guardianship monitoring in florida - florida courts · introduction a guardian is a surrogate...

41
Guardianship monitoring in Florida: Fulfilling the Court’s duty to protect wards 2003 Guardianship is the process by which a court finds a person’s ability to make decisions so impaired because of mental and/or physical disabilities, that the right to make decisions is legally granted to another party. That party, known as a guardian, becomes the surrogate decision-maker in personal and/or financial matters for the incapacitated person, known as a “ward.” Supreme Court Commission on Fairness, Committee on Guardianship Montoring

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Page 1: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Gu

ar

dia

nsh

ipm

on

ito

rin

gin

Flo

rid

a:

Fulf

illi

ng

th

eC

ou

rt

’s d

ut

yt

o p

ro

tec

t w

ar

ds

2003

Guardianship

is

the

pro

cess

by w

hic

h a

court

fin

ds

a per

son’s

abil

ity t

o m

ake

dec

isio

ns

so i

mpai

red b

ecau

se o

f m

enta

l an

d/o

r physi

cal

dis

abil

itie

s, t

hat

the

right

to

mak

e dec

isio

ns

is l

egal

ly g

rante

d t

o a

noth

er p

arty

. T

hat

par

ty,

know

n a

s a

guar

dia

n,

bec

om

es t

he

surr

ogat

e dec

isio

n-m

aker

in p

erso

nal

and/o

r fi

nan

cial

mat

ters

for

the

inca

pac

itat

ed p

erso

n,

know

n a

s a

“war

d.”

Supr

eme

Cou

rt C

omm

issi

on o

n Fa

irne

ss, C

omm

itte

e on

Gua

rdia

nshi

p M

onto

ring

Page 2: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Th

e H

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ble

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ssm

an

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air

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cuit

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urt

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dg

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even

teen

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ircu

it

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e H

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ora

ble

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icia

Th

om

as,

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-ch

air

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urt

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dg

e, F

ifth

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cuit

Ms.

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n C

am

pb

ell

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ub

lic

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ard

ian

,S

eco

nd

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cuit

Mr.

Cla

y C

raig

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tto

rney

at

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pre

sen

tin

g t

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l P

rop

erty

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ar

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ffic

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eral

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ord

inat

or

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ecia

l P

roje

cts

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sep

h P

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eo

rge, Jr

., A

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rney

at

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, rep

rese

nti

ng

th

e G

ov

ern

men

tL

awy

ers

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tio

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he

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rid

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ar

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hn

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nt,

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orn

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aw,

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erS

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ato

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orm

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xecu

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bli

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ice

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e H

on

ora

ble

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rge W

. G

reer,

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cuit

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urt

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dg

e, S

ixth

Cir

cuit

Ms.

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ril

Hil

l, A

tto

rney

at

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, fo

rmer

dir

ecto

r o

f th

e E

lder

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stic

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ente

r o

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hir

teen

th C

ircu

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ve

n H

oll

ow

ay

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hD

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n o

f B

arry

Un

iver

sity

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oo

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oci

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ork

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ia D

iaz

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wry

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urt

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ves

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ito

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ircu

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Ric

har

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ilst

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orn

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aw,

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rese

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ng

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e E

lder

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tio

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he

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rid

a B

ar

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e H

on

ora

ble

Do

na

ld R

. M

ora

n,

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ief

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ge,

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urt

h C

ircu

it

Th

e H

on

ora

ble

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in P

err

y, Jr

., C

hie

f Ju

dg

e,N

inth

Cir

cuit

Mr.

Jo

hn

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ila,

Ex

ecu

tiv

e D

irec

tor,

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tew

ide

Pu

bli

c G

uar

dia

nsh

ip O

ffic

e

Mr.

Ste

ven

E. Q

uin

nell

, Att

orn

ey a

t L

aw,

Nat

ion

al A

sso

ciat

ion

of

Eld

er L

aw A

tto

rney

s

Th

e H

on

ora

ble

Su

san

Se

xto

n,

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cuit

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urt

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ge,

Th

irte

enth

Cir

cuit

Sta

ff S

up

po

rt

Ms.

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bra

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we

lls,

res

earc

h,

cop

yw

riti

ng

, an

dsu

pp

ort

to c

omm

itte

eM

s. E

ve J

an

ock

o,

sup

por

t to

com

mit

tee

Ms.

Je

nn

ife

r M

cCo

rd,

des

ign

Up

on

req

ues

t b

y a

per

son

wit

h a

dis

abil

ity

, th

isd

ocu

men

t w

ill

be

mad

e av

aila

ble

in

acc

essi

ble

form

ats.

Off

ice

of

the

Sta

te C

ou

rts

Ad

min

istr

ato

r50

0 S

. D

uv

al S

tree

tT

alla

has

see,

Flo

rid

a 32

399-

1900

tele

ph

on

e 85

0-92

2-50

81em

ail

osc

a@fl

cou

rts.

org

GU

AR

DIA

NS

HIP

MO

NIT

OR

ING

CO

MM

ITT

EE

DE

DIC

AT

ION

Thi

s re

port

is

dedi

cate

d to

the

mem

ory

of K

enn

eth

R. P

alm

er,

who

pro

pose

d th

at g

uar

dian

-sh

ip m

onit

orin

g be

incl

ude

d as

a st

udy

top

ic w

ithi

n t

he S

ep-

tem

ber

1, 1

999,

adm

inis

trat

ive

ord

er r

eau

thor

izin

g t

he

Su

-p

rem

e C

ourt

Com

mis

sion

on

Fai

rnes

s.

Mr.

Pal

mer

die

d of

can

cer

at t

he a

ge o

f 54,

on

Apr

il20

, 200

1, h

avin

g se

rved

as

Sta

teC

ourt

s A

dm

inis

trat

or s

ince

1984

. T

he S

tate

Cou

rts

Sys

-te

m a

nd

the

Flo

ridi

ans

it s

erve

s–

incl

udi

ng

the

war

ds w

ho a

reth

e su

bjec

t of

thi

s re

port

– h

ave

lost

a g

reat

lea

der,

su

ppor

ter,

and

defe

nde

r.

Page 3: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

TABLE

OF

CONTENTS

Mis

sion o

f G

uar

dia

nsh

ip M

onitori

ng

..................................................................................................

2

Exec

utive

Sum

mar

y..........................................................................................................................

3

Intr

oduct

ion

......................................................................................................................................

5

Com

mit

tee

Pro

cess

...........................................................................................................................

7

Gro

win

g N

eed f

or

Guar

dia

nsh

ip in F

lori

da

........................................................................................

8

Eff

ective

Guar

dia

nsh

ip M

onitori

ng is

Ess

ential

..................................................................................

13

The

Curr

ent S

ituat

ion in F

lori

da

As

Des

crib

ed a

t P

ublic

Hea

rings

.....................................................

14

Judi

cial

Inp

ut......................................................................................................................

14

Cle

rk o

f C

ourt

Input

...........................................................................................................

16

Citiz

en I

nput

.......................................................................................................................

17

Guar

dia

n I

nput.

...................................................................................................................

17

Attorn

ey I

nput

....................................................................................................................

19

Vet

eran

s’ A

dm

inis

trat

ion I

nput.............................................................................................

20

Min

imum

Sta

ndar

ds

for

Guar

dia

nsh

ip M

onitori

ng

............................................................................

21

Com

ponen

ts o

f an

Idea

l G

uar

dia

nsh

ip M

onitori

ng P

rogra

m..............................................................

23

1

. I

nitia

l an

d O

n-G

oin

g S

cree

nin

g a

nd R

evie

win

g o

f G

uar

dia

ns

........................................

25

2

. R

eport

ing o

n the

Wel

l-B

eing o

f th

e W

ard

....................................................................

27

3

. R

eport

ing o

n the

Pro

tect

ion o

f th

e W

ard’s

Ass

ets

........................................................

30

4

. C

ase

Adm

inis

trat

ion

....................................................................................................

33

Min

or

Guar

dia

nsh

ips.......................................................................................................................

36

Educa

tion a

nd T

rain

ing I

ssues

..........................................................................................................

37

Page 4: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

MIS

SIO

N O

F G

UA

RD

IAN

SH

IP M

ON

ITO

RIN

G

Th

e m

issi

on

of

gua

rdia

nsh

ip m

on

ito

rin

g is

to

co

llec

t, p

ro-

vid

e, a

nd

ev

alu

ate

in

form

ati

on

ab

ou

t th

e w

ell-

bei

ng

an

dp

rop

erty

of

all

per

son

s a

dju

dic

ate

d o

f h

av

ing

a l

ega

l in

ca-

pa

city

so

th

at

the

cou

rt c

an

fu

lfil

l it

s le

gal

ob

liga

tio

n t

op

rote

ct a

nd

pre

serv

e th

e in

tere

sts

of

the

wa

rd,

an

d t

her

eby

pro

mo

te c

on

fid

ence

in

th

e ju

dic

ial

pro

cess

.

2

Page 5: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

EX

EC

UT

IVE

SU

MM

AR

Y

A g

uar

dia

n i

s a

surr

og

ate

dec

isio

n-m

aker

ap

po

inte

d b

y t

he

cou

rt t

o m

ake

per

son

al a

nd

/o

r fi

nan

cial

dec

isio

ns

eith

er (

1) f

or

an a

du

lt w

ith

men

tal

or

ph

ysi

cal

dis

abil

itie

s w

ho

has

bee

n a

dju

dic

ated

in

cap

acit

ated

; o

r (2

) fo

r a

min

or

in c

ircu

mst

ance

sw

her

e th

e p

aren

ts d

ie o

r b

eco

me

inca

pac

itat

ed o

r if

a c

hil

d r

ecei

ves

an

inh

erit

ance

, pro

ceed

s o

f a

law

suit

, or

insu

ran

ce p

oli

cyex

ceed

ing

th

e am

ou

nt

allo

wed

by

sta

tute

. T

her

e ar

e b

etw

een

30,

000

and

40,

000

op

en g

uar

dia

nsh

ips

in F

lori

da

at a

ny

giv

enti

me.

Wh

en t

he

cou

rt r

emo

ves

an

ad

ult

’s r

igh

ts t

o o

rder

his

or

her

ow

n a

ffai

rs, t

her

e is

an

acc

om

pan

yin

g d

uty

to

pro

tect

th

ein

div

idu

al.

Gu

ard

ian

ship

is

a d

isti

nct

an

d u

niq

ue

typ

e o

f ju

dic

ial

mat

ter.

Un

lik

e o

ther

cas

es, g

uar

dia

nsh

ips

may

rem

ain

op

en f

or

yea

rso

r ev

en d

ecad

es,

par

ticu

larl

y i

n c

ases

in

vo

lvin

g a

du

lts

wit

h d

evel

op

men

tal

or

men

tal

dis

abil

itie

s.

Gu

ard

ian

ship

is

also

dif

fere

nt

bec

ause

alt

ho

ug

h i

t b

egin

s w

ith

an

ad

ver

sari

al h

eari

ng

, on

ce i

nca

pac

ity

has

bee

n d

eter

min

ed, t

her

e ar

e u

sual

ly n

o“a

dv

ersa

ries

” to

bri

ng

co

nce

rns

to t

he

cou

rt’s

att

enti

on

. T

hu

s, t

he

cou

rt m

ust

be

pro

acti

ve

to d

isco

ver

an

d r

esp

on

d t

o d

is-

pu

tes

and

iss

ues

.

Th

e in

evit

able

ag

ing

of

ou

r S

tate

an

d N

atio

n, s

itu

atio

ns

lead

ing

to

min

or

gu

ard

ian

ship

s, a

nd

th

e in

cid

ence

of

dev

elo

pm

enta

ld

isab

ilit

ies

and

men

tal

dis

ord

ers

wil

l in

flu

ence

pu

bli

c p

oli

cy c

on

sid

erat

ion

s fo

r th

e fo

rese

eab

le f

utu

re.

Alr

ead

y t

he

Flo

rid

ale

gal

sy

stem

is

con

fro

nti

ng

an

d s

eek

ing

an

swer

s to

ess

enti

al i

ssu

es, s

uch

as

ho

w t

he

cou

rts

wil

l b

e ab

le t

o a

deq

uat

ely

ex

er-

cise

th

eir

leg

al,

eth

ical

, an

d m

ora

l re

spo

nsi

bil

itie

s to

mo

nit

or

gu

ard

ian

ship

cas

es a

nd

pro

tect

th

e in

cap

acit

ated

ad

ult

s en

-tr

ust

ed t

o t

hei

r ca

re.

Th

e ro

le o

f a

gu

ard

ian

is

hig

hly

co

mp

lex

, in

vo

lvin

g l

egal

, so

cial

, fi

nan

cial

, an

d p

sych

olo

gic

al d

imen

sio

ns.

W

hil

e m

ost

gu

ard

ian

s an

d a

tto

rney

s d

o a

n a

dm

irab

le jo

b,

it i

s n

eces

sary

fo

r co

urt

s to

act

ivel

y e

xer

cise

th

eir

ov

ersi

gh

t re

spo

nsi

bil

ity

in

gu

ard

ian

ship

cas

es i

n o

rder

to

pro

tect

an

d p

rese

rve

the

inte

rest

s o

f p

erso

ns

wit

h a

leg

al i

nca

pac

ity

. W

hil

e it

is

bey

on

dd

isp

ute

th

at c

ou

rt-a

pp

oin

ted

gu

ard

ian

s sh

ou

ld b

e su

per

vis

ed b

y t

he

cou

rt,

it s

ho

uld

als

o b

e re

mem

ber

ed t

hat

th

e v

ast

maj

ori

ty o

f g

uar

dia

ns

are

fam

ily

mem

ber

s w

ho

are

per

form

ing

dif

ficu

lt, u

np

aid

, an

d t

han

kle

ss w

ork

, so

lely

fro

m a

sen

se o

ffa

mil

ial

dev

oti

on

an

d d

uty

. A

cco

rdin

gly

, gu

ard

ian

ship

mo

nit

ori

ng

sh

ou

ld b

e co

nd

uct

ed i

n t

he

leas

t b

urd

enso

me

and

dis

-ru

pti

ve

man

ner

po

ssib

le t

hat

eff

ecti

vel

y a

cco

mp

lish

es t

he

go

al o

f p

rote

ctin

g w

ard

s.

