overview of guardianship 2 materials condensed from nycla ... to guardianship.pdfheld december 13,...

Overview of Guardianship 2 Materials Condensed from NYCLA Certified Guardian Training Program held December 13, 2011 and chaired by Clifford A. Meirowitz, Law Offices of Clifford A. Meirowitz PLLC

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Alfreida B. Kenny, Esq.11 Park Place, 10 Fl.th

New York, New York 10007(212( 809-27000

CONSIDERATIONS FOR COUNSEL FOR THE ALLEGED INCAPACITATEDPERSON IN AN ARTICLE 81 GUARDIANSHIP PROCEEDING.

November 30, 2010

I. THE ROLE OF COUNSEL

� A lawyer is to “abide by a client’s decisions concerning the objectives ofrepresentation and, as required by Rule 1.4 shall consult with the client as to themeans by which they are to be pursued”. 22 NYCRR, Part 1200, Rule 1.3.

� It is the role of counsel to advocate the wishes of the client even if counselbelieves that the client’s judgment is not good, what the client wants is not in thebest interest of the client, or what the client wants could prove to be detrimental tothe client over the course of time.

� It is the role of counsel to counsel client, make recommendations to the client,attempt to persuade the client to pursue the recommendations that counsel hasmade to the client. Ultimately, the client makes the decision and counsel mustfollow the directions of the client.

� Poor judgment and bad decisions are not tantamount to diminished capacity.

� If the client has diminished capacity, counsel must determine whether the clienthas sufficient capacity to direct counsel. 22 NYCRR, Part 1200, Rule 1.14 states,“When a client’s capacity to make adequately considered decisions in connectionwith a representation is diminished, whether because of minority, mentalimpairment or for some other reason, the lawyer shall, as far as reasonablypossible, maintain a conventional relationship with the client.

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II. RETAINED COUNSEL

� Initial Meeting with the AIP and Subsequent meetings.

� Introduce yourself to the AIP and explain why you are meeting with theAIP.

� Inform the AIP who asked you to meet with the AIP and why.

� Explain to the AIP the petition, who is involved, the petitioner, as well asother family members and/or friends, and how these people are involved inthe Article 81 guardianship proceeding.

� Meet with the AIP frequently in your office, as well as at the AIP’sresidence. Meet with the AIP alone, and at other times with those whomthe AIP chooses.

� Explain to the AIP that it sometimes is important to meet with theAIP alone and not in the presence of others to protect lawyer-clientprivilege, as well as to ascertain what the AIP recalls without theassistance of others.

� Counsel also should meet alone with the AIP separately to elicitinformation that the AIP may not be comfortable relating tocounsel if others are present, including those individuals whom theAIP fears or those individuals who may be exerting undueinfluence upon the AIP.

� On each occasion that counsel meets with the AIP, review with the AIPwhat was discussed when counsel last met with the AIP or spoke with theAIP during a telephone discussion.

� Make the best possible assessment of the AIP’s abilities or lack thereofregarding short-term memory and long-term memory.

� It is important to meet with the AIP frequently to avoid the AIP forgettingcounsel’s name, who counsel is, why counsel is meeting with the AIP, andthe fact that the AIP has retained counsel.

� Objectants, including the court evaluator, may suspect that so-called retained counsel was not retained by the AIP because theAIP allegedly does not have the capacity to enter into a contract.

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Although difficult, counsel who represents a family member of an AIP may be able to1

fashion least restrictive alternatives to guardianship. If counsel represents family members,counsel should advise the Court whom counsel represents. It is my experience that in mostcases, the Court will allow counsel for family members to participate in the hearing and to worktoward a settlement. The Court will understand without anyone making a statement that counselhas determined that the AIP cannot direct counsel but that counsel will work for the best interestsof the AIP. However, if counsel’s actions demonstrate to the Court that counsel is in factrepresenting the interests of the family member rather than the AIP, the Court will not be soinviting to counsel.

� If the court evaluator or others advise the Court of the possibilitythat the AIP does not have capacity to retain counsel, the Courtgenerally will conduct a hearing solely for the purpose ofdetermining whether the AIP had or has capacity to retain counsel.

� Mental Hyg. Law § 81.10(a) provides that the AIP has the right tochoose and engage legal counsel. The Court is to determinewhether “retained counsel has been chosen freely andindependently by the alleged incapacitated person”.

� Counsel risks that the Court will determine that counsel was not“freely and independently” chosen by the AIP. In such an event,counsel cannot be paid from the funds of the AIP if a guardian isappointed.

� Counsel should determine, if possible, prior to be being retainedwhether the AIP can direct counsel in counsel’s representation ofthe AIP. If retained counsel concludes that the AIP cannot directcounsel, then counsel cannot represent the AIP, and therebyadvocate for the wishes of the AIP. However, counsel canrepresent family members, such as spouse and children, and byrepresenting those individuals proceed to work for the best interestof the AIP.1

� If counsel is retained and paid by family members to represent theAIP, the Court must make a determination that the AIP freely andindependently has chosen counsel to represent the AIP. Adetermination that the AIP acted freely becomes more difficult forthe Court to make when the facts likely will show that prior to thecommencement of the proceeding, the AIP did not know counsel,counsel is a friend of a member of the AIP’s family, or counselrepresents a member of the AIP’s family. It will becomeincreasingly difficult, but not impossible, for the Court to make a

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determination that the AIP acted freely if family members or othersare paying the legal fees incurred in connection with counselrepresenting the AIP.

� If counsel is retained by family members to represent theAIP, there likely will be a conflict between what the familymembers want counsel to do and what the AIP wantscounsel to do. Counsel’s loyalty and duties are owed to theAIP and not to those paying the bills. If family membersare paying the legal fees, the retainer agreement shouldexpressly state that notwithstanding that the familymembers are paying the legal fees, counsel is bound torepresent the AIP in accordance with the wishes of, and theinstructions given by, the AIP and as directed by the AIP,even if such representation is contrary to the wishes of thepayer of the bills.

� The family members may want counsel to represent the AIPin a fashion that is in the best interest of the AIP, while theAIP may want counsel to represent the AIP in a manner thatis not in the best interest of the AIP but is what the AIPwishes. For example, counsel may be able to resolve theArticle 81 proceeding with a settlement by having his clientagree to relocate to an assisted-living facility and give apower of attorney to #1 Son. The members of the AIP’sfamily agree that this is the perfect solution; it avoids theappointment of a guardian, #1 Son, who is an accountant,will handle Mom’s financial affairs, the legal fees will bereduced because there will not be a long and drawn-outhearing, and Mom will not have to listen to the testimonyof friends and family members when they relate to theCourt how she is forgetful and wanders if she is notaccompanied by someone. Mom says to all of them, Go tohell”. I am not leaving my residence of 50 years. I am notforgetful; I am quite capable of handling my own affairs,and I don’t need my children handling my money, even if#1 Son is an accountant. I can handle my own moneybetter than he can handle my money.” The AIP directscounsel not to settle, to represent her at the hearing, andargue to the Court that she does not have any functionallimitations that impair her ability to provide for herpersonal or property management and that she does notneed a guardian of any sort. Clearly, counsel must advocate

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what his client, the AIP, asks. No doubt, no matter howmany times counsel explains to the family memberscounsel’s ethical obligations, the family members will notunderstand why counsel will advocate for a position thatcounsel knows is not in the best interests of his client, theAIP.

� When the bills are paid by one other than the client, ethicalissues are likely to arise.

III. COURT-APPOINTED COUNSEL

� Court-appointed, as retained counsel, must abide by the wishes and directions ofthe client. If court-appointed counsel believes that the capacity of the AIP is sodiminished that the AIP cannot reason or direct counsel, counsel should considerwhether it may be more appropriate for the Court to appoint a guardian ad litem.

� However, if counsel is appointed because Article 81 mandates the appointment ofcounsel, counsel may be compelled to only represent the AIP in connection withprotecting the due process rights and other rights of the AIP, rather thanadvocating a frivolous position. 22 NYCRR, Part 1200, Rule 1.16.

IV. PREPARATORY WORK PRIOR TO THE HEARING

� Communicating with the Court Evaluator

� Contact the Court Evaluator as soon as possible after counsel believes thatcounsel understands the facts and the AIP’s position. Give the CourtEvaluator the facts that will help your client. Counsel also should give tothe Court Evaluator facts that are not so helpful that counsel knows thatthe Court Evaluator will learn from other sources. Elicit from the CourtEvaluator what the Court Evaluator has learned from others.

� Ask the Court Evaluator when the Court Evaluator would like to meetwith the AIP.

� Prepare the AIP for the meeting with, and interview by, the CourtEvaluator.

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� Be present at the meeting between the AIP and the CourtEvaluator.

� If your client, the AIP, is forgetful, find a way to handle theforgetfulness without interfering with the Court Evaluator’sinterview of the AIP.

� You may want to tell the AIP not to worry if she cannot remembereverything and advise the AIP to tell the Court Evaluator when shecannot remember and that whatever it is that she has forgotten, sheis sure that she will remember before the Court Evaluator leaves.

� Do not interfere with the Court Evaluator interviewing the AIP. Beprepared for the Court Evaluator to ask the AIP tough questions,which sometimes may seem to be insensitive. Counsel’sinterference with the Court Evaluator could result in doing moredamage to the AIP than allowing the AIP to answer the CourtEvaluator’s questions, even if incorrectly.

� Begin early on discussing with the Court Evaluator why your client doesnot need a guardian and/or the least restrictive alternatives to aguardianship.

� As you learn facts that will assist your client, give those facts to the CourtEvaluator. If you have documents that demonstrate that an individual whoseeks to be a guardian is unfit, furnish those documents to the CourtEvaluator. For example, Son #2 was the agent under a power of attorneyand you have bank statements showing that he used Mom’s money to payhis bookie in New Jersey. You also have receipts showing that Son #2used Mom’s money to purchase expensive jewelry for Son #2's mistress. Deliver copies of these documents to the Court Evaluator.

� Provide the Court Evaluator, if appropriate, with the AIP’s family history,information regarding family discord, and information regarding the assetsof the AIP.

� Investigate the Facts.

� After having met with the AIP, at least once, meet with or speakwith friends or family members whom counsel believes will givethe facts.

� Do not rely solely upon what the AIP tells you. Talk with family

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members, home aides, friends, and religious leaders. It is fromthese sources that counsel will learn many of the weaknesses of theAIP’s position.

� When counsel believes that counsel has the facts, counsel shouldengage the AIP in a straight-forward discussion of the facts thatlikely will be presented at a hearing. Listen to the AIP’s responsesand if the responses are not complete or rational, let the AIP knowthat the AIP’s responses will not serve her well at a hearing. Donot sugarcoat what the AIP likely will encounter during the Article81 proceeding, including, but not limited to, family members lying.

� If counsel believes that the petitioner likely will meet petitioner’sburden by proving by clear and convincing evidence that (1) theAIP has functional limitations (2) those functional limitationsimpair the AIP’s ability to provide for her personal needs andproperty management, (3) the AIP lacks understanding orappreciation of the nature and consequences of the AIP’sfunctional limitations, and (4) the appointment of a guardian isnecessary to prevent harm to the AIP, counsel should advise theAIP of counsel’s beliefs and the basis of counsel’s beliefs.

� After having had a straightforward discussion with the AIP,counsel should make every attempt to persuade the AIP to accept asettlement that would provide the least restrictive alternatives to aguardianship.

V. THE HEARING

� Work toward having the hearing as soon as possible. If your client is an elderlyperson, the longer the hearing is delayed, the more likely the AIP will lose his/herability to remember. It is likely that with delay, the AIP will becomeprogressively worse.

� Up to the date of the hearing, counsel would have had frequent visits withthe AIP, to be assured that the AIP remembers who counsel is, rememberswhat the Court proceeding concerns, and how the AIP is to conducthimself/herself in the Court.

� If counsel has told the AIP what to expect during the hearing, thatoftentimes reduces some of the AIP’s nervousness.

� In most instances, the AIP should not testify. However, if the AIP does

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not suffer from cognitive limitations, can explain her thoughts well,understands her limitations, can explain how she has addressed herlimitations or intends to address her limitations, does not get flustered,then the AIP may be a decent witness. If the AIP rambles, do not permitthe AIP to testify.

� If the AIP is to testify, you must prepare the AIP for cross-examination. Inaddition to cross-examination, the presiding Justice is likely to ask the AIPa number of questions.

� If counsel discerns that the AIP is intimidated by family members or homecare attendants, or friends who have cared for the AIP, ask the Court topermit the AIP to testify, on the record, in camera.

� Object to any medical facts or evidence that are protected by physician-patient privilege or was not obtained in accordance with Mental Hyg. Law§ 81.09(d)

� Jury trials are rare in Article 81 proceedings. The AIP has a right to a jurytrial. If the AIP intends to exercise the AIP’s right to a jury trial thedemand for a jury trial must be made on or before the return datedesignated in the order to show cause. Mental Hyg. Law § 81.11(f). Failure to timely demand a jury trial will be deemed a waiver of the rightto trial by jury.

� A jury trial may be difficult for the AIP. Counsel must assess the AIP’sstamina, emotional and psychological we–being, ability to hear unpleasantfacts, ability to sit still and attentive for long periods of time, ability tomaintain the appropriate demeanor throughout the trial as the juryobserves every movement that the AIP makes.

� In most cases, it generally is best to avoid a full hearing. Counsel shoulduse all of counsel’s resources to devise creative solutions that would be theleast restrictive alternatives to guardianship.

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CERTIFIED GUARDIAN, COURT EVALUATOR AND COUNSEL FOR ALLEGED INCAPACITATED PERSON TRAINING

Tuesday, December 13, 2011 ◊ 9:00 A.M. – 5:00 P.M.

Duties, Responsibilities and Ethics of a Guardian of the Person and the Property

Wendy H. Sheinberg, Esq., CELA Davidow, Davidow, Siegel & Stern, LLP

Table of Contents Selections from text of MHL Article 81 Pages 1 to 28 Selections from Guardian Assistance Network Website Kings County Pages 29 to 58 Selections from NY County Supreme Court Website Pages 59 to 74 Sample forms from NY County Supreme Court Website Pages 75 to 119 Selections from Nassau County Supreme Court Website Pages 120 to 122 Sample forms from Nassau County Supreme Court Website Pages 123 to 124 Selections from Bronx County Supreme Court Website Pages 125 to 128 Link for Queens County Supreme Court Website Pages 129 to 129 Copy of Slides Pages 130 to End

NEW YORK MENTAL HYGIENE LAW: ARTICLE 81 This link takes you to a free website with the text of Article 81

http://public.leginfo.state.ny.us/LAWSSEAF.cgi?QUERYTYPE=LAWS+&QUERYDATA=@SLMHY0TEA81+&LIST=LAW+&BROWSER=EXPLORER+&TOKEN=01628865+&TARGET=VIEW

The simple home page is:

http://public.leginfo.state.ny.us/menugetf.cgi?COMMONQUERY=LAWS

Scroll down to MHY Mental Hygiene Law. Click the link.

Scroll down to Article 81. Click the link.

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Mental Hygiene Law Article 81 81.01 - Legislative findings and purpose. 81.02 - Power to appoint a guardian of the person and/or property; standard for appointment. 81.03 - Definitions. 81.04 - Jurisdiction. 81.05 - Venue. 81.06 - Who may commence a proceeding. 81.07 - Notice. 81.08 - Petition. 81.09 - Appointment of court evaluator. 81.10 - Counsel. 81.11 - Hearing. 81.12 - Burden and quantum of proof. 81.13 - Timing of hearing. 81.14 - Record of the proceedings. 81.15 - Findings. 81.16 - Dispositional alternatives. 81.17 - Nomination of guardian. 81.18 - Foreign guardian for a person not present in the state. 81.19 - Eligibility as guardian. 81.20 - Duties of guardian. 81.21 - Powers of guardian; property management. 81.22 - Powers of guardian; personal needs. 81.23 - Provisional remedies. 81.24 - Notice of pendency. 81.25 - Filing of bond by guardian. 81.26 - Designation of clerk to receive process. 81.27 - Commission to guardian. 81.28 - Compensation of guardian. 81.29 - Effect of the appointment on the incapacitated person. 81.30 - Initial report. 81.31 - Annual report. 81.32 - Examination of initial and annual reports. 81.33 - Intermediate and final report. 81.34 - Decree on filing instruments approving accounts. 81.35 - Removal of guardian. 81.36 - Discharge or modification of powers of guardian. 81.37 - Resignation or suspension of powers of guardian. 81.38 - Vacancy in office. 81.39 - Guardian education requirements. 81.40 - Court evaluator education requirements. 81.41 - Court examiner education requirements. 81.42 - Compliance. 81.43 - Proceedings to discover property withheld. 81.44 - Proceedings upon the death of an incapicitated person.

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Selected sections of Article 81

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Laws of New York

§ 81.20 Duties of guardian. (a) Duties of guardian generally. 1. a guardian shall exercise only those powers that the guardian is authorized to exercise by court order; 2. a guardian shall exercise the utmost care and diligence when acting on behalf of the incapacitated person; 3. a guardian shall exhibit the utmost degree of trust, loyalty and fidelity in relation to the incapacitated person; 4. a guardian shall file an initial and annual reports in accordance with sections 81.30 and 81.31 of this article; 5. a guardian shall visit the incapacitated person not less than four times a year or more frequently as specified in the court order; 6. a guardian who is given authority with respect to property management for the incapacitated person shall: (i) afford the incapacitated person the greatest amount of independence and self-determination with respect to property management in light of that person's functional level, understanding and appreciation of his or her functional limitations, and personal wishes, preferences and desires with regard to managing the activities of daily living; (ii) preserve, protect, and account for such property and financial resources faithfully; (iii) determine whether the incapacitated person has executed a will, determine the location of any will, and the appropriate persons to be notified in the event of the death of the incapacitated person and, in the event of the death of the incapacitated person, notify those persons; (iv) use the property and financial resources and income available therefrom to maintain and support the incapacitated person, and to maintain and support those persons dependent upon the incapacitated person; (v) at the termination of the appointment, deliver such property to the person legally entitled to it; (vi) file with the recording officer of the county wherein the incapacitated person is possessed of real property, an acknowledged statement to be recorded and indexed under the name of the incapacitated person identifying the real property possessed by the incapacitated person, and the tax map numbers of the property, and stating the date of adjudication of incapacity of the person regarding property management, and the name, address, and telephone number of the guardian and the guardian's surety; and (vii) perform all other duties required by law. 7. a guardian who is given authority relating to the personal needs of the incapacitated person shall afford the incapacitated person the greatest amount of independence and self-determination with respect to personal needs in light of that person's functional level, understanding and appreciation of that person's functional limitations, and personal wishes, preferences and desires with regard to managing the activities

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Laws of New York

of daily living.


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Laws of New York

§ 81.21 Powers of guardian; property management. (a) Consistent with the functional limitations of the incapacitated person, that person's understanding and appreciation of the harm that he or she is likely to suffer as the result of the inability to manage property and financial affairs, and that person's personal wishes, preferences, and desires with regard to managing the activities of daily living, and the least restrictive form of intervention, the court may authorize the guardian to exercise those powers necessary and sufficient to manage the property and financial affairs of the incapacitated person; to provide for the maintenance and support of the incapacitated person, and those persons depending upon the incapacitated person; to transfer a part of the incapacitated person's assets to or for the benefit of another person on the ground that the incapacitated person would have made the transfer if he or she had the capacity to act. Transfers made pursuant to this article may be in any form that the incapacitated person could have employed if he or she had the requisite capacity, except in the form of a will or codicil. Those powers which may be granted include, but are not limited to, the power to: 1. make gifts; 2. provide support for persons dependent upon the incapacitated person for support, whether or not the incapacitated person is legally obligated to provide that support; 3. convey or release contingent and expectant interests in property, including marital property rights and any right of survivorship incidental to joint tenancy or tenancy by the entirety; 4. exercise or release powers held by the incapacitated person as trustee, personal representative, guardian for minor, guardian, or donee of a power of appointment; 5. enter into contracts; 6. create revocable or irrevocable trusts of property of the estate which may extend beyond the incapacity or life of the incapacitated person; 7. exercise options of the incapacitated person to purchase securities or other property; 8. exercise rights to elect options and change beneficiaries under insurance and annuity policies and to surrender the policies for their cash value; 9. exercise any right to an elective share in the estate of the incapacitated person's deceased spouse; 10. renounce or disclaim any interest by testate or intestate succession or by inter vivos transfer consistent with paragraph (d) of section 2-1.11 of the estates, powers and trusts law; 11. authorize access to or release of confidential records; 12. apply for government and private benefits; 13. marshall assets; 14. pay the funeral expenses of the incapacitated person; 15. pay such bills as may be reasonably necessary to maintain the


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Laws of New York

incapacitated person; 16. invest funds of the incapacitated person as permitted by section 11-2.3 of the estates, powers and trusts law; 17. lease the primary residence for up to three years; 18. retain an accountant; 19. pay bills after the death of the incapacitated person provided the authority existed to pay such bills prior to death until a temporary administrator or executor is appointed; and 20. defend or maintain any judicial action or proceeding to a conclusion until an executor or administrator is appointed.

The guardian may also be granted any power pursuant to this subdivision granted to committees and conservators and guardians by other statutes subject to the limitations, conditions, and responsibilities of the exercise thereof unless the granting of such power is inconsistent with the provisions of this article. (b) If the petitioner or the guardian seeks the authority to exercise a power which involves the transfer of a part of the incapacitated person's assets to or for the benefit of another person, including the petitioner or guardian, the petition shall include the following information: 1. whether any prior proceeding has at any time been commenced by any person seeking such power with respect to the property of the incapacitated person and, if so, a description of the nature of such application and the disposition made of such application; 2. the amount and nature of the financial obligations of the incapacitated person including funds presently and prospectively required to provide for the incapacitated person's own maintenance, support, and well-being and to provide for other persons dependent upon the incapacitated person for support, whether or not the incapacitated person is legally obligated to provide that support; a copy of any court order or written agreement setting forth support obligations of the incapacitated person shall be attached to the petition if available to the petitioner or guardian; 3. the property of the incapacitated person that is the subject of the present application; 4. the proposed disposition of such property and the reasons why such disposition should be made; 5. whether the incapacitated person has sufficient capacity to make the proposed disposition; if the incapacitated person has such capacity, his or her written consent shall be attached to the petition; 6. whether the incapacitated person has previously executed a will or similar instrument and if so, the terms of the most recently executed will together with a statement as to how the terms of the will became known to the petitioner or guardian; for purposes of this article, the term "will" shall have the meaning specified in section 1-2.19 of the estates, powers and trusts law and "similar instrument" shall include a revocable or irrevocable trust:


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Laws of New York

(i) if the petitioner or guardian can, with reasonable diligence, obtain a copy, a copy of the most recently executed will or similar instrument shall be attached to the petition; in such case, the petition shall contain a statement as to how the copy was secured and the basis for the petitioner or guardian's belief that such copy is a copy of the incapacitated person's most recently executed will or similar instrument. (ii) if the petitioner or guardian is unable to obtain a copy of the most recently executed will or similar instrument, or if the petitioner or guardian is unable to determine whether the incapacitated person has previously executed a will or similar instrument, what efforts were made by the petitioner or guardian to ascertain such information. (iii) if a copy of the most recently executed will or similar instrument is not otherwise available, the court may direct an attorney or other person who has the original will or similar instrument in his or her possession to turn a photocopy over to the court for its examination, in camera. A photocopy of the will or similar instrument shall then be turned over by the court to the parties in such proceeding unless the court finds that to do so would be contrary to the best interests of the incapacitated person;

7. a description of any significant gifts or patterns of gifts made by the incapacitated person; 8. the names, post-office addresses and relationships of the presumptive distributees of the incapacitated person as that term is defined in subdivision forty-two of section one hundred three of the surrogate's court procedure act and of the beneficiaries under the most recent will or similar instrument executed by the incapacitated person. (c) Notice of a petition seeking relief under this section shall be served upon: (i) the persons entitled to notice in accordance with paragraph one of subdivision (d) of section 81.07 of this article; (ii) if known to the petitioner or guardian, the presumptive distributees of the incapacitated person as that term is defined in subdivision forty-two of section one hundred three of the surrogate's court procedure act unless the court dispenses with such notice; and (iii) if known to the petitioner or guardian, any person designated in the most recent will or similar instrument of the incapacitated person as beneficiary whose rights or interests would be adversely affected by the relief requested in the petition unless the court dispenses with such notice. (d) In determining whether to approve the application, the court shall consider: 1. whether the incapacitated person has sufficient capacity to make the proposed disposition himself or herself, and, if so, whether he or she has consented to the proposed disposition; 2. whether the disability of the incapacitated person is likely to be of sufficiently short duration such that he or she should make the


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Laws of New York

determination with respect to the proposed disposition when no longer disabled; 3. whether the needs of the incapacitated person and his or her dependents or other persons depending upon the incapacitated person for support can be met from the remainder of the assets of the incapacitated person after the transfer is made; 4. whether the donees or beneficiaries of the proposed disposition are the natural objects of the bounty of the incapacitated person and whether the proposed disposition is consistent with any known testamentary plan or pattern of gifts he or she has made; 5. whether the proposed disposition will produce estate, gift, income or other tax savings which will significantly benefit the incapacitated person or his or her dependents or other persons for whom the incapacitated person would be concerned; and 6. such other factors as the court deems relevant. (e) The court may grant the application if satisfied by clear and convincing evidence of the following and shall make a record of these findings: 1. the incapacitated person lacks the requisite mental capacity to perform the act or acts for which approval has been sought and is not likely to regain such capacity within a reasonable period of time or, if the incapacitated person has the requisite capacity, that he or she consents to the proposed disposition; 2. a competent, reasonable individual in the position of the incapacitated person would be likely to perform the act or acts under the same circumstances; and 3. the incapacitated person has not manifested an intention inconsistent with the performance of the act or acts for which approval has been sought at some earlier time when he or she had the requisite capacity or, if such intention was manifested, the particular person

would be likely to have changed such intention under the circumstances existing at the time of the filing of the petition. (f) Nothing in this article imposes any duty on the guardian to commence a special proceeding pursuant to this article seeking to transfer a part of the assets of the incapacitated person to or for the benefit of another person and the guardian shall not be liable or accountable to any person for having failed to commence a special proceeding pursuant to this article seeking to transfer a part of the assets of the incapacitated person to or for the benefit of another person.


