Showing posts with label Article 81 Guardian. Show all posts
Showing posts with label Article 81 Guardian. Show all posts

Tuesday, January 3, 2023

A GUARDIAN CAN PURSUE AN ANNULMENT


MATTER OF LOEW, 2022 NY Slip Op 6436 - NY: Appellate Div., 1st Dept. 2022:

"Marriage is a civil contract between two wedded individuals, and among the powers of an article 81 guardian is the power to manage the IP's property, including contracts. Where an article 81 guardian has been appointed for an IP and the individual is found to have been incapable of understanding the nature, effect, and consequences of the marriage, annulment of the marriage is an available remedy for the guardian to pursue (Mental Hygiene Law § 81.29 [d]; Matter of Kaminester v Foldes, 51 AD3d 528, 529 [1st Dept 2008], lv dismissed and denied 11 NY3d 781 [2008])."


Tuesday, November 29, 2022

REMOVING OR DISCHARGING A GUARDIAN


MATTER OF LOEW, 2022 NY Slip Op 6436 - NY: Appellate Div., 1st Dept. 2022:

"The Mental Hygiene Law does not support appellants' contention that they were entitled to a testimonial hearing in this case before being removed. Mental Hygiene Law § 81.35 provides that a guardian may be removed when she or he "fails to comply with an order, is guilty of misconduct, or for any other cause which to the court shall appear just" (see Matter of Mary Alice C., 56 AD3d 467, 468 [2d Dept 2008]). A motion on notice, served on the persons specified in Mental Hygiene Law § 81.16(c), is required but there is no statutory right to a hearing (see Mental Hygiene Law §§ 81.16[c]; 81.35). This relaxed requirement stands in distinction to Mental Hygiene Law § 81.11(a), which provides that the petition for the appointment of a guardian for an alleged IP, whose liberty interests are at stake, "shall be made only after a hearing" (Matter of Eggleston [Muhammed], 303 AD2d 263, 266 [1st Dept 2003]; Matter of Ruth TT, 267 AD2d 553, 554-55 [3d Dept 1999]). The reason a guardian has "no due process right to a full hearing," nor is a "full blown" hearing necessary for their removal, is that a guardian has no "property interest" to protect (Matter of Bauer, 216 AD2d 25, 26 [1st Dept 1995], appeal dismissed 86 NY2d 867 [1995], lv dismissed and denied 87 NY2d 952 [1996]).

Although a guardian cannot be summarily removed in the absence of a fully developed record or without any findings, and a hearing may be required where material facts are disputed (see Matter of Roberts, 205 AD3d 562, 563 [1st Dept 2022]), here the parties had not only fully briefed Ferreira's motion, but the salient facts were also known to the court and largely undisputed. A decision to remove a guardian of the person and property of an IP is within the sound discretion of the trial court (Matter of Agam S. B.-L. [Janna W. - Richard P.] 198 AD3d 962, 963 [2d Dept 2021]). Contrary to appellants' contention, a testimonial hearing was not necessary in this case because the court already possessed enough information for it to make findings justifying Mock's and Elias's removal, and they had an opportunity to be heard (cf. Matter of Roberts, 205 AD3d 562).

On the merits, the court properly exercised its discretion in removing Mock and discharging Elias. Undisputed before the court was the fact that Mock did not investigate and make a reasoned determination about the bona fides of the marriage and the prenuptial agreement. The circumstances presented throughout this case were alarming, raising red flags that at the time of the marriage and the prenuptial agreement Edgar was not competent. Mock's defense, that it was what Edgar wanted, misses the point. While it is important to solicit the views of an IP, those views cannot be the sole basis for action (or inaction). Were that the case, there would be no reason to appoint a guardian in the first place. Moreover, Mock is incorrect in adopting the position that she had no duty to investigate. The order did not have to expressly direct her to investigate these troubling circumstances, which implicated possible serious financial abuse. A guardian's duties under the Mental Hygiene Law require that such action be taken. While such an investigation need not be undertaken in every case, here the issue was squarely raised in the court evaluator's report, identified by the court as an issue for Mock to address as guardian, and warranted given that the prenuptial agreement and marriage occurred so close in time to the filing and granting of the article 81 petition, further buttressed by the evidence demonstrating how severely compromised Edgar was. Mock's failure to investigate was in dereliction of her duties.

Moreover, also undisputed in this record is the fact that Mock did not comply with the court's order that she report back on the feasibility of Edgar's safe discharge from the hospital to his apartment, rather than the ALF. Once again, Mock's reliance on Edgar's preference, without further elaboration as to why he preferred the ALF or an independent inquiry to determine whether it was the best option for him, was a dereliction of duties, undermining the very reason she was appointed. The court was direct in requesting that some evaluation be made as to why, given Edgar's considerable financial worth, he could not be cared for in his home.

These undisputed facts provide a sufficient basis for Mock's removal and Elias's discharge because it was in Edgar's best interest (see Matter of Bauer, 216 AD2d at 26; Mental Hygiene Law § 81.35). The March 8, 2022, appointment of a successor guardian was unavoidable and necessary given that once Mock was removed, Edgar still needed a guardian of the person and property."

Wednesday, April 27, 2022

NURSING HOME DENIED GUARDIANSHIP


In this case, it appears that the POA was found after the proceeding was commenced.

MATTER OF GREENFIELD, 2022 NY Slip Op 22094 - Suff. Co. Supreme Court 2022:

"This matter was commenced by petitioner Elimelech Greenfield, Administrator of Hilaire Rehabilitation and Nursing ("Hilaire" or "Petitioner") by Order to Show Cause, dated November 24, 2021, seeking an Order pursuant to Article 81 of the Mental Hygiene Law ("MHL") for the appointment of a guardian for both the person and property of the alleged incapacitated person D.C. ("D.C." or "AIP"). Upon signing the Order to Show Cause, the Court appointed Mental Hygiene Legal Service as counsel for the AIP.

EVIDENTIARY HEARING

A hearing on the merits was conducted on February 28, 2022. The AIP is sixty-three (63) years-old and has been residing at Hilaire since in or about July 2020. He suffers from schizophrenia, dementia and an altered mental status, and requires assistance with daily life activities. The testimony further demonstrated that the AIP suffers from additional cognitive deficiencies, including memory loss, and is unable to either make medical decisions on his own behalf or manage his finances. It was uncontroverted that at Hilaire the AIP's day-to-day care and personal needs are being adequately met by Hilaire in concert with Do.C., the daughter of the AIP, who is making personal decisions on behalf of the AIP pursuant to the Family Health Care Decisions Act ("FHCDA").

During the hearing, Do.C. introduced a durable general power of attorney ("POA"), executed by the AIP on June 11, 2020 (Exhibit 2). The POA appoints Do.C. to act as her father's attorney-in-fact.

At the conclusion of the testimony, the Court granted Petitioner's request to keep the hearing open to the extent that counsel may explore any collateral issues pertaining to the POA. Counsel was further permitted an opportunity to submit additional information for the Court's consideration on or before March 11, 2022. To date, neither counsel for the Petitioner nor the AIP has submitted additional documentation or requested leave to elicit additional testimony regarding the POA or any other matter related to the Petition. By e-mail dated March 24, 2022, counsel for the AIP requested that the hearing be closed.