3

Page 6: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Ba

sed

on

its

rev

iew

, th

e C

om

mit

tee

ad

op

ted

th

e fo

llo

win

g fi

nd

ings

, wh

ich

are

ex-

pla

ined

in

gre

ate

r d

eta

il t

hro

ugh

ou

t th

e re

po

rt:

�M

ost

gu

ard

ian

s an

d a

tto

rney

s d

o a

n a

dm

irab

le j

ob

; h

ow

ever

, th

ere

is a

nee

d f

or

gre

ater

ov

ersi

gh

t, t

o p

rote

ctin

div

idu

als

wh

o a

re s

ub

ject

to

gu

ard

ian

ship

.�

An

idea

l gu

ard

ian

ship

mo

nit

ori

ng

pro

gra

m e

nco

mp

asse

s fo

ur

maj

or

serv

ice

area

s: (

1) in

itia

l an

d o

n-g

oin

g s

cree

nin

gan

d r

evie

win

g o

f g

uar

dia

ns;

(2)

rep

ort

ing

on

th

e w

ell-

bei

ng

of

the

war

d;

(3)

rep

ort

ing

on

th

e p

rote

ctio

n o

f th

ew

ard

’s a

sset

s; a

nd

(4)

cas

e ad

min

istr

atio

n.

�M

inim

um

req

uir

emen

ts f

or

gu

ard

ian

ship

mo

nit

ori

ng

sh

ou

ld b

e es

tab

lish

ed a

nd

th

e m

on

ito

rin

g p

roce

ss s

ho

uld

be

wel

l d

efin

ed.

�In

sofa

r as

po

ssib

le,

the

mo

nit

ori

ng

pro

cess

sh

ou

ld b

e tr

ansp

aren

t an

d o

pen

, an

d c

om

mu

nic

atio

n b

etw

een

th

em

on

ito

r an

d t

he

jud

ge

sho

uld

be

in w

riti

ng

an

d b

eco

me

par

t o

f th

e o

ffic

ial

cou

rt r

eco

rd.

�U

nif

orm

rep

ort

ing

fo

rms

sho

uld

be

ado

pte

d o

n a

sta

tew

ide

bas

is.

�T

her

e is

a n

eed

fo

r a

wel

l-d

efin

ed p

roce

ss f

or

rev

iew

of

the

ann

ual

pla

n a

nd

val

idat

ion

of

the

wel

l-b

ein

g o

f th

ew

ard

.�

Th

ere

is a

nee

d f

or

wel

l-d

efin

ed f

inan

cial

au

dit

s, w

ith

gra

du

atin

g le

vel

s o

f re

vie

w a

s ap

pro

pri

ate.

Gu

ard

ian

ship

case

s sh

ou

ld b

e au

dit

ed b

ased

on

a s

tati

stic

al r

and

om

sam

pli

ng

, as

wel

l as

wh

en a

pro

ble

m i

s in

dic

ated

.�

It i

s so

un

d p

ub

lic

po

licy

fo

r g

uar

dia

nsh

ip m

on

ito

rin

g t

o b

e av

aila

ble

in

ev

ery

ju

dic

ial

circ

uit

. M

on

ito

rin

g w

ill

req

uir

e ad

dit

ion

al r

eso

urc

es i

n o

rder

to

ad

equ

atel

y o

ver

see

gu

ard

ian

ship

cas

es.

Th

e co

st o

f m

on

ito

rin

g c

an b

em

itig

ated

th

rou

gh

th

e ef

fect

ive

use

of

tech

no

log

y.

�E

xist

ing

gu

ard

ian

ship

mo

nit

ori

ng

pro

gra

ms

that

uti

lize

wel

l-tr

ain

ed a

nd

exp

erie

nce

d p

rofe

ssio

nal

sta

ff a

re w

ork

ing

wel

l.�

Mo

nit

ori

ng

pro

gra

ms

that

rel

y e

nti

rely

up

on

vo

lun

teer

s ar

e n

ot

alw

ays

effi

cien

t an

d e

ffec

tiv

e.

Alt

ho

ug

h w

ell

inte

nti

on

ed,

vo

lun

teer

s o

ften

lac

k k

no

wle

dg

e an

d e

xp

erie

nce

wit

h t

he

com

ple

x m

edic

al,

leg

al,

and

fin

anci

alis

sues

in

vo

lved

in

ad

ult

gu

ard

ian

ship

cas

es.

�T

her

e is

a n

eed

fo

r st

atew

ide

equ

ity

in r

egar

d t

o c

om

pen

sati

on

of

atto

rney

s an

d g

uar

dia

ns.

Ad

dit

ion

ally

, gu

ard

-ia

n a

nd

att

orn

ey f

ees

sho

uld

be

pai

d i

n a

tim

ely

man

ner

.�

Th

ere

is a

nee

d t

o r

ecru

it h

igh

ly q

ual

ifie

d, m

oti

vat

ed, a

nd

tra

ined

pro

fess

ion

als

into

th

e g

uar

dia

nsh

ip f

ield

– b

oth

as g

uar

dia

ns

and

att

orn

eys.

�Ju

dg

es w

ou

ld b

enef

it f

rom

ad

dit

ion

al t

rain

ing

on

eld

er, d

isab

ilit

y, a

bu

se a

nd

neg

lect

, an

d g

uar

dia

nsh

ip i

ssu

es.

4

Page 7: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

INT

RO

DU

CT

ION

A g

uar

dia

n i

s a

surr

og

ate

dec

isio

n-m

aker

ap

po

inte

d b

y t

he

cou

rt t

o m

ake

eith

er p

erso

nal

an

d/

or

fin

anci

al d

ecis

ion

s fo

r a

min

or

or

for

an a

du

lt w

ith

men

tal

or

ph

ysi

cal

dis

abil

itie

s.

Aft

er a

dju

dic

atio

n,

the

sub

ject

of

the

gu

ard

ian

ship

is

term

ed a

“war

d.”

Flo

rid

a la

w r

equ

ires

th

e co

urt

to

ap

po

int

a g

uar

dia

n f

or

min

ors

in

cir

cum

stan

ces

wh

ere

the

par

ents

die

or

bec

om

e in

cap

aci-

tate

d, o

r if

a c

hil

d r

ecei

ves

an

inh

erit

ance

or

pro

ceed

s o

f a

law

suit

or

insu

ran

ce p

oli

cy e

xce

edin

g t

he

amo

un

t al

low

ed b

y s

tatu

te.

Ad

ult

gu

ard

ian

ship

is t

he

pro

cess

by

wh

ich

th

e co

urt

fin

ds

an in

div

idu

al’s

ab

ilit

y t

o m

ake

dec

isio

ns

so im

pai

red

th

at t

he

cou

rtg

ives

th

e ri

gh

t to

mak

e d

ecis

ion

s to

an

oth

er p

erso

n.

Gu

ard

ian

ship

is o

nly

war

ran

ted

wh

en n

o le

ss r

estr

icti

ve

alte

rnat

ive

– su

chas

du

rab

le p

ow

er o

f at

torn

ey, t

rust

, hea

lth

car

e su

rro

gat

e o

r p

rox

y, o

r o

ther

fo

rm o

f p

re-n

eed

dir

ecti

ve

– is

fo

un

d b

y t

he

cou

rt t

ob

e ap

pro

pri

ate

and

av

aila

ble

.

Flo

rid

a la

w a

llo

ws

bo

th v

olu

nta

ry a

nd

in

vo

lun

tary

gu

ard

ian

ship

s. A

vo

lun

tary

gu

ard

ian

ship

may

be

esta

bli

shed

fo

r an

ad

ult

wh

o, t

ho

ug

h m

enta

lly

co

mp

eten

t, is

inca

pab

le o

f m

anag

ing

his

or

her

ow

n e

stat

e an

d w

ho

vo

lun

tari

ly p

etit

ion

s fo

r th

e ap

po

int-

men

t.

Leg

isla

tiv

e in

ten

t es

tab

lish

es t

hat

th

e le

ast

rest

rict

ive

form

of

gu

ard

ian

ship

is d

esir

able

. A

cco

rdin

gly

, Flo

rid

a la

w p

rov

ides

fo

rli

mit

ed a

s w

ell

as p

len

ary

ad

ult

gu

ard

ian

ship

. A

lim

ited

gu

ard

ian

ship

is

app

rop

riat

e if

th

e co

urt

fin

ds

the

war

d l

ack

s th

eca

pac

ity

to

do

so

me,

bu

t n

ot

all,

of

the

task

s n

eces

sary

to

car

e fo

r h

is o

r h

er p

erso

n o

r p

rop

erty

; an

d i

f th

e in

div

idu

al d

oes

no

th

ave

pre

-pla

nn

ed, w

ritt

en i

nst

ruct

ion

s fo

r al

l as

pec

ts o

f h

is o

r h

er l

ife.

A p

len

ary

gu

ard

ian

is

a p

erso

n a

pp

oin

ted

by

th

e co

urt

to e

xer

cise

all

del

egab

le l

egal

rig

hts

an

d p

ow

ers

of

the

adu

lt w

ard

aft

er t

he

cou

rt m

akes

a f

ind

ing

of

inca

pac

ity

. W

ard

s in

ple

nar

y g

uar

dia

nsh

ips

are,

by

def

init

ion

, un

able

to

car

e fo

r th

emse

lves

.

Wh

eth

er o

ne

is d

eali

ng

wit

h a

min

or

wh

ose

ass

ets

mu

st b

e m

anag

ed b

y a

no

ther

or

an

ad

ult

wit

h a

dis

abil

ity

wh

o is

no

t ca

pab

leo

f m

akin

g d

ecis

ion

s fo

r h

im/

her

self

, wh

en t

he

cou

rt r

emo

ves

an

in

div

idu

al’s

rig

hts

to

ord

er h

is o

r h

er o

wn

aff

airs

th

ere

is a

nac

com

pan

yin

g d

uty

to

pro

tect

th

e in

div

idu

al.

On

e o

f th

e co

urt

’s d

uti

es i

s to

ap

po

int

a g

uar

dia

n.

All

ad

ult

an

d m

ino

rg

uar

dia

nsh

ips

are

sub

ject

to

co

urt

ov

ersi

gh

t.

Th

e le

gal

au

tho

rity

fo

r g

uar

dia

nsh

ip i

n F

lori

da

is f

ou

nd

in

Ch

apte

r 74

4, F

lori

da

Sta

tute

s.

Th

e co

urt

ru

les

that

co

ntr

ol

the

rela

tio

nsh

ips

amo

ng

th

e co

urt

, th

e w

ard

, th

e g

uar

dia

n,

and

th

e at

torn

ey a

re f

ou

nd

in

Par

t II

I, P

rob

ate

Ru

les,

Flo

rid

a R

ule

s o

fC

ou

rt.

To

get

her

, th

ese

stat

ute

s an

d r

ule

s d

escr

ibe

the

du

ties

an

d o

bli

gat

ion

s o

f g

uar

dia

ns

and

att

orn

eys,

as

wel

l as

th

e co

urt

,to

en

sure

th

at t

hey

act

in

th

e b

est

inte

rest

s o

f th

e w

ard

, min

or,

or

per

son

wh

o i

s al

leg

ed i

nca

pac

itat

ed.

In r

eco

gn

itio

n o

f th

e co

urt

sy

stem

’s r

esp

on

sib

ilit

y t

o o

ver

see

gu

ard

ian

ship

cas

es a

nd

th

ereb

y e

nsu

re t

hat

war

ds

are

adeq

uat

ely

pro

tect

ed, b

y a

dm

inis

trat

ive

ord

er d

ated

Sep

tem

ber

1, 1

999,

fo

rmer

Ch

ief

Just

ice

Maj

or

B. H

ard

ing

dir

ecte

d t

he

Su

pre

me

Co

urt

Co

mm

issi

on

on

Fai

rnes

s to

“in

ves

tig

ate

and

rep

ort

on

var

iou

s m

od

els

for

gu

ard

ian

ship

mo

nit

ori

ng

.” T

he

Co

mm

issi

on

est

ab-

lish

ed t

he

Gu

ard

ian

ship

Mo

nit

ori

ng

Co

mm

itte

e an

d c

har

ged

it

wit

h f

ulf

illi

ng

th

is d

irec

tiv

e.

5

Page 8: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Co

mm

itte

e m

emb

ersh

ip in

clu

ded

pro

bat

e ju

dg

es, c

hie

f ju

dg

es, c

ou

rt s

taff

, rep

rese

nta

tiv

es o

f th

e S

tate

wid

e P

ub

lic

Gu

ard

ian

-sh

ip O

ffic

e, a

tto

rney

s w

ith

ex

per

ien

ce i

n g

uar

dia

nsh

ip m

atte

rs,

acad

emic

s, a

nd

pro

fess

ion

als

in t

he

fiel

d o

f so

cial

wo

rk.

In

add

itio

n t

o r

ely

ing

on

th

eir

con

sid

erab

le d

irec

t ex

per

ien

ce,

the

Co

mm

itte

e re

vie

wed

av

aila

ble

lit

erat

ure

on

th

e su

bje

ct,

vis

-it

ed F

lori

da

cou

rts

that

are

ex

per

imen

tin

g w

ith

in

no

vat

ive

gu

ard

ian

ship

mo

nit

ori

ng

met

ho

ds,

an

d c

on

du

cted

pu

bli

c h

ear-

ing

s ar

ou

nd

th

e st

ate

to r

ecei

ve

inp

ut

fro

m g

uar

dia

ns,

cle

rks

of

cou

rt, a

tto

rney

s, a

dv

oca

tes,

an

d o

ther

in

tere

sted

per

son

s.

Th

e C

om

mit

tee

fou

nd

th

at w

hil

e m

ost

gu

ard

ian

s an

d a

tto

rney

s d

o a

n a

dm

irab

le j

ob

, m

ore

act

ive

ov

ersi

gh

t is

nec

essa

ry i

ng

uar

dia

nsh

ip c

ases

. W

hil

e it

is b

eyo

nd

dis

pu

te t

hat

co

urt

-ap

po

inte

d g

uar

dia

ns

sho

uld

be

sup

erv

ised

by

th

e co

urt

, it

sho

uld

also

be

rem

emb

ered

th

at t

he

vas

t m

ajo

rity

of

gu

ard

ian

s ar

e fa

mil

y m

emb

ers

wh

o a

re p

erfo

rmin

g d

iffi

cult

, un

pai

d, a

nd

th

ank

-le

ss w

ork

, so

lely

fro

m a

sen

se o

f fa

mil

ial

dev

oti

on

an

d d

uty

. T

he

Co

mm

itte

e al

so f

ou

nd

th

at a

n o

ver

wh

elm

ing

maj

ori

ty o

fp

rofe

ssio

nal

gu

ard

ian

s ar

e d

edic

ated

an

d c

apab

le s

erv

ice

pro

vid

ers.

