RULES BY DISTRICT COURTS
APPEARANCES
(Amended April 25, 2024)
Attorneys representing defendants named in an information or indictment shall file a notice of
appearance. Such appearance shall contain the attorney's name, address, zip code, federal bar
number, telephone number, fax number and e-mail address, if available.
RULE 57.1
SEALED PROCEEDINGS AND DOCUMENTS
(a) Sealed Proceedings.
(1) Orders to Seal Proceedings, Findings. The court may exclude the public from
court proceedings to which a public right of access attaches only if it makes particularized
findings on the record that closure is essential to preserve compelling interests, and that the
closure is narrowly tailored to serve those interests, unless a different standard applies. The
court may make those findings in camera and under seal, only if there are compelling reasons to
do so.
(2) Advance Notice on Public Docket of Closed Proceedings. Any motion or
order to exclude the public from proceedings to which there is a presumption of access under
the First Amendment must be immediately entered on the public docket, except as provided in
subsection (j) of this Rule. The public docketing of any such motion or order must be made as far
in advance of the pertinent proceeding as possible to permit any member of the public to
intervene for the purpose of challenging any such order.
(b) Sealing of Criminal Complaints, Arrest Warrants, and Indictments. A criminal
complaint, arrest warrant, or indictment, and any supporting applications or affidavits, may be
filed under seal if the court finds that sealing is necessary for the safety of any person or for any
compelling law enforcement reason. During the time that any such documents remain sealed,
the existence of the case must be reflected on the public docket by the notation: “Sealed Case.”
Unless otherwise ordered by the court based upon particularized findings sufficient to support
further sealing, upon the initial appearance of the first defendant arrested in the case, the entire
case must be unsealed and the full caption must be entered on the docket sheet. The court may
make any findings under this paragraph in camera and under seal, only if there are compelling
reasons to do so.
(c) Orders to Seal Documents.
(1) Common-Law Right of Access.
Any document that a party presents to the court, which is relevant to the performance of
a judicial function and useful to the judicial process, is a judicial document to which the public
has a presumptive right of access under the common law. The court may seal a document, or
any part of a document, subject to the common-law right of public access only if it makes
particularized findings on the record that the presumption of access to the particular document is
outweighed by countervailing factors in favor of sealing, such as the danger of impairing law
enforcement or judicial efficiency, and privacy interests.
(2) First Amendment Right of Access.
The court may seal a document, or any part of a document, to which the First
Amendment right of access attaches only if it makes particularized findings on the record
demonstrating that sealing is essential to preserve compelling interests, and that sealing in
whole or in part is narrowly tailored to serve those interests.
(3) Duration of Sealing Orders.
Any order sealing a document, or any part thereof, shall specify that sealing is for a
specified duration, until the occurrence of a specific event, or until further order of the court but
only upon a determination by the court that no fixed date or period of time can be ascertained at
the time of the order or is required by law. A statute mandating the non-disclosure of a class of
documents (e.g., personnel files, health care records, or records of administrative proceedings)
provides sufficient authority for an order sealing such documents, until further order of the court
without a set duration. The court may seal an order to seal documents and the related findings,
only if sealing the order meets the standard for sealing the underlying document. No document
may be sealed merely by stipulation of the parties. Any document or part of a document that is
filed under seal in the absence of a court order to seal is subject to unsealing without prior notice
to the parties if the court concludes that sealing is not warranted.
(d) Motions to Seal Documents; Procedures. A party may file a motion to seal a
document in whole or in part. A party may seek to seal an entire document only if sealing of the
entire document (apart from the case caption and signature block) meets the relevant standard
for sealing in subsection (c). A party seeking an order to file a document under seal in whole or
in part may choose among the following procedures:
(1) A party may e-file (i) a motion to seal, which may be e-filed as a public motion or
a sealed motion, (ii) a redacted version of each document sought to be sealed, which must be e-
filed as a public document, (iii) unredacted copies of each document sought to be sealed, which
must be e-filed as sealed documents, and (iv) any memorandum or other documents supporting
the assertion that grounds exist for sealing all or part of the documents sought to be sealed,
which may be e-filed as public or sealed documents. Upon e-filing by the party of a motion to
seal, the contents of any sealed motion or sealed document must be treated as sealed unless
the motion to seal is denied or until otherwise directed by the court.
(2) A party may e-file a motion to seal, which may be e-filed as a public motion or a
sealed motion, along with a memorandum and supporting documents, without the documents
sought to be sealed. If the court grants the motion to seal in whole or in part, the party must e-
file as public documents redacted copies of any documents required by the sealing order, and
must e-file as either sealed motions or sealed documents, unredacted copies of any motions or
documents ordered sealed but not previously e-filed.