LEGAL STANDARD

In order to prevail on its application for the appointment of a personal needs guardian or a property management guardian, the Petitioner must satisfy a two-pronged standard (see MHL §81.02[a]; Matter of Aurelia S., 186 AD3d 715, at 716-17, 127 N.Y.S.3d 301,302 (2d Dep't 2020); Matter of Linda H.A., 174 AD3d 704, 102 N.Y.S.3d 685 (2d Dep't 2019); Matter of Agam S.B.-L, 169 AD3d 1028, 1030, 93 N.Y.S.3d 415(2d Dep't 2019)). Initially, the Court must make a determination whether "the appointment is necessary to provide for the personal needs of [the AIP], including food, clothing, shelter, health care, or safety and/or to manage the property and financial affairs of [the AIP]" (MHL §81.02[a][1)]). If the appointment of a guardian is deemed necessary, then the Court must decide whether the AIP "agrees to the appointment, or that the person is incapacitated" (Id. at §81.02[a][2]). A finding of incapacity requires "a determination that a person is likely to suffer harm because (1) the person is unable to provide for [his or her] personal needs and/or property management and (2) the person cannot adequately understand and appreciate the nature and consequences of such inability" (Id. at § 81.02[b]; see Matter of Carolyn S., 192 AD3d 1114, 141 N.Y.S.3d 358 (2d Dep't 2021); Matter of Carole L., 136 AD3d 917, at 918-19, 26 N.Y.S.3d 133 (2d Dep't 2016)).

In reaching its determination, the Court notes that the burden of proof remains with the Petitioner by clear and convincing evidence. "[P]rimary consideration [shall be given] to the functional level and functional limitations of the person" (see MHL § 81.02[c]). If the Petitioner satisfies its burden, any guardian appointed may only be granted "those powers which are necessary to provide for personal needs and/or property management of the incapacitated person in such a manner as appropriate to the individual and which shall constitute the least restrictive form of intervention" (Id. at§81.02[a][2]).

CONCLUSIONS OF LAW

Here, the Petitioner established by clear and convincing evidence that the AIP is incapacitated as defined in Article 81 of the Mental Hygiene Law (see MHL § 81.02[b]). However, the Court may only appoint a guardian where one (1) or more of the incapacitated person's personal or management needs are not adequately being cared for due to the functional limitations and the incapacitated person's lack of understanding or appreciation for his limitations.

The Court concludes that the appointment of a guardian to protect the personal needs and/or property management of the AIP is not necessary in the instant matter, and, as a result, the application is denied. The evidence failed to demonstrate that the AIP is likely to suffer harm due his functional limitations, his inability to provide for his own personal needs or his lack of capacity to manage his affairs. To the contrary, the AIP's needs are presently being adequately managed by Do.C., the AIP's daughter, pursuant to both the duly executed POA and the FHCDA (see Public Health Law, Article 29-cc (2010)).

Accordingly, the Petitioner is unable to satisfy its burden since the AIP is not likely to suffer harm due to his functional limitations. The Appellate Division, Second Department has held that "[e]ven if all of the elements of incapacity are present, a guardian should be appointed only as a last resort and should not be imposed if available resources or other alternatives will adequately protect the person" (Matter of Maher, 207 AD2d 133, at 140, 621 N.Y.S.2d 617 (2d Dep't 1994)). Moreover, where prior to becoming incapacitated, the AIP executes advanced directives, the Court will not appoint a guardian because the AIP "effectuated a plan for the management of his affairs which obviate[s] the need for a guardian" (Id.; Matter of Crump, 230 AD2d 850, 646 N.Y.S.2d 825(2d Dep't 1996); Matter of O'Hear, 219 AD2d 720, 631 N.Y.S.2d743 (2d Dep't 1995) (guardian not necessary for an incapacitated person who had appointed adult son power of attorney and executed living will and health care proxy)).

Based on the foregoing, the Court finds that the appointment of a guardian is not necessary to care for the personal needs or property management of the AIP. The evidence adduces that the AIP previously executed a POA that is valid and enforceable, and the AIP's daughter is further making medical decisions on behalf of the AIP which the Petitioner has indicated it will continue to honor. The Court finds persuasive and adopts the reasoning in the Matter of Stephanie Z. where the Chemung County Supreme Court denied the application and dismissed the Article 81 Petition because, similar to the instant matter, the AIP had "sufficient resources in place to address [his] limitations, through [his] placement at the Facility, the existing power of attorney and the Family Health Care Decisions Act" (see 150 N.Y.S.3d 569 (Chemung Cnty. Sup. Ct. 2021)).

In rendering the herein decision, the Court affords tremendous weight to the testimony of the court evaluator who deviated from his written recommendations after the POA was introduced for the first time at the hearing and is of the opinion that the appointment of a guardian is unnecessary. Accordingly, it is hereby,

ORDERED that the application for the appointment of a guardian for the AIP is DENIED; and it is hereby further

ORDERED that the Petition is DISMISSED; and it is hereby further

ORDERED that the court appointees shall submit a proposed order and detailed affirmation of services with thirty (30) days of the date of the herein Decision and Order."

Thursday, August 26, 2021

ARTICLE 81 FOR DEVELOPMENTALLY DISABLED?


Matter of United Health Servs. Hosps., Inc. (Elias B.) 2021 NY Slip Op 50612(U) Decided on June 30, 2021 Supreme Court, Broome County Guy, J.:

"PROCEDURAL BACKGROUND

On May 18, 2021, United Health Services Hospitals, Inc. (the "Hospital") filed a petition pursuant to Article 81 of the Mental Hygiene Law, seeking the appointment of a guardian of the [*2]person and property of Elias B., an alleged incapacitated person ("AIP"). The Court issued an order to show cause dated May 20, 2021, appointing Mental Hygiene Legal Service (3rd Dept.) as counsel to represent Elias B. and scheduling the hearing in this matter for June 14, 2021. The hearing was rescheduled for June 16, 2021, at which time the hearing convened via Microsoft Teams. Mental Hygiene Legal Service (3rd Dept.), Kristin Snyder, Esq., of counsel, appeared on behalf of Elias B.; Elias B. appeared; and Dunya Cullen, Esq., attorney for the petitioner, appeared on behalf of the petitioner. Broome County Department of Social Services, on notice of the proceeding as the proposed guardian set forth in the petition, appeared by Kuredin V. Eytina, Esq., Sr. Assistant County Attorney, DSS Legal Unit.

At the conclusion of petitioner's case, Ms. Snyder argued for the petition to be dismissed. The Court reserved its decision and counsel submitted written summations. Upon review and consideration of the petition, testimony, written summations, and controlling authority, the Court now issues this Decision.


THE HEARING

In support of the petitioner's case, Madeline Deloria-Mancini, Jenna Dyer, and Mary Ellen B. testified. Elias B. did not testify or present any witnesses but did participate in an initial conference with the Court and his counsel, in the presence of his social worker, who assisted with communication. Elias B. expressed his willingness to accept assistance with discharge from the Hospital, but also his desire to live independently in the community without a guardian.

Ms. Deloria-Mancini is a licensed master social worker in the care management department at the Hospital. In that capacity she coordinates community resources for patients admitted to the Hospital and develops their discharge plans. Elias B. presented to the Hospital's emergency department more than 100 times since September 2020 but was only admitted on March 20, 2021, following a fall.

Elias B. bathes himself with reminder and encouragement; gets out of bed on his own; and sometimes needs help using the toilet. He is oriented to time and place but not the date. He can recognize when someone calls to him. Elias B. is on a fluid restriction at the Hospital because he sometimes drinks too much liquid, resulting in a significant drop in his potassium levels and alteration of his mental state. Medically, Elias B. has not required acute care since March 31, 2021 and is at his baseline. He is ready for discharge from the Hospital. He would not be admitted to the Hospital if he presented to the emergency department in his current condition.

Ms. Deloria-Mancini testified that although Elias B. no longer requires inpatient care at the Hospital, the Hospital has been unable to effectuate a safe discharge plan for him.

According to Ms. Deloria-Mancini, a safe discharge plan for Elias B. requires a referral to a skilled nursing facility, and she made approximately 270 referrals to such facilities. She received a response from only one facility, in New Jersey. Elias B. objects to the appointment of a guardian or his placement in a skilled nursing facility, and, according to Ms. Deloria-Mancini, a guardian is necessary to effectuate Elias B. 's placement at the facility in New Jersey.

