Hon. Philip M. Halpern — Individual Rules of Practice

Revised January 6, 2025

INDIVIDUAL PRACTICES IN CIVIL CASES

PHILIP M. HALPERN, UNITED STATES DISTRICT JUDGE

SOUTHERN DISTRICT OF NEW YORK

Chambers Courtroom

Hon. Charles L. Brieant Jr. Courtroom 520

Federal Building and Courthouse Michael Frankel, Courtroom Deputy Clerk

300 Quarropas Street, Room 530 Phone: (914) 390-4154

White Plains, New York 10601

Phone: (914) 390-4160 Email: HalpernNYSDChambers@nysd.uscourts.gov

Unless otherwise ordered, the following Individual Practices apply to all civil matters

before Judge Halpern:

1. Communications with Chambers

A. Contact with Chambers. Except as otherwise set forth herein, telephone calls to

chambers are permitted only in emergencies requiring immediate attention. The

chambers phone number is (914) 390-4160. Emails or faxes to chambers are permitted

only with prior authorization. Emailed or faxed submissions shall identify the

authorizing individual in chambers. The chambers fax number is (914) 390-4193. In

the event a party is directed to or must transmit an e-mail to Chambers, the e-mail

address to be used is HalpernNYSDChambers@nysd.uscourts.gov. Copies of any

communication with Chambers shall be simultaneously faxed, e-mailed, or hand-

delivered to all counsel.

B. Letters and Letter-Motions. Except as otherwise provided below, communications

with the Court shall be by letter. Unless there is a request to file a letter under seal,

letters and letter-motions shall be filed electronically on ECF, and must comply with

the SDNY Local Rules and Electronic Case Filing Rules and Instructions.

Letters to be filed under seal shall be filed in accordance with Rule 5 below. Letters

solely between parties or their counsel or otherwise not addressed to the Court shall

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

filed document).

C. Requests for Adjournments or Extensions of Time. All requests for adjournments

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

accordance with Rule 1(B) above. The letter-motion shall state: (1) the original date(s);

(2) the reason for the request; (3) the number of previous requests for adjournment or

extension; (4) whether these previous requests were granted or denied; and (5) 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 schedule shall be included in the letter. If the parties jointly request

extensions of discovery deadlines set forth in the operative Civil Case Discovery Plan

and Scheduling Order, the parties shall attach to the letter-motion a proposed revised

Civil Case Discovery Plan and Scheduling Order.

Absent an emergency, any request for adjournments or extensions must be made at

least 48 hours prior to the scheduled appearance or deadline. Requests for extensions

will ordinarily be denied if made after the expiration of the original deadline.

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

court papers and correspondence shall contain the docket number of both the new

action and the docket number of the case to which it is related (e.g., 13-CV-1234 [rel.

12-CV-4321]).

E. CM/ECF. In accordance with the Electronic Case Filing Rules & Instructions, counsel

are required to register as ECF filers and enter an appearance in the case before the

initial conference. Instructions are available on the Court website at

https://nysd.uscourts.gov/electronic-case-filing.

F. Letter-Motions. Letters requesting relief, such as requests for adjournments,

extensions of time, and conferences (including pre-motion conferences) are considered

letter-motions. A letter-motion must be filed via ECF and identified as a LETTER-

MOTION using the ECF Filing Event MOTION, in compliance with the SDNY Local

Rules and the SDNY Electronic Case Filing Rules & Instructions.

G. Other Letters Filed on ECF. Letters that are informational in nature, such as, for

example, status reports regarding mediation or settlement, and that do not request relief

should be filed using the ECF Filing Event LETTER listed under OTHER

DOCUMENTS.

H. Courtesy Copies. Except as expressly indicated herein concerning marked pleadings,

motions, pre-trial submissions, and bankruptcy appeals, do not provide courtesy

copies of documents filed via ECF.

I. Proposed Form of Confidentiality Order. For all cases that warrant the entry of a

confidentiality order, the parties shall submit to the Court for signature the proposed

stipulated confidentiality agreement and protective order available on this Court’s

Individual Judge’s page on the S.D.N.Y. public website. The parties shall not deviate

from the Court’s form except for good cause shown which shall be set forth in a letter

filed via ECF for the Court’s consideration.