Th

e em

oti

on

al a

nd

fin

anci

al c

om

ple

xit

y i

nh

eren

t in

fam

ily

gu

ard

ian

ship

sit

uat

ion

s m

ay b

e co

mp

ou

nd

ed b

y t

he

fact

th

at t

he

fam

ily

has

rec

entl

y s

uff

ered

a t

rag

edy

res

ult

ing

in t

he

nee

d f

or

a g

uar

dia

nsh

ip.

A f

amil

y m

emb

er g

uar

dia

n is

req

uir

ed t

o h

ire

an a

tto

rney

, pro

vid

e d

etai

led

per

son

al in

form

atio

n, u

nd

erg

o a

cre

dit

ch

eck

, po

st a

fid

uci

ary

’s b

on

d, a

tten

d a

n 8

-ho

ur

trai

nin

gco

urs

e, a

nd

fil

e d

etai

led

in

itia

l an

d a

nn

ual

per

son

al a

nd

fin

anci

al r

epo

rts.

Oft

en, a

n e

lder

ly w

ife

can

no

t sp

end

her

hu

sban

d’s

sh

are

of

thei

r m

on

ey o

n h

om

e re

pai

rs, b

irth

day

pre

sen

ts, o

r ta

x-p

rep

arer

fees

wit

ho

ut

firs

t fi

lin

g a

wri

tten

req

ues

t w

ith

th

e co

urt

, w

hic

h p

etit

ion

may

or

may

no

t b

e g

ran

ted

. I

n t

he

case

of

a m

ino

rg

uar

dia

nsh

ip,

a p

aren

t ca

nn

ot

use

th

e ch

ild

’s m

on

ey t

o b

uy

bra

ces,

ch

eerl

ead

ing

clo

thes

, b

ask

etb

all

sho

es,

or

a p

rep

aid

coll

ege

pla

n w

ith

ou

t d

oin

g t

he

sam

e. A

cco

rdin

gly

, gu

ard

ian

ship

mo

nit

ori

ng

sh

ou

ld b

e co

nd

uct

ed i

n t

he

leas

t b

urd

enso

me

and

dis

rup

tiv

e m

ann

er p

oss

ible

th

at e

ffec

tiv

ely

acc

om

pli

shes

th

e g

oal

of

pro

tect

ing

war

ds

and

mai

nta

inin

g t

hei

r p

re-g

uar

d-

ian

ship

lif

esty

le.

Th

e C

om

mit

tee

fou

nd

th

at it

is s

ou

nd

pu

bli

c p

oli

cy f

or

gu

ard

ian

ship

mo

nit

ori

ng

pro

gra

ms

to b

e ad

equ

atel

y f

un

ded

in e

ver

yju

dic

ial

circ

uit

, eit

her

by

th

e S

tate

of

Flo

rid

a o

r b

y l

oca

l g

ov

ern

men

t. R

egre

ttab

ly, g

uar

dia

nsh

ip m

on

ito

rin

g r

eso

urc

es a

re, a

tb

est,

mar

gin

ally

fu

nd

ed i

n t

his

Sta

te.

On

ly t

hre

e ci

rcu

its

ou

t o

f tw

enty

the

Six

th,

Th

irte

enth

, an

d S

even

teen

th –

hav

e th

ead

van

tag

e o

f fu

ll-t

ime

pro

fess

ion

al s

taff

fo

r th

is p

urp

ose

, an

d o

nly

on

e o

f th

ose

pro

gra

ms

– th

e S

even

teen

th –

is

par

tial

lyfu

nd

ed b

y t

he

Sta

te.

Th

e C

om

mit

tee

reco

mm

end

s th

at w

her

e th

e ca

selo

ad w

arra

nts

, ded

icat

ed p

rofe

ssio

nal

sta

ff s

ho

uld

be

auth

ori

zed

. I

n t

ho

se c

ircu

its

wh

ose

cas

elo

ads

do

no

t w

arra

nt

full

-tim

e d

edic

ated

sta

ff,

the

cou

rt s

ho

uld

be

pro

vid

ed w

ith

acce

ss t

o t

rain

ed a

nd

ex

per

ien

ced

mo

nit

ors

up

on

req

ues

t.

Th

is r

epo

rt d

ocu

men

ts w

hat

th

e C

om

mit

tee

lear

ned

du

rin

g t

he

cou

rse

of

its

rev

iew

, an

d d

escr

ibes

th

e el

emen

ts o

f an

id

eal

gu

ard

ian

ship

mo

nit

ori

ng

pro

gra

m.

6

Page 9: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

CO

MM

ITT

EE

PR

OC

ES

S

Th

e C

om

mit

tee

was

co

mp

rise

d o

f p

rob

ate

jud

ges

, ch

ief

jud

ges

, co

urt

sta

ff, r

epre

sen

tati

ves

of

the

Sta

tew

ide

Pu

bli

c G

uar

dia

nsh

ipO

ffic

e, a

tto

rney

s w

ith

ex

per

ien

ce i

n g

uar

dia

nsh

ip m

atte

rs, a

cad

emic

s, a

nd

pro

fess

ion

als

in t

he

fiel

d o

f so

cial

wo

rk.

Th

e C

om

mit

tee

com

men

ced

its

ex

amin

atio

n w

ith

a l

iter

atu

re r

evie

w,

foll

ow

ed i

n A

pri

l 20

00 w

ith

a t

wo

-day

wo

rksh

op

in

Ft.

Lau

der

dal

e.

Du

rin

g t

he

wo

rksh

op

, th

e C

om

mit

tee

dev

elo

ped

a m

issi

on

sta

tem

ent

for

gu

ard

ian

ship

mo

nit

ori

ng

, b

egan

to

de-

scri

be

the

mo

nit

ori

ng

pro

cess

, an

d i

den

tifi

ed a

pre

lim

inar

y l

ist

of

issu

es t

o s

tud

y.

Pre

sen

tati

on

s w

ere

rece

ived

fro

m c

ircu

its

that

are

im

ple

men

tin

g i

nn

ov

ativ

e ap

pro

ach

es t

o g

uar

dia

nsh

ip m

on

ito

rin

g, i

ncl

ud

ing

av

isit

to

th

e T

hir

teen

th J

ud

icia

l C

ircu

it’s

Eld

er J

ust

ice

Cen

ter

and

a p

rese

nta

tio

n o

n g

uar

dia

nsh

ip i

nit

iati

ves

in

th

e S

even

teen

thJu

dic

ial

Cir

cuit

. T

wo

su

rvey

s w

ere

con

du

cted

in

ord

er t

o o

bta

in i

nfo

rmat

ion

ab

ou

t g

uar

dia

nsh

ip m

on

ito

rin

g p

ract

ices

in

th

etw

enty

jud

icia

l ci

rcu

its.

In t

he

fall

of

2000

, th

e C

om

mit

tee

ho

sted

th

ree

pu

bli

c h

eari

ng

s –

in F

t. L

aud

erd

ale,

Tal

lah

asse

e, a

nd

St.

Pet

ersb

urg

– t

o g

ath

erte

stim

on

y f

rom

att

orn

eys,

jud

ges

, pro

fess

ion

al a

nd

fam

ily

gu

ard

ian

s, c

lerk

s o

f co

urt

, fam

ily

mem

ber

s, a

dv

oca

tes,

an

d o

ther

inte

r-es

ted

ind

ivid

ual

s. A

dd

itio

nal

ou

trea

ch in

clu

ded

po

stin

g in

form

atio

n a

bo

ut

the

Co

mm

itte

e’s

wo

rk o

n t

he

Flo

rid

a C

ou

rts

Web

site

(ww

w.f

lco

urt

s.o

rg)

and

pu

bli

shin

g a

rtic

les

in p

rofe

ssio

nal

new

slet

ters

.

Th

e co

mm

itte

e m

et f

ou

r ad

dit

ion

al t

imes

in

per

son

an

d m

ult

iple

tim

es b

y t

elep

ho

ne

con

fere

nce

cal

l, t

o d

iscu

ss w

hat

it

had

lear

ned

an

d t

o d

evel

op

th

is r

epo

rt.

7

Page 10: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Flo

rid

a co

urt

s ar

e fa

cin

g a

gro

win

g n

um

ber

of

gu

ard

ian

ship

cas

es a

nd

iss

ues

. W

hil

eth

ere

are

curr

entl

y n

o a

ccu

rate

sta

tew

ide

stat

isti

cs o

n t

he

nu

mb

er o

f o

pen

gu

ard

ian

-sh

ip c

ases

, res

po

nse

s to

su

rvey

s b

y t

he

Gu

ard

ian

ship

Mo

nit

ori

ng

Co

mm

itte

e in

dic

ate

ther

e ar

e in

th

e ra

ng

e o

f 30

,000

-40,

000

op

en g

uar

dia

nsh

ips

in F

lori

da

at a

ny

giv

enti

me.

In

199

6, t

her

e w

ere

mo

re t

han

49,

0001

ju

dic

ial

rev

iew

s o

f g

uar

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ip i

ssu

es,

inv

olv

ing

eit

her

a re

vie

w o

f an

an

nu

al p

lan

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e o

ther

co

urt

act

ion

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his

nu

mb

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rew

to

wel

l o

ver

63,

000

in 2

000,

wh

ich

rep

rese

nts

a 2

8% i

ncr

ease

wit

hin

fiv

e y

ears

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Fu

rth

erm

ore

, th

ese

fig

ure

s re

pre

sen

t o

nly

th

e p

erso

ns

for

wh

om

a f

orm

al g

uar

dia

n-

ship

has

bee

n s

ou

gh

t. T

her

e ar

e m

any

oth

er p

erso

ns

wh

o d

o n

ot

req

uir

e a

gu

ard

ian

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ip b

ecau

se t

hey

ob

tain

ed p

ow

ers

of

atto

rney

, h

ealt

h c

are

dir

ecti

ves

, o

r o

ther

pre

-p

lan

ned

do

cum

ents

in

ad

van

ce o

f in

cap

acit

y.

Un

fort

un

atel

y,

ther

e ar

e th

ou

san

ds

of

inca

pac

itat

ed a

du

lt F

lori

dia

ns

wh

o m

ay r

equ

ire

a g

uar

dia

n, b

ut

wh

ose

nee

ds

rem

ain

un

det

ecte

d a

nd

un

met

. T

he

Sta

tew

ide

Pu

bli

c G

uar

dia

nsh

ip O

ffic

e es

tim

ates

the

un

met

nee

d t

o e

xce

ed 2

2,50

0 in

cap

acit

ated

per

son

s st

atew

ide.

Mo

st o

f th

ese

ind

ivid

ual

s ar

ein

dig

ent

and

wo

uld

be

elig

ible

fo

r p

ub

lic

gu

ard

ian

ship

ser

vic

es.

Ho

wev

er, F

lori

da’

sp

ub

lic

gu

ard

ian

ship

pro

gra

m i

s w

oef

ull

y u

nd

erfu

nd

ed.

Th

e S

tate

cu

rren

tly

fu

nd

so

nly

th

ree

pro

gra

ms,

in

Leo

n,

Bro

war

d,

and

Hil

lsb

oro

ug

h c

ou

nti

es.

Ad

dit

ion

ally

,th

ere

are

pu

bli

c g

uar

dia

nsh

ip p

rog

ram

s in

Mia

mi-

Dad

e, P

alm

Bea

ch, O

sceo

la, V

olu

sia,

Co

llie

r, a

nd

Lee

co

un

ties

th

at a

re f

un

ded

wit

h l

oca

l p

ub

lic

mo

ney

. T

he

tota

l p

ub

lic

gu

ard

ian

ship

cap

acit

y i

n F

lori

da

is c

urr

entl

y l

ess

than

1,7

50.

All

ex

isti

ng

pro

gra

ms

are

fill

ed t

o c

apac

ity

an

d c

ann

ot

acce

pt

add

itio

nal

war

ds.

T

he

Dep

artm

ent

of

Ch

il-

dre

n a

nd

Fam

ilie

s h

as e

xp

ress

ed t

he

imm

edia

te n

eed

fo

r a

pu

bli

c g

uar

dia

n t

o b

e ap

-p

oin

ted

to

rep

rese

nt

2,49

5 in

div

idu

als

wit

h d

evel

op

men

tal

dis

abil

itie

s w

ho

are

co

min

g t

o t

he

age

of

maj

ori

ty.

Th

e re

mai

nin

g in

cap

acit

ated

ad

ult

s w

ho

hav

e n

ot

bee

n b

rou

gh

t to

th

e co

urt

’s a

tten

tio

n a

nd

fo

r w

ho

m n

o g

uar

dia

nsh

ip s

erv

ices

exis

t, m

ay b

e la

ng

uis

hin

g w

ith

ou

t ap

pro

pri

ate

ph

ysi

cal

and

/o

r m

enta

l ca

re a

nd

th

eir

mea

ger

fin

ance

s m

ay b

e su

scep

tib

le t

ou

nsc

rup

ulo

us

per

son

s.

As

Joh

n G

ran

t, f

orm

er e

xec

uti

ve

dir

ecto

r o

f th

e S

tate

wid

e O

ffic

e o

f th

e P

ub

lic

Gu

ard

ian

sta

ted

in

aO

cto

ber

16,

200

0, l

ette

r to

fo

rmer

Ch

ief

Just

ice

Ch

arle

s W

ells

:

1P

er S

um

mar

y R

eport

ing S

yst

em (

SR

S)

dat

a fr

om

the

Off

ice

of

the

Sta

te C

ourt

s A

dm

inis

trat

or,

run o

n S

epte

mber

6,

2001.

Ple

ase

note

that

SR

S d

ata

are

use

d a

s a

bas

e fo

r w

ork

load

mea

sure

s fo

r ju

dges

. T

hes

e dat

a ar

e bas

ed o

n i

nfo

rmat

ion r

ecei

ved

fro

m t

he

Cle

rks

of

Court

.

GR

OW

ING

NE

ED

FO

R G

UA

RD

IAN

SH

IP I

N F

LO

RID

A

8

Sce

na

rio

: A

n e

lde

rly

wif

e h

as

care

d f

or

he

r h

usb

an

d w

ith

Alz

he

ime

r’s

dis

ea

se i

n t

he

irh

om

e a

s lo

ng

as

po

ssib

le,

bu

th

er

ow

n h

ea

lth

an

d f

un

ds

are

be

ing

de

ple

ted

. T

he

pa

rtie

s,

no

t acc

ust

om

ed

to

ob

tain

ing

le-

gal

ser

vic

es, n

egle

cted

to

ob

tain

Po

wers

of

Att

orn

ey

in

ad

van

ce.

