Key Takeaway
Costly consequences of improper Note of Issue filing in NY civil procedure. Expert analysis of Ikeda v Tedesco sanctions. Call (516) 750-0595.
Understanding the Consequences of Premature Note of Issue Filing
For attorneys practicing in New York’s complex civil procedure landscape, few mistakes are as costly—both financially and strategically—as filing a premature Note of Issue and Certificate of Readiness. The Ikeda v Tedesco case serves as a stark reminder that what seems like a routine $30 or $125 filing fee can quickly escalate into substantial sanctions and professional embarrassment, particularly in Central New York’s Fourth Department jurisdiction.
Long Island and New York City practitioners, accustomed to the more lenient approach often seen in downstate courts, must recognize that upstate practice demands strict adherence to procedural requirements. The Fourth Department’s rigorous enforcement of CPLR and Court Rules can catch unprepared attorneys off-guard, leading to significant consequences for both lawyer and client.
The Ikeda v Tedesco Decision: A Cautionary Tale
Ikeda v Tedesco, 2010 NY Slip Op 01283 (4th Dept. 2010)
“We reject plaintiff’s contention that, pursuant to CPLR 3402, a party may file a note of issue and certificate of readiness “at any time after issue is first joined … .” Pursuant to 22 NYCRR 202.21 (a) and (b), a properly filed note of issue must be accompanied by a certificate of readiness, and there must be “no outstanding requests for discovery” (22 NYCRR 202.21 ). Here, plaintiff filed the note of issue and certificate of readiness before she had provided the release in accordance with the [*2]order granting defendants’ motion to compel her to do so. Thus, the court properly granted that part of defendants’ motion to strike the note of issue and certificate of readiness (see 22 NYCRR 202.21 ). We agree with plaintiff, however, that the court erred in failing to comply with 22 NYCRR 130-1.2 in imposing the attorney fees as a sanction inasmuch as the court failed to set forth in a written decision “the conduct on which … the imposition is based, the reasons why the court found the conduct to be frivolous, and the reasons why the court found the amount … imposed to be appropriate” (see Leisten v Leisten, 309 AD2d 1202, 1203; see also Campbell v Obear, 26 AD3d 877, 878). We therefore modify the order by vacating the award of attorney fees, and we remit the matter to Supreme Court for compliance with 22 NYCRR 130-1.2.”
A sanction hearing for something that happens in so many personal injury actions here in downstate New York? The world of upstate practice.
The Critical Requirements for Valid Note of Issue Filing
Understanding 22 NYCRR 202.21: More Than Just a Timeline
The Ikeda decision highlights the intersection of CPLR 3402 and 22 NYCRR 202.21, demonstrating that procedural compliance requires more than simply waiting for issue to be joined. For practitioners throughout Nassau, Suffolk, Queens, Kings, and the Bronx, understanding these requirements is essential to avoid costly procedural missteps.
The Court Rules are clear: a properly filed Note of Issue must be accompanied by a Certificate of Readiness, and critically, there must be “no outstanding requests for discovery.” This requirement goes beyond mere technicality—it ensures that cases are truly ready for trial and prevents the clogging of court calendars with unprepared matters.
The Danger of Outstanding Discovery Obligations
In Ikeda, the plaintiff’s fatal error was filing the Note of Issue before complying with a court order requiring the provision of a release. This seemingly minor oversight had major consequences:
- Immediate striking of the Note of Issue and Certificate of Readiness
- Imposition of attorney fee sanctions
- Delays in case resolution
- Professional embarrassment and potential disciplinary concerns
Regional Differences in New York Civil Practice
The “Downstate vs. Upstate” Divide
As Jason Treble notes in his original commentary, the rigorous enforcement seen in Ikeda represents “the world of upstate practice”—a reality that many Long Island and New York City attorneys discover too late when venturing into Central or Western New York courts.
Key Differences Include:
- Stricter procedural enforcement in Fourth Department courts
- Lower tolerance for “technical” violations
- More frequent imposition of sanctions for procedural failures
- Heightened expectations for compliance with Court Rules
Strategic Implications for Multi-Jurisdictional Practice
For law firms with clients in both downstate and upstate venues, developing jurisdiction-specific protocols is essential. What might be overlooked or forgiven in a busy Manhattan courtroom can result in significant sanctions in Syracuse or Rochester.
