17 Misc. 3d 1017 848 N.Y.S.2d 820

[848 NYS2d 820]

In the Matter of the Adoption of John Doe.

Surrogate’s Court, New York County,

October 18, 2007

*1018APPEARANCES OF COUNSEL

Cohen Lans LLP (Mara T Thorpe of counsel), for respondent. Cohen Hennessey Bienstock & Rabin PC. (Bonnie E. Rabin of counsel), for petitioner. Sidley Austin LLP for Eileen Caulfield Schwab, Esq., guardian ad litem.

OPINION OF THE COURT

Kristin Booth Glen, S.

At the call of the calendar on March 23, 2007 in this proceeding to vacate the adoption of John Doe (JD), the court denied the motion of respondent ERJ to allow Eileen .Caulfield Schwab, guardian ad litem (GAL) for JD, to participate in a trial on foreign law. What follows constitutes the court’s opinion on that motion.1

Background

On April 12, 2006, without opposition, ERJ readopted JD, a Cambodian orphan, in this court. Subsequently, on August 1, 2006, LMB, with whom she had a prior relationship, moved to vacate the adoption on the grounds that he was entitled to notice as the “father” listed on one of JD’s birth certificates, and that he had a parental relationship with JD based on a Cambodian adoption he had previously procured.

In the early stages of the case it appeared that the parties might attain a mutually acceptable outcome, and the court appointed a GAL to assist in that process, including gathering information about both parties and the child.2 These efforts proved unavailing and, after extensive motion practice, the court ordered a trial3 on disputed issues of Cambodian law: whether Cambodia grants full and final adoptions, or only permission for foreigners to adopt in their home countries, and/or whether *1019LMB’s failure to comply with certain provisions of Cambodian law invalidated the adoption certificate he received. Respondent and the GAL argued that the latter should fully participate in that trial; petitioner opposed on the grounds that such participation was unnecessary and would lead only to further expense and delay. For the reasons stated below, the court finds that the GAL’s participation was neither legally required nor necessary to a full and fair determination of the disputed issues of foreign law.

Discussion

Respondent argues that a GAL is required, and thus that the GAL’s participation in all aspects of the proceeding — including the trial on foreign law — was necessary. In so contending, respondent relies upon SCPA 402 and 4034 and a decision of the Cattaraugus County Surrogate’s Court, Matter of X (84 Misc 2d 770 [Sur Ct, Cattaraugus County 1975]). Her reliance is misplaced, and fundamentally confuses the necessity of GALs where infants are parties to a proceeding with those in which they are the subjects of a proceeding. (Cf. Matter of Scott L. v Bruce N., 134 Misc 2d 240, 242 n 2 [Fam Ct, NY County 1986] [noting, without deciding, the distinction between child as subject and child with party status].)5

Infants (or children) in adoption proceedings, like children in custody disputes, are the subjects of those proceedings and, as such, are not considered necessary parties under article VII of the Domestic Relations Law. Accordingly, with one exception not relevant here,6 the provisions of the Domestic Relations Law that govern adoptions do not contemplate the role of a *1020GAL in those proceedings, much less mandate their appointment.7

The role of infants in adoption proceedings can be contrasted with their role in other familial proceedings in this court. For example, in probate and accounting proceedings, necessary parties are statutorily enumerated (under SCPA 1403 and 2210, respectively) by reference to their interests in the proceeding, and, in the event an infant is a necessary party, SCPA 402 mandates that a GAL be appointed to represent his or her interest; a failure to do so results in a jurisdictional defect that cannot be remedied.8 This jurisdictional concept is embodied in SCPA 406, which provides: “Whenever a guardian ad litem shall be appointed for a person under disability . . . the proceeding shall be binding upon such person to the same extent as if such person was under no disability.”

As the above comparison demonstrates, New York law implicitly distinguishes between what may best be described as “jurisdictional” GALs, on the one hand, and “parens patriae” GALs, on the other. The former, to which both SCPA 402 and 403 and CPLR 1201 refer, are statutorily mandated representatives for persons “under disability” over whom jurisdiction must — and could not otherwise be — obtained.9 In the CPLR context,10 GALs are most often appointed so that a plaintiff can effectively sue an “infant” defendant11 and obtain a judgment that is binding. (See CPLR 1203; Siegel, NY Prac § 199, at 327 [4th ed 2005].) In the context of the SCPA, the purpose is essentially the same: to permit an infant who is a necessary party *1021to “appear”12 in the proceeding so as to effect a binding judgment in the probate, accounting and affiliated proceedings that are the primary work of the Surrogate’s Court.13

The second, quite different category of GAL, found in courts across the country, “serves at the statutory or common law discretion of the judge to play an intermediate (and often indeterminate) role by ferreting out information, gathering evidence, and making recommendations that are intended to protect and foster the best interest of the children”14 (Prescott, The Guardian Ad Litem, in Custody and Conflict Cases: Investigator, Champion and Referee?, 22 U Ark Little Rock L Rev 529, 557 [2000], citing Short v Short, 730 F Supp 1037, 1039 [D Colo 1990]).