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Laws of New York

§ 81.22 Powers of guardian; personal needs. (a) Consistent with the functional limitations of the incapacitated person, that person's understanding and appreciation of the harm that he or she is likely to suffer as the result of the inability to provide for personal needs, and that person's personal wishes, preferences, and desires with regard to managing the activities of daily living, and the least restrictive form of intervention, the court may grant to the guardian powers necessary and sufficient to provide for the personal needs of the incapacitated person. Those powers which may be granted include, but are not limited to, the power to: 1. determine who shall provide personal care or assistance; 2. make decisions regarding social environment and other social aspects of the life of the incapacitated person; 3. determine whether the incapacitated person should travel; 4. determine whether the incapacitated person should possess a license to drive; 5. authorize access to or release of confidential records; 6. make decisions regarding education; 7. apply for government and private benefits; 8. (i) for decisions in hospitals as defined by subdivision eighteen of section twenty-nine hundred ninety-four-a of the public health law, act as the patient's surrogate pursuant to and subject to article twenty-nine-CC of the public health law, and (ii) in all other circumstances, to consent to or refuse generally accepted routine or major medical or dental treatment, subject to the decision-making standard in subdivision four of section twenty-nine hundred ninety-four-d of the public health law; 9. choose the place of abode; the choice of abode must be consistent with the findings under section 81.15 of this article, the existence of and availability of family, friends and social services in the community, the care, comfort and maintenance, and where appropriate, rehabilitation of the incapacitated person, the needs of those with whom the incapacitated person resides; placement of the incapacitated person in a nursing home or residential care facility as those terms are defined in section two thousand eight hundred one of the public health law, or other similar facility shall not be authorized without the consent of the incapacitated person so long as it is reasonable under the circumstances to maintain the incapacitated person in the community, preferably in the home of the incapacitated person. (b) No guardian may: 1. consent to the voluntary formal or informal admission of the incapacitated person to a mental hygiene facility under article nine or fifteen of this chapter or to a chemical dependence facility under article twenty-two of this chapter; 2. revoke any appointment or delegation made by the incapacitated person pursuant to sections 5-1501, 5-1601 and 5-1602 of the general obligations law, sections two thousand nine hundred sixty-five and two thousand nine hundred eighty-one of the public health law, or any living


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Laws of New York

will.


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Laws of New York

§ 81.28 Compensation of guardian. (a) The court shall establish, and may from time to time modify, a plan for the reasonable compensation of the guardian or guardians. The plan for compensation of such guardian must take into account the specific authority of the guardian or guardians to provide for the personal needs and/or property management for the incapacitated person, and the services provided to the incapacitated person by such guardian. (b) If the court finds that the guardian has failed to discharge his or her duties satisfactorily in any respect, the court may deny or reduce the compensation which would otherwise be allowed.

http://public.leginfo.state.ny.us/LAWSSEAF.cgi?Q...+&BROWSER=EXPLORER+&TOKEN=01628865+&TARGET=VIEW 11/20/2011 8:58:45 AM

[12]

Laws of New York

§ 81.29 Effect of the appointment on the incapacitated person. (a) An incapacitated person for whom a guardian has been appointed retains all powers and rights except those powers and rights which the guardian is granted. (b) Subject to subdivision (a) of this section, the appointment of a guardian shall not be conclusive evidence that the person lacks capacity for any other purpose, including the capacity to dispose of property by will. (c) The title to all property of the incapacitated person shall be in such person and not in the guardian. The property shall be subject to the possession of the guardian and to the control of the court for the purposes of administration, sale or other disposition only to the extent directed by the court order appointing the guardian. (d) If the court determines that the person is incapacitated and appoints a guardian, the court may modify, amend, or revoke any previously executed appointment, power, or delegation under section 5-1501, 5-1505, or 5-1506 of the general obligations law or section two thousand nine hundred sixty-five of the public health law, or section two thousand nine hundred eighty-one of the public health law notwithstanding section two thousand nine hundred ninety-two of the public health law, or any contract, conveyance, or disposition during lifetime or to take effect upon death, made by the incapacitated person prior to the appointment of the guardian if the court finds that the previously executed appointment, power, delegation, contract, conveyance, or disposition during lifetime or to take effect upon death, was made while the person was incapacitated or if the court determines that there has been a breach of fiduciary duty by the previously appointed agent. In such event, the court shall require that the agent account to the guardian. The court shall not, however, invalidate or revoke a will or a codicil of an incapacitated person during the lifetime of such person.


[13]

Laws of New York

§ 81.30 Initial report. (a) No later than ninety days after the issuance of the commission to the guardian, the guardian shall file with the court that appointed the guardian a report in a form prescribed by the court stating what steps the guardian has taken to fulfill his or her responsibilities. Proof of completion of the guardian education requirements under section 81.39 of this article must be filed with the initial report. (b) To the extent that the guardian has been granted powers with respect to property management, the initial report shall contain a verified and complete inventory of the property and financial resources over which the guardian has control, the location of any will executed by the incapacitated person, the guardian's plan, consistent with the court's order of appointment, for the management of such property and financial resources, and any need for any change in the powers authorized by the court. (c) To the extent that the guardian has been granted powers regarding personal needs, the initial report shall contain a report of the guardian's personal visits with the incapacitated person, and the steps the guardian has taken, consistent with the court's order, to provide for the personal needs of that person, the guardian's plan, consistent with the court's order of appointment, for providing for the personal needs of the incapacitated person, a copy of any directives in accordance with sections two thousand nine hundred sixty-five and two thousand nine hundred eighty-one of the public health law, any living will, and any other advance directive, and any necessary change in the powers authorized by the court. The plan for providing for the personal needs of the incapacitated person shall include the following information: 1. the medical, dental, mental health, or related services that are to be provided for the welfare of the incapacitated person; 2. the social and personal services that are to be provided for the welfare of the incapacitated person; 3. any physical, dental, and mental health examinations necessary to determine the medical, dental, and mental health treatment needs; and 4. the application of health and accident insurance and any other private or government benefits to which the incapacitated person may be entitled to meet any part of the costs of medical, dental, mental health, or related services provided to the incapacitated person. (d) If the initial report sets forth any reasons for a change in the powers authorized by the court, the guardian shall make an application within ten days of the filing of the report on notice to the persons entitled to such notice in accordance with paragraph one of subdivision (d) of section 81.07 of this article for such relief. If the initial report sets forth any reasons for a change in the powers authorized by the court and the guardian fails to act under this subdivision, any person entitled to commence a proceeding under this article may petition the court for a change in such powers on notice to the guardian and the persons entitled to such notice in accordance with paragraph one of


[14]

Laws of New York

subdivision (d) of section 81.07 of this article for such relief. (e) The guardian shall send a copy of the initial report to the incapacitated person by mail unless the court orders otherwise pursuant to paragraph seven of subdivision (b) and paragraph nine of subdivision (c) of section 81.15 of this article. (f) The guardian shall send a copy of the initial report to the court evaluator and counsel for the incapacitated person at the time of the guardianship proceeding unless the court orders otherwise pursuant to paragraph seven of subdivision (b) and paragraph nine of subdivision (c) of section 81.15 of this article.

(g) The guardian shall send a copy of the initial report to the court examiner. (h) If the incapacitated person resides in a facility, the guardian shall send a duplicate of such report to the chief executive officer of that facility. (i) If the incapacitated person resides in a mental hygiene facility, the guardian shall send a duplicate of such report to the mental hygiene legal service of the judicial department in which the residence is located.


[15]

Laws of New York

§ 81.31 Annual report. (a) Filing of annual report. Every guardian shall file a report annually in the month of May, or at any other time upon motion or order of the court. (b) The report shall be in a form prescribed by the court and shall include the following information: 1. the present address and telephone number of the guardian. 2. the present address, and telephone number of the incapacitated person; if the place of residence of the incapacitated person is not his or her personal home, the name, address, and telephone number of the facility or place at which the person resides and the name of the chief executive officer of the facility or person otherwise responsible for the person's care. 3. any major changes in the physical or mental condition of the incapacitated person and any substantial change in medication. 4. the date that the incapacitated person was last examined or otherwise seen by a physician and the purpose of that visit. 5. a statement by a physician, psychologist, nurse clinician, or social worker, or other person that has evaluated or examined the incapacitated person within the three months prior to the filing of the report regarding an evaluation of the incapacitated person's condition and the current functional level of the incapacitated person. 6. to the extent the guardian is charged with providing for the personal needs of the incapacitated person: (i) a statement of whether the current residential setting is best suited to the current needs of the incapacitated person; (ii) a resume of any professional medical treatment given to the ward in the preceding year; (iii) the plan for medical, dental, and mental health treatment, and related services in the coming year; (iv) information concerning the social condition of the incapacitated person, including: the social and personal services currently utilized by the incapacitated person; the social skills of the incapacitated person; and the social needs of the incapacitated person. 7. to the extent the guardian is charged with property management, information required by the provisions of the surrogate's court procedure act prescribing the form of papers to be filed upon the annual accounting of a general guardian of an infant's property. 8. where the guardian has used or employed the services of the incapacitated person or where moneys have been earned by or received on behalf of such incapacitated person an accounting of any moneys earned or derived from such services. 9. a resume of any other activities performed by the guardian on behalf of the incapacitated person. 10. facts indicating the need to terminate the appointment of the guardian, or for any alteration in the powers of the guardian and what specific authority is requested or what specific authority of the guardian will be affected.


[16]

Laws of New York

11. any other information which the guardian may be required to file by the order of appointment. (c) The guardian shall send a copy of the annual report to the incapacitated person by mail unless the court orders otherwise pursuant to paragraph seven of subdivision (b) and paragraph nine of subdivision (c) of section 81.15 of this article, shall send a copy of the annual report to the court examiner, and shall file a copy of the annual report as provided herein. If the incapacitated person resides in a facility, the guardian shall send a duplicate of such report to the chief executive officer of that facility. If the incapacitated person resides

in a mental hygiene facility, the guardian shall send a duplicate of such report to the mental hygiene legal service of the judicial department in which the residence is located. If mental hygiene legal service was appointed as court evaluator or as counsel for the incapacitated person at the time of the guardianship proceeding, the guardian shall send a duplicate of such report to the mental hygiene legal service of the judicial department where venue of the guardianship proceeding was located if so ordered by the court. (d) The report shall be filed in the office of the clerk of the court which appointed the guardian. (e) If the annual report sets forth any reasons for a change in the powers authorized by the court, the guardian shall make an application within ten days of the filing of the report on notice to the persons entitled to such notice in accordance with paragraph three of subdivision (c) of section 81.16 of this article for such relief. If the annual report sets forth any reasons for a change in the powers authorized by the court, and the guardian fails to act in accordance with this subdivision, any person entitled to commence a proceeding under this article may petition the court for a change in such powers on notice to the guardian and the persons entitled to such notice in accordance with paragraph three of subdivision (c) of section 81.16 of this article for such relief.


[17]

Laws of New York

§ 81.32 Examination of initial and annual reports. (a) Examination of reports generally. 1. Initial report. Within thirty days of the filing of the initial report, the initial report filed by a guardian under this article shall be examined. 2. Annual examination. Within thirty days after the filing of the annual report of the preceding year, the annual reports filed by guardians under this article shall be examined to determine the condition and care of the incapacitated person, the finances of the incapacitated person, and the manner in which the guardian has carried out his or her duties and exercised his or her powers. (b) Examiners. The presiding justice of the appellate division in each department, or a justice of the supreme court or a special referee designated by a majority of the justices of the appellate division in each department at the request of the presiding justice, shall examine, or cause to be examined by persons designated by the presiding justice or the justices as examiners, all such reports. (c) Failure to report. 1. If a guardian fails to file his or her initial or annual report, the person authorized to examine the report shall demand that the guardian file the report within fifteen days after the service of the demand upon him or her. A copy of the demand shall be served upon the guardian or his or her resident agent by certified mail. 2. Upon failure to comply with such demand, the court, may upon the motion of the court examiner, enter an order requiring compliance with the demand and may deny or reduce the amount of the compensation of the guardian, or remove the guardian pursuant to section 81.35 of this article absent a showing that the guardian has acted in good faith. (d) Incomplete report. 1. If the person authorized to examine the report is of the opinion that a more complete or satisfactory report should be filed, the person authorized to examine the report shall demand that the guardian file a revised report or proof of any item in the report. A copy of the demand shall be served upon the guardian or his or her resident agent by certified mail. 2. Upon failure to comply with such demand, the court, may upon the motion of the court examiner, enter an order requiring compliance with the demand and may deny or reduce the amount of the compensation of the guardian, or remove the guardian pursuant to section 81.35 of this article absent a showing that the guardian has acted in good faith. (e) Duty of examiners. The person examining the report may examine the guardian and other witnesses under oath and reduce their testimony to writing. The person examining the report, on five days notice to the guardian, shall file a report in the form and manner prescribed by the order appointing the examiner. (f) Expenses of examination. The expenses of the examination shall be payable out of the estate of the incapacitated person examined if the estate amounts to five thousand dollars or more, or, if the estate


[18]

Laws of New York

amounts to less than this sum, by the county treasurer of the county or, within the city of New York by the comptroller of the city of New York, out of any court funds in his or her hands.


[19]

Laws of New York

§ 81.33 Intermediate and final report. (a) A guardian may move in the court of his or her appointment for an order permitting him or her to render an intermediate report to the date of the filing thereof in a form prescribed by the court which shall include the same information as is required under section 81.31 of this article provided, however, that if the incapacitated person has died the report need not include information otherwise required in paragraphs five and six of subdivision (b) of section 81.31 of this article. The court may order the report to be filed with the clerk of the court on or before a fixed date. (b) When a guardian dies or is removed, suspended, discharged pursuant to the provisions of this article, or allowed to resign, the court shall order a final report in a form prescribed by the court which shall include the same information as is required under section 81.31 of this article provided, however, that if the incapacitated person has died the report need not include information otherwise required in paragraphs five and six of subdivision (b) of section 81.31 of this article. When such a report has been made in the course of a proceeding to remove a guardian, the court may dispense with a further report. (c) Notice of the filing of a report under this section shall be served upon the persons entitled to notice pursuant to paragraph three of subdivision (c) of section 81.16 of this article. If the incapacitated person is deceased, notice shall also be served upon his or her executor or administrator, if any. (d) The court may appoint counsel for the incapacitated person, if living, for the protection of such person's rights and interests with regard to such report. The court may appoint a referee to hear the matter and report to the court. (e) Upon the motion for a confirmation of the report of the referee, or if the report is made before the court, upon the court's determination, the report shall be judicially approved and filed. The compensation of the referee and of counsel shall be fixed by the court and shall be payable out of the estate of the incapacitated person unless it is determined that the incapacitated person is indigent. (f) If the incapacitated person resides in a facility, a copy of a report under this section shall be served upon the chief executive officer in charge of that facility and upon the mental hygiene legal service of the judicial department in which the residence is located.


[20]

Laws of New York

§ 81.34 Decree on filing instruments approving accounts. (a) The guardian or the personal representative of the guardian may present to the court a petition showing the names and addresses of all persons entitled to receive notice pursuant to paragraph three of subdivision (c) of section 81.16 of this article and the personal representative of the estate showing that, to the extent the guardian is responsible for the property of the incapacitated person, all taxes have been paid or that no taxes are due and that the petitioner has fully reported and has made full disclosure in writing of all the guardian's actions affecting the property of the incapacitated person to all persons interested and seeking a decree releasing and discharging the petitioner. Upon the death of the incapacitated person, the guardian is authorized to pay the funeral expenses of the incapacitated person and, in the absence of a duly appointed personal representative of the estate, pay estimated estate and income tax charges, as well as other charges of emergent nature. (b) The petitioner shall also show that the incapacitated person has died or that the guardian has died, or has been removed, suspended, or discharged pursuant to the provisions of this article, or allowed to resign. (c) The petitioner shall also file with the petition acknowledged instruments executed by all persons interested or in the case of an infant, or incapacitated person whose claim has been paid, by the guardian, or guardian receiving payment, approving the report of the petitioner and releasing and discharging the petitioner. (d) The court may thereupon make a decree releasing and discharging the petitioner and the sureties on his or her bond, if any, from any further liability to the persons interested.


[21]

Laws of New York

§ 81.35 Removal of guardian. Upon motion, the court appointing a guardian may remove such guardian when the guardian fails to comply with an order, is guilty of misconduct, or for any other cause which to the court shall appear just. Notice of motion shall be served on the guardian and persons entitled to receive notice pursuant to paragraph three of subdivision (c) of section 81.16 of this article. The motion may be made by the person examining initial and annual reports pursuant to section 81.32 of this article, or by any person entitled to commence a proceeding under this article, including the incapacitated person. The court may fix the compensation of any attorney or person prosecuting the motion. It may compel the guardian to pay personally the costs of the motion if granted.


[22]

Laws of New York

§ 81.36 Discharge or modification of powers of guardian. (a) The court appointing the guardian shall discharge such guardian, or modify the powers of the guardian where appropriate, if it appears to the satisfaction of the court that: 1. the incapacitated person has become able to exercise some or all of the powers necessary to provide for personal needs or property management which the guardian is authorized to exercise; 2. the incapacitated person has become unable to exercise powers necessary to provide for personal needs or property management which the guardian is not authorized to exercise; 3. the incapacitated person has died; or 4. for some other reason, 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. (b) The application for relief under this section may be made by the guardian, the incapacitated person, or any person entitled to commence a proceeding under this article. (c) There shall be a hearing on notice to the persons entitled to notice pursuant to paragraph three of subdivision (c) of section 81.16 of this article. The court may for good cause shown dispense with the hearing provided that an order of modification increasing the powers of the guardian shall set forth the factual basis for dispensing with the hearing. If the incapacitated person or his or her counsel raises an issue of fact as to the ability of the incapacitated person to provide for his or her personal needs or property management and demands a jury trial of such issue, the court shall order a trial by jury thereof. (d) To the extent that relief sought under this section would terminate the guardianship or restore certain powers to the incapacitated person, the burden of proof shall be on the person objecting to such relief. To the extent that relief sought under this section would further limit the powers of the incapacitated person, the burden shall be on the person seeking such relief. (e) If the guardian is discharged because the incapacitated person becomes fully able to care for his or her property, the court shall order that there be restored to such person the property remaining in the hands of the guardian. If the incapacitated person dies, the guardian shall provide for such person's burial or other disposition the cost of which shall be borne by the estate of the incapacitated person.


[23]

Laws of New York

§ 81.37 Resignation or suspension of powers of guardian. (a) The court appointing a guardian may allow the guardian to resign or may suspend the powers of the guardian. (b) Where a guardian is engaged in war service as defined in section seven hundred seventeen of the surrogate's court procedure act, the court, upon motion by the guardian or any other person and upon such notice as the court may direct, may suspend the powers of the guardian until further order of the court. If the suspension will leave no other person acting as guardian, the motion shall seek the appointment of a successor. When the suspended guardian becomes able to serve, he or she may be reinstated by the court upon motion and such notice as the court may direct. If the suspended guardian is reinstated, the court shall thereupon discharge his or her successor, who may be required to account, and make any other order as justice requires.


[24]

Laws of New York

§ 81.43 Proceedings to discover property withheld. (a) To the extent that it is consistent with the authority otherwise granted by the court a guardian may commence a proceeding in the court which appointed the guardian to discover property withheld. The petition shall contain knowledge, or information and belief of any facts tending to show that any interest in real property or money or other personal property, or the proceeds or value thereof, which should be delivered and paid to the guardian, is in the possession, under the control, or within the knowledge or information of respondent who withholds the same from the guardian, whether such possession or control was obtained before or after the appointment of the guardian, or that the respondent refuses to disclose knowledge or information which such person may have concerning the same or which will aid the guardian in making discovery of such property. The petition shall request that respondent be ordered to attend an inquiry and be examined accordingly and deliver property of the incapacitated person if it is within his or her control. The petition may be accompanied by an affidavit or other written evidence, tending to support the allegations thereof. If the court is satisfied on the papers so presented that there are reasonable grounds for the inquiry, it must make an order accordingly, which may be returnable forthwith, or at a future time fixed by the court, and may be served at any time before the hearing. If it shall appear from the petition or from the answer interposed thereto, or in the course of the inquiry made pursuant to the order that a person other than the respondent in the proceeding claims an interest in the property or the proceeds or the value thereof, the court may by the original order or by supplemental order, direct such additional party to attend and be examined in the proceeding in respect of his or her adverse claim, and deliver the property if in his or her control or the proceeds or value thereof. Service of such an order must be made by delivery of a certified copy thereof to the person or persons named therein and the payment or tender, to each of the sum required by law to be paid or tendered to a witness who is subpoenaed to attend a trial in such court. (b) If the person directed to appear submits an answer denying any knowledge concerning or the possession of any property which belongs to the incapacitated person or should be delivered to the guardian, or shall make default in answer, he or she shall be sworn to answer truly all questions put to him or her regarding the inquiry requested in the petition. Any claim of title to or right to the possession of any property of the incapacitated person must be made by verified answer in writing. If such answer is interposed, the issues raised thereby shall be tried according to the usual practice of the court as a litigated issue but the interposition of such answer shall not limit the right of the guardian to proceed with the inquiry in respect of property not so claimed by the verified answer. If possession of the property is denied, proof on that issue may be presented to the court by either party. The court may in an appropriate case make interim decrees directing the delivery of property not claimed by verified answer and may continue the


[25]

Laws of New York

proceeding for determination of any litigated issue. If it appears that the guardian is entitled to the possession of the property, the decree shall direct delivery thereof to the guardian or if the property shall have been diverted or disposed of, the decree may direct payment of the proceeds or the value of such property or may impress a trust upon said proceeds or make any determination which a court of equity might decree in following trust property funds. In any case in which a verified answer is served and the court after a trial or hearing determines the issue, the court may in its discretion award costs not exceeding fifty dollars and disbursements to be paid by the unsuccessful party.