2. Conferences

A. Attendance by Principal Trial Counsel. The attorney who will serve as principal

trial counsel shall appear at all conferences. Barring extraordinary circumstances,

parties will not be permitted to appear at conferences telephonically.

B. Initial Conference. The Court will generally schedule a Fed. R. Civ. P. 16(c)

conference within 2 months after service on defendants has been effectuated or a notice

of removal has been filed, and all defendants have filed a response to the pleading. The

Notice of Initial Conference will be docketed on ECF, and plaintiff’s counsel (or, in a

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matter removed from state court, defense counsel) is directed to promptly distribute

copies to all parties.

If an initial conference has not been scheduled within 2 months after the service of the

commencement papers or the filing of the notice of removal (and all defendants have

filed a response to the pleading), counsel shall send a letter to alert the Court.

The Notice will direct the parties to submit, one week prior to the conference date, a

proposed Civil Case Discovery Plan and Scheduling Order, which is available on

Judge Halpern’s individual page on the S.D.N.Y. website. If defense counsel has not

appeared at least one week prior to the conference date, plaintiff’s counsel is directed

to submit a letter requesting an adjournment and informing the Court of the status of

defense counsel’s appearance and whether plaintiff intends to seek a default judgment.

In any action in which subject-matter jurisdiction is founded on diversity of citizenship

pursuant to 28 U.S.C. § 1332, the party asserting the existence of such jurisdiction

shall, one week prior to the initial conference, file via ECF a letter no longer than 2

double-spaced pages explaining the basis for that party’s assertion that diversity of

citizenship exists and that the amount in controversy exceeds $75,000. Where any

party is a corporation, the letter shall state both the place of incorporation and the

principal place of business. In cases where any party is a partnership, limited

partnership, limited liability company, or trust, the letter shall state the citizenship of

each of the entity’s members, shareholders, partners, and/or trustees. See Fed. R. Civ.

P. 7.1(a)(2).

C. Pre-Motion Conference. A pre-motion conference is required prior to the filing of

any motion, except in pro se cases, post-judgment motions, motions for reargument or

reconsideration, motions for admission pro hac vice, motions for attorneys’ fees,

motions for remand, motions to appoint lead plaintiff and lead defense counsel in class

actions, objections to Magistrate Judges’ rulings, motions for sanctions, motions to

withdraw as counsel, in forma pauperis motions, petitions to confirm or compel

arbitration, or where a delay in filing might result in the loss of a right.

Except for discovery-related motions (see Rule 4(D)), to request a pre-motion

conference, the movant shall file a letter to the Court, not exceeding 5 pages double-

spaced, absent prior permission from the Court, setting forth the basis for the

anticipated motion. Opposition letters, not exceeding 5 double-spaced pages, absent

prior permission from the Court, shall be submitted within 5 business days after receipt

of the movant’s letter. No reply letters will be permitted absent prior permission from

the Court. As applicable, the parties must also comply with the additional rules set

forth below for motions seeking a default judgment, motions to dismiss, discovery-

related motions, motions for summary judgment, or motions for temporary restraining

orders. Thereafter, the Court shall notify the parties of the date set for the pre-motion

conference.

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In pro se cases, the party contemplating a motion shall still file a pre-motion letter and

the opposing party shall still file an opposition letter in accordance with this Rule.

However, the Court may, in its discretion, waive the pre-motion conference.

Counsel should note that in all cases where a pre-motion letter is required, the pre-

motion letter may be construed, at the discretion of the Court, as the motion itself.

Arguments not raised in the pre-motion letters or during the pre-motion conference

shall be deemed waived. See In re Best Payphones, Inc., 450 F. App’x 8, 15 (2d Cir.

2011) (upholding construction of pre-motion letter as motion).

3. Pleadings

A. Subject-Matter Jurisdiction. The plaintiff shall include in its pleading allegations

setting forth the basis for this Court’s exercise of subject-matter jurisdiction.

B. Courtesy Copies of Pleadings. As soon as practicable, and after answers and/or

replies are filed, each party shall provide a courtesy copy of that party’s marked

pleading to the Court. Partial admissions or denials shall be underscored and denoted

as such.

4. Motions

A. Courtesy Copies. As soon as practicable, the parties shall provide courtesy copies to

chambers of all motion papers, including all declarations and affidavits with exhibits.

