Hon. Sarah L. Cave — Individual Rules of Practice

INDIVIDUAL PRACTICES IN CIVIL CASES

MAGISTRATE JUDGE SARAH L. CAVE

Chambers Courtroom

Daniel Patrick Moynihan Courthouse Daniel Patrick Moynihan Courthouse

500 Pearl Street, Room 1670 500 Pearl Street, Courtroom 18A

New York, NY 10007 New York, NY 10007

Email for Civil Matters:

Cave_NYSDChambers@nysd.uscourts.gov

Email for Criminal Matters:

CaveCriminalDuty@nysd.uscourts.gov

Cases come before Magistrate Judges in one of two ways: for one or more specific purposes

pursuant to an order of reference by the assigned District Judge, or, on consent of the parties,

for all purposes pursuant to 28 U.S.C. § 636(c). When a District Judge approves an all-purposes

consent form signed by counsel, the Magistrate Judge assumes the role of the District Judge. Any

appeal is directly to the Court of Appeals and the right to a jury trial is preserved.

It is the uniform practice of the Magistrate Judges in this District to schedule trials in civil consent

cases for firm dates, which are unlikely to be changed absent unusual circumstances. Should

counsel wish to consent to have Judge Cave hear their case for all purposes, they should complete

and file the necessary form, which is available on the Court’s website at

https://nysd.uscourts.gov/sites/default/files/2018-06/AO-3.pdf.

Unless otherwise ordered by Judge Cave, matters before her shall be conducted in accordance

with the following practices.1 These practices are applicable to cases before Judge Cave if the

matter is within the scope of the District Judge’s order of reference or if the case is before Judge

Cave for all purposes pursuant to 28 U.S.C. § 636(c). Otherwise, the practices of the District Judge

to whom the case is assigned apply.

I. Communications with Chambers

A. Letters. Communications with the Court must be by letter, filed on the docket

via electronic case filing (“ECF”). Courtesy copies are unnecessary. Letters may

not exceed 1,050 words in length, exclusive of attachments, which should be kept

to a minimum. 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 I.F. below.

1 Requests for reasonable accommodations on account of disability or religion with respect to these rules

or in connection with any proceeding before Judge Cave may be included in a party’s first filing to the

Court or made by separate letter.

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B. Urgent Telephonic or Email Communications. If a matter requires urgent

attention, the parties must first file a request for relief on the docket before

alerting Chambers by telephone call or email. If you are encountering difficulties

using ECF, call the ECF Help Desk at 212-805-0800.

C. 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 40 Centre Street, Room 105,

New York, NY 10007. A pro se party may not call or email Chambers or send any

document or filing directly to Chambers. Submissions requiring immediate

attention should be hand-delivered to the Pro Se Intake Unit. Any non-

incarcerated pro se party who wishes to participate in ECF must file a Motion for

Permission for Electronic Case Filing, available in the Pro Se Intake Unit or at:

https://nysd.uscourts.gov/node/844. Any non-incarcerated pro se party who

wishes to receive documents 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://www.nysd.uscourts.gov/node/845.

D. Requests for Adjournments or Extensions of Time. Requests to adjourn any

court conference or proceeding or to extend a deadline must be made by Letter-

Motion filed on ECF, after consultation with all parties, and must state: (1) the

original date of the conference, proceeding or deadline; (2) the number of

previous requests for adjournment or extension; (3) whether these previous

requests were granted or denied; (4) the reason for the present request; (5)

whether all affected parties consent; and (6) if not, the reasons given for refusing.

If the requested adjournment or extension affects any other scheduled dates, a

proposed Revised Case Management Plan must be attached.

Absent unforeseeable emergencies, all requests for adjournment of a court

conference or other court proceeding (including a telephonic court conference)

must be made at least 48 hours in advance of the proceeding to be adjourned,

and must include at least two (2) proposed dates, on which all counsel are

available, for the adjourned proceeding.

E. Hand Deliveries. Where permitted by these Rules, hand deliveries 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. If the hand delivery is

urgent and requires the Court’s immediate attention, ask the Court Security

Officers to notify Chambers that an urgent package has arrived that needs to be

retrieved immediately by Chambers staff.