Elias B. was providing his own medical consent at admission. After Elias B. refused the offered discharge to the New Jersey skilled nursing facility, a psychiatrist at the Hospital determined Elias B. lacks the capacity to effectuate his own discharge planning. The psychiatrist did not testify, nor was his experience evaluating developmentally disabled patients otherwise established.

Elias B.'s only income is from Social Security; he receives New York State Medicaid and [*3]services through the Office for People with Developmental Disabilities ("OPWDD"). Representative payee services, provided by Catholic Charites of Broome County, are among those; no evidence was offered of the need for a property guardian.

Jenna Dyer works as the care coordination supervisor for Southern Tier Connects, and she has coordinated the services Elias B.'s receives through OPWDD. Since 2017, Elias B. has been enrolled to receive services through OPWDD such as community habilitation and nursing services. Elias B. also receives services through the Office of Mental Health, including medication administration when he has lived independently. He has resided in individual residences and group homes. Prior to Elias B.'s March admission to the Hospital, he resided at a group home for a month or six weeks. Ms. Dyer testified Elias B. had an incident with the group-home owner and was kicked out or left the home. Catholic Charities, as Elias B.'s representative payee, stopped paying rent on the boarding house in April 2021, after Elias B. was admitted to the Hospital.

Ms. Dyer believes Elias B. needs assistance with medication administration and daily living skills. Elias B. has lived in the Binghamton area for the last two years and, prior to that, he resided in Delaware County and Oneonta, New York. He has a history of leaving his living situations and making his own plan for sleeping and eating. Prior to the pandemic, he would regularly visit places in the community for food and socialization, including the hospital emergency department. Elias B. knows Ms. Dyer and how to contact her if he needs assistance. He also knows how to get to the hospital if necessary. She acknowledged that if he were to be placed at the facility in New Jersey, he could voluntarily leave if he chose.

Ms. Dyer acknowledged on cross-examination that her agency was seeking alternative housing for Elias B. when he fell and was admitted to UHS, and that OPWDD has a "hard to place" program for individuals like Elias B. for whom stable residential arrangements are a challenge. She also confirmed that services through OPWDD would also stop if Elias B. relocated to New Jersey.

Mary Ellen B. is Elias B. 's sister. Elias B. executed a health care proxy in the past, naming her as his health care agent. She testified she is willing to make health care and personal decisions for Elias B. if needed.

LEGAL STANDARD

The Court may appoint a guardian for an AIP if the Court determines that the "appointment is necessary to provide for the personal needs of that person, including food, clothing, shelter, health care, or safety and/or to manage the property and financial affairs of that person." MHL §81.02(a)(1). The appointment must also be based on either the consent of the person or a finding, by clear and convincing evidence, that the person is incapacitated. MHL §81.02(a)(2). The determination of incapacity hinges on whether the person is likely to suffer harm because the "person is unable to provide for personal needs and/or property management and the person cannot adequately understand and appreciate the nature and consequences of such inability." MHL §81.02(b).

Under this analysis, the Court must give primary consideration to the person's "functional level and functional limitations," including an assessment of the person's ability to manage the activities of daily living related to property management, such as money management and banking; his understanding and appreciation of the nature and consequences of any inability to manage these activities; his preferences, wishes, and values regarding management of these affairs; and the nature and extent of the person's property and finances, in the context of his [*4]ability to manage them. See Matter of Maher, 207 AD2d 133 (2d Dept 1994); MHL §§ 81.02(c); 81.03(h). The Court must also assess, in pertinent part, "the extent of the demands placed on the person . . . by the nature and extent of that person's property and financial affairs;" any mental disability and the prognosis of the disability; "any medications with which the person is being treated and their effect on the person's behavior, cognition and judgment;" and "other relevant facts and circumstances." MHL §§ 81.02 (c)(4); (d).

The mandate of Article 81 is that the Court must consider the AIP's personal wishes, preferences, and desires, allowing him to make the decisions affecting his life, to the extent he is able to. MHL §81.01; In re Matter of Cheryl B. K., 45 Misc. 1227 (A) (Sup Ct, Broome County 2012). The Court must be careful not to unduly substitute its judgment, or that of others, for the AIP's judgment. Id.; Matter of Williams, 194 Misc 2d, 793 (Sup Ct, Suffolk County 2003). Article 81 cases are replete with references to respecting the AIP's wishes to the extent possible. Williams, supra; Cheryl B. K., supra; In re Pfluger, 181 Misc 2d, 294 (Sur Ct, New York County 1999). The Court should "approve any acts as long as it falls within the range of reasonable actions for a given situation." Pfluger, supra, at 299. Whether to appoint a guardian is a matter of discretion requiring the Court to determine if the AIP actually requires the assistance of a guardian. Matter of Daniel TT, 39 AD3d 94 (3rd Dept. 2007).

FINDINGS OF FACT AND CONCLUSIONS OF LAW

The Court makes the following findings of fact based on the clear and convincing evidence proffered at the hearing. Elias B. is a 65-year old developmentally disabled individual who began receiving services from OPWDD in 2017, later in his life. He has lived in Binghamton for the past two years and, prior to that, he lived in the Oneonta and Delaware County areas. He was admitted to the Hospital on March 20, 2021 after experiencing a fall. He is currently a social admission at the Hospital, having returned to his baseline, and is medically ready for discharge.

Elias B. can manage many of his own activities of daily living but requires assistance with medication administration and prompting for bathing. The Hospital has determined the only safe discharge plan for Elias B. is for his placement in a skilled nursing facility. The Hospital sent referrals for Elias B. to approximately 270 such facilities, and only one, in New Jersey, indicated they would accept Elias B. as a resident. Following Elias B.'s refusal of this discharge, the Hospital determined Elias B. lacks capacity to effectuate his own discharge planning.

Immediately prior to his admission at the Hospital, Elias B. was living unhoused. Elias B. has a history of unstable living situations and elopement from housing coordinated through his service providers, including OPWDD. He is familiar with the Binghamton area and knows how to contact his care coordinator. He also knows locations in the community to go for socialization and food and water, admittedly including the Hospital's emergency department. Elias B.'s New York State-based OPWDD services would be discontinued if he were to move to the facility in New Jersey.

Elias B. has not consented to the appointment of a guardian, so any guardianship appointment may only be made based on a finding of his incapacity. MHL §81.02(b).

This case approaches the bounds and uses of an Article 81 guardianship proceeding.Elias B. clearly has some limitations which impact his ability to fully attend to activities of daily living. He attends to most activities on his own and needs some prompting for bathing and medication administration. There was no testimony about his medications and what risks he [*5]may suffer as a result of mismanaged medication administration. The main limitations identified are Elias B.'s history of an inability to maintain stable housing and his alleged inability to currently effectuate his own discharge planning from the Hospital. Petitioner's witnesses only testified to Elias B.'s potential need for a guardian with respect to discharge planning. To date, Elias B.'s housing needs have been addressed through the consensual services of OPWDD, albeit somewhat imperfectly due to Elias B.'s inconsistency in accepting those services.

Courts have consistently found that the threshold for appointment of an Article 81 guardian is reasonable safety and undue risk. Matter of S. B. (E. K.), 60 Misc 3d 735, 746 (Sup Ct, Chemung County 2018), aff'd as modified by Matter of Elizabeth T. T., 177 AD3d 20 (3d Dept 2019);Matter of Jillian B (Benny D), 68 Misc 3d 1219(A) at *8 (Sup Ct, Chemung Co, 2020); Cheryl BK, supra at *4. It is not disputed that Elias B. is safe in his current placement. It is also true that his current placement is not appropriate; it is not an appropriate use of community acute care services and is inarguably not the least restrictive setting for Elias B. The question becomes one of relative safety, or risk, of the presented skilled nursing facility discharge and the presumptive alternative of discharge to the community.

