Production of Documents and Other Things

• Author: Michael H. Barr/Burton N. Lipshie/Sharon Stern Gerstman
• Pages: 5-66

Chapter 26

PRODUCTION OF DOCUMENTS

AND OTHER THINGS

QUICK VIEW

Definitions: A notice to produce and permit discovery and inspection is a written request by a party to inspect,

copy, test or photograph documents or other tangible things in another party’s possession, custody or control. A

party can also direct a notice to produce and permit discovery to a nonparty pursuant to a subpoena or the rarely

used device of a court order.

Scope of Chapter: Rules and techniques applicable to noticing the production of documents, responding and

objecting to a notice, producing documents, and compelling production and related motion practice. Discovery

of medical records, public records, and computer records. Stipulations and protective orders for confidential

materials.

Strategies and Tactics:

Both parties: To avoid the delay and expense of extraneous arguments about procedure, observe the formalities

of providing notice and producing documents.

Requester: Serve written notices for production of documents early. Draft notices that identify the requested

items with reasonable particularity. Use Definitions and Instructions sections to make the detailed requests more

concise, effective, clearer, and less objectionable.

Respondent: Work with the client to compile the responsive items. Segregate the items you will withhold (e.g.,

nonresponsive, privileged, confidential and trade-secret matter) from materials you will produce. To avoid

waiving objections to the request, timely serve a written response asserting all the objections you want to

preserve. If the request seeks confidential information, propose the parties enter into a confidentiality stipulation

and consent to a protective order.

Statutes and Rules: CPLR 3120, 3122, 3124, 3125 and 3126; Pub Off L §84 et. seq. (The “Freedom of

Information Law”).

Related Topics: Initial Investigation and Research, Ch 2; Scope of Discovery, Ch 24; Document Production at

Deposition, Ch 27; Interrogatories, Ch 29; Request for Admissions, Ch 30; Discovery Disputes, Ch 31.

Forms: See digital access for the following forms:

• Form 26:10, Notice for Inspection and Copying.

• Form 26:20, Federal Public Records Request.

NEW YORK CIVIL PRACTICE BEFORE TRIAL 26-2

TABLE OF CONTENTS

I. Party Document Requests

A. General Points

§26:01 Introduction

§26:02 No Court Order Required

§26:03 Governing Rules

§26:04 Governing Cases

§26:05 “Document Request” or “Notice to Produce” Defined

§26:06 “Document” Defined

§26:07 Who Can Be Made Respondents

§26:08 All Parties in a Multi-Party Case Are Entitled to Production

§26:09 Scope of Document Requests

§26:10 No Limit on Number

§26:11 Production Does Not Make Items Admissible

B. Using Document Requests with Other Discovery Tools

§26:20 Document Discovery Comes First

§26:21 Authenticate Documents

§26:22 Identify Documents

§26:23 Follow Up with More Document Requests

C. Steps to Obtain Documents

1. PREPARE NOTICES

a. Form

§26:30 Put Notices (“Requests”) in Writing

§26:31 Informal Requests

b. Format

§26:40 Caption

§26:41 Title

§26:42 Definitions Section

§26:43 Instructions Section

§26:44 “Privilege List” Instruction

§26:45 “Time, Place, and Manner” Designation

§26:46 Signature

§26:47 Affidavit of Service

c. Substance

i. General Points

§26:60 Goals and Strategies

§26:61 Consult Client

§26:62 Beware of ‘Boomerang’ Requests

§26:63 Specify by Individual Item or Category

§26:64 Describe with “Reasonable Particularity”

§26:65 Avoid Compound Requests

§26:66 Individual-Item Requests

26-3 PRODUCTION OF DOCUMENTS AND OTHER THINGS

ii. By-Category Requests

§26:80 Purpose

§26:81 Too Broad

§26:82 Too Narrow

§26:83 Take the Middle Ground

2. PARTICULAR TYPES OF DOCUMENTS

§26:90 Income Tax Returns

§26:91 Computer Records

§26:92 Documents Showing Net Worth

§26:93 Non-Existent Documents

§26:94 Planned Trial Exhibits

§26:95 Expert Reports

§26:96 Insurance Agreements

§26:97 Party’s Own Statement

§26:98 Trade Secrets

3. SERVE AND FILE

§26:110 Earliest Time to Serve

§26:111 Deadline for Notices to Produce

§26:112 Whom, What, and How to Serve

§26:113 Affidavit of Service

§26:114 No Filing

4. TRACK RESPONSE

§26:120 Calendar Response Deadline

§26:121 Post-Deadline Action

D. How to Respond and Produce

1. INITIAL STEPS

§26:130 Review Notice

§26:131 Calendar Dates and Deadlines

§26:132 Contact Client

§26:133 Contact Opposing Counsel

2. TIME TO RESPOND

§26:140 Deadline for Response

§26:141 When Response Time Starts

§26:142 Weekends and Holidays

§26:143 Extra Days if Service by Mail

§26:144 Service by Fax

§26:145 Court May Shorten or Extend Deadline

§26:146 Stipulation to Change Deadline

3. FAILURE TO TIMELY RESPOND

§26:160 Consequences

§26:161 Sanctions

4. “POSSESSION, CUSTODY OR CONTROL”

§26:170 Rule and Definitions

§26:171 Not in Possession, Custody, or Control