Disability Rights N.Y. v. New York

916 F.3d 129
Court of Appeals for the Second Circuit·Decided February 15, 2019·No. Docket No. 17-2812-cv; August Term 2018·Published·Cited by 46 cases

Opinion

Chin, Circuit Judge:

Article 17A of the New York Surrogate's Court Procedure Act (the "SCPA") governs guardianship proceedings in New York State Surrogate's Court for individuals with intellectual and developmental disabilities. The statute was enacted in 1969 to permit the appointment of parents or other interested persons as guardians for individuals unable to care for themselves. Plaintiff-appellant Disability Rights New York ("DRNY") brought this action below contending that the statute is unconstitutional because it does not provide adequate protection for these individuals, and seeking declaratory and injunctive relief to compel defendants-appellees -- the State of New York, its court system, and its Chief Judge and Chief Administrative Judge ("Defendants") -- to alter the manner in *131which guardianship proceedings are conducted.

The district court did not reach the merits of DRNY's claims as it granted Defendants' motion for judgment on the pleadings, abstaining pursuant to Younger v. Harris , 401 U.S. 37, 91 S.Ct. 746, 27 L.Ed.2d 669 (1971), and O'Shea v. Littleton , 414 U.S. 488, 94 S.Ct. 669, 38 L.Ed.2d 674 (1974).

For the reasons set forth below, we affirm the judgment of the district court.1

BACKGROUND

A. Relevant Statutory Provisions

New York State utilizes two primary procedures related to legal guardianships: Article 17A of the Surrogate's Court Procedure Act (the "SCPA") and Article 81 of the New York Mental Hygiene Law (the "MHL").

1. Article 17A

Article 17A governs guardianship proceedings in New York State Surrogate's Court for individuals with intellectual and developmental disabilities. It was designed primarily to allow parents to serve as long-term guardians of children who cannot care for themselves. See In re Chaim A.K. , 26 Misc.3d 837, 885 N.Y.S.2d 582, 586 (Sur. Ct. New York County 2009). Guardianships are not limited, however, to parent-child relationships, and guardianship can be obtained by any "interested person," including certain non-profit organizations. See SCPA §§ 1751, 1760.

Article 17A guardianships, which allocate broad decision-making authority to the petitioner over the individual with alleged disabilities, are obtained through judicial proceedings before the New York Surrogate's Court. See In re Chaim A.K. , 885 N.Y.S.2d at 585. These procedures are designed to be accessible to lay people. See id. "Virtually all" Article 17A proceedings are uncontested and devoid of controversy. See In re Derek , 12 Misc.3d 1132, 821 N.Y.S.2d 387, 390 (Sur. Ct. Broome County 2006).

An Article 17A proceeding commences with service of notice by the person seeking guardianship to a wide range of interested parties. See SCPA § 1753. The court then conducts a hearing at "which [the potential ward] shall have the right to a jury trial." Id. § 1754(1). The court can dispense with a hearing with the consent of both parents. Id. The individual with an alleged disability shall be present at the hearing, unless the court is satisfied that such person is "medically incapable of being present" or that her presence would not be in her best interest. Id. § 1754(3). Though Article 17A does not provide for the right to an attorney, courts have sometimes appointed attorneys in difficult cases. See, e.g., In re Zhuo , 53 Misc.3d 1121, 42 N.Y.S.3d 530, 532 (Sur. Ct. Kings County 2016). To obtain an Article 17A guardianship, a petitioner must present proof that two physicians (or a physician and a psychologist) have certified that (1) the individual has an intellectual or developmental disability that makes managing her own life impractical, (2) the situation is "permanent" or "likely to continue indefinitely,"

*132and (3) guardianship is in the individual's best interests. See SCPA §§ 1750, 1750-a. Courts have recognized that the "best interests" standard is a lower standard of proof than the clear and convincing evidence standard. In re Mueller , 25 Misc.3d 165, 887 N.Y.S.2d 768, 769 (Sur. Ct. Dutchess County 2009). Once a petition is granted, the court retains jurisdiction over the guardianship and may modify it at the request of the ward or anyone acting on her behalf. See SCPA §§ 1755, 1758.

2. Article 81

Article 81 governs guardianship proceedings in New York State Supreme Court. Unlike Article 17A, Article 81 is designed primarily to deal with elderly, disabled adults. In re Lavecchia , 170 Misc. 2d 211, 213, 650 N.Y.S.2d 955 (Sup. Ct. Rockland County 1996).

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Disability Rights N.Y. v. New York, 916 F.3d 129 (2d Cir. 2019).

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