Elias B. has a history of elopement and unstable housing. Whether due to personality conflicts, behavioral issues, or a conscious choice on his part, Elias B. does not maintain steady, stable housing for prolonged periods of time. With his history of elopement, there is a reasonable probability he would leave the New Jersey facility if placed there against his wishes. Authority to place is not authority to restrain a person against his will. Jillian B (Benny D), supra, at *8. Elias B. would be in a location foreign to him, with no services established or any local contacts with whom he is familiar, placing him at substantial risk of harm.

The presumptive alternative is Elias B. being discharged from the Hospital into the Binghamton area, under the same circumstances as existed prior to his hospital admission, with OPWDD continuing to coordinate his housing locally, either in a group home or independent living. Elopement and instability of housing remain a risk in the Binghamton area, but here Elias B. is familiar with his services coordinator, the Hospital, and other community resources and has historically managed his existence. The Court finds that the discharge plan currently put forth by the Hospital poses a greater risk of harm to Elias B. than the alternative. Under these circumstances, the appointment of a guardian would not obviate the risk of harm posed to Elias B. due to his inability or unwillingness to remain in stable housing, so is not the least restrictive alternative.

There is no risk-free solution to Elias B.'s situation; the Court's decision is based on a relative assessment of the options and a balancing of Elias B.'s right to maximum independence. Cheryl B., supra, at *4. The Court acknowledges the decisions Elias B. has and may make are not ones the petitioner, or most other people, would make. At the same time the court should not unduly substitute its judgment for his. Id.; Jillian G (Benny D), supra at *3. The fact remains that Elias B. has successfully navigated the community and had his needs met, with varying levels of acceptance of services, for years.

Other factors weigh in the Court's decision. Petitioner's proposal that the Broome County Department of Social Services be appointed as guardian, for a person sought to be placed out of state, imposes a substantial burden on that Department. Testimony that the facility where Elias B. would be placed would and could become his guardian is speculative, and problematic under New York guardianship law, where a care provider is presumptively precluded from appointment. MHL 81.19(e). That would leave Elias B. under the legal control of his care [*6]facility, without independent service coordination and hundreds of miles from his home and only family support.

The testimony at the hearing also raised an issue, not fully explored, with respect to OPWDD's efforts and ability to continue to work with Elias B. on housing, his only clearly established limitation. Elias B.'s capacity for decision making may also need further exploration, within the framework of his qualification for OPWDD services, and considering the testimony that Elias B. has returned to the baseline at which he was initially allowed to provide his own consent to care.

In furtherance of this Decision, it is hereby

ORDERED, that the request for the appointment of a guardian of the person and/or property of Elias B. is DENIED, and the petition of United Health Services Hospitals, Inc. is DISMISSED."

Thursday, January 9, 2020

EVICTION OF SENIOR CITIZEN/HOARDER FROM CO-OP



The building involved is one of the Lincoln Towers residential buildings by Lincoln Center. The unit must be at least $500K value with maintenance charges of over $1200 a month. This is a sad story that has been in the court system for several years.

140 W. End Ave. Owners v. Dinah L., NYLJ January 08, 2020,  Date filed: 2019-11-26, Court: Civil Court, New York, Judge: Judge Lillian Wan, Case Number: 73825/2017:



"In this nuisance holdover proceeding, the Court held a trial to determine whether the respondent-tenant created a nuisance condition in her apartment in violation of the proprietary lease, thereby entitling the petitioner-landlord to a final judgment of possession and warrant of eviction. For the reasons set forth below, the Court finds that the petitioner established a prima facie case of nuisance and is entitled to a judgment of possession and warrant of eviction. However, execution of the warrant shall be stayed for 90 days to allow the respondent an opportunity to further cure the condition or to relocate to another dwelling. The respondent-tenant, Dinah L. (hereinafter respondent), who is 72 years old, currently occupies Apartment 12V at 140 West End Avenue in Manhattan, a cooperative apartment where she has lived for over 10 years. In a Thirty (30) Day Notice to Cure dated May 12, 2017, petitioner-landlord 140 West End Avenue Owners Corp. (hereinafter petitioner) alleged that respondent engaged in behavior that violated paragraphs 13, 18(b), 20, and 25 of the proprietary lease, resulting in a failure to meet the substantial obligations of her tenancy. Petitioner alleged that respondent kept her apartment in poor condition by amassing clutter in the form of garbage, books, and newspapers, which resulted in infestation, unreasonable odors, and an increased risk of fire hazard. In a Notice of Termination dated July 28, 2017, petitioner alleged that these violations had not been cured and directed respondent to surrender possession of the premises. Petitioner commenced the instant nuisance holdover action on September 12, 2017.

On June 12, 2018, the New York City Department of Social Services filed a petition pursuant to Article 81 of the Mental Hygiene Law (hereinafter MHL) seeking the appointment of a guardian for Ms. L. On July 5, 2018, the Hon. Shawn T. Kelly appointed Selfhelp Community Services, Inc. (hereinafter Selfhelp) as temporary guardian of Ms. L. and granted Selfhelp the authority to access Ms. L.’s place of abode, arrange for a heavy-duty cleaning of the abode, inform her about the cleaning, and, if necessary, temporarily remove her from the premises to complete the cleaning. On August 21, 2018, Justice Kelly amended the temporary guardian order to include the powers to apply for government and private benefits, marshal and manage income and assets, determine whether Ms. L. is entitled to any additional assets, arrange for and encourage outpatient psychiatric treatment, and assist in selling and auctioning any items of value that may be in Ms. L.’s abode. After a full hearing, Justice Kelly adjudicated Ms. L. to be a person in need of a guardian and appointed Selfhelp as guardian for a period of two years. See Order and Judgment Appointing a Guardian of the Person and Property dated February 7, 2019. Justice Kelly found that Ms. L. has functional limitations that impair her ability to provide for her personal needs and property management, and that the appointment of a guardian is necessary. Selfhelp’s authority included, inter alia, defending Ms. L. in the housing court proceeding, arranging for heavy-duty cleanings of her residence, arranging for and maintaining the appropriate level of home care services, and entering into contracts subject to prior court approval.


After multiple attempts to resolve the matter, the case was set down for trial at the petitioner’s request. The trial commenced on June 27, 2019 and concluded on September 20, 2019. At the trial, the petitioner introduced witness testimony and documentary evidence of respondent’s violations of the proprietary lease. Helen Basurto, an employee of managing agent AKAM Associates, Inc., testified that strong smells of urine and garbage continued to emanate from the apartment as recently as the day before the trial commenced. Ms. Basurto further stated that respondent’s apartment is located directly across from the 12th floor elevators, making it impossible for residents and visitors of that floor to avoid the odors. Ms. Basurto stated that these odors are not present on other floors of the building. Ms. Basurto also testified that while a cleaning of the apartment occurred in October 2018, this only alleviated the odors for a few weeks.


The petitioner also presented the testimony of Robbie Persaud, a handyman employed with the subject building for the last seven years. Mr. Persaud is familiar with Ms. L. as he does yearly maintenance in her apartment. Mr. Persaud testified that he was inside the respondent’s apartment in April 2019 and on June 19, 2019 to inspect her air conditioning units. Mr. Persaud testified that he observed piles of garbage, clothing, papers, and other debris that made navigating the apartment difficult, and that there were extreme odors of urine and feces. The petitioner introduced into evidence 15 photographs taken by Mr. Persaud while inside the premises on June 19, 2019, which depict garbage and clutter strewn throughout respondent’s apartment. Mr. Persaud testified that this condition was also present when he entered the apartment on previous dates. Mr. Persaud stated that strong odors of urine have continuously emanated from the respondent’s apartment. Mr. Persaud did concede that respondent allowed him access on three previous occasions when he knocked on her door.