One copy of such papers, with the exhibits tabbed and indexed, shall be mailed to

Chambers at the time of filing. In lieu of mailing, if hand-delivered, courtesy copies

should be delivered to the Clerk’s Office on the first floor of the courthouse, not to

Chambers. Courtesy copies may not be submitted through the ECF system or by e-

mail. Courtesy copies should be clearly marked as such.

All courtesy hard copies of papers submitted in connection with motions must be

bound in any manner that is secure, does not obscure the text, and permits the

document to lie reasonably flat when open. Copies should be printed one-sided. Rather

than submitting large documents that do not lie reasonably flat when open, parties

should submit multiple volumes.

B. Motions for Default Judgments. A plaintiff seeking a default judgment shall proceed

by way of order to show cause, pursuant to the procedure set forth in Attachment A.

C. Motions to Dismiss.

i. In the case of a motion to dismiss, the parties shall exchange 2 sets of pre-

motion letters.

ii. First: Before the time to file a responsive pleading has expired, the defendant

shall send plaintiff a letter not exceeding 5 double-spaced pages, seeking a

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more definite statement or setting forth the specific pleading deficiencies in the

complaint and other reasons or controlling authorities that defendant contends

would warrant dismissal.

The plaintiff shall respond by similar letter, not exceeding 5 double-spaced

pages, within 5 business days indicating the extent, if any, to which plaintiff

concurs with defendant’s objections and the amendments, if any, to be made to

the complaint to address them, or the reasons and controlling authority that

support the pleadings as filed. The parties shall not submit copies of these

letters to the Court.

If the time to amend the complaint has expired, the plaintiff may seek leave to

amend to address deficiencies identified in this first exchange of letters. Such

leave to amend should be sought before the second exchange of letters

described in Rule 4(C)(iii) below. Under these circumstances, the Court will

liberally grant the plaintiff leave to amend and will grant the defendant an

extension of time to answer the complaint as appropriate. This practice may be

especially effective as to certain types of motions frequently made that may be

avoidable by pre-motion communication between the parties, with or without

the Court’s involvement, including but not limited to the following: naming a

wrong defendant, misnaming a defendant, failing to name a necessary or

indispensable party, failing to exhaust available remedies, absolute immunity,

expiration of the statute of limitations as to some or all of the claims asserted,

failure to satisfy a prerequisite to litigation such as a Right to Sue Letter, and

failure to plead the particulars of a fraud claim under Fed. R. Civ. P. Rule 9(b).

A plaintiff seeking leave to amend shall follow Rule 2(C) for the submission

of pre-motion letters and shall annex both a clean and redlined version of the

proposed amended pleading, and shall otherwise comply with Local Civil Rule

15.1.

This first exchange does not stay the time to answer or move to dismiss.

iii. Second: If, after the first exchange of letters, the defendant still wishes to file

a motion to dismiss, the parties shall follow the steps set forth in Rule 2(C)

above for pre-motion letters which shall be filed with the Court, including in

pro se cases. Transmittal of a pre-motion letter for a proposed motion pursuant

to Fed. R. Civ. P. 12(b) stays the time to answer or move to dismiss until further

order of the Court.

iv. If a motion to dismiss is filed, the plaintiff has a right to amend its pleading

within twenty-one days, pursuant to Fed. R. Civ. P. 15(a)(1)(B). Counsel

should note that the Court will not countenance gamesmanship in connection

with topics raised by the exchange of letters made pursuant to Rule 4(c)(ii)

above. If the plaintiff elects not to amend its pleading, no further opportunities

to amend to address the deficiencies identified by the motion to dismiss will

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ordinarily be granted absent good cause, and the motion will proceed in the

normal course, pursuant to the briefing schedule set by the Court. If the plaintiff

does amend its pleading, the movant shall, within twenty-one days of such

amendment: (1) file an answer; (2) file a new motion to dismiss in accordance

with these Rules; or (3) file a letter with the Court stating that it relies on the

previously filed motion to dismiss. If the movant files an answer or a new

motion to dismiss, the Court shall dismiss the original motion to dismiss as

moot without further notice to the parties.

D. Discovery Motions. For discovery-related motions, follow Local Civil Rule 37.2,

which requires the moving party to request a conference with the Court before the

filing of any such motion. The pre-motion letter shall be a joint letter from all counsel

limited to five pages double-spaced outlining the discovery disputes sought to be

addressed. Strict adherence to Fed. R. Civ. P. 37(a)(1), the “meet and confer” rule, is

required. The parties should be prepared to describe the time, place, and duration of

the meeting, and to identify the counsel involved.

