Mechanics Lien Filing Package — New York

Mechanics Lien Filing Package (New York)

Quick-Reference Summary

Part A — Pre-Lien Notice (NEW YORK: NOT REQUIRED FOR PRIVATE PROJECTS)

New York's Lien Law does not require a pre-lien notice on private projects. The Notice of Lien itself is the first statutory filing. Practitioners should nonetheless consider the following pre-filing communications:

A.1 Courtesy Demand Letter (Optional but Recommended)

A pre-lien demand letter is not a statutory requirement, but a 10-day pre-filing demand can preserve leverage and document good-faith collection efforts useful at trial.

[Lienor letterhead]   Date: [__/__/____]

VIA CERTIFIED MAIL, RETURN RECEIPT REQUESTED

[Hiring party / Owner]
[Address]

Re: Demand for Payment Prior to Mechanic's Lien Filing
    Project: [____________________]

Dear [____________________]:

This firm has performed labor and/or furnished materials for the
above-referenced project under contract dated [__/__/____]. The unpaid
balance is $[____________].

Unless payment in full is received within ten (10) days of the date of
this letter, the undersigned intends to file a Notice of Mechanic's Lien
pursuant to N.Y. Lien Law Art. 2 against the real property described
above, and to commence enforcement action including potential claims
under the trust-fund provisions of Lien Law Article 3-A.

Sincerely,
[Lienor signatory]

A.2 Public Improvement Projects — § 12 Pre-Filing Considerations

For public improvement projects (state or municipal), the Notice of Lien attaches to public funds rather than to the realty. The filing must be made with the head of the department (or financial officer) of the public corporation. There is no separate pre-lien notice, but the lienor should serve a § 12 notice on the public agency before the funds are disbursed to the contractor.

A.3 Request for Terms of Contract (§ 8)

Any subcontractor, laborer, or materialman has a statutory right under Lien Law § 8 to demand from the owner a written statement of the terms of the owner-contractor contract (amount, payments made). The demand must be in writing; the owner must respond within a reasonable time. Use this before lien filing to confirm "amount unpaid on contract" — a § 4 cap on lien recovery.

Part B — Notice of Mechanic's Lien (N.Y. Lien Law § 9)

Caption / Header

The Notice of Lien is filed with the County Clerk of the county where the property is located. No court caption is used.

NOTICE UNDER MECHANIC'S LIEN LAW
(N.Y. Lien Law §§ 9, 10)

Prepared by and after filing return to:

[_______________________________________________]
[_______________________________________________]

I. Lienor Identification (§ 9(1))

Lienor: [_________________________________________________________]
Residence / principal place of business: [____________________________________________________]
Telephone: [____________]

II. Owner Identification (§ 9(2))

Name and address of the owner of the real property subject to the lien (per current deed of record): [________________________________________________]

Interest of owner (fee simple / leasehold / other): [____________]

III. Hiring Party Identification (§ 9(3))

Name of person by whom the lienor was employed, or to whom the lienor furnished or is to furnish materials: [________________________________________________]

Name of person with whom the contract was made (if other than above): [________________________________________________]

IV. Labor / Materials Furnished (§ 9(4))

The labor performed or to be performed and the materials furnished or to be furnished, and the agreed price or value thereof (or the value if no agreed price):

[_______________________________________________________________________
_______________________________________________________________________]

V. Amount Unpaid (§ 9(5))

Amount unpaid to the lienor for such labor or materials: $ [____________]

VI. First and Last Date of Furnishing (§ 9(6))

Date when the first item of work was performed or materials furnished: [__/__/____]

Date when the last item of work was performed or materials furnished: [__/__/____]

VII. Property Description (§ 9(7))

Property subject to lien (with such description as is sufficient for identification):

Street address: [____________________________________________________]
City / Town / Village: [____________________________________________________]
County: [____________________]
Block: [____________] Lot: [____________] Section (if NYC): [____________]
SBL / Tax map ID: [____________]
Legal description:

[_______________________________________________________________________
_______________________________________________________________________]

VIII. Verification (§ 9 — sworn statement)

State of New York
County of [____________________] ss.:

[_________________________], being duly sworn, deposes and says:

1. I am the lienor [or an officer / agent of the lienor authorized to make this verification].
2. I have read the foregoing Notice of Lien and know the contents thereof.
3. The same is true to my own knowledge except as to matters therein stated to be alleged on information and belief, and as to those matters I believe it to be true.
4. The amount claimed is justly due and owing to the lienor, and no part thereof has been paid except as credited.
5. No part of the amount claimed is willfully exaggerated.

