| New York
Civil Practice Before Trial |
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Table of Contents
CHAPTER 1 I. Initial Client Contact II. Case Assessment and Valuation A. Weigh Costs and Benefits B. Evaluate Client C. Consider Ethical Factors 1. Professional Rules Govern 2. Is There a Conflict of Interest? D. Evaluate Fee Sources III. After Assessment and Valuation A. Initial Steps B. Prepare for Case Conference C. Consider Fee and Cost Arrangements 1. Preliminary Considerations 2. Factors in Selecting A Fee Arrangement 3. Time-Based (Hourly-Rate) Billing 4. Contingency Fees 5. Retainers 6. Other Fee Arrangements 7. Costs and Expenses D. Prepare to Formalize Attorney-Client Relationship 1. Preliminary Considerations 2. Ethical (CPR) Guidelines and Requirements 3. Draft Proposed Retainer Letter a. In All Cases b. In Hourly-Rate Billing Arrangements c. In Contingency-Fee Arrangements d. In Other Arrangements IV. Case Conference A. Overview B. Information to Obtain C. Information to Convey V. Taking Over from Prior Counsel
Chapter 2 I. Investigation A. Preliminary Considerations B. Reasons to Conduct a Presuit Investigation 1. Legal Requirements a. In General b. CPLR 8303-a c. 22 NYCRR §130-1.1 2. Practical Purposes C. Sources for Investigation 1. Client 2. Opposing Parties 3. Third-Party Witnesses 4. Experts 5. Other Sources II. Presuit Communications, Demands, and Notices A. Communications with Parties B. Demand Letters C. Threatening Action D. Notice Requirements E. Communicating with Insurers III. Litigation Planning A. Pre-Filing Resolution 1. Negotiation 2. Alternative Dispute Resolution B. Plaintiff’s Considerations 1. Legal Research 2. Parties 3. Causes of Action 4. When to File 5. Where to File a. Personal Jurisdiction b. State or Federal Court? c. Choosing the Appropriate Level of State Court C. Defendant’s Considerations IV. Presuit Disclosure A. Role in Litigation B. Permissible Bases for Obtaining Presuit Discovery 1. To Assist in Bringing an Action 2. To Preserve Information 3. To Aid in Arbitration C. Procedures
CHAPTER 3 I. Overview A. General Points B. Sources of Law C. Conditions Precedent Distinguished D. Laches Distinguished II. Calculating Limitations Period A. General Points B. When Period Expires III. Interposing Claim A. Claims in Complaint 1. By Filing 2. By Service B. Relation Back Doctrine 1. Counterclaims, Cross-Claims, and Third-Party Claims 2. Amended Pleadings 3. Parties United in Interest IV. Determining Applicable Period A. Torts 1. Personal Injury and Injury to Property 2. Professional Malpractice (Non-Medical) a. General Points b. Architects, Engineers, and Surveyors 3. Medical Malpractice 4. Fraud 5. Intentional Torts 6. Wrongful Death Suits 7. Tortious Interference with Contract B. Contract Actions C. Breach of Fiduciary Duty and Similar Claims D. Real Property Actions E. Enforcement of Judgments and Awards F. Statutory Causes of Action G. Residual Limitations Period V. Modifying Limitations Period A. By Agreement B. By Acknowledgment of Debt C. By Estoppel 1. General Points 2. Estoppel in Medical Malpractice Actions D. By Governor’s Executive Order in Time of Emergency VI. Accrual A. Torts 1. General Points 2. Particular Causes of Action B. Professional (Non-Medical) Malpractice C. Medical Malpractice 1. General Rule 2. Continuous Treatment Rule a. General Points b. What Is Treatment c. What Is Same Condition d. What Is Continuous e. When Treatment Ends f. Imputing One Provider’s Treatment to Another 3. Foreign Object Rule D. Products Liability 1. Toxic Torts a. Suspension of Statute of Limitations b. Injuries Covered c. Discovery d. Retroactivity and Revivor Statutes 2. Breach of Warranty E. Contract Actions VII. Tolls A. Absence Toll B. “Do-Over” Toll C. Infancy and Insanity Toll D. Death Toll E. Tolls for Crime Victims F. Legal Impediment Tolls G. Marriage Toll VIII. Borrowing Statute [Chapters 4-5 Reserved]