(3) A party may seek the court’s permission to submit documents sought to be sealed
for in camera consideration. If the court agrees to review documents in camera, the party must
submit to the court and must serve on all parties of record copies of the documents sought to be
sealed and must e-file a motion to seal, a memorandum, and supporting documents. If a party
wants the motion to seal, memorandum, or supporting documents to be considered as
documents to be sealed, the party must e-file those submissions as sealed motions and/or
sealed documents, and their contents must be treated as sealed unless the motion to seal is
denied or until otherwise directed by the court. If the court grants the motion to seal in whole or
in part, the party must e-file any redacted copies of the documents required by the court’s
sealing order and must e-file the unredacted documents as sealed documents.
(e) Motions to Seal; Docketing. A motion to seal must be e-filed as either a “Motion to
Seal” or a “Sealed Motion to Seal” along with a description of the items sought to be sealed (e.g.,
“Motion to Seal Sentencing Memorandum”). The documents sought to be sealed must be
entered on the docket using the same title of the pleading or description of the documents used
in the motion to seal.
A party seeking to file a sealed document without a docket label description of the document
(e.g., “Sealed Motion”) must make a particularized showing of good cause. If the court finds that
a docketing entry without description is unjustified, it must strike the filing and direct the moving
party to file the sealed document with a docket label description that describes the item(s)
sought to be sealed. If the court finds that a docketing entry without a description is justified, the
document may be entered on the docket simply as “Sealed Document” or “Sealed Motion.”
(f) Opposing Motions to Seal. Any party may oppose a motion to seal a case or
document. Any non-party who seeks to oppose a motion to seal a case or document may move
for leave to intervene in a criminal case for the limited purpose of pursuing that relief. Motions
for leave to intervene for purposes of opposing sealing and objections to motions to seal must be
decided expeditiously by the court.
(g) Physical Custody of Sealed Documents. Except as otherwise required by federal
statute or the Federal Rules of Criminal Procedure (e.g., grand jury matters), and except as
otherwise provided by this Rule, all documents ordered sealed by the court must be e-filed as
sealed motions or sealed documents. Custody of the original documents filed under seal must
remain with the filing party, unless ordered otherwise by the court, subject to the following
exceptions:
(1) Cooperation Agreements and Related Filings. When a defendant’s plea
agreement has been filed and the court has ordered that the associated cooperation
agreement be sealed, the executed cooperation agreement must be maintained by the judge
who will sentence the defendant. Before the time of sentencing, the United States Attorney’s
Office must retrieve the original cooperation agreement from the court, and the United States
Attorney’s Office must file a copy of the cooperation agreement on the docket under seal,
either separately or as an attachment to the government’s substantial assistance motion or
sentencing memorandum.
(2) Wiretap Applications. The United States Attorney’s Office or its designee
must maintain all wiretap applications, supporting documents or affidavits, all orders addressing
wiretap applications, and the fruits of all wiretap authorizations.
(3) Pen Registers and Trap and Trace Devices. An application for a pen
register or for trap and trace devices must be filed after review by the court. Any orders
authorizing pen registers or trap and trace devices, along with related applications and
supporting documents, must be e-filed in accordance with 18 U.S.C. 3123(d) with the case
caption, “In re Pen Register/Trap and Trace.”
(4) Search Warrants. Any application for a search warrant must be filed after
review by the court. The original paper copies of any reviewed search warrant, application,
affidavit, and other supporting documents must be maintained by the officer or attorney seeking
the warrant. Copies of those documents must be e-filed with the case caption, “In Re Search
Warrant.” Such documents, as well search warrant returns, must be e-filed as unsealed
documents, unless the court has ordered them sealed.
(5) Other Ex Parte Motions. Ex parte motions filed in an existing case must
reflect the general nature of the request, and must be e-filed by the applicant with the docket
entry, "Ex Parte Motion Filed by [Party]." If the submission of an ex parte motion will result in the
opening of a new matter, any materials submitted in connection with the ex parte motion must be
submitted to the judicial officer. The motion and related materials must be docketed after review
by the judicial officer. A party may also move to seal any such motion or request. In the event
that materials for which the applicant seeks ex parte review are not appropriate for filing (i.e. due
to volume or format), the ex parte submission must include a Notice of Manual Filing Under Seal
that generally describes the material and the need for filing the material manually. Any material
submitted in connection with the ex parte motion must be e-filed after review as an exhibit to the
motion.