[26]

Laws of New York

§ 81.44 Proceedings upon the death of an incapacitated person. (a) When used in this section: 1. "Statement of death" means a statement, in writing and acknowledged, containing the caption and index number of the guardianship proceeding, and the name and address of the last residence of the deceased incapacitated person, the date and place of death, and the names and last known addresses of all persons entitled to notice of further guardianship proceedings pursuant to paragraph three of subdivision (c) of section 81.16 of this article including the nominated and/or appointed personal representative, if any, of the deceased incapacitated person's estate. 2. "Personal representative" means a fiduciary as defined by subdivision twenty-one of section 103 of the surrogate's court procedure act to whom letters have been issued and who is authorized to marshal the assets of the decedent's estate. 3. "Public administrator" means a public administrator within or without the city of New York, as established by articles eleven and twelve of the surrogate's court procedure act, or the chief fiscal officer of a county eligible to be appointed an administrator, pursuant to section twelve hundred nineteen of the surrogate's court procedure act. The role of the public administrator under this section is that of a stake holder or escrowee only, and the public administrator shall not, by virtue of this section, have a substantive role in administering the estate. 4. "Statement of assets and notice of claim" means a written statement under oath containing the caption and index number of the guardianship proceeding, the name and address of the incapacitated person at the time of death, a description of the nature and approximate value of guardianship property at the time of the incapacitated person's death; with the approximate amount of any claims, debts or liens against the guardianship property, including but not limited to medicaid liens, tax liens and administrative costs, with an itemization and approximate amount of such costs and claims or liens. (b) Unless otherwise directed by the court, all papers required to be served by this section shall be served by regular mail and by certified mail return receipt requested. (c) Within twenty days of the death of an incapacitated person, the guardian shall: 1. serve a copy of the statement of death upon the court examiner, the duly appointed personal representative of the decedent's estate, or, if no personal representative has been appointed, then upon the personal representative named in the decedent's will or any trust instrument, if known, upon the local department of social services and upon the public administrator of the chief fiscal officer of the county in which the guardian was appointed, and 2. file the original statement of death together with proof of service upon the personal representative and/or public administrator or chief fiscal officer, as the case may be, with the court which issued letters


[27]

Laws of New York

of guardianship. (d) Within one hundred fifty days of the death of the incapacitated person, the guardian shall serve upon the personal representative of the decedent's estate or where there is no personal representative, upon the public administrator or chief fiscal officer, a statement of assets and notice of claim, and, except for property retained to secure any known claim, lien or administrative costs of the guardianship pursuant to subdivision (e) of this section, shall deliver all guardianship property to:

1. the duly appointed personal representative of the deceased incapacitated person's estate, or 2. the public administrator or chief fiscal officer given notice of the filing of the statement of death, where there is no personal representative. 3. any dispute as to the size of the property retained shall be determined by the surrogate court having jurisdiction of the estate. (e) Unless otherwise ordered by the court upon motion by the guardian on notice to the person or entity to whom guardianship property is deliverable, and the court examiner, the guardian may retain, pending the settlement of the guardian's final account, guardianship property equal in value to the claim for administrative costs, liens and debts. (f) Within one hundred fifty days of the incapacitated person's death, the guardian shall file his or her final report with the clerk of the court of the county in which annual reports are filed, and thereupon proceed to judicially settle the final report upon such notice as required by subdivision (c) of section 81.33 of this article, including notice to the person or entity to whom the guardianship property was delivered. There shall be no extension of the time to file a final report except by order of the court. (g) Upon failure of the guardian to comply with subdivisions (d) or (f) of this section, any person entitled to notice of this proceeding may file a petition to compel the guardian to account, to suspend and/or remove the guardian, and to take and state the guardian's account.


[28]

The Guardian Assistance Network (GAN)

http://www.nycourts.gov/ip/gan/index.shtml

[29]

Guardian A

ssistance Netw

ork

● W

hat Is a G

uard

ian?

● Fro

m C

ourt H

earing

to G

uard

iansh

ip

Com

misio

n●

The First 9

0 D

ays: Fro

m C

om

misio

n to

In

itial Rep

ort

● T

he G

uard

ian fo

r Perso

nal N

eeds

● T

he G

uard

ian fo

r Pro

perty M

anag

emen

t●

The In

itial & A

nnual

Rep

orts

● E

ndin

g a G

uard

iansh

ip

● E

spañ

ol

Th

e F

irst 90

Days: F

rom

Co

mm

ission

to In

itial R

ep

ort

Now

that yo

u h

ave your C

om

missio

n in

han

d yo

u can

start to m

ake decisio

ns fo

r yo

ur w

ard th

e way th

e judge w

ants yo

u to

. The first 9

0 d

ays after you received

yo

ur G

uard

iansh

ip C

om

missio

n are im

portan

t since yo

u are learn

ing th

e rules o

f th

e law an

d b

ecom

e familiar w

ith th

e requirem

ents o

f the co

urt A

ND

you are also

exp

ected to

find o

ut h

ow

you can

best care fo

r your w

ard. A

t the en

d o

f those first

90 d

ays you are exp

ected to

write yo

ur In

itial Rep

ort to

the co

urt.

Sin

ce your jo

b is lim

ited to

what th

e judge p

ut in

the o

rigin

al Ord

er and Ju

dgm

ent

you m

ust keep

this d

ocu

men

t han

dy so

that yo

u can

refer to it an

y time yo

u h

ave a q

uestio

n. S

om

e of th

e thin

gs yo

u m

ust d

o d

urin

g th

e first 90 d

ays after you

have received

your C

om

missio

n are very g

eneral an

d so

me d

epen

d o

n w

heth

er you

are a Guard

ian fo

r Property M

anag

emen

t or fo

r Personal N

eeds, o

r both

. You

should

follo

w th

e list belo

w as yo

u start yo

ur w

ork as a g

uard

ian.

● S

tart-Up D

uties o

f All G

uard

ians

● H

ow

can I take care o

f my d

uties an

d also

get read

y to w

rite the In

itial Rep

ort?

Sta

rt-Up

Du

ties o

f All G

uard

ian

s As g

uard

ian, reg

ardless o

f wheth

er you are a g

uard

ian fo

r Personal N

eeds o

r Pro

perty M

anag

emen

t, you m

ust:

● V

isit your w

ard at least o

nce d

urin

g th

e first 90 d

ays (the law

requires yo

u to

visit at least fo

ur tim

es per year)

● A

ttend a g

uard

iansh

ip train

ing p

rogram

, which

explain

s your resp

onsib

ilities as g

uard

ian

● S

ee wheth

er you can

find a w

ill, living w

ill, health

care pro

xy or o

ther

contract created

by yo

ur w

ard

http://ww

w.nycourts.gov/ip/gan/m

anual/first90days.shtml (1 of 3)11/20/2011 9:22:58 A

M

[30]



http://www.nycourts.gov/ip/gan/about/index.shtml

http://www.nycourts.gov/ip/gan/how/index.shtml

http://www.nycourts.gov/ip/gan/manual/index.shtml

http://www.nycourts.gov/ip/gan/manual/what_is.shtml

http://www.nycourts.gov/ip/gan/manual/from_court.shtml



http://www.nycourts.gov/ip/gan/manual/SPANISH.pdf

http://www.nycourts.gov/ip/gan/sample_forms/index.shtml

http://www.nycourts.gov/ip/gan/resources/index.shtml


http://www.nycourts.gov/ip/gan/contact_us.shtml

http://www.nycourts.gov/index.htm

http://www.nycourts.gov/stateseal.shtml


http://www.nycourts.gov/courts/index.shtml

http://www.nycourts.gov/litigants/index.shtml

http://www.nycourts.gov/attorneys/index.shtml

http://www.nyjuror.gov/index.shtml

http://www.nycourts.gov/judges/index.shtml

http://www.nycourts.gov/careers/index.shtml

http://search.nycourts.gov/search?site=Main&client=main_frontend&output=xml_no_dtd&proxystylesheet=main_frontend&proxycustom=%3CHOME/%3E

Guardian A

ssistance Netw

ork

● D

etermin

e what services an

d p

rogram

s your w

ard n

eeds

● S

tart makin

g a p

lan fo

r your w

ard’s care

● S

et up a system

to keep

all docu

men

ts and p

apers in

a safe place

● K

eep receip

ts of all p

aymen

ts you m

ake for yo

ur w

ard

● A

t the en

d o

f the first 9

0 d

ays you m

ust su

bm

it your In

itial Rep

ort to

the

court

Ho

w ca

n I ta

ke ca

re o

f my d

utie

s an

d a

lso g

et re

ad

y to

write

the In

itial

Rep

ort?

O

nce yo

u start to

carry out yo

ur d

uties, it is w

ise to keep

notes o

f everythin

g yo

u

do o

n b

ehalf o

f your w

ard. M

any g

uard

ians b

uy a n

oteb

ook fo

r this p

urp

ose in

w

hich

they w

rite dow

n w

hat th

ey have d

one fo

r their w

ard, w

hom

they h

ave sp

oken

with

, the n

ames o

f peo

ple an

d in

stitutio

ns th

ey have co

ntacted

and th

eir phone n

um

bers an

d ad

dresses. A

good h

abit w

ould

be to

write th

e date d

ow

n fo

r each

activity you d

escribe in

your n

oteb

ook –

such

notes to

yourself are im

portan

t rem

inders th

at you can

use later w

hen

you start w

riting yo

ur In

itial Rep

ort an

d th

e Annual R

eports yo

u are exp

ected to

subm

it in th

e follo

win

g years.

When

you visit yo

ur w

ard o

r when

you u

ndertake an

y task on b

ehalf o

f your w

ard

you sh

ould

write d

ow

n w

hat yo

u h

ave done an

d fo

r what p

urp

ose. W

hen

you visit

your w

ard yo

u sh

ould

write so

me o

f your o

bservatio

ns d

ow

n. A

Guard

ian fo

r Perso

nal N

eeds m

ight ask fo

r example:

● H

ow

well is yo

ur w

ard d

oin

g?

● Is h

e or sh

e clean, w

ell gro

om

ed, co

nten

t?

● H

as he o

r she b

een ill?

● H

ow

well are h

is or h

er perso

nal an

d m

edical n

eeds ad

dressed

?

● A

re there m

ajor ch

anges in

his o

r her co

nditio

n fo

r better o

r for w

orse?

● W

hat ad

ditio

nal services an

d m

edical care d

oes yo

ur w

ard n

eed?

● W

hat ap

poin

tmen

ts must b

e mad

e for yo

ur w

ard.

http://ww



M

[31]

Guardian A

ssistance Netw

ork

● W

hat q

uestio

ns yo

u m

ay have fo

r your w

ard’s careg

ivers (docto

rs, nurses,

hom

ecare workers, th

erapists).

● T

he n

ames, ad

dresses an

d p

hone n

um

bers o

f your w

ard’s d

octo

rs; social

workers; h

om

ecare agen

cies; and o

ther relevan

t info

rmatio

n.

● A

list of all m

edicatio

ns yo

ur w

ard is cu

rrently takin

g, in

cludin

g p

rescriptio

n

dru

gs an

d o

ver-the-co

unter m

edicatio

ns - in

clude h

ow

often

and h

ow

much

each

med

ication is taken

.

In ad

ditio

n to

keepin

g a n

oteb

ook yo

u sh

ould

also g

et in th

e hab

it of keep

ing all

importan

t pap

ers togeth

er in o

ne p

lace, starting w

ith yo

ur O

rder an

d Ju

dgm

ent

and everyth

ing else th

at you w

ill receive from

the co

urt o

ver time. O

ther im

portan

t pap

ers you m

ust save in

a safe place are th

e docu

men

ts you m

ay find in

your

ward

’s hom

e, such

as: insu

rance p

apers, a w

ill or testam

ent, a h

ealth care p

roxy

or livin

g w

ill, tax filings, co

ntracts, an

d an

ythin

g else yo

u fin

d am

ong yo

ur w

ard’s

pap

ers. Som

e guard

ians u

se a large p

lastic contain

er to keep

all their d

ocu

men

ts in

, oth

ers desig

nate a d

rawer in

a file cabin

et they m

ay have.

Guard

ians fo

r Property M

anag

emen

t also m

ust keep

all ban

k statemen

ts, invo

ices an

d receip

ts for m

oney th

ey spen

d eith

er out o

f their o

wn fu

nds o

r out o

f their

ward

’s funds.

NO

TE: H

aving g

ood n

otes an

d receip

ts and d

ocu

men

ts will m

ake your task m

uch

easier in

the lo

ng ru

n w

hen

you m

ust w

rite your In

itial and A

nnual R

eports to

the

court ab

out th

e actions yo

u h

ave taken o

n b

ehalf o

f your w

ard.

State Ju

stice Institu

te G

uard

ian A

ssistance N

etwork | K

ings C

ounty S

uprem

e Court | 3

60 A

dam

s Street, R

oom

723 | B

rooklyn

, NY 1

1201

(347) 2

96-1

948 | G

AN

@co

urts.state.n

y.us

Copyrig

ht ©

2008

Vera In

stitute o

f Justice, In

c. A d

emonstratio

n p

roject o

f the V

era Institu

te of Ju

stice, Inc.

http://ww



M

[32]

mailto:[email protected]

Guardian A

ssistance Netw

ork

● W

hat Is a G

uard

ian?

● Fro

m C

ourt H

earing

to G

uard

iansh

ip

Com

misio

n●

The First 9

0 D

ays: Fro

m C

om

misio

n to

In

itial Rep

ort

● T

he G

uard

ian fo

r Perso

nal N

eeds

● T

he G

uard

ian fo

r Pro

perty M

anag

emen

t●

The In

itial & A

nnual

Rep

orts

● E

ndin

g a G

uard

iansh

ip

● E

spañ

ol

Th

e G

uard

ian

for P

erso

nal N

eed

s

If you are yo

ur w

ard’s G

uard

ian fo

r Personal N

eeds, th

e judge h

as given

you th

e pow

er and d

uty to

make p

ersonal d

ecisions fo

r your w

ard in

just th

ose areas th

e ju

dge d

ecided

your w

ard n

eeds. A

nd b

ecause th

e law says th

at ward

s must b

e given

as much

physical freed

om

and freed

om

of ch

oice as p

ossib

le, you are

required

to in

volve yo

ur w

ard as m

uch

as possib

le when

decisio

ns m

ust b

e mad

e. Exam

ples o

f such

perso

nal d

ecisions are g

enerally th

ose m

ost p

eople m

ake for

them

selves in o

rdin

ary life.

● E

xample

● T

hin

gs G

uard

ians fo

r Personal N

eeds M

ay Not D

o●

Can

I ask the Ju

dge to

chan

ge th

e Ord

er and Ju

dgm

ent?

Exam

ple

: Guard

ian fo

r Personal N

eeds

John B

arnes is a retired

merch

ant m

arine w

ho lives alo

ne in

a small

walk-u

p ap

artmen

t in B

rooklyn

. John is kn

ow

n to

man

y neig

hbors o

n

his b

lock b

ecause h

e is always w

illing to

do sm

all chores fo

r them

. Lately th

e neig

hbors h

ave noticed

that Jo

hn is n

ot lo

okin

g w

ell, his

cloth

es are dirty, an

d h

e has lo

st a lot o

f weig

ht. R

ecently Jo

hn w

as hosp

italized w

hen

he b

roke h

is hip

falling o

n th

e icy street in fro

nt o

f his ap

artmen

t. At th

e hosp

ital the d

octo

rs found h

im co

nfu

sed an

d

sufferin

g fro

m m

alnutritio

n. Jo

hn w

as sent to

a nursin

g h

om

e to learn

to

walk ag

ain. T

he staff th

ere felt that h

e should

not g

o h

om

e again

becau

se he w

as too frail to

live alone. T

he n

ursin

g h

om

e applied

to

have a g

uard

ian ap

poin

ted fo

r John. A

t the h

earing th

e judge fo

und

John to

be frail b

ut also

noticed

that h

e very much

wan

ted to

go b

ack hom

e again

—he h

ated to

be in

the n

ursin

g h

om

e. At th

e hearin

g Jo

hn

agreed

that h

e would

accept a g

uard

ian to

help

him

and th

at he w

ould

accep

t hom

e care to m

ake it possib

le for h

im to

live alone. H

is next

door n

eighbor, H

arry, was ap

poin

ted G

uard

ian fo

r Personal N

eeds to

help

John live at h

om

e, to o

btain

hom

ecare for h

im, an

d to

make su

re th

at John g

oes fo

r regular d

octo

r visits and o

btain

s the m

edicatio

ns h

e

http://ww


anual/guardian4personal_needs.shtml (1 of 3)11/20/2011 9:24:04 A

M

[33]

























Guardian A

ssistance Netw

ork

need

s. The ju

dge fo

und th

at John is still ab

le to take care o

f his

finan

cial affairs and d

id n

ot g

ive Harry th

e pow

er for Pro

perty

Man

agem

ent.

The O

rder an

d Ju

dgm

ent w

ill give yo

u d

irections ab

out yo

ur d

uties as G

uard

ian fo

r Perso

nal N

eeds. Fo

r example, th

e judge m

ay have g

iven yo

u p

ow

er to m

ake all of

the d

ecisions listed

belo

w, o

r just so

me o

f them

:

● W

here yo

ur w

ard w

ill live ●

Wheth

er your w

ard m

ust h

ave hom

e care●

Who w

ill pro

vide p

ersonal care o

r housekeep

ing assistan

ce●

Wheth

er or n

ot yo

ur w

ard m

ay have a d

river’s license o

r travel●

What so

cial enviro

nm

ent an

d so

cial life your w

ard m

ay have

● W

hat, if an

y, educatio

n o

r trainin

g yo

ur w

ard m

ay have

● W

hat so

rt of m

edical care d

ecisions yo

u m

ay make fo

r your w

ard

Th

ing

s Gu

ard

ian

s for P

erso

nal N

eed

s May N

ot D

o

Guard

ians are alw

ays limited

in w

hat th

ey are allow

ed to

do b

y the O

rder an

d

Judgm

ent. B

elow

are examples o

f thin

gs g

uard

ians m

ay n

ot d

o w

itho

ut co

urt

ap

pro

val.

● D

o an

ythin

g th

at is not stated

in th

e Ord

er and Ju

dgm

ent

● T

ake away an

y pow

ers or rig

hts fro

m th

e ward

that th

e judge h

as not

appro

ved b

eforeh

and

● M

ove th

e ward

to an

oth

er hom

e or a n

ursin

g h

om

e●

Sig

n th

e ward

into

a men

tal hyg

iene o

r substan

ce abuse facility o

r force

treatmen

t, inclu

din

g m

edicatio

n, o

n a w

ard w

ho refu

ses it●

Revo

ke a will, h

ealth care p

roxy, livin

g w

ill, pow

er of atto

rney, o

r oth

er co

ntract th

at the w

ard m

ade b

efore a G

uard

ian w

as appoin

ted●

Apply fo

r a divo

rce on b

ehalf o

f the w

ard●

Make en

d-o

f-life med

ical decisio

ns o

r refuse life-su

stainin

g treatm

ent u

nless

the ju

dge g

ave the G

uard

ian th

at pow

er

NO

TE: In

gen

eral, guard

ians w

ith m

edical d

ecision-m

aking p

ow

er have th

e right

to m

ake routin

e and so

me m

ajor h

ealth care d

ecisions fo

r their w

ards (su

ch as

agreein

g to

surg

ery) but a g

uard

ian’s p

ow

ers are limited

when

it com

es to en

d-o

f-life d

ecisions, excep

t for “D

o N

ot R

esuscitate O

rders”, also

called “D

NR O

rders”

that th

e patien

t’s docto

r may co

nsid

er in th

e patien

t’s best in

terest. Do N

ot

Resu

scitate Ord

ers are med

ical judgm

ents th

at the p

atient w

ould

not b

enefit fro

m

resuscitatio

n w

hen

his o

r her h

eart stops o

r when

he o

r she sto

ps b

reathin

g.

(Resu

scitation is u

sually co

nsid

ered n

ot to

be h

elpfu

l any lo

nger w

hen

the p

atient

is dyin

g.) Y

our O

rder an

d Ju

dgm

ent exp

lains w

hat yo

ur p

ow

ers are when

it com

es to

health

care decisio

ns.

http://ww



M

[34]

Guardian A

ssistance Netw

ork

C

an

I ask

the Ju

dg

e to

chan

ge th

e O

rder a

nd

Jud

gm

en

t?

Yes, if yo

u b

elieve that a ch

ange is n

eeded

and h

ave a good reaso

n, yo

u can

alw

ays ask the ju

dge fo

r a chan

ge. Fo

r instan

ce, if you th

ink th

at your w

ard m

ust

be m

oved

to an

oth

er residen

ce or facility, o

r need

s oth

er services and

interven

tions th

at are not listed

in th

e orig

inal O

rder an

d Ju

dgm

ent, yo

u sh

ould

discu

ss this w

ith yo

ur law

yer or yo

u m

ay write th

e judge yo

urself o

r call the

judge’s law

clerk. You sh

ould

explain

why yo

u are askin

g fo

r the ch

anges - th

e ju

dge m

ust ap

pro

ve them

befo

re you can

make th

e chan

ges.

State Ju

stice Institu

te G

uard

ian A

ssistance N

etwork | K

ings C

ounty S

uprem

e Court | 3

60 A

dam

s Street, R

oom

723 | B

rooklyn

, NY 1

1201

(347) 2

96-1

948 | G

AN

@co

urts.state.n

y.us

Copyrig

ht ©

2008

Vera In

stitute o

f Justice, In

c. A d

emonstratio

n p

roject o

f the V

era Institu

te of Ju

stice, Inc.

http://ww



M

[35]


Guardian A

ssistance Netw

ork

● W

hat Is a G

uard

ian?

● Fro

m C

ourt H

earing

to G

uard

iansh

ip

Com

misio

n●

The First 9

0 D

ays: Fro

m C

om

misio

n to

In

itial Rep

ort

● T

he G

uard

ian fo

r Perso

nal N

eeds

● T

he G

uard

ian fo

r Pro

perty M

anag

emen

t●

The In

itial & A

nnual

Rep

orts

● E

ndin

g a G

uard

iansh

ip

● E

spañ

ol

Th

e G

uard

ian

for P

rop

erty

Man

ag

em

en

t

If you are G

uard

ian fo

r Property M

anag

emen

t, you m

ust n

ow

start to m

anag

e the

inco

me an

d assets o

f your lo

ved o

ne. T

aking co

ntro

l of yo

ur w

ard’s p

roperty is

called “m

arshallin

g th

e assets.” In g

eneral, th

e rule ab

out m

anag

ing an

oth

er perso

n’s assets is to

be very carefu

l in h

ow

you sp

end o

r invest yo

ur w

ard’s m

oney.

New

ly appoin

ted G

uard

ians fo

r Property M

anag

emen

t have d

istinct resp

onsib

ilities th

at are differen

t from

Guard

ians fo

r Personal N

eeds. B

efore yo

u start w

orkin

g o

n

the vario

us tasks yo

u m

ight w

ant to

review th

e Ord

er and Ju

dgm

ent. T

his

docu

men

t is your g

uid

e.

NO

TE: W

hen

ever you d

o b

usin

ess for yo

ur w

ard, yo

u m

ust b

ring a certified

copy

of yo

ur O

rder an

d Ju

dgm

ent an

d C

om

missio

n w

ith yo

u to

pro

ve that yo

u are

auth

orized

by th

e court to

act on b

ehalf o

f your w

ard.