E. Summary Judgment Motions.

i. Absent good cause, the Court will not ordinarily have summary judgment

practice in a non-jury case.

ii. Except in pro se cases, any party wishing to move for summary judgment, prior

to requesting a pre-motion conference, shall first provide all other parties with

an electronic copy of its Statement of Material Facts pursuant to Local Civil

Rule 56.1. The movant must simultaneously provide the other parties any

admissible evidence cited in its 56.1 Statement that has not previously been

produced during discovery. Service of the Rule 56.1 Statement does not

operate to toll or otherwise extend the deadline set forth in Fed. R. Civ. P.

56(b).

iii. The movant’s Rule 56.1 Statement shall be organized first by facts applicable

to all claims for relief and then by claim(s) for relief or defenses (as applicable),

setting forth the particular facts applicable to the elements of the claims for

relief or defenses at issue.

iv. The Rule 56.1 Statement shall be served on all other parties sufficiently in

advance of the deadline to move for summary judgment under Fed. R. Civ. P.

56(b). Within two weeks of such service, opposing parties shall reproduce each

entry in the movant’s Rule 56.1 Statement and set out the opposing party’s

response directly beneath it. Should the non-movant deem a counterstatement

of facts necessary to address facts applicable to claims for relief or defenses,

such counterstatement shall be set forth at the end of the Rule 56.1 Statement

and shall be served upon the movant for inclusion of its responses. The Rule

56.1 Statement with responses, together with any counterstatement and

responses, shall be set out in a single document.

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v. The Rule 56.1 Statement with responses (combined, including any

counterstatement and responses) shall not exceed 25 double-spaced pages

without prior permission of the Court.

vi. Each citation to evidence required by Local Civil Rule 56.1(d) must identify,

when applicable, specific portions of the record, including page, line, and

paragraph numbers.

vii. A marked pleading shall be submitted by the moving party, if one has not

already been provided to the Court.

viii. Pursuant to Rule 2(C) above, the prospective movant shall file a pre-motion

letter informing the Court of the basis for its anticipated motion for summary

judgment, and attaching the single document representing their Rule 56.1

Statement and the opposing party’s responses thereto. In pro se cases, the

prospective movant is still required to file a Rule 56.1 statement with its pre-

motion letter. No evidence shall be submitted with the pre-motion summary

judgment letter. Transmittal of a pre-motion letter for a proposed motion

pursuant to Fed. R. Civ. P. 56, together with the Rule 56.1 Statement with

responses, stays the time to file a motion for summary judgment until further

order of the Court. Opposition letters in conformance with Rule 2(C) shall be

filed with Court within 5 business days after receipt of the prospective

movant’s letter. In pro se cases, the opposition letter shall include opposition

to the prospective movant’s Rule 56.1 statement. The Court shall notify the

parties of the date set for the pre-motion conference in accordance with Rule

2(C).

ix. The Rule 56.1 statement filed with the pre-motion letter shall, should a motion

for summary judgment be filed, be modified only to the extent of properly

referencing the affidavits, exhibits, and other citations to the documents

actually submitted in support of the motion.

x. Following the pre-motion conference, should a motion for summary judgment

be filed, in addition to evidence relating to the Rule 56.1 Statement and/or

opposition thereto, any deposition or hearing transcript supplied in connection

therewith shall be submitted in its entirety and in a one-page-per-sheet format

with an index.

xi. Except in pro se cases, the parties should provide the Court with an electronic,

text-searchable courtesy copy of any hearing or deposition transcript, or

portion thereof, on which the parties rely on such summary judgment motion,

if a copy is available, unless doing so would be unduly burdensome. Parties

may provide these materials on a CD or DVD (not by email).

xii. In pro se cases, strict compliance with S.D.N.Y. Local Civil Rule 56.2 is

required.

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F. Motions Brought by Order to Show Cause and for Emergency Relief, Including

Temporary Restraining Orders. Ordinarily, motions should be made by Notice of

Motion. However, a motion for a preliminary injunction and/or temporary restraining

order should be brought by Order to Show Cause and not filed as a motion.