F. Electronic Filing Under Seal. These procedures only apply to motions and

applications before Judge Cave. Filing under seal requires permission of the

Court. Unless otherwise ordered, any party wishing to file a document or

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portion thereof under seal 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. Fed. R. Civ. P. 5.2

describes sensitive information that must be redacted from public court

filings without seeking prior Court permission. Parties should also

consult the S.D.N.Y. ECF Rules & Instructions, Section 21, Rules 21.3

and 21.4, available at https://nysd.uscourts.gov/rules/ecf-related-

instructions.

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, 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-583, and

ECF Rules & Instructions, Section 6, available at

https://nysd.uscourts.gov/rules/ecf-related-instructions.

G. Citations. All moving papers, letter-motions, and letters filed on ECF or emailed

to Chambers when permitted must be in searchable PDF form. When citing

unreported cases, parties shall use Westlaw citations whenever possible.

Citations to all documents filed on ECF must include the ECF document number

and ECF page number. For example, citation to an exhibit accompanying a

declaration would appear as “ECF No. 123-4 at 10,” rather than “Smith Decl. Ex.

4 at 10.”

H. Electronic Device Order Requests. Attorneys’ use of electronic devices

(including mobile telephones, personal electronic devices, computers, and

printers) within the Courthouse and its environs is governed by the Court’s

Standing Order M10-468.4. Attorneys seeking to bring a device into the

Courthouse shall submit a completed copy of the Electronic Devices General

Purpose Form, available on the Court's website, to the Court by email at least

24 hours prior to the court proceeding. Requests for a so-ordered electronic

device order are not filed on ECF.

II. Pretrial Procedures

A. Initial Case Management Conference. Except for Pro Se Cases, parties must

confer and file a Report of Rule 26(f) Conference and Proposed Case

Management Plan one (1) week before the Initial Case Management Conference.

A template form for the Report of Rule 26(f) Conference and Proposed Case

Management Plan is available at www.nysd.uscourts.gov/hon-sarah-l-cave.

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1. Pro Se Cases. Each party must submit a Case Report and Proposed Case

Management Plan for Pro Se Cases one (1) week before the scheduled

conference in conformance with the procedures in Section I above. The

parties shall use the form Proposed Case Management Plan template for

Pro Se Cases found at www.nysd.uscourts.gov/hon-sarah-l-cave.

2. Attendance. Lead counsel for the parties are expected to attend the

Initial Case Management Conference. Reasonable accommodations will

be made for parties or their counsel who cannot attend in person on

account of disability. An incarcerated party who is unable to attend this

or other conferences may be able to participate by telephone. If

appropriate, the Court’s scheduling order will outline the procedures for

participation by telephone.

B. Confidentiality Stipulations and Protective Orders. In cases where confidential

information will be exchanged, the parties must utilize the Court’s Model

Confidentiality Stipulation and Proposed Protective Order found at

www.nysd.uscourts.gov/hon-sarah-l-cave. The parties 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 from the Court’s model.

C. Discovery Disputes.

1. Requirement to Meet and Confer. The Court will not hear any discovery

dispute unless the moving party (including a non-party seeking relief)

has first conferred in good faith with any adverse party 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 parties have met and

conferred but were unable to resolve their dispute, the moving party

must request a discovery conference with the Court, by Letter-Motion,

as required by Local Civil Rule 37.2. Counsel should select the “Letter-

Motion” option—not “Motion to Compel”—when filing on ECF. Letter-

Motions may not exceed 1,050 words in length, exclusive of attachments,

which should be kept to a minimum, and must clearly set forth the issues

in dispute and the relief sought. As part of the Letter-Motion, the

moving party must certify that the required in-person or telephonic

conference took place between counsel for the relevant parties and, in

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particular, must state: (1) the date and time of such conference; (2) the

approximate duration of the conference; (3) the names of the attorneys

who participated in the conference; (4) the adversary’s position as to

each issue being raised (as stated by the adversary during the in-person

or telephone conference); and (5) that the moving party informed the

adversary during the conference that the moving party believed the

parties to be at an impasse and that the moving party would be

requesting a conference with the Court. Simply attaching copies of

correspondence between attorneys does not satisfy these

requirements.

