Judge Lewis Kaplan

A party must file its sentencing submission when served using one of the stated procedures; paper filing is the only option in a non-ECF criminal case.

At the time it is served a party shall file its sentencing submission following one of the two procedures described here. (If the criminal case is a non-ECF case, then only paper filing is allowed.)

Criminal cases

Page 1 | 1. Sentencing submissions

A defendant must serve the sentencing submission, including any departure application, two weeks before sentencing.

A defendant's sentencing submission, including any departure application, shall be served two weeks in advance of the date set for sentence.

Criminal cases

Page 1 | 1. Sentencing submissions

The Government must serve its sentencing submission, including any departure application, one week before sentencing.

The Government's sentencing submission, including any departure application, shall be served one week in advance of the date set for sentence.

Criminal cases

Page 1 | 1. Sentencing submissions

A courtesy hard copy of the sentencing memorandum must be mailed to chambers or delivered to the U.S. Marshals at the specified entrance in an envelope addressed to Judge Kaplan.

Whether the sentencing memorandum is filed by ECF or by paper, a courtesy hard-copy must either be mailed to chambers, or, delivered to the U.S. Marshals at the Worth St. entrance of 500 Pearl St. in an envelope addressed to the Hon. Lewis A. Kaplan.

Criminal cases

Page 2 | 2. Courtesy hard-copy

Two courtesy copies should be addressed to Judge Kaplan and delivered to the court security officers at the Worth Street entrance, 200 Worth Street, no later than one business day after the originals are filed.

Two courtesy copies should be addressed to Judge Kaplan and delivered to the court security officers at the Worth Street entrance, 200 Worth Street, no later than one business day after the originals are filed.

Page 1 | MOTION RULES AT A GLANCE

Two (2) courtesy copies for the use of Chambers should be delivered to the court security officers at the Worth Street entrance, 200 Worth Street (at the time the originals are filed).

Two (2) courtesy copies for the use of Chambers should be delivered to the court security officers at the Worth Street entrance, 200 Worth Street (at the time the originals are filed).

Page 2 | Return Dates and Special Filing Rules

Courtesy copies required for bankruptcy appeals: 2 copies of briefs and 1 copy of the record.

Counsel shall provide chambers with two courtesy copies of their briefs, and counsel for appellant shall provide it with one courtesycopyof the record, immediately upon the filing of the originals with the Clerk of Court.

Page 7 | BANKRUPTCY APPEALS

All motions, unless brought on by an Order to Show Cause, should be made without a return date. Two (2) courtesy copies for the use of Chambers should be delivered to the court security officers at the Worth Street entrance, 200 Worth Street (at the time the originals are filed).

All motions, unless brought on by an Order to Show Cause, should be made without a return date. Two (2) courtesy copies for the use of Chambers should be delivered to the court security officers at the Worth Street entrance, 200 Worth Street (at the time the originals are filed).

Two courtesy copies should be addressed to Judge Kaplan and delivered to the court security officers at the Worth Street entrance, 200 Worth Street, no later than one business day after the originals are filed.

Two courtesy copies should be addressed to Judge Kaplan and delivered to the court security officers at the Worth Street entrance, 200 Worth Street, no later than one business day after the originals are filed.

Joint pretrial order requires two courtesy copies to chambers by the court-set deadline.

Counsel are to submit a joint pretrial order, with two (2) courtesy copies addressed to chambers, on or before the date set by the Court.

Two courtesy copies of briefs and one of record required for bankruptcy appeals.

Counsel shall provide chambers with two courtesy copies of their briefs, and counsel for appellant shall provide it with one courtesycopyof the record, immediately upon the filing of the originals with the Clerk of Court.

Courtesy copies required for complaint, answer, and reply to chambers.

The parties are to provide a courtesy copy of the complaint, answer and any reply (but not discovery requests, discovery responses, stipulations, correspondence or other papers) to chambers promptly after service.

Two courtesy copies of joint pretrial order required for chambers.

Counsel are to submit a joint pretrial order, with two (2) courtesy copies addressed to chambers, on or before the date set by the Court.

Courtesy copies of complaint, answer, and reply must be provided to chambers promptly after service.

The parties are to provide a courtesy copy of the complaint, answer and any reply (but not discovery requests, discovery responses, stipulations, correspondence or other papers) to chambers promptly after service.

The parties should provide one courtesy copy of each sentencing submission to the Court when served.

The parties should provide the Court with one courtesy copy of each submission when it is served.

Criminal cases

Page 1 | 1. Sentencing submissions

Only pages containing redacted material from a publicly filed document will be filed under seal.

If any material is redacted from the publically filed document, only those pages containing the redacted material will be filed under seal.