Signature: [_________________________________________________________]
Print name and title: [_______________________________________________]

Sworn to before me this [____] day of [____________________], 20[____].

___________________________________
Notary Public, State of New York
No.: [____________] Commission expires: [__/__/____]
County of Qualification: [____________________]

Part C — Service of Notice of Lien (N.Y. Lien Law § 11)

A copy of the Notice of Lien, together with a notice of service, must be served by the lienor on the owner, contractor, and any subcontractor through whom the lienor's claim derives — within 5 days before filing or 30 days after filing.

C.1 Recipients

• The owner (or, if a corporation, its president, treasurer, secretary, cashier, director, or managing agent).
• The contractor in privity with the owner.
• Each subcontractor above the lienor in the chain (if lienor is sub-sub or supplier).

If owner cannot be located within the state after diligent inquiry, service may be made by affixing a copy in a conspicuous place on the property and filing the lien with the County Clerk (§ 11(2)).

C.2 Method (§ 11(1))

Service must be by:

• Personal delivery; OR
• Certified mail, return receipt requested (most common); OR
• Registered mail.

Service by mail is complete on deposit (§ 11(1)).

C.3 Notice of Service Form

NOTICE OF MECHANIC'S LIEN AND SERVICE THEREOF
(N.Y. Lien Law § 11)

Date: [__/__/____]

VIA CERTIFIED MAIL, RETURN RECEIPT REQUESTED

[Owner / Contractor / Subcontractor name and address]

Re: Notice of Mechanic's Lien — [Project address]
    Filed [__/__/____] in the Office of the County Clerk of
    [____________] County, New York, File No. [____________]

Please take notice that the enclosed Notice of Mechanic's Lien has
been filed pursuant to Article 2 of the Lien Law of New York against
the real property described therein. The lien claims the sum of
$[____________].

The lien must be foreclosed within one year of filing or it will
lapse (Lien Law § 17), unless extended.

Sincerely,
[Lienor signatory]

Part D — Suit to Foreclose Mechanic's Lien (N.Y. Lien Law § 17; § 24 et seq.)

D.1 Caption

SUPREME COURT OF THE STATE OF NEW YORK
COUNTY OF [____________________]

Index No.: [____________]
Date filed: [__/__/____]

VERIFIED COMPLAINT TO FORECLOSE MECHANIC'S LIEN

D.2 Jurisdiction and Venue

The Supreme Court has general subject-matter jurisdiction under N.Y. Const. Art. VI § 7 and CPLR § 301. Venue is proper in [____________________] County under CPLR § 507 because the real property is situated in this County.

D.3 Notice of Pendency (Lis Pendens) — CPLR § 6501

A Notice of Pendency of Action must be filed contemporaneously with this Complaint with the County Clerk of [____________________] County to bind subsequent purchasers and encumbrancers. The notice of pendency operates for 3 years from the date of filing and may be extended (CPLR § 6513).

D.4 Necessary and Permissive Defendants (§ 44)

• Necessary parties (§ 44): the owner; the contractor in privity with the owner (where lienor is sub or supplier); every other lien claimant of record whose lien attaches to the same property and is subordinate or equal in priority; mortgagees of record; tenants of record.
• Recommended: judgment creditors of record; lis pendens filers of record; surety on any § 19 / § 21 discharge bond.

