MEMORANDUM AND ORDER
Plaintiffs have moved pursuant to Fed. R.Civ.P. 17 for the appointment of next friends to act on behalf of certain of the named plaintiffs. After considering plaintiffs’ submissions and defendants’ opposition, plaintiffs’ motion is granted.
Background 1
This litigation concerns allegations of wrongful treatment of plaintiffs, mentally disabled individuals, while they resided at the Leben Home for Adults (“Leben Home”). The Leben Home provides long-term, comprehensive residential care to adults, many of whom depend upоn the assistance of others to eat, bathe, and perform other daily functions. Many of the Leben Home residents suffer from mental disabilities and are unable to work.
In February 1998, an employee of defendant Parkway Hospital, a private, for-profit facility, made an anonymous telephone call to the New York State Commission on Quality of Care for the Mentally Disabled, alleging that groups of Leben Home residents were being brought to the hospital on a “weekly basis” to undergo prostate
The hearing officer also concluded defendants Peress and Josifidis did not secure the informed consent of plaintiffs pri- or to performing the unnecessary surgery. The hearing officer did not credit defendants’ claims that they provided plaintiffs a full explanation of the risks and implications of prostate surgery, particularly because some plaintiffs, by defendants’ own admission, may have suffered from a mental disability. Testimony given by defendants Peress and Josifidis at the DOH hearing indicates they sought the assis-tanee of defendant Diane Ahearn, an employee of Americare, 2 in gaining plaintiffs’ trust so plaintiffs would be induced to sign the informed consent forms.
As a result of this investigation and determination, defendant Peress’ medical license was revoked. 3 Defendant Josifidis’ license was suspended for three years, with the suspension stayed for all but six months, and he was placed on probation for two and a half years. Subsequently, plaintiffs instituted this lawsuit, claiming defendants’ conduct violated various state and federal laws, including the Americans with Disabilities Act of 1990 and 42 U.S.C. §§ 1985(3), 1986.
Under consideration now is plaintiffs’ motion to appoint next friends for plaintiffs Bowen, Costa, Fazio, France, Grant, Johnson, Leabough, Ziegberman and Patients 1, 7,10,13, 16, 19, and 23. 4 Plaintiffs have submitted the affidavits of psychiatrists and the attorneys who seek to represent plaintiffs as guardians ad litem. 5 Defendants challenge plaintiffs’ motion in two respects. First, they argue plaintiffs have failed to demonstrate they suffer from a mental disability requiring the appointment of guardians. Second, they claim the proposed guardians lack sufficient interest in the litigation and personal connection to plaintiffs to serve as suitable representatives. I address these points in turn.
The procedure for the appointment of guardians is governed by Fed.R.Civ.P. 17(c), which states:
[wjhenever an infant or incompetent person has a representative, such as a general guardian, committee, conservator, or other like fiduciary, the representative may sue оr defend on behalf of the infant or incompetent person. An infant or incompetent person who does not have a duly appointed representative may sue by a next friend or by a guardian ad litem. The court shall appoint a guardian ad litem for an infant or incompetent person not otherwise represented in an action or shall make such other order as it deems proper for the protection of the infant or incompetent person.
Plaintiffs, other than Thomas Mit-tendorf, who proceeds by next friend, John Mittendorf, are not represented by general guardians, and thus this Court must determine whether they are incompetent and require the appointment of next friends under Rule 17(c). State law provides the controlling authority for determining whether an individual has capacity to sue on his own behalf.
See
Fed.R.Civ.P. 17(b) (stating “[t]he capacity of an individual, other than one acting in a representative capaсity, to sue or be sued shall be determined by the law of the individual’s domicile.”);
Thomas v. Humfield,
New York law requires that “an adult incapable of adequately prosecuting or defending his rights” have a guardian appointed on his behalf. N.Y.C.P.L.R. § 1201. The party seeking appointment of a guardian must show by a preponderance of the evidence that the individual’s “condition impedes her ability to protect her rights .... ”
New York Life Ins. Co. v. V.K.,
In support of their application, plaintiffs have submitted declarations of plaintiffs’ treating psychiatrists.
