Opinion
# 2012-009-023 Claim No. 119841 Motion No. M-82147
12-10-2012
CHIANTI FRAZIER-MOTT AS GUARDIAN OF HARRIETTE J. WALKER v. THE STATE OF NEW YORK
Synopsis
Claimant's motion seeking an order amending the caption of the claim to reflect the death of Harriette J. Walker was granted. Case information
UID: 2012-009-023 Claimant(s): CHIANTI FRAZIER-MOTT AS GUARDIAN OF HARRIETTE J. WALKER Claimant short name: FRAZIER-MOTT Footnote (claimant name) : Defendant(s): THE STATE OF NEW YORK Footnote (defendant name) : Third-party claimant(s): Third-party defendant(s): Claim number(s): 119841 Motion number(s): M-82147 Cross-motion number(s): Judge: NICHOLAS V. MIDEY JR. LYNCH LAW OFFICE, PLLC Claimant's attorney: BY: Andrew J. Schwab, Esq., Of Counsel. HON. ERIC T. SCHNEIDERMAN Attorney General Defendant's attorney: BY: Maureen A. MacPherson, Esq., Assistant Attorney General, Of Counsel. Third-party defendant's attorney: Signature date: December 10, 2012 City: Syracuse Comments: Official citation: Appellate results: See also (multicaptioned case) Decision
Chianti Frazier-Mott, who instituted this claim as guardian of her mother, Harriette J. Walker, has brought this motion for an order amending the caption of the claim to reflect her appointment as Administrator of her mother's estate, who passed away on September 25, 2011.
The following papers were considered by the Court in connection with this motion:
Notice of Motion, Affidavit of Andrew J. Schwab, Esq., with Exhibits 1, 2
Affirmation in Opposition of Maureen A. MacPherson, Esq., Assistant Attorney General,
with Exhibit 3
Reply Affirmation of Andrew J. Schwab, Esq., with Exhibits; Affidavit of Chianti Frazier-Mott 4, 5
On May 12, 2011, claimant Chianti Frazier-Mott, as guardian of Harriette J. Walker, filed a claim alleging negligence by nurses and physicians at Upstate Medical Center in the care and treatment provided to Ms. Walker.
Subsequently, Harriette J. Walker passed away on September 25, 2011 (Exhibit E to Items 1, 2). Thereafter, Letters of Administration were issued to claimant, Chianti Frazier-Mott, on January 3, 2012 by the Onondaga County Surrogate's Court (Exhibit F to Items 1, 2).
Claimant now brings this motion seeking permission to amend the caption of the claim to properly reflect her appointment as Administrator. Defendant has opposed this motion, alleging not only a lack of standing, but also citing Court of Claims Act § 15, which requires that such an order be obtained within six months from the date of appointment.
With regard to the first issue raised by defendant, Ms. Frazier-Mott, through her appointment as Administrator of the Estate of Harriette J. Walker, not only has standing, but also has an affirmative duty (pursuant to Section 15) to obtain judicial approval for the substitution. Additionally, it is clearly evident that claimant's attorney, Mr. Schwab, has represented her on a continuous basis from the service upon the Attorney General of a notice of intention through the guardianship appointment process, the service and filing of the claim in the instant matter, and the appointment of claimant as Administrator. The Court finds that sufficient standing has therefore been established and is not an issue in this matter.
With regard to the requirements of Court of Claims Act § 15, claimant contends that this section does not apply to the facts of this case, since it only requires an order of substitution "[i]n the event of the death of the claimant . . ." As claimant's attorney correctly points out, in this particular matter the person who has died is Harriette J. Walker, the person on whose behalf this claim was filed by claimant Chianti Frazier-Mott. The death of Harriette J. Walker, therefore, has only necessitated a change in the nature of representative capacity of claimant Chianti Frazier-Mott from Guardian to Administrator.
Although case law is silent on this issue, it is this Court's opinion that the purpose of Section 15 (to insure that a person with the proper legal authority represents the decedent) can only be accomplished by an order substituting the personal representative of the decedent.
In this particular matter, it just so happens that the original claimant (Chianti Frazier-Mott, as Guardian) is the same person now authorized to act on behalf of the estate (Chianti Frazier-Mott, as Administrator). If the identity of the Guardian and the Administrator had been different, there can be no question that a substitution would be required. Accordingly, even though the identity of the claimant has not changed, her representative capacity has certainly changed, as well as her legal authority to proceed as claimant. A substitution is therefore necessary to insure that all parties concerned are placed on notice that the claimant has the proper legal authority to prosecute the claim.
Defendant further contends that under Section 15, this Court is authorized to dismiss the claim, since claimant failed to obtain an order of substitution within six months from the date of her appointment, as required by that statute.
First of all, it should be noted that Section 15 authorizes the Court to dismiss the claim upon motion by the Attorney General. This particular motion, however, was brought by claimant for an order of substitution, and the Attorney General has not moved for dismissal in either a motion or cross-motion.
Secondly, and more important, the statutory language of Section 15, in providing the Court with the authority to dismiss a claim, is clearly discretionary in nature (Pehel v State of New York, 208 Misc 742).
In this particular matter, claimant's motion for the order of substitution was filed on September 10, 2012, approximately eight months after her appointment as Administrator, and only two months past the time requirements imposed by Section 15.
Furthermore, in May 2012, within the six-month period following Ms. Frazier-Mott's appointment as Administrator, claimant's attorney notified the Attorney General's Office that Ms. Walker had passed away and that Ms. Frazier-Mott had been appointed Administrator (Exhibit A to Item 3). As a result, defendant was made aware of both the death of Ms. Walker and the appointment of Ms. Frazier-Mott as Administrator on a timely basis.
Additionally, it does not appear that the prosecution of this claim has been interrupted in any manner attributable to any failure on the part of the claimant to obtain the required order of substitution. As a result, it would be an abuse of discretion for this Court to even consider a dismissal of the claim pursuant to Section 15.
Finally, the Court notes that claimant requests that the caption of the claim be amended to "Chianti Frazier-Mott Individually and on behalf of Harriette J. Walker." The Court has reviewed the claim, as well as all papers submitted in connection with this application, and finds no reference whatsoever to any individual cause of action asserted by Ms. Frazier-Mott. Therefore, even though this Court is granting claimant's application for an order of substitution, the Court hereby directs that the caption be amended to "Chianti Frazier-Mott, as Administrator of the Estate of Harriette J. Walker, Deceased".
Based upon the foregoing, it is
ORDERED, that Motion No. M-82147 is hereby GRANTED; and it is further
ORDERED, that the caption of this claim be amended to "Chianti Frazier-Mott, as Administrator of the Estate of Harriette J. Walker, Deceased".
December 10, 2012
Syracuse, New York
NICHOLAS V. MIDEY JR.
Judge of the Court of Claims