D.5 Foreclosure Deadline Statement (§ 17)

Plaintiff filed its Notice of Mechanic's Lien on [__/__/____] in the Office of the County Clerk of [____________________] County, File No. [____________]. This action is commenced within one year of filing as required by Lien Law § 17. [If applicable: The lien was extended by Order of this Court dated [__/__/____] and filed with the County Clerk on [__/__/____].]

D.6 Article 3-A Trust-Fund Claim (Optional Joinder)

To the extent the hiring contractor received progress payments from the owner attributable to plaintiff's work and diverted those funds for non-trust purposes, plaintiff asserts a separate claim under Lien Law Article 3-A (§§ 70–79-a) for an accounting and, where appropriate, the imposition of personal liability against the officers, directors, or principals of the contractor under § 79-a.

D.7 Relief Requested

1. Adjudication that plaintiff's mechanic's lien is valid and prior to all subordinate interests.
2. Judgment foreclosing the lien and directing sale of the subject property.
3. Money judgment against the hiring party for breach of contract / common counts in the amount of $[____________] plus statutory interest.
4. Article 3-A trust-fund relief, including accounting and personal liability of diverting officers.
5. Reasonable attorney's fees (where authorized by contract or Article 3-A); costs and disbursements.

Part E — Pre-Filing Checklist

☐ Project type confirmed (private commercial / multi-family / single-family / public improvement) — drives 8-month vs. 4-month vs. 30-day filing deadline.
☐ Contract, change orders, purchase orders, invoices, statements of account gathered and reconciled.
☐ Daily logs, delivery tickets, photographs, time sheets, e-mails preserved.
☐ Current record owner verified from county clerk's deed records (NOT just hiring-party representation).
☐ Block, lot, section (and SBL / tax map ID) confirmed from county clerk / city tax records.
☐ Lien Law § 8 demand served on owner if "amount unpaid on contract" needed to be verified before filing.
☐ Last date of furnishing confirmed against jobsite records (NOT punch-list / warranty / corrective work; NOT trivial re-delivery).
☐ Lien amount audited — willful exaggeration risk eliminated (§ 39, § 39-a).
☐ Notice of Lien drafted to verbatim § 9 content; property description sufficient for identification.
☐ Notice of Lien sworn and notarized by lienor or duly authorized officer.
☐ Notice of Lien filed with the County Clerk of the county where the property is located (private); file number diaried.
☐ § 11 service: copy of Notice of Lien served on owner, contractor, and intervening subs by certified mail RRR within 5 days before OR 30 days after filing.
☐ § 11 affidavit of service drafted and retained.
☐ One-year foreclosure deadline (§ 17) calendared from date of filing.
☐ Notice of Pendency drafted for contemporaneous filing with foreclosure complaint (CPLR § 6501).
☐ Article 3-A trust-fund claim evaluated — review of contractor's books for diversion may support § 79-a personal-liability claim against officers.
☐ Mail intake monitored for § 59 "order to commence action" notice (compresses deadline to 30 days) and § 19 discharge bond filings.
☐ Lien-release / partial-release form prepared in escrow for settlement.

Sources and References

• N.Y. Lien Law (full text): https://www.nysenate.gov/legislation/laws/LIE
• Lien Law Art. 2 (Mechanic's Liens, §§ 3–39-c): https://www.nysenate.gov/legislation/laws/LIE/A2
• Lien Law § 9 (Contents of Notice of Lien): https://www.nysenate.gov/legislation/laws/LIE/9
• Lien Law § 10 (Filing of Notice of Lien): https://www.nysenate.gov/legislation/laws/LIE/10
• Lien Law § 11 (Service of Notice of Lien): https://www.nysenate.gov/legislation/laws/LIE/11
• Lien Law § 17 (Duration of Lien): https://www.nysenate.gov/legislation/laws/LIE/17
• Lien Law Art. 3-A (Trust Funds, §§ 70–79-a): https://www.nysenate.gov/legislation/laws/LIE/A3-A
• New York Department of State (contractor licensing varies by locality): https://dos.ny.gov
• NYC Department of Finance ACRIS (recording for NYC counties): https://a836-acris.nyc.gov