(6) Presentence Investigation Reports. Presentence investigation reports must
be e-filed by the Probation Office and access to them must be restricted to counsel of record for
the government, counsel of record for the defendant, and the defendant, and may be disclosed
only as permitted by law.
(h) Disposition of Sealed Paper Filings. Any sealed paper filing submitted to the clerk
for filing under seal, once uploaded to the electronic docket as a sealed document, must be
destroyed by the clerk unless the filing party requests that it be returned.
(i) Unsealing. Any case or document ordered sealed by the court must remain sealed
as directed in the court’s order.
(1) Motions To Unseal. A party may at any time file a motion to unseal a case
or document that has been sealed. A non-party who seeks to unseal a document may move for
leave to intervene for the limited purpose of pursuing that relief. Motions for leave to intervene
for purposes of unsealing a document must be decided expeditiously by the court.
(2) Notice of Motions To Unseal. Any party filing a motion to unseal or a
response thereto must state whether there are non-parties who should be served with notice of
the motion to unseal.
(3) Intervention and Objections By Non-Parties To Motions To Unseal. A
non-party having an interest in the matter who wishes to object to a motion to unseal may move
for leave to intervene in the proceeding for the limited purpose of pursuing that relief.
(4) Disposition of Motions To Unseal. Absent an objection, the court must
grant the motion to unseal upon a finding that sealing is no longer appropriate under the law and
these Rules.
(j) Delayed Docketing. Notwithstanding the docketing provisions above, in
extraordinary situations where even a contemporaneous notation in the docket would create a
substantial risk of harm to an individual, the defendant’s right to a fair trial, the integrity of
ongoing criminal investigations, or the secrecy of grand jury proceedings, the court may order
docketing of any document or minutes of any proceeding to be delayed for a reasonable time,
but must place particularized findings supporting that delay on the record, under seal if
appropriate. When such delayed docketing is employed, the delayed docket entry must reflect
the fact that the motion was made, or proceeding held; the fact that any supporting or opposing
papers were filed under seal; the time and place of any hearing on the motion; the occurrence of
such hearing; the disposition of the motion; and the fact and extent of courtroom closure.
(k) The requirements of this rule for the court to make a finding prior to ordering the
sealing of proceedings or documents shall not apply to any proceeding or document to which
there is no constitutional, statutory, or common law right of public access.
RULE 57.2
OPENING STATEMENTS
The presiding judge shall determine in his or her discretion whether or not to allow opening
statements.
RULE 57.3
PUBLIC STATEMENTS BY COUNSEL
(a) Statements Permitted During Investigation
A prosecutor participating in or associated with the investigation of a criminal matter shall not
make or participate in making an extrajudicial statement that a reasonable person would expect
to be disseminated by means of public communication and that does more than state without
elaboration:
1. Information contained in a public record.
2. That the investigation is in progress.
3. The general scope of the investigation including a description of the offense
and, if permitted by law, the identity of the victim.
4. A request for assistance in apprehending a suspect or assistance in other
matters and the information necessary thereto.
5. A warning to the public of any dangers.
(b) Statements Prohibited After Commencement of Proceedings
A lawyer associated with the prosecution or defense of a criminal matter shall not, from the
time of the filing of a complaint, information, or indictment, the issuance of an arrest warrant, or
arrest until the commencement of the trial or disposition without trial, make or participate in
making an extrajudicial statement that a reasonable person would expect to be disseminated by
means of public communication and that relates to:
1. The character, reputation, or prior criminal record (including arrests,
indictments, or other charges of crime) of the accused, unless the
accused’s prior convictions are expressly charged in the complaint,
information, or indictment.
2. The existence, nature or scope of plea negotiations.
3. The existence or contents of any confession, admission, or statement
given by the accused or any refusal or failure to make a statement.
4. The performance or results of any examinations or tests or the refusal or
failure of the accused to submit to examinations or tests.
5. The identity, testimony, or credibility of a prospective witness.
6. Any opinion as to the guilt or innocence of the accused, the evidence, or
the merits of the case.
(c) Statements Permitted After Commencement of Proceedings
Rule 57(c) does not preclude a lawyer during such period from disclosing publicly:
1. The name, age, residence, occupation, and family status of the accused.
2. If the accused has not been apprehended, any information necessary to
aid in apprehension or to warn the public of any dangers the accused
might present.
3. A request for assistance in obtaining evidence.
4. The identity of the victim of the crime, if otherwise permitted by law.
5. The fact, time and place of arrest, resistance, pursuit, and use of
weapons.
6. The identity of investigating and arresting officers or agencies and the
length of the investigation.
