Hon. Laura Taylor Swain — Individual Rules of Practice

UNITED STATES DISTRICT COURT

SOUTHERN DISTRICT OF NEW YORK

INDIVIDUAL PRACTICES OF CHIEF JUDGE LAURA TAYLOR SWAIN

The following Individual Practices Rules apply to all civil and criminal matters pending before Chief

Judge Swain on and after January 14, 2026.

Special notice to pro se parties: Pro se parties are directed to submit all filings and communications

addressed to Judge Swain, whether related to a case pending before the Court, or to a matter the

party wishes to direct to Judge Swain in her capacity as Chief Judge, through the Court’s Pro Se

Intake Unit. Information about the Court’s Pro Se Intake Unit and how to submit filings to that Unit

is available on the Court’s website, at https://www.nysd.uscourts.gov/prose. Submissions emailed,

mailed, or faxed directly to Judge Swain’s chambers by pro se parties may be disregarded.

Contents

A. General Provisions

1. Communications with Chambers

2. Motions

3. Pretrial Procedures

4. Proposed Orders and Judgments

5. Redactions and Filing Under Seal

6. Pro Se Parties

7. Participation by Junior Attorneys

B. Criminal Cases

1. Initial Pretrial Conference

2. Substitution of Counsel

3. Motions

4. Applications to File Under Seal

5. Pleas

6. Trial Procedures

7. Sentencing

Unless otherwise ordered by Judge Swain, matters before Judge Swain shall be conducted in

accordance with the following practices:

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A. General Provisions

1. Communications with Chambers

a. Letters - ECF Filing and Electronic Courtesy Copies.

i. In general. Except as otherwise provided below, communications with

Chambers must be by letter. Unless there is a request to file a letter under

seal or a letter contains sensitive or confidential information that the sender

believes should not be filed electronically (see subdivision A.5 below), all

letters to the Court must be filed electronically on the ECF system.

ii. Confidential Information – Sealing and/or Redaction Requests. See

subdivision A.5. below.

iii. Length, Format, etc. Whether filed electronically or not, letters (together

with any related exhibits) may not exceed 3,500 words. All letters must be

labeled with the name and docket number of the case, the Judge’s initials

(LTS), and (for civil cases) the Magistrate Judge’s initials. Letters solely

between parties or their counsel or otherwise not addressed to the Court may

not be filed on ECF or sent to the Court (except as exhibits to an otherwise

properly filed document).

b. Prior Consultation with Opposing Parties Required. Prior to requesting judicial

action, the requesting counsel must consult with all other parties in an effort to

obtain their consent to the request. The letter to the Court must confirm that such

effort has been made and must indicate whether the request is being made on

consent. See also subdivision 2.b. below.

c. Communications with Chambers by represented parties should be made by

email, directed to SwainNYSDCorresp@nysd.uscourts.gov. All counsel must be

copied, unless the email concerns an ex parte matter.

d. Docketing, scheduling, and calendar matters. For docketing, scheduling and

calendar matters, represented parties should email Chambers, copying all counsel,

at SwainNYSDCorresp@nysd.uscourts.gov.

e. Requests for adjournments or extensions of time. All requests for adjournments

or extensions of time must be made in writing and filed on ECF as letter-motions.

If such a request in a criminal case contains sensitive or confidential information,

it may be submitted by email, to SwainNYSDCorresp@nysd.uscourts.gov, in lieu

of electronic filing. A sensitive or confidential letter-motion in a civil case must be

filed on ECF in accordance with the pertinent ECF sealed filing procedures (see

subdivision A.5. below). The letter-motion must state (1) the original date, (2) the

number of previous requests for adjournment or extension, (3) whether these

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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. If the

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

Revised Scheduling Order must be submitted in accordance with the ECF

procedures. If the request is for an adjournment of a court appearance, absent an

emergency it must be made at least 48 hours prior to the scheduled appearance.

f. Courtesy Copies Required. A courtesy copy of all letters, motions, pleadings, and

other filings must be promptly emailed to Chambers at

SwainNYSDCorresp@nysd.uscourts.gov. The courtesy copy of any submission

filed on ECF must be a copy of the filed version of the submission and must include

the automatically-generated ECF header (that is, the text – for example, “Case 1:20-

cv-01234-ABC Document 100 Filed 09/03/20 Page 1 of 1”– appearing at the top

of each page of a document on the ECF system). No paper courtesy copies need to

be submitted, unless requested by Chambers.

