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Fiduciary/Part 36


Overview

The Fiduciary Clerk
360 Adams Street
Brooklyn, NY 11201
347-296-1731

The Fiduciary Clerk assists the Administrative Judge in overseeing fiduciary appointments. The Fiduciary Clerk is responsible for ensuring that all filings required by Parts 26 and 36 of the Rules of the Chief Judge are completed and that the information contained in those filings is entered into the fiduciary database.

Part 36 Appointments | Enrollment On An Approved List | Procedure After Appointment | Compensation | Frequently Asked Questions | Additional Information | Additional Resources

Part 36 Appointments

Part 36 of the Rules of the Chief Judge applies to a wide range of appointments. These include a guardian, guardian ad litem, law guardian (attorney for the child), court evaluator, court examiner, and attorney for an alleged incapacitated person, as well as a receiver and referee. Appointments made under Part 36 must, in most cases, be made from a list established by the Chief Administrative Judge. Also included are persons designated by the court to perform services for a receiver or guardian, such as an accountant, an appraiser, or property manager. Such persons are known as secondary appointments. When a secondary appointment becomes necessary, an application must be made to the assigned judge and the application must be granted prior to any proposed appointee performing any services.

A Judge may make an appointment from outside the list upon a finding of good cause, but in such case, the basis for the appointment shall be set forth in writing and filed with the Fiduciary Clerk.

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Enrollment On An Approved List

Anyone who wishes to apply to be placed on an OCA Fiduciary list can access the OCA website for Guardian and Fiduciary Services or call the Appointment Processing Unit at (212) 428-2818. Qualified individuals can apply for specific categories of appointment based on their experience and expertise.

Access the OCA Guardian and Fiduciary Website

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Procedure After Appointment

When an appointment is made, the Fiduciary Clerk will send the appointee a Notice of Appointment and Certification of Compliance (UCS Form 872). This form must be completed and signed by the appointee and returned to the Fiduciary Clerk within 30 days of receipt. No compensation for services rendered will be approved unless the Notice of Appointment and Certification of compliance is signed and returned to the Fiduciary Clerk. A secondary appointee must sign and return these forms as well.

If a proposed appointee must decline the appointment, please notify both the Fiduciary Clerk and the appointing judge so that a replacement appointment can be made.

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Compensation

In general, if an appointee seeks compensation of more than $500.00, the Fiduciary Clerk will forward Form UCS 875 to the assigned Judge. This form will contain a confirmation, signed by the Fiduciary Clerk that the appointee has filed the Notice of Appointment and Certification of compliance. A judge shall not approve compensation of more than $500.00 unless the appointee has filed these forms and the Fiduciary Clerk has confirmed the filing.

Law Guardian Compensation

The forms discussed below are required to be submitted in order for compensation to be approved and are available on the Office of Court Administration’s Fiduciary website. The law guardian must submit a copy of:

-Appointment Order (UCS 880)
-Affirmation of Services Form (UCS 881)
-The order approving Law Guardian Compensation (UCS 882) and, if applicable
-A copy of any previous order approving compensation in the case

The submitted forms must include affidavits of service to all applicable parties in the case. The Approval of Compensation Form (UCS 875) will also be generated by the Fiduciary Clerk and forwarded to the assigned judge for signature with any request for law guardian compensation.

Court Examiners Compensation

Compensation is approved and tracked by use of OCA Form 826 that is used exclusively by Court Examiners.

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Frequently Asked Questions

1. Is there a cap on compensation for each calendar year?

2. Are referee appointments exempt from the Part 36 Rules?

3. Can an appointee use forms from previous appointments for new appointments?

4. Are family members appointed as guardians subject to the Part 36 Rules?

5. If it becomes necessary for an appointed family member or family-nominated guardian to hire an attorney, accountant, etc., is this considered a secondary appointment?

6. Where do I sign the Notice of Appointment Form?


1. Is there a cap on compensation for each calendar year?

Yes. Appointees who earn in excess of $75,000.00 in a calendar year will not be eligible to accept new appointments in the following year. Appointees can continue to serve and earn compensation on the cases on which they have already been appointed. Compensation that counts against the yearly cap will be considered as of the date it was approved by the judge, not by the date that the appointee actually receives payment. No appointee is eligible to receive more than one appointment within a calendar year for which the anticipated compensation to be awarded in any calendar year exceeds $15,000.00. Please note that keeping track of total compensation for a calendar year is the responsibility of the appointee.

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2. Are referee appointments exempt from the Part 36 Rules?

They are to an extent. A referee in a foreclosure case whose compensation is not anticipated to exceed $750.00 is exempt from the filing requirements. (Please note that any compensation received pursuant to such an appointment does count towards the annual compensation cap of $75,000.00 whether it is subject to the filing requirements or not.) If the compensation of a referee in a foreclosure action will exceed $750.00, the Notice of Appointment forms must be signed on the last page and returned to the Fiduciary Clerk before compensation will be approved. A referee appointed in a guardianship case to review the final account is not subject to the Part 36 Rules regardless of the amount of compensation awarded. This is considered a quasi-judicial appointment.

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3. Can an appointee use forms from previous appointments for new appointments?

No. Each appointment has a separate Notice of Appointment number assigned to it so that the appointment may be tracked in the fiduciary database.

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4. Are family members appointed as guardians subject to the Part 36 Rules?

No. Family members and individuals who are nominated by family or friends of the alleged incapacitated person to serve as guardians are exempt from the Part 36 filing requirements.

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5. If it becomes necessary for an appointed family member or family-nominated guardian to hire an attorney, accountant, etc., is this considered a secondary appointment?

No. If the original appointee is not subject to the Part 36 Rules, then anyone they engage to perform services is not subject to the Part 36 Rules. However compensation for any individuals retained must be approved by the assigned judge.

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6. Where do I sign the Notice of Appointment Form?

If the appointee is seeking compensation, the last page of the form should be signed and dated. The number of pages in the form will vary depending on the number of prior appointments that the appointee is required to list.

If the appointee is not seeking compensation, the appointee should sign where indicated on Page 2 of the form. The last page of the form should not be signed in this instance.

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Additional Information

Rita DiPietro
Fiduciary Clerk
360 Adams Street, Room 844
Brooklyn, NY 11201
Phone: 347-296-1731

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Additional Resources

Part 26 of the Rules of the Chief Judge

Part 36 of the Rules of the Chief Judge

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