Th

e w

ife i

s n

ow

fo

rced

in

to t

he

situ

ati

on

of

pla

cin

g h

er

hu

s-

ba

nd

in

a n

urs

ing

ho

me

, o

b-

tain

ing

gu

ard

ian

ship

, an

d s

ell

-in

g s

om

e j

oin

t ass

ets

to

pay

th

eb

ills

. T

he

pa

rtie

s h

av

e b

ee

nm

arr

ied

fo

r 47 y

ears

an

d m

ean

t

it w

hen

th

ey s

aid

“u

nti

l d

eath

do

us

pa

rt.”

Page 11: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Th

ose

to

be

serv

ed b

y a

pu

bli

c g

uar

dia

nsh

ip p

rog

ram

are

so

me

of

Flo

rid

a’s

mo

st s

ilen

t ci

tize

ns.

T

hey

do

n’t

hav

e as

sets

, th

ey d

on

’t v

ote

, an

d t

hey

are

eas

ily

fo

rgo

tten

. B

ut

they

are

hu

man

bei

ng

s, m

any

of

wh

om

hav

e li

ved

ex

emp

lary

liv

es, p

ayin

g t

hei

r ta

xes

, ed

uca

tin

g t

hei

r ch

ild

ren

, ser

vin

g t

hei

r co

mm

un

ity

,an

d w

ho

no

w f

ind

th

emse

lves

in

th

e su

nse

t y

ears

of

life

wit

h n

eith

er f

amil

y n

or

asse

ts t

o m

anag

e fo

rth

emse

lves

.

Giv

en t

he

dem

og

rap

hic

s o

f th

e N

atio

n a

nd

Sta

te, t

he

tren

d t

ow

ard

gro

wth

in

th

e n

um

ber

of

inca

pac

itat

ed p

erso

ns

– an

d a

cco

m-

pan

yin

g g

uar

dia

nsh

ips

– is

cer

tain

to

co

nti

nu

e.

Th

e in

cap

acit

ated

po

pu

lati

on

of

tom

orr

ow

wil

l h

ave

dif

fere

nt

soci

al,

dem

o-

gra

ph

ic, h

ealt

h, a

nd

eco

no

mic

ch

arac

teri

stic

s th

an t

hat

of

tod

ay.

Acc

ord

ing

to

rep

ort

s b

y t

he

Un

ited

Sta

tes

Cen

sus

Bu

reau

2 a

nd

oth

er s

ou

rces

:

•T

he

po

pu

lati

on

of

ou

r S

tate

an

d N

atio

n i

s ag

ing

at

an u

nb

elie

vab

le a

nd

un

pre

ced

ente

d r

ate.

-D

uri

ng

th

e T

wen

tiet

h C

entu

ry, t

he

life

span

of

the

aver

age

Am

eric

an n

earl

y d

ou

ble

d.3

-O

ver

2.7

mil

lio

n F

lori

dia

ns,

or

18.3

%, a

re 6

5 y

ears

an

d o

ver

, co

mp

ared

to

th

e n

atio

nal

av

erag

e o

f 12

.7%

. In

fac

t, t

his

Sta

te h

as t

he

gre

ates

t p

rop

ort

ion

of

resi

den

ts o

ver

65,

an

d n

earl

y 8

% o

f al

l A

mer

ican

s o

ver

th

e ag

e o

f 65

liv

e in

Flo

rid

a.

-T

he

“old

est

old

” –

tho

se a

ged

85

and

ov

er –

are

th

e m

ost

rap

idly

gro

win

g e

lder

ly a

ge

gro

up

. M

ore

th

an 3

10,0

00F

lori

dia

ns,

or

2.1%

, are

85

yea

rs a

nd

ov

er, c

om

par

ed t

o t

he

nat

ion

al a

ver

age

of

1.5%

.

-B

etw

een

201

0 an

d 2

030,

th

e o

ver

65

po

pu

lati

on

wil

l ri

se o

ver

70

per

cen

t.4

•T

he

eld

erly

in

ou

r co

un

try

are

bec

om

ing

mo

re r

acia

lly

an

d e

thn

ical

ly d

iver

se.

-In

199

4, 1

0% o

f th

e el

der

ly w

ere

a ra

ce o

ther

th

an W

hit

e. B

y 2

050,

th

is p

rop

ort

ion

is e

xp

ecte

d t

o r

ise

to a

t le

ast

20%

.S

imil

arly

, th

e p

rop

ort

ion

of

eld

erly

wh

o a

re H

isp

anic

is

exp

ecte

d t

o c

lim

b f

rom

4%

to

16%

ov

er t

he

sam

e p

erio

d.

-In

199

0, 1

2% o

f al

l el

der

ly p

erso

ns

in t

he

Un

ited

Sta

tes

spo

ke

som

e la

ng

uag

e o

ther

th

an E

ng

lish

at

ho

me.

2 U

nle

ss o

ther

wis

e in

dic

ated

, th

e fo

llow

ing e

lder

dat

a, s

tati

stic

s, a

nd t

rends

are

dra

wn f

rom

the

Unit

ed S

tate

s C

ensu

s B

ure

au’s

Sta

tist

ical

Bri

ef S

ixty

-Fiv

e

Plu

s in

the

U.S

. an

d 1

997 C

urr

ent

Popula

tion R

eport

by J

ack M

cNei

l, A

mer

ican

s w

ith D

isab

ilit

ies

House

hold

Eco

nom

ic S

tudie

s, i

ssued

Feb

ruar

y 2

001.

See

U.S

. C

ensu

s B

ure

au d

ata

at w

ww

.cen

sus.

go

v/p

op

ula

tio

n/e

stim

ate

s/st

ate

/st9

8eld

erl

y.t

xt

3M

enta

l H

ealt

h:

A R

eport

of

the

Surg

eon G

ener

al,

ww

w.s

urg

eo

ng

en

era

l.g

ov

/lib

rary

/men

talh

ealt

h/h

om

e.h

tml

4P

oli

cy C

hal

lenges

Pose

d b

y t

he

Agin

g o

f A

mer

ica,

May

1998,

Urb

an I

nst

itute

Boar

d o

f T

rust

ees

Mee

ting;

see

ww

w.u

rban

.org

/healt

h/o

ldp

ol.

htm

l.

9

Page 12: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

•O

ur

eld

ers

are

bec

om

ing

mo

re i

sola

ted

fro

m t

hei

r fa

mil

ies.

-M

ost

eld

ers

liv

e al

on

e.

-N

atio

nal

ly,

eld

ers

no

t li

vin

g w

ith

rel

ativ

es o

r li

vin

g a

lon

e w

ere

mo

re l

ikel

y t

o b

e p

oo

r (2

5%)

in 1

992,

th

an e

lder

sw

ho

are

liv

ing

in

a f

amil

ial-

typ

e re

lati

on

ship

(6%

).

-E

lder

ly p

aren

ts l

ivin

g a

par

t fr

om

th

eir

chil

dre

n a

re m

ore

lik

ely

to

use

so

cial

ser

vic

es t

han

eld

erly

par

ents

res

idin

gw

ith

th

eir

chil

dre

n.5

-E

lder

ly w

om

en o

utn

um

ber

eld

erly

men

, an

d a

re l

ess

lik

ely

th

an m

en t

o l

ive

in a

fam

ily

set

tin

g.

Aft

er a

ge

75, m

ost

wo

men

are

wid

ow

ed a

nd

liv

e al

on

e, w

hil

e m

ost

men

are

mar

ried

an

d l

ive

wit

h t

hei

r w

ives

. T

hu

s, w

hil

e m

ost

eld

erly

men

hav

e a

spo

use

fo

r as

sist

ance

, esp

ecia

lly

wh

en h

ealt

h f

ails

, mo

st e

lder

ly w

om

en d

o n

ot.

In

199

3, 8

in 1

0n

on

inst

itu

tio

nal

ized

eld

erly

wh

o l

ived

alo

ne

wer

e w

om

en.

-T

he

lik

elih

oo

d o

f li

vin

g i

n a

nu

rsin

g h

om

e in

crea

ses

wit

h a

ge.

In

199

0, o

ver

73,

000

Flo

rid

ian

s re

sid

ed i

n n

urs

ing

ho

mes

. N

inet

y p

erce

nt

of

all

nu

rsin

g h

om

e re

sid

ents

are

eld

erly

; 7 i

n 1

0 ar

e fe

mal

e, a

nd

1 i

n 3

is

a w

om

an a

ged

85

or

ov

er.

•A

s th

e p

op

ula

tio

n a

ges

, mo

re p

eop

le w

ill f

ace

bec

om

ing

dep

end

ent

on

oth

ers

for

hel

p in

per

form

ing

th

e ac

tiv

itie

s o

f d

aily

liv

ing

-T

he

lik

elih

oo

d o

f h

avin

g a

dis

abil

ity

in

crea

ses

wit

h a

ge.

In

199

7, a

mo

ng

th

ose

65

to 6

9 y

ears

old

, 44

.9%

ad

so

me

form

of

dis

abil

ity

, 30.

7% h

ad a

sev

ere

dis

abil

ity

, an

d 8

.1%

nee

ded

per

son

al a

ssis

tan

ce.

Fo

r th

ose

80

yea

rs o

ld a

nd

ov

er, 7

3.6%

had

so

me

form

of

dis

abil

ity

, 57.

6% h

ad a

sev

ere

dis

abil

ity

, an

d 3

4.9%

nee

ded

per

son

al a

ssis

tan

ce.

-In

199

0, e

lder

ly p

erso

ns

wit

h a

sel

f-ca

re o

r m

ob

ilit

y l

imit

atio

n w

ere

mo

re l

ikel

y t

o b

e p

oo

r (2

0%)

than

eld

erly

per

son

s w

ith

ou

t su

ch l

imit

atio

ns

(11%

).

-T

he

rate

of

fun

ctio

nal

lim

itat

ion

is

hig

her

am

on

g e

lder

ly B

lack

s th

an W

hit

es.

Am

on

g t

he

po

pu

lati

on

65

yea

rs a

nd

ov

er,

59%

of

Bla

cks

had

on

e o

r m

ore

fu

nct

ion

al l

imit

atio

ns

com

par

ed w

ith

49%

of

Wh

ites

. T

he

lim

itat

ion

s w

ere

mo

re l

ikel

y t

o b

e se

ver

e am

on

g e

lder

ly B

lack

s, a

s 40

% h

ad l

imit

atio

ns

that

wer

e se

ver

e co

mp

ared

wit

h 2

7% o

fW

hit

e el

der

ly.6

-O

ver

all,

in

199

7 w

om

en m

ade

up

th

e m

ajo

rity

of

the

ind

ivid

ual

s w

ith

dis

abil

itie

s, i

ncl

ud

ing

sev

ere

dis

abil

itie

s,an

d t

ho

se n

eed

ing

per

son

al a

ssis

tan

ce.

5N

amk

ee G

. Ch

oi,

“P

atte

rns

and

Det

erm

inan

ts o

f S

oci

al S

erv

ice

Uti

liza

tio

n:

Co

mp

aris

on

of

the

Ch

ild

less

Eld

erly

an

d E

lder

ly P

aren

tsL

ivin

g W

ith

or

Ap

art

fro

m T

hei

r C

hil

dre

n,”

T

he

Ger

on

tolo

gis

t, V

ol.

34,

No

. 3,

199

4, p

p.

353-

362.

6U

nit

ed S

tate

s C

ensu

s B

ure

au’s

Sta

tist

ical

Bri

ef S

ixty

-Fiv

e P

lus

in t

he

U.S

. an

d 1

997

Cu

rren

t P

op

ula

tio

n R

epo

rt b

y J

ack

McN

eil,

Am

eric

ans

wit

h D

isab

ilit

ies

Ho

use

ho

ld E

con

om

ic S

tud

ies,

iss

ued

Feb

ruar

y 2

001;

see

ww

w.c

ensu

s.g

ov

/p

op

ula

tio

n/

esti

mat

es/

stat

e/st

98el

der

ly.t

xt

10

Page 13: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Ad

dit

ion

ally

, ad

ult

s o

f an

y a

ge

may

bec

om

e in

cap

acit

ated

an

d r

equ

ire

the

app

oin

tmen

t o

f a

gu

ard

ian

, on

an

eit

her

per

man

ent

or

tem

po

rary

bas

is.

Oft

enti

mes

, g

uar

dia

nsh

ip i

s n

eces

sary

to

en

sure

th

e ca

re o

f in

div

idu

als

wit

h d

evel

op

men

tal

dis

abil

itie

sw

ho

hav

e re

ach

ed t

he

age

of

maj

ori

ty.

Men

tal d

iso

rder

s m

ay a

lso

req

uir

e th

e ap

po

intm

ent

of

a g

uar

dia

n.

As

stat

ed in

a r

ecen

tre

po

rt b

y t

he

Un

ited

Sta

tes

Su

rgeo

n G

ener

al, “

men

tal

hea

lth

an

d m

enta

l il

lnes

ses

are

imp

ort

ant

con

cern

s at

all

ag

es.7

” S

om

eil

lust

rati

ve

fact

s fo

llo

w:

•N

earl

y 2

mil

lio

n p

eop

le, o

r al

mo

st 2

2%, o

f th

e ci

vil

ian

no

nin

stit

uti

on

aliz

ed p

op

ula

tio

n in

Flo

rid

a b

etw

een

th

e ag

es o

f 21

and

64,

hav

e a

dis

abil

ity

.8

•D

evel

op

men

tal

Dis

abil

itie

s:

-A

dev

elo

pm

enta

l d

isab

ilit

y i

s a

chro

nic

co

nd

itio

n t

hat

sig

nif

ican

tly

lim

its

a p

erso

n’s

ab

ilit

y t

o s

pea

k,

hea

r, s

ee,

wal

k,

lear

n,

or

per

form

fu

nd

amen

tal

task

s in

vo

lved

in

pro

vid

ing

sel

f-ca

re,

liv

ing

in

dep

end

entl

y,

or

earn

ing

ali

vin

g.7

-T

he

maj

ori

ty o

f p

eop

le w

ith

dev

elo

pm

enta

l d

isab

ilit

ies

hav

e m

ore

th

an o

ne

dis

abil

ity

, an

d m

ost

hav

e d

isab

lin

gco

nd

itio

ns

that

are

in

tell

ectu

al o

r em

oti

on

al i

n n

atu

re.7

-B

ecau

se t

hei

r d

isab

ilit

ies

rest

rict

th

eir

com

mu

nic

atio

n, m

ob

ilit

y, a

nd

ab

ilit

y t

o c

are

for

them

selv

es, p

eop

le w

ith

dev

elo

pm

enta

l d

isab

ilit

ies

may

rel

y o

n a

ssis

tan

ce f

rom

oth

ers.

