In re Heckl

44 A.D.3d 110, 840 N.Y.S.2d 516
CourtAppellate Division of the Supreme Court of the State of New York
DecidedJuly 18, 2007
DocketAppeal No. 3
StatusPublished
Cited by7 cases

This text of 44 A.D.3d 110 (In re Heckl) is published on Counsel Stack Legal Research, covering Appellate Division of the Supreme Court of the State of New York primary law. Counsel Stack provides free access to over 12 million legal documents including statutes, case law, regulations, and constitutions.

Bluebook
In re Heckl, 44 A.D.3d 110, 840 N.Y.S.2d 516 (N.Y. Ct. App. 2007).

Opinion

OPINION OF THE COURT

SCUDDER, P.J.

[112]*112Petitioners commenced this proceeding pursuant to Mental Hygiene Law article 81 seeking, inter alia, a determination that their mother is an incapacitated person and the appointment of a guardian for her person and property. By its order entered September 20, 2006 granting the order to show cause, Supreme Court appointed a court evaluator pursuant to Mental Hygiene Law § 81.09, and in appeal No. 1 petitioners’ mother, the alleged incapacitated person (AIP), appeals from the order appointing the Court Evaluator. The AIP thereafter answered the petition, and she subsequently moved for an order vacating the appointment of the Court Evaluator on the ground that her liberty interest is at stake and she therefore cannot be compelled to speak to the Court Evaluator without violating her rights pursuant to the Fifth Amendment of the United States Constitution and article I, § 6 of the New York Constitution. By its order in appeal No. 2 entered November 22, 2006, the court, inter alia, denied that motion and ordered that the Court Evaluator meet “immediately” with the AIP Based upon the AIP’s refusal to meet with the Court Evaluator, petitioners thereafter moved in December 2006 for an order finding the AIP in contempt pursuant to Judiciary Law § 753 for, inter alia, impeding the court’s directive that the Court Evaluator meet with her and “punishing [the AIP] by fine or imprisonment or both.” By its order in appeal No. 3 entered January 24, 2007, the court, inter alia, directed the AIP to meet with the Court Evaluator within 10 days of the entry of the order or “the [c]ourt will hold the AIP in contempt.”

We note at the outset that the issue whether the constitutional rights of the AIP are implicated is an issue of first impression at the appellate level in this state. For the reasons that follow, we conclude that the AIP’s constitutional rights against self-incrimination do not attach herein and that the orders in appeal Nos. 1 and 2 should be affirmed. With respect to the order in appeal No. 3, however, we conclude that the court erred in directing the AIP to meet with the Court Evaluator within 10 days of the entry of the order in that appeal and in providing that the AIP would otherwise be held in contempt. We therefore conclude that the order in appeal No. 3 should be modified by vacating those provisions and by dismissing the motion to punish the AIP for civil contempt.

By way of background, the AIP is the 80-year-old mother of petitioners and the president and sole shareholder of intervenorrespondent, Permclip Products Corp. (Permclip). Petitioners are not employees or directors of Permclip, although petitioner [113]*113Olivia J. Corey managed Permclip after her father’s death in 2002 until June 2005. Petitioners allege, inter alia, that their mother has been diagnosed with dementia and that she is not able to care for her personal needs or to manage Permclip or her personal financial affairs. They further allege that their mother is influenced to her detriment by her longtime personal assistant. It is undisputed that the AIP and petitioners are estranged, but the reasons for the estrangement offered by petitioners and the AIP do not coincide. Petitioners contend that they seek to protect their mother and the company established by their father, while the AIP contends that petitioners seek only to benefit themselves by controlling her company and her fortune.

The Appointment of a Court Evaluator is Mandated by Statute

The AIP concedes that Mental Hygiene Law § 81.09 (a) requires the court to appoint a court evaluator “[a]t the time of the issuance of the order to show cause,” but she nevertheless contends that the court erred in refusing to vacate the appointment. According to the ALE? she is represented by counsel of her own choosing and the court therefore will have all the information required to determine the merits of the petition through the adversarial process. The AIP further contends that, because section 81.10 (g) permits the court to vacate or suspend the appointment of a previously appointed court evaluator if the court appoints counsel, the court should be permitted to do so when the AIP has retained counsel. The AIP contends that her constitutional right to be protected from acting as a witness against herself will be violated in the event that she meets with the Court Evaluator because information obtained by the Court Evaluator may be admitted in evidence at the hearing on the petition (see § 81.12 [b]).

Article 81 of the Mental Hygiene Law was enacted to replace articles 77 and 78, which governed conservatorship and committee proceedings, respectively (see Bailly, Practice Commentaries, McKinney’s Cons Laws of NY, Book 34A, Mental Hygiene Law § 81.01, at 7). The statutory scheme is designed to provide a flexible system that is tailored to meet the personal and/or property management needs of a person requiring some form of assistance (see Mental Hygiene Law § 81.01; see generally Bailly, Practice Commentaries, at 7). The Legislature determined that the needs of an AIP would be best met by assuring that the AIP has legal representation to advocate for the AIP if necessary [114]*114(see Mental Hygiene Law § 81.10), but the Legislature also determined that the appointment of a court evaluator would be beneficial in “providing] an independent assessment of the [AIP]” (Law Rev Commn Comments, reprinted in McKinney’s Cons Laws of NY, Book 34A, Mental Hygiene Law § 81.10, at 130). The Law Revision Commission recognized that

“[t]he differentiation between the two roles reflects the two competing views of guardianship proceedings. Given the serious issues at stake in a guardianship proceeding, there is, on the one hand, strong support for . . . the adversarial approach to guardianship proceedings. On the other hand, there is recognition that an objective ‘best interests’ assessment of the [AIP], rather than the adversarial approach, may better serve the needs of [the AIP]” (id.).

Here, the AIP views the Court Evaluator as an adversary and thus part of the adversarial process, and not as an “independent investigator” whose function is to aid the court in determining, inter alia, the capacity of the AIP and his or her need for a guardian or guardians (Law Rev Commn Comments, Mental Hygiene Law § 81.09, at 110). Although we cannot say that the position of the AIP is unreasonable, it simply does not comport with the statutory scheme. We thus conclude that the court is without statutory authority to dispense with the Court Evaluator herein, despite its authority to do so if counsel had been appointed (see Mental Hygiene Law § 81.10 [g]). The legislative intent is clear: “The appointment of a court evaluator is mandatory in every case, with one exception. The court may dispense with or suspend the appointment of the court evaluator only when the court appoints counsel under section 81.10” (Law Rev Commn Comments, § 81.09, at 110). Because “some estates may be financially overburdened by the expenses of both the court evaluator and counsel,” the court is permitted to dispense with the court evaluator if counsel is appointed (Law Rev Commn Comments, § 81.10, at 130) and, in the event that an AIP is indigent, counsel shall be compensated pursuant to article 18-B of the County Law (see Matter of St. Luke’s-Roosevelt Hosp. Ctr. [Marie H.—City of New York], 89 NY2d 889, 892 [1996]).

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Cite This Page — Counsel Stack

Bluebook (online)
44 A.D.3d 110, 840 N.Y.S.2d 516, Counsel Stack Legal Research, https://law.counselstack.com/opinion/in-re-heckl-nyappdiv-2007.