2. Motions

a. Pre-motion conferences in civil matters. For discovery motions, follow Local

Civil Rule 37.2. For motions other than discovery motions, pre-motion conferences

are not required. Compliance with the certification requirement of subdivision b.

below is, however, required for all civil case motions, whether discovery-related or

not.

b. Informal efforts to resolve issues required.

i. Pre-motion communications.

(1) In civil matters, prior to making a motion of any type, and prior to

requesting a conference on any discovery issues, the parties must

use their best efforts to resolve informally the matters in

controversy. Such efforts must include, but need not be limited to,

an exchange of letters outlining their respective legal and factual

positions on the matters and at least one telephonic or in-person

discussion of the matters.

(2) If a motion pursuant to Fed. R. Civ. P. 12(b)(6) or 12(c) is

contemplated, the plaintiff or counterclaimant must indicate whether

it wishes to amend the subject pleading prior to motion practice, and

the parties must consider in good faith a stipulation permitting such

amendment.

ii. Certification in notice of motion. If a motion or a discovery conference

request remains necessary in a civil matter, the notice of motion or written

discovery conference request must include a separate paragraph certifying

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in clear terms that the movant or requesting party has used its best efforts to

resolve informally the matters raised in its submission. If the motion is one

pursuant to Fed. R. Civ. P. 12(b)(6) or 12(c), the certification must also state

whether the challenged pleading has been amended in response to the

arguments raised in the motion.

Statement by non-moving party. Within seven (7) days after a motion

pursuant to Rule 12(b)(6) or 12(c) is filed, the non-moving party must, by

letter, filed on the ECF system, notify the moving party of its intent to

amend the complaint as of right, make any request for leave to amend in

response to the motion, or state that it will file its opposition to the motion

without further amendment. If no letter is filed within seven (7) days, the

motion will be briefed in accordance with Local Civil Rule 6.1. If the

pleading will be amended as of right, briefing of the motion is stayed

pending the timely filing of the amendment. If leave to amend is requested,

briefing on the motion is stayed pending the Court’s resolution of the

request.

c. Letter-Motions. All requests for adjournments, extensions and pre-motion

conferences (including pre-motion conferences with respect to discovery disputes)

should be filed as letter-motions. Letter-motions must be filed via ECF in

compliance with the S.D.N.Y. Local Rules and the S.D.N.Y. “Electronic Case

Filing Rules and Instructions.”

d. Motions for default judgment. A party wishing to obtain a default judgment must

notify the Court by letter (copied to the party against which a default judgment is

to be sought and filed on the ECF System) of its desire to seek a default judgment.

The Court will enter an order directing the party as to whether evidentiary

submissions will be required in connection with the motion. Default judgments

will be granted only upon written motion with notice to Defendant(s) and their

counsel, if known. A copy of the Clerk’s Certificate of Default, an affidavit or

declaration in accordance with Local Civil Rule 55.2(a)(1), and proof of service of

the Summons and Complaint, the Motion for Default Judgment, the Clerk’s

Certificate of Default and the aforementioned affidavit or declaration must be

attached to the Motion for Default Judgment, along with any other material the

Court directs be included in the motion papers. The Motion for Default Judgment

must also include the papers required by Local Civil Rule 7.1, including a

memorandum of law, and must be accompanied by a proposed order detailing the

proposed judgment to be entered.

e. Motions for withdrawal or displacement of attorney of record in civil matters.

An attorney who has appeared as attorney of record for a party in a civil matter may

be relieved or displaced in accordance with Local Civil Rule 1.4.

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f. Evidentiary support. Evidentiary support, in admissible form, of all factual

assertions relied upon in support of or in opposition to a motion must be filed and

served with the moving or opposition papers, as the case may be. Recitals in notices

of motion, attorneys’ affirmations, assertions of material factual matters “on

information and belief” and the like are generally insufficient to establish

factual matters.

g. Briefing. Unless otherwise directed by the Court in the particular case, motions in

civil matters must be briefed in accordance with the schedule set forth in Local

Civil Rule 6.1.

