Parties shall follow Fed. R. Civ. P. 37(a) and Local

Rule 37.2 with the following modifications.

1. Requirement to Meet and Confer. Any party wishing to raise a

discovery dispute with the Court must first confer in good faith with

the opposing party in an effort to resolve the dispute. An exchange

of letters or emails alone does not satisfy this requirement. Counsel

must respond promptly and in good faith to any request from another

party to confer in accordance with this paragraph.

2. Letter Motion for Discovery Conference. If the meet-and-confer

process does not resolve the dispute, the party may file an ECF letter

motion to the Court or, if applicable, to the Pro Se Intake Clerk, no

longer than 3 single-spaced pages, explaining the nature of the

dispute and requesting a conference. Such letter must include a

representation that the meet-and-confer process occurred, including

when it occurred and whether it was in person or via telephone or

video conference. Any responsive letter should be submitted within

3 business days following submission of the letter motion and shall

also be limited to 3 single-spaced pages. No further letters may be

submitted without permission of the Court.

Parties shall keep in mind Rule 1 of the Federal Rules of Civil

Procedure, which requires the Court and the parties to construe,

administer, and employ the rules of procedure to secure the just,

speedy, and inexpensive determination of every action. Parties also

shall keep in mind Rule 26(b)(1) of the Federal Rules of Civil

Procedure, which provides that “[p]arties may obtain discovery

regarding any nonprivileged matter that is relevant to any party’s

claim or defense and proportional to the needs of the case,

considering the importance of the issues at stake in the action, the

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amount in controversy, the parties’ relative access to relevant

information, the parties’ resources, the importance of the discovery

in resolving the issues, and whether the burden or expense of the

proposed discovery outweighs its likely benefit.” Discovery motions

should address these rules to the extent applicable.

3. Discovery Conference/Oral Argument. The Court retains

discretion to rule on the dispute based on the parties’ letter

submissions, without more formal briefing, and with or without a

conference. The Court’s preference, however, is to hold a

conference with the parties and attempt to resolve the dispute during

the conference. If formal briefing is required, the Court will set a

schedule for such briefing at the conference.

III. Motions

A. Format. All motions and moving papers filed on ECF or emailed to

chambers shall be in searchable PDF form.

B. Letter Motions. Letter motions should be filed via ECF and comply with the

S.D.N.Y. Local Rules and the S.D.N.Y. Electronic Case Filing Rules and

Instructions. Letter motions are limited to 3 single-spaced pages (not

including exhibits). Any responsive letter should be submitted within 3

business days following submission of the letter motion and also be limited

to 3 single-spaced pages (not including exhibits). Parties must file as letter

motions the following requests:

• Requests for adjournments or extensions of time;

• Requests to resolve discovery disputes;

• Requests for pre-motion conferences; and

• Requests for settlement conferences.

C. Pre-Motion Conferences. A pre-motion conference is not required before

a party may file a motion (other than a discovery motion with formal

briefing). A party may, however, request a pre-motion conference by letter

motion where counsel believes that an informal conference with the Court

may obviate the need for the motion or narrow the issues in dispute.

D. Memoranda of Law. The typeface, margins and spacing of motion papers

must conform to Local Civil Rule 11.1. Unless prior permission has been

granted by the Court, memoranda of law in support of and in opposition to

motions are limited to 25 pages and reply memoranda are limited to 10

pages. Memoranda of 10 pages or more shall contain a table of contents

and a table of authorities, neither of which shall count against the page limit.

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Sur-reply memoranda will not be accepted without prior permission of the

Court. To the extent citing unreported cases, parties are requested to use

Westlaw citations whenever possible. Page citations to ECF filings shall be

to the page number appearing on the original document and not to the page

number in the ECF header.

E. Courtesy Copies. Unless otherwise requested by the Court, courtesy

copies are not required. If requested, courtesy copies should bear the ECF

header generated at the time of electronic filing and include protruding tabs

for any exhibits.

F. Oral Argument. Requests for oral argument of motions should be made by

letter. Counsel should select the “Letter-Motion” option on ECF for filing

such a request. Whether oral argument will be held remains in the Court’s

discretion. In some instances, the Court may hold oral argument even if the

parties have not requested it.