Criminal cases

Page 1 | Individual Rules of Practice for Sentencing Proceedings

Bring to the sentencing proceeding a copy of the pages containing redactions, marked to identify the redacted information, for the Court to file under seal.

Bring a copy of those pages to the sentencing proceeding, marked to indicate what information has been redacted from the publically filed materials, to give to the Court for filing under seal.

Criminal cases

Page 1 | Individual Rules of Practice for Sentencing Proceedings

A party seeking to redact information beyond the eleven Privacy Policy categories must serve and file an application when the sentencing submission is served.

If a party redacts information beyond the eleven categories of information identified in the Privacy Policy, an application to do so must be served and filed at the time the sentencing submission is served.

Criminal cases

Page 2 | 3. Redactions beyond the categories identified in the Privacy Policy

Redaction requests require public filing with proposed redactions and sealed filing of unredacted version with highlights.

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.

Proposed sealed documents must be contemporaneously filed under seal and electronically related to motion.

The proposed sealed document must be contemporaneously filed under seal in the ECF system and electronically related to the motion.

For redaction motions, file redacted version publicly and unredacted version under seal with highlights via ECF.

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.

Sensitive information (SSN, minor names, DOB, account numbers) must be redacted without 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.

Motions to seal must be public, explain reasons, and not include the confidential information itself.

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.

Sealed documents must be filed under seal in ECF and linked to the motion.

The proposed sealed document must be contemporaneously filed under seal in the ECF system and electronically related to the motion.

Certain sensitive information must be redacted without prior court approval per FRCP 5.2.

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.

Sealed/redacted filing motions must be filed electronically via ECF per standing order 19-mc-00583.

Motions or Letter Motions for approval of sealed or redacted filings in civil and miscellaneous cases and the subject documents, including the proposed sealed document(s), must be filed electronically through the court's ECF system in conformity with the court's standing order, 19-mc-00583, and ECF Rules & Instructions, section 6.

Supporting papers for sealed motions must be separately filed and may be sealed/redacted only as necessary.

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.

Sensitive information should not be filed unless necessary and relevant; must be partially redacted if included.

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.

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.

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.

Certain categories require caution and may warrant motion for sealed filing.

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; home addresses; and information regarding an individual's cooperation with the government.

Additional sensitive information (PINs, medical, employment, financial, trade secrets, addresses, cooperation) may require court approval for sealing.

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; home addresses; and information regarding an individual's cooperation with the government.

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 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.

When a party seeks leave to file sealed or redacted materials on the ground that an opposing party or third party has requested it, that 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.

When a party seeks leave to file sealed or redacted materials on the ground that an opposing party or third party has requested it, that 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.

Motion required to file sealed materials on paper instead of ECF.

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.

The Court will address the redaction application at the sentencing proceeding.

The application will be addressed at the sentencing proceeding.

Criminal cases

Page 2 | 3. Redactions beyond the categories identified in the Privacy Policy

Hard-copy letters must be grouped in one paper filing under a cover marked SENTENCING MEMORANDUM that clearly identifies the caption and docket number, and submitted to the Clerk's Office.

If letters are filed as hard copies, a party shall group all the letters together in a single papers filing under a cover marked SENTENCING MEMORANDUM with the caption and docket number clearly indicated and submit it to the Clerk's Office.

Criminal cases

Page 1 | a. Paper Filing

Electronically filed letters must be grouped as attachments to one document marked SENTENCING MEMORANDUM that clearly identifies the caption and docket number.

If letters are filed electronically, they must be grouped and filed together as attachments to a single document marked SENTENCING MEMORANDUM with the caption and docket number clearly indicated.

Criminal cases

Page 2 | b. ECF Filing

TRO applications require notice to adversary unless notice would cause immediate and irreparable injury.

Applications for temporary restraining orders will be entertained onlyafter notice to the adversary absent a persuasive showing that the giving of notice itself is likely to result in immediate and irreparable injury.

Page 2 | Orders to Show Cause and TROs

Unless the parties are otherwise notified, a pending motion to dismiss the entire action cancels any previously scheduled initial scheduling conference.

Unless the parties are otherwise notified, a pending motion to dismiss the entire action cancels any previously scheduled initial scheduling conference.

Page 1 | CONFERENCES

Opposing party may respond to discovery dispute motion within 2 business days electronically.

The party opposing the relief sought may respond within two (2) business days electronically, briefly describing why the relief sought should not be granted.

Page 2 | Discovery Disputes

Motions (except Orders to Show Cause) should be filed without a return date.

All motions, unless brought on by an Order to Show Cause, should be made without a return date.

Page 2 | Return Dates and Special Filing Rules

Pre-motion conference is not required.