The Court generally will not sign an Order to Show Cause, with or without a request

for emergency relief, prior to a conference with the parties. A party seeking the

issuance of an Order to Show Cause, with or without a request for emergency relief,

shall request such a conference by letter-motion in accordance with Rule 2(C). The

moving party shall confer with its adversary before making an application including

emergency relief and/or for a temporary restraining order, unless the requirements of

Fed. R. Civ. P. 65(b) are met.

As soon as a party decides to seek a temporary restraining order, he or she shall, in

addition to filing the proposed temporary restraining order in accordance with the

Electronic Filing Rules then in effect, file a letter-motion via ECF stating whether: (1)

he or she has notified the adversary and if the adversary consents to temporary

injunctive relief or (2) the requirements of Rule 65(b) are satisfied and no notice is

necessary. If a party’s adversary has been notified of the requested emergency relief

or temporary injunctive relief but does not consent, the party seeking such relief shall

indicate same in their letter and provide alternative dates and times for the Court to

determine a time mutually agreeable to the Court, the party, and its adversary, so that

the Court may have the benefit of advocacy from both sides in deciding whether to

issue the requested Order to Show Cause and/or grant emergency or temporary

injunctive relief.

G. Hearings on Motions for Preliminary Injunction. In the event the Court schedules

a hearing on a party’s motion for a preliminary injunction, at least one week prior to

the hearing, the parties shall each submit a statement identifying:

i. The names, addresses (including firm names), email addresses, and office and

mobile telephone and fax numbers of counsel that will be appearing;

ii. The elements of the claim(s) the moving party has asserted with reference to

evidentiary support for each party’s position;

iii. A list of the witnesses each party expects to call, including a very brief

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

anticipated testimony, the amount of court time needed for each witness, and

a statement as to whether any other party objects to the witness;

iv. A list by each party of exhibits to be offered, with a notation indicating exhibits

to which there is an objection and the basis therefor. The failure to include a

notation and basis may be deemed a waiver of any objection. Exhibits should

be pre-marked: Plaintiff’s exhibits shall be designated by number and

Defendant’s by letter.

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The Court will ordinarily require that the parties submit post-hearing briefs in

accordance with Rule 4(H) or as otherwise directed by the Court. There shall be no

wholesale filing of deposition transcripts or other discovery responses as exhibits.

H. Memoranda of Law.

i. A memorandum of law shall accompany motion and opposition papers. The

memorandum shall set forth all facts relevant to the motion and, for each

factual statement, provide one or more citations to declarations, affidavits, or

other evidence in the records. The parties’ memoranda of law shall include

citations to the underlying exhibits supporting their propositions.

In the case of summary judgment motions, factual statements must be

supported by citations to both the record evidence and the Rule 56.1 statement,

if contained therein.

ii. The Court encourages and appreciates brevity. Memoranda of law in support

of and in opposition to motions shall comply with the formatting and length

requirements set forth in Local Civil Rule 7.1. Unless prior permission has been

granted, sur-reply memoranda will not be accepted. With respect to objections

to Magistrate Judges’ rulings, unless prior permission has been granted,

memoranda of law (including responses) shall not exceed 15 pages.

iii. After any initial preliminary statement or factual recitation, if any, Point I of

all memoranda of law shall set forth the standard of review and the burden of

proof associated with the issues presented.

I. Exhibits. All exhibits shall be tabbed, indexed, and submitted in compliance with

Local Civil Rule 7.1(a)(3).

J. Format. All papers shall conform to Local Civil Rule 7.1. Footnotes are discouraged.

K. Text Searchable. All pleadings, letters, motion papers, affidavits, or any other

document containing text shall be text searchable.

L. Oral Argument on Motions. The Court does not ordinarily hear oral argument on

motions; however, oral argument is encouraged on substantive motions, and the parties

may request oral argument by letter at the time moving, opposing, or reply papers are

filed. The Court will determine whether oral argument will be heard and, if so, will

notify counsel of the date and time.

M. Participation of Junior Attorneys. To assist in the training of the next generation of

attorneys, the Court strongly encourages relatively inexperienced attorneys—in

particular, attorneys with less than 5 years’ experience—to participate in all courtroom

proceedings including the oral argument of motions before the Court. Further, the

Court is amenable to having multiple attorneys speak for one party if it creates an

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opportunity for a lawyer who is relatively inexperienced. However, all attorneys

appearing should have the degree of authority consistent with the proceeding.