G. Motions in Pro Se Cases. As required by Local Civil Rule 7.2, counsel

must provide a pro se litigant with printed copies of cases and other

authorities cited in any submission that are unpublished or reported

exclusively on computerized databases. Where a party seeks summary

judgment against a pro se litigant, the party must also comply with the notice

requirements for Local Civil Rule 56.2. Where a party moves to dismiss for

judgment on the pleadings against a pro se litigant and refers to matters

outside the pleadings, counsel must serve and file the notice set forth in

Local Civil Rule 12.1. In such situations, counsel is strongly encouraged to

move in the alternative for summary judgment so that the pro se litigant

understands, based on the Local Civil Rule 56.1 submission, which facts

are relevant to the motion.

H. Electronic Filing Under Seal. Unless otherwise ordered, any party wishing

to file a document or portion thereof under seal or with redactions must

comply with the following procedures on or before the date on which the

relevant filing is due.

1. Sealing/Redactions Not Requiring Court Approval. Federal Rule

of Civil Procedure 5.2 describes sensitive information that must be

redacted from public court filings. No Court approval is required for

these redactions.

2. Sealing/Redactions Requiring Court Approval. Motions or letter

motions for approval of sealed or redacted filings in civil and

miscellaneous cases and the subject documents must be filed

electronically through the Court’s ECF system in conformity with the

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Court’s Standing Order, 19-mc-583, and ECF Rules & Instructions,

Section 6, available at https://nysd.uscourts.gov/rules/ecf-related-

instructions. The proposed sealed or redacted document may be

electronically filed on ECF using a restricted Viewing Level.

IV. Settlement Procedures

See Settlement Conference Procedures for Magistrate Judge Gary Stein, available

at https://nysd.uscourts.gov/hon-gary-stein.

V. Pretrial and Trial Procedures in Consent Cases

The following procedures apply to those cases where the parties have consented

pursuant to 28 U.S.C. § 636(c) to have all proceedings, including trial, before

Judge Stein. Absent such consent, the parties should refer to the individual

practices of the district judge.

A. Joint Pretrial Orders in Civil Cases.

1. Unless otherwise ordered by the Court, within 30 days after the date

for the completion of discovery in a civil case or, if a dispositive

motion has been filed, within 30 days after a decision resolving the

motion, the parties shall jointly prepare and submit to the court for its

approval a Proposed Pretrial Order.

2. In appropriate cases, the Court may be willing to dispense with

portions of the Pretrial Order, if both sides consent, in order to secure

the just, speedy and inexpensive determination of every action. The

parties should discuss such requests with each other and then with

the Court sufficiently in advance so that the Proposed Pretrial Order

will be filed within the time frames described above.

3. The Proposed Pretrial Order shall be filed by ECF.

B. Contents of the Proposed Pretrial Order.

1. Caption: The full caption of the action.

2. Counsel: The name, address, telephone number and email of each

principal member of the trial team, and identification of each party’s

lead trial counsel.

3. Subject Matter Jurisdiction: A brief statement identifying the basis

for subject matter jurisdiction, and, if that jurisdiction is disputed, the

reasons therefor. Such statement shall include citations to all

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statutes relied on and relevant facts as to citizenship and

jurisdictional amount.

4. Claims and Defenses: A list of each claim and defense that will be

tried and a list of any claims and defenses asserted in the pleadings

that are not to be tried. Where applicable, the statements shall

identify citations to relevant statutes relied on.

5. Law: Identification of the governing law for each claim and defense

that will be tried and a brief description of any dispute regarding

choice of law.

6. Damages: With respect to each claim remaining to be tried, a

statement and calculation of the damages claimed, broken down by

element or category (e.g., lost profits, back wages, medical costs,

etc.), and a description of any other relief sought.

7. Length of Trial: The number of days estimated for trial. If the parties

do not agree, each party shall give its estimate and the basis for that

estimate.

8. Fact-Finder: Whether the case is to be tried with or without a jury. If

a jury trial, state whether the parties agree to a non-unanimous

verdict pursuant to Fed. R. Civ. P. 48.

9. Stipulations: Any agreed-upon stipulations or statements of fact or

law.

10. Openings: Requested amount of time for openings.

11. Witness Lists: A list by each party of its trial witnesses that it, in

good faith, expects to present on its case in chief, with a statement

of the general subject areas of the witness’s testimony and an

indication of whether the witnesses will testify in person or by

deposition. The witness lists shall also include identification of

rebuttal witnesses that the party may call if needed. Absent good

cause, a party will not be allowed to present a witness not previously

identified on their witness list.

12. Witness Order: A statement as to how and when the parties will give

notice to each other of the order of their trial witnesses.