Pre-motion Not required.

Extension requests must include prior request history and opposing counsel's consent status.

Such requests must include the number and disposition of any prior requests for similar extensions and state whether opposing counsel consents to the extension or adjournment.

Extension/adjournment requests require 2 business days notice, prior request history, and opposing counsel consent status.

All requests for extensions of time or adjournment of motions, pretrial conferences, and other matters must be made with copies to all counsel and received in chambers not less than two business days before the scheduled time. Such requests must include the number and disposition of any prior requests for similar extensions and state whether opposing counsel consents to the extension or adjournment.

Extension/adjournment requests require 2 business days advance notice with copies to all counsel.

All requests for extensions of time or adjournment of motions, pretrial conferences, and other matters must be made with copies to all counsel and received in chambers not less than two business days before the scheduled time.

Oral argument adjournments requested less than one week before are granted only under compelling circumstances.

Requests to adjourn the date for oral argument made less than one week prior to the scheduled date will be granted only under the most compelling circumstances.

Requests to exceed page limits must be made 5 days before due date (1 day for reply briefs).

Requests to file memoranda exceeding the page limits set forth herein must be made five (5) days prior to the due date except with respect to reply briefs, in which case the time is the day prior to the due date.

Page limit extensions must be requested 5 days before due date (1 day for reply briefs).

Requests to file memoranda exceeding the page limits set forth herein must be made five (5) days prior to the due date except with respect to reply briefs, in which case the time is the day prior to the due date.

Oral argument adjournment requests within 1 week require compelling circumstances.

Requests to adjourn the date for oral argument made less than one week prior to the scheduled date will be granted only under the most compelling circumstances.

If the extension request is made with the consent of all parties, a stipulation should be submitted as provided in the ECF Rules and Procedures and shall set out the schedule to which counsel have agreed; a request for an extension without the consent of all counsel may be made by letter to the Court.

If the extension request is made with the consent of all parties, a stipulation should be submitted as provided in the ECF Rules and Procedures and shall set out the schedule to which counsel have agreed; a request for an extension without the consent of all counsel may be made by letter to the Court.

Only enumerated letter motions may be filed electronically; other letters must be mailed, couriered, or delivered to court security and not filed on CM/ECF.

Letter motions enumerated in Section 13.1 of the ECF Rules and Instructions may be filed electronically. Other letters shall be mailed or sent by commercial courier to the undersigned or delivered to the court security officers at the Worth Street entrance, 200 Worth Street. Letters, other than enumerated letter motions, shall not be filed on the CM/ECF system.

Page 1 | LETTERS

Fax communication with chambers requires prior approval.

Counsel are not to communicate with chambers via facsimile without prior approval.

Page 1 | COMMUNICATIONS

Communication with chambers by phone is restricted to emergencies and fax communication requires prior approval.

Counsel are not to communicate with Chambers by phone except in case of emergency. Counsel are not to communicate with chambers via facsimile without prior approval.

Page 1 | COMMUNICATIONS

Counsel responsible for knowing all rulings regardless of notice received; check CM/ECF.

Counsel are responsible for knowledge of all rulings and other papers regardless of whether they receive electronic or written notice thereof. The docket sheet and electronic copies of papers are available online through the CM/ECF system.

Fax communication with chambers requires prior approval.

Counsel are not to communicate with chambers via facsimile without prior approval.

Phone communication with chambers only allowed in emergencies.

Counsel are not to communicate with Chambers by phone except in case of emergency.

Copies of correspondence between counsel should not be sent to the Court.

Copies of correspondence between counsel should not be sent to the Court.

Questions about these practices may be directed to Courtroom Deputy Clerk Andrew Mohan by phone.

If you have any questions about these practices, contact the Courtroom Deputy Clerk, Andrew Mohan, (212) 805-0104.

Criminal cases

Page 2 | 4. Questions about these practices

Court does not notify parties of extension/adjournment dispositions; counsel must check docket.

The Court will not advise the parties by telephone or mail of the disposition of requests for extensions and adjournments. Counsel are responsible for checking the docket sheet in the Clerk's office in person, by use of a service, or through use of the Court's ECF system.

Counsel responsible for knowing all rulings regardless of notice received; check CM/ECF system.

Counsel are responsible for knowledge of all rulings and other papers regardless of whether they receive electronic or written notice thereof. The docket sheet and electronic copies of papers are available online through the CM/ECF system.

Court will not notify parties of extension/adjournment decisions; counsel must check docket.

The Court will not advise the parties by telephone or mail of the disposition of requests for extensions and adjournments. Counsel are responsible for checking the docket sheet in the Clerk's office in person, by use of a service, or through use of the Court's ECF system.