● T

hin

gs G

uard

ians fo

r Property M

anag

emen

t May N

ot D

o●

Guard

ians M

ust S

pen

d T

heir W

ard’s M

oney W

isely●

Detailed

Tasks o

f Guard

ians fo

r Property M

anag

emen

t

Th

ing

s Gu

ard

ian

s for P

rop

erty

Man

ag

em

en

t May N

ot D

o

Guard

ians fo

r Property M

anag

emen

t are limited

in w

hat th

ey are allow

ed to

do b

y th

e Ord

er and Ju

dgm

ent. B

elow

are examples o

f thin

gs g

uard

ians m

ay not d

o

with

out co

urt ap

pro

val:

● T

ake away an

y pow

ers or rig

hts fro

m yo

ur w

ard th

at the ju

dge h

as not

appro

ved b

eforeh

and

● S

ell your w

ard’s real estate o

r keep yo

ur w

ard’s real estate in

your o

wn

nam

e rather th

an in

your w

ard’s n

ame

● C

om

bin

e your o

wn m

oney w

ith th

at of yo

ur w

ard, even

if you h

ad a jo

int

ban

k account w

ith yo

ur w

ard b

efore th

e guard

iansh

ip

● U

se your w

ard’s fu

nds fo

r your o

wn p

urp

oses, o

r borro

w fro

m yo

ur w

ardhttp://w

ww

.nycourts.gov/ip/gan/manual/guardian4property.shtm

l (1 of 8)11/20/2011 9:24:37 AM

[36]

























Guardian A

ssistance Netw

ork

● M

ake investm

ents th

at are risky●

Hire p

rofessio

nals o

r special exp

erts, for exam

ple an

accountan

t to file

inco

me tax retu

rns, u

nless th

e judge h

as given

you p

ermissio

n to

do so

● R

evoke a w

ill, pow

er of atto

rney, o

r oth

er contract th

at your w

ard m

ade

befo

re you w

ere appoin

ted

NO

TE: If yo

u b

elieve that yo

u h

ave a good reaso

n to

do so

meth

ing th

at is not

listed in

the O

rder an

d Ju

dgm

ent, fo

r instan

ce, if you h

ave to m

anag

e substan

tial assets, yo

u m

ay wan

t to ask th

e court fo

r perm

ission to

hire an

investm

ent

bro

ker or o

ther fin

ancial m

anag

er to h

elp yo

u. Y

ou sh

ould

contact yo

ur law

yer if yo

u h

ave one an

d ask fo

r advice o

r ask the ju

dge’s law

clerk for g

uid

ance b

y exp

lainin

g w

hy yo

u b

elieve that th

e Ord

er should

be ch

anged

.

G

uard

ian

s Mu

st Sp

en

d T

heir W

ard

’s Mo

ney W

isely

G

uard

ians are su

pposed

to sp

end th

eir ward

s’ money w

isely and m

ake it last as lo

ng as p

ossib

le. With

out th

e judge’s p

rior ap

pro

val you sh

ould

be carefu

l about

buyin

g very exp

ensive item

s for yo

ur w

ard, even

if you th

ink th

at your w

ard h

as en

ough m

oney to

pay fo

r it or d

eserves it.

Exam

ples o

f such

majo

r expen

ses are:

● R

ebuild

ing yo

ur w

ard’s h

om

e to m

ake it wheelch

air accessible

● B

uyin

g a sp

ecial van to

transp

ort yo

ur w

ard

● T

rying so

me altern

ative med

ical treatmen

t for yo

ur w

ard th

at is not likely to

be co

vered b

y your w

ard’s m

edical in

suran

ce ●

Takin

g an

expen

sive vacation w

ith yo

ur w

ard

NO

TE: W

hen

you are th

inkin

g ab

out b

uyin

g so

meth

ing very exp

ensive yo

ur w

ard

need

s or co

uld

ben

efit from

, you sh

ould

get it ap

pro

ved ah

ead o

f time b

y the

judge. If yo

u d

on’t g

et prio

r appro

val, the co

urt exam

iner, w

ho review

s all rep

orts, m

ay not ap

pro

ve of th

e purch

ase of th

e item an

d d

eman

d th

at you p

ay th

is expen

se out o

f your o

wn fu

nds.

D

eta

iled

Task

s of G

uard

ian

s for P

rop

erty

Man

ag

em

en

t The au

thors are in

deb

ted to

Leona B

eane, E

sq. w

ho d

eveloped

the list o

f tasks describ

ed in

this sectio

n an

d g

ave perm

ission to

adap

t the list fo

r this m

anual.

Esta

blish

ing

a G

uard

ian

ship

Ch

eck

ing

Acco

un

t Id

entify all b

ank acco

unts o

wned

by yo

ur w

ard (ch

ecking, savin

gs,

money m

arket, etc.). Divid

e any jo

int acco

unts an

d sep

arate your

ward

’s share fro

m it. C

lose yo

ur w

ard’s acco

unts an

d o

pen

a http://w

ww

.nycourts.gov/ip/gan/manual/guardian4property.shtm

l (2 of 8)11/20/2011 9:24:37 AM

[37]

Guardian A

ssistance Netw

ork

guard

iansh

ip ch

ecking acco

unt w

ith yo

ur w

ard’s S

ocial S

ecurity

Num

ber o

n it an

d w

ith yo

ur n

ame as G

uard

ian in

the title.

Exam

ple

: The G

uard

iansh

ip A

ccount

Joe S

mith

becam

e the g

uard

ian fo

r his w

ife Jane, w

ho h

as Alzh

eimer’s

disease. A

lthough th

e couple alw

ays had

a join

t ban

k account, n

ow

th

at Joe h

as beco

me Jan

e’s guard

ian, h

e must o

pen

a separate b

ank

account fo

r his w

ife. This n

ew acco

unt h

as Jane’s so

cial security

num

ber o

n it b

ut th

e account is in

Joe’s n

ame as g

uard

ian fo

r an

incap

acitated p

erson. H

ere is how

the acco

unt is titled

: “Joe S

mith

as G

uard

ian

for Ja

ne S

mith

, an

Inca

pacita

ted

Perso

n”.

N

ote

: If your w

ard h

ad arran

ged

for d

irect dep

osit o

f inco

me ch

ecks (Social

Secu

rity, SSI, V

A ch

ecks, and p

ensio

ns) yo

u n

eed to

open

the G

uard

iansh

ip

Acco

unt first an

d th

en req

uest th

at the in

com

e checks b

e re-directed

from

the o

ld

account in

to th

e Guard

iansh

ip A

ccount. O

nce th

e checks are b

eing d

eposited

into

th

e new

account yo

u can

close th

e old

one.

Iden

tifyin

g S

ou

rces o

f Inco

me

Iden

tify all sources o

f your w

ard’s in

com

e: pen

sion b

enefits; ren

tal in

com

e from

tenan

ts; interest in

com

e from

investm

ents; S

ocial

Secu

rity Inco

me; S

upplem

ental S

ecurity In

com

e; veteran’s b

enefits.

Make a list, d

escribin

g each

source an

d th

e month

ly amount yo

ur w

ard

receives and arran

ge fo

r all inco

me to

be d

eposited

into

the

guard

iansh

ip acco

unt.

If any p

ublic b

enefit ch

ecks are missin

g, arran

ge fo

r the ch

ecks to b

e reissu

ed.

Iden

tifyin

g Y

ou

r Ward

’s Elig

ibility

for P

ub

lic Ben

efits

If your w

ard d

oes n

ot cu

rrently receive p

ublic b

enefits b

ut m

ay be

eligib

le, you m

ust ap

ply fo

r them

on b

ehalf o

f your w

ard.

Arra

ng

ing

for P

re-n

eed

Bu

rial E

xp

en

ses

If your w

ard receives S

upplem

ental S

ecurity In

com

e or M

edicaid

or if

you are ap

plyin

g fo

r these b

enefits o

r are engag

ed in

“Med

icaid

Plannin

g,” yo

u are p

ermitted

to o

pen

a separate G

uard

iansh

ip savin

gs

account w

ith n

o m

ore th

an $

1,5

00 as a sp

ecial burial acco

unt. T

his

account m

ay gen

erate interest an

d g

row

over tim

e but yo

u m

ay never

use it d

urin

g yo

ur w

ard’s lifetim

e – it is a set asid

e for yo

ur w

ard’s

futu

re funeral exp

enses. In

additio

n to

a separate b

urial savin

gs

account, yo

u also

may o

btain

an irrevo

cable b

urial tru

st, arrange fo

r a pre-p

aid fu

neral w

ith a fu

neral h

om

e, or p

urch

ase a cemetery p

lot.

You m

ay wan

t to d

iscuss th

is with

the ju

dge’s law

clerk befo

re you

make th

e decisio

n an

d sp

end yo

ur w

ard’s fu

nds.

http://ww


anual/guardian4property.shtml (3 of 8)11/20/2011 9:24:37 A

M

[38]

Guardian A

ssistance Netw

ork

NO

TE: M

edicaid

Plannin

g is th

e pro

cess of p

reparin

g to

apply fo

r Med

icaid w

ith

the assistan

ce of an

attorn

ey who is a sp

ecialist in M

edicaid

law. S

ee Spen

din

g

Dow

n Y

our W

ard’s A

ssets b

elow

.

Beco

min

g R

ep

rese

nta

tive P

ayee fo

r Go

vern

men

t Inco

me C

heck

s If yo

ur w

ard receives S

ocial S

ecurity b

enefits o

r Supplem

ental S

ecurity

Inco

me yo

u sh

ould

apply to

be ap

poin

ted R

epresen

tative Payee (for V

A

ben

efits the R

epresen

tative Payee is called “Fid

uciary”) an

d h

ave the

checks au

tom

atically dep

osited

into

the g

uard

iansh

ip acco

unt. If yo

ur

ward

lives in a n

ursin

g facility o

r a residen

ce for p

eople w

ith

disab

ilities, you m

ay prefer to

have th

e facility or resid

ence b

ecom

e Rep

resentative Payee. T

hat w

ay the n

ursin

g h

om

e will receive th

e m

oney an

d yo

u d

on’t h

ave to m

anag

e it and p

ay the n

ursin

g h

om

e each

month

.

Exam

ple: T

he N

ursin

g H

om

e as Rep

resentative Payee

Mary E

lkins an

d h

er disab

led b

roth

er John h

ave lived to

geth

er for

man

y years. Ever sin

ce she tu

rned

65, M

ary had

the S

ocial S

ecurity

Adm

inistratio

n d

eposit h

er Social S

ecurity ch

eck and Jo

hn’s S

SI ch

eck in

to a jo

int b

ank acco

unt. N

ow

that Jo

hn h

as been

placed

in a n

ursin

g

hom

e and M

ary has b

ecom

e John’s g

uard

ian, eith

er Mary o

r the

nursin

g h

om

e can ap

ply to

the S

ocial S

ecurity A

dm

inistratio

n to

beco

me Jo

hn’s R

epresen

tative Payee. If the n

ursin

g h

om

e beco

mes

the R

epresen

tative Payee the n

ursin

g h

om

e will u

se the m

oney fo

r Jo

hn’s m

onth

ly nursin

g h

om

e cost an

d w

ill then

apply fo

r additio

nal

Med

icaid co

verage. M

ary will o

nly g

ain access to

John’s M

edicaid

-ap

pro

ved p

ersonal allo

wan

ce to b

e used

for Jo

hn’s p

ersonal n

eeds.

This arran

gem

ent w

ill make m

anag

ing Jo

hn’s fu

nds very easy fo

r Mary.

Payin

g B

ills You m

ust assess yo

ur w

ard’s m

onth

ly expen

ses and arran

ge to

have

these m

et. Inclu

de p

aymen

ts for ren

t, food, clo

thin

g, p

et care, housekeep

ing an

d p

ersonal care p

rovid

ers, social activities, ed

ucatio

nal

pro

gram

s, med

ical expen

ses, and care o

f dep

enden

ts (if ord

ered b

y th

e judge). R

equest th

at all recurrin

g b

ills (such

as those fo

r utilities

and ren

t) be re-d

irected to

you so

that th

ey can b

e paid

in a tim

ely fash

ion. Id

entify n

on-recu

rring b

ills and arran

ge fo

r paym

ent.

Exam

ples o

f non-recu

rring b

ills are docto

r’s bills, p

ayroll taxes an

d

related exp

enses fo

r househ

old

emplo

yees. You m

ay set up a lo

cal acco

unt w

ith a g

rocery sto

re or arran

ge fo

r petty cash

for h

om

ecare w

orkers to

make yo

ur life a little easier. If yo

ur w

ard is ab

le to m

anag

e a sm

all amount o

f money yo

u m

ay arrange fo

r weekly sp

endin

g m

oney

so th

at he o

r she still h

as som

e indep

enden

ce.

http://ww



M

[39]

Guardian A

ssistance Netw

ork

NO

TE: Y

ou sh

ould

always p

ay by ch

eck rather th

an cash

since it is extrem

ely difficu

lt to acco

unt fo

r cash p

aymen

ts when

you w

rite your rep

orts to

the ju

dge.

If you n

eed to

pay b

y money o

rder, w

rite dow

n o

n th

e receipt w

hat th

e paym

ent

was fo

r. And, if yo

u m

ust p

ay with

cash ask th

at the recip

ient sig

n a receip

t for

you.

Payin

g O

utsta

nd

ing

Deb

ts Id

entify all cu

rrent d

ebt an

d arran

ge fo

r paym

ent. In

clude co

urt

ord

ered p

aymen

ts to vario

us p

rofessio

nals w

ho w

ere invo

lved in

the

guard

iansh

ip p

rocess. C

heck yo

ur O

rder an

d Ju

dgm

ent fo

r the n

ames

of th

e peo

ple w

ho m

ust b

e paid

and th

e amount o

f their fees.

If your w

ard receives S

ocial S

ecurity b

enefits o

r Supplem

ental S

ecurity

Inco

me an

d h

as no fin

ancial assets, yo

ur first o

blig

ation is to

ensu

re th

at your w

ard’s m

onth

ly expen

ses are covered

, such

as for sh

elter, fo

od an

d clo

thin

g. G

uard

ians sh

ould

advise all cred

itors th

at their

ward

s are not cap

able o

f payin

g th

eir outstan

din

g d

ebt b

y sendin

g th

e cred

itor a letter exp

lainin

g th

e ward

’s situatio

n an

d th

e fact that yo

u

are now

Guard

ian an

d R

epresen

tative Payee for yo

ur w

ard. C

lick here

for a a sam

ple letter to

credito

rs.

NO

TE: C

redito

rs can u

sually g

ain access to

your w

ard’s in

com

e befo

re you can

. H

ow

ever, credito

rs can

no

t gain

access to yo

ur w

ard’s g

overn

men

t inco

me

checks. Fu

rtherm

ore, if yo

ur w

ard h

ad received

an “o

verpaym

ent” fro

m S

ocial

Secu

rity or S

SI, an

d m

ust p

ay the o

verpaid

amount b

ack to th

e Social S

ecurity

Adm

inistratio

n yo

u sh

ould

neg

otiate a m

onth

ly paym

ent th

at is as small as

possib

le so th

at you can

pay yo

ur w

ard’s o

rdin

ary month

ly expen

ses with

out to

o

much

hard

ship

.

Arra

ng

ing

Fo

r Yo

ur W

ard

’s Mail to

Be R

e-D

irecte

d T

o Y

ou

Perso

nal m

ail can ju

st be fo

rward

ed to

you b

ut o

fficial mail like b

ills an

d o

ther statem

ents sh

ould

be ad

dressed

to yo

u “as g

uard

ian fo

r [yo

ur w

ard’s n

ame]”, sim

ilar to th

e title on th

e guard

iansh

ip acco

unt.

Fin

din

g B

an

k A

ccou

nts w

ith H

elp

from

the IR

S

Exam

ple

: Lookin

g fo

r Ban

k Acco

unts

Rudi Jo

hnso

n received

his C

om

missio

n to

act as guard

ian fo

r his U

ncle

Jacob a w

eek ago. S

ince h

is uncle alw

ays was secretive ab

out h

is fin

ances R

udi h

as no id

ea how

much

money h

is uncle h

as and w

here

his b

ank acco

unts are lo

cated, b

ut h

e wan

ts to b

e sure th

at his u

ncle’s

funds are safe fro

m p

eople w

ho h

ave abused

Uncle Jaco

b in

the p

ast. The first th

ing R

udi m

ust d

o is to

find U

ncle Jaco

b’s b

ank acco

unts an

d

close th

em so

that U

ncle Jaco

b an

d th

e peo

ple w

ho to

ok ad

vantag

e of

him

, no lo

nger h

ave access to th

e money.

http://ww



M

[40]

http://www.nycourts.gov/ip/gan/sample_forms/sample_letter_to_creditors.doc

http://www.nycourts.gov/ip/gan/sample_forms/sample_letter_to_creditors.doc

Guardian A

ssistance Netw

ork

One o

f the m

ost d

ifficult tasks g

uard

ians u

sually face is to

find all th

e assets an

d so

urces o

f inco

me o

f their w

ard. A

good so

urce o

f help

for

guard

ians is th

e Inte

rnal R

even

ue S

erv

ice, w

hich

regularly receives

info

rmatio

n o

n all tax p

ayers who o

wn b

ank acco

unts o

r who h

ave in

com

e from

wag

es, pen

sions, o

r investm

ents. If yo

u th

ink yo

ur w

ard

may h

ave ban

k accounts yo

u can

not fin

d, yo

u m

ay fill out IR

S Fo

rm

4506T (R

equest fo

r Tran

script o

f a Tax R

eturn

). Check item

#8 o

n th

e Fo

rm. A

fter about tw

o m

onth

s the IR

S w

ill send yo

u a rep

ort o

n all

ban

ks and o

ther fin

ancial in

stitutio

ns th

at have su

bm

itted fin

ancial

info

rmatio

n to

the IR

S o

n acco

unts o

wned

by yo

ur w

ard. T

here are

also p

rivate agen

cies that w

ill do th

is faster for a fee.

N

OTE: IR

S fo

rms are availab

le thro

ugh its w

ebsite: w

ww

.irs.gov, o

r by callin

g

1-8

00-8

29-3

676. W

hen

ever you m

ail a letter or fo

rm to

the IR

S yo

u sh

ould

attach

a copy o

f your certified

Guard

iansh

ip C

om

missio

n an

d sig

n yo

ur letter o

r fo

rm as “G

uard

ian”.

Lo

catin

g O

ther U

ncla

imed

Pro

perty

In

additio

n to

searchin

g fo

r your w

ard’s active b

ank acco

unts, yo

u m

ay w

ant to

search fo

r oth

er unclaim

ed p

roperty th

at is ow

ned

by yo

ur

ward

, such

as unclaim

ed tax refu

nds, in

suran

ce reimbursem

ent, an

d

neg

lected b

ank acco

unts. In

New

York S

tate you m

ay try ww

w.o

sc.state.n

y.us. Fo

r pro

perty in

oth

er states you m

ay try the w

ebsite o

f th

e Natio

nal A

ssociatio

n o

f Unclaim

ed Pro

perty A

dm

inistrato

rs, ww

w.

nau

pa.o

rg.

Lo

okin

g F

or S

afe

Dep

osit B

oxes

Check w

ith th

e ban

k to fin

d o

ut if yo

ur w

ard h

ad a safe d

eposit b

ox

and arran

ge w

ith th

e ban

k to m

ake an in

vento

ry of its co

nten

ts. If the

safe dep

osit b

ox is jo

intly h

eld w

ith so

meo

ne else, sep

arate your

ward

’s valuab

les from

those o

f the o

ther p

erson an

d ren

t a separate

box fo

r your w

ard.

NO

TE: Y

ou sh

ould

check yo

ur O

rder an

d Ju

dgm

ent to

see if the ju

dge o

rdered

yo

u to

check th

e conten

ts of a safe d

eposit b

ox. If it is n

ot in

the o

rigin

al Ord

er yo

u m

ay need

a special co

urt o

rder to

gain

access to th

e safe dep

osit b

ox.

Lo

catin

g In

sura

nce

Po

licies

Iden

tify all insu

rance p

olicies; m

ake a list and in

clude th

e nam

e of th

e co

mpan

y and th

e policy n

um

ber. Po

licies may in

clude h

ouseh

old

, valu

able item

s, liability, life, fire, au

to, lo

ng term

care, and m

edical

insu

rance. N

otify th

e com

pan

ies of yo

ur g

uard

iansh

ip ap

poin

tmen

t an

d req

uest th

at all corresp

onden

ce be re-d

irected to

you.

Iden

tifyin

g A

ll Investm

en

ts Id

entify all sto

cks, bonds, m

utu

al funds, an

d in

vestmen

t accounts yo

ur

http://ww



M

[41]

http://www.irs.gov/

http://www.osc.state.ny.us/

http://www.osc.state.ny.us/

http://www.naupa.org/

http://www.naupa.org/

Guardian A

ssistance Netw

ork

ward

may h

ave establish

ed in

the p

ast. Make a list o

f each w

ith th

e nam

e of th

e security, p

olicy n

um

ber, an

d cu

rrent valu

e. Notify all

com

pan

ies of yo

ur g

uard

iansh

ip ap

poin

tmen

t (send th

em a co

py o

f yo

ur C

ertified C

om

missio

n) an

d req

uest th

at all corresp

onden

ce be re-

directed

to yo

u. If yo

ur w

ard’s assets are co

mplicated

, request

perm

ission fro

m th

e judge to

hire an

investm

ent b

roker o

r accountan

t to

man

age yo

ur w

ard’s assets.

If stock certificates can

not b

e located

, arrange fo

r an in

dem

nity b

ond.

Iden

tifyin

g V

alu

ab

le P

erso

nal Ite

ms

Iden

tify all valuab

le pro

perty at yo

ur w

ard’s h

om

e: inclu

de jew

elry, art, fin

e rugs, co

ins, stam

p co

llections, silverw

are, and cash

. You

should

have th

e items ap

praised

for th

eir estimated

value an

d if th

ey are n

ot in

sured

, you sh

ould

insu

re them

. Make su

re that yo

u m

ake a list o

f all of th

e items.

Lo

okin

g F

or V

alu

ab

le D

ocu

men

ts Search

for im

portan

t docu

men

ts among yo

ur w

ard’s p

apers. Lo

ok fo

r a w

ill, a health

care pro

xy, a living w

ill, a pow

er of atto

rney an

d

anyth

ing else yo

u th

ink m

ay be im

portan

t. Put th

ese docu

men

ts in a

safe place.

Lo

catin

g R

eal P

rop

erty

Id

entify an

y real estate ow

ned

by yo

ur w

ard an

d file a “S

tatemen

t Id

entifyin

g R

eal Property” w

ith th

e Pro

perty

Reco

rdin

g O

ffice o

f the

cou

nty

wh

ere

the p

rop

erty

is loca

ted

. These d

ocu

men

ts must b

e sig

ned

by yo

u in

front o

f a Notary Pu

blic. R

eal pro

perty m

ust b

e kept

in yo

ur w

ard’s n

ame. If yo

ur w

ard o

wns a co

-op ap

artmen

t you m

ust

notify th

e Co-o

p B

oard

of yo

ur ap

poin

tmen

t and ask to

have an

y mail

re-directed

to yo

u. ( C

lick here fo

r a sample o

f a Statem

ent Id

entifyin

g

Real Pro

perty.)

NO

TE: If yo

u w

ish to

sell the p

roperty yo

u m

ust first g

et perm

ission fro

m th

e ju

dge. B

efore yo

u sell th

e pro

perty th

e judge m

ay wan

t it to b

e appraised

by an

ap

praiser w

ho is listed

on a co

urt ap

pro

ved list an

d th

e judge w

ill establish

the fee

for th

e appraiser.

Filin

g T

ax R

etu

rns

File federal, state an

d lo

cal tax return

s befo

re April 1

5th

of each

year. If yo

u can

not file yo

ur w

ard’s taxes o

n tim

e you m

ay file for a six

month

s extensio

n, u

sing IR

S Fo

rm 4

868, called

an A

pplicatio

n fo

r Auto

matic E

xtensio

n o

f Tim

e. Tax retu

rns m

ust b

e filed in

your w

ard’s

nam

e and so

cial security n

um

ber, b

ut th

ey must b

e signed

by yo

u as

“Gu

ard

ian

for [n

am

e o

f yo

ur w

ard

], an

inca

pacita

ted

perso

n.”

You sh

ould

attach a co

py o

f your certified

Com

missio

n to

the tax

return

s you file fo

r your w

ard. If yo

ur w

ard m

issed filin

g tax retu

rns in

previo

us years th

e IRS w

ill notify yo

u an

d d

eman

d th

at these b

e filed

http://ww



M

[42]

http://www.nycourts.gov/ip/gan/sample_forms/sample_Statement_Identifying_Real_Property.doc

http://www.nycourts.gov/ip/gan/sample_forms/sample_Statement_Identifying_Real_Property.doc

Guardian A

ssistance Netw

ork

as soon as p

ossib

le. Req

uest th

at the IR

S w

aive pen

alties for late filin

g

and sen

d th

e IRS a co

py o

f your C

ertified C

om

missio

n to

show

that

your w

ard is an

incap

acitated p

erson an

d w

as incap

able o

f filing taxes

previo

usly.

NO

TE: If yo

u n

eed h

elp w

ith yo

ur w

ard’s taxes yo

u sh

ould

ask perm

ission fro

m

the ju

dge to

hire an

accountan

t. If the ju

dge ap

pro

ves your req

uest, th

e judge

will set th

e accountan

t’s fee which

then

can b

e paid

out o

f your w

ard’s assets.