The petitioner also offered the testimony of Ms. L.’s neighbor, Martin Izaak, who lives in the apartment adjacent to her. Mr. Izaak testified that he is immediately able to smell pungent odors entering the 12th floor hallway and that the smell gets stronger the closer you get to Ms. L.’s apartment. Mr. Izaak further stated that the smell is there constantly and that he is concerned that the smell may cause health issues and diminish the value of his apartment. He also had concerns about inviting his friends to his apartment.


The respondent, represented by counsel to the guardian, presented the testimony of Yajaira Rincon-Brown, the Selfhelp caseworker assigned to Ms. L. Ms. Rincon-Brown testified that a heavy-duty cleaning occurred in October 2018. Ms. Rincon-Brown also testified that she did not notice a smell when she was last in Ms. L.’s apartment on July 30, 2019 and that she did not believe the apartment was cluttered, stating instead that the premises was in need of organization. The respondent introduced five photographs into evidence which were taken after the heavy-duty cleaning conducted in October 2018; however, Ms. Rincon-Brown admitted that these photographs did not reflect the current condition of the apartment.


The petitioner then called Ms. L. as a rebuttal witness. Ms. L. testified that Mr. Persaud did visit her apartment to change the filters in her air conditioning unit but she claimed he did not take photographs. Ms. L. stated that the respondent’s photographs depict the state of her apartment before it was cleaned out and that it does not look like this today. Ms. L. further testified that the current condition of her apartment is slightly different in that it is neater and furniture has been moved around. Ms. L. testified that her apartment is now much more livable and that she is able to move around freely. Petitioner also recalled Mr. Persaud as a rebuttal witness, at which time 12 additional photographs of Ms. L.’s apartment were admitted into evidence. Mr. Persaud testified that he took these photographs in August 2019 and stated that they displayed a condition similar to the one portrayed in the June 2019 photographs. Mr. Persaud also testified that the strong stench of urine and feces was again present in August 2019 and that he saw flies in the apartment.


On summation, the petitioner contends that it established its prima facie case in demonstrating that respondent breached her proprietary lease by interfering with other building residents’ use and enjoyment of their homes. The petitioner further argues that the expanded stay provision of the Housing Stability and Tenant Protection Act of 2019 (hereinafter HSTPA) does not apply to the instant proceeding, as this provision only applies to those actions and proceedings commenced on or after June 14, 2019. Petitioner also contends that the respondent is not entitled to a stay under Real Property Actions and Proceedings Law (hereinafter RPAPL) §753, arguing that a tenant is required to pay all use and occupancy currently owed to obtain a stay under this provision. Petitioner claims that even if respondent is eligible for a stay, respondent is not entitled to a post-judgment opportunity to cure and a stay of the warrant of eviction because respondent has had ample opportunity to cure during the pendency of the proceeding but has failed to do so.


Counsel for the guardian argues that the petitioner’s evidence was insufficient to establish the existence of a nuisance condition. Respondent claims that the testimony of Ms. Basurto and Mr. Izaak cannot establish a pattern of objectionable conduct because neither ever entered Ms. L.’s apartment. While respondent concedes that Mr. Persaud did enter Ms. L.’s apartment, Mr. Persaud also testified that he was able to move about the apartment and complete repairs. Respondent further argues that, in the alternative, it is entitled to an indefinite stay of the execution of the warrant of eviction pursuant to RPAPL §753(4) on the grounds that even if petitioner met its burden of demonstrating that respondent’s behavior constituted a nuisance, respondent established that any nuisance conditions that did exist have been cured.


The elements of a common-law claim for a private nuisance are an interference that is (1) substantial in nature; (2) intentional in origin; (3) unreasonable in character; (4) interfering with a person’s property right to use and enjoy land; and (5) caused by another’s conduct in acting or failure to act. Copart Indus. v. Consolidated Edison Co. of N.Y., 41 NY2d 564 (1977). The Court of Appeals has noted that not every annoyance will constitute a nuisance, and to prevail on a cause of action for nuisance, the plaintiff must establish “a pattern of continuity or recurrence of objectionable conduct.” See Domen Holding Co. v. Aranovich, 1 NY3d 117, 124 (2003), quoting Frank v. Summit Park Summit Realty Corp., 175 AD2d 33, 34 (1st Dept 1991), mod on other grounds 79 NY2d 789 (1991). In the instant matter, it is clear that Ms. L.’s failure to keep her apartment free of clutter and in a sanitary condition over the course of at least two years represents a pattern of continuity and a recurrence of objectionable conduct. The Court determined that petitioner’s witnesses testified credibly in this regard. The testimony of respondent’s witness, Ms. Rincon-Brown, was insufficient to rebut petitioner’s evidence, and is more relevant to this Court’s determination on whether a post-judgment opportunity to cure is warranted. Mr. Izaak, Ms. L.’s neighbor, testified firsthand about the odor emanating from the apartment, and about how it has negatively impacted his life. The photographs in evidence clearly depict the poor and excessively cluttered condition of Ms. L.’s apartment. Therefore, the Court finds that the petitioner has met its prima facie burden in establishing the existence of a nuisance and is entitled to a judgment of possession and issuance of a warrant of eviction.


In determining whether a stay of the execution of the warrant is appropriate, the Court must consider the fact that the respondent is an Article 81 ward of the Court. The Court notes that in arguing against a stay, the petitioner does not cite any cases that involve tenants with Article 81 guardians. Recent case law makes clear that the Court has broad discretion in determining whether a disabled tenant should be given an opportunity to cure a condition or be allowed additional time to relocate, and must consider the equities in reaching that determination.


In Matter of Prospect Union Assoc. v. DeJesus, 167 AD3d 540 (1st Dept 2018), a case involving a disabled Article 81 ward, the Appellate Division, First Department disagreed with the housing court’s determination that the tenant was not entitled to a permanent stay of eviction because the conditions in the apartment were ongoing and not timely cured. The court went on to state that there needs to be a “proper evaluation of whether the Article 81 guardian’s management of their personal (and property) affairs will now make a difference in their ability to stay in their home without harming others.” Id. at 543. The court also concluded that the appointment of an Article 81 guardian sufficiently establishes that the tenant is “handicapped” within the meaning of the Fair Housing Act, and as such “a landlord is obligated to provide a tenant with a reasonable accommodation if necessary for the tenant to keep his or her apartment.” Id. The trial court must consider whether with ongoing supportive services and monitoring, tenants can continue to live in the apartment without harming or affecting their neighbors. Id. at 544. The issue for determination is “whether, with the involvement of the [A]rticle 81 guardian and its management of their affairs, tenants can fulfill their lease obligations and avoid eviction.” Id. Furthermore, the court remanded the case for a hearing to determine whether the accommodations proposed by the guardian were reasonable, whether they would curtail the recurrence of the nuisance, and whether a permanent stay of eviction was appropriate.


Furthermore, in 642-654 Whippersnapper LLC v. Mahoney, 63 Misc3d 46 (App Term, 1st Dept 2019), the Supreme Court, Appellate Term, relying on DeJesus, also remanded the matter back to the housing court for a hearing on whether the tenant was entitled to a permanent stay of eviction as a reasonable accommodation. Mahoney involved a stipulation of settlement that was entered into by the tenant’s guardian ad litem. An Article 81 guardian was subsequently appointed, and the guardian performed a heavy-duty cleaning with extermination services, and implemented home care services to ensure that its ward had regular assistance to maintain the apartment in a sanitary condition. The court held that the circumstances were sufficient to warrant a temporary stay and remittal on the issue of a permanent stay. In noting that the First Department’s holding in DeJesus represents a clear departure from the prior approach previously taken in nuisance cases, the Mahoney court recognized that:


[w]hile the protection of the premises and the other tenants who reside therein remains paramount, serious efforts must be undertaken to examine whether such risks can be minimized to thus afford a reasonable accommodation to a physically or mentally disabled tenant, even for one whose conduct has previously been highly problematic. Id. at 49 (internal citations and quotation marks omitted), quoting Matter of Prospect Union Assoc. v. DeJesus, 167 AD3d at 543.