13. Depositions: Designation by each party of deposition testimony to

be offered in its case, referencing page numbers, with any cross-

designations and objections by any other party. If there is no

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objection or cross-designation, the Court will deem the opposing

party to have waived any such objection or cross-designation.

14. Exhibits: A list by each party of exhibits to be offered in its case. For

any exhibit as to which there is an objection, the party objecting must

briefly specify, next to the listing for that exhibit, the nature of the

party’s objection (e.g., “authenticity,” “hearsay,” “Rule 403”). Any

objection not listed shall be deemed waived. Exhibits not produced

during discovery or otherwise provided to other parties prior to trial

likely will not be allowed for any purpose.

15. Demonstratives: A proposed schedule by which the parties will

exchange demonstratives that the parties intend to use at trial, notify

each other of any objections thereto, consult with each other

regarding those objections, and notify the Court of any remaining

disputes.

16. Other Issues: All other matters that the Court may have ordered or

that the parties believe are important to the efficient conduct of the

trial, such as bifurcation or sequencing of issues to be tried.

C. Additional Pretrial Filings in Civil Cases. Unless otherwise ordered by

the Court, the following shall be filed at the same time as the Proposed

Pretrial Order:

1. Jury Cases.

a. Each party must file a Trial Memorandum of Law addressing

each issue of law that the party expects to arise at or before

trial.

b. The parties must jointly prepare and submit jury materials

consisting of:

● proposed voir dire questions to be asked of

prospective jurors;

● proposed jury instructions (with each instruction

separately numbered and beginning on a separate

page); and

● a proposed verdict form.

c. To the extent a party objects to another party’s requested voir

dire questions, jury instructions, or proposed verdict form, that

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party must (i) set forth the grounds for the objection and (ii) if

applicable, propose an alternative (all in the same document

so that the Court can compare the parties’ respective

proposals).

d. All jury instructions, objections, and alternative proposals

must include citation to supporting authority.

e. In addition to ECF-filing of voir dire questions, jury

instructions, and verdict sheets, electronic copies must also

be submitted as Microsoft Word documents and sent by email

to: GSteinNYSDChambers@nysd.uscourts.gov.

2. Non-Jury Cases.

a. Each party must file a Trial Memorandum of Law identifying

the issues, summarizing facts and applicable law, and

addressing any evidentiary issues.

b. The Court may also ask each party to file Proposed Findings

of Fact and Conclusions of Law before or after trial.

D. Motions in Limine. Each party shall file and serve any motions in limine

at the same time as the proposed pretrial order. Within two weeks of filing

the proposed pretrial order, each party shall file and serve its opposition to

any motion in limine. There shall be no replies for motions in limine.

E. Pro Se Cases. In pro se cases, the parties are not required to prepare joint

pretrial filings (but may do so jointly if feasible). Instead, within 30 days from

the date for the completion of discovery in a civil case or, if a dispositive

motion has been filed, within 30 days of a decision resolving the motion, the

represented party(ies) shall submit the pretrial materials set forth in

Sections V.A, B, C and D above. The pro se party shall file its own Pretrial

Statement. The pro se party’s Pretrial Statement need take no particular

form, but must be concise and contain:

1. a statement of the facts the party hopes to prove at trial;

2. a list of all documents or other physical objects that the party plans

to put into evidence at trial; and

3. a list of the names and addresses of all witnesses the party intends

to have testify at trial and the general subject matter of each

witness’s expected testimony.

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The Pretrial Statement must be sworn or affirmed by the pro se party to be

true and accurate based on the facts known by the party. The pro se party

must file an original Pretrial Statement with the Pro Se Office and serve a

copy on all other parties or their counsel if represented. The original Pretrial

Statement must indicate the date a copy was mailed to the other party or

that party’s attorney.

F. Witnesses.

1. No later than the end of each trial day, counsel must notify each other

and the Court of witnesses to be called the following trial day. The

parties may agree to earlier notification.

2. When a party’s case commences, the party is expected to have

witnesses available to fill the trial day, which will run from 9:30 am to

4:30 pm with two short breaks in the morning and afternoon and a

one-hour lunch break. The parties are on notice that if a party does

not have a witness available to testify, the Court may preclude

testimony or deem that party to have rested. Any requests to

schedule a witness out of order and/or for a particular day must be

made as soon as counsel is aware of the limited availability of that

witness. Absent good cause, untimely applications will be denied.

G. Exhibits. Unless otherwise ordered by the Court, no later than two business

days before trial begins, each party must provide each other party, and the

Court, with a tabbed binder or binders containing courtesy copies of its trial

exhibits and deposition designations.

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