Sp

en

din

g D

ow

n Y

ou

r Ward

’s Asse

ts As yo

u are sp

endin

g yo

ur w

ard’s assets o

n h

is or h

er care you m

ust

make a p

lan fo

r your w

ard’s fu

ture fin

ancial n

eeds. T

his m

ay require

you to

engag

e in M

edicaid

plan

nin

g if yo

ur w

ard’s assets are clo

se to

bein

g d

epleted

. You sh

ould

discu

ss Med

icaid p

lannin

g w

ith an

eld

er

law

atto

rney fam

iliar with

Med

icaid. M

edicaid

is an im

portan

t med

ical in

suran

ce pro

gram

that co

vers extensive h

om

e care and n

ursin

g h

om

e care fo

r New

Yorkers w

ho h

ave dep

leted th

eir assets and h

ave beco

me

indig

ent. ( C

lick here fo

r more in

form

ation o

n M

edicaid

.)

State Ju

stice Institu

te G

uard

ian A

ssistance N

etwork | K

ings C

ounty S

uprem

e Court | 3

60 A

dam

s Street, R

oom

723 | B

rooklyn

, NY 1

1201

(347) 2

96-1

948 | G

AN

@co

urts.state.n

y.us

Copyrig

ht ©

2008

Vera In

stitute o

f Justice, In

c. A d

emonstratio

n p

roject o

f the V

era Institu

te of Ju

stice, Inc.

http://ww



M

[43]

http://www.nycourts.gov/ip/gan/resources/medicaid.shtml


Guardian A

ssistance Netw

ork

● W

hat Is a G

uard

ian?

● Fro

m C

ourt H

earing

to G

uard

iansh

ip

Com

misio

n●

The First 9

0 D

ays: Fro

m C

om

misio

n to

In

itial Rep

ort

● T

he G

uard

ian fo

r Perso

nal N

eeds

● T

he G

uard

ian fo

r Pro

perty M

anag

emen

t●

The In

itial & A

nnual

Rep

orts

● E

ndin

g a G

uard

iansh

ip

● E

spañ

ol

Th

e In

itial &

An

nu

al R

ep

orts

All g

uard

ians m

ust reg

ularly rep

ort to

the co

urt. T

hese rep

orts g

ive the co

urt

info

rmatio

n ab

out yo

ur w

ard an

d h

ow

well yo

u are takin

g care o

f your w

ard’s

affairs, what yo

ur p

lans are fo

r your w

ard, h

ow

much

money yo

ur w

ard h

as, and

anyth

ing else th

at gives th

e judge a g

ood sen

se that yo

ur w

ard is w

ell cared fo

r. The rep

orts m

ust b

e written

in a co

urt ap

pro

ved fo

rm. C

opies o

f form

s are located

in

Reso

urces an

d ad

ditio

nal co

pies can

be o

btain

ed fro

m th

e Guard

iansh

ip Part o

r th

e Court C

lerk in yo

ur co

urth

ouse.

● T

he In

itial R

ep

ort is th

e first report yo

u m

ust w

rite 90 d

ays after you

received yo

ur C

om

missio

n. T

his rep

ort is m

eant to

be a p

icture o

r “sn

apsh

ot” o

f your w

ard’s situ

ation at th

e beg

innin

g o

f the g

uard

iansh

ip.

(Click h

ere for a sam

ple an

Initial R

eport.)

● T

he A

nn

ual R

ep

ort, so

metim

es called th

e “Annual A

ccountin

g” is alw

ays due in

May an

d co

vers the p

revious calen

dar year fro

m Jan

uary 1

thro

ugh

Decem

ber 3

1. T

he p

eriod b

etween

the In

itial Rep

ort an

d th

e Annual R

eport

is the tim

e in w

hich

you co

ntin

ue to

care for yo

ur w

ard acco

rdin

g to

the

judge’s o

rders an

d th

e plan

s you o

utlin

ed in

your In

itial Rep

ort. (C

lick here

for a sam

ple o

f an A

nnual R

eport.)

● W

hat In

form

ation M

ust B

e Inclu

ded

In T

he R

eports?

● A

sking Fo

r Reim

bursem

ent o

f Your “O

ut-O

f-Pocket” E

xpen

ses●

Askin

g fo

r Chan

ges in

the G

uard

ian’s Po

wer

❍ C

an G

uard

ians A

sk For C

han

ges at A

ny O

ther T

ime?

❍ W

ho S

hould

Receive M

y Initial o

r Annual R

eports?

❍ W

hat h

appen

s to th

e Rep

orts after I file th

em?

● T

he In

itial Rep

ort

http://ww


anual/initial_annual_reports.shtml (1 of 8)11/20/2011 9:25:10 A

M

[44]
















http://www.nycourts.gov/ip/gan/sample_forms/sample_Initial_Report.doc

http://www.nycourts.gov/ip/gan/sample_forms/sample_Guardian.doc

http://www.nycourts.gov/ip/gan/sample_forms/sample_Guardian.doc











Guardian A

ssistance Netw

ork

● T

he A

nnual R

eport

Wh

at In

form

atio

n M

ust B

e In

clud

ed

In T

he R

ep

orts?

The ju

dge w

ill wan

t to kn

ow

that yo

ur w

ard is in

good h

ands an

d th

at you are

doin

g everyth

ing fo

r your w

ard th

e way th

e judge h

ad o

rdered

. When

you p

repare

to w

rite your rep

orts, yo

u sh

ould

first re-read th

e Ord

er and Ju

dgm

ent so

that yo

u

know

exactly what th

e judge h

as given

you th

e pow

er to d

o an

d th

en start fillin

g in

th

e sections listed

in th

e report fo

rms. (T

his is th

e time w

here yo

u w

ill find th

at yo

u w

ill greatly b

enefit fro

m h

aving m

ade p

ersonal n

otes an

d h

aving kep

t receipts

and all statem

ents, in

voices an

d b

ills.)

NO

TE: M

ost g

uard

ians fin

d th

at som

e sections o

f the rep

ort fo

rms are n

ot

relevant in

their p

articular w

ard’s case. If yo

u d

on’t fill o

ut a sectio

n b

ecause it

does n

ot ap

ply, yo

u sh

ould

write in

that sectio

n th

e word

s: NO

T A

PPLICABLE

. N

ever le

ave a

sectio

n in

the fo

rm b

lan

k.

Ask

ing

Fo

r Reim

bu

rsem

en

t of Y

ou

r “Ou

t-Of-P

ock

et” E

xp

en

ses

In yo

ur rep

orts yo

u m

ay ask for reim

bursem

ent o

f expen

ses you h

ave paid

out o

f yo

ur o

wn fu

nds o

n b

ehalf o

f your w

ard. B

elow

are som

e examples o

f expen

ses for

which

you m

ay be reim

bursed

, bu

t yo

u ca

n o

nly

get re

imb

urse

d if y

ou

kep

t th

e re

ceip

ts an

d if y

ou

r ward

has a

ssets.

● Lo

st wag

es while yo

u w

ere taking care o

f your w

ard’s affairs

● T

he fee yo

u p

aid to

attend th

e required

guard

iansh

ip train

ing

● T

axi fares, gas, m

ileage, o

r parkin

g fo

r your car to

take your w

ard to

the

docto

r or an

y oth

er appoin

tmen

t●

The co

st to p

hoto

copy p

apers an

d h

ave them

certified

● T

he co

st of o

btain

ing a b

ond, if th

e judge o

rdered

you to

get o

ne

● A

ny p

aymen

ts you h

ave mad

e from

your o

wn fu

nds to

buy su

pplies an

d

services for yo

ur w

ard fo

r which

you h

ave saved th

e receipts

Ask

ing

for C

han

ges in

the G

uard

ian

’s Po

wer

The tim

e to ask fo

r a chan

ge in

the O

rder an

d Ju

dgm

ent is w

hen

you su

bm

it your

Initial o

r Annual R

eport. C

han

ges m

ay be n

eeded

in th

e Ord

er and Ju

dgm

ent o

ver tim

e for an

y num

ber o

f reasons. Fo

r instan

ce a perso

n, w

ho w

as hurt in

an

acciden

t may reco

ver and b

e able to

do m

ore th

ings fo

r him

or h

erself. In th

at case th

e Guard

ian’s p

ow

ers could

beco

me less o

ver time. O

n th

e oth

er han

d,

som

e ward

s beco

me m

ore frail o

ver time an

d m

ay be less ab

le to m

anag

e som

e of

their affairs - in

that case, th

e Ord

er may b

e chan

ged

to g

ive the g

uard

ian

additio

nal p

ow

ers that are n

eeded

.

http://ww



M

[45]

Guardian A

ssistance Netw

ork

If you h

ave good reaso

ns to

ask the ju

dge fo

r a chan

ge in

your p

ow

ers and yo

u

have a law

yer you sh

ould

ask him

or h

er to w

rite a request to

the ju

dge g

iving all

the reaso

ns w

hy yo

u th

ink th

e chan

ge in

the O

rder an

d Ju

dgm

ent is n

eeded

. But

family g

uard

ians w

ithout a law

yer may w

rite the ju

dge th

emselves to

ask for a

chan

ge in

their p

ow

ers. Befo

re you w

rite the ju

dge yo

u m

ay wan

t to call th

e ju

dge’s law

clerk and exp

lain w

hat it is yo

u w

ould

like to d

o –

law clerks can

be

very help

ful to

you sin

ce they w

ork clo

sely with

the ju

dge an

d assist th

e judge w

ith

all legal q

uestio

ns an

d issu

es. If you d

on’t h

ave good reaso

ns fo

r the ch

anges yo

u

request, o

r if the ju

dge d

isagrees w

ith yo

u b

ecause h

e or sh

e feels that yo

ur p

lan

is not in

the b

est interest o

f your w

ard, th

e judge w

ill not ap

pro

ve them

.

Exam

ple

: The Ju

dge’s refu

sal to ch

ange th

e Ord

er and Ju

dgm

ent

Three years ag

o D

onald

was ap

poin

ted g

uard

ian fo

r Personal N

eeds

and Pro

perty M

anag

emen

t for h

is moth

er, Millie, w

ho lives in

her o

wn

apartm

ent in

Bro

oklyn

. Millie is d

oin

g very w

ell, especially n

ow

that

she h

as a hom

e attendan

t three tim

es per w

eek. Tw

o years ag

o

Donald

moved

with

his n

ew w

ife to Lo

ng Islan

d. H

e now

wan

ts to

move M

illie to an

assisted livin

g resid

ence n

ear his h

om

e. Havin

g

Millie n

earby w

ill make it m

uch

easier for D

onald

and h

is wife to

su

pervise h

om

e care aids an

d to

visit his m

oth

er frequen

tly. Donald

has asked

for a ch

ange in

the O

rder an

d Ju

dgm

ent, p

ermittin

g h

im to

m

ove M

illie to Lo

ng Islan

d. B

ut th

ere is a big

pro

blem

: since M

illie is very h

appy in

her ap

artmen

t in w

hich

she h

as lived fo

r man

y years and

becau

se she likes th

e hom

e attendan

t, she d

oes n

ot w

ant to

move.

Becau

se the law

requires th

at ward

s must b

e consu

lted ab

out w

here

they w

ant to

live, the ju

dge d

ecides th

at Millie sh

ould

not b

e moved

an

d d

enies D

onald

’s request to

chan

ge th

e Ord

er and Ju

dgm

ent.

Can

Gu

ard

ian

s Ask

Fo

r Ch

an

ges a

t An

y O

ther T

ime?

Yes, m

ost ju

dges w

ill perm

it guard

ians w

ho h

ave an em

ergen

cy to

write a letter exp

lainin

g w

hy th

e Ord

er need

s to b

e chan

ged

and

asking fo

r the ju

dge’s ap

pro

val befo

re the rep

orts are d

ue. B

efore yo

u

write th

e judge yo

u sh

ould

call the ju

dge’s law

clerk and ask h

im o

r her fo

r guid

ance.

Exam

ple

: Chan

gin

g th

e Ord

er and Ju

dgm

ent in

an

Em

ergen

cy

John is h

is moth

er June’s g

uard

ian fo

r Personal N

eeds. H

is m

oth

er still lives in h

er ow

n ap

artmen

t but sh

e has

advan

ced can

cer in ad

ditio

n to

her d

emen

tia. June’s

docto

r has ad

vised Jo

hn th

at his m

oth

er must b

e placed

in

a nursin

g h

om

e to receive care fro

m n

urses an

d o

ther

specialists an

d h

ave access to m

edicin

es to co

ntro

l her

pain

. The ju

dge’s O

rder an

d Ju

dgm

ent d

oes n

ot g

ive John

http://ww



M

[46]

Guardian A

ssistance Netw

ork

the p

ow

er to p

lace his m

oth

er in a n

ursin

g h

om

e. H

ow

ever, John d

oes n

ot h

ave to w

ait until th

e time h

e has

to su

bm

it his A

nnual R

eport. Jo

hn can

write th

e judge a

letter asking th

at the ju

dge ch

ange th

e Ord

er now

so th

at Ju

ne can

be ad

mitted

to th

e nursin

g h

om

e imm

ediately.

Wh

o S

ho

uld

Rece

ive M

y In

itial o

r An

nu

al R

ep

orts?

O

nce yo

u h

ave finish

ed w

riting eith

er one o

f the rep

orts yo

u m

ust sig

n

it in th

e presen

ce of a N

otary Pu

blic. T

he n

otarized

copy m

ust b

e filed

with

the o

ffice of th

e county clerk. Y

ou sh

ould

either h

and d

eliver the

orig

inal rep

ort to

the co

unty clerk o

r mail it b

y certified m

ail, return

receip

t requested

. You sh

ould

also m

ail a photo

copy o

f the rep

ort to

:

● T

he co

urt exam

iner w

ho h

as been

assigned

to yo

ur w

ard’s case.

The co

urt exam

iner’s n

ame is u

sually lo

cated in

the O

rder an

d

Judgm

ent, b

ut if it is n

ot yo

u can

contact th

e county clerk’s

office to

find o

ut w

ho th

e court exam

iner is fo

r your w

ard’s case.

● Y

our w

ard, u

nless th

e judge o

rdered

you n

ot to

do so

in th

e O

rder an

d Ju

dgm

ent.

● T

he co

urt evalu

ator w

ho rep

orted

to th

e court d

urin

g th

e hearin

g

(Initial R

eport o

nly).

● A

ny atto

rney w

ho rep

resented

your w

ard at th

e hearin

g (In

itial Rep

ort o

nly).

● T

he b

ond co

mpan

y, if you w

ere required

to g

et a bond (A

nnual

Rep

ort o

nly).

● If yo

ur w

ard lives in

a hom

e for p

eople w

ith d

isabilities, o

r an

oth

er similar typ

e of resid

ence, yo

u m

ust sen

d a co

py o

f the

report to

the ad

min

istrator o

f the resid

ence.

● If yo

ur w

ard lives in

a men

tal health

facility, you m

ust sen

d a

copy o

f the rep

ort to

the D

irector o

f Men

tal Hyg

iene Leg

al Services.

In B

roo

kly

n, Q

ueen

s an

d S

tate

n Isla

nd th

is perso

n is:

Sid

ney H

irschfeld

, Directo

r Seco

nd Ju

dicial D

epartm

ent, M

ental H

ygien

e Legal S

ervices 170 O

ld C

ountry R

oad

M

ineo

la, NY 1

1501

In M

an

hatta

n a

nd

the B

ron

x th

is perso

n is:

Marvin

Bern

stein, D

irector

First Judicial D

epartm

ent, M

ental H

ygien

e Legal S

ervices 60 M

adiso

n A

venue, 2

nd Flo

or

New

York, N

Y 1

0010

http://ww



M

[47]

Guardian A

ssistance Netw

ork

Wh

at h

ap

pen

s to th

e R

ep

orts a

fter I file

them

?

All rep

orts are review

ed b

y the co

urt exam

iner w

ho m

ust m

ake sure

that th

e reports p

resent in

form

ation o

n all th

e tasks that w

ere listed in

th

e orig

inal O

rder an

d Ju

dgm

ent an

d th

at the acco

untin

g o

f how

you

spen

t your w

ard’s fu

nds is accu

rate and accep

table. Y

ou m

ay be asked

to

chan

ge th

e report if th

e court exam

iner b

elieves that ch

anges are

need

ed. T

he co

urt exam

iner m

ay also call yo

u an

d ask yo

u q

uestio

ns

by p

hone o

r ask you to

com

e to h

is or h

er office. A

fter the co

urt

examin

er has ap

pro

ved yo

ur rep

ort h

e or sh

e will sen

d a su

mm

ary to

the ju

dge.

Th

e In

itial R

ep

ort

The In

itial Rep

ort is also

called th

e “90-d

ay Rep

ort” sin

ce it must b

e subm

itted 9

0

days after th

e day th

at you received

your C

om

missio

n.

All G

uard

ian

s Mu

st Inclu

de T

he F

ollo

win

g In

form

atio

n In

Th

e

Initia

l Rep

ort:

● W

hat typ

e of g

uard

ian yo

u are—

for p

ersonal n

eeds, p

roperty m

anag

emen

t, or b

oth

● W

heth

er you h

ave com

pleted

a guard

iansh

ip train

ing p

rogram

(you m

ust

attach a co

py o

f the certificate o

f attendan

ce to yo

ur rep

ort)

● Y

our w

ard’s ag

e and w

here yo

ur w

ard lives

● T

he n

ame o

f the facility o

r residen

ce where yo

ur w

ard lives, if yo

ur w

ard

does n

ot live at h

om

e ●

How

often

you h

ave visited yo

ur w

ard d

urin

g th

ese first 90 d

ays—yo

u m

ust

have visited

at least once

● A

list of im

portan

t docu

men

ts you h

ave found th

at your w

ard sig

ned

in th

e past, su

ch as p

ow

er of atto

rney, a w

ill, a health

care pro

xy, or a livin

g w

ill●

What p

lans yo

u h

ave to take care o

f your w

ard in

the im

med

iate futu

re●

Wheth

er there h

ave been

chan

ges in

your w

ard’s situ

ation sin

ce the h

earing

Gu

ard

ian

s for P

erso

nal N

eed

s Mu

st Pro

vid

e th

e F

ollo

win

g

Info

rmatio

n:

● T

he n

ames an

d ad

dresses o

f your w

ard’s p

ersonal d

octo

r and p

sychiatrist o

r psych

olo

gist

● T

he d

octo

rs’ diag

nosis

● A

list of o

ther p

rofessio

nals o

r service agen

cies that p

rovid

e services to yo

ur

ward

(hom

e care agen

cies, meals o

n w

heels, so

cial services). You sh

ould

list

http://ww



M

[48]

Guardian A

ssistance Netw

ork

each o

ne w

ith an

address an

d p

hone n

um

ber

● A

list of d

ay care pro

gram

s your w

ard atten

ds reg

ularly w

ith th

eir nam

es and

phone n

um

bers

● A

list of m

edicatio

ns yo

ur w

ard is cu

rrently takin

g

Gu

ard

ian

s for P

rop

erty

Man

ag

em

en

t Mu

st Pro

vid

e D

eta

iled

Fin

an

cial In

form

atio

n o

n:

● B

ank acco

unts yo

ur w

ard o

wned

at the tim

e of yo

ur ap

poin

tmen

t as guard

ian

(inclu

de th

e nam

e of th

e ban

k, the acco

unt n

um

ber an

d th

e amount o

f m

oney in

each acco

unt)

● W

heth

er you h

ave open

ed a G

uard

iansh

ip A

ccount

● A

list of sto

cks, bonds, o

ther secu

rities that yo

u h

ave found, an

d w

heth

er yo

u h

ave chan

ged

the title o

f the acco

unts to

your n

ame as g

uard

ian●

A list o

f any o

ther fu

nds yo

u h

ave found, w

here th

ey were lo

cated, w

hat

their valu

e is, and w

hat yo

u h

ave done w

ith th

ese funds

● A

list of o

ther p

ersonal p

roperty—

such

as a car, furn

iture, jew

elry, and

artwork—

with

a descrip

tion, th

eir locatio

n, an

d th

eir value

● A

list of real p

roperty yo

ur w

ard o

wns in

cludin

g th

e locatio

n, th

e type o

f pro

perty it is, an

d its valu

e●

A list o

f the so

urces o

f your w

ard’s m

onth

ly inco

me, in

cludin

g th

e source an

d

the am

ount each

month

● A

list of o

ther in

com

e, such

as interest o

r divid

ends

● A

list of an

y deb

ts or u

npaid

bills, in

cludin

g w

ho n

eeds to

be p

aid an

d h

ow

m

uch

● A

ny p

ublic b

enefits yo

u h

ave applied

for

● W

heth

er you h

ave applied

for in

suran

ce on b

ehalf o

f your w

ard●

Your w

ard’s in

suran

ce policies (m

edical, lo

ngterm

care, hom

eow

ner’s, au

to,

valuab

le items, art w

ork, life in

suran

ce)●

Wheth

er your w

ard h

as a safe dep

osit b

ox, in

cludin

g th

e nam

e of th

e ban

k, th

e address, an

d w

heth

er or n

ot yo

u h

ave been

able to

see its conten

ts and

determ

ine th

eir value

NO

TE: W

hen

you su

bm

it your rep

ort yo

u sh

ould

attach all receip

ts, invo

ices and

ban

k statemen

ts so th

at the co

urt exam

iner can

easily review h

ow

you h

ave sp

ent yo

ur w

ard’s m

oney.

Th

e A

nn

ual R

ep

ort

NO

TE: T

he A

nnual R

eport is alw

ays due in

May an

d co

vers the p

revious calen

dar

year (January 1

thro

ugh D

ecember 3

1). O

f course, fo

r your very first A

nnual

Rep

ort yo

u are o

nly exp

ected to

pro

vide in

form

ation co

vering th

e perio

d startin

g

with

the d

ate you received

your C

om

missio

n th

rough D

ecember 3

1.

http://ww



M

[49]

Guardian A

ssistance Netw

ork

All G

uard

ian

s Mu

st Pro

vid

e T

he F

ollo

win

g In

form

atio

n In

Th

e

An

nu

al R

ep

ort:

● T

he d

ates (at least four a year) yo

u h

ave visited yo

ur w

ard an

d w

here yo

u

saw yo

ur w

ard.

● A

ny b

ig ch

anges yo

u h

ave observed

in yo

ur w

ard’s situ

ation o

r conditio

n

since th

e last report.

● W

hen

your w

ard last saw

a docto

r. Inclu

de th

e reason fo

r the visit an

d th

e docto

r’s diag

nosis an

d treatm

ent p

lan (if th

ere is one).

● A

report o

n th

e conditio

n o

f the w

ard fro

m a p

rofessio

nal (d

octo

r, psych

olo

gist, n

urse clin

ician, o

r social w

orker) w

ho h

as examin

ed o

r evalu

ated th

e ward

in th

e three m

onth

s prio

r (Febru

ary, March

, or A

pril) to

th

e subm

ission o

f the A

nnual R

eport.

● Facts o

n w

hich

any ch

ange in

your p

ow

ers mig

ht b

e based

, inclu

din

g en

din

g

of th

e guard

iansh

ip.

Gu

ard

ian

s for P

erso

nal N

eed

s Mu

st Also

Inclu

de:

● A

list of m

edical treatm

ents yo

ur w

ard received

since th

e last report.

● Y

our p

lan to

take care of yo

ur w

ard’s m

edical, d

ental, an

d m

ental h

ealth

need

s for th

e next year.

● In

form

ation ab

out th

e social co

nditio

n o

f your w

ard, in

cludin

g w

hat so

cial an

d p

ersonal assistan

ce he o

r she h

as received an

d w

hat yo

ur w

ard’s so

cial skills an

d so

cial need

s are.

Gu

ard

ian

s for P

rop

erty

Man

ag

em

en

t Mu

st Inclu

de:

● A

copy o

f the fed

eral, state, and lo

cal tax return

s you filed

for yo

ur w

ard

befo

re April 1

5 o

f the sam

e year.●

A d

etailed acco

untin

g o

f all inco

me received

and all exp

enses p

aid.

