UNITED STATES DISTRICT COURT
WESTERN DISTRICT OF NEW YORK
AMENDED PLAN FOR THE ADMINISTRATION
OF THE DISTRICT COURT FUND
FEBRUARY 1, 2020
PLAN FOR THE ADMINISTRATION OF THE DISTRICT COURT FUND
WHEREAS, Local Rule 83.1 of the Local Rules for the United States District Court for the
Western District of New York provides for a District Court Fund (Fund) to be established and
maintained from a portion of the admission fees paid by attorneys seeking admission to this Court,
and from the fees paid by attorneys admitted pro hac vice, the Court hereby adopts the following
amended Plan for the Administration of the District Court Fund (Plan) as a means for setting policy
which shall govern the use of the Fund.
A. Collection of Monies for the District Court Fund. The District Court Fund shall be comprised
of admission fees received by the Clerk of the Court for admission to the bar of this Court
in excess of the basic fee set by the Judicial Conference of the United States pursuant to
28 U.S.C. § 1914. Furthermore, the Clerk shall deposit all fees collected for admission pro
hac vice into the District Court Fund.
B. Procedures. The Clerk shall also establish and maintain a checking account under the
name “U.S. District Court - District Court Fund” with a designated financial institution, and
shall deposit into this account all supplemental attorney admission fees collected for the
Fund, including all interest accrued on this account. No disbursements shall be made from
the Fund, nor shall any changes be made to the nature of the accounts wherein the funds
are being held, except by Order of the Court.
C. Custodian of the Fund. The Clerk of the Western District of New York shall be the
custodian of the District Court Fund. In the event of the death, retirement or resignation of
the Clerk, the Chief Deputy Clerk, or such other person as the Chief Judge designates, shall
become the custodian until such time as the next Clerk assumes office.
D. Duties and Responsibilities of the Custodian. The responsibilities of the custodian are as
follows:
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(1) to receive, safeguard, deposit, disburse, and account for all monies in accordance
with the law, this Plan, and the policies established by the Court;
(2) to establish an accounting system for the Fund;
(3) to insure that quarterly financial statements and operating reports are prepared in
a timely fashion and to sign such statements and reports, thereby certifying that they
accurately present the financial condition of the Fund;
(4) to invest funds in accordance with the provision of the Plan, as described in Section
G.;
(5) to establish a procedure for the filing and processing of requests for payment
including documentation requirements, and the orderly and expeditious referral of
such requests to the assigned judge or magistrate judge for approval; and
(6) to perform such other functions as the Court may direct.
E. Responsibilities upon Appointment of a Successor Custodian. When a successor
custodian is appointed, the outgoing custodian shall prepare and sign the following
statements in conjunction with an exit audit or inspection conducted by an auditor or
disinterested inspector as designated by the Chief Judge:
(1) a statement of assets and liabilities;
(2) a statement of operations or of receipts and disbursements covering the period
since the last statement of operations and net worth, up to the date of transfer to the
successor custodian; and
(3) a statement of the balance in any fund accounts as of the date of transfer to the
successor custodian.
The successor custodian shall execute a receipt for all funds after being satisfied as to the
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accuracy of the statements and records provided by the outgoing custodian. Acceptance
may be conditioned upon an audit and verification where circumstances warrant.
F. Audits and Inspections. The Fund is subject to audit by the appropriate staff of the
Administrative Office of the United States Courts during their periodic review of the business
of the Court. The Chief Judge may appoint an auditor or disinterested inspector (who may
be a government employee) to conduct such audits as the Court determines to be
necessary. The written results of such audit or inspection will be provided to the Court.
G. Protection of the Fund’s Assets. Except as otherwise provided in the Plan, all monies shall
be deposited in federally insured banks or savings institutions. Whenever practical and
feasible, the custodian shall place any substantial sums into interest-bearing accounts,
government securities, or money market funds invested in government obligations at the
direction of the Court. Efforts should be made to maximize the return on investments
consistent with the requirements of convenience and safety.