7. At the time of any seizure, a description of the physical evidence seized.
8. The nature, substance, or text of the charge.
9. Quotations from or references to public records of the Court in the case.
10. The scheduling or result of any step in the judicial proceedings.
11. That the accused denies the charges.
(d) Statements Prohibited During Jury Selection and Trial
During the selection of a jury or the trial of a criminal matter, a lawyer associated with the
prosecution or defense of a criminal matter shall not make or participate in making an
extrajudicial statement that a reasonable person would expect to be disseminated by means of
public communication and that relates to the trial, parties, or issues in the trial or other matters
that are reasonably likely to interfere with a fair trial, except that the lawyer may quote from or
refer without comment to public records of the Court in the case and defense counsel may state
that the accused denies the charges.
RULE 58
APPEALS
(Amended May 24, 2017)
(a) Notice of Appeal
When an appeal is taken by a defendant in a criminal case, the Clerk shall cause a file-
stamped copy of the notice of appeal to be served upon all counsel of record in the case. The
Clerk shall transmit forthwith a copy of the notice of appeal and of the docket entries to the Clerk
of the Court of Appeals.
(b) Bond on Appeal
The bond of any defendant admitted to bail pending appeal to the Court of Appeals shall be
conditioned upon the defendant-appellant's compliance with the Rules of Appellate Procedure
and the Rules of the United States Court of Appeals for the Second Circuit concerning the times
for filing the record on appeal and briefs. Applications for an extension of time for filing the
record on appeal in a criminal case shall be made to the Court of Appeals in accordance with the
“Plan to Expedite the Processing of Criminal Appeals” adopted by the United States Court of
Appeals for the Second Circuit.
(c) Transcripts on Appeal
When an appeal is taken, counsel shall take the necessary steps forthwith to order that
portion of the court reporter's transcript which is required for appeal purposes. The court
reporter shall notify the Chief Judge of the United States Court of Appeals for the Second Circuit
of the date on which such transcript has been completed. When the transcript is completed, a
copy thereof shall be filed immediately by the court reporter with the Clerk of the District Court
for perfecting the record on appeal.
RULE 58.1
FORFEITURE OF COLLATERAL IN LIEU OF
APPEARANCE IN PETTY OFFENSE MATTERS
(a) Pursuant to Federal Rule of Criminal Procedure 58(d)(1), this Local Criminal Rule 58.1
incorporates the rules of this Court relative to forfeiture of collateral in lieu of appearance in petty
offense matters.
(b) For petty offenses originating under the applicable federal statute or regulations or
applicable state statute by virtue of the Assimilative Crimes Act, 18 U.S.C. § 13, occurring within
the boundaries of United States military installations, federal buildings and grounds, national
forests, and property under the charge and control of the Veterans Administration or the U.S.
Postal Service, the person so charged shall post collateral and may, in lieu of appearance, waive
appearance before a United States Magistrate Judge, and consent to the forfeiture of collateral.
If collateral is forfeited, such action shall be tantamount to a finding of guilt.
(c) If a person charged with a petty offense under subparagraph (a) fails to post and forfeit
collateral and is subsequently convicted, any punishment, including fine, imprisonment, or
probation may be imposed within the limits established by the applicable law.
(d) If, within the discretion of the law enforcement officer, the offense is of an aggravated
nature, the law enforcement officer may require a mandatory appearance before a United States
Magistrate Jude of the person charged with the offense. Additionally, some petty offenses
require a mandatory appearance before a United States Magistrate Judge, and as such, may not
be adjudicated solely through the posting and forfeiture of collateral.
(e) Nothing in this Local Criminal Rule 58.1 shall prohibit a law enforcement officer from
arresting a person for committing an offense, including those for which collateral may be posted
and forfeited, and requiring the person charged to appear before a United States Magistrate
Judge or, upon arrest, taking the person before a United States Magistrate Judge during a
regularly scheduled business day or if at a time when the Court is closed, on the next business
day thereafter.
CRIMINAL APPENDIX
STANDING ORDER ON DISCOVERY
(Amended December 13, 2024)
In all criminal cases, it is Ordered:
(A) Initial Disclosure by the Government.
No later than 14 days after the arraignment, the attorney for the government and the
defendant’s attorney must confer and try to agree on a timetable and procedures for pretrial
disclosure under Rule 16. After the discovery conference, one or both of the parties may ask the
court to determine or modify the time, place, manner, or other aspects of disclosure to facilitate
preparation for trial.
If any agreement is reached, this agreement shall be reduced to writing and filed with the
Court by the government within 3 days of reaching the agreement.