● W

heth

er your w

ard w

as emplo

yed o

r wheth

er he o

r she h

as earned

wag

es th

at you h

ave received o

n b

ehalf o

f your w

ard (th

is applies u

sually to

peo

ple

with

disab

ilities who are em

plo

yed in

supervised

job situ

ations).

● A

request fo

r reimbursem

ent fo

r out-o

f-pocket exp

enses yo

u h

ave had

while

taking care o

f our w

ard’s affairs.

● A

request fo

r your co

mpen

sation o

r fee, also called

“com

missio

n”, if th

e ju

dge h

ad o

rdered

it in yo

ur O

rder an

d Ju

dgm

ent (yo

u are n

ot o

blig

ated to

get p

aymen

t but yo

u m

ay accept it if th

e judge h

ad o

rdered

it).

N

OTE: W

hen

you w

rite your A

nnual R

eport yo

u sh

ould

make su

re that th

e am

ounts ad

d u

p p

roperly so

that th

e court exam

iners w

ill not fin

d fau

lt with

your

report. Y

ou sh

ould

attach an

y vouch

ers, ban

k statemen

ts, and an

y oth

er docu

men

ts that yo

u can

pro

vide to

show

pro

of o

f the in

form

ation yo

u h

ave pro

vided

.

http://ww



M

[50]

Guardian A

ssistance Netw

ork

State Ju

stice Institu

te G

uard

ian A

ssistance N

etwork | K

ings C

ounty S

uprem

e Court | 3

60 A

dam

s Street, R

oom

723 | B

rooklyn

, NY 1

1201

(347) 2

96-1

948 | G

AN

@co

urts.state.n

y.us

Copyrig

ht ©

2008

Vera In

stitute o

f Justice, In

c. A d

emonstratio

n p

roject o

f the V

era Institu

te of Ju

stice, Inc.

http://ww



M

[51]


Guardian A

ssistance Netw

ork

● W

hat Is a G

uard

ian?

● Fro

m C

ourt H

earing

to G

uard

iansh

ip

Com

misio

n●

The First 9

0 D

ays: Fro

m C

om

misio

n to

In

itial Rep

ort

● T

he G

uard

ian fo

r Perso

nal N

eeds

● T

he G

uard

ian fo

r Pro

perty M

anag

emen

t●

The In

itial & A

nnual

Rep

orts

● E

ndin

g a G

uard

iansh

ip

● E

spañ

ol

En

din

g a

Gu

ard

ian

All G

uard

ians even

tually m

ust co

me to

an en

d. O

f course, th

ere are several reaso

ns w

hy G

uard

ians m

ust en

d. E

xamples are:

● T

he w

ard h

as died

● T

he w

ard n

o lo

nger n

eeds a g

uard

ian●

The g

uard

ian h

as a perso

nal reaso

n (fo

r example, is m

ovin

g to

anoth

er state) o

r is no lo

nger ab

le to p

erform

all the d

uties th

at are required

●

The ju

dge w

ants to

end th

e Guard

ian b

ecause h

e or sh

e is dissatisfied

with

th

e guard

ian

NO

TE: W

hatever th

e reason is fo

r endin

g th

e Guard

ian, y

ou

may n

ot ju

st stop

o

n y

ou

r ow

n. In

ord

er to fo

rmally en

d yo

ur resp

onsib

ilities you m

ust ask th

e ju

dge to

disch

arge yo

u an

d ask fo

r perm

ission to

subm

it a “final acco

untin

g”.

If your w

ard h

as died

you m

ust sen

d th

e judge a co

py o

f the D

eath C

ertificate. You

must also

info

rm all o

ther relevan

t parties su

ch as: th

e Social S

ecurity

Adm

inistratio

n o

r the V

eterans A

dm

inistratio

n, yo

ur w

ard’s p

ensio

n p

lan, M

edicaid

if yo

ur w

ard w

as receiving M

edicaid

ben

efits, the execu

tor o

f your w

ard’s estate o

r th

e Public A

dm

inistrato

r, if your w

ard d

id n

ot h

ave a will, an

d o

f course n

ext of

kin. A

ll parties sh

ould

be sen

t a copy o

f your w

ard’s D

eath C

ertificate.

If you w

ere your w

ard’s G

uard

ian

for P

rop

erty

Man

ag

em

en

t your o

blig

ation to

m

anag

e your w

ard’s fu

nds is n

ow

greatly red

uced

- from

now

on yo

u are o

nly

allow

ed to

pay so

me o

utstan

din

g b

ills for services ren

dered

while yo

ur w

ard w

as still alive (fo

r instan

ce hom

ecare expen

ses), the an

nual p

remiu

m fo

r the b

ond

which

remain

s in effect u

ntil yo

u are o

fficially disch

arged

, and yo

ur w

ards fu

neral

bills. A

ll oth

er finan

cial man

agem

ent tasks m

ust b

e turn

ed o

ver to th

e executo

r of

your w

ard’s estate o

r to th

e Public A

dm

inistrato

r, if you w

ard d

id n

ot h

ave a will.

Th

e F

inal A

ccou

ntin

g

Guard

ians fo

r Property M

anag

emen

t must file a rep

ort w

hich

is called a Fin

al http://w

ww

.nycourts.gov/ip/gan/manual/ending_guardianship.shtm

l (1 of 2)11/20/2011 9:26:23 AM

[52]

























Guardian A

ssistance Netw

ork

Acco

untin

g w

hich

has to

cover fin

ancial in

form

ation co

vering th

e perio

d b

etween

th

e end d

ate of yo

ur last A

nnual R

eport an

d th

e date o

f your w

ard’s d

eath. Y

ou

should

inclu

de a req

uest fo

r any reim

bursem

ent o

r paym

ent th

at is still outstan

din

g. C

lick here to

view sam

ple o

f a Final A

ccountin

g fo

rm.

Wh

o sh

ou

ld re

ceiv

e a

cop

y o

f the F

inal A

ccou

ntin

g?

The o

rigin

al Final A

ccountin

g R

eport is filed

with

the co

unty clerk an

d

copies o

f it must b

e subm

itted to

:

❍ T

he co

urt exam

iner

❍ E

very one th

at received yo

ur A

nnual R

eports

❍ T

he execu

tor o

r adm

inistrato

r of yo

ur w

ard’s estate

❍ T

he O

ffice of Leg

al Affairs o

f the H

um

an R

esources A

dm

inistratio

n if

your w

ard received

Med

icaid services

After th

e court exam

iner h

as evaluated

and ap

pro

ved th

e Final

Acco

untin

g, th

e judge w

ill issue an

Ord

er disch

argin

g yo

u as g

uard

ian.

The ju

dge w

ill also d

ecide w

ho w

ill be p

aid fro

m an

y funds th

at remain

in

your w

ard’s estate.

NO

TE: T

he b

ond w

ill not b

e termin

ated u

ntil after th

e Final A

ccountin

g h

as been

filed

and th

e court exam

iner h

as appro

ved it. O

nce th

e judge h

as issued

an O

rder

disch

argin

g yo

u as g

uard

ian, yo

u m

ay send th

e bondin

g ag

ency a co

py o

f the

judge’s O

rder an

d ask th

at the b

ond b

e termin

ated.

State Ju

stice Institu

te G

uard

ian A

ssistance N

etwork | K

ings C

ounty S

uprem

e Court | 3

60 A

dam

s Street, R

oom

723 | B

rooklyn

, NY 1

1201

(347) 2

96-1

948 | G

AN

@co

urts.state.n

y.us

Copyrig

ht ©

2008

Vera In

stitute o

f Justice, In

c. A d

emonstratio

n p

roject o

f the V

era Institu

te of Ju

stice, Inc.

http://ww


anual/ending_guardianship.shtml (2 of 2)11/20/2011 9:26:23 A

M

[53]

http://www.nycourts.gov/ip/gan/sample_forms/sample_Final_Accounting.doc


Guardian A

ssistance Netw

ork

● E

spañ

ol

● List o

f Offices

● B

ondin

g A

gen

cies●

Med

ical Term

inolo

gy

& A

bbreviatio

ns

● C

aring fo

r Men

tally/ Ph

ysically Disab

led●

Med

icare●

Med

icaid in

NYS

● D

irectory fo

r G

uard

ians

● M

ental Illn

ess/Assisted

Outp

atient

Treatm

ent

● G

lossary

Dire

ctory

for G

uard

ian

s

● S

ervices for Peo

ple o

ver the A

ge O

f 60

● O

rgan

izations fo

r Specific D

iseases & C

onditio

ns

● S

ervices for Peo

ple w

ith M

ental R

etardatio

n an

d D

evelopm

ental D

isabilities

● S

ervices for Peo

ple w

ith M

ental D

isabilities

Serv

ices fo

r Peo

ple

over th

e A

ge O

f 60

New

Yo

rk S

tate

Office

for th

e A

gin

g

Hot Lin

e: (800) 3

42-9

871 o

r (518) 4

74-5

731

ww

w.ag

ing.n

y.gov

agin

g@

agin

g.state.n

y.us

New

Yo

rk C

ity D

ep

artm

en

t for th

e A

gin

g

Help

line: (2

12) 4

12-1

000 (E

nglish

and S

pan

ish) O

R

Dial 3

11 an

d ask fo

r social services sp

ecialist for th

e agin

g.

ww

w.n

yc.gov/h

tml/d

fta and click o

n “B

enefit Q

uick C

heck”

New

Yo

rk S

tate

Health

Reso

urce

s w

ww

.nyseg

ov.co

m an

d click o

n “ag

ing”

New

Yo

rk S

tate

Health

Insu

ran

ce In

form

atio

n, C

ou

nse

ling

an

d A

ssistan

ce P

rog

ram

(N

YS

HIIC

AP

) For co

unselin

g o

n M

edicare an

d o

ther h

ealth in

suran

ce pro

gram

s Toll-free H

otlin

e: (800) 7

01-0

501

ww

w.ag

ing.n

y.gov/H

ealthBen

efits/HIIC

APIn

dex.cfm

Med

icare

Rig

hts C

en

ter

For h

elp w

ith M

edicare p

roblem

s Ph

one: (2

12) 8

69-3

850

ww

w.m

edicarerig

hts.o

rg

New

Yo

rk S

tate

Med

icaid

Toll-free H

elplin

e: (800) 5

41-2

831

http

://ww

w.h

ealth.state.n

y.us/h

ealth_care/m

edicaid

/

http://ww

w.nycourts.gov/ip/gan/resources/directory4guardians.shtm

l (1 of 5)11/20/2011 9:27:07 AM

[54]









http://www.nycourts.gov/ip/gan/resources/list_offices.shtml

http://www.nycourts.gov/ip/gan/resources/bonding_agencies.shtml

http://www.nycourts.gov/ip/gan/resources/medical_terminology.shtml

http://www.nycourts.gov/ip/gan/resources/medical_terminology.shtml

http://www.nycourts.gov/ip/gan/resources/caring4mentally.shtml

http://www.nycourts.gov/ip/gan/resources/caring4mentally.shtml

http://www.nycourts.gov/ip/gan/resources/medicare.shtml

http://www.nycourts.gov/ip/gan/resources/medicaid.shtml

http://www.nycourts.gov/ip/gan/resources/mental_illness.shtml



http://www.nycourts.gov/ip/gan/resources/glossary.shtml



http://www.aging.ny.gov/


http://www.nyc.gov/html/dfta

http://www.nysegov.com/

http://www.aging.ny.gov/HealthBenefits/HIICAPIndex.cfm

http://www.medicarerights.org/

http://www.health.state.ny.us/health_care/medicaid/











Guardian A

ssistance Netw

ork

New

Yo

rk S

tate

Lo

ng

Term

Care

Om

bu

dsm

an

Fo

r help

on p

roblem

s related to

nursin

g h

om

e care and services

From

with

in N

ew Y

ork S

tate: 1-8

00-3

42-9

871

From

outsid

e New

York S

tate: 518-4

74-7

329

ww

w.ltco

mbudsm

an.n

y.gov/

Frie

nd

s an

d R

ela

tives o

f the In

stitutio

nalize

d A

ged

Fo

r info

rmatio

n o

n n

ursin

g h

om

es or co

ncern

s about a w

ard’s care in

a nursin

g h

om

e H

elplin

e: (212) 7

32-4

455 T

uesd

ays-Fridays 1

0AM

—5PM

in

fo@

fria.org

or w

ww

.fria.org

Un

ited

Way o

f New

Yo

rk C

ity

To fin

d ad

dresses o

f various so

cial service agen

cies Ph

one: (2

12) 2

51-2

500

ww

w.u

nited

wayn

yc.org

Click o

n A

GIN

G in

“target g

roups” an

d fill in

your w

ard’s zip

code to

find

services near yo

ur w

ard’s h

om

e. N

atio

nal A

ssocia

tion

of G

eria

tric Care

Man

ag

ers, G

reate

r New

Yo

rk C

hap

ter

To fin

d so

cial workers in

private p

ractice who assist o

lder p

ersons an

d th

eir families

ww

w.n

ygcm

.org

Natio

nal F

am

ily C

are

giv

ers O

rgan

izatio

n

Toll Free: 1

-800-8

96-3

650

ww

w.n

fcacares.org

Natio

nal A

cad

em

y o

f Eld

er L

aw

Atto

rneys (N

AELA

) Fo

r the n

ames o

f attorn

eys who sp

ecialize in eld

er law an

d M

edicaid

Plannin

g

ww

w.n

aela.com

Click o

n “lo

cate and eld

er law atto

rney”

Org

an

izatio

ns

for S

pecific D

isease

s an

d C

on

ditio

ns

Natio

nal A

lzheim

er’s A

ssocia

tion

Toll-free 2

4-h

our H

elplin

e: (800) 2

72-3

900

http

://ww

w.alz.o

rg o

r Info

@alz.o

rg

En E

spañ

ol: w

ww

.alz.org

/espan

ol_

recurso

s_para_

los_

latinos.asp

New

Yo

rk C

ity C

hap

ter A

lzheim

er’s A

ssocia

tion

24-h

our H

elplin

e: (800) 2

72-3

900

Http

://ww

w.alzn

yc.org

Un

ited

Cere

bra

l Palsy

Toll-free: (8

00) 4

48-3

827

Http

://ww

w.u

cp.o

rg o

r web

master@

ucp

.org

Un

ited

Cere

bra

l Palsy

of N

ew

Yo

rk C

ity

Phone: (2

12) 9

79-9

700, E

xt. 720

http

://ww

w.u

cpnyc.o

rg

New

Yo

rk S

tate

Dep

t. of H

ealth

HIV

/A

IDS

http://ww


l (2 of 5)11/20/2011 9:27:07 AM

[55]

http://www.ltcombudsman.ny.gov/


http://www.fria.org/

http://www.unitedwaynyc.org/

http://www.nygcm.org/

http://www.nfcacares.org/

http://www.naela.com/

http://www.alz.org/


http://www.alz.org/espanol_recursos_para_los_latinos.asp

http://www.alznyc.org/

http://www.ucp.org/


http://www.ucpnyc.org/

Guardian A

ssistance Netw

ork

Toll-free C

onfid

ential H

otlin

e: (800) 5

41-A

IDS

http

://ww

w.h

ealth.state.n

y.us/d

iseases/aids

New

Yo

rk C

ity A

IDS

Ho

tline

Phone: (2

12) 4

47-8

200, E

xt. 4

Gay M

en

’s Health

Crisis (G

MH

C) –

Help

for m

en an

d w

om

en

Toll-free C

onfid

ential H

otlin

e (800) A

IDS-N

YC o

r (212) 8

07-6

655

http

://ww

w.g

mhc.o

rg o

r Hotlin

e@gm

hc.o

rg (th

ere is a two-w

eek response tim

e) En E

spañ

ol: h

ttp://w

ww

.gm

hc.o

rg/en

-espan

ol

Bra

in In

jury

Asso

ciatio

n o

f New

Yo

rk S

tate

Toll-free Fam

ily Help

line: (8

00) 2

28-8

201

http

://ww

w.b

ianys.o

rg

Natio

nal M

ultip

le S

clero

sis So

ciety

Toll-free: (8

00) 3

44-4

867

http

://ww

w.n

ationalm

ssociety.o

rg

En E

spañ

ol: h

ttp://w

ww

.natio

nalm

ssociety.o

rg/in

form

acion-en

-espan

ol/in

dex.asp

x

MS

So

ciety

New

Yo

rk C

ity C

hap

ter

Phone: (2

12) 4

63-7

787

http

://ww

w.m

snyc.o

rg o

r info

@m

snyc.o

rg/

Park

inso

n’s D

isease

Fo

un

datio

n

Toll-free: (8

00) 4

57-6

676

http

://ww

w.p

df.o

rg

Am

erica

n S

troke A

ssocia

tion

Toll-free: (8

00) 4

-STRO

KE o

r (888) 4

78-7

653

http

://ww

w.stro

keassociatio

n.o

rg

http

://local.stro

keassociatio

n.o

rg (to

find lo

cal chap

ters)

Am

erica

n C

ou

ncil o

n A

lcoh

olism

Toll-free: (8

00) 5

27-5

344

http

://ww

w.aca-u

sa.org

Serv

ices fo

r Peo

ple

with

Men

tal R

eta

rdatio

n a

nd

Develo

pm

en

tal D

isab

ilities

New

Yo

rk S

tate

Office

of M

en

tal R

eta

rdatio

n a

nd

Develo

pm

en

tal D

isab

ilities (O

MR

DD

) Fo

r info

rmatio

n o

n services fo

r the m

entally retard

ed o

r those w

ith d

evelopm

ental d

isabilities.

New

York C

ity Reg

ional O

ffice phone: (2

12) 2

29-3

231

Alb

any (statew

ide) p

hone: (5

18) 4

73-9

689 o

r TD

D: (5

18) 4

74-3

694

http

://ww

w.o

mr.state.n

y.us/ (C

lick on “”In

form

ation fo

r Individ

uals an

d Fam

ilies,” “Gen

eral In

form

ation an

d Pu

blicatio

ns,” an

d “M

ap an

d R

esource D

irectory”).

New

Yo

rk S

tate

Co

mm

ission

on

Qu

ality

of C

are

http://ww


l (3 of 5)11/20/2011 9:27:07 AM

[56]

http://www.health.state.ny.us/diseases/aids

http://www.gmhc.org/


http://www.gmhc.org/en-espanol

http://www.bianys.org/

http://www.nationalmssociety.org/

http://www.nationalmssociety.org/informacion-en-espanol/index.aspx

http://www.msnyc.org/

mailto:[email protected]/

http://www.pdf.org/

http://www.strokeassociation.org/

http://local.strokeassociation.org/

http://www.aca-usa.org/

http://www.omr.state.ny.us/

Guardian A

ssistance Netw

ork

Toll-free p

hone: (8

99) 6

24-4

143 (V

oice/T

TY/S

pan

ish)

ww

w.cq

capd.state.n

y.us

New

Yo

rk S

tate

Office

of A

dvo

cacy

for P

eo

ple

with

Disa

bilitie

s Toll-free p

hone: (8

00) 5

22-4

369 (V

oice/T

TY/S

pan

ish)

ww

w.o

apw

d.o

rg

N

ew

Yo

rk S

tate

Asso

ciatio

n fo

r Reta

rded

Ch

ildre

n (N

YS

AR

C)

Phone: (5

18) 4

39-8

311

http

://ww

w.n

ysarc.org

/ (click on “o

ur ch

apters” fo

r local o

ffices) or in

fo@

nysarc.o

rg

Asso

ciatio

n fo

r the H

elp

of R

eta

rded

Ch

ildre

n

New

Yo

rk C

ity (A

HR

C-N

YC

) Ph

one: (2

12) 7

80-2

599

http

://ww

w.ah

rcnyc.o

rg/ (click o

n lin

ks for m

any reso

urces, N

YC an

d b

eyond)

web

master@

ahrcn

yc.org

N

atio

nal In

stitute

for P

eo

ple

with

Disa

bilitie

s – Y

AI

YAI Lin

k Services: (2

12) 2

73-6

182

http

://ww

w.yai.o

rg/

Serv

ices fo

r Peo

ple

with

Men

tal D

isab

ilities

New

Yo

rk S

tate

Office

of M

en

tal H

ealth

(OM

H)

44 H

ollan

d A

venue, A

lban

y, New

York 1

2229

Toll-free p

hone: (8

00) 5

97-8

481 (leave n

ame, p

hone n

um

ber, an

d q

uestio

n)

http

://ww

w.o

mh.state.n

y.us/

NY

S A

ssistan

ce fo

r Ou

tpatie

nt T

reatm

en

t an

d F

acility

Co

nta

cts O

MH

Custo

mer S

ervice: (800) 5

97-8

481

http

://ww

w.o

mh.state.n

y.us/o

mhw

eb/K

endra_

web

/aot_

directo

ry_gl.h

tml

NY

S C

on

fere

nce

of L

oca

l Men

tal H

yg

ien

e D

irecto

rs – to

find lo

cal directo

rs 99 Pin

e Street, A

lban

y, NY 1

2207

Phone: (5

18) 4

62-9

422

http

://ww

w.clm

hd.o

rg/ab

out/co

untyd

irectory.asp

x

Men

tal H

yg

ien

e L

eg

al S

erv

ice

Man

hattan

and B

ronx: (2

12) 7

79-1

734

Bro

oklyn

, Staten

Island, Q

ueen

s, and Lo

ng Islan

d: (5

16) 7

46-4

545

New

Yo

rk S

tate

Co

mm

ission

on

Qu

ality

of C

are

an

d A

dvo

cacy

for P

eo

ple

with

Disa

bilitie

s Toll-free p

hone: (8

00) 6

24-4

143 (V

oice/T

TY/S

pan

ish)

ww

w.cq

capd.state.n

y.us

Office

for P

rote

ction

an

d A

dvo

cacy

for In

div

idu

als w

ith M

en

tal

Illness

Toll-free p

hone: (8

00) 6

24-4

143 o

r Alb

any N

um

ber: (5

18) 3

88-2

892

http://ww


l (4 of 5)11/20/2011 9:27:07 AM

[57]

http://www.cqcapd.state.ny.us/

http://www.oapwd.org/

http://www.nysarc.org/


http://www.ahrcnyc.org/


http://www.yai.org/

http://www.omh.state.ny.us/

http://www.omh.state.ny.us/omhweb/Kendra_web/aot_directory_gl.html

http://www.clmhd.org/about/countydirectory.aspx

http://www.cqcapd.state.ny.us/

Guardian A

ssistance Netw

ork

Office

of A

dvo

cacy

for P

eo

ple

with

Disa

bilitie

s Toll-free p

hone: (8

00) 5

22-4

369 (V

oice/T

TY/S

pan

ish)

ww

w.o

apw

d.o

rg

Co

alitio

n o

f Beh

avio

ral H

ealth

Ag

en

cies

Phone in

New

York C

ity: (212) 7

42-1

600

http

://ww

w.co

alitionny.o

rg/ o

r Use E

mail Fo

rm

Natio

nal A

llian

ce o

n M

en

tal Illn

ess (N

AM

I) Fam

ily Help

line: (8

00) 9

50-3

228 (N

ew Y

ork S

tate only)

New

York S

tate Chap

ter http

://ww

w.n

amin

ys.org

/ H

elplin

e: (212) 6

84-3

264 (N

ew Y

ork C

ity Metro

Chap

ter) (N

oon to

7PM

Monday th

rough T

hursd

ay and n

oon to

6PM

on Frid

ay) http

://ww

w.n

ami-n

yc-metro

.org

/ or h

elplin

e@nam

inyc.o

rg

State Ju

stice Institu

te G

uard

ian A

ssistance N

etwork | K

ings C

ounty S

uprem

e Court | 3

60 A

dam

s Street, R

oom

723 | B

rooklyn

, NY 1

1201

(347) 2

96-1

948 | G

AN

@co

urts.state.n

y.us

http://ww


l (5 of 5)11/20/2011 9:27:07 AM

[58]

http://www.oapwd.org/

http://www.coalitionny.org/

http://www.coalitionny.org/contact_us/send_an_email.php

http://www.naminys.org/

http://www.nami-nyc-metro.org/



New York County Supreme Court

http://www.nycourts.gov/supctmanh/county_clerk_operations.htm

http://www.nycourts.gov/supctmanh/Guardianship_Cases.htm

http://www.nycourts.gov/supctmanh/Guardianship_Cases%20Forms%20List.htm

[59]

New York County - Civil Branch Guardianship Cases

ADMINISTRATIVE ORDER -- GUARDIANSHIP PROCEEDINGS (December 4, 2008)

OVERVIEW OF GUARDIANSHIP PROCEEDINGS

(Explaining Key Features of these Cases, Duties of Guardians, Key Terms, etc.)