h. Memoranda of law. Unless prior permission has been granted, if filed by an

attorney or prepared with a computer, memoranda of law in support of and in

opposition to motions are limited to 8,750 words, and reply memoranda are limited

to 3,500 words; if filed by a party who is not represented by an attorney and

handwritten or prepared with a typewriter, briefs in support of and in response to a

motion may not exceed 25 pages, and reply briefs may not exceed 10 pages. These

limitations do not include the caption, any index, table of contents, table of

authorities, signature blocks, or any required certificates, but do include material

contained in footnotes or endnotes. If a brief is filed by an attorney or prepared

with a computer, it must include a certificate by the attorney, or party who is not

represented by an attorney, that the document complies with the word‐count

limitations. The person preparing the certificate may rely on the word count of the

word‐processing program used to prepare the document. The certificate must state

the number of words in the document. To the extent the court permits a party to

submit briefs longer than these limits, and expresses those limits in pages, each

additional page must not contain more than 350 additional words if the brief is filed

by an attorney or prepared with a computer. Memoranda of 10 pages or more must

contain a table of contents. The format of the documents must comply with Local

Civil Rule 7.1.

i. Filing of motion papers. Motion papers must be filed at the time of service or

promptly thereafter.

j. Oral argument and evidentiary proceedings on motions. Parties may request

oral argument and/or indicate the need for an evidentiary hearing at the time their

moving, opposing or reply papers are filed, by including a conspicuous notation of

the request on the cover page of the relevant paper. The Court will determine

whether argument will be heard and/or whether an evidentiary proceeding is

required to resolve disputed factual issues and, if it determines that such an

argument or proceeding is necessary, will advise counsel of the relevant date.

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3. Pretrial Procedures

a. Joint pretrial statement. A joint pretrial statement must be filed, and other

materials submitted, in accordance with the Pretrial Scheduling Order entered in

the particular case.

4. Proposed Orders and Judgments

a. Submission of proposed orders and judgments. All proposed orders and

judgments, including stipulations to be “so-ordered,” must be submitted in the

manner required by the Court’s “Electronic Case Filing Rules and Instructions,”

with a courtesy copy emailed to Chambers at

SwainNYSDCorresp@nysd.uscourts.gov.

b. Applications for temporary restraining orders. If a party wishes to seek a

temporary restraining order, it should file a Motion for a Temporary Restraining

Order, supporting documents, and a proposed order, on ECF in accordance with the

procedures found in ECF Rule 18.2. Information on filing an application ex-parte

may be found in section 6, Sealed Filing, of the S.D.N.Y. ECF Rules & Instructions,

available on-line at https://nysd.uscourts.gov/rules/ecf-related-instructions. Where

the motion is made on notice to the other parties, the moving party should

simultaneously serve the documents on any party that will not receive electronic

service via the ECF system. The moving party should then email chambers at

SwainNYSDCorresp@nysd.uscourts.gov, giving notice of the filing and the time

frame requested for Court action. (Where the motion is made on notice, all parties

should be copied on the email.) If the matter is time sensitive and Chambers does

not respond within two (2) hours, the moving party may contact the Clerk’s Office

before the end of the business day at (212) 805-0140.

5. Redactions and Filing Under Seal.

a. In general. Except as provided in subdivision 5(b)(i) below, and notwithstanding

any provision to the contrary in a confidentiality order or stipulation, any party

wishing to file under seal and/or in redacted form any document, or any portion

thereof, must make a specific request to the Court by letter-motion or motion

explaining the particular reasons for seeking to file that information under seal.

b. Electronic Filing Under Seal in Civil and Miscellaneous Matters.

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. Such

sensitive information includes: Social Security numbers; names of minor

children; dates of birth; and financial account numbers.

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Other information that should be treated with caution and may warrant a

motion for approval of sealed or redacted filing includes: personal identifying

numbers (PIN numbers); medical records, treatment and diagnosis;

employment history; individual financial information; proprietary or trade

secret information; personal home addresses, email addresses, and telephone

numbers; and information regarding an individual’s cooperation with the

government.

Sensitive information and information requiring caution must not be included

in any document filed publicly on ECF unless such inclusion is necessary and

relevant to the case. If such information must be included, personal

identifiers must be partially redacted in accordance with the above-cited rules

and policies in order to protect any privacy interest.

ii. Sealing/Redaction Requiring Court Approval. Motions or letter-motions

by represented parties 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

(S.D.N.Y. Dec. 19, 2019), 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 redactions highlighted. Both documents

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

motion.