9

-S

even

teen

per

cen

t (1

7%)

of

Un

ited

Sta

tes

chil

dre

n u

nd

er 1

8 h

ave

a d

evel

op

men

tal

dis

abil

ity

, an

d 2

% o

f sc

ho

ol-

aged

ch

ild

ren

in

th

e U

nit

ed S

tate

s h

ave

a se

rio

us

dev

elo

pm

enta

l d

isab

ilit

y s

uch

as

men

tal

reta

rdat

ion

.10

•M

enta

l D

iso

rder

s:1

1

-M

enta

l d

iso

rder

s ar

e h

ealt

h c

on

dit

ion

s th

at a

re c

har

acte

rize

d b

y a

lter

atio

ns

in t

hin

kin

g, m

oo

d, o

r b

ehav

ior

asso

-ci

ated

wit

h d

istr

ess

and

/o

r im

pai

red

fu

nct

ion

ing

.

7M

enta

l H

ealt

h:

A R

epo

rt o

f th

e S

urg

eon

Gen

eral

, ww

w.s

urg

eon

gen

eral

.go

v/

lib

rary

/m

enta

lhea

lth

/h

om

e.h

tml .

8U

.S.

Cen

sus

Bu

reau

, C

ensu

s 20

00.

9F

lori

da

Dev

elo

pm

enta

l D

isab

ilit

ies

Co

un

cil,

In

c., w

ww

.fd

cc.o

rg;

see

also

Ch

apte

r 39

3, F

lori

da

Sta

tute

s.1

0C

DC

Nat

ion

al C

ente

r o

n B

irth

Def

ects

an

d D

evel

op

men

tal

Dis

abil

itie

s, w

ww

.cd

c.g

ov

/n

cbd

dd

/d

d/.

11M

enta

l H

ealt

h:

A R

epo

rt o

f th

e S

urg

eon

Gen

eral

, ww

w.s

urg

eon

gen

eral

.go

v/

lib

rary

/m

enta

lhea

lth

/h

om

e.h

tml ;

see

also

Ch

apte

r 39

4, F

lori

da

Sta

tute

s.

11

Page 14: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

-D

evas

tati

ng

dis

ord

ers

such

as

sch

izo

ph

ren

ia, d

epre

ssio

n a

nd

bip

ola

r d

iso

rder

, dem

enti

a in

clu

din

gA

lzh

eim

er’s

dis

ease

, an

d a

ran

ge

of

oth

er m

enta

l d

iso

rder

s af

fect

nea

rly

on

e in

fiv

e A

mer

ican

s in

an

yy

ear.

-In

th

e U

nit

ed S

tate

s, m

enta

l d

iso

rder

s co

llec

tiv

ely

acc

ou

nt

for

mo

re t

han

15%

of

the

ov

eral

l b

urd

en o

fd

ise

ase

fro

m a

ll c

au

ses

an

d s

lig

htl

y m

ore

th

an

th

e b

urd

en

ass

oci

ate

d w

ith

all

fo

rms

of

can

cer.

-T

he

soci

al c

on

seq

uen

ces

of

seri

ou

s m

enta

l d

iso

rder

s, s

uch

as

fam

ily

dis

rup

tio

n, l

oss

of

emp

loy

men

tan

d h

ou

sin

g, c

an b

e ca

lam

ito

us.

Flo

rid

a’s

yo

uth

po

pu

lati

on

(ag

es 0

-19)

has

als

o s

ho

wn

in

crea

sin

g g

row

th r

ates

ov

er t

he

pas

t30

yea

rs a

nd

no

w a

cco

un

ts f

or

ov

er 2

5% o

f th

e S

tate

’s p

op

ula

tio

n.1

2 I

n c

ircu

mst

ance

s w

her

eth

e p

aren

ts d

ie o

r b

eco

me

inca

pac

itat

ed o

r if

a c

hil

d r

ecei

ves

an

in

her

itan

ce o

r p

roce

eds

of

ala

wsu

it o

r in

sura

nce

po

licy

ex

ceed

ing

th

e am

ou

nt

allo

wed

by

sta

tute

, th

e co

urt

mu

st a

pp

oin

ta

gu

ard

ian

.

Th

e in

evit

able

ag

ing

of

ou

r S

tate

an

d N

atio

n, a

lon

g w

ith

sit

uat

ion

s le

adin

g t

o m

ino

r g

uar

d-

ian

ship

as

wel

l as

th

e in

cid

ence

of

dev

elo

pm

enta

l d

isab

ilit

ies

and

men

tal

dis

ord

ers,

wil

lin

flu

ence

pu

bli

c p

oli

cy c

on

sid

erat

ion

s fo

r th

e fo

rese

eab

le f

utu

re,

and

in

div

idu

als,

fam

ilie

s,an

d g

ov

ern

men

ts w

ill

be

forc

ed t

o c

on

fro

nt

soci

al,

eco

no

mic

, an

d e

thic

al c

ho

ices

. A

lrea

dy

the

Flo

rid

a le

gal

sy

stem

is

con

fro

nti

ng

iss

ues

an

d s

eek

ing

an

swer

s to

ess

enti

al i

ssu

es,

such

as h

ow

th

e co

urt

s w

ill

be

able

to

ad

equ

atel

y e

xer

cise

th

eir

leg

al, e

thic

al, a

nd

mo

ral

resp

on

si-

bil

itie

s to

mo

nit

or

gu

ard

ian

ship

cas

es a

nd

pro

tect

th

e in

cap

acit

ated

war

ds

entr

ust

ed t

o t

hei

rca

re.

Th

e ex

pan

din

g c

ult

ura

l dif

fere

nce

s o

f w

ard

s in

th

e fu

ture

wil

l als

o d

eman

d a

n in

crea

s-in

g c

ult

ura

l co

mp

eten

ce a

mo

ng

jud

ges

an

d c

ou

rt s

taff

ass

ign

ed t

o g

uar

dia

nsh

ip c

ases

.

12F

lori

da

Dem

ogra

phic

Sum

mar

y,

updat

ed O

ctober

2002,

The

Flo

rida

Leg

isla

ture

, O

ffic

e of

Eco

nom

ic &

Dem

ogra

phic

Res

earc

h;

see

ww

w.s

tate

.fl.

us/

ed

r/

po

pu

lati

on

.htm

.

Sce

na

rio

: A

fa

the

r is

kil

led

in

an

au

tom

ob

ile

acci

den

t, l

eav

ing

a w

ife

an

d t

hre

e m

ino

r ch

il-

dre

n.

A g

uar

dia

nsh

ip is

nec

essa

ry t

o s

ettl

e th

eca

se,

all

oca

te t

he

pro

-ce

ed

s b

etw

ee

n

the

mo

the

r a

nd

ch

ild

ren

,a

nd

re

ceiv

e

the

chil

dre

n’s

sh

are

of

the

pro

ceed

s.

12

Page 15: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

EF

FE

CT

IVE

GU

AR

DIA

NS

HIP

MO

NIT

OR

ING

IS

ES

SE

NT

IAL

Gu

ard

ian

ship

is a

dis

tin

ct a

nd

un

iqu

e ty

pe

of

case

. U

nli

ke

oth

er c

ases

, gu

ard

ian

ship

s m

ay r

emai

n o

pen

fo

r y

ears

or

even

dec

ades

, par

ticu

larl

y i

n c

ases

in

vo

lvin

g i

nd

ivid

ual

s w

ith

dev

elo

pm

enta

l d

isab

ilit

ies

or

men

tal

dis

ord

ers.

Gu

ard

ian

ship

is a

lso

dif

fere

nt

bec

ause

alt

ho

ug

h i

t b

egin

s w

ith

an

ad

ver

sari

al h

eari

ng

, o

nce

in

cap

acit

y h

as b

een

det

erm

ined

, th

ere

are

usu

ally

no

“ad

ver

sari

es”

to b

rin

g c

on

cern

s to

th

e co

urt

’s a

tten

tio

n.

Th

us,

th

e co

urt

mu

st b

e p

roac

tiv

e to

dis

cov

er a

nd

resp

on

d t

o d

isp

ute

s an

d i

ssu

es.

Th

e ro

le o

f a

gu

ard

ian

is h

igh

ly c

om

ple

x, i

nv

olv

ing

leg

al, m

edic

al, s

oci

al, f

inan

cial

, an

d p

sych

olo

gic

al d

imen

sio

ns.

Man

yg

uar

dia

ns

are

fam

ily

mem

ber

s o

f th

e w

ard

s an

d h

ave

no

ex

per

ien

ce w

ith

gu

ard

ian

ship

. T

hes

e fa

mil

y m

emb

ers

may

be

emp

loy

ed a

nd

hav

e ch

ild

ren

fo

r w

ho

m t

hey

mu

st c

are,

wh

ile

sim

ult

aneo

usl

y s

erv

ing

as

gu

ard

ian

fo

r th

eir

agin

g p

aren

tso

r o

ther

in

cap

acit

ated

fam

ily

mem

ber

s. M

ost

gu

ard

ian

s an

d a

tto

rney

s d

o a

n a

dm

irab

le jo

b p

rote

ctin

g t

he

inte

rest

s o

f th

ew

ard

s, b

ut

som

e n

eed

ad

dit

ion

al g

uid

ance

an

d o

ver

sig

ht.

A g

uar

dia

nsh

ip m

on

ito

r ca

n a

ssis

t g

uar

dia

ns

and

att

orn

eys

inco

rrec

tin

g m

ino

r p

rob

lem

s an

d b

y m

akin

g r

eco

mm

end

atio

ns

for

that

co

rrec

tio

n t

o t

he

cou

rt.

Su

ch g

uid

ance

by

th

e g

uar

d-

ian

ship

mo

nit

or

can

oft

en a

llev

iate

th

e n

eed

fo

r a

cou

rt h

eari

ng

, th

ereb

y c

on

serv

ing

ju

dic

ial

reso

urc

es f

or

tho

se f

ewin

stan

ces

in w

hic

h g

uar

dia

ns

are

mis

usi

ng

th

eir

auth

ori

ty.

Gu

ard

ian

ship

req

uir

es o

n-g

oin

g c

ou

rt in

vo

lvem

ent

and

su

per

vis

ion

. In

198

6, t

he

Nat

ion

al C

on

fere

nce

of

the

Jud

icia

ry o

nG

uar

dia

nsh

ip P

roce

edin

gs

for

the

Eld

erly

sai

d t

hat

“g

iven

th

e lo

ss o

f li

ber

ties

in

vo

lved

, th

e v

uln

erab

ilit

y o

f el

der

lyw

ard

s, a

nd

th

e n

eed

to

en

sure

th

e le

ast

rest

rict

ive

alte

rnat

ive,

it

is e

ssen

tial

th

at t

he

cou

rt r

ecei

ve

and

rev

iew

in

form

atio

n a

bo

ut

the

stat

us

and

wel

l-b

ein

g o

f th

e w

ard

,an

d a

ctio

ns

the

gu

ard

ian

has

tak

en.”

G

uar

dia

nsh

ip m

on

ito

rin

g i

s a

mec

han

ism

Flo

rid

a co

urt

s ca

n u

se t

o r

evie

w a

gu

ard

ian

’s a

ctiv

itie

s, a

sses

s th

e w

ell-

bei

ng

of

the

war

d, a

nd

en

sure

th

at t

he

war

d’s

ass

ets

are

bei

ng

pro

tect

ed.

It is

als

o c

lear

th

at f

un

din

g o

f ad

dit

ion

al ju

dg

esh

ips

to r

edu

ce t

he

nu

mb

er o

f g

uar

d-

ian

ship

cas

es t

hat

an

in

div

idu

al j

ud

ge

mu

st o

ver

see

is n

eith

er c

ost

eff

ecti

ve

no

rp

oss

ible

giv

en t

he

curr

ent

con

dit

ion

of

Flo

rid

a’s

eco

no

my

. H

ow

ever

, by

em

plo

yin

gb

usi

nes

s-li

ke

pra

ctic

es, u

sin

g s

up

po

rt p

erso

nn

el, a

nd

im

ple

men

tin

g t

ech

no

log

y t

om

anag

e in

form

atio

n r

ecei

ved

by

th

e co

urt

, it

wil

l be

po

ssib

le t

o a

cco

mp

lish

mu

ch o

fth

e g

uar

dia

nsh

ip o

ver

sig

ht

req

uir

emen

ts c

od

ifie

d b

y t

he

Leg

isla

ture

in

th

e F

lori

da

Sta

tute

s.

Th

e m

issi

on

of

gua

rdia

nsh

ipm

on

ito

rin

g is

to

co

llec

t, p

rov

ide,

an

d e

va

lua

te i

nfo

rma

tio

n a

bo

ut

the

wel

l-b

ein

g a

nd

pro

per

ty o

f a

llp

erso

ns

ad

jud

ica

ted

of

ha

vin

g a

lega

l in

cap

aci

ty s

o t

ha

t th

e co

urt

can

fu

lfil

l it

s le

gal

ob

liga

tio

n t

op

rote

ct a

nd

pre

serv

e th

e in

tere

sts

of

the

wa

rd, a

nd

th

ereb

y p

rom

ote

con

fid

ence

in

th

e ju

dic

ial

pro

cess

.

13

Page 16: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

TH

E C

UR

RE

NT

SIT

UA

TIO

N I

N F

LO

RID

A I

S D

ES

CR

IBE

D A

T P

UB

LIC

HE

AR

ING

S

At

pu

bli

c h

eari

ng

s ar

ou

nd

th

e st

ate,

th

e C

om

mit

tee

hea

rd t

esti

mo

ny

ab

ou

t th

e n

eed

fo

r in

crea

sed

co

urt

ov

ersi

gh

t o

f g

uar

dia

n-

ship

cas

es, a

s w

ell

as a

deq

uat

e re

sou

rces

to

en

able

all

th

e p

rofe

ssio

nal

s in

vo

lved

in

gu

ard

ian

ship

to

eff

ecti

vel

y a

nd

eff

icie

ntl

yp

erfo

rm t

hei

r re

spec

tiv

e fu

nct

ion

s.

Jud

icia

l In

pu

t

Th

e S

ixth

Ju

dic

ial

Cir

cuit

Th

e S

ixth

Ju

dic

ial

Cir

cuit

has

pro

fess

ion

al g

uar

dia

nsh

ip m

on

ito

rin

g s

taff

wh

o a

re f

un

ded

by

Pas

co a

nd

Pin

ella

s co

un

ties

. T

he

circ

uit

is

no

w u

tili

zin

g t

he

firm

s an

d a

ud

it p

roce

du

res

dev

elo

ped

in

th

e S

even

teen

th J

ud

icia

l C

ircu

it.