3. Briefing Schedule. Unless the Court has ordered or approved otherwise,

any opposition to a Letter-Motion must be filed within three (3) business

days of the moving letter, and any reply shall be filed within one (1)

business day of the opposition. Letters in opposition and replies may

not exceed 1,050 words in length exclusive of attachments, which

should be kept to a minimum. The parties may agree to a different

briefing schedule, but they must request the Court’s approval of their

alternate schedule, either in the moving letter or as soon as agreement is

reached. The Court must approve the alternate schedule, otherwise, the

parties must adhere to the schedule as enumerated in these Individual

Practices. If the Letter-Motion requests emergent or expedited relief,

the opposing attorney is advised to file any opposition as promptly as

possible.

4. Courtesy Copies. Courtesy copies of Letter-Motions are not required

unless the attached exhibits exceed 50 pages, in which case one (1)

courtesy copy, marked as such on a cover page, should be submitted to

Chambers promptly after filing. Courtesy copies should bear the ECF

header generated at the time of electronic filing and include protruding

tabs for any exhibits. Bulky materials should be two-sided, and placed

in 3-ring binders, with appropriate dividers.

5. Discovery Conferences/Oral Argument on Letter‐Motions. The Court’s

preference is to hold a conference with the parties to address discovery

disputes raised by a Letter-Motion. Based on the parties’ letters and

matters discussed during or after the conference, the Court will decide

the discovery dispute or request a more formal briefing.

Junior attorneys are invited to argue Letter-Motions they have helped

prepare. Firms are encouraged to provide this opportunity to junior

attorneys for training purposes. The Court is amenable to permitting

more than one lawyer to argue for one party if this creates an

opportunity for a junior lawyer to participate. The ultimate decision of

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who speaks on behalf of the client is for the lawyer in charge of the case,

not for the Court.

III. Motions Other Than Discovery Motions

For motions other than discovery motions, a pre-motion conference is not required unless

otherwise ordered. A party may 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 reduce the issues in dispute. Counsel should select the “Letter-Motion” option on

ECF for filing such a request.

A. Briefing Schedule. Unless the Court has ordered or approved otherwise, opposition

and reply papers with respect to formal motions will be due in accordance with Local

Civil Rule 6.1. The parties are strongly encouraged to agree on a reasonable briefing

schedule before the moving papers are filed. If the parties have agreed to such a

schedule, they must request the Court’s approval of their alternate schedule, either

in the moving party’s notice of motion or by Letter-Motion as soon as agreement is

reached. Should the parties thereafter agree to modify their briefing schedule, they

must promptly request the Court’s approval of the new schedule by Letter-Motion.

The Court must approve the alternate or new briefing schedule; otherwise, the

parties must adhere to the schedule as enumerated in Local Civil Rule 6.1.

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

conform to Local Civil Rule 7.1. Unless prior permission has been granted,

memoranda of law may not exceed the limits set forth in Local Rule 7.1(c).

Memoranda of 3,500 words or more shall contain a table of contents and a table of

authorities.

C. Courtesy Copies. Courtesy copies are not required and should not be submitted

unless otherwise requested by the Court. Should the Court so request, courtesy

copies should bear the ECF header generated at the time of electronic filing and

include protruding tabs for any exhibits. Bulky materials should be two-sided, and

neatly bound or placed in 3-ring binders, with appropriate dividers.

D. Oral Argument on Motions. Parties may request oral argument by Letter-Motion.

Counsel should select the “Letter-Motion” option on ECF for filing such a request. The

Court will determine whether argument will be heard and, if so, will advise counsel

of the argument date and time.

Junior attorneys are invited to argue motions they have helped prepare. Firms are

encouraged to provide this opportunity to junior attorneys for training purposes.

The Court is amenable to permitting more than one attorney to argue for one party

if this creates an opportunity for a junior lawyer to participate. The attorney in charge

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of the case, not the Court, makes the ultimate decision of who speaks on behalf of

the client.

E. Motions in Pro Se Cases. As required by Local Civil Rule 7.2, counsel must provide a

pro se litigant with printed copies of decisions cited in any submission that are

unreported 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 of Local Civil Rule 56.2. Where a party moves

to dismiss or for judgment on the pleadings against a pro se litigant and refers to

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

Local Civil Rule 12.1.

