procedural guides

Motion for Sanctions (Non-Discovery) in New York Supreme Court–At A Glance

Use this “At A Glance Guide” to learn the statewide rules of civil procedure applicable to bringing a motion for sanctions (non-discovery) in New York Supreme Court. For more detailed information, including local rules, see the New York Supreme Court SmartRules Guides: Motion for Sanctions (Non-Discovery), Opposition to Motion for Sanctions (Non-Discovery) and Reply in Support of Motion for Sanctions.

Motion for Sanctions Rules–Uniform Rule 130-1.1

Unless otherwise provided by law for a specific type of claim, the court has full discretion to award reasonably incurred expenses and attorneys fees, and/or financial sanctions, against any party or attorney in any civil action or proceeding for engaging in frivolous conduct. Uniform R. 130-1.1(a).  (These provisions do not apply to frivolous claims in personal injury, wrongful death or property damage actions covered by CPLR 8303-a.)

Conduct is deemed to be frivolous if it is completely without merit in law and cannot be supported by a logical extension, modification or reversal of existing law. Uniform R. 130-1.1(c)(1). Frivolous conduct also includes action taken primarily to delay the litigation or harass or injure another, or the assertion of any material or factual statement known to be false. Uniform R. 130-1.1(c)(2) and (3).

A party or attorney’s signature on any pleading or paper served on another party or filed or submitted to the court constitutes a certification by the signatory that (1) the presentation of the paper or any contentions contained within it are not frivolous, to the best of the signatory’s knowledge, information and belief, formed after a reasonable inquiry and (2) if the paper is an initiating pleading, (i) the matter was not obtained through illegal conduct or, if it was, the attorney and other persons responsible for the illegal conduct are not participating in the matter or sharing in any fee earned therefrom and (ii) the matter was not obtained in violation of 22 NYCRR 1200.41-a. Uniform R. 130-1.1-a(b) (amended eff 2/1/07).

The court may award the amount it deems appropriate but in no event will award more than $10,000 for a single event or occurrence of frivolous conduct. Uniform R. 130-1.2.

The court may award expenses and/or attorneys fees payable to the opposing party, and/or financial sanctions payable to the state fund for client protection, against any attorney who without good cause fails to appear for a court proceeding. Uniform R. 130-2.1(a).

The court will take all of the surrounding circumstances, including but not limited to the adequacy of notice to the attorney, the attorney’s explanation, and any efforts to notify the court or send substitute counsel into account in determining whether the failure to appear is sanctionable. Uniform R. 130-2.1(b).

Financial sanctions under this provision are capped at $2500.00 per occurrence. Uniform R. 130-2.2.

Motion for Sanctions Rules–CPLR 8303-a

The Court will award costs to the prevailing party if it finds that a party made a frivolous claim, cross-claim or counterclaim alleging:

(1) a personal injury;

(2) injury to property; or

(3) wrongful death;

or if it finds that the person who committed a crime made a frivolous claim against the victim of the crime. CPLR 8303-a(a).

In order to find an action frivolous the court must determine that:

(1) it was either commenced in bad faith to delay, harass or injure another party, or

(2) that the party or attorney deliberately and in bad faith continued the claim past the point when it could be believed to have reasonable basis. CPLR 8303-a(c).

The costs should be assessed against the individual or entity the court finds responsible under the circumstances for the frivolous action. Costs might be assessed against the party, the attorney, or both. CPLR 8303-a(b).

The cost award is in addition to any other judgment awarded the successful party. CPLR 8303-a(b).

Costs awarded are capped at ten thousand dollars. CPLR 8303-a(a).

The authorities cited in this At A Glance Guide are current as of the publication date. For authorities updated in real time, please see the SmartRules Guide for the litigation document you are drafting.