N. Motions to Exclude Testimony of Experts. Motions to exclude testimony of experts

pursuant to Rules 702–705 of the Federal Rules of Evidence and the Daubert v.

Merrell Dow Pharmaceuticals, Inc., 509 U.S. 579 (1993) line of cases, shall be made

as motions in limine for trial (see Rule 6(B)(iii)), unless for good cause shown,

resolution of the motion is required to determine a summary judgment or other

dispositive motion.

5. Electronic Filing Under Seal

A. Sealing/Redactions Not Requiring Court Approval. Fed. R. Civ. P. 5.2 describes

sensitive information that must be redacted from public court filings without seeking

prior permission from the Court. Such sensitive information includes: Social Security

numbers; names of minor children; dates of birth; and financial account numbers.

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

approval of sealed or redacted filing includes: personal identifying numbers (“PINs”);

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

information; proprietary or trade secret information; home addresses; and information

regarding an individual’s cooperation with the government.

Sensitive information and information requiring caution must not be included in any

document filed with the Court 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.

B. 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, sections 6 and 21.

The motion must be filed in public view, must explain the 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.

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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 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., 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.

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 that case, paper copies shall be served

contemporaneously upon all other parties.

6. Pre-Trial Procedures

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

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

motion has been filed, within 30 days after a decision on the motion, the parties shall

submit to the Court for its approval a Joint Pretrial Order, with one courtesy hard copy

for Chambers. In pro se cases, it is the responsibility of the counseled party to advise

the pro se party of this obligation. The Joint Pretrial Order shall include the

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

i. The full caption of the action.

ii. The amount of trial time that each party anticipates needing for their case in

chief.

iii. The names, addresses (including firm names), email addresses, and office and

mobile telephone and fax numbers of trial counsel.

iv. 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 shall include citations to all statutes relied

on and relevant facts as to citizenship and jurisdictional amount.

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v. An itemization 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 shall also itemize all claims and

defenses previously asserted that are not to be tried.

vi. 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.

vii. 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).

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

ix. 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, the amount of court time needed for each witness,

and a statement as to whether any other party objects to the witness.

x. For testimony to be taken from unavailable witnesses pursuant to Fed. R. Civ.

P. 32(a)(4), a page and line designation by each party of witness deposition

testimony to be offered in its case in chief, with any cross-designations and

objections by any other party.

xi. A list by each party of exhibits to be offered in its case in chief, with a notation

indicating the basis for admissibility of each exhibit with citation to Fed. R.

Evid., as well as a notation indicating exhibits to which there is an objection

and the basis therefor. The failure to include a notation and basis may be

deemed a waiver of any objection.

xii. A statement of the relief sought, including damages claimed, itemizing each

component or element of the damages sought with respect to each claim, and

including the manner and method used to calculate the claimed damages.

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

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

party shall file the following documents (and submit one courtesy hard copy to

Chambers) 21 days before the date of commencement of trial if such a date has been

fixed, or 30 days after the filing of the Joint Pretrial Order if no date has been fixed:

i. In jury cases, proposed joint voir dire questions, joint requests to charge, and a

joint verdict form. The parties’ proposed voir dire and jury instructions shall

each consist of a single document, noting any areas of disagreement between

the parties. The proposed jury instructions shall include both the text of any

requested instruction as well as a citation to the authority from which it derives.

Each proposed jury instruction must contain a citation to the source/authority

for the proposed instruction, or the request will be disregarded. In addition to

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being filed in the normal manner, joint voir dire questions, joint requests to

charge, and a joint verdict form should be emailed to Judge Halpern’s law clerk

at the Chambers e-mail address provided above in Word format.

ii. In non-jury cases, or for any non-jury issues to be decided in a jury trial context,

proposed findings of fact and conclusions of law. Proposed findings of fact

should be detailed and cite whenever possible to evidence expected to be

presented at trial. Proposed findings of fact should address each factual element

of the claim for relief or defense at issue. Proposed conclusions of law should

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

iii. In all cases, where necessary, motions addressing any evidentiary or other

issues that should be resolved in limine. A single motion addressing

appropriate evidentiary or other in limine issues may be filed and shall comply

with applicable provisions of Individual Practices Rule 4.

iv. In any case in which any party believes it would be useful, a pretrial

memorandum, no longer than 15 double-spaced pages, emphasizing the burden

of proof associated with the claims for relief or defenses to be tried.