There is no statutory authority in New York for the appointment of GALs to protect the interests of nonparty infants in a proceeding; rather, as in similar jurisdictions, appointing authority for so called parens patriae GALs derives from the common law (Stuckey at 1793-1794, citing 2 Frederick Pollock and Frederic W Maitland, The History of English Law, at 436-447 [2d ed 1952]), and in particular from the parens patriae powers of the court. .(See Custer, The Origins of the Doctrine of Parens Patriae, 27 Emory LJ 195, 204-205 [1978] [the judiciary’s jurisdiction over the care of infants and its rights to exercise parens patriae power on behalf of the King did not become entrenched until the eighteenth century]; Stuckey at 1794 n 28.) New York *1022courts have utilized this power in cases where the interests of children who are the subject of disputes (usually custody disputes arising out of divorce) cannot be adequately protected by their parents, whether because of conflict of interest or otherwise, or where independent investigation can assist a court in making a best interests determination. (See Braiman v Braiman, 44 NY2d 584, 591 [1978].)15

The distinction between jurisdictional and parens patriae GALs accounts for the general practice in this court in which GALs are only infrequently appointed in adoption proceedings. (See Matter of J., 168 Misc 2d 66 [Sur Ct, NY County 1996] [court declined to appoint GAL in second parent adoption, observing that GAL appointments in adoption proceedings commenced by married couples or single parents were made only in exceptional circumstances].) However, where the appearance of the birth parent of a prospective adoptive child is required (Domestic Relations Law § 115 [3]) and that parent is herself an infant, appointment of a jurisdictional GAL is required (Matter of X, 84 Misc 2d 770 [Sur Ct, Cattaraugus County 1975]).16 That case, relied upon by respondent here, is entirely distinguishable insofar as the necessity of a GAL derived from the fact that the birth parent was a necessary party to the proceeding whose consent to the adoption was required. And while the court determined that failure to appoint a GAL for the biological mother would be a jurisdictional defect under SCPA 402, no such GAL was appointed for the subject of the proceeding, the adopted infant.

To the extent that Matter of X suggests a broader rationale— the need of “a 14-year-old infant mother [for] counsel and guidance on the legal aspects of an issue as important as the adoption of her baby” (84 Misc 2d at 773) — the Court of Appeals has made clear that appointment of a GAL for the infant *1023mother is not mandatory for such purpose. (Matter of T. W. C., 38 NY2d 128, 129 [1975] [irrevocable consent to adopt which was executed by an infant natural mother whose appearance was not required — who did not appear and for whom a GAL had not been appointed — held valid in the absence of duress].)

In sum, there is not, and has never been, a jurisdictional necessity for the appointment of GALs for infants who are the subject of adoption proceedings. The appointment of a “parens patriae” GAL to protect such infants’ “best interests” is entirely discretionary.17 And, just as appointment of the GAL in service of the court’s parens patriae power is discretionary, so too is the duration of the appointment and the purpose for which it is made. (See e.g. Matter of Fischer, NYLJ, June 11, 1998, at 29, col 5 [Sur Ct, NY County]; Matter of Brannick, NYU, Feb. 26, 1998, at 31, col 1 [Sur Ct, NY County]; see also 22 NYCRR 36.1 [a] [2].) Thus, a parens patriae GAL need not participate in all portions of a proceeding in which she has been appointed.

As stated above, the purpose for appointment in this case was to assist the court in obtaining relevant information at a time when the parties’ options included a solution short of full-scale litigation. As the case developed into one that was aggressively litigated, the necessity for the GAL’s assistance became less critical. When the issue became solely a question of foreign law, there was no need for participation by the GAL, as the opposing parties were fully capable of presenting all evidence necessary to that purely legal — as opposed to factual or “best interests”— determination.

Moreover, there was no basis to justify the substantial additional expense of participation by the GAL. Prior to commencement of the trial, she had already submitted an interim application for fees in excess of $85,000. Preparation for, and participation in, an 11-day trial,18 as well as in post-trial briefing, would have multiplied that amount many times. The ability *1024of one or both parties to pay any fees incurred19 does not negate the court’s obligation to guard against unnecessary expense;20 this is especially true where, as here, the GAL offered no specialized legal knowledge or expertise on the particular issues of foreign law to be adjudicated.

As a result, respondent’s application seeking the GAL’s participation in the trial on Cambodian law was properly denied.21

In re the Adoption of Doe
17 Misc. 3d 1017 848 N.Y.S.2d 820

Case Details

Name
In re the Adoption of Doe
Decision Date
Oct 18, 2007
Citations

17 Misc. 3d 1017

848 N.Y.S.2d 820

Jurisdiction
New York

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