To be approved, any redaction or sealing of a court filing must be narrowly

tailored to serve whatever purpose justifies the redaction or sealing and must

be otherwise consistent with the presumption in favor of public access to

judicial documents. See, e.g., Lugosch v. Pyramid Co. of Onondaga, 435

F.3d 110, 119-20 (2d Cir. 2006). In general, the parties’ consent or the fact

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that information is subject to a confidentiality agreement between litigants is

not, by itself, a valid basis to overcome the presumption in favor of public

access to judicial documents. See, e.g., In re Gen. Motors LLC Ignition

Switch Litig., No. 14-MD-2543-JMF, 2015 WL 4750774, at *4 (S.D.N.Y.

Aug. 11, 2015).

The party seeking leave to file sealed or redacted materials should meet and

confer with any opposing parties (or third parties seeking confidential

treatment of the information, if any) in advance to narrow the scope of the

request. The motion must justify the request in light of the standards set forth

in Lugosch and state whether the request is on consent. When a party seeks

leave to file sealed or redacted materials on the ground that an opposing party

or third party has requested it, the filing party shall notify the opposing party

or third party that it must file, within three days, a letter explaining the need

to seal or redact the materials.

Additionally, the party seeking leave must email to Chambers, at

SwainNYSDCorresp@nysd.uscourts.gov, by encrypted and/or password-

protected means, unredacted courtesy copies of the letter motion and relevant

document(s) with all proposed redactions in highlighted form.

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.

In conformity with the Court’s Standing Order, 25-mc-00421 (S.D.N.Y. Sep.

24, 2025), sealed documents filed in ECF are no longer electronically

accessible or viewable by non-court users, service of those documents can no

longer be accomplished through ECF. Parties must serve sealed documents

by other appropriate means consistent with the applicable Federal Rules of

Procedure. Service accomplished outside the ECF system must be

documented in accordance with the applicable Federal Rules of Procedure

concerning certificates of service.

c. Pro se parties who wish to seek permission to file documents under seal, and who do

not have permission to file documents electronically, are directed to contact the

Court’s Pro Se Intake Unit, at the contact information provided on the Court’s

website, see https://www.nysd.uscourts.gov/prose/role-of-the-prose-intake-

unit/contact, for appropriate direction.

d. Highly Sensitive Documents or Information. To the extent any party seeks leave

to file a document or information under seal in paper copy, rather than on the Court’s

ECF system, by virtue of that document or information containing classified

information or information that could harm national security, or if its disclosure could

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reasonably be expected to cause exceptionally grave damage or injury to any person,

entity or institution, it must seek leave to do so following the procedures set forth in

the Court’s Amended Standing Order, 21-mc-0006 (S.D.N.Y. June 27, 2024).

6. Pro Se Parties.

a. Application of Individual Practices Rules. Except as otherwise provided or

ordered by the Court, these Individual Practices apply to all civil matters, including

pro se matters. Pro se parties must also comply with the applicable Federal Rules of

Civil Procedure, and the Southern District of New York’s Local Rules (available at

http://nysd.uscourts.gov/courtrules.php).

b. Communications. All filings and communications from by pro se parties must be

filed through the Pro Se Intake Unit, and must not be emailed, mailed, or faxed

directly to chambers. Similarly, pro se parties should not call chambers; procedural

questions should instead be addressed to the Court’s Pro Se Intake Unit. Information

about the Pro Se Intake Unit, how to submit filing through that Unit, and how to

contact that Unit with questions is available on the Court’s website, at

https://www.nysd.uscourts.gov/prose/role-of-the-prose-intake-unit/contact.

c. Resources for Pro Se Parties. Pro se parties are directed to the Court’s website at

https://www.nysd.uscourts.gov/prose for other important information concerning

proceeding pro se in this Court.

d. Contact Information. Pro se parties are required to maintain their current mailing

address on the docket at all times, and must notify the Court of any change of address

by filing a change of address form with the Pro Se Intake Unit. Failure to notify the

Court of a change of address may result in dismissal of a case brought by a pro se

party.

e. Pro Se Law Clinic. Pro se parties are advised that there is a Pro Se Law Clinic

available to assist self-represented parties in civil cases. The Clinic may be able to

provide a pro se party with advice in connection with their case. The Pro Se Law

Clinic is run by a private organization called the City Bar Justice Center; it is not

part of, or run by, the Court (and, among other things, therefore cannot accept filings

on behalf of the Court, which must still be made by any self-represented party

through the Pro Se Intake Unit). Litigants in need of legal assistance should

complete the City Bar Justice Center’s intake form to make an appointment. If a

litigant has questions about the intake form or needs to highlight an urgent deadline

already disclosed in the form, the clinic can be contacted by phone (212-382-4794)

or email (fedprosdny@nycbar.org). In-person appointments in the Thurgood

Marshall Courthouse in Manhattan and the Charles L. Brieant Jr. Federal Building

and Courthouse in White Plains are available Monday through Thursday, 10am to

4pm. Appointments are also available remotely Monday through Friday, 10am to

4pm.