The Mahoney court also instructed the housing court to consider equitable principles in determining whether to provide the tenant an opportunity to cure, including assessing factors such as the tenant’s advanced age, disability, the hardship that an eviction would cause, and the tenant’s long-term tenancy of over 50 years at the subject apartment. Mahoney, 63 Misc3d at 50; see also Strata Realty Corp. v. Pena, 166 AD3d 401 (1st Dept 2018) (though respondent previously had many opportunities to cure the nuisance she had created, the tenant was granted another stay in light of her advanced age, long-term occupancy, disability, hardship that eviction would cause her, and her willingness to grant petitioner access to the apartment).


In 529 West 29th LLC v. Reyes, 63 Misc3d 65 (App Term, 1st Dept 2019), the Appellate Term, First Department affirmed the Housing Court’s determination that the tenant had a handicap under the Fair Housing Act and was thus entitled to a reasonable accommodation. The court held that a stay of the execution of the warrant of eviction for six months was an objectively reasonable accommodation. Reyes involved a tenant who had been diagnosed with schizophrenia, however the evidence established that the tenant’s condition had greatly improved as a result of an intensive hospital treatment program and social service assistance. Significantly, the court held that the determination of whether an accommodation is required is highly “fact specific,” and should be made on a case-by-case basis. The overarching guiding factor, however, is that a landlord has an obligation to provide a tenant with a reasonable accommodation, if necessary, for the tenant to remain in the apartment. Id. at 68.


In reviewing recent First Department precedent, it follows that if a tenant should have an opportunity to cure a nuisance condition, then the tenant should also be afforded the opportunity to safely relocate. In the instant matter, the Article 81 guardian recently filed a motion seeking to expand its powers in order to retain an appraiser and real estate broker to sell Ms. L.’s apartment with the intention of relocating her. On October 11, 2019, the Court granted the guardian’s motion. The factors set forth in Pena and Mahoney are not exclusive, and it is logical to presume that the need to relocate to another apartment is an appropriate factor to consider. See Beuhler 1992 Family Trust v. Longo, 63 Misc3d 508 (Civ Ct, NY County 2019) (the execution of a warrant of eviction was stayed to allow tenant to obtain relocation assistance from her Article 81 guardian).


In determining whether to allow a further stay, this Court is also guided by the HSTPA. The HSTPA has increased the protections for tenants statewide, and augments, amends, repeals and enacts provisions of a wide range of laws salient to rent regulation and landlord-tenant relations in New York. Specifically, HSTPA, 2019 Sess. Law News of N.Y. Ch. 36, pt. M, §21 (S. 6458) [McKinney's]), amends RPAPL §753(1), and allows a judge to issue a stay of eviction for up to one year where the tenant cannot secure suitable housing in the same neighborhood, or where the eviction would cause “extreme hardship.”1 Similarly, the new legislation provides an automatic 30-day stay of eviction where the eviction is based on a violation of a provision of the lease to allow the tenant an opportunity to cure the breach. The justification behind these expanded timeframes is to “allow more leniency throughout any eviction proceeding, including stays of eviction and executions of warrants; and ensure that any eviction that is executed is done so in the interest of justice.” Legis. Mem. in Support of NY State Senate Bill, 2019 Sess. Law News of NY Ch. 36 (S. 6458) [McKinney's].

In the instant matter, Ms. L. would likely suffer extreme hardship if a stay were not granted. Ms. L. is an elderly Article 81 ward of the Court who has lived in the current apartment for 10 years. Furthermore, the guardian is making good faith efforts to secure a safe, affordable dwelling for Ms. L., and it is reasonable to afford the guardian some time to do so. In the meantime, Ms. L. has allowed the landlord to have access to her apartment and has cooperated with the guardian’s efforts to keep the apartment clean and free of clutter.


The Court declines to condition any stay upon the payment of use and occupancy. The language of RPAPL §753(2) clearly gives the Court discretion to determine what amount of ongoing use and occupancy, if any, will be paid: “the amount of such deposit shall be determined by the court upon the application for the stay,” including in “installments thereof from time to time as the court may direct, for the occupation of the premises for the period of the stay.” In fact, with regard to past due rent or maintenance, a deposit made pursuant to the statute “may also include all rent unpaid by the occupant prior to the period of the stay.” RPAPL §753(2) (emphasis added). Notably, in Tessler v. Tessler, 81 AD3d 408 (1st Dept 2011), the Appellate Division, First Department found that the trial court acted within its discretion by taking respondent’s limited financial resources into account when denying an award of an additional amount of use and occupancy permitted by RPAPL §753(2).


In 326-330 East 35th Street Assoc. v. Sofizade, 191 Misc2d 329 (App Term, 1st Dept 2002), the Appellate Term, First Department noted that circumstances may exist that warrant the issuance of a stay of a possessory judgment “upon such terms as may be just” pursuant to CPLR 2201 in order to avoid a leasehold forfeiture in a holdover proceeding. While there is no “bright-line standard” for determining the appropriateness of a discretionary stay, factors to be considered include the length of the tenancy, the tenant’s payment history, the circumstances and severity of the rent defaults, and the tenant’s present financial status. Id. at 332. Ms. L. does not appear to have the financial means to afford maintenance payments, which is in part why the Article 81 guardian has obtained an expansion of powers to sell the co-op and relocate Ms. L. to a home that she can afford. Significantly, the Court notes that Paragraph 32(c) of the proprietary lease allows for the petitioner to collect on any debt owed pursuant to the sale of a tenant’s shares. It follows that once the apartment is sold, the petitioner can be reimbursed for all maintenance due from the proceeds of the sale.


Equity would not be served with the immediate execution of a warrant of eviction. Accordingly, based on the foregoing, the petitioner is entitled to a final judgment of possession and warrant of eviction. However, after a careful review of the facts and circumstances of this case, and upon balancing all of the equities, the execution of the warrant is stayed for 90 days to allow the guardian time to sell Ms. L.’s apartment and relocate her to a suitable environment or, in the alternative, to allow the guardian an opportunity to cure the nuisance condition without prejudice to the guardian to seek a further stay upon a showing of good cause. Upon expiration of the stay, if the condition is cured, and the respondent should remain in possession of the apartment, petitioner may commence a non-payment proceeding for any unpaid maintenance. See Novak v. Fischbein, Olivieri Rozenholc & Badillo, 151 AD2d 296 (1st Dept 1989).


IT IS HEREBY ORDERED, that a final judgment of possession and warrant of eviction shall issue in favor of the petitioner; and it is further


ORDERED, that execution of the warrant of eviction is stayed for 90 days to allow the guardian time to sell Ms. L.’s apartment and relocate her to a suitable environment or, in the alternative, to allow the guardian an opportunity to cure the nuisance condition, without prejudice to the guardian to seek a further stay upon a showing of good cause.


This constitutes the decision and order of the Court.


Dated: November 26, 2019


Footnotes



1. The prior statute allowed a stay for up to six months but also contained the "extreme hardship" provision."

Tuesday, May 7, 2019

TERMINATING A CONSENT GUARDIANSHIP



Under the New York Mental Health Law, there is a guardianship based on the consent of the person and a guardianship based on a finding that such person is incapacitated. If an individual consents to a guardianship but then seeks to terminate it, without the guardian's consent....this is what happens.