District Court Fund monies must be segregated from all other monies in the custody of the
Court, and shall contain only attorney admission fees, plus any interest income accrued on
such fees. The Court shall not subsidize the Fund with monies from any other source.
However, in the event of an award of attorney’s fees or costs to pro bono counsel in the
course of such litigation, the Court may order return to the fund of any payments made from
the fund to counsel for fees and expenses in an amount equal to the award.
H. Use of the Fund. Monies deposited into the Fund are to be used only for purposes which
benefit the Court, members of the Bar and the community by fostering the efficient and
effective administration of justice, and by developing programs and educational initiatives
relating to the law, legal services and better access to justice. Permitted uses of the Fund
include, but are not limited to, the following:
(1) expenses necessarily and reasonably incurred by pro bono attorneys assigned by
the Court pursuant to 28 U.S.C. § 1915 to represent indigent parties in civil
proceedings consistent with Local Rule 83.1(h) and the associated Guidelines
governing such disbursements;
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(2) expenses related to attorney admission proceedings;
(3) expenses related to attorney disciplinary proceedings;
(4) furnishings, equipment, and amenities for attorney lounges in each courthouse that
may not be purchased or funded from appropriations;
(5) expenses for programs, exhibits and materials that promote legal, judicial and court
administration education or that encourage public awareness about the role of
federal courts in the administration of justice, including the collection, restoration,
preservation and/or display of court records or other artifacts of historical
significance as well as judicial portraits, historical photographs, art works, oral
histories, etc.;
(6) expenses related to providing expressions of sympathy, concern, or congratulations
as may be appropriate to recognize significant events affecting members and friends
of the legal profession;
(7) cash donations to law-related educational or charitable organizations, such as a
historical society, law school, or bar association, for purposes that foster and
advance the efficient and effective administration of justice, as well as to provide
educational programs and services related to the law and legal services and to
promote increased access to justice. Donations may also be made to organizations
that provide legal representation, advice, or assistance to unrepresented litigants in
federal civil matters, including representation for settlement conferences or other
alternative dispute resolution activities, provided that such organizations use the
donation for no other purpose. The Court may require an accounting from the
donee institutions to insure that the monies were spent consistent with the purposes
and goals articulated here;
(8) expenses incurred by the custodian in performing his/her duties under the Plan
including the expense of a surety bond covering monies in the Fund;
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(9) fees for services rendered by outside auditors or inspectors in auditing or inspecting
the records of the Fund; or
(10) such other expenses as may from time to time be authorized, including committee
meetings, ceremonial occasions, and awards.
I. Limitations of the Fund. Attorney admission funds shall not be used to pay for goods or
services for which appropriations may legally be used, even if the appropriated funds are
exhausted or otherwise not available. Use of attorney admission funds for any purpose for
which appropriated funds may legally be used constitutes an impermissible augmentation
of appropriations, with the exception of purchasing books, periodicals and other resource
materials for court libraries.
In addition, expense pre-payment and reimbursement to pro bono counsel in the
representation of indigent clients shall be made upon application to the Court and, absent
extraordinary circumstances, shall be limited to $5,000 per client represented. The judge
or magistrate judge to whom the case is assigned or referred is authorized to approve pre-
payments or reimbursements to be paid from the Fund. If the total of the payments
requested and those already allowed exceed $5,000, the judge or magistrate judge shall
determine whether extraordinary circumstances exist to justify payment in excess of the
$5,000 limitation.
J. Dissolution of the Fund. Should the Court decide to dissolve the Fund, a final audit shall
be performed, and a written accounting rendered to the Court before dissolution of the
Fund. The custodian shall ensure that all outstanding obligations are liquidated prior to the
dissolution, including making provisions for the payment of any fees and expenses resulting
from the required terminal audit or inspection. The Court will direct the disposition of the
remaining assets of the Fund in ways which fulfill the purpose of the Fund.
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