Th

e T

hir

teen

th J

ud

icia

l C

ircu

it

In la

rger

cir

cuit

s w

her

e th

e ca

selo

ads

war

ran

t a

sep

arat

e d

ivis

ion

, ty

pic

ally

on

e o

r v

ery

few

jud

ges

are

ass

ign

ed t

o t

he

Pro

bat

e,G

uar

dia

nsh

ip, a

nd

Men

tal H

ealt

h D

ivis

ion

. In

sm

alle

r ci

rcu

its,

gu

ard

ian

ship

cas

es a

re u

sual

ly h

eard

by

an

y o

f th

e ju

dg

es w

ho

are

assi

gn

ed t

o t

he

gen

eral

Civ

il D

ivis

ion

. Ju

dg

e S

usa

n S

exto

n, A

dm

inis

trat

ive

Jud

ge

of

the

Pro

bat

e D

ivis

ion

in t

he

Th

irte

enth

Jud

icia

l C

ircu

it,

is t

he

on

ly j

ud

ge

assi

gn

ed t

o o

ver

see

app

rox

imat

ely

7,0

00 p

rob

ate,

gu

ard

ian

ship

, an

d m

enta

l h

ealt

h c

ases

.W

hen

sh

e w

as i

nit

iall

y a

ssig

ned

to

th

e d

ivis

ion

, sh

e re

ceiv

ed o

nly

th

e g

uar

dia

n r

epo

rt a

nd

a c

om

pu

tati

on

of

the

fin

anci

alre

po

rt,

wh

ich

was

per

form

ed b

y t

he

cler

k’s

off

ice.

A

s a

jud

ge,

sh

e w

as c

on

cern

ed t

hat

sh

e h

ad n

eith

er t

he

tim

e n

or

adeq

uat

etr

ain

ing

to

pro

per

ly r

evie

w t

he

fin

anci

al r

epo

rts

and

gu

ard

ian

ship

pla

ns.

S

he

bel

iev

es t

hat

ad

dit

ion

al j

ud

icia

l ed

uca

tio

nsh

ou

ld b

e p

rov

ided

on

gu

ard

ian

ship

rep

ort

s.

Pri

or

to t

he

esta

bli

shm

ent

of

the

Eld

er J

ust

ice

Cen

ter

ther

e w

as n

o c

ase

man

agem

ent

and

on

ly l

imit

ed ju

dic

ial

asse

ssm

ent

for

the

gu

ard

ian

ship

cas

es i

n t

he

Th

irte

enth

Ju

dic

ial

Cir

cuit

. T

he

Eld

er J

ust

ice

Cen

ter

was

est

abli

shed

in

Oct

ob

er 1

999,

th

rou

gh

gra

nt

fun

din

g f

rom

mu

ltip

le s

ou

rces

. W

ith

th

e C

ente

r’s

mo

nit

ori

ng

fu

nct

ion

, th

e co

urt

no

w h

as t

he

abil

ity

to

ap

pro

pri

atel

yre

vie

w g

uar

dia

nsh

ip c

ases

an

d m

ake

info

rmed

dec

isio

ns

reg

ard

ing

th

e w

ard

s.

Th

e E

lder

Ju

stic

e C

ente

r u

tili

zes

a g

uar

dia

n-

ship

mo

nit

ori

ng

pro

gra

m t

hat

in

clu

des

bo

th p

rofe

ssio

nal

sta

ff a

nd

vo

lun

teer

in

tern

s fr

om

th

e U

niv

ersi

ty o

f S

ou

th F

lori

da

Sch

oo

l o

f S

oci

al W

ork

an

d S

tets

on

Un

iver

sity

Co

lleg

e o

f L

aw.

Th

e C

ente

r’s

go

al i

s to

vis

it e

ver

y w

ard

at

leas

t o

nce

a y

ear.

Th

e le

ng

th o

f ti

me

it t

akes

to

rev

iew

a g

uar

dia

nsh

ip f

ile

is r

epo

rted

to

ran

ge

fro

m 3

0 m

inu

tes

to f

ou

r h

ou

rs,

wh

ich

in

clu

des

rev

iew

of

the

fin

anci

al r

epo

rts

and

gu

ard

ian

ship

pla

ns.

Gu

ard

ian

ship

pla

ns

are

aud

ited

to

det

erm

ine

wh

eth

er t

he

rep

ort

s ar

eco

mp

lete

. E

lder

Ju

stic

e C

ente

r st

aff

loo

k f

or

con

tin

uit

y a

nd

ch

ang

es s

ince

th

e la

st r

epo

rts

wer

e fi

led

. T

hey

als

o r

evie

w t

he

rep

ort

s to

en

sure

th

at a

ll q

ues

tio

ns

hav

e b

een

th

oro

ug

hly

an

swer

ed a

nd

ad

equ

ate

info

rmat

ion

has

bee

n p

rov

ided

. If

a p

ote

n-

tial

pro

ble

m is

no

ted

in t

he

init

ial r

evie

w, i

t m

ay r

esu

lt in

th

e ca

se b

ein

g “

flag

ged

” an

d a

co

urt

mo

nit

or

bei

ng

ap

po

inte

d b

y t

he

jud

ge

pu

rsu

ant

to s

ecti

on

744

.107

, Flo

rid

a S

tatu

tes.

14

Page 17: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Th

e F

ifte

en

th J

ud

icia

l C

ircu

it

Jud

ge

Joh

n W

esse

l, o

f th

e F

ifte

enth

Ju

dic

ial

Cir

cuit

, to

ld t

he

Co

mm

itte

e th

at d

uri

ng

his

ser

vic

e in

th

e P

rob

ate

Div

isio

n h

eb

ecam

e aw

are

that

jud

ges

an

d c

lerk

s o

f co

urt

– d

esp

ite

thei

r b

est

effo

rts

– w

ere

stil

l m

issi

ng

a l

ot

of

pro

ble

ms

in g

uar

dia

nsh

ipca

ses.

He

pro

vid

ed b

ack

gro

un

d in

form

atio

n o

n t

he

dev

elo

pm

ent

of

the

AA

RP

mo

del

fo

r v

olu

nte

er g

uar

dia

nsh

ip m

on

ito

rs.

Inth

e A

AR

P m

od

el,

cou

rts

uti

lize

vo

lun

teer

s to

res

earc

h t

he

file

s, v

isit

th

e w

ard

s, a

nd

rep

ort

bac

k t

o t

he

cou

rt.

Ju

dg

e W

esse

ln

ote

d t

hat

th

e A

AR

P w

ith

dre

w f

rom

th

e in

itia

tiv

e in

199

8 an

d t

he

nat

ion

al p

roje

ct l

ead

er h

as s

ince

ret

ired

, so

sta

te c

ou

rts

are

no

w o

n t

hei

r o

wn

wit

h i

mp

lem

enta

tio

n o

f th

e p

rog

ram

.

Jud

ge

Wes

sel

succ

essf

ull

y i

mp

lem

ente

d a

vo

lun

teer

mo

nit

ori

ng

pro

gra

m i

n t

he

Fif

teen

th C

ircu

it,

wit

h v

ery

lit

tle

tax

pay

erfu

nd

ing

. H

ow

ever

, th

ere

are

dra

wb

ack

s to

th

e v

olu

nte

er m

od

el, h

e in

dic

ated

. F

or

exam

ple

, th

e fi

nan

cial

au

dit

ing

fu

nct

ion

was

excl

ud

ed f

rom

th

e v

olu

nte

er p

rog

ram

in

th

e F

ifte

enth

Cir

cuit

bec

ause

of

con

fid

enti

alit

y c

on

cern

s.

Oth

er l

imit

atio

ns

of

the

pro

gra

m i

ncl

ud

e th

e fa

ct t

hat

th

ey a

re o

nly

ab

le t

o s

erv

e o

ne-

hal

f o

f th

e co

un

ty a

nd

th

e co

nti

nu

ing

ch

alle

ng

e o

f m

oti

vat

ing

peo

ple

to

ser

ve

as v

olu

nte

ers.

Nev

erth

eles

s, t

hes

e v

olu

nte

er m

on

ito

rs a

re t

he

eyes

an

d e

ars

of

the

cou

rt,

and

are

a s

afeg

uar

d f

or

the

war

d.

Aft

er r

ecei

vin

gtr

ain

ing

, th

e v

olu

nte

er is

req

uir

ed t

o r

evie

w t

he

file

, vis

it t

he

war

d, a

nd

co

mp

lete

rep

ort

fo

rms.

Th

e co

urt

has

fo

un

d t

hat

ab

ou

t20

% o

f th

e w

ard

s w

ho

are

vis

ited

hav

e so

me

kin

d o

f p

rob

lem

th

at n

eed

s to

be

add

ress

ed.

Aft

er r

evie

win

g t

he

vo

lun

teer

mo

nit

or’

s re

po

rt, t

he

cou

rt t

akes

fo

llo

w-u

p a

ctio

n w

hen

nec

essa

ry a

nd

ap

pro

pri

ate.

If

th

ere

app

ears

to

be

a su

bst

anti

al p

rob

-le

m,

Jud

ge

Wes

sel

may

ap

po

int

an e

xp

erie

nce

d p

rofe

ssio

nal

co

urt

mo

nit

or

to f

urt

her

in

ves

tig

ate

the

situ

atio

n,

pri

or

to c

ou

rtac

tio

n.

Th

e S

ev

en

teen

th J

ud

icia

l C

ircu

it

Bo

b T

wo

mey

, su

per

vis

or

of

the

cou

rt m

on

ito

r u

nit

in

th

e S

even

teen

th J

ud

icia

l C

ircu

it,

spo

ke

abo

ut

thei

r p

rog

ram

wh

ich

was

esta

bli

shed

ap

pro

xim

atel

y s

ix y

ears

ag

o.

Th

ey p

erfo

rm t

wo

maj

or

fun

ctio

ns:

fie

ld i

nv

esti

gat

ion

s g

ener

ated

by

co

urt

ord

ers

tog

uar

d a

gai

nst

ab

use

an

d n

egle

ct,

exp

loit

atio

n,

and

th

eft;

an

d a

nn

ual

bac

kg

rou

nd

in

ves

tig

atio

ns

on

pro

spec

tiv

e g

uar

dia

ns.

Th

ere

are

ov

er 5

,000

act

ive

gu

ard

ian

ship

cas

es i

n B

row

ard

Co

un

ty.

Th

e u

nit

co

nd

uct

s ab

ou

t 40

0 fi

eld

in

ves

tig

atio

ns

per

yea

r,an

d t

hei

r ef

fort

s h

ave

un

cov

ered

cri

mes

th

at r

esu

lted

in

ref

erra

ls t

o t

he

stat

e at

torn

ey f

or

pro

secu

tio

n.

Mr.

Tw

om

ey n

ote

d t

hat

in h

is e

xp

erie

nce

th

e m

ajo

rity

of

crim

es a

re c

om

mit

ted

by

fam

ily

-mem

ber

gu

ard

ian

s, r

ath

er t

han

pro

fess

ion

al g

uar

dia

ns.

Mr.

Tw

om

ey b

elie

ves

ev

ery

cir

cuit

sh

ou

ld h

ave

a m

on

ito

rin

g p

rog

ram

fo

r th

e p

rote

ctio

n o

f w

ard

s.

Th

e C

om

mit

tee

also

rec

eiv

ed a

pre

sen

tati

on

on

th

e ac

cou

nti

ng

so

ftw

are

dev

elo

ped

by

th

e S

even

teen

th C

ircu

it,

wh

ich

was

des

ign

ed t

o a

dd

ress

in

con

sist

enci

es a

nd

pro

ble

ms

that

wer

e o

ccu

rrin

g o

n a

reg

ula

r b

asis

. W

ith

in

pu

t fr

om

th

e cl

erk

of

cou

rtan

d g

uar

dia

nsh

ip a

tto

rney

s, t

he

cou

rt d

evel

op

ed a

nd

im

ple

men

ted

sta

nd

ard

ized

gu

ard

ian

ship

acc

ou

nti

ng

an

d p

lan

fo

rms

that

all

ow

th

e co

urt

to

co

nd

uct

mo

re e

ffec

tiv

e an

d e

ffic

ien

t re

vie

ws

of

the

init

ial i

nv

ento

ry, a

nn

ual

acc

ou

nti

ng

, in

itia

l pla

n, a

nd

ann

ual

pla

n.

15

Page 18: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Th

e st

and

ard

ized

rep

ort

ing

fo

rms

resu

lted

in m

ore

co

mp

lete

fil

ing

s, r

edu

ced

co

rres

po

nd

ence

bet

wee

n t

he

cou

rt a

nd

th

e g

uar

d-

ian

, gre

ater

eff

ecti

ven

ess

and

eff

icie

ncy

du

rin

g t

he

init

ial r

evie

w o

f fi

lin

gs,

a r

edu

ctio

n in

rev

iew

tim

e, a

red

uct

ion

in b

ack

log

ged

fili

ng

s, a

nd

mo

re t

ime

avai

lab

le t

o p

erfo

rm d

etai

led

au

dit

s.

Th

e S

even

teen

th C

ircu

it e

stab

lish

ed a

th

ree-

lev

el a

ud

it p

rog

ram

th

at u

tili

zes

the

stan

dar

diz

ed f

orm

s:

•L

evel

On

e: a

ud

it a

ll a

nn

ual

acc

ou

nti

ng

s w

ith

a f

ive-

step

au

dit

pro

cess

.•

Lev

el T

wo

: per

form

sta

tist

ical

sam

pli

ng

of

all

rep

ort

s th

at a

re f

ou

nd

to

be

in c

om

pli

ance

at

Lev

el O

ne

wit

h L

evel

Tw

och

eck

list

.•

Lev

el T

hre

e: p

erfo

rm s

tati

stic

al s

amp

lin

g o

f co

mp

lain

t re

po

rts

fro

m L

evel

Tw

o.

Det

aile

d i

n-h

ou

se a

nd

fie

ld a

ud

its

of

sup

po

rtin

g d

ocu

men

tati

on

wil

l b

e p

erfo

rmed

on

th

e se

lect

ed s

amp

le.

Th

e E

igh

teen

th J

ud

icia

l C

ircu

it

Jud

ge

Nan

cy A

lley

, fro

m t

he

Eig

hte

enth

Ju

dic

ial

Cir

cuit

, wh

o s

erv

ed a

s b

oth

a p

rofe

ssio

nal

gu

ard

ian

an

d a

gu

ard

ian

ship

att

or-

ney

pri

or

to b

eco

min

g a

jud

ge,

ex

pre

ssed

co

nce

rn a

bo

ut

the

abil

ity

to

do

her

job

wel

l in

th

e ab

sen

ce o

f co

urt

sta

ff t

o a

ssis

t w

ith

rev

iew

ing

gu

ard

ian

ship

cas

es.

