Balaban v. Phillips

138 Misc. 2d 990, 526 N.Y.S.2d 347, 1988 N.Y. Misc. LEXIS 116
CourtCivil Court of the City of New York
DecidedMarch 7, 1988
StatusPublished
Cited by3 cases

This text of 138 Misc. 2d 990 (Balaban v. Phillips) is published on Counsel Stack Legal Research, covering Civil Court of the City of New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
Balaban v. Phillips, 138 Misc. 2d 990, 526 N.Y.S.2d 347, 1988 N.Y. Misc. LEXIS 116 (N.Y. Super. Ct. 1988).

Opinion

OPINION OF THE COURT

Jay Stuart Dankberg, J.

"Jurisdiction exists that rights may be maintained. Rights are not maintained that jurisdiction may exist” (Berkovitz v Arbib & Houlberg, 230 NY 261, 274 [Cardozo, J., 1921]).

This lawsuit is a holdover summary proceeding brought to evict three named respondents. It is alleged that respondent Jeanne-Marie Phillips — the lease-holding tenant — unlawfully sublet or assigned the subject apartment to the remaining respondents, Pamela Phillips (her sister) and Laurie Grieve.

[991]*991In their answer, Pamela and Jeanne-Marie Phillips assert a cross claim against corespondent Laurie Grieve in which her eviction and damages for rent arrears and utility payments are sought. Respondent Grieve, in turn, pleads a cross claim against corespondents Phillips for recovery of damages for rent overcharges.

The subject of cross claims in a summary proceeding is the rather simple field upon which the present litigants join in battle (by way of motions seeking summary judgment and other relief). Yet it is a joust which reveals differences between two respected legal commentators in discussions regarding the interrelationship between CPLR 402 and 3011.

ISSUES

The main issue in this matter, upon which there is surprisingly no reported case in New York, is whether a cross claim seeking the eviction of a corespondent (or any other relief) may be interposed in a summary proceeding.

Related questions presented include whether a party needs prior court permission to properly plead a cross claim. Also to be determined is whether failure to have obtained such permission is fatal to the pleader.

Although antecedents date back at least to 1864, these related issues have rarely been discussed in reported decisions involving "special proceedings” (CPLR art 4 — of which "summary proceedings” are but one type). These ancillary issues have never been determined within the context of a reported summary proceeding.

This is a determination, therefore, of first impression in several respects.

DISCUSSION

CPLR article 4 governs special proceedings in general and provides a uniform procedure for areas not covered by the specific special proceeding statutes (here, RPAPL art 7).

CPLR 402 provides that: "[t]here shall be a petition, which shall comply with the requirements for a complaint in an action, and an answer where there is an adverse party. There shall be a reply to a counterclaim denominated as such and there may be a reply to new matter in the answer in any case. The court may permit such other pleadings as are authorized in an action upon such terms as it may specify” (emphasis supplied).

[992]*992On the other hand, CPLR 3011 provides, in uncomplicated fashion, that "[a]n answer may include a * * * cross-claim against a defendant.”

Is prior court approval required in order to properly plead a cross claim in a summary — or any other type of special— proceeding?

It is undisputed in this case that no such court permission was either sought or obtained for the cross claims asserted. Here, the respective cross claims of the three corespondents have been interposed and served in general compliance with CPLR 3011.

Of course, in regular plenary actions, since a cross claim may be included in an answer as a matter of right (pursuant to CPLR 3011), no prospective pleading permission is preliminarily prescribed.

But what about in a summary — or other special — proceeding?

In this regard, Professor David Siegel indicates that in a special proceeding "[t]he answer may contain a counterclaim, and presumably it may contain a cross-claim if there should be multiple respondents * * * Any further pleadings require court leave, just as in an action [citing CPLR 402, 3011]” (Siegel, NY Prac § 552, at 769-770 [emphasis added]; but see, id., § 577, at 812). Reference to no statutory, case law or other authority is made for the clause that begins "presumably it may contain a cross-claim”.

Weinstein-Korn-Miller disagree. At paragraph 3019.16 of 3 New York Civil Practice, it is stated that "[c]ross-claims may be asserted in special proceedings only with the permission of the court [citing a case]. See CPLR 402. Judicial control over cross-claims is necessary in order to assure that the special proceeding is determined as expeditiously as possible and not detained or proliferated by marginal or unrelated claims. Under prior law, the cross-claim was held inapplicable to special proceedings [citing cases] and the grant of judicial power to permit a cross-claim therefore constitutes a liberalization of former practice” (emphasis supplied).

Reading the two comments together results in a muddle of a procedural morass (what Stan Laurel and Oliver Hardy would call "a fine mess”).

Eminent jurist Judge (now Justice) Felice K. Shea noted: "[t]he law with regard to service of cross claims is less than clear and should be applied with a view to effectuating com[993]*993mon sense results and * * * considerations of justice” (Meckley v Hertz Corp., 88 Misc 2d 605, 606 [Civ Ct, NY County 1976]).

The Meckley decision (supra) was in the context of a plenary action. The instant lawsuit is a special summary proceeding— litigation "governed entirely by statute * * * [T]here must be strict compliance with the statutory requirements * * * The essentials of the petition and notice of petition are specifically regulated and strictly construed” (Goldman Bros. v Forester, 62 Misc 2d 812, 814-815 [Civ Ct, NY County 1970, Myers, J.]).

Accordingly, to this court it seems the better view is that expressed by Weinstein-Korn-Miller. After all, it has been held that "the better practice requires court permission in view of the summary nature of a special proceeding” (Michigan Assocs. v Emigrant Sav. Bank, 74 Misc 2d 495, 503 [Civ Ct, Queens County 1973, Cohen, J.]; see also, 1025 Fifth Ave. v Marymount School, 123 Misc 2d 756, 760, 763 [Sup Ct, NY County 1983, Greenfield, J.]).

Moreover, "[t]he Legislature has the power to attach a condition to the maintenance of any action and the requirement that a [judicial officer] shall grant leave is one such condition” (Wolfe v Bellizzi, 58 Misc 2d 773, 775 [Sup Ct, Schenectady County 1969, O’Brien, J.], affd sub nom. Bremer v Bellizzi, 37 AD2d 1041 [3d Dept 1971]).

If such condition precedent exists (as here), an allegation of such judicial permission must be pleaded in the petition/complaint and compliance proven upon the trial (Reining v City of Buffalo, 102 NY 308 [1886]; Wolfe v Bellizzi, supra; Graham v Scripture, 26 How Prac 501 [Sup Ct, St. Lawrence County 1864]).

Since the respective respondents in this summary proceeding have interposed cross claims without prior leave of court, they have done so in violation of CPLR 402. This circumstance alone — if not in the additional interest of preserving petitioners’ right to a summary disposition of the holdover proceeding-in-chief — compels dismissal of the cross claims.

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Bluebook (online)
138 Misc. 2d 990, 526 N.Y.S.2d 347, 1988 N.Y. Misc. LEXIS 116, Counsel Stack Legal Research, https://law.counselstack.com/opinion/balaban-v-phillips-nycivct-1988.