OUTLINE OF FILING AND OTHER COURT PROCEDURES IN GUARDIANSHIP CASES

(Explaining How Papers Are Filed and Processed in Court)

OUTLINE OF COURT RULES ON FIDUCIARY

APPOINTMENTS AND THE FIDUCIARY CLERK (Explaining Court Rules Governing Guardianship and Other Fiduciary Appointments and the Role of the Fiduciary Clerk)

A MESSAGE FROM THE FIDUCIARY CLERK

FORMS FOR GUARDIANSHIP CASES

LIST OF TRAINING PROGRAMS FOR GUARDIANS

[ Court Offices and Functions ] [ Summary of Courthouse Procedures ] [ Justices ] [ Rules of Justices ] [ County Clerk ] [ E-Filing ] [ Public Access & Courthouse Technology ] [ ADR Programs ] [ Appellate Term ]

Page 2 of 2Untitled Document

11/20/2011http://www.nycourts.gov/supctmanh/Guardianship_Cases.htm

[60]

Untitled Document

http://www.nycourts.gov/supctmanh/Guardianship_Cases%20Forms%20List.htm (1 of 2)11/20/2011 9:35:25 AM

New York County - Civil Branch Guardianship Cases - Forms

[Home]

ORDER AND JUDGMENT APPOINTING GUARDIAN

GUARDIAN’S INITIAL (90-DAY) REPORT

AND INSTRUCTIONS (The First Report Required to be Filed

by the Guardian followed by Instructions on How to Complete It)

ANNUAL REPORT OF THE GUARDIAN

FORMS FOR PROCEEDING FOR AN ORDER

RELEASING AND DISCHARGING GUARDIAN -

ON CONSENT

Petition

Order Waiving Filing of Formal Account

Order Discharging Guardian and Surety

Consent to Informal Account

FINAL REPORT

Order to Show Cause to Settle a Final Report

Final Report (Sample)

Order Settling and Approving a Final Report

Affidavit in Support of Discharge of Guardian and Cancellation of Bond

Order Discharging Guardian and Surety

[ Court Offices and Functions ] [ Summary of Courthouse Procedures ] [ Justices ] [ Rules of Justices ] [ County Clerk ] [ E-Filing ] [ Public Access & Courthouse Technology ] [ ADR Programs ] [ Appellate Term ]

[75]

http://www.nycourts.gov/supctmanh/index.htm

http://www.nycourts.gov/supctmanh/GShip%20Forms/O&J%20Appt%20Gdn.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/O&J%20Appt%20Gdn.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/GInitial%20Report-7.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/GInitial%20Report-7.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/AnnRep-8.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/Petition-9.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/Ord%20Waiving%20F-10.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/Ord%20Dischg%20G-11.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/Consent%20Informal-12.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/OSC%20Final%20Rep-14.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/OSC%20Final%20Rep-14.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/Sample%20Final-15.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/Ord%20Approving%20Final-16.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/Affid%20Discharge-17.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/Affid%20Discharge-17.pdf

http://www.nycourts.gov/supctmanh/GShip%20Forms/Ord%20Discharg-18.pdf

http://www.nycourts.gov/supctmanh/Court_Offices_and_Functions.htm

http://www.nycourts.gov/supctmanh/summary.htm

http://www.nycourts.gov/supctmanh/justices.htm

http://www.nycourts.gov/supctmanh/uniform_rules.htm

http://www.nycourts.gov/supctmanh/county_clerk_operations.htm

http://www.nycourts.gov/supctmanh/E-Filing.htm

http://www.nycourts.gov/supctmanh/technology.htm

http://www.nycourts.gov/supctmanh/ADR_Programs.htm

http://www.nycourts.gov/supctmanh/appellate_term.htm

SUPREME COURT OF THE STATE OF NEW YORKCOUNTY OF NEW YORK - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - IAS Part No. IN THE MATTER OF THE APPLICATION OF

, Index No.

Petitioner,

FOR THE APPOINTMENT OF A GUARDIAN FOR

, INITIAL REPORTOF GUARDIAN

An Alleged Incapacitated Person,- - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -

, the Guardian in this proceeding, submits this Initial Reportof Guardian pursuant to Mental Hygiene Law § 81.30 and states as follows:

1. I reside at . My telephone number is . I was appointed guardian of the person [or property or person and property] of [THE INCAPACITATED PERSON] by Order and Judgment of the Honorable , Justice of the Supreme Court of the State of New York, dated . I received my commission on .

2. I am not related to the incapacitated person [or I am the incapacitated person’s [NAME RELATIONSHIP]]. The incapacitated person’s date of birth is . I shall separately provide to the court’s Guardianship and Fiduciary Support Office (60 CentreStreet, Room 148) the incapacitated person’s social security number.

3. I attended the guardianship training course at on [DATE] [ or I did not attend the guardianship training course because ]. I have attached a copy of the certificate evidencing my completionof the course.

4. The incapacitated person is currently living at the following address:

. I visited him [ her ] there on the following days:

.

[76]

2

5. The incapacitated person’s primary diagnosis is [Set forth the diagnosis of the IP's medicalcondition]

.

This statement is based upon [e.g., Doctor’s report]

.

6. If the incapacitated person lives in an apartment or a house, list here the name and relationshipof all other persons living with the incapacitated person:

.

7. If the incapacitated person has home care services, describe the services here and state thenumber of hours a day each such service is provided:

.

[77]

3

8. The incapacitated person has a [ check all that apply ]:

G Will G Living Will G Health Care Proxy G Power of Attorney

If you are uncertain as to whether any one of these documents exists, please explain:

.

As to each of the documents listed below, please indicate by marking "Yes," "No," or "NA" [for NotApplicable] whether you have located the document, provided a copy, or filed same with theSurrogate's Court:

Determined Location Provided Copy Filed with Surr. Ct.

Will

Living Will

Health Care Proxy

Power of Attorney

Other

Guardians of the Person Answer the Following Questions:

9. I have taken the following steps to ensure that the Incapacitated person has adequate medical,dental, mental health or other health care services [ PLEASE DESCRIBE ] :

[78]

4

.

10. The plan to ensure that the incapacitated person has adequate medical, dental, mental health orother health care services in the future is as follows [ PLEASE DESCRIBE ]:

.

11. I have taken the following steps to ensure that the incapacitated person has adequate social andpersonal services (for example, day care and recreation) [ PLEASE DESCRIBE ]:

.

12. I have applied for the following health and accident insurance and government benefits onbehalf of the incapacitated person [ PLEASE DESCRIBE ]:

[79]

5

.

13. There is no need to modify my powers as personal needs guardian [ or the following changesare necessary in my personal needs powers ] [ PLEASE DESCRIBE]]:

.

Guardians of the Property of the Incapacitated Person Fill In the Following Information

14. I have marshaled the following assets of the incapacitated person:

A.(1) Bank Accounts [list the name of the bank, account numbers and amount of money inthe account before you closed the account and transferred the money to a guardianship account] :

Bank Account Number Amount

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(2) Guardianship Bank Accounts [list the name of the bank, account numbers and theamount of money currently in the guardianship bank accounts]:

Bank Account Number Amount

B. Safe Deposit Box [ if the incapacitated person has a safe deposit box, list the name andaddress of the bank at which it is located] .

Have you inventoried the contents of the safe deposit box? GYes GNo. If yes, attach a listof the contents and the appraisal or the approximate value of the contents.

C. Stocks and Securities [ if the incapacitated person owns stocks or other securities, list here

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the name of the company, number of shares, the market value of each security on the date youreceived your commission, and the broker ] :

Company Name Number of Shares Market Value Brokerage

Company Name Type of Bonds etc. Market Value Brokerage

D. Real Estate [ list the address of the property, give a description of the property [i.e. store,single family house], approximate value of the property on the date you were commissioned, andname of tenants and rental income, if any. Also, write down the date you filed a statement

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identifying real property with the County Clerk. ] :

Address Description Approx. Value Tenants Rental StatementIncome

E. Personal Property [ list any jewelry, antiques, paintings, automobiles, or other valuableproperty or cash and set forth the approximate value ] :

Property Type Appraised Value Approx. Value

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F. Income [ set forth here all sources of income for the incapacitated person, i.e. socialsecurity, pensions, etc. and the monthly or annual amount received ] :

Source of Income Amount

G. Assets Not Yet Marshaled [ list all property owned by the incapacitated person that youhave not yet been able to transfer to the guardianship ] :

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.

15. There is no need to modify my powers as property guardian [ or the following changes arenecessary to my powers as property guardian [EXPLAIN] :

.

16. I G WILL [ or ] G WILL NOT need help preparing my annual report [ CHECK ONE ].

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STATE OF NEW YORK ) ) ss.:COUNTY OF NEW YORK)

, being duly sworn, states as follows:

I am the guardian for the above-named incapacitated person, having been duly appointed byOrder and Judgment of the Supreme Court of the State of New York, New York County. Theforegoing Initial Report, including the account and inventory therein, contains, to the best of myknowledge and belief, an accurate statement of the facts set forth, as well as a full and true statementof all my receipts and disbursements on account of said person and of all money and other personalproperty of said person which have come into my hands or have been received by any other personsby my order or authority or for my use as guardian since my appointment, and of the value of allproperty. I do not know of any error of omission in the report to the prejudice of the incapacitatedperson.

___________________________ Guardian

Sworn before me this day

day of , 20

_________________________________Notary Public or Commissioner of Deeds

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INSTRUCTIONS FOR INITIAL (90-DAY) REPORT

This is the report that you must file no later than ninety (90) days after you receiveyour commission. This report tells the court what you have done so far to help theincapacitated person.

To answer Questions 1 through 7, fill in the blanks with the requested information.

To answer Question 8, put a circle around all the documents that the incapacitated personhas. If the incapacitated person does not have any of the documents, leave this blank. Ifyou are uncertain about the existence of any document, please explain. Also, using “Yes,”“No,” or “NA” [for Not Applicable], please indicate as to each of the listed documentswhether you have determined the location thereof, provided a copy, or filed with theSurrogate’s Court (e.g., will).

If you were appointed a guardian of the person of the incapacitated person, you mustanswer Questions 9 through 13. If you were only appointed a guardian of theperson’s property, you should skip these questions.

Question 9 – Tell the court what you have done so far to provide for the incapacitatedperson’s medical, dental, mental and other health care needs. (For example: I took theincapacitated person to the eye doctor to get new glasses and to the dentist to have a toothpulled.)

Question 10 – Tell the court what you plan to do in the future to make sure that theincapacitated person has adequate medical, dental, mental health and other health care.(For example: I will bring the incapacitated person to Doctor X for an annual physical andto Doctor Y, a podiatrist, for special shoes.)

Question 11 – Tell the court what you have done to make sure that, if feasible, theincapacitated person has an opportunity to be with other people, or work, attend school, orparticipate in other activities.

Question 12 – List the government benefits and/or insurance you have applied for onbehalf of the incapacitated person (Medicare, Medicaid, etc.).

Question 13 – If you think you need more powers to meet the personal needs of theincapacitated person, or fewer powers, write down the changes you would like to see madeand tell the court why you want them.

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If the court gave you management powers over the incapacitated person’s property,you must answer Question 14, sections A through G, and Question 15. If you areonly a guardian of the person, you should not answer these questions.

Question 14 (A)(1) – List all the bank accounts that the incapacitated person had when youwere appointed guardian, the account numbers and the amount in each account.

Question 14(A)(2) – List all of the guardianship accounts that you set up, the name of thebank where they are located, the account number and the amount of money in eachaccount.

Question 14(B) – If the incapacitated person had a safe deposit box, provide the requestedinformation. If the incapacitated person did not have a safe deposit box, leave this sectionblank.

Question 14(C) – If the incapacitated person owned shares of stock, provide a completelist of all stock, including the name of the company, the number of shares and the marketvalue of the stock on the date you received your commission. If the incapacitated personowned bonds or other types of securities, provide information regarding the type ofsecurity and the market value on the date you received your commission. Please alsoprovide the name of the brokerage house holding the stock, bonds, or other securities.

Question 14(D) – Provide the requested information for all real property owned by theincapacitated person.

Question 14(E) – Separately list all valuable personal property and provide an appraisal orapproximate value if you do not have an appraisal. If the incapacitated person ownedordinary household furnishings and clothing, provide an approximate value for thispersonal property.

Question 14 (F) – List all monthly income (for example, social security, pensions and trustincome) and the monthly amount the incapacitated person receives from each source.

Question 14(G) – List all of the assets that the incapacitated person owns that you have notyet transferred into guardianship accounts.

Question 15 -- If you think you need more power over the incapacitated person’s property,or less power, write down the changes you would like to see made and tell the court whythey should be made.

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Question 16 – If you think you will need assistance preparing the Annual Report, circle“will”. If you think you can do the Annual Report on your own, circle “will not.”

When you have answered all the questions, bring this report to a notary public andsign the paragraph at the end (the certification paragraph) in front of the notary and thenhave the report notarized.

You must then mail a copy of the report to:

Guardianship and Fiduciary Support ServicesNew York Supreme Court60 Centre Street, Room 201-BNew York, NY 10007

The Court Examiner named in your appointing Order and judgment.The Incapacitated PersonThe Court Evaluator named in the appointing OrderIf the incapacitated person lives in a residential facility, to the director of thefacilityTo Mental Hygiene Legal Services if the incapacitated person lives in a MentalHygiene Facility

If you have any questions, please call the Guardianship and Fiduciary Support Office ofthe New York County Supreme Court at 646-386-3328.

Thank you.

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SUPREME COURT OF THE STATE OF NEW YORK COUNTY OF NEW YORK I.A. Part

-------------------------------------------------------xIN THE MATTER OF THE APPLICATIONOF

, Petitioner,

FOR THE APPOINTMENT OF AGUARDIAN FOR

, an Alleged Incapacitated Person.

Index No.:

ANNUAL REPORT

FOR 20

------------------------------------------------------x

I, , residing at , as Guardian for , who was heretofore determined by this court to be an incapacitated person (“IP”), dohereby make, render and file the following Annual Report.

On the day of , 20 , I was duly appointed Guardian of theabove-named person by Order of the Supreme Court of New York County and have continuedto act as such fiduciary since that date, giving a bond in the original sum of $ ,[nowin the sum of $ , pursuant to subsequent orders,] which is still in force and effect with , as Surety. There has been no change in the Surety thereon, and the Surety isin as good financial standing as when the bond was given. [There has been no change in theSurety thereon, other than as explained in Schedule F.]

The following is a true and full account of all receipts and disbursements for the year20 .

SUMMARY

Schedule A - Principal on hand as of Date ofAppointment or Last Annual Report $

Schedule B - Changes to Principal $

Schedule C - Income Received $

Sub-Total $

Schedule D - Paid Disbursements $

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Schedule E-1 - Balance of Cash and Securities to be Charged to Next Year's Account $

Schedule E-2 - Real Estate $

Schedule E-3 - All Other Personal Property $

Total Estate $

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SCHEDULE A - PRINCIPAL ON HAND AS OF DATE OF APPOINTMENT OR LAST ANNUAL REPORT

SOURCE: Name and address AMOUNT (i.e., number of shares)of bank or financial institution

TOTAL OF SCHEDULE A $

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SCHEDULE B - INCREASES OR DECREASES TO PRINCIPAL(List additional property received, gain or loss on sale or liquidation of stocks or bonds, any netreceipts from sale of realty (attach copy of closing statement), etc.)

SOURCE AMOUNT

TOTAL OF SCHEDULE B $

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SCHEDULE C - RECEIVED INCOME AND CASH INCREASES

(If any property listed in the last Report has been converted to cash, list here the amountreceived from the sale and attach an explanation. If the Guardian has used or employed theservices of the IP, or if moneys have been earned by or received on behalf of the IP, state detailsand amounts here (See Par. 9, below)):

SOURCE AMOUNT

TOTAL OF SCHEDULE C $

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SCHEDULE D - PAID DISBURSEMENTS

PAID TO AMOUNT

TOTAL OF SCHEDULE D $

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SCHEDULE E-1 - BALANCE ON HAND AND OTHER PERSONAL AND REAL PROPERTY

BANK ACCOUNTS, INVENTORY MARKETBROKERAGE ACCOUNTS, VALUE VALUEPERSONAL PROPERTY,SECURITIES

(List names of joint (List values as of end of accounting period; forowners, if any, and their securities, list both inventory and market values)relationship to the IP)

TOTAL OF SCHEDULE E-1 $ $

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SCHEDULE E-2 - REAL ESTATE

List all real estate owned in whole or in part by the IP. State location, assessed value, currentmarket value, amount of mortgage (if any), and the weekly or monthly rental. If property isowned jointly, give names of joint owners and their relationship to the IP.

LOCATION ASSESSED MARKET MORTGAGE RENTAL JOINT VALUE VALUE INCOME OWNERS

TOTAL OF SCHEDULE E-2

Assessed Value: $ Market Value : $

Mortgages: $ Rental Income: $

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SCHEDULE E-3 - ALL OTHER PERSONAL PROPERTY

DESCRIPTION INVENTORY/MARKET VALUE

TOTAL OF SCHEDULE E-3 $

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SCHEDULE F - NAME AND ADDRESS OF SURETY

Attach a copy of the latest bond. Also, state and explain any changes in the bond, of the Suretythereon, or in the financial standing of the Surety.)

NAME AND ADDRESS AMOUNT BOND NUMBEROF SURETY OF BOND

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AS TO THE INCAPACITATED PERSON:

1. State the age, date of birth and marital status of the Incapacitated Person.

2. If any are living, list the name and present address of the spouse, children and siblings of theIncapacitated Person.

3. State the present residence address and telephone number of the Guardian.

4. State the present residence address and telephone number of the Incapacitated Person. If the IPdoes not currently reside at her/his personal home, set forth the name, address and telephonenumber of the facility or place at which he/she resides, and the name of the chief executiveofficer of the facility or the person otherwise responsible for the care of the IP.

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5. State whether there have been any changes in the physical or mental condition of theIncapacitated Person, and any substantial change in medication.

6. State the date and place the Incapacitated Person was last seen by a physician and the purposeof that visit.

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7. Attach a statement by a physician, psychologist, nurse clinician or social worker, or otherqualified person who has evaluated or examined the Incapacitated Person within the threemonths prior to the filing of this report, setting forth an evaluation of the Incapacitated Person'scondition and the current functional level of the Incapacitated Person.

8. If the Guardian has been charged with providing for the personal needs of the IncapacitatedPerson:

(a) Attach a statement indicating whether the current residential setting is suitable to the currentneeds of the Incapacitated Person.

(b) Attach a resume of any professional medical treatment given to the Incapacitated Personduring the preceding year.

(c) Attach the plan for medical, dental and mental health treatment and related services for thecoming year.

(d) Attach a resume of any other information concerning the social condition of the IncapacitatedPerson, including the social and personal services currently utilized by the Incapacitated Personand the social skills and needs of the Incapacitated Person.

9. State whether the Guardian has used or employed the services of the Incapacitated Person, orwhether moneys have been earned by or received on behalf of such Incapacitated Person.Provide details in Schedule C.

10. Attach a resume of any other pertinent facts about the care and maintenance of theIncapacitated Person, including the frequency of your visits; whether the Incapacitated Personhas made a Will or executed a Power of Attorney; and any other information necessary for theproper administration of this matter.

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STATE OF NEW YORK ) ) ss.: COUNTY OF ) , being duly sworn, says: I am the Guardian for the above-named Incapacitated Person. The foregoing Annual Reportcontains, to the best of my knowledge and belief, a full and true statement of all my receipts anddisbursements on account of said Incapacitated Person; and of all money and other personalproperty of said person which have come into my hands or have been received by any otherpersons by my order or authority since my appointment or since filing my last Annual Reportand of the value of all such property, together with a full and true statement and account of themanner in which I have disposed of the same and of all property remaining in my hands at thetime of filing this Report; also a full and true description of the amount and nature of eachinvestment made by me since my appointment or since the filing of my last Report. I do notknow of any error or omission in the Report to the prejudice of said person.

Guardian

Sworn to before me this

day of , 20

Notary Public

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Nassau County Overview http://www.courts.state.ny.us/courts/10jd/nassau/pdf/MHL%20Art%2081%20‐%20A%20Brief%20Overview.pdf Forms http://www.courts.state.ny.us/courts/10jd/nassau/guardianship.shtml#Forms GAN Manual Modified for Nassau County http://www.courts.state.ny.us/courts/10jd/nassau/pdf/WorkshopPart1.pdf http://www.courts.state.ny.us/courts/10jd/nassau/pdf/WorkshopPart2.pdf

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Supreme Court

Mental Hygiene/Guardianship

Forms| Guide to Guardianship | FAQS | Links

General Information Supreme Court, Nassau County

Guardianship Department 100 Supreme Court Drive

Mineola, NY 11501 (516) 571-2938

FormsSupreme Court Forms Guardianship Forms

Title WORD WPD PDF Fillable Help

Initial Report

Annual Report of Guardian for Personal Needs Only

Annual Report for Guardian of Property Management & Personal Needs

Designation

Statement Identifying Real Property

Guide to Guardianship

Lay Guardians Appointed Under Article 81 of the Mental Hygiene Law Guardianship- A Brief Overview Workshop Materials- Part One Workshop Materials- Part Two

Links

Nassau County - 10th JD: Mental Hygiene/Guardianship

http://www.nycourts.gov/courts/10jd/nassau/guardianship.shtml (1 of 2)11/20/2011 9:58:23 AM

Nassau County Home

Districtwide Info

Forms

Jurors

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Surrogate's Court

Family Court

County Court

District Court

City Courts: Long Beach &

Glen Cove

Town & Village Courts

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http://www.nycourts.gov/courts/10jd/

http://www.nycourts.gov/courts/10jd/nassau/index.shtml

http://www.nycourts.gov/courts/10jd/nassau/guardianfaqs.shtml

http://www.nycourts.gov/courts/10jd/nassau/Word/InitialReport.doc

http://www.nycourts.gov/courts/10jd/nassau/WPD/InitialReport.wpd

http://www.nycourts.gov/courts/10jd/nassau/pdf/InitialReport.pdf

http://www.nycourts.gov/courts/10jd/nassau/pdf/InitialReportf.pdf

http://www.nycourts.gov/courts/10jd/nassau/pdf/WorkshopPart1a.pdf

http://www.nycourts.gov/courts/10jd/nassau/Word/AnnualReportPersonal.doc

http://www.nycourts.gov/courts/10jd/nassau/WPD/AnnualReportPersonal.wpd

http://www.nycourts.gov/courts/10jd/nassau/pdf/annualreportpersonal.pdf

http://www.nycourts.gov/courts/10jd/nassau/pdf/annualreportpersonalf.pdf


http://www.nycourts.gov/courts/10jd/nassau/Word/AnnualReport.doc

http://www.nycourts.gov/courts/10jd/nassau/WPD/AnnualReport.wpd

http://www.nycourts.gov/courts/10jd/nassau/pdf/annualreport.pdf

http://www.nycourts.gov/courts/10jd/nassau/pdf/annualreportf.pdf


http://www.nycourts.gov/courts/10jd/nassau/Word/Designation.doc

http://www.nycourts.gov/courts/10jd/nassau/pdf/Designation.wpd

http://www.nycourts.gov/courts/10jd/nassau/pdf/Designation.pdf

http://www.nycourts.gov/courts/10jd/nassau/pdf/Designationf.pdf

http://www.nycourts.gov/courts/10jd/nassau/pdf/WorkshopPart1b.pdf

http://www.nycourts.gov/courts/10jd/nassau/Word/StatementIDRealProp.doc

http://www.nycourts.gov/courts/10jd/nassau/WPD/StatementIDRealProp.wpd

http://www.nycourts.gov/courts/10jd/nassau/pdf/Statement Id Real Prop.pdf

http://www.nycourts.gov/courts/10jd/nassau/pdf/Statement Id Real Propf.pdf

http://www.nycourts.gov/courts/10jd/nassau/pdf/WorkshopPart1c.pdf

http://www.nycourts.gov/courts/10jd/nassau/pdf/MHL Art 81 - A Brief Overview.pdf

http://www.nycourts.gov/courts/10jd/nassau/pdf/WorkshopPart1.pdf

http://www.nycourts.gov/courts/10jd/nassau/pdf/WorkshopPart2.pdf











Nassau County - 10th JD: Mental Hygiene/Guardianship

Online Video Training Program

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Court Information Center

Find a Lawyer

©2010 - All Rights Reserved.