Matter of Banks v. Richard A., NYLJ May 06, 2019, Date filed: 2019-04-26, Court: Supreme Court,  Judge: Justice Lillian Wan:

"The central issue in this case is the legal standard for terminating a guardianship that was entered on consent of the alleged incapacitated person pursuant to MHL §81.02. Mr. A. now seeks to withdraw his consent and opposes the continuation of the guardianship. While case law is sparse regarding due process procedures that must be followed upon withdrawal of the person’s consent in a consent guardianship, and on consent guardianships in general, the statutory language of Mental Hygiene Law is instructive. Although the statute refers only to an incapacitated person and makes no reference to the term “person in need of a guardian,” it does set forth a clear distinction between the findings a court must make when the alleged incapacitated person either agrees to the guardianship, as is the case here, or is found to be incapacitated.

Specifically, MHL §81.02(a) distinguishes between a guardianship based on the consent of the person and a guardianship based on a finding that such person is incapacitated. The statute states that a court may appoint a guardian if the court determines that the appointment is necessary to provide for the personal needs and financial affairs of that person and “that the person agrees to the appointment, or that the person is incapacitated.” (emphasis added). Likewise, MHL §81.15(a) sets forth the findings that a court must make when a person agrees to the guardianship, while MHL §81.15(b) only addresses findings to be made by the court when determining that a person is incapacitated. MHL §81.16, which addresses dispositional alternatives, separately refers to a person who has agreed to the appointment of a guardian and a person who is found to be incapacitated. See MHL §81.16(c)(1) and (2). Notably, though the phrase “person in need of a guardian” is never used in Article 81, the phrase is widely used in guardianship proceedings and court orders. See In re Landis, 114 AD3d 458 (1st Dept 2014); In re Jaar-Marzouka, 51 Misc3d 1226(A) (Sup Ct, Dutchess County 2016).

Pursuant to MHL §81.36(a)(4), the court can discharge a guardian if it appears to the satisfaction of the court that “the appointment of the guardian is no longer necessary for the incapacitated person, or the powers of the guardian should be modified based upon changes in the circumstances of the incapacitated person.” MHL §81.36(d) provides that when a party seeks to terminate a guardianship, the burden of proof shall be on the person objecting to such relief to establish by clear and convincing evidence that the guardianship should not be terminated. See Matter of Marvin W., 306 AD2d 289 (2d Dept 2003); Matter of Rebecca P., 24 Misc3d 1222(A) (Sup Ct, NY County 2009).

Matter of Deborah P., 133 AD3d 602 (2d Dept 2015) involved an individual who initially consented to the appointment of her sister as guardian for the limited purpose of establishing and funding a supplemental needs trust. Approximately eight years later, the alleged incapacitated person filed a petition to terminate the guardianship. The supreme court held a hearing in which the guardian asked to resign from her position as guardian but requested that a successor guardian be appointed in her place. The trial court accepted the guardian’s resignation and removed her as guardian. However, the court denied the alleged incapacitated person’s application to terminate the guardianship, making a determination that she was an incapacitated person pursuant to MHL §81.02, and appointed a successor guardian. The Appellate Division, Second Department reversed the trial court’s decision and set forth the legal standard for the appointment of a guardian:

In exercising its discretion to appoint a guardian for an individual’s property…[a] court must make a two-pronged determination: first, that the appointment is necessary to manage the property or financial affairs of that person, and, second, that the individual either agrees to the appointment or that the individual is ‘incapacitated’ as defined in Mental Hygiene Law 81.02(b). Id., at 603, quoting Matter of Maher, 207 AD2d 133, 139-140 (2d Dept 1994).

The Deborah P. Court found that the guardian failed to meet her burden of proof by clear and convincing evidence that the alleged incapacitated person was unable to manage her finances or understand or appreciate her limitations as required by MHL §81.02(2)(b).

In Matter of Buffalino, 39 Misc3d 634 (Sup Ct, Suffolk County 2013), the supreme court reasoned that the difficulty with consent guardianships is that in the event that the individual subsequently withdraws consent, or becomes incapable of consenting to an expansion of the guardian’s powers, a new application to appoint a guardian must be filed to establish the person’s incapacity. In Buffalino, the alleged incapacitated person consented to the appointment of a guardian in 2009. The original guardian resigned three years later and a successor guardian was appointed. Subsequently, counsel for the alleged incapacitated person filed a motion to discharge the successor guardian, and the successor guardian cross-moved to have the person declared incapacitated. The court found that a consent guardianship based on an individual’s agreement does not morph into a non-consent guardianship with a finding of incapacity because an “emergency occurs and an expansion of powers becomes necessary.” Id., at 637. Such an outcome would be violative of due process, as it would effectively be a declaration of incapacity without having first held a hearing to determine capacity. In granting the motion to discharge the guardian, the Buffalino court noted that at the time of the original appointment the alleged incapacitated person suffered from brain cancer, had no resources, and required 24-hour home care and assistance with all his activities of daily life. However, at the time of the hearing his circumstances had improved, he no longer needed 24-hour home care, was able to attend to all of his activities of daily living without assistance, and had other available resources.

In the instant matter, at the hearing held on March 4, 2019, Mr. A. testified that he currently resides at an assisted living facility in Staten Island, and that since the time of the initial guardianship hearing his condition has improved “99 percent,” and he is able to walk with a walker that assists him with balance. Mr. A. further testified that he has been hospitalized on occasion for alcoholism, but has not consumed an alcoholic beverage since December 2018. Mr. A. acknowledged that he was asked to leave an assisted living facility because he “got drunk.” With respect to his financial resources, he further testified that his social security income is approximately $1,300 per month, and that his initial goals are to find himself a new apartment and establish himself in an alcohol rehabilitation program. Mr. A. expressed frustration about the guardian controlling his monthly stipend. On cross-examination, Mr. A. stated that he is able to shop and cook for himself, and that he can ambulate well enough to step over the ledge of a bathtub without assistance.

The guardian presented the testimony of NYF case manager Sharon Morton-Georges, who testified that she was Mr. A.’s case manager from December 2017 to January 2019. Ms. Morton-Georges testified that she arranged for the placement of Mr. A. at Brooklyn Boulevard ALP Assisted Living Community in April 2018, but that he was discharged from that facility for drinking alcohol. Ms. Morton-Georges stated that Mr. A. acknowledged his alcohol addiction and agreed that he needed help. She referred Mr. A. to outpatient alcohol rehabilitation services, but his attendance was initially inconsistent. By September 2018, Mr. A.’s attendance at an outpatient treatment program had improved, however he was subsequently hospitalized. Mr. A. eventually spent three weeks at an inpatient treatment program in Westchester County in November 2018. After his successful completion of that inpatient program, Mr. A. was discharged to the shelter system.

The guardian then presented the testimony of NYF case manager Yasmin Abdou. Ms. Abdou testified that she began working with Mr. A. on January 2, 2019. She testified that she provided him with $204 in cash on January 2nd, which Mr. A. spent in approximately eight or nine days on cigarettes and food. Ms. Abdou further stated that Mr. A. complained that he does not like his current assisted living facility because he has to share a room with another resident and the other residents of the facility are mentally ill. Ms. Abdou explained that this facility provides Mr. A. with a case manager, daily meals, and laundry and housekeeping services. She further stated that Mr. A. has recently expressed a willingness to attend outpatient rehabilitation treatment.

Because Mr. A. has withdrawn his consent, continuing the guardianship in this matter would require a finding of incapacity. No formal application seeking a determination of incapacity is properly before the Court. Prior to commencement of the hearing, the Court inquired of counsel for the guardian as to why a new application seeking a finding of incapacity was not filed. Counsel responded that the community guardian was precluded from doing so because filing an application would violate Social Services Law §473-d. Counsel was steadfast that only the City of New York could bring this application because it would be a “new petition.”1 The guardian has maintained throughout the entire proceeding that the only issue for the Court to consider is whether a guardian is still necessary, and that the Court need only engage in an analysis under MHL §81.36 to reach that determination. However, because Mr. A. wishes to withdraw his consent to the guardianship, MHL §81.02 requires that the Court’s inquiry go beyond an assessment of merely whether the guardianship continues to be necessary. In order to continue the guardianship without Mr. A.’s consent, the Court must make a determination that he is incapacitated.

