Legal Grounds for a Motion to Dismiss: New York

Litigation is litigation. Whether the subject matter is a $2,000 credit-card debt or a catastrophic personal injury case, the same basic procedural rules apply.

The motion to dismiss is used to stop a lawsuit in its tracks. Its aim is to expeditiously dispose of a controversy based on one or more compelling reasons.

Below is a list of New York's grounds to dismiss a lawsuit. It closely resembles — and slightly expands upon — CPLR § 3211(a). As always, you should read the law carefully and consult an attorney before taking action in your case.

• A defense founded upon documentary evidence: Used when a party possesses case-determinative documentation, such as a contract, report, letter, or other document that amounts to a fatal admission or a clear declaration of rights. While the word "document" is not defined in this statute, the law requires it to be unambiguous and undeniable.

• The court lacks subject matter jurisdiction: Used when the court is not empowered to adjudge a dispute (i.e., federal law versus state law; criminal court versus state court; designated venues for suits against municipalities).

• No legal capacity: Although "legal capacity" is not defined in the statute, examples include infancy, incompetence, standing, and unmet statutory conditions (i.e., required licenses, substitution after death, or bankruptcy).

• Another action pending between the same parties: Used when a pending action exists in New York, in a sister state, or in federal court that involves identical or substantially similar parties and claims.

• Arbitration and Award: The subject matter was already arbitrated and reduced to an award.

• Collateral estoppel: An issue or controverted point already determined in a prior proceeding and may not be re-litigated. The non-moving party needed ample opportunity to raise all legal and factual claims concerning the issue in the prior litigation.

• Discharge in bankruptcy: The cause of action was discharged in bankruptcy. But a discharge may not automatically vacate or resolve a judgment or lien.

• Infancy or other disability: When age or other legal disability amounts to a defense to the claim.

• Payment: An actual payment of money that resolves the dispute.

• Release: A valid written release that covers the claim at issue.

• Res judicata: Bars future litigation to a claim already litigated by the same parties.

• Statute of limitations: The prescribed time period for bringing certain kinds of legal actions has lapsed or expired.

• Statute of frauds: Certain claims require writing. If a party does not produce it, the claim is subject to dismissal. Required writings include real estate contracts, financial contracts, health insurance policy assignments, debt guarantees, and services to be performed over a year's time.

• Dismissing improper counterclaims: Those that are disallowed under code or law (i.e. UCC restriction of counterclaims against assignees; New York common law restricting counterclaims against the NYS for money damages where proper forum is the Court of Claims, or waived by contract).

• The complaint fails to state a cause of action: When a complaint lacks enough factual content to state or infer a legally cognizable claim. The court accepts the allegations as true and affords the non-movant all favorable inferences.

• The court lacks personal jurisdiction: The summons lacks required information such as venue or residence, improper service; Defendant lacks sufficient contacts to be subjected to court's authority.

• The court lacks jurisdiction where service was made under CPLR §§ 314 or 315: When a defendant challenges in rem jurisdiction (court's jurisdiction over property) or quasi in rem jurisdiction (court's attachment of Defendant's property to obtain jurisdiction over Defendant) versus in personam jurisdiction (personal jurisdiction over Defendant).

• The court lacks a necessary party: When a necessary party cannot be made a party to the action, and the action cannot proceed in the absence of the party. The party becomes an "indispensible party" when this rule is used together with CPLR § 1003. This rule is demanding and rarely used.

• Immunity under Not-for-Profit Corporation law: Unpaid officers and directors of not-for-profit corporations are immunized from liability absent gross negligence or intent to harm.

Some of these defenses require you to raise them early or risk waiving them. For example, in cases where a defendant alleges the improper service of papers as an affirmative defense, CPLR § 3211(e) requires that the defendant file a motion to dismiss within 60 days of raising it in an answer.

10 Things We May Not Know About a Motion to Dismiss

1. Strategic Use: Attorneys sometimes use motions to dismiss to end a case early and gain insights into the opposing party's arguments and strategies.

2. No Evidence Consideration: In many jurisdictions, courts often cannot consider evidence outside the complaint when considering a motion to dismiss. They must assume the truth of the complaint's factual allegations.

3. Conversion to Summary Judgment: If evidence outside the complaint is presented and considered in a motion to dismiss, the motion can be "converted" into a motion for summary judgment in some jurisdictions.

4. Multiple Motions: Depending on the jurisdiction and the specifics of a case, a defendant might be able to file more than one motion to dismiss if new information or grounds arise.

5. Tolling the Statute of Limitations: In some jurisdictions, if a case is dismissed without prejudice, the statute of limitations might be tolled, meaning the plaintiff could have additional time to refile the case.

6. Mandatory vs. Permissive Grounds: Some grounds for dismissal are mandatory, meaning the court must dismiss the case if they apply. Others are permissive, allowing but not requiring dismissal.

7. Waiver of Grounds: In some jurisdictions, if a defendant doesn't include all possible grounds for dismissal in their initial motion, they might waive the right to raise those grounds later.

8. Effect on Appeals: A dismissal with prejudice is typically considered a final judgment and can be appealed. A dismissal without prejudice might not be considered final, affecting the ability to appeal.

9. Automatic Stay: In some jurisdictions, when a motion to dismiss is filed, certain proceedings in the case are automatically stayed or paused until the motion is resolved.

10. Potential for Sanctions: If a motion to dismiss is found to be frivolous or intended solely for delay, the party filing the motion (or their attorney) might face sanctions.

It's essential to consult with legal counsel in the relevant jurisdiction to understand the specific rules and nuances related to motions to dismiss.