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http://www.nycourts.gov/ip/gan/training.shtml


http://www.nycourts.gov/ip/gfs/index.shtml

http://www.nycourts.gov/courts/10jd/nassau/courthelpcenter.shtml

http://www.nycourts.gov/courthelp/lawyers2.html

STATEMENT IDENTIFYING REAL PROPERTYPursuant to Mental Hygiene Law §81/20 (a)(6) (vi)

Record and Index:

Incapacitated Person

Guardian of Property

Address

[ ] Check box if there is/are Co-Guardians of the property and List Below


Address


Address

Adjudication of Incapacity: Supreme Court Nassau County

Index Number Date of Order and Judgment Date of Decision/Verdict

Surety Name:

Bond Number: Phone Number:

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Real Property

Address

Tax Map Desgination: Name of Municipality:

Section Block Lot

Signature of Guardian Co-Guardian

Name of Guardian Name of Co-Guardian

State of New York County of } ss:

On this day of , before me came

Name of Guardian Name of Co-Guardian

to me know to be the individuals described herein, and who executed the foregoing instrument andacknowledged that he/she/they executed same.

Notary Public

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Bronx County http://www.nycourts.gov/courts/12jd/civil/allforms.shtml#guardianship

[125]

12th Judicial District - Bronx County Forms

Bronx County

General Court Info

Court Info

All Forms

Assignment Sheet

Bronx County Clerk (Juror Info)

Case Information (Decisions)

Court Calendars

Court/Law Help

Directions

Fee Schedule

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All Part Rules

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City Part IA-3 | Part IA-21 Forms | Guardianship | Legal Support | Small Claims Assessment Review | Supreme, Civil and Surrogate's

For all other forms not specific to Bronx County, please check the statewide forms page.

City Part IA-3 Forms

TRIAL AND PRE-TRIAL PDF WPD

HIPPA Compliance Statement Form

Motions & Preliminary Conferences Rules Rules

OSC to Withdraw as Counsel Rules Rules

Settlement Conferences & Trial Assignment - updated 10/06/08

Rules Rules

Settlement Conferences Worksheet Worksheet

Part IA-21 Forms

PART RULES SPECIFIC TO JUSTICE PAUL A. VICTOR PDF WPD

Rules for Motions, Conferences & Trials

Rules Rules

Trial Rules for Trial Counsel Rules Rules

SETTLEMENT OF CLAIMS BY INFANTS/IMPAIRED PERSON PDF WPD

Rules for Compromise Applications Rules Rules

Worksheet/Checklist for Compromise Applications

Worksheet /

Checklist

Worksheet /

Checklist

HIPPA Compliance Statement Form

Standard Compromise Order Form Form

Simple Order for a Structured Settlement (With Instructions)

Form Form

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[126]

http://www.nypl.org/branch/bronx/index2.cfm?Trg=1&d1=764

http://www.nycourts.gov/courts/12jd/index.shtml

http://www.nycourts.gov/courts/12jd/index.shtml

http://www.nycourts.gov/courts/12jd/civil/civil.shtml

http://www.nycourts.gov/courts/12jd/civil/pdfs/AssignmentSheet.pdf

http://bronxcountyclerksoffice.com/en/home/

http://www.nycourts.gov/ecourts/

http://iapps.courts.state.ny.us/webcivil/FCASCalendarSearch

http://www.nycourts.gov/courthelp/

http://www.nycourts.gov/courts/12jd/civil/directions.shtml

http://www.nycourts.gov/courts/12jd/civil/trialsupport.shtml#fees

http://www.nycourts.gov/courts/12jd/civil/civil_Foreclosure_Information.shtml

http://www.nycourts.gov/library/bronx/index.shtml

http://www.nycourts.gov/courts/12jd/civil/medical.shtml

http://www.nycourts.gov/courts/12jd/civil/directory.shtml

http://www.nycourts.gov/courts/12jd/civil/directory.shtml

http://www.nycourts.gov/courts/12jd/civil/selfrep.shtml

http://www.nycourts.gov/courts/12jd/civil/dcm.shtml

http://www.nycourts.gov/courts/12jd/civil/dcm.shtml

http://www.nycourts.gov/courts/12jd/civil/guardianship.shtml

http://www.nycourts.gov/courts/12jd/civil/legalsupport.shtml

http://www.nycourts.gov/courts/12jd/civil/matrimonial_support.shtml

http://www.nycourts.gov/courts/12jd/civil/trialsupport.shtml

http://www.nycourts.gov/courts/12jd/civil/partrules.shtml

https://iapps.courts.state.ny.us/fbem/mainframe.html

http://www.nycourts.gov/courts/12jd/civil/trialsupport.shtml#q11

http://www.nycourts.gov/courts/12jd/civil/filingrules.shtml

http://nycourts.gov/forms/index.shtml

http://www.adobe.com/products/acrobat/readstep2.html

http://www.nycourts.gov/courts/12jd/forms/city_part/HIPPA.PDF

http://www.nycourts.gov/courts/12jd/forms/city_part/Rule_ for_Motions_and_Preliminary_Conferences.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/Website Form Rules for Motions and Preliminary Conferences.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/OSCtoWithdrawasCounsel.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/OSCtoWithdrawasCounsel.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/Rules_For_Settlement_Conferences_&_Trial_Assignment.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/Website Form Rules For Settlement Conferences & Trial Assignment .wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/WorksheetSettlementConference_IA3.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/WorksheetSettlementConference_IA3.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/IA-21RULES.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/IA-21RULES.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/IA-21TrialRulesForTrial Counsel.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/IA-2TrialRulesForTrialCounsel.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/IA-21RulesForCompromiseActions.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/IA-21RulesForCompromiseActions.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/IA-21WorksheetChecklistInfantComp.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/IA-21WorksheetChecklistInfantComp.wpd

http://www.nycourts.gov/courts/12jd/forms/city_part/HIPPA.PDF

http://www.nycourts.gov/courts/12jd/civil/pdfs/IA-21Form-StandardOrder.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/IA-21Form-StandardOrder.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/IA-21FORM-SIMPLE ORDER.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/IA-21FORM-SIMPLE ORDER.wpd












Filing Rules for E-Filed Motions

Criminal Division

Links

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Complex Order for a Structured Settlement (With Instructions)

Form Form

Broker’s Affidavit for a Structured Settlement

Form Form

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Title PDF WPD

Annual Accounting Report

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Ex Parte Application for Approval of Secondary Appointment

Article 81 Judgment - Sample

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Title PDF

Family Protection Registry Information Sheet (FPRIS)

Addendum to Family Protection Registry Information Sheet

New York State Case Registry Filing Form (NYSCRFF)

Confidential/Settlement Worksheet

Small Claims Assessment Review (SCAR)

Title PDF WPD

General Information and Filing Requirements for Counties Outside New York City

Petition SCAR for Counties Outside of New York City


[127]

http://www.nycourts.gov/courts/12jd/civil/filingrules-efile.shtml

http://www.nycourts.gov/courts/12jd/civil/filingrules-efile.shtml

http://www.nycourts.gov/courts/12jd/criminal.shtml

http://www.nycourts.gov/courts/12jd/civil/links.shtml

http://www.courts.state.ny.us/ip/parent-ed/index.shtml

http://www.nycourts.gov/courts/12jd/civil/pdfs/IA-21FormComplexOrder.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/IA-21FormComplexOrder.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/IA-21StructureBrokersAffidavit.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/IA-21StructureBrokersAffidavit.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/Guardianship - Annual Accounting.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/Guardianship - Annual Accounting.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/Guarndianship - Initial Report.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/Guarndianship - Initial Report.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/Guardianship - Final Report of Guardian.pdf

http://www.nycourts.gov/courts/12jd/civil/pdfs/Guardianship - Secondary Appointment B.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/Guardianship - Secondary Appointment B.wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/Guardianship - Article 81Judgment.pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/Guardianship - Article 81Judgment.wpd

http://www.nycourts.gov/forms/familycourt/pdfs/info_she.pdf

http://www.nycourts.gov/forms/familycourt/pdfs/addendum.pdf

http://www.nycourts.gov/litigants/divorce/forms_instructions/case-reg.pdf

http://www.nycourts.gov/courts/12jd/forms/city_part/Worksheet_For_Settlement_Conferences.pdf

http://www.nycourts.gov/courts/12jd/civil/pdfs/SCAR Info sheet outside NYC .pdf

http://www.nycourts.gov/courts/12jd/civil/wpds/Website - Small Claims Assessment Review ( SCAR ).wpd

http://www.nycourts.gov/courts/12jd/civil/pdfs/SCAR Info sheet.pdf


Supreme, Civil and Surrogate´s Forms

OmniForms: The OmniForm version of our forms can be filled out electronically. To access them, you will be asked to install a browser plug-in from ScanSoft.

Please keep in mind when completing OmniForms that "the text of all papers must be legible and, other than prompts and instructions, must be in a standard typeface of 10 to 12-point characters and have margins" [22NYCRR Section 207.4]. The typeface becomes smaller as more information is inserted therefore additional pages MUST be attached when available space is insufficient, i.e. typeface becomes too small to be legible.

Title OMNI

Attorney Change of Address

Compliance Conference Order

Matrimonial PC Stipulation Order

Prelim Order Conference Part

Prelim Order Conference Part IA3

Order of Joint Trial

Order of Consolidation

©2007 - All Rights Reserved.


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http://www.nycourts.gov/courts/12jd/civil/omni/Atty-Change-of-Address.html

http://www.nycourts.gov/courts/12jd/civil/omni/Compliance-Conference-Order.html

http://www.nycourts.gov/courts/12jd/civil/omni/PC-Stip_Order.html

http://www.nycourts.gov/courts/12jd/civil/omni/Prelim-Conference-Order.html

http://www.nycourts.gov/courts/12jd/civil/omni/Prelim-Conference-Order-Part-IA3.html

http://www.nycourts.gov/courts/12jd/civil/omni/Joint Trial.html

http://www.nycourts.gov/courts/12jd/civil/omni/Consolidation Order.html

Queens County Supreme Court, provides links to forms http://www.nycourts.gov/courts/11jd/supreme/civilterm/guardianship.shtml

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W d H Sh i b EWendy H. Sheinberg, Esq.,Davidow, Davidow, Siegel & Stern LLP

516‐222‐7720

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Source and Scope of Authority p yThe Order and JudgmentThe CommissionArticle 81 of the Mental Hygiene LawLeast Restrictive Intervention

81.01 “…. it is desirable for and beneficial to persons with incapacities to make available to them the least restrictive form of intervention which assists them in meeting their needs but, at the same time, permits them to exercise the independence and self‐determination of which they are capable…. tailored to the individual needs of that person, which takes in account the personal wishes, preferences and desires of the person, and which affords preferences and desires of the person, and which affords the person the greatest amount of independence and self‐determination and participation in all the decisions affecting such person's life.

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Modified Patrick Henry Ruley“Give me liberty or give me a new guardian.”A Guardian is to afford the individual the greatest amount of independence and decision making taking into account:

The individual's functional level;The individual s functional level;The individual’s understanding of his/her functional limitations;The individual’s appreciation of his/her functional limitations;The personal wishes, preferences and desires of the individual with regard to managing his/her activities of daily living.

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Who is the boss of me?A Guardian is a fiduciary, they are not the boss, they are not in charge, they have been appointed to carry out a job in furtherance of the needs of the individualNot a finding of incompetence

“judicial finding of incompetence and the accompanying stigma d l f i il i h di i ll i l d i i h i and loss of civil rights, traditionally involves a deprivation that is

often excessive and unnecessary.” [81.01]It does provide assistance in meeting their personal and property management needs It does not allow a guardian to (without good cause) usurp the wishes of the individual. I d ll di f i di id l l i h It does not allow a guardian to force an individual to comply with medications, absent a specific Order of the Court after a separate proceeding in regard to the medication issue.It does not allow a guardian to consent to ECT without a separate Order of the Court on this issue.

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Who is the boss of me? (cont.)( )It does not allow a guardian to move an individual to a facility on a permanent non‐emergency basis without prior Court Approval.It does not strip the individual of the rights afforded to them under the United States ConstitutionIt does require the guardian to determine the personal wishes and

f f h i di id lpreferences of the individual.It does not authorize the guardian to commence a divorce proceeding unless the Court has authorized it.It does not prevent the individual from making a new will unless there has been a specific finding that the person lacks testamentary capacity.I d ll h di l h i di id l k It does not allow the guardian to compel the individual to see, speak with or visit people the individual does not wish to see, speak with or visit

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Working Papersg pGrant of authority is very specific, you can only do what your working papers say you can do, in the way that they say you can do it.

Read the SIGNED Order and JudgmentRead the SIGNED Order and Judgment.Read the CERTIFIED Commission.Read the transcript of the Judge’s decision.Read any other decisions, orders or memorandums the Judge has issuedJudge has issued.Read the Court Evaluator’s Report for suggestions made by the Evaluator,

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I Just Don’t Know What to Do

Read the documents set out on the last slide.Call the Court Examiner (Name and Number are in the Order and Judgment, if they have been replaced call the Guardianship Clerk of the appointing court and they will tell you who has taken their place).

Call your lawyer [fee issue].Make a short form application and send to Court Examiner for approval.Petition/Motion .et t o / ot o .

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General GuidanceIf it won’t look good on the front page of the Times, don’t do it, unless you have a clear order from the Court which has been entered and notice of entry served and the time to appeal has passed.If you as guardian would commence an action against anyone else doing the thing you are thinking of doing, don’t do it.If your Aunt Tilly would shake her head at it, don’t do itit.Do not do things that benefit you, without specific prior approval of the Court.

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Level of CareA Guardian must exercise the UTMOST care and diligence when acting on behalf of the incapacitated personA Guardian must exhibit the UTMOST degree of trust, loyalty and fidelity in relation to the incapacitated personloyalty and fidelity in relation to the incapacitated personUTMOST: Highest, as in there can be nothing higher than the care and diligence you take in acting as guardian and there can be no higher degree of trust, loyalty and fidelity than when you are acting as guardian.The person you are guardian of must come first.

Family disagreements, personal grudges must be disregarded.

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Danger, Caution Requiredg , qMaking GiftsSelling real propertySelling personal tangible propertyGiving away personal tangible propertyGiving away personal tangible propertyMoving the Individual from their present residence or facilityDenying accessCompelling treatment the individual objects to or has Compelling treatment the individual objects to or has previously stated an objection to, or is inconsistent with the known wishes and beliefs of the individual

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What are you going to do?y g gPreserve, protect and account for property and income.File a statement identifying real property .Find out if there is a will, file the original will in the surrogate’s court as directed, keep a copy of the filing receipt.Use the property and income to support the individualUse the property and income to support the individual.Keep Records, bills, itemized store receipts, cancelled checks, income records, etc., etc.,.File initial and annual reports.Visit the individual at least every 90 days, or more frequently as the Order or circumstances require (sign in/document visits).C d bl h d b l/f l f h dConsider establishing a pre‐paid burial/funeral if authorized, cost should be relative to available assets and beliefs of individual

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What’s what and where it isDetermine what the individual owns and is entitled to.Make a list of all account and other statements that come in.Search websites maintained in each state individual has lived in or owns property in and search for unclaimed funds, https://ouf.osc.state.ny.us/ouf/p yReview prior tax returns including attachments to determine other assets, including safe deposit boxes and business interests IRS Form 4506, Form 56.Make and maintain copies of all guardianship documents beginning with the Petition and Order to Show CauseEstablish a plan for the management of assets and the personal Establish a plan for the management of assets and the personal needs of the individualRequest authority to use professionals such as financial planners with expertise in this area and geriatric care managers.

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What’s what and where it is (cont.)( )Request permission to buy a computer and accounting program and a small stipend for office type expenses to allow you to be organized.Have a cell phone, turn it on and answer it. [you can track usage and request a pro rata reimbursement for guardianship related

]usage.]Keep a separate credit card that you only use for the guardianship. [Keep actual store receipts and credit slips and bills.]Inventory all personal property [i.e. yellow metal ring with 14k stamp] take pictures, label pictures and have items appraised.

d C ll l dYou need Court permission to sell personal property, and you must determine the wishes of the individual, and consider any specific bequests under the individual’s will.

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Use of assets to maintain individualMarshal assets into the guardianship. If the individual has assets which name beneficiaries, you should not liquidate and spend those assets or change those beneficiaries without specific court authorization. The account registration on ITF accounts should reflect the existence of gthe guardianship and maintain the ITF status.Maintain life insurance and do not change beneficiary.If the individual has assets that name a joint owner, you should not liquidate and spend those assets or change those beneficiaries without specific court authorization Joint accountsJoint accounts.No mixing and mingling with your assets, ever (remember NY Times cover story).

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Bank AccountsIndividual account:

Bruce Wayne, as Guardian of the property of Alfred Pennyworth;

In Trust For account:Bruce Wayne, as Guardian of the property of Alfred Pennyworth in trust for Dick Grayson

ITF accounts, absent a contrary order, are only to be used after all other assets have been depleted and then t b ion a pro rata basis

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Brokerage Accounts, Stock, MF, etc.g , , ,Contact each entity and/or transfer agent

Determine from them in writing the requirements to change registration, also ask if there are other accounts, book entry shares/certificate share/ dividend book entry shares/certificate share/ dividend reinvestment programs/what they are and the identity of beneficiaries if any. Also obtain basis information and full history.

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Brokerage Accounts, Stock, MF, etc. (cont.)(cont.)

General requirements:Letter of Instruction with Medallion Guarantee directing transfer agent/broker/entity to change registrationregistrationStock PowerOriginal paper stock certificatesInformation on book entry shares and DRIPMaintain beneficiaries/POD/TODMaintain beneficiaries/POD/TODTip: bring paper shares to broker and they will assist with all transfers.

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US Savings BondsgBonds are issued by US Treasury, Department of the Public Debt. http://www.treasurydirect.gov/indiv/research/indepth/ebonds/res_e_bonds_eereplace.htm Form PD F 4000 first review if redemption or re‐issue is available and review if redemption or re issue is available and appropriate Tax Considerations: http://www.treasurydirect.gov/indiv/research/indepth/ebonds/res_e_bonds_eetaxconsider.htmReplace a missing or destroyed bond: Form PD F 1048 ( i i b fi i i ) (maintain beneficiaries) To value bonds and maintain an inventory: http://www.treasurydirect.gov/BC/SBCPrice

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Safe Deposit BoxespLook on tax return for safe deposit box fees, contact all banks individual uses and ask if there is a box.Guardian must inventory the box.Locate Key, if none can be found ask bank about their requirements and costs of drilling open the box.q g pSchedule time to inventory once all of the bank’s documentary requirements have been met.Bonding company agent may want to be present during inventory, contact in advance.Inventory box, take pictures and photocopy documents.Obtain authorit to ha e appraisals and additional insurance if Obtain authority to have appraisals and additional insurance if appropriate.File inventory and seek additional authority for additional actions as needed.

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Real Propertyp yStatement identifying real property§81.20(a) (6)(a)(vi)

A houseA condoA business propertyA business property

Homeowner’s insuranceUtilitiesTax Authorities, tax exemptionsDo not mortgage property without prior specific approvalDo not mortgage property without prior specific approvalSelling Real Property [RPAPL Article 17 proceeding is required!!]

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There is no place like homepPeapod, Fresh Direct etc. do not co‐mingle your grocery shoppingDrugstore.com for personal care itemsMaintain RX at one place if possible, if RX must be ordered through a prescription service, keep records so automatic renewal can be done and maintain an account at a local pharmacy, many such as Duane Reade and CVS also have an online serviceReade and CVS also have an online serviceConsider, Meals on WheelsLandscaper to keep property from looking vacant and alerting criminals to an easy markPhone (install a simple to dial adaptive phone and answering machine, home aides should be instructed to review messages with individual and to write them down verbatim and advise guardian of messages so and to write them down verbatim and advise guardian of messages so they don’t go unaddressed) Emergency Contact List

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Get a RecordMaintain clear records of all physicians with contact information and last seen datesAilments and diagnosis as well as medications logs and medical/surgical historyMedical insurance copies of cards [Long term care insurance]p [ g ]Emergency ContactsPersonal care aide logsPrivate Aides:

Issues: Workers compensation, reporting of income and other employment issues[Obtain TIN from IRS with an SS‐4 using individual’s SSN Worker’s Comp coverage address tax withholding individual s SSN, Worker s Comp coverage, address tax withholding, Medicare Tax, FICA NYC and NYS reporting, payroll taxes] [Tip, hire bookkeeper and accountant to set up reporting system before you hire aides]

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Benefits and EntitlementsContact the Social Security Administration 1‐800‐772‐1213 www.ssa.gov, complete form to be representative payee.Contact plan administrators for all pensionsContact HR and benefits department of prior employers and trade unionsC t t M di 8 M di ( it h t di it) Contact Medicare 1‐800‐Medicare (yes it has an extra digit) www.medicare.govContact supplemental insurance providerContact the VA 1‐800‐827‐1000 www.va.gov Determine eligibility for Medicaid, VA programs or other benefits.Reparations: Contact Austrian Consulate General or German Consulate G l i N Y k [K i t t]General in New York [Keep in a separate account]Verify prescription drug coverage and review for adequacyConsider EPIC www.health.ny.gov/health_care/epic/

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The Tax ManAssemble all information for individual’s tax return for all states that individual is subject to income tax as well as federalMeet with accountant shortly after appointmentMeet with accountant shortly after appointment

Set up system to pay quarterly’s and to insure liquid assets are available

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Creditors, Scammers and Predators, Oh My!O y

Send change of address for mail/open P.O. BoxContact major credit reporting agenciesSend letters to all known creditors Contact Direct Mail AssociationContact Direct Mail AssociationRemove from automatic credit offersDo not call listBlock HSN etc with parental controls (v‐chip)S t i t t t d k i di id l d Set internet parameters and make sure individual does not have administrative rights to change browser options.

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Free Credit Report (no pirate shirts or cool jingles)j g )

The amended Fair Credit Reporting Act permits consumers to request a free copy of their credit report once every 12 months from each of the three major credit reporting agencies (i.e., Equifax, Experian, Trans Union).

You can order a free credit report:pwww.annualcreditreport.com1‐877‐322‐8228Or complete the Annual Credit Report Request Form found at: https://www.annualcreditreport.com/cra/requestformfinal.pdf ‐PDF and mail to:Annual Credit Report Request ServicePO Box 105281P.O. Box 105281Atlanta, GA 30348‐5281

For more information visit: www.ftc.gov

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I vant to be aloneDirect Mail Association opt out https://www.dmachoice.org/dma/member/home.action;jsessionid=907247906423DCB8779744ABEE46F2AA.tomcat2 DMA Mail Preference Service PO Box 643 Carmel, NY 10512 43 5[send with check for $1.00 with name, address and signature, if you register as a caretaker there is no fee] Contact individual companies and remove name from list.Credit Card Bureau opt out list: 1‐888‐5‐OPT‐OUT or O O P Y 'll d id S i l OptOutPrescreen.com . You'll need to provide your Social Security number and a few other pieces of identifying information.

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Don’t call me no moreDo not call listhttps://www.donotcall.gov/ Telephone numbers placed on the National Do Not C ll R i ill i i l d h Call Registry will remain on it permanently due to the Do‐Not‐Call Improvement Act of 2007, which became law in February 2008.

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Can’t say they didn’t knowy yWrite to the credit agencies and advise of guardianship and that no one is authorized to do a credit check or order a report other than guardian

Equifax (www.equifax.com)P.O. Box 74024174 4Atlanta, GA 30374‐02411‐800‐685‐1111 Experian(www.experian.com)P.O. Box 2104Allen, TX 75013‐09491‐888‐EXPERIAN (397‐3742) Trans Union (www.transunion.com)P.O. Box 1000Chester, PA 190221‐800‐916‐8800

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The Everyday Practice of Law 3 Beth Shapiro, Esq.