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7. Participation by Junior Attorneys. The Court encourages the participation of less

experienced attorneys in all proceedings—including pretrial conferences, hearings on

discovery disputes, oral arguments, and examinations of witnesses at trial—particularly

where that attorney played a substantial role in drafting the underlying filing or in preparing

the relevant witness. Nevertheless, all attorneys appearing before the Court must have

authority to bind the party they represent consistent with the proceedings (for example, by

agreeing to a discovery or briefing schedule), and should be prepared to address any matters

likely to arise at the proceeding. The Court looks forward to seeing a diverse range of

advocates before it.

B. Criminal Matters

1. Initial pretrial conference. The Assistant U.S. Attorney must contact Chambers by email

(at SwainNYSDCorresp@nysd.uscourts.gov) as soon as possible after the case is assigned

to Judge Swain. The Assistant must provide all pertinent information to Chambers, including

a copy of the information/indictment. The Courtroom Deputy will set up a

conference/arraignment.

2. Substitution of counsel. When there is to be a substitution of defense counsel, counsel of

record must contact Chambers by email (at SwainNYSDCorresp@nysd.uscourts.gov) to

schedule a conference. At the conference, the Court will address the application by defense

counsel to be relieved. The defendant, counsel of record, the proposed replacement counsel,

and the Assistant United States Attorney must all attend the conference.

3. Motions.

a. Counsel are expected to comply with Local Criminal Rule 16.1. Any motion

described in that Rule must include a Rule 16.1 affidavit.

b. Unless otherwise directed by the Court in the particular case, motions must be

briefed in accordance with the schedule set forth in Local Criminal Rule 12.1.

Counsel must email courtesy copies of all motion papers to Chambers at

SwainNYSDCorresp@nysd.uscourts.gov.

c. Except for good cause shown, all motions in limine must be interposed so as to

permit full briefing by at least seven (7) days before the final pretrial conference

date.

4. Applications to file under seal. Any party wishing to request permission to file

document(s) or information under seal in a criminal matter must email its application to

Chambers at SwainNYSDCorresp@nysd.uscourts.gov, copying all counsel unless the

application concerns an ex parte matter. The email should also include complete, unredacted

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copies of the material proposed to be sealed or redacted and copies that include highlighting

of all proposed redactions. The application must clearly identify the redaction(s) and explain

the reasons for the redaction(s). The copy reflecting the proposed redactions must be filed

electronically on ECF pending the Court’s order. In conformity with the Court’s Standing

Order, 25-mc-00421 (S.D.N.Y. Sep. 24, 2025), sealed documents filed in ECF are no longer

electronically accessible or viewable by non-court users, service of those documents can no

longer be accomplished through ECF. Parties must serve sealed documents by other

appropriate means consistent with the applicable Federal Rules of Procedure. Service

accomplished outside the ECF system must be documented in accordance with the

applicable Federal Rules of Procedure concerning certificates of service.

a. If an application to file under seal or with redactions is granted, the applying party

must bring complete, unredacted copies of the material proposed to be sealed or

redacted to the Court’s Records Management Department (500 Pearl Street, Room

370) to be filed under seal, along with a copy of the Court’s order granting the

application.

b. If the Court has not ruled on the party’s application for sealed filing of a document

submitted in connection with a criminal proceeding prior to such proceeding, the

applying party must bring a hard copy of the document to the proceeding for the

Court’s review and potential filing under seal.

5. Pleas. The plea agreement or Pimentel letter must be emailed to Chambers at

SwainNYSDCorresp@nysd.uscourts.gov at least five (5) full business days before the time

set for the conference at which the disposition is to be addressed. Defense counsel are

expected to have reviewed any plea, cooperation, or other agreement, as well as any Advice

of Rights form provided to counsel by the Court – with the assistance of an interpreter, if

necessary – with the defendant prior to the time set for the conference with the Court. The

relevant documents must be executed prior to the time set for the conference with the Court.

