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Mental Hygiene/Guardianship


 

General Information
Supreme Court, Nassau County
Guardianship Department
100 Supreme Court Drive
Mineola, NY 11501
516-493-3121

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FAQS

FAQs & Tips for Writing an Annual Report


Q: Do I need to read Article 81 in order to do my annual report?

Q: Do I need to type my annual report?

Q: Can I request changes in my powers in my annual report?

Q: What is meant by “filing” the report?


Q: I sometimes hear of something called the Annual Account or Annual Accounting. Is that the same as the Annual Report?


Q: Who is to receive a copy of the Annual Report?


Q: How do I find out who is the assigned Court Examiner?


Q: If the Court Examiner has changed from the time of my appointment, am I required to give the new Court Examiner all the information that was given to the previous examiner such as the Petition, the Court Evaluator’s report and the signed Order and Judgment?


Q: Do I include copies of my bank statements on the annual report?


Q: What is “testimony?”


Q: How do I know if my Report/Accounting is approved?


Q: Does the Court Examiner review the Report every year?


Q: Does that mean that if the amount of money that I handle as
guardian is considered too small, I do not have to do an annual account each year?


Q: Who is responsible for paying the Court Examiner and when should he/she be paid?


Q: What about my compensation for being a guardian?


Q: Should co-guardians hand in separate annual report?


Q: The deadline for submitting the report is rapidly approaching
(or past) and I do not have all the information that I need. Should I wait until I have everything before filing?


Q: Do I need to read Article 81 in order to do my annual report?
A: Technically, no. But for those who would like to see what the law says, the section that pertains to annual accounts is § 81.31.


Q: Do I need to type my annual report?
A: Check with your court examiner. If you write clearly and legibly, most examiners will accept your report. If you expect to submit a handwritten report, it is advisable to make several copies of the form so that you can gather all the information on a draft before preparing a final version.


Q: Can I request changes in my powers in my annual report?
A: While you should note requested changes in the annual report, the law in 81.31(e) states that the requests must be made within 10 days of the filing of the report. Since there are specific requirements about who must be informed, and if you do not have a lawyer working with you, you may contact the Court Examiner or the law clerk to the Judge to see how any proposed change(s) might be handled.


Q: What is meant by “filing” the report?
A: When you give your original report to the Guardianship Department they will log it into the system. This is called “filing” your report. In Nassau County, the address is: Guardianship Department, Supreme Court Building, Room 152, 100 Supreme Court Drive, Mineola, NY 11501.


Q: I sometimes hear of something called the Annual Account or Annual Accounting. Is that the same as the Annual Report?
A: Yes, they refer to the same thing and can be used interchangeably. Since one of the purposes of the annual report is to account for the money, Court Examiners often refer to it as an Annual Account.


Q: Who is to receive a copy of the Annual Report?
A: That information should be in your court order. The original needs to be filed with the Guardianship Department. Be sure to have your signature notarized and include the index number on anything that you file. It is very important that you send a copy to the court examiner. If the IP is residing in a nursing home, copies also should go to the Administrator or Director of the facility. If the IP resides in a psychiatric facility, send a copy to Mental Hygiene Legal Services. If there is a Supplemental Needs Trust and the guardianship involves medicaid, send a copy to the office of the medicaid provider in that county.


Q: How do I find out who is the assigned Court Examiner?
A: The name and contact information for the Court Examiner assigned to your case will be in the Order and Judgment. There is a chance that it has changed. Call the name listed to make sure that it is current. If it has changed, you can check with the Guardianship Department (516) 571-2938 for information on the current Court Examiner.


Q: If the Court Examiner has changed from the time of my appointment, am I required to give the new Court Examiner all the information that was given to the previous examiner such as the Petition, the Court Evaluator’s report and the signed Order and Judgment?
A: While the court order usually says that the petitioner’s attorney has to send all the documents to the Court Examiner, the guardian is required to cooperate with the Court Examiner as well. So you may have to provide some of the documentation.


Q: Do I include copies of my bank statements on the annual report?
A: Do not attach any bank statements (copies or originals) to the original report that you file with the Guardianship Department. Court Examiners will need the originals but may differ as to when they want to have them. It is best to check with your particular one. Some like it attached to the report; others want you to wait until you give testimony.


Q: What is “testimony?”
A: Testimony is the process, either in person or in writing, by which the Court Examiners use to confirm that the information that you have given them is correct.


Q: How do I know if my Report/Accounting is approved?
A: After your Report/Accounting is finalized with your testimony, the Court Examiner will conclude his/her own review and submit his/her Report to the court about your Report/Annual. When the Judge issues his/her Order regarding the Court Examiner’s Report, the Court Examiner will send you a copy of that Order.

You will receive a copy of the Order approving the report. This means that you have 10 days, or until the date shown in the "Notice of Settlement" to object to the proposed Order and Report. If you don't object, then the Judge can sign and approve the Account on that date. Judge cannot sign the Order prior to the return date shown on the Notice of Settlement. This gives you an opportunity to read the papers and respond. Also, when the Order is signed, the Court Examiner will send you a copy. You do not have to go to court on the “Notice of Settlement” date.


Q: Does the Court Examiner review the Report every year?
A: Yes. However, if the amount of money – the size of the “estate” - that the guardian is handling is small, the Court Examiners will review your Report every year but may report to the court every other year. Therefore, you should keep your original records for several years at least. Counties have different rules so please check with the guardianship office.


Q: Does that mean that if the amount of money that I handle as guardian is considered too small, I do not have to do an annual account each year?
A: No, you still should file an Annual Report each year and send a copy to the Court Examiner.


Q: Who is responsible for paying the Court Examiner and when should he/she be paid?
A: If there are funds in the guardianship account, they can be used to pay the court examiner. However, the amount will be specified in the Order approving the annual accounting.


Q: What about my compensation for being a guardian?
A: You need to request your fees in the annual account and you must include an affidavit detailing (1) the nature of the services you provided to your ward and (2) the amount of time involved. (This is called an Affidavit of Services). Any compensation that is awarded will be specified in the Order approving the account. Then and only then can you pay yourself.


Q: Should co-guardians hand in separate annual report?
A: If it is preferable for co-guardians to hand in one report. However, if you are co- guardian of either person or property and your co-guardian does not seem to be doing his or her report, you should complete and file your report. If co-guardians hand in one report, both will need to have a notarized signature page.


Q: The deadline for submitting the report is rapidly approaching (or past) and I do not have all the information that I need. Should I wait until I have everything before filing?
A: We suggest that you file your report by the deadline with as much information as you have. You will be able to file an amended report when you have all the information. That way, you may avoid being called back into Court for failure to comply.


Links

Guardian Assistance Network

Guardian and Fiduciary Services

Nassau County Court Help Center

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