In re Arnold O.

226 A.D.2d 866, 640 N.Y.S.2d 355, 1996 N.Y. App. Div. LEXIS 3710
Appellate Division of the Supreme Court of the State of New York·Decided April 11, 1996·Published·Cited by 11 cases

Opinion

Casey, J.

Appeal from an order of the Supreme Court (Teresi, J.), entered September 30, 1994 in Albany County, which, inter alia, dismissed petitioners’ application, in a proceeding pursuant to Mental Hygiene Law article 81, for removal of James T. Towne, Jr. as committee for respondent.

In July 1987, respondent was declared to be an incompetent and his brother, petitioner James O. (hereinafter petitioner), was appointed committee for respondent in a proceeding commenced by Albany Medical Center in Supreme Court, pursuant to Mental Hygiene Law former article 78. Thereafter, while respondent was a patient in another hospital, a dispute arose over a suitable placement for respondent upon his discharge from the hospital. The hospital ultimately moved in Supreme Court to remove petitioner as committee for respondent. After originally opposing the motion, petitioner filed an affidavit in which he consented to his removal as committee for respondent and requested the appointment of attorney James T. Towne, Jr. in his place. Supreme Court entered a consent order in November 1993 which removed petitioner as committee for respondent and appointed Towne.

[867] After Towne arranged the transfer of respondent to a health care facility in Connecticut, petitioner and his mother embarked on a course of conduct which included numerous complaints to various officials and agencies against Towne and a constant barrage of threats, insults and complaints directed at the staff of the health care facility where respondent resides. Petitioner also refused to turn over respondent’s property to Towne, which prompted Towne to move in Supreme Court for an order to compel petitioner to turn over respondent’s property. Petitioner opposed the motion and also cross-moved to remove Towne as committee or guardian for respondent. In January 1994, Supreme Court granted the motion and denied the cross motion, concluding that petitioner’s allegations of Towne’s misconduct were insufficient.

Petitioner and his mother thereafter filed the instant petition which seeks, in essence, to remove Towne as respondent’s guardian and to replace him with petitioner. Supreme Court granted respondent’s motion to dismiss the petition, resulting in this appeal by petitioners.

Our analysis begins by noting that the provisions of the Mental Hygiene Law pursuant to which respondent was first determined to be incompetent and in need of a committee were repealed in 1993 and replaced by a new article 81 of the Mental Hygiene Law (L 1992, ch 698, eff Apr. 1,1993).* The Legislature expressly provided, however, that adjudications made pursuant to the repealed article 78 shall continue in full force and effect until duly modified or abrogated by a Judge pursuant to the newly enacted article 81 (L 1993, ch 32, § 17; see, Matter of Lois F., 209 AD2d 856, 858). Accordingly, petitioners’ claim that the new article 81 provides procedural safeguards that were not used in the initial adjudications of incapacity and need for a committee is irrelevant. The adjudications were proper when made and, therefore, they survived the enactment of the new article 81 (see, Matter of Lois F., supra, at 858).

An examination of the petition and petitioners’ arguments on appeal reveals that petitioners do not contest either respondent’s incapacity or the need for a guardian of respondent’s person and property. Nor does the petition seek to discharge or modify the powers of the guardian, as authorized by Mental Hygiene Law § 81.36. Rather, petitioners’ claims focus [868] exclusively on the appropriate person to be respondent’s guardian. They claim only that Towne should be removed and petitioner should be appointed guardian of respondent’s person and property.

The initial adjudication pursuant to Mental Hygiene Law former article 78, which appointed petitioner as committee for respondent, was modified by the subsequent order on consent which substituted Towne for petitioner. The consent order was entered after the effective date of Mental Hygiene Law article 81 and, therefore, according to petitioners, Supreme Court erred in appointing Towne as respondent’s guardian without making any of the findings required by Mental Hygiene Law § 81.15 (b). Having consented to and requested the order that appointed Towne, petitioner could not have challenged the order by way of a direct appeal (see, e.g., Hagfors v Hagfors, 200 AD2d 873, 874; Fuller v City of Yonkers, 100 AD2d 926, 927). We see no reason to permit petitioner to do indirectly, by way of a collateral attack on the validity of the prior order in this appeal from a subsequent order, that which he could not have done by way of a direct appeal. The prior order is, of course, subject to vacatur upon proper grounds (see, CPLR 5015 [a]), but petitioner never moved for relief under CPLR 5015 (a) and the allegations of the instant petition are insufficient to warrant such relief.

Petitioners correctly contend that because of the continuing nature of a proceeding which concerns an incompetent or incapacitated person, prior orders entered during earlier stages of the proceeding remain subject to subsequent judicial scrutiny despite the preclusive effect of the doctrine of res judicata. That scrutiny, however, must occur within the relevant statutory framework. In this case, petitioners’ efforts to remove Towne as guardian is governed by Mental Hygiene Law § 81.35, which authorizes removal "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”.

As previously noted, petitioners previously sought removal of Towne as committee or guardian in a cross motion when Towne sought to compel petitioners to turn over respondent’s property. The cross motion was denied because petitioners’ allegations were insufficient. Inasmuch as the purpose of this proceeding is to protect the interests of respondent as an incapacitated person (see, Mental Hygiene Law § 81.01), not to adjudicate petitioners’ rights, we are of the view that the prior denial of petitioners’ cross motion to remove Towne is not entitled to any preclusive effect. If in fact any of the statutory [869] grounds exist for Towne’s removal as guardian, he should be removed, not to vindicate any right of petitioners, but to protect respondent’s interests.

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In re Arnold O., 226 A.D.2d 866, 640 N.Y.S.2d 355, 1996 N.Y. App. Div. LEXIS 3710 (N.Y. Ct. App. 1996).

226 A.D.2d 866 (In re Arnold O.) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

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