The Court is not persuaded by the guardian’s argument that the only difference between a guardianship that is granted on consent and one where there is a finding of incapacity is the self-awareness of the alleged incapacitated person. The Court is equally unpersuaded by the guardian’s contention that the term “incapacitated person” under Article 81 includes both individuals who have consented to guardianships and those who have not consented. There is no authority cited for this proposition, and MHL §81.02 clearly creates two distinct types of guardianships, one based on an individual’s consent and one based on a finding of incapacity. In support of its argument, the guardian relies on various sections of Article 81 that delineate the duties of the guardian which refer only to the “incapacitated person,” such as the guardian’s duty to “visit the incapacitated person not less than four times a year.” The guardian further argues that the phrase “incapacitated person” must necessarily include an individual who has consented to the appointment of a guardian, because there would otherwise be no visitation requirement in those cases, which would be an absurd result. MHL §81.20(1)(5).

The possible inartful drafting of Article 81 cannot be the basis for continuing a guardianship predicated on consent when the person subsequently withdraws that consent. Here, because the guardian chose to oppose Mr. A.’s motion rather than make a new application for a determination of incapacity, the guardian is asking this Court to make a finding of incapacity without having first satisfied many of the procedural safeguards and processes expressly outlined in Article 81. These safeguards include proper notice pursuant to MHL §81.07, whereby Mr. A. would be informed of the powers which the guardian would have the authority to exercise on his behalf, and a verified petition pursuant to MHL §81.08, which would include a description of Mr. A.’s functioning level, and specific factual allegations regarding Mr. A.’s inability to manage his personal needs and provide for property management and the likelihood of suffering harm due to these inabilities. Further procedural safeguards outlined in MHL §81.07(d) include the requirement to bring an application by order to show cause, and a specified legend in twelve point or larger bold face double-spaced type that enumerates the person’s rights, such as the right to demand a trial by jury, and the right to have a lawyer of your own choosing. Article 81 also mandates the appointment of a court evaluator, a neutral party who is intended to be the “eyes and ears” of the court, and who is tasked with conducting a thorough investigation of the claims made in the application. 55th Management Corp. v. Goldman, 1 Misc3d 239, 244 (Sup Ct, New York County 2003).

The court evaluator’s investigation includes, but is not limited to, interviews with multiple parties and professionals who may be familiar with the person’s condition and alleged disabilities, an assessment of the person’s functioning with respect to the activities of daily living, the prognosis and reversibility of any physical and mental disabilities, alcoholism or substance dependence, an assessment of the person’s understanding and appreciation of the nature and consequences of any inability to manage the activities of daily living, and inspection of medical and financial records. See MHL §81.09. The statute further requires the court evaluator to submit a written report and recommendation to the court which must include the court evaluator’s personal observations as to the alleged incapacitated person’s condition, affairs, and situation.

In the instant case, the Court reappointed the original court evaluator, Jonathan L. Geballe, Esq. for the limited purpose of the motion to terminate the guardianship. Mr. Geballe testified and was subject to cross-examination, and his report was received into evidence. Mr. Geballe testified that Mr. A. could not articulate his financial plans but was adamant about being in control of his finances, and that he demonstrated a clear desire to resume his creative life through photography and sculpture. Mr. Geballe recommended that Mr. A. “continues to need some assistance with a guardian.” Mr. Geballe also testified that while Mr. A. did not show any signs of dementia or an inability to communicate, he had some concerns that Mr. A. would not follow through on his promises to continue the rehabilitation process. According to Mr. Geballe’s report, Mr. A. does not have a disabling psychological condition that impairs his ability to function or take care of his daily needs. As the court evaluator’s role was limited to making a recommendation on the instant motion, a full incapacity analysis pursuant to MHL §81.09 was neither conducted nor expressly required.

Even assuming, arguendo, that the Court has the authority to continue the guardianship solely upon a finding of necessity, this Court would decline to do so as the guardian has failed to establish by clear and convincing evidence that the guardianship should not be terminated. There is no dispute that Mr. A. is an alcoholic. Mr. A. recognizes this, and when the Court inquired whether he believed he was an alcoholic, he answered, “I know so,” acknowledging that he has been an alcoholic for 10-15 years. The mere use or even abuse of drugs or alcohol by itself does not generally constitute a functional limitation by clear and convincing evidence under Article 81. See Matter of Doe, 181 Misc2d 787 (Sup Ct, Nassau County 1999). Similarly, proof of mental illness alone does not does not establish incapacity. See Matter of Fritz G., 164 AD3d 503 (2d Dept 2018); Rivers v. Katz, 67 NY2d 485 (1986). The record has established that Mr. A. is now differently situated than he was at the time the guardian was initially appointed, and that his physical condition has greatly improved. In 2017, Mr. A. was debilitated due to a spinal injury, confined to a wheelchair, and unable to care for his daily needs without assistance. Mr. A. is no longer in that condition and is now able to ambulate freely and perform activities of daily living on his own."

Tuesday, August 7, 2018

BEING HOMELESS DOES NOT MEAN BEING INCAPACITATED



Matter of Fritz G., 2018 NY Slip Op 05592, Decided on August 1, 2018, Appellate Division, Second Department:

"The petitioner is the mother of Fritz G., who allegedly suffers from schizophrenia and bipolar disorder. The petitioner commenced this proceeding pursuant to Mental Hygiene Law article 81 seeking to be appointed as the guardian of the person and property of Fritz G. She alleged that Fritz G. was not compliant with his medications and that, as a result, he lived on the street and did not take care of himself. After a hearing, the Supreme Court, inter alia, granted that branch of the petition which was to have the petitioner appointed as the guardian of the person of Fritz G., and appointed the petitioner as the guardian of Fritz G.'s person. Fritz G. appeals.

The Supreme Court may appoint a guardian for a person if the court determines that the appointment is necessary to provide for the person's personal needs or to manage his or her property and financial affairs, and the person either agrees to the appointment or is incapacitated (see Mental Hygiene Law § 81.02[a]; Matter of Harold W.S. [Mark P.—Lauralyn W.], 134 AD3d 724, 724-725). In determining whether the appointment of a guardian is necessary, the court must consider the report of a court evaluator as well as the sufficiency and reliability of resources that may be available to provide for personal needs or property management absent the appointment of a guardian (see Mental Hygiene Law § 81.02[a]). A determination of incapacity must be based on clear and convincing evidence and must consist of a determination that a person is likely to suffer harm because he or she is unable to provide for personal needs or property management and cannot adequately understand and appreciate the nature and consequences of such inability (see Mental Hygiene Law § 81.02[b]). Moreover, a guardian should be appointed only as a last resort, where no available resources or other alternative will adequately protect the alleged incapacitated person (see Matter of Harold W.S. [Mark P.—Lauralyn W.], 134 AD3d at 725; Matter of Albert S., 286 AD2d 684, 684; Matter of Maher, 207 AD2d 133, 140).

Here, the evidence at the hearing consisted only of the petitioner's testimony regarding Fritz G.'s mental illness, and a cursory report and testimony of the court evaluator, who had only one brief conversation with Fritz G. by telephone. This evidence failed to establish that Fritz G. was incapacitated. Moreover, the Supreme Court failed to consider less restrictive options than appointment of a guardian. Accordingly, that branch of the petition which was to have the petitioner appointed as the guardian of the person of Fritz G. should have been denied. Nevertheless, it was clear from the petitioner's testimony that Fritz G. is in need of assistance, and the parties' attorneys specifically mentioned the possibility of assisted outpatient treatment to address those needs. The petitioner's failure to establish, on this record, the necessity of Mental Hygiene Law article 81 guardianship does not preclude her from seeking any appropriate assistance for Fritz G. (see e.g. Mental Hygiene Law § 9.60)."