CHAPTER 6 I. Overview A. Nature of Subject Matter Jurisdiction B. Related Concepts C. New York State Court System D. Federal Constraints on Subject Matter Jurisdiction E. Strategic Considerations in Choosing Court F. Raising Lack of Subject Matter Jurisdiction II. Supreme Court A. Subject Matter Jurisdiction B. Supreme Court Justices C. Rules of Practice in Supreme Court D. Trials III. Trial Courts of Limited Jurisdiction A. Surrogate’s Court B. Family Court C. Court of Claims D. Civil Court of the City of New York 1. Subject Matter Jurisdiction 2. Civil Court Judges 3. Rules of Practice 4. Small Claims Part 5. Trials E. County Courts 1. Subject Matter Jurisdiction 2. Judges of the County Courts 3. Rules of Practice and Trials F. Other Trial Courts 1. District Courts 2. City Courts 3. Village and Town Courts IV. Removal and Transfer A. General Points B. Action Commenced in Wrong Court C. Removal to Higher Court to Permit Additional Relief D. Transfer to Lower Court 1. On Parties’ Consent 2. Without Parties’ Consent E. Transfer by Supreme Court to Court of Concurrent Jurisdiction
CHAPTER 7 I. General Points II. General (Unlimited) Jurisdiction [CPLR 301] A. General Points B. Individuals 1. New York Domicile 2. Nonresident “Tagged” with Service in New York a. General Points b. When Tagging Is Unavailable 3. Doing Business in New York C. Corporations—Domestic or “Authorized” in New York D. “Unauthorized” Foreign Corporations 1. General Points 2. Doing Business in New York a. General Points b. Federal Due Process c. New York Office and Staff d. Soliciting in New York e. Maintaining Web Sites f. Banking in New York g. Third-Party Doing New York Business for Defendant 3. Parent or Subsidiary Present in New York E. Partnerships and Individual Partners 1. Partnerships 2. Individual Partners III. Long-Arm Jurisdiction [CPLR 302] A. General Points B. Issues Regarding Specific Types of Defendants C. Transacting Business in New York 1. General Points 2. Did Defendant Transact Business in New York? a. General Points b. Dealing by Phone, Mail, Fax, etc. c. Stock Sales and Purchases 3. Does Plaintiff’s Claim Arise from the Transaction? 4. Agent v. Principal D. Contracting to Supply Goods or Services in New York 1. General Points 2. Goods and Services 3. Promissory Notes and Guarantees E. Torts 1. General Points 2. Tort Committed Inside New York 3. Tort Committed Outside New York Causing New York Injury a. General Points b. Additional Conditions c. Option #1: Subparagraph (i) d. Option #2: Subparagraph (ii) i. Defendant’s Far-Flung Commerce ii. Forseeability and Minimum Contacts F. Real Property Ownership or Use G. Marriage and Family Law Cases 1. Types of Jurisdiction Required 2. Matrimonial Long-Arm Jurisdiction IV. Consent and Waiver A. Consent 1. Designating New York Agent for Service 2. Consent by Agreement a. General Points b. Consent to Arbitrate B. Appearance and Waiver 1. General Points 2. Waiver 3. Special and Limited Appearances V. In Rem and Quasi In Rem Jurisdiction A. General Points B. Federal Due Process Limits
