Overview of Guardianship 2 Materials Condensed from NYCLA ... to Guardianship.pdfheld December 13,...
Transcript of 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.
S:\abk\Documents\GUARDIAN\Publications\Counsel of the AIP - November 30, 2010.wpd
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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[10]
Laws of New York
will.
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[11]
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.
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[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.
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[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
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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.
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[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.
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[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.
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[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
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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.
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[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.
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[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.
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[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.
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[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.
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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.
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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
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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.
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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
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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.
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[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
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[30]
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.
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[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
w.nycourts.gov/ip/gan/m
anual/first90days.shtml (3 of 3)11/20/2011 9:22:58 A
M
[32]
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
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[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.
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[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
w.nycourts.gov/ip/gan/m
anual/guardian4personal_needs.shtml (3 of 3)11/20/2011 9:24:04 A
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
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Guardian A
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● 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
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[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.
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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.
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Guardian A
ssistance Netw
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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.
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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
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[41]
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
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[42]
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.
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[43]
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
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[44]
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
.
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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
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Guardian A
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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
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ssistance Netw
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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
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[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.
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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
.
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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.
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Guardian A
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● 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
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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
w.nycourts.gov/ip/gan/m
anual/ending_guardianship.shtml (2 of 2)11/20/2011 9:26:23 A
M
[53]
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]
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
w.nycourts.gov/ip/gan/resources/directory4guardians.shtm
l (2 of 5)11/20/2011 9:27:07 AM
[55]
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
w.nycourts.gov/ip/gan/resources/directory4guardians.shtm
l (3 of 5)11/20/2011 9:27:07 AM
[56]
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
w.nycourts.gov/ip/gan/resources/directory4guardians.shtm
l (4 of 5)11/20/2011 9:27:07 AM
[57]
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
w.nycourts.gov/ip/gan/resources/directory4guardians.shtm
l (5 of 5)11/20/2011 9:27:07 AM
[58]
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]
[61]
[62]
[63]
[64]
[65]
[66]
[67]
[68]
[69]
[70]
[71]
[72]
[73]
[74]
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]
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:
.
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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 ] :
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.
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 ]:
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.
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
Supreme Court
Surrogate's Court
Family Court
County Court
District Court
City Courts: Long Beach &
Glen Cove
Town & Village Courts
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Nassau County - 10th JD: Mental Hygiene/Guardianship
Online Video Training Program
Guardian Assistance Network
Guardian and Fiduciary Services
Court Information Center
Find a Lawyer
©2010 - All Rights Reserved.
http://www.nycourts.gov/courts/10jd/nassau/guardianship.shtml (2 of 2)11/20/2011 9:58:23 AM
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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
Guardian of Property
Address
Guardian of Property
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
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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
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Directions
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All Part Rules
E-File Resource Center
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Filing Rules
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
http://www.nycourts.gov/courts/12jd/civil/allforms.shtml (1 of 3)11/20/2011 10:00:49 AM
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12th Judicial District - Bronx County Forms
Filing Rules for E-Filed Motions
Criminal Division
Links
Parent Education
Complex Order for a Structured Settlement (With Instructions)
Form Form
Broker’s Affidavit for a Structured Settlement
Form Form
Guardianship Forms
Title PDF WPD
Annual Accounting Report
Initial Report
Final Report
Ex Parte Application for Approval of Secondary Appointment
Article 81 Judgment - Sample
Legal Support
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
http://www.nycourts.gov/courts/12jd/civil/allforms.shtml (2 of 3)11/20/2011 10:00:49 AM
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12th Judicial District - Bronx County Forms
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
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Queens County Supreme Court, provides links to forms http://www.nycourts.gov/courts/11jd/supreme/civilterm/guardianship.shtml
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1
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.