Th

e cl

erk

s o

f co

urt

in

th

e E

igh

teen

th C

ircu

it p

erfo

rm e

xce

llen

t fi

nan

cial

au

dit

s, s

he

said

, b

ut

ther

e ar

e o

ther

pro

ble

ms

that

are

no

t o

bv

iou

s o

n p

aper

. A

mo

ng

th

e p

rob

lem

s sh

e h

as o

bse

rved

in

gu

ard

ian

ship

cas

es:

gu

ard

-ia

ns

are

no

t fi

lin

g t

hei

r an

nu

al r

epo

rts

on

tim

e, g

uar

dia

ns

do

no

t sh

ow

up

fo

r h

eari

ng

s in

res

po

nse

to

ord

ers

to s

ho

w c

ause

, an

dg

uar

dia

ns

do

no

t co

op

erat

e w

ith

th

eir

atto

rney

s. I

f re

sou

rces

wer

e av

aila

ble

, sh

e w

ou

ld h

ire

a p

rofe

ssio

nal

to

ass

ist

in m

on

ito

r-in

g t

he

tim

elin

ess

of

fili

ng

s, r

evie

win

g t

he

resu

lts

of

the

cler

k’s

au

dit

, co

nd

uct

ing

sp

ot

chec

ks,

an

d p

erfo

rmin

g m

enta

l h

ealt

hfo

llo

w-u

ps.

Cle

rk o

f C

ou

rt I

np

ut

Jed

Pit

tman

, Cle

rk o

f C

ou

rt i

n P

asco

Co

un

ty, d

escr

ibed

gu

ard

ian

ship

mo

nit

ori

ng

as

real

fo

llo

w-t

hro

ug

h o

n t

he

stat

uto

ry p

rov

i-si

on

s th

at w

ere

enac

ted

to

pro

tect

th

e w

ard

. H

is o

ffic

e u

tili

zes

cert

ifie

d i

nte

rnal

au

dit

ors

, an

d c

on

du

cts

com

pre

hen

siv

e an

dth

oro

ug

h r

evie

ws

of

the

fin

anci

al a

cco

un

tin

gs.

Th

e w

ork

of

the

cou

rt m

on

ito

r su

pp

lem

ents

– n

ot

sup

pla

nts

– t

he

cler

k’s

rev

iew

.M

on

ito

rs a

re t

he

eyes

of

the

cou

rt.

Th

ey c

an s

ee w

het

her

th

e w

ard

act

ual

ly h

as lo

dg

ing

, fo

od

, clo

thin

g, a

nd

tre

atm

ent

app

rop

ri-

ate

to t

he

war

d’s

co

nd

itio

n.

Wal

ly D

ye,

th

e au

dit

or

in t

he

Pas

co C

ou

nty

Cle

rk’s

Off

ice,

als

o s

po

ke

abo

ut

the

wo

rk o

f th

eir

off

ice.

He

rep

ort

ed t

hat

th

ey s

cree

np

rofe

ssio

nal

gu

ard

ian

s; h

ow

ever

, st

aff

wh

o w

ork

fo

r p

rofe

ssio

nal

gu

ard

ian

s ar

e n

ot

scre

ened

. H

e b

elie

ves

sta

ff w

ho

wo

rkd

irec

tly

wit

h w

ard

s sh

ou

ld b

e re

qu

ired

to

mee

t so

me

of

the

sam

e re

qu

irem

ents

as

gu

ard

ian

s.

Def

init

ion

s o

f fi

nan

cial

au

dit

ssh

ou

ld b

e d

evel

op

ed a

nd

au

dit

ing

sta

nd

ard

s sh

ou

ld b

e ad

op

ted

, he

reco

mm

end

ed.

He

bel

iev

es a

sta

tist

ical

sam

pli

ng

sh

ou

ldb

e d

on

e, b

ecau

se i

n t

hei

r ex

per

ien

ce,

rev

iew

ing

on

ly c

ases

wh

ere

a p

rob

lem

is

rep

ort

ed i

s n

ot

suff

icie

nt

to p

rote

ct w

ard

s an

dth

eir

asse

ts.

Tra

inin

g,

exp

erie

nce

, an

d b

ack

gro

un

d o

f au

dit

ors

in

gu

ard

ian

ship

cas

es s

ho

uld

als

o b

e d

efin

ed,

as t

her

e ar

e cu

r-re

ntl

y n

o r

equ

irem

ents

in

th

is r

egar

d.

16

Page 19: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

In h

is p

osi

tio

n a

t th

e o

ffic

e o

f th

e C

oll

ier

Co

un

ty C

lerk

of

Co

urt

, Bru

ce B

rist

er a

ud

its

gu

ard

ian

ship

cas

es w

ith

a t

ota

l of

app

rox

i-m

atel

y $

75 m

illi

on

in

ass

ets.

T

he

aver

age

case

has

ab

ou

t $1

00,0

00 i

n a

sset

s ea

rnin

g 5

% i

nte

rest

. H

e b

elie

ves

fin

anci

al a

ud

its

sho

uld

be

req

uir

ed in

all

ty

pes

of

gu

ard

ian

ship

cas

es, w

ith

dif

fere

nt

lev

els

of

aud

it r

evie

w a

s ap

pro

pri

ate.

Th

e au

dit

or

sho

uld

be

org

aniz

atio

nal

ly lo

cate

d in

th

e P

rob

ate

Dep

artm

ent

of

the

Cle

rk’s

Off

ice,

Bri

ster

sai

d, b

ecau

se t

hat

str

uct

ure

has

co

ntr

ibu

ted

to t

he

succ

ess

of

the

aud

itin

g p

rog

ram

in

Co

llie

r C

ou

nty

, bec

ause

it

allo

ws

him

to

sta

y i

nfo

rmed

ab

ou

t ca

se f

ilin

gs,

hea

rin

gs,

and

oth

er m

atte

rs.

Cit

ize

n I

np

ut

Ste

ve

Ho

wel

ls, a

pro

gra

m d

irec

tor

wit

h t

he

Ad

vo

cacy

Cen

ter

for

Per

son

s w

ith

Dis

abil

itie

s, I

nc.

, sai

d t

her

e is

ab

use

, neg

lect

, an

dm

isu

se o

f w

ard

s’ f

un

ds

in F

lori

da,

as

evid

ence

d b

y t

he

com

pla

ints

rec

eiv

ed b

y t

he

Ad

vo

cacy

Cen

ter

as w

ell

as v

ario

us

med

iare

po

rts.

He

no

ted

th

at w

ard

s ar

e am

on

g t

he

mo

st v

uln

erab

le c

itiz

ens

in o

ur

Sta

te, a

nd

sai

d t

hat

Flo

rid

a co

urt

s n

eed

to

hav

e a

mo

nit

ori

ng

sy

stem

in

pla

ce t

o p

rote

ct w

ard

s.

Sco

tt F

ish

er,

a ci

tize

n f

rom

Pal

m H

arb

or

wh

ose

au

nt

had

bee

n a

war

d,

spo

ke

pas

sio

nat

ely

ab

ou

t th

e co

urt

’s d

uty

to

pro

tect

vu

lner

able

in

div

idu

als.

H

e ex

pre

ssed

co

nce

rn t

hat

in

cap

acit

ated

per

son

s w

ill

no

t b

e ad

equ

atel

y p

rote

cted

as

lon

g a

s th

ere

are

no

ap

pro

pri

ate

stan

dar

ds,

gu

idel

ines

, an

d o

ver

sig

ht,

on

a s

tate

wid

e b

asis

.

Gu

ard

ian

In

pu

t

Ker

ry F

itzg

eral

d a

nd

Meg

Wo

lf, t

hen

-Pre

sid

ent

and

Vic

e-P

resi

den

t o

f th

e B

row

ard

Co

un

ty G

uar

dia

nsh

ip A

sso

ciat

ion

, sai

d it

isa

hig

h c

alli

ng

to

be

app

oin

ted

to

ser

ve

on

beh

alf

of

an i

nca

pac

itat

ed p

erso

n, a

nd

hig

h s

tan

dar

ds

mu

st a

pp

ly.

Th

e A

sso

ciat

ion

sup

po

rts

the

dev

elo

pm

ent

of

stat

ewid

e st

and

ard

s fo

r m

on

ito

rin

g o

f g

uar

dia

nsh

ip c

ases

. T

hey

no

ted

th

at F

lori

da’

s ra

pid

ly-

agin

g s

oci

ety

is

vu

lner

able

, an

d t

her

e is

a g

reat

nee

d f

or

qu

alif

ied

pro

fess

ion

al g

uar

dia

ns

wh

o a

re w

illi

ng

to

pro

vid

e lo

vin

gca

re, s

ecu

rity

, an

d s

afet

y t

o c

lien

ts, b

ased

on

th

eir

ind

ivid

ual

nee

ds.

Jud

ith

Bax

ter,

a p

rofe

ssio

nal

gu

ard

ian

in P

asco

Co

un

ty, s

po

ke

abo

ut

the

nee

d f

or

un

ifo

rmit

y in

th

e sy

stem

– a

mo

ng

gu

ard

ian

s,at

torn

eys,

cle

rks,

an

d ju

dg

es.

Th

e g

uar

dia

nsh

ip s

yst

em s

ho

uld

be

effe

ctu

ated

in

a m

utu

ally

-res

pec

tfu

l, c

ost

-eff

ecti

ve

man

ner

that

res

ult

s in

th

e b

est

serv

ice

to t

he

war

d.

Th

e C

om

mit

tee

hea

rd t

hat

co

urt

pra

ctic

es i

n g

uar

dia

nsh

ip c

ases

var

ies

wid

ely

, no

to

nly

fro

m c

ircu

it t

o c

ircu

it b

ut

som

etim

es e

ven

wit

hin

th

e sa

me

cou

nty

. A

dd

itio

nal

ly, t

he

cou

rt’s

ex

pec

tati

on

s ar

e n

ot

alw

ays

clea

r. B

ette

r co

mm

un

icat

ion

am

on

g t

he

cou

rt, a

tto

rney

, an

d g

uar

dia

n s

aves

tim

e, a

s w

ell

as c

on

serv

es t

he

war

d’s

ass

ets.

Pro

fess

ion

als

fro

m a

rou

nd

th

e st

ate

spo

ke

abo

ut

the

nee

d f

or

stat

ewid

e eq

uit

y in

th

e co

mp

ensa

tio

n o

f g

uar

dia

ns

and

att

orn

eys.

Th

e C

om

mit

tee

was

ad

vis

ed t

hat

man

y h

igh

ly q

ual

ifie

d p

rofe

ssio

nal

s h

ave

left

th

e g

uar

dia

nsh

ip f

ield

, an

d m

any

pro

fess

ion

als

bel

iev

e th

at t

he

curr

ent

gu

ard

ian

ship

co

mp

ensa

tio

n s

yst

em –

wh

ich

is

cum

ber

som

e an

d s

low

– d

isco

ura

ges

man

y f

rom

en

ter-

ing

th

e p

rofe

ssio

n.

Do

nn

a H

ick

s an

d C

orr

ey P

asto

re, o

f th

e P

inel

las

Co

un

ty G

uar

dia

nsh

ip A

sso

ciat

ion

, to

ld t

he

Co

mm

itte

e it

is n

ot

un

usu

al f

or

pro

fess

ion

al g

uar

dia

ns

to w

ait

six

mo

nth

s fo

r th

eir

firs

t p

aym

ent.

17

Page 20: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Ad

dit

ion

ally

, g

uar

dia

n f

ees

are

freq

uen

tly

red

uce

d b

y t

he

pre

sid

ing

ju

dic

ial

off

icer

, w

ith

ou

t fi

rst

info

rmin

g t

he

gu

ard

ian

sab

ou

t th

e d

ocu

men

tati

on

th

e co

urt

wo

uld

lik

e.

Th

ese

dif

ficu

ltie

s ar

e co

mp

ou

nd

ed b

y t

he

hea

vy

lo

ad o

f in

dig

ent

case

s fo

rw

hic

h p

rofe

ssio

nal

gu

ard

ian

s re

ceiv

e n

o c

om

pen

sati

on

. In

so

me

circ

uit

s, u

p to

50

per

cen

t of

a p

rofe

ssio

nal

gu

ard

ian

’s c

asel

oad

is p

ro b

on

o.

Mr.

Pas

tore

als

o s

po

ke

abo

ut

the

gu

ard

ian

ship

mo

nit

ori

ng

pro

gra

m i

n t

he

Six

th J

ud

icia

l C

ircu

it.

He

said

th

e p

rog

ram

is

wel

l-es

tab

lish

ed, h

avin

g b

een

imp

lem

ente

d in

Pin

ella

s C

ou

nty

pri

or

to 1

990.

Wh

en f

irst

imp

lem

ente

d, t

he

mo

nit

ori

ng

pro

gra

m w

asg

reet

ed w

ith

fea

r, b

ut

no

w e

ver

yo

ne

wo

rks

tog

eth

er a

nd

th

e p

rog

ram

wo

rks

ver

y w

ell.

H

e b

elie

ves

co

urt

ov

ersi

gh

t is

nec

es-

sary

. I

n t

hei

r ci

rcu

it,

the

mo

nit

or

firs

t tr

ies

to r

eso

lve

any

iss

ues

in

form

ally

, b

efo

re t

he

pro

ble

m e

scal

ates

. T

he

gu

ard

ian

an

dat

torn

ey a

re n

oti

fied

bef

ore

th

e m

on

ito

r ta

kes

an

iss

ue

to t

he

cou

rt,

bu

t if

th

e m

on

ito

r ca

nn

ot

reso

lve

an i

ssu

e, M

r. P

asto

reb

elie

ves

it

is t

he

mo

nit

or’

s d

uty

to

no

tify

th

e co

urt

.

Joh

n G

ran

t, t

he

init

ial

and

fo

rmer

Ex

ecu

tiv

e D

irec

tor

of

the

Sta

tew

ide

Pu

bli

c G

uar

dia

nsh

ip O

ffic

e, w

hic

h w

as e

stab

lish

ed i

n19

99, p

oin

ted

ou

t th

at c

urr

entl

y i

n F

lori

da,

pro

fess

ion

al g

uar

dia

ns

hav

e v

ery

lim

ited

lic

ensi

ng

an

d t

rain

ing

req

uir

emen

ts, a

nd

ther

e is

no

dis

cip

lin

ary

pro

cess

. F

urt

her

, th

ey a

re n

ot

trea

ted

as

pro

fess

ion

als.