CHAPTER 8 I. Overview A. General Points B. Jurisdiction Issues C. Significance of Venue D. Change of Venue II. Determining Venue A. General Points B. Venue Statutes 1. General Statute—Venue Based on Residence 2. Special Statutes 3. Non-Jury Trials C. Determining Residence 1. Individuals 2. Representatives and Assignees 3. Entities a. Corporations b. Unincorporated Entities D. Consumer Credit Transactions E. Government Entities F. Property 1. Real Property Actions 2. Attacking Agreement G. Venue Agreements 1. General Points 2. Attacking Agreement H. Venue in Multi-Party Actions III. Selecting and Pleading Venue A. Selecting B. Designating C. Pleading Techniques IV. Change of Venue A. Challenging Improper Venue 1. General Points 2. Who Can Challenge 3. Whether to Challenge 4. Procedure a. Pre-Motion Demand b. Motion to Transfer 5. Failure to Make Timely Demand and Motion B. Change from Proper Venue 1. General Points 2. Grounds a. Convenience and Justice b. Impartial Trial c. Joinder of Claims or Parties C. Effecting Transfer V. Choosing Between Federal and State Court A. Plaintiff’s Initial Choice 1. Subject Matter Jurisdiction 2. Strategic Considerations a. General Points b. Territorial Jurisdiction, Venue, and Applicable Law c. Procedure and Evidence d. Discovery e. Judges and Juries B. Removal to Federal Court 1. Strategic Considerations 2. Grounds for Removal 3. Procedures for Removal a. Notice of Removal b. Who May Remove c. Consent of Other Defendants 4. Time for Removal a. Removal Based on Initial Pleading b. Removal Based on Subsequent Developments 5. Remand to State Court a. Motion to Remand b. Hearing and Disposition c. Sua Sponte Remand d. Review e. Costs and Attorney Fees
CHAPTER 9 I. Overview A. General Points B. Time Limits C. Who May Serve Process D. Service Abroad II. The Summons A. Content 1. Original Summons a. Basic Requirements b. Jurisdictional Defects c. Specific Requirements and Defects 2. Summons with Notice 3. Supplemental and Third-Party Summonses 4. Civil Court Summons B. Amending the Summons III. Service by Mail IV. Service on Individuals A. General Points B. Personal Delivery C. Leave and Mail Service 1. General Points 2. Timing Issues 3. Completion of Service 4. At Actual Place of Business 5. At Dwelling Place or Usual Place of Abode 6. To Person of Suitable Age and Discretion D. Nail and Mail Service 1. General Points 2. Timing Issues 3. Completion of Service 4. Due Diligence 5. Actual Dwelling or Place of Business E. Serving Defendant’s Agent F. Expedient Service 1. General Points 2. Other Methods Must Be Impracticable G. Service on Infants and Those in Need of Guardians 1. Infants 2. Persons in Need of a Guardian H. Motor Vehicle Accidents: Nonresident Driver or Owner 1. General Points 2. Returned Mail 3. Timing Issues 4. Completion of Service V. Service on Corporations A. General Points B. Under the CPLR 1. General Points 2. Whom to Serve 3. Completion of Service C. Under Business Corporation Law 1. Domestic and Authorized Foreign Corporations 2. Unauthorized Foreign Corporations a. General Points b. Timing Issues c. Completion of Service VI. Service on Unincorporated Entities A. Partnerships 1. General Points 2. Leave and Mail Service 3. Nail and Mail Service 4. Delivery to Agent 5. Expedient Service 6. Service Outside State 7. Limited Partnerships and LLPs: Service on Secretary of State a. Domestic and Authorized Foreign Limited Partnerships and Registered LLPs b. Unauthorized Foreign Limited Partnerships B. Other Unincorporated Entities VII. Service on Governmental Entities VIII. Service by Publication A. When Permitted B. Procedure IX. Proof of Service A. General Points B. Content C. Filing X. Defendant’s Appearance A. General Points B. What Constitutes Appearance 1. Formal Appearance 2. Informal Appearance C. What Does Not Constitute Appearance D. Who May Appear E. Limited Appearance XI. Challenging Service [Chapters 10-13 Reserved]
