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THE COUNTY CLERK'S OFFICE -- LITIGATION-RELATED FUNCTIONS

Concerning:  Filing of Papers, Index Numbers, Certified Copies  /  Entry and Filing of Papers  /  Stipulations of Discontinuance  /  Judgments  /  Record Room  /  Sealing of Files and Impoundment of Papers  /  Commencement of Cases Under Seal and Anonymous Captions  /  Notice of Appeal  /  Judgment Docket and Lien Section  /  Depositing Money with the County Clerk

 

A. FILINGS MADE WITH / ITEMS OBTAINED FROM THE COUNTY CLERK

Important litigation papers must be filed by counsel with the County Clerk. The chief among these are:

  • Summons and complaint or summons with notice
  • Petition (special proceedings)
  • CPLR 3213 motion papers
  • Proof of service of summons and complaint
  • Poor person order
  • Notice of appeal
  • Proposed judgments for signature by the County Clerk

All of these documents must be submitted by counsel to Room 141B (in the basement). Specifically, papers commencing a case are submitted to the Cashier in that room with an index number purchase form, a cover sheet and fee. For copies of these two forms, click here.  For information on fees, click here.  Subsequent papers for filing are submitted to the Law and Equity desk in that room except for proposed judgments for signature by the County Clerk, which are to be presented to the Judgment Clerk there. An RJI, a note of issue and a jury demand must be paid for in Room 160. The last two of these three must be filed with the Trial Support Office (Room 158).

With regard to initiating papers in special proceedings and moving papers in CPLR 3213 motion/actions:  

Special Proceedings:  Counsel should file the original petition with the County Clerk (Room 141B) to commence a special proceeding.  The notice of petition need not be filed with the County Clerk.  CPLR 304.  In a special proceeding, a duplicate original of the petition, the original notice of petition (which is process, the counterpart of the summons, D. Siegel, New York Practice 949 (4th ed. 2005)), and an original affidavit of service shall be filed in the Motion Support Office (Room 119); these are the papers that will be forwarded to the assigned Justice for action.  The petitioner may proceed by order to show cause instead of a notice of petition (CPLR 403 (d)); the proposed order should be presented to the Ex Parte Office (Room 315).  

Motion/Actions under CPLR 3213:  The original 3213 papers should be filed with the County Clerk (Room 141B).  A duplicate original of the 3213 papers and an original affidavit of service in any such motion/action shall be filed with the Motion Support Office (Room 119); these are the papers that will be forwarded to the assigned Justice for action.     

Index Numbers: When a case is being commenced, the filing party must file the initiating papers with the County Clerk and purchase an index number.   Filing means the delivery of the summons with notice, summons and complaint or petition to the County Clerk (Room 141B), or any other person designated by the Clerk for this purpose, together with the filing fee.  At the time of filing, the Clerk will date stamp the original and a copy, will file the original, maintaining a record of the date of the filing, and will immediately return the copy to the filing party.  CPLR 304.  The index number will be issued upon the filing.  CPLR 306-a.  The Clerk will open a County Clerk's file and create a color-coded file jacket bearing the index number assigned to the case. Papers subsequently presented for filing will be filed in this jacket. Index numbers take the form of six digits followed by a slash and the four digits of the year the case began, e.g., 340705/2005.

Certain blocks or series of index numbers are allotted to particular types of cases.  At present, these are:

  • 100,000 - - General Assignment Cases
  • 150,000 - - E-Filed General Assignment Cases
  • 200,000 - - Tax Certiorari Cases
  • 250,000 - - E-Filed Tax Certiorari Cases
  • 300,000 - - Uncontested Matrimonial Cases
  • 350,000 - - Contested Matrimonial Cases
  • 400,000 - - No-Fee Cases
  • 500,000 - - Appellate Term
  • 590,000 - - Third-Party Actions
  • 600,000 - - Commercial Division Cases
  • 650,000 - - E-filed Commercial Cases

Commencement of Cases:  For information on case commencement, click here.

