The Responsibilities of a Guardian After Appointment: How to Comply with the Reporting Requirements
If you are appointed as a Guardian under Article 81 of the New York State Mental Hygiene Law, you are charged with certain responsibilities under the statute. Included in those responsibilities is the completion and filing of an Initial Report and Annual Reports.
What is in the Guardian’s Initial Report?
The Guardian’s Initial Report includes the details of the assets of the incapacitated person (IP). The Guardian must set forth exactly what IP assets are coming under their control at the outset of the guardianship. The Guardian must also detail their plan to meet the medical, physical, and social needs of the IP.
When does the Initial Report need to be filed?
The Initial Report must be filed within 90 days of the Guardian receiving their Commission.
Is there an educational requirement for the Guardian?
Yes. The Guardian must take a state mandated course regarding their responsibilities. Proof of completion of the course must be filed with the Initial Report. In some cases, however, the Court waives the educational requirement.
What is in the Guardian’s Annual Report?
The Annual Report addresses the ongoing property and personal affairs of the IP. Regarding their property affairs, the Annual Report details the amount of assets the IP started with at the beginning of the year and the amount of assets they finished with at the end of the year. Each item of income and expense during the course of the year must also be itemized. Regarding the personal needs of the IP, the Guardian must report regarding the general welfare of the IP – including the medical care received by the IP during the year, the appropriateness of the IP’s current residence, and whether there is any reason to change the guardianship.
When does the Annual Report need to be filed?
The Annual Report must be filed by the end of May each year regarding the activity from the prior calendar year.
Where do the Guardian Reports need to be filed?
Where the reports need to be filed varies depending on the particular circumstances of the guardianship; however, in all cases, the reports need to be filed with the Examiner of Guardianship Reports for the county where the IP resides. The Examiner will then review the report and issue their own report to the Guardian and the Court.
The completion and filing of proper guardianship reports can be a challenging process. If you need assistance complying with your responsibilities as a Guardian, you should seek the assistance of an experienced elder law attorney.
Matthew J. Dorsey, Esq. is a Partner with O’Connell and Aronowitz, 1 Court St., Saratoga Springs. Over his twenty-three years of practice, he has focused in the areas of elder law, estate planning, and estate administration. Mr. Dorsey can be reached at 518-584-5205, mdorsey@oalaw.com, and www.oalaw.com.