IV. Pretrial Procedures for Consent Cases

A. Applicability. The procedures set out below apply only to cases in which the

parties have consented pursuant to 28 U.S.C. § 636(c) to have all proceedings,

including trial, occur before Judge Cave.

B. Pretrial Disclosure. The parties are reminded of their obligations to make

certain disclosures regarding expert testimony pursuant to Fed. R. Civ.

P. 26(a)(2) and to make disclosures regarding evidence that may be presented

at trial pursuant to Fed. R. Civ. P. 26(a)(3). Failure to comply with these

requirements may result in preclusion or other sanctions.

C. Joint Pretrial Order. Unless otherwise ordered by the Court, the parties shall

submit to the Court for its approval a Joint Pretrial Order within 30 days after

the date for the completion of discovery, or, if a summary judgment motion has

been filed, within 30 days after the decision on the motion. The proposed Joint

Pretrial Order shall be signed by all parties and include the following:

1. The full caption of the action.

2. The names, addresses, telephone numbers (both office and cellular),

and email addresses of each principal member of the trial team.

3. A brief statement by plaintiff (or, in a removed case, by defendant) 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,

including citations to all statutes relied on and relevant facts, such as

citizenship and jurisdictional amount.

4. A brief summary by each party of the claims and defenses that party

has asserted that remain to be tried, including citations to all statutes

relied on, but without recital of evidentiary matter.

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5. With respect to each claim remaining to be tried, a brief statement

listing each element or category of damages sought with respect to such

claim and a calculation of the amount of damages sought with respect

to such element or category.

6. A statement by each party as to whether the case is to be tried with or

without a jury and the anticipated number of trial days needed.

7. Any stipulations or agreed-to statements of fact or law.

8. A statement by each party as to the witnesses whose testimony is to be

offered in its case in chief, indicating whether such witnesses will testify

in person or by deposition. Absent extraordinary circumstances, a party

may not call as a witness in its case in chief any person not listed in the

Joint Pretrial Order.

9. A designation by each party of deposition testimony to be offered in

that party’s case in chief, referencing page and line numbers, with any

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

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

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

extraordinary circumstances, a party may not offer in its case in chief

deposition testimony that is not listed in the Joint Pretrial Order.

10. A list by each party of exhibits to be offered in its case in chief. Each

exhibit shall be pre-marked (plaintiff to use numbers, defendant to use

letters). For each 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. Absent

extraordinary circumstances, a party may not offer in its case in chief

any exhibit not listed in the Joint Pretrial Order.

11. A proposed schedule by which the parties will exchange demonstrative

exhibits 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.

12. All other matters that the Court may have ordered or that the parties

believe are important to the efficient conduct of the trial.

D. Filings Before Trial. Unless otherwise ordered, the following must be filed at

the same time as the filing of the joint pretrial order:

1. In jury cases, the parties must jointly file (a) requests to charge,

(b) proposed voir dire questions, and (c) where applicable, a proposed

special verdict form. To the extent a party objects to another party’s

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requested charge, voir dire questions, or special verdict form, the joint

submission should include the objecting party’s (1) grounds for objection

(or refer to the joint pretrial memorandum for a full discussion of the

objection), and (2) proposed alternative. All requests to charge,

objections, and alternatives must include citations to controlling

authority. Electronic copies of this joint submission should be submitted

to the Court; counsel should contact Chambers for instructions on how

to submit these materials.

2. In non-jury cases, where ordered by the Court, parties must file

proposed findings of fact and statements of law. If the parties believe it

would be useful, they may file pretrial memoranda limited to 8,750

words.

3. In all cases, motions in limine addressing any evidentiary or other issues

must be filed at the same time as the Joint Pretrial Order.

E. Marking Exhibits for Trial. Unless otherwise ordered by the Court, no later than

the business day 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.

F. Witnesses at Trial. When a party’s case commences, that party is expected to

have witnesses available to fill the trial day, which runs from 9:30 am to 5:00

pm, with 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 deem that party to have

rested. Any request to have a witness testify out of order and/or on a particular

day must be included in the joint pretrial order. Untimely applications will be

denied.

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