Third-Party Actions: A defendant who wishes to proceed against a non-party must file and serve a third-party summons and complaint. This third-party action (or fourth or fifth, etc.) will be an appendage of the main action. The defendant-third-party plaintiff is required to pay a filing fee for the third-party action. CPLR 1007. The County Clerk will not add a new index number to the caption to reflect the third-party action; an index number identifies an entire case (including its appendages) and there can be only one such number per case. The third-party action will be given a separate number for record-keeping purposes, which number need not appear on court papers.

Certification, Transfers, Appeals, etc.: Certified copies of court documents may be obtained at the Certification Window in Room 141B (cost $ 8.00), which also does exemplifications (see CPLR 4540), effects transfers of cases to Civil Court or other courts, handles subpoenaing of records on appeals, and accepts filings of notices of appeal.

Decisions and Orders/Entry: All decided motions and signed long form orders (as for judgments, see Section B below) are delivered to the Motion Support Office (Room 119) from Chambers.  The issuance of decisions is recorded in the court's Civil Case Information System ("CCIS") computer.  The decisions (except for those in matrimonial,  Article 81 and sealed cases and those which the assigned Justice has directed not to be posted), with County Clerk entry stamp, are posted to the court's website (in the Supreme Court Records On-Line Library ("Scroll"), generally within two or three hours after the notation is made in CCIS, or overnight if the entry is made at the end of the day.  All decisions, orders, and papers on motions are then delivered to the County Clerk (Room 141B).  However, where a decision on a motion directs that an order be settled, the file will be retained in the Motion Support Office Order Section or the Commercial Division Support Office to await the submission of the proposed order and any counter-order.  These files will not be delivered to the County Clerk until after the long form order has been signed by the Judge.  However, the decisions directing settlement of an order will be posted on the court's website.

"Entry" consists of the recording of a document in the County Clerk's minutes (which are available in Scroll for most case types) and the file stamping of the document (the stamp reads "Filed" and the date). Entry gives effect to orders and judgments. Service of a copy of the decision and order or judgment with notice of entry causes the appellate clock to start to tick. "Entry" in the records of the Clerk is done as of the day on which the County Clerk stamps a document with the official stamp.

The County Clerk maintains a list of the entries (e.g., affidavit of service, order) made in the official record ("minutes") of each case. Handwritten minute books exist for cases prior to 1993 and computerized records for all cases from 1993 on. In addition to Scroll, the minutes may be accessed by means of courthouse terminals located in the County Clerk's Office (Rooms 141B, 103B, 109B, and 160). 

Emergency Entries: Occasionally an emergency will arise requiring expedited entry of a document with the County Clerk (e.g., an order issued in the courtroom after a conference or argument of a critical matter), such as for purposes of an immediate appeal. Expedition can be achieved by the Part as follows: the document should be carried by a Court Officer or staff member to the Motion Support Office to assure immediate and proper recordation in the computer and, as appropriate, the posting of the document to the Supreme Court Records On-Line Library ("Scroll"). The court will accommodate counsel in emergencies. 

Stipulations of Settlement/Discontinuance: All stipulations of settlement/discontinuance should be filed with the County Clerk in Room 160.  A fee of $ 35 must be paid.  CPLR 8020 (d).  The defendant is responsible for filing the document and paying the fee.  Id.  The County Clerk will deliver the stipulation to the Trial Support Office after processing so that the court can mark its records (CCIS) to reflect the settlement/discontinuance.  If a case is resolved at a time when a motion is sub judice, an attorney on the case should be sure to notify the assigned Justice as soon as possible so that the Judge does not waste time working on a motion that has been rendered moot.

B. JUDGMENTS

1) In Special Proceedings

Special proceedings end in judgments, as do normal civil actions. Since it is usual for the decision on the initial motion to end the proceeding, the decision on Motion Sequence No. 001 will often be a decision and judgment.

2) In Civil Actions

Judgments in civil actions present a more complex subject..