The Sanctions Framework: 22 NYCRR 130-1.2 Requirements
Procedural Safeguards for Sanctions Imposition
While the Fourth Department upheld the striking of the Note of Issue, it importantly reversed the attorney fee sanction due to the trial court’s failure to comply with 22 NYCRR 130-1.2. This rule requires courts to set forth in writing:
- The specific conduct forming the basis for sanctions
- The reasons why the conduct was deemed frivolous
- The justification for the amount of sanctions imposed
Best Practices for Note of Issue Filing in New York
Pre-Filing Checklist
Before filing any Note of Issue and Certificate of Readiness, practitioners should systematically review:
Discovery Compliance:
- All depositions completed
- All document production finished
- All interrogatories answered
- All court-ordered discovery provided
- All outstanding discovery motions resolved
Procedural Requirements:
- Issue properly joined
- All parties properly served
- Case ready for trial in all respects
- Court calendar rules reviewed
- Local practice rules consulted
Frequently Asked Questions
Q: Can I file a Note of Issue as soon as issue is joined under CPLR 3402?
A: No. While CPLR 3402 establishes the earliest possible filing time, 22 NYCRR 202.21 requires that there be “no outstanding requests for discovery” and that the case be truly ready for trial.
Q: What happens if I file a Note of Issue with outstanding discovery obligations?
A: The court will likely strike your Note of Issue and Certificate of Readiness. Additionally, you may face sanctions, including attorney fees, depending on the circumstances and jurisdiction.
Q: Are sanctions automatic for improper Note of Issue filing?
A: No. Sanctions are discretionary, but courts must comply with 22 NYCRR 130-1.2 by providing written justification for any sanctions imposed.
Q: How do I avoid these problems in my practice?
A: Implement systematic pre-filing checklists, maintain detailed discovery tracking, and consider the specific practices of the jurisdiction where you’re filing.
Q: What should I do if facing sanctions for premature filing?
A: Ensure the court complies with 22 NYCRR 130-1.2 requirements, consider whether the conduct was truly frivolous, and preserve your appellate rights through proper objections.
Conclusion: Learning from Ikeda’s Lessons
The Ikeda v Tedesco decision serves as a valuable reminder that successful civil litigation requires more than substantive legal knowledge—it demands meticulous attention to procedural requirements that vary significantly across New York’s diverse judicial landscape.
For attorneys serving clients throughout Long Island and New York City, the case highlights the importance of understanding that what works in Manhattan may not work in Syracuse. The relatively modest cost of filing a Note of Issue can quickly escalate into significant sanctions and professional complications when proper procedures aren’t followed.
The lesson is clear: in New York civil practice, procedural precision isn’t just good practice—it’s essential for protecting both client interests and professional reputation. Whether you’re handling a simple contract dispute in Nassau County or a complex personal injury case in the Fourth Department, strict compliance with Court Rules isn’t optional—it’s mandatory.
Contact an Experienced New York Civil Litigation Attorney
If you’re facing procedural challenges in New York civil litigation or need guidance on proper Note of Issue filing requirements across different jurisdictions, don’t leave success to chance. The experienced attorneys at Jason Treble Law understand the nuances of New York civil procedure and can help navigate the complex requirements that vary between downstate and upstate practice.
Call (516) 750-0595 today for a consultation. We serve clients throughout Nassau, Suffolk, Queens, Kings, Bronx, and all areas of New York State, with extensive experience in both downstate and upstate civil practice.
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Legal Update (February 2026): Since this post’s 2010 publication, CPLR 3402 and the Uniform Rules governing Note of Issue filing procedures (particularly 22 NYCRR 202.21) may have been amended, and court fee schedules have likely been updated. Additionally, appellate department interpretations of discovery completion requirements and sanctions for premature filing may have evolved. Practitioners should verify current provisions of both the CPLR and applicable Uniform Rules before filing any Note of Issue and Certificate of Readiness.