C. Filings in Opposition. Unless otherwise ordered by the Court, any party may file (and

submit one courtesy hard copy to Chambers) the following documents within one week

of the filing of any document described in Rule 6(B) above:

i. Opposition to any motion in limine.

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

iii. Opposition to proposed findings of fact and conclusions of law by placing the

opposing finding of fact or conclusion of law immediately below the fact or

conclusion to which there is objection.

D. Additional Submissions in Non-Jury Cases. Unless otherwise ordered by the Court,

each party shall submit to the Court (including 2 courtesy copies to Chambers) and

serve, but not file, the following materials 21 days before the date of commencement

of trial if such a date has been fixed, or 30 days after the filing of the Joint Pretrial

Order if no date has been fixed:

i. Copies of affidavits constituting the direct testimony of each trial witness,

except for the testimony of an adverse party, a person whose attendance is

compelled by subpoena, or a person for whom the Court has agreed to hear

direct testimony during the trial. Three business days after submission of such

affidavits, counsel for each party shall submit a list of all affiants whom he or

she intends to cross-examine at trial. Unless otherwise ordered by the Court,

only those witnesses (as opposed to parties) who will be cross-examined need

to appear at trial. Counsel shall ensure such witnesses are available so as not to

delay the trial. The original signed affidavits shall be marked as exhibits at trial.

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

as a 1-page synopsis (with page and line references) of those excerpts for each

deposition.

iii. All documentary exhibits.

7. 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 shall stipulate to the

appropriate correction or, if agreement cannot be reached, shall proceed by motion on

notice. Non-material defects (e.g., syntax, spelling or punctuation) should be ignored.

8. Orders and Stipulations of Settlement. Should the parties request, the Court will

consider so-ordering the parties’ stipulations of settlement, including the retention of

continuing jurisdiction for the enforcement of same.

9. Bankruptcy Appeals. Briefs shall be submitted in accordance with Federal Rules of

Bankruptcy Procedure 8015 through 8018 unless otherwise ordered by the Court. One

courtesy copy of the briefs and the bankruptcy record on appeal, marked as such, shall be

submitted to chambers by the appellant at the time the reply is due.

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ATTACHMENT A

DEFAULT JUDGMENT PROCEDURE

1. After obtaining a Clerk’s Certificate of Default (see SDNY Electronic Case Filing Rules

& Instructions, Section 16.1), prepare a proposed Order to Show Cause Without

Emergency Relief and make the Order returnable before Judge Halpern in Courtroom 520

of the Hon. Charles L. Brieant Jr. Federal Building and Courthouse, 300 Quarropas Street,

White Plains, New York 10601. Leave blanks for the Court to fill in (i) the date and time

of the hearing, (ii) the date by which opposing papers must be served and filed, and (iii)

the date by which the moving party must serve the Order and supporting documents on the

non-moving party.

2. Electronically file the proposed Order to Show Cause Without Emergency Relief using the

ECF Filing Event found under PROPOSED ORDERS.

3. Electronically file the following documents as separate ECF Filing Events:

a. an attorney’s affidavit, attaching true and correct copies of all necessary supporting

exhibits, setting forth clearly:

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 liability

and/or damages prior to the resolution of the entire action (see Fed. R. Civ.

P. Rule 54(b));

iii. when applicable, legal authority for why an inquest is unnecessary; and

iv. when applicable, the basis for an award of attorney’s fees and costs.

b. an affidavit from a party with personal knowledge of damages and the basis for

each element of damages, including interest, attorney’s fees, and costs (unless

requesting an inquest), attaching exhibits as necessary to support the basis therefor;

c. when applicable, a Statement of Damages in accordance with Local Civil Rule

55.2(c);

d. a memorandum of law (see Rule 4(H)) explaining how service of process was

proper under the Federal Rules of Civil Procedure and how the moving party’s

proof satisfies the burden of proof associated with the request; and

e. a proposed default judgment, using the ECF Filing Event found under PROPOSED

ORDERS.

4. After Judge Halpern signs and dockets the Order to Show Cause, serve a copy of the Order

and attachments on defendant(s) as directed. At least 3 business days before the hearing

date, electronically file proof of service of the signed Order to Show Cause.

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