CHAPTER 14 I. General Points II. Capacity to Sue, Be Sued, or Defend A. Corporations 1. Domestic and Authorized Foreign Corporations 2. Unauthorized Foreign Corporations B. Partners and Partnerships C. Other Types of Persons or Entities D. Challenging Capacity III. Standing to Sue IV. Suing or Defending Special Parties A. Infants and Incompetents 1. General Points 2. Representation a. Proper Representatives b. Failure to Appear by Proper Representative 3. Appointment of Guardian ad Litem 4. Default Judgment and Arbitration 5. How to Settle Ward’s Claim a. Obtaining Court Approval b. Notice and Supporting Papers B. Business and Other Entities 1. Corporations 2. Partnerships a. Basic Points b. Limited Partnerships 3. Unincorporated Associations 4. Other Entities C. Unknown or Fictitious Defendants D. Misnamed Parties V. Joinder A. How to Join Parties B. Necessary Joinder 1. General Points 2. Examples 3. Dismissal for Non-Joinder a. General Points b. Procedure 4. Excusing Necessary Joinder C. Permissive Joinder 1. Requirements 2. Joinder of Plaintiffs 3. Joinder of Defendants D. Challenging Misjoinder VI. Substitution A. General Points B. Mandatory Substitutions 1. Death 2. Incompetence, Receivership, or Dissolution C. Permissible Substitutions D. Procedure 1. Motion to Substitute 2. Failure to Move for Substitution VII. Interpleader A. General Points B. Requirements C. What Is Not Required D. Personal Jurisdiction 1. Basic Points 2. Notice of Nonresident Claimant in Pending Action 3. Federal Interpleader a. Statutory Interpleader b. Federal Rule Interpleader E. Procedure 1. Stakeholder Files Interpleader Complaint 2. Motion for Discharge 3. Motion to Deposit Stake VIII. Intervention A. Basic Points B. Motion to Intervene C. Intervention as of Right D. Permissive Intervention IX. Third-Party Practice (“Impleader”) A. Basic Points B. Requirements C. Insurance Cases D. Whether to File a Third-Party Claim E. Early Strategies F. Procedure 1. Third-Party Summons and Complaint 2. Third-Party Defendant’s Response 3. Plaintiff’s Claims Against Third-Party Defendant 4. Dismissal or Severance G. Vouching-in as Alternative to Impleader X. Class Actions A. Basic Points B. Factors for Class Certification 1. Prerequisites 2. Discretionary Factors C. Procedural Issues D. Pre-Certification Discovery E. Order Allowing Class Action F. Notice to Class Members G. Management of Class Actions H. Class Action Settlements
CHAPTER 15 I. All Pleadings A. Basic Points B. Purposes C. Format (for ALL Court Papers) D. Drafting Rules and Techniques E. Verification 1. Basic Points 2. When Required a. Basic Points b. Exceptions 3. By Whom a. Requirements and Exceptions b. Agent or Attorney 4. Form and Content 5. Defective or Missing Verification a. Basic Points b. How to Respond i. Defendants ii. Plaintiffs iii. Treat Pleading as Nullity F. Sanctions for Frivolous Pleading II. Complaints A. Definitions B. Goals and Pitfalls C. CPLR’s Particularity Requirements 1. The Key Rule: CPLR 3013 a. Basic Points b. Exceeding Minimum Requirements 2. Particularity for Specific Matters [CPLR 3015] a. Condition Precedent b. Corporate Status c. License to Do Business (In Actions v. Consumers) d. Other Matters 3. Special Particularity for Specific Claims [CPLR 3016] a. Basic Points b. Libel or Slander c. Fraud or Mistake d. Separation or Divorce e. Action on Judgment f. Action Based on Law of Foreign Country g. Itemized Claims for Goods or Services h. Motor-Vehicular Personal Injury i. Misconduct by Non-Profit’s Director, Officer, or Trustee D. Before Drafting E. Drafting the