6. Trial procedures. See Judge Swain’s General Rules for Trial Counsel, and Instructions to

Counsel Concerning Jury Selection, which are available on the Court’s website. The parties

must also comply with these additional trial procedures for criminal cases:

a. All motions in limine must be briefed so as to be fully submitted no later than one

week before the Final Pretrial Conference. A courtesy copy of each submission

should be emailed to Chambers at SwainNYSDCorresp@nysd.uscourts.gov on the

date the paper is served and filed.

b. No later than one week before the Final Pre-Trial Conference:

i. Each party must serve on each other party and file with the Court its

proposed voir dire and verdict form. Prior to service and filing of the

proposed voir dire and verdict form, counsel must provide copies to

opposing counsel for inspection and noting of objection; and

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ii. The parties must file a single document captioned JOINT REQUEST TO

CHARGE, which must include the full text of all of their proposed jury

instructions, with source citations. If the parties are not in agreement on a

particular charge, the disputed language must be highlighted and any

counterproposal(s) presented together with the disputed section. Disputed

language must be accompanied by a brief explanation of the objection(s),

with citations to the relevant legal authority.

iii. A courtesy copy of each submission must be emailed to Chambers at

SwainNYSDCorresp@nysd.uscourts.gov, in pdf and Microsoft Word

format.

c. Any Trial Memoranda must be served and filed no later than one week before the

Final Pretrial Conference. A courtesy copy must be emailed to Chambers at

SwainNYSDCorresp@nysd.uscourts.gov, that same day.

d. Exhibits must be pre-marked and sufficient copies provided by counsel for

witnesses, opposing counsel, jurors, the court reporter, any interpreters and the

Courtroom Deputy.

e. If counsel intend to publish documentary exhibits by distributing copies to the jury,

make a separate copy for each juror, so as to avoid unnecessary delay. If counsel

intend to use electronic equipment to publish exhibits, counsel must notify the

Courtroom Deputy so that any necessary arrangements can be made in a timely

fashion.

f. Unless ordered otherwise in the particular case, by no later than noon of the

business day before the start of the trial, the Government must provide the Court

with three copies of the exhibit list and, electronically, pre-marked documentary

exhibits and Section 3500 material assembled sequentially as a consolidated and

bookmarked PDF.

g. Sidebars during presentation of the evidence are discouraged. Counsel are expected

to anticipate any problems that might require argument and to raise those issues

with opposing counsel and the Court in advance of the time that the jury will be

hearing the evidence. See also Judge Swain’s General Rules for Trial Counsel.

h. Counsel should make certain that they have custody of all original exhibits. The

Court does not retain them and the Clerk is not responsible for them.

7. Sentencing.

a. Adjournments. Any request for adjournment of a sentencing shall be made in

writing as early as possible, but no later than three (3) business days before the date

at issue, barring an unforeseen emergency. Such requests should state whether

opposing counsel consents.

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b. Sentencing Submission Procedures.

i. The Court assumes that every document in a sentencing submission,

including letters, will be filed in the public record either in paper form or

through the ECF system, using the procedures described below. In this

regard, the parties are 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” without application to the Court.

ii. A defendant’s sentencing submission must be filed and served two weeks

in advance of the date set for sentence. The Government’s sentencing

submission must be filed and served one week in advance of the date set

for sentence. Any reply submission must be made at least three days before

the date set for sentence. (If the presentence report is not available in time

for counsel to make submissions consistent with this timetable, counsel

may request an adjournment.) The parties must provide the Court with a

courtesy copy of each submission, by email to

SwainNYSDCorresp@nysd.uscourts.gov, when it is served.

iii. Letters and other documents submitted in support of sentencing

submissions should be grouped and filed together as attachments to a single

document marked SENTENCING MEMORANDUM with the caption and

docket number clearly indicated. The defendant is responsible for filing all

letters submitted on behalf of the defendant, including those from friends,

relatives, etc. The Government is responsible for providing all letters from

victims.

iv. Applications to file a sentencing memorandum, or material submitted in

connection with a sentencing memorandum, under seal, should be emailed

to Chambers at SwainNYSDCorresp@nysd.uscourts.gov, in compliance

with subdivision B.4 above. The party seeking to file a submission under

seal shall bring a hard copy of the unredacted submission to the sentencing

hearing, in compliance with subdivision B.4 above.

If counsel have any questions about these practices, email Chambers at

SwainNYSDCorresp@nysd.uscourts.gov, copying all counsel unless the question concerns an

ex parte matter.

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