Judgments on Default: The County Clerk is empowered by the CPLR to enter judgments on default involving a sum that is certain or can be made so by calculation. The applicant must present to the Judgment Clerk in Room 141B a copy of the summons and complaint, a statement for judgment documenting service and the default, and an affidavit by the client as to the merit of the case and the sum certain. In cases not involving a sum certain, the Court must order the entry of judgment on ex parte application or after a motion on notice. If there is a default on the motion and the court cannot direct the Clerk to enter judgment immediately, it will direct an inquest. See CPLR 3215. A defendant who appeared is entitled to notice. A non-appearing defendant is also entitled to notice if more than one year has elapsed since the default, unless the court orders otherwise. CPLR 3215(g)(1). Where an application must be made to the court, a defendant who has failed to appear may serve a written demand for, and is then entitled to, notice of any reference or assessment by a jury. CPLR 3215(g)(2). Additional notice is required for certain default judgments. CPLR 3215(g)(3) and (4). The court must sign judgments awarding equitable relief.

Judgments after Motions: A decision on a motion will actually be a decision and order the latter portion of which may direct the Clerk to enter judgment in favor of the plaintiff for a particular sum (again, where that can be determined on papers alone) or in favor of defendant usually dismissing the case. The Clerk will then sign and enter a judgment in accordance with the order of the Court. This will happen when counsel submits to the Judgment Clerk a judgment in proper form that substantively complies with the order of the court (the court enters judgments automatically only in matrimonial cases). On some motions (e.g., to confirm a referee's report in a foreclosure action) the Justice may sign a judgment.

Sometimes the court will issue a decision on a motion on the record. To serve notice of entry, counsel should obtain a certified copy of the transcript from the Court Reporter and append it to a copy of the court’s decision (gray sheet). Counsel should also cause a copy of the transcript to be placed in the County Clerk’s file since it will likely not have been transcribed at the time the court signs and transmits the decision for filing.

An award of costs and disbursements will be included in the judgment where authorized and when the prevailing party presents a proper bill of costs. Where interest is awarded or provided for statutorily, the Judgment Clerk will calculate the amount of interest. It is customary, in orders signed by the Court that award costs, disbursements or interest, for the Court to direct that the Clerk calculate the amount of interest and tax or compute the costs and disbursements. Where a Justice signs a judgment, blank spaces will usually be left by the Justice for the dollar amount of interest, costs and disbursements, and for the resulting total sum, which spaces will be completed by the Clerk.

Where a cause of action contains a prayer for declaratory relief, the order of the Court on that claim must actually be an order and judgment and must declare as the judgment of the Court ("It is hereby adjudged and declared ....") whatever the Court has found.

Post-Trial Judgments: After a jury trial, the Part Clerk will record the outcome in the minutes. Upon request, for cases of money judgments or judgments of dismissal upon a general verdict (CPLR 5016 (b))(a general verdict is one in which the jury finds in favor of one or more  parties (CPLR 4111 (a))), the Part Clerk will issue and sign an "extract" from these minutes, which lists the venue, the index number, the full title of the action (not the short-form one), the name of the Justice, the outcome of any motion affecting the caption, the verdict, and the date. The extract must account for all parties and all claims that were not submitted to the jury. Either party can then present to the Judgment Clerk in the County Clerk’s Office for signature and entry a judgment dismissing the case or for a particular sum, as set forth in the extract. The Justice need never sign anything in such cases, neither an order nor the judgment itself, since the jury has provided the verdict.  Extracts are not suited to complex verdicts/decisions.  

Where there is a special verdict (which is one in which the jury finds the facts only, leaving it to the court to determine which party is entitled to judgment thereon (CPLR 41111 (a))), the court shall direct entry of an appropriate  judgment.  CPLR 5016 (b). 

When settlement is directed, it occurs in the Part or in Chambers. Where questions arise about how the judgment should be framed, it is recommended that attorneys consult with the Judgment Clerk in Room 141B or the Law Secretary of the Justice.

If the trial is non-jury, the Justice will set forth the outcome on the record or in a written decision and will usually direct that a judgment in conformity therewith be settled or submitted. Whenever equitable relief is granted, the Justice needs to sign the judgment. If equitable relief is denied, the court may direct the County Clerk to enter judgment of dismissal.