See
Declaration of Julia Price Rosner (“Rosner Deck”), Exs. G-J; Declaration of Timothy A. Clune (“Clune Deck”), Exs. G-J; Clune Supp.
Defendants contend plaintiffs’ submissions are deficient because the psychiatrists do not describe in specific terms the precise manner in which plaintiffs’ medical conditions render them incapable of adequately prosecuting their claims. Defendants suggest a hearing should be held to ascertain the evidеntiary support for plaintiffs’ application. No hearing is required, however, in light of the record before the Court, and particularly as it is plaintiffs themselves, not the Court or their adversaries, who seek representation by next friends.
The court’s power to appoint a guardian is limited by the Due Process Clause because plaintiffs “possess[ ] liberty interests in avoiding the stigma of being found incompetent ... and in retaining personal control over the litigation .... ”
Neilson,
Having weighed these interests, I conclude that guardians should be appointed, and that no hearing is required before deciding plaintiffs’ motion. First, plaintiffs, through counsel, seek guardians, and thus they are willing to constrain their control over this litigation and face the possible resulting stigma associated with guardianship. Moreover, the Court is in receipt of ample evidence supporting plaintiffs’ claim that guardians are needed to protect their interests.
Plaintiffs have submitted the declarations of their treating psychiatrists, individuals who are in the best position to comment on plaintiffs’ competency as litigants. According to the declarations, the psychiatrists have concluded plaintiffs are unable to protect their interests in this case. The pleadings and exhibits submitted during this litigation also demonstrate plaintiffs’ interests would be well-served by the appointment of guardians. The allegations of plaintiffs’ complaint and the evidence submitted to the DOH in connection with the administrative hearing against defendants Peress and Josifidis paint a picture of individuals requiring guidance and supervision in making difficult choices, such as those arising in the course of a lawsuit. The sum of this evidence satisfies plaintiffs’ burden in proving they are in need of guardians in this action.
See Neilson,
The value of defendants’ proposed procedural safeguard, a formal evidеntiary hearing, would be minimal and would only waste time and resources. It is true New York state courts have suggested that where a question of fact exists as to a party’s competence to proceed on his own behalf, a hearing should be conducted to determine if a guardian should be appointed.
See, e.g., Shad v. Shad,
I also point out that this Court is under a continuing obligation to monitor and assess the work of the proposed guardians.
See Neilson,
Having found that plaintiffs are in need of guardians ad litem during this litigation, I turn to thе question of which individuals should serve as their representatives. Plaintiffs submit the declarations of attorneys who wish to serve as next friends on a pro bono basis. See Rosner Decl., Exs. A-F; Clune Deck, Exs. A-F. Each attorney is admitted to practice in the State of New York and is affiliated with a firm engaged in the private practice of law.
Defendants argue the proposed guardians would not be suitable representatives because they are not family members or close friends of plaintiffs. Howеver, a close relationship or blood tie need not exist between a proposed next friend and an individual in need of representation. The Second Circuit has construed Fed.R.Civ.P. 17(c) broadly, stating that a “next friend” “include[s] any one who has an interest in the welfare of an infant [or incompetent] who may have a grievance or a cause of action.”
Ad Hoc Comm. of Concerned Teachers v. Greenburgh No. 11 Union Free Schl. Dist.,
a court should consider the good faith of those claiming to speak for the infant and satisfy itself that the “next friend” is motivated by a sincere desire to seek justice on the infant’s behalf. In addition, a court should explore the ability of the “next friend”—financial or otherwise—to prosecute the type of action at hand. We would not sanction any attempt to assert the legitimate rights of children as a mere рretext for advancing ulterior political or economic gains. Nor would we approve of persons who, despite their good intentions, find themselves unable to finish what they start.
Defendants’ contentions that kin, or close friends, might perhaps serve as better representatives, are unavailing. As an initial matter, plaintiffs reside in assisted-living residential care facilities, and not with kin or close friends, and, despite the publicity surrounding Parkwаy Hospital and the DOH inquiry, no family members
Defendants rely on the Supreme Court’s decision in
Whitmore v. Arkansas
in support of their argument against appointment of the proposed next friends.