Complaint 1. Basic Points 2. Caption and Introductory Matters 3. Background Facts 4. Causes of Action a. Basic Pleading Points & Strategies b. Splitting Claims Not Permitted c. Joinder of Claims 5. Demand for Relief a. Basic Points b. Pleading Dollar Amount of Damages 6. Attorney’s Indorsement and Signature F. Attaching Documents 1. When Optional 2. Medical Malpractice Action (Certificate of Merit) III. Before Answering IV. Answers A. Basic Points B. Format C. Parts and Divisions D. Allegation Responses 1. Admissions 2. Denials a. Basic Points b. Types of Denials 3. Types of Allegations E. Disputing Special Matters 1. Itemized Claims for Goods or Services 2. Other Matters F. Affirmative Defenses 1. Basic Points 2. Specific Defenses a. In All Types of Actions b. Contract Actions c. Tort Actions 3. Pleading Requirements 4. Failure to Plead a. Basic Points b. Raising Defense in Amended Answer G. Service and Filing 1. Basic Points 2. Extending Service Deadline a. By Stipulation b. By Court Order i. Basic Points ii. Moving Late iii. Court’s Discretion H. Plaintiff’s Reply V. Counterclaims and Cross-Claims A. Counterclaims 1. Basic Points 2. Substance of Counterclaims a. Basic Points b. Claims Related to Events in Complaint 3. Who May Counterclaim Against Whom 4. Effect of Party’s Capacity in Suit 5. Special Counterclaim Defendants 6. Statute of Limitations Issues B. Cross-Claims C. Procedure 1. Pleading 2. Service and Filing 3. Response a. To Counterclaim b. To Cross-Claim c. Motions VI. Amended and Supplemental Pleadings A. Basic Points B. Supplements 1. Basic Points 2. Method, Content, and Timing C. Amendments 1. Basic Points 2. Limitations 3. Without Leave or Stipulation D. Amending or Supplementing with Leave of Court 1. Basic Points 2. Court’s Discretion a. Granting Leave b. Denying Leave i. Prejudice ii. Other Grounds 3. Request for Leave E. Response to New Pleading
CHAPTER 16 I. Overview II. Where to File the Motion III. Preparing, Serving, and Filing the Motion A. Formal Requirements B. Essential Elements of Motion: Notice, Factual Basis, Law 1. Notice Requirements 2. Affidavits and Exhibits 3. Brief in Support of Motion a. General Considerations b. Drafting Considerations C. Serving the Motion D. Filing the Motion IV. Opposing the Motion A. Opposition Papers B. Making Cross-Motions C. Moving Party’s Reply V. Hearing on the Motion A. Appearance on Return Date; Oral Argument B. Disqualifying the Judge 1. Statutory Standard 2. Court Rules 3. Discretionary Recusal C. Effective Oral Argument D. Trial of an Issue Raised by a Motion VI. Court’s Decision on the Motion A. Court’s Order B. Stay of Proceedings VII. Emergency Motions VIII. Ex Parte Motions IX. Reopening the Court’s Decision A. Tactical Considerations B. Motion for Reargument C. Motion to Renew
CHAPTER 17 I. Overview A. Types of Injunctions B. Distinguished from Other Pre-Judgment Orders C. Advantages and Disadvantages 1. Advantages 2. Disadvantages II. Jurisdiction, Venue, and Parties A. Subject Matter Jurisdiction B. Venue C. Parties 1. Movant 2. Persons Bound III. Grounds and Defenses A. Statutory Requirements 1. General Points 2. Likelihood of Success 3. Irreparable Injury a. Adequate Legal Remedy b. Real Injury 4. Balancing Equities 5. Defenses B. Judicial Requirements 1. General Points 2. Likelihood of Success 3. Irreparable Injury a. Adequate Legal Remedy b. Real Injury 4. Balancing Equities 5. Defenses IV. Typical Subject Matter A. Asset Protection and Enforcement of Judgments B. Property C. Business D. Other V. Preliminary Injunction Procedure A. Effective Preparation and Advocacy B. Motion Papers |