3. Entry and Filing

Decisions and orders are recorded in the County Clerk's minutes and filed in the County Clerk's file jacket.  Counsel wishing to serve notice of entry of an order should consult the Supreme Court Records On-Line Library ("Scroll") on this court's website since most decisions and orders will be posted there, very promptly after issuance, with County Clerk entry stamp.

Executed judgments are set aside in the Law and Equity Section of Room 141B in a group referred to as "unfiled judgments." These are not entered and filed by the Clerk on his own (except in matrimonial cases).  Rather, the County Clerk awaits the arrival of counsel or a representative in person at the Judgment Clerk's desk with a bill of costs to secure the calculation of any interest and entry of the judgment and to effect the preparation of a judgment roll. Documentation of contractual interest rates may have to be submitted to the Judgment Clerk. The Clerk will not enter judgment without the creation of a judgment roll, which consists of the basic papers in the case (pleadings, orders, admissions, etc.). Most of these papers may be in the County Clerk's case file, in which event the attorney seeking entry of judgment need only present those that are missing for inclusion in the judgment roll. CPLR 5017.

The court's Scroll program will contain copies of judgments in unfiled form in cases included within the ambit of Scroll and will later include a copy of each judgment as filed. 

C. THE COUNTY CLERK'S RECORD ROOM

The County Clerk operates a Record Room (Room 103B in the basement, hours 9:00 A.M. - 3:00 P.M.) for maintenance of case files in all pending matters. Files in old matters are archived. Case files for cases with index numbers for the years 1981 to 1997 may be viewed at 31 Chambers Street (7th Floor) on Tuesdays and Thursdays only from 9:00 AM to 5:00 PM.

1. Sealing of Files

Matrimonial files may not be inspected except by counsel or parties to the case. DRL § 235. In addition, the files in other cases may be sealed on an individual basis by court order. See Part 216 of the Uniform Rules of the Trial Courts, which provides that the Court shall not enter an order sealing a file in whole or in part except upon a written finding of good cause specifying the grounds, taking into account the interests of the parties and the public. A sealing order should be an order separate from other orders and a copy should be directed to be served on the County Clerk; unless the attorneys make such service and thereby bring the order to the County Clerk's particular attention (see CPLR 8019 (c)), the file will not be sealed because the County Clerk cannot read all orders that are delivered to him by court staff for filing (the court processed over 34,000 decisions on motions in 2005). This order must state who is entitled to see the sealed file. Absent clarity on this point, the Clerk will seal the file and let no one see it, including the parties and counsel in the case. Usually, attorneys will want to have the order provide for access to the sealed file by attorneys of record in the case, the parties, and persons designated in writing by the attorneys of record (e.g., paralegals).

In some instances, entire case files may be sealed. However, under Part 216, case files may be sealed in part and there may well be instances in which it would not be appropriate to seal more than a part of a case file. See Danco Laboratories Ltd. v. Chemical Works, 274 A.D.2d 1, 711 N.Y.S.2d 419 (1st Dept. 2000). Thus, some files in the County Clerk’s Office will be sealed in their entirety while others will be sealed in part. Any sealing order entered in a case should clearly indicate whether the entire file is to be sealed; if not, the order must clearly designate the portions that are to be so treated. Further, on each occasion during the course of a case when a portion of the file is to be sealed, a separate partial sealing order must be issued.

Documents produced during discovery but not filed are, of course, subject to such protective orders as the court may issue pursuant to CPLR 3103.

A Justice can place a document in an envelope, mark his or her initials over the flap and place an endorsement on the envelope that it is to be opened only on further order of the court. However, if a sealing order pursuant to Part 216 is not issued, the County Clerk will make the file in that case available to the public. If a member of the public opens the envelope, he or she will be subject to a contempt citation.

A device that can serve as an alternative to sealing is an order of impoundment. This order directs the County Clerk to take an individual set of motion papers or discrete items of evidence and place them in the Clerk's safe. The file itself remains unsealed, but the impounded papers cannot be read. The order may be crafted by the Justice so that the papers cannot be read by anyone, including the parties, and cannot even be transmitted to the Appellate Division with the file on an appeal until the order is lifted by the Justice who signed it. Or the order may permit access to the papers by the attorneys, the clients or others. And the order can provide that when the papers are needed for an appeal, the affected party can submit an order to the Justice to lift the impoundment order. Here again, clarity is important. Clearly such an order should only be issued in unusual circumstances. Indeed, since impoundment has the same practical effect as a partial sealing order, the considerations set forth in Part 216 should be taken into account before an order of impoundment is issued.