“next friend” standing is by no means granted automatically to whomever seeks to pursue an action on behalf of another. Decisions applying the habeas corpus statute have adhered to at least two firmly rooted prerequisites for “next friend” standing. First, a “next friend” must provide an adequate explanation— such аs inaccessibility, mental incompetence, or other disability — why the real party in interest cannot appear on his own behalf to prosecute the action. Second, the “next friend” must be truly dedicated to the best interests of the person on whose behalf he seeks to litigate, and it has been further suggestedthat a “next friend” must have some significant relationship with the real party in interest. The burden is on the “next friend” clearly to establish the propriety of his status аnd thereby justify the jurisdiction of the court.
Defendants press that, because the proposed guardians do not meet each of the criteria set forth in Whitmore, this Court should reject plaintiffs’ application. As an initial matter,
Whitmore
clearly pertains to the standing of proposed next friends. Whether a representative has standing poses a slightly different question than whether the representative is a suitable guardian for the party in question. To the extent defendants challenge the next friends’ standing to proceed, their arguments fail. The Court in
Whitmore
ultimately described its test for next friend standing merely as “a showing by the proposed ‘next friend’ that the real party in interest is unable to litigate his own cause due to mental incapacity, lack of access to court, or other similar disability.”
Whitmore,
To the extent the Supreme Court’s holding in
Whitmore
may extend to the suitability of a proposed next friend, its analysis appears to be limited to the context of habeas litigation.
See Whitmore,
Conclusion
For these reasons, plaintiffs’ request fоr the appointment of guardians is granted in its entirety, and I hereby order that the proposed next friends be permitted to proceed on plaintiffs’ behalf. With regard to plaintiff Costa, this order is conditioned upon Ms. Lensky meeting with Mr. Costa within thirty days of the date of this Order, and supplementing her declaration to note this meeting, indicating that she has explained the role of a guardian ad litem to Mr. Costa and that he agrees to her appointment on his behalf.
SO ORDERED.
Notes
. The facts are drаwn from plaintiffs’ Second Amended Complaint and from the decision of the Department of Health, State Board for Professional Medical Conduct, annexed as Exhibit A to the Second Amended Complaint.
. Pursuant to a so-ordered stipulation dated August 10, 2001, the claims against Ameri-care were discontinued.
. The hearing officer had recommended Per-ess' license be suspended for five years. On appeal to the Administrative Review Board, Peress' license was revоked.
. Patient 17 has indicated through counsel that he does not wish to pursue this litigation. Patients 3 and 21 are deceased. See Supplemental Declaration of Timothy A. Clune ("Clune Supp. Decl.”), ¶¶ 5, 12. Patients 20 and 22 cannot be located. See id., ¶¶ 8-10.
.Prior to the adoption of Fed.R.Civ.P. 17(c), a distinction was made between the terms “next friend” and "guardian
ad litem.”
Next friends were permitted to pursue actions on behalf of infants and incompetents, while guardians
ad litem
were permitted to defend infants and incompetents.
See
6A Charles Alan Wright, Arthur R. Miller & Mary Kay Kane,
Federal Practice & Procedure,
§ 1572 (1990). The functions of the two representatives were nearly identical, and the terms are now used interchangeably.
See id.; von Bulow v. von Bulow,
. Proposed next friend Joan Lensky Robert has not yet met with Joseph Costa, the individual she wishes to represent as guardian ad litem. See Rosner Deck, Ex. B. Ms. Robert is hereby directed to meet with Mr. Costa at his place of residence within thirty days of the issuance of this Memorandum and Order, and supplement her declaration to note this meeting and to indicate whether Mr. Costa objects to her appointment.
. The publicity surrounding the allegations involving Leben Home, Parkway Hospital, and defendants Peress and Josifidis has been considerable. See, e.g., Maki Becker, State Pulls License of Adult Home, Daily News, May 4, 2001, at 2; Clifford J. Levy & Sarah Ker-shaw, Broken Home, A Special Report: For the Mentally III, Chaos in an Intended Refuge, N.Y. Times, Apr. 18, 2001, at Al; Joe Mahoney, Nursing Home Slapped in State Health Warning, Daily News, Mar. 30, 2001, at 4.