For more information, contact the County Clerk's Office.

2. Commencing Actions Claimed To Be Confidential

If a party wishes to commence an action under seal or use an anonymous caption, practical problems arise. The County Clerk cannot do either without a court order. However, since the press is given access to new case filings each day, if a party files a summons and complaint and then seeks a sealing order, the confidentiality of the case can be rendered moot at the outset. A filing made in the routine way will also be listed in the County Clerk’s minutes and the listing will appear in electronic attorney's services.

Accordingly, if a party wishes to seal a file from the start, the attorney should, before any papers are filed, consult the Chief Clerk of Law and Equity (Room 141B), or the Chief Deputy County Clerk, and advise either of the desire to seal. If papers are in proper form and the index number fee is paid, the County Clerk will issue an index number but not process the filing for two or three days to afford the party time to file an RJI and get before a Justice on a TRO seeking a sealing order pending the return date of an order to show cause for a sealing order. As to standards governing sealing of files, see Part 216. If the TRO is granted, then that order should be promptly brought to the attention of the County Clerk’s staff. If the attorney fails to alert senior County Clerk staff at the outset, prior to filing any papers, that sealing is sought, the information contained in the papers may be revealed before a Justice has a chance to act. Likewise, if a copy of a TRO is not promptly presented to the County Clerk, the information in question may be disclosed. The procedure described here, it should be noted, does not involve an anonymous caption. The real caption of the case will be listed in the Clerk’s minutes.

If a party wishes to proceed using an anonymous caption, he or she should bring on an order to show cause seeking an anonymous caption and a sealing order since presumably the applicant will not want to obtain an anonymous caption and yet leave the file open to public access. The OSC should include a TRO providing a directive that the County Clerk issue an index number under an anonymous caption and seal the file pending the return date on the order to show cause. Before the papers are filed with the County Clerk, they should be submitted to the Ex Parte Office or the Commercial Division Support Office. They will be presented to an Ex Parte Justice, who, if in agreement, will initial the TRO. The papers can then be presented to the County Clerk senior staff for the issuance of an index number under an anonymous caption and sealing. The papers can then be filed and an RJI purchased. The papers should be presented to the assigned Justice for further action. Normally, the matter will proceed anonymously at least until the return date on the OSC, at which time the adversary will have an opportunity to explain why confidentiality should not be continued.

D. APPEALS

A party wishing to take an appeal from an order or judgment entered in the court must file in the County Clerk's Office (Room 141B) a notice of appeal with proof of service and a pre-argument statement (fee $ 65). To transfer a record to the Appellate Division, an attorney should present a subpoena to the Certification Desk in Room 141B.

E. JUDGMENT DOCKET AND LIEN SECTION

The County Clerk records judgments, liens and notices of pendency electronically. The Section is located in Room 109B. Satisfactions of judgment are filed in this Section, not in the Law and Equity Section. Transcripts of judgment are issued and filed in this Section.

F. DEPOSITING MONEY WITH THE COUNTY CLERK

From time to time a need arises in litigation for a party to deposit money with the court. The money is deposited with the County Clerk; payment must be in cash or by certified check. But the Clerk does not hold onto this money for more than a brief time (perhaps 24-48 hours). He forwards the money to the New York City Department of Finance, which records the deposit, secures the money in an account and administers that account. When the time comes to pay that money out to someone, a court order releasing the money is required. That order must be directed to the Department of Finance, not to the County Clerk, who will no longer have possession of the funds. The Department of Finance will issue a certificate to the party seeking the money reporting on the amount of money in the account at the time of the inquiry. The order should refer to the account and the amount therein and direct the Department to release the money as the court desires, less the 2 % fee of the Department.

 

September 2006

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