He

bel

iev

es F

lori

da

is f

acin

g n

ot

on

ly a

cri

sis

inin

dig

ent

gu

ard

ian

s, b

ut

also

in

pro

fess

ion

al g

uar

dia

ns.

In

so

me

circ

uit

s, t

her

e is

no

t a

sin

gle

act

ive

pro

fess

ion

al g

uar

dia

n, h

ep

oin

ted

ou

t.

Nu

mer

ou

s m

emb

ers

of

the

Flo

rid

a S

tate

Gu

ard

ian

ship

Ass

oci

atio

n s

po

ke

abo

ut

the

Ass

oci

atio

n’s

eff

ort

s to

in

crea

se p

rofe

s-si

on

alis

m, t

hro

ug

h t

he

imp

lem

enta

tio

n o

f im

pro

ved

tra

inin

g, a

men

tori

ng

pro

gra

m, a

nd

a s

tate

wid

e re

gis

try

. K

ny

vet

t L

ee, a

pro

fess

ion

al g

uar

dia

n in

Bro

war

d C

ou

nty

, su

gg

este

d t

hat

im

ple

men

tati

on

of

stan

dar

ds

of

pra

ctic

e w

ou

ld a

llev

iate

so

me

of

the

pro

ble

ms

gu

ard

ian

ship

mo

nit

ori

ng

ad

dre

sses

. Ju

dit

h B

axte

r, P

resi

den

t o

f th

e P

asco

Co

un

ty G

uar

dia

nsh

ip C

ou

nci

l, e

xp

lain

edth

at s

pec

iali

zed

kn

ow

led

ge

is r

equ

ired

to

per

form

wel

l as

a p

rofe

ssio

nal

gu

ard

ian

. S

he

bel

iev

es t

he

40-h

ou

r tr

ain

ing

co

urs

e is

inad

equ

ate,

an

d t

hat

a m

ore

def

ined

cu

rric

ulu

m i

s n

eces

sary

. S

he

and

oth

er p

rofe

ssio

nal

gu

ard

ian

s ap

pea

rin

g b

efo

re t

he

Co

mm

itte

e su

pp

ort

sta

tew

ide

stan

dar

ds

rela

tin

g t

o b

ack

gro

un

d, e

xp

erie

nce

, an

d t

rain

ing

of

gu

ard

ian

s.

Man

y p

eop

le a

pp

eari

ng

at

the

pu

bli

c h

eari

ng

s p

rov

ided

inp

ut

on

th

e p

roce

ss o

f g

uar

dia

nsh

ip m

on

ito

rin

g.

Gar

y A

rmst

ron

g, a

nac

cou

nta

nt

and

pro

fess

ion

al g

uar

dia

n in

Bro

war

d C

ou

nty

, sai

d h

e fa

vo

rs m

ore

str

uct

ure

an

d r

evie

w in

th

e co

urt

sy

stem

. C

ou

rtm

on

ito

rin

g is

par

ticu

larl

y im

po

rtan

t in

fam

ily

gu

ard

ian

ship

s, h

e o

bse

rved

, bec

ause

on

ly e

igh

t h

ou

rs o

f tr

ain

ing

is r

equ

ired

(as

com

par

ed t

o t

he

40-h

ou

r co

urs

e fo

r p

rofe

ssio

nal

gu

ard

ian

s).

Gu

ard

ian

ship

dea

ls w

ith

co

mp

lex

, d

iffi

cult

iss

ues

, an

d h

e is

ho

pef

ul

that

a f

orm

aliz

ed c

ou

rt m

on

ito

rin

g p

roce

ss w

ill

be

an e

du

cati

on

al t

oo

l to

ass

ist

all

gu

ard

ian

s in

im

pro

vin

g s

erv

ice

tow

ard

s. H

e ad

vo

cate

d t

hat

mo

nit

ori

ng

be

tail

ore

d t

o t

he

ind

ivid

ual

nee

ds,

cir

cum

stan

ces,

an

d f

inan

ces

of

the

war

ds.

In

ord

er t

ou

nd

erst

and

th

e si

tuat

ion

, th

e m

on

ito

rs m

ust

fam

ilia

rize

th

emse

lves

no

t o

nly

wit

h t

he

du

ties

an

d r

esp

on

sib

ilit

ies

of

the

gu

ard

-ia

ns

bu

t al

so t

he

enti

re s

erv

ice

del

iver

y s

yst

em.

Dat

a co

llec

ted

in c

on

cert

wit

h g

uar

dia

nsh

ip m

on

ito

rin

g w

ill p

rov

ide

info

rma-

tio

n t

o d

ecis

ion

mak

ers

such

as

the

Su

pre

me

Co

urt

an

d L

egis

latu

re,

and

th

is e

nh

ance

d i

nfo

rmat

ion

co

uld

res

ult

in

im

pro

ve-

men

ts t

o t

he

enti

re g

uar

dia

nsh

ip s

yst

em.

1

8

Page 21: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Att

orn

ey

In

pu

t

Mat

thew

Map

er, a

n a

tto

rney

in S

aras

ota

an

d t

hen

-pre

sid

ent

of

the

Flo

rid

a S

tate

Gu

ard

ian

ship

Ass

oci

atio

n, d

escr

ibed

gu

ard

ian

-sh

ip a

s a

soci

al i

ssu

e in

a l

egal

fra

mew

ork

. W

hil

e n

oti

ng

th

at c

hec

ks

and

bal

ance

s ar

e im

po

rtan

t in

en

suri

ng

th

e w

ell

bei

ng

of

war

d,

he

bel

iev

es t

he

curr

ent

stat

uto

ry s

chem

e –

if f

ull

y i

mp

lem

ente

d –

wo

uld

pre

ven

t m

any

of

the

pro

ble

ms

rep

ort

ed t

o t

he

Co

mm

itte

e. J

oan

Nel

son

Ho

ok

, an

att

orn

ey, s

ug

ges

ted

th

at b

y r

aisi

ng

th

e co

mp

eten

cy o

f g

uar

dia

ns,

Flo

rid

a ca

n le

ssen

th

e n

eed

for

mo

nit

ori

ng

.

Lau

chli

n W

ald

och

, at

th

at t

ime

chai

r-el

ect

of

the

Eld

er L

aw S

ecti

on

of

Th

e F

lori

da

Bar

, ex

pre

ssed

co

nce

rn a

bo

ut

the

po

ten

tial

incr

ease

d c

ost

s to

th

e w

ard

an

d g

uar

dia

n i

f an

oth

er l

ayer

of

bu

reau

crac

y i

s ad

ded

to

th

e sy

stem

. S

he

spo

ke

abo

ut

the

nee

d f

or

flex

ibil

ity

in g

uar

dia

nsh

ip m

on

ito

rin

g p

rog

ram

s, to

all

ow

fo

r d

iffe

ren

t ap

pro

ach

es in

dif

fere

nt a

reas

of

the

stat

e. M

arti

n M

ick

ler,

a g

uar

dia

nsh

ip a

tto

rney

in

Jac

kso

nv

ille

, su

gg

este

d t

hat

th

e m

ajo

rity

of

pro

ble

ms

resu

lt f

rom

in

exp

erie

nce

d o

r in

com

pet

ent

gu

ard

ian

s, r

ath

er t

han

dis

ho

nes

t g

uar

dia

ns.

He

no

ted

th

at m

on

ito

rs s

ho

uld

hav

e ap

pro

pri

ate

qu

alif

icat

ion

s.

Nao

mi

Beh

ar S

mit

h, a

gu

ard

ian

ship

att

orn

ey i

n B

row

ard

Co

un

ty, e

cho

ed t

he

com

men

ts r

egar

din

g t

he

nee

d f

or

adeq

uat

e tr

ain

-in

g o

f g

uar

dia

n m

on

ito

rs.

A w

ell-

trai

ned

an

d e

xp

erie

nce

d m

on

ito

r ca

n d

o a

n e

xce

llen

t jo

b.

Co

nv

erse

ly,

po

orl

y t

rain

ed o

rin

exp

erie

nce

d c

ou

rt m

on

ito

rs c

an h

ave

an a

dv

erse

im

pac

t:

(a)

on

th

e w

ard

, es

pec

iall

y i

f th

e m

on

ito

r’s

fees

are

pai

d f

rom

th

ew

ard

’s a

sset

s; (

b)

on

jud

icia

l re

sou

rces

, sin

ce m

on

ito

r m

ista

kes

wil

l re

qu

ire

a g

ener

al m

aste

r o

r ju

dg

e to

rev

iew

an

d/

or

corr

ect;

and

(c)

in

crea

sed

tim

e o

n b

ehal

f o

f th

e g

uar

dia

n a

nd

att

orn

ey t

o r

esp

on

d.

Fo

r th

ese

reas

on

s, M

s. S

mit

h r

eco

mm

end

ed t

hat

fu

nd

ing

fo

r m

on

ito

r tr

ain

ing

be

incl

ud

ed in

th

e co

mm

itte

e’s

reco

mm

end

atio

ns.

Sin

ce g

uar

dia

nsh

ip m

on

ito

rin

g w

ill,

in

th

e lo

ng

ru

n, i

mp

rov

e g

uar

dia

nsh

ip s

erv

ices

fo

r al

l w

ard

s, s

he

bel

iev

ed t

he

cost

fo

r th

ese

rvic

e an

d t

rain

ing

sh

ou

ld b

e sp

read

acr

oss

th

e b

oar

d r

ath

er t

han

pai

d f

rom

an

ind

ivid

ual

war

d’s

ass

ets.

Ste

ph

en M

arg

uli

s, a

nat

torn

ey a

nd

pro

fess

ion

al g

uar

dia

n i

n P

lan

tati

on

, ag

reed

. H

e sa

id a

deq

uat

e fu

nd

ing

is

req

uir

ed f

or

the

wo

rk t

hat

nee

ds

to b

ed

on

e. W

ard

s an

d g

uar

dia

ns

sho

uld

no

t h

ave

to b

ear

the

enti

re c

ost

of

mo

nit

ori

ng

.

Kn

yv

ett

Lee

in

dic

ated

sh

e h

as h

ad p

osi

tiv

e ex

per

ien

ces

wit

h t

he

mo

nit

ori

ng

pro

gra

m i

n t

he

Sev

ente

enth

Ju

dic

ial

Cir

cuit

, bu

to

bse

rved

th

at t

her

e ar

e p

rob

lem

s w

ith

mo

nit

ori

ng

pro

gra

ms

that

rel

y e

nti

rely

on

vo

lun

teer

s. C

on

cern

s ab

ou

t v

olu

nte

er m

on

i-to

rs w

ere

rep

eate

d b

y p

rofe

ssio

nal

gu

ard

ian

s fr

om

aro

un

d t

he

stat

e. V

olu

nte

er m

on

ito

rs w

ere

des

crib

ed a

s w

ell m

ean

ing

, bu

to

ften

tim

es la

ckin

g in

kn

ow

led

ge

and

ex

per

ien

ce o

f th

e co

mp

lex

med

ical

, fin

anci

al, a

nd

leg

al is

sues

inv

olv

ed i

n g

uar

dia

nsh

ip.

Sy

lvia

Win

ters

, a p

rofe

ssio

nal

gu

ard

ian

in S

aras

ota

an

d M

anat

ee c

ou

nti

es, r

elat

ed t

hat

th

e fo

rmer

vo

lun

teer

mo

nit

ori

ng

mo

del

in t

he

Tw

elft

h J

ud

icia

l C

ircu

it d

id n

ot

wo

rk w

ell,

an

d d

oes

no

t b

elie

ve

a v

olu

nte

er o

rgan

izat

ion

can

ad

equ

atel

y p

erfo

rm t

he

mo

nit

ori

ng

fu

nct

ion

. S

he

rela

ted

an

inci

den

t w

her

ein

th

e v

olu

nte

er m

on

ito

r as

ked

th

e g

uar

dia

n f

or

gu

idan

ce o

n h

ow

to

inv

es-

tig

ate

the

case

.

19

Page 22: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Vet

eran

s’ A

dm

inis

trat

ion

In

pu

t

Th

e C

om

mit

tee

lear

ned

that

the

Un

ited

Sta

tes

Dep

artm

ent o

f Vet

eran

s A

ffai

rs p

erfo

rms

exte

nsi

ve

mo

nit

ori

ng

of V

A g

uar

dia

nsh

ips,

and

th

at t

he

syst

em is

wo

rkin

g w

ell.

Dav

id B

entl

ey, a

fie

ld e

xam

iner

wit

h t

he

U.S

. Dep

artm

ent

of

Vet

eran

s A

ffai

rs, i

s o

ne

of

10fi

eld

ex

amin

ers

in F

lori

da.

H

e sa

id t

hei

r p

rog

ram

is

ver

y s

imil

ar t

o t

he

mo

nit

ori

ng

pro

gra

m u

tili

zed

by

th

e S

even

teen

thJu

dic

ial

Cir

cuit

. T

hey

clo

sely

mo

nit

or

ever

y c

ase

and

req

uir

e fo

rmal

acc

ou

nti

ng

s in

so

me

case

s.

Fie

ld i

nv

esti

gat

ion

rep

ort

sin

clu

de

12 e

lem

ents

, in

clu

din

g p

hy

sica

l an

d m

enta

l co

nd

itio

n, t

he

con

tin

uin

g n

eed

fo

r g

uar

dia

nsh

ip, a

nd

oth

er i

ssu

es.

Th

ere

is a

sig

nif

ican

t le

vel

of

rev

iew

an

d t

he

VA

wil

l p

urs

ue

and

pro

secu

te m

isu

se o

f an

y a

mo

un

t o

f m

on

ey o

r b

enef

its.

In

abo

ut

2% o

f th

e ca

ses

they

fin

d c

rim

inal

wro

ng

do

ing

, bu

t in

ab

ou

t 40

% o

f th

e ca

ses

they

hav

e q

ues

tio

ns

that

can

be

reso

lved

thro

ug

h a

dm

inis

trat

ion

act

ion

or

oth

er r

esp

on

se.

Ev

en t

ho

ug

h t

hey

alr

ead

y c

on

du

ct e

xte

nsi

ve

rev

iew

an

d m

on

ito

rin

g,

VA

rep

rese

nta

tiv

es b

elie

ve

it w

ou

ld s

till

be

app

rop

riat

e fo

r th

e co

urt

to

clo

sely

mo

nit

or

VA

gu

ard

ian

ship

cas

es.

Jam

es H

oll

ing

swo

rth

, a f

ield

ex

amin

er i

n t

he

St.

Pet

ersb

urg

off

ice

des

crib

ed a

mo

nit

or

as s

om

eon

e w

ho

go

es o

ut

into

th

e fi

eld

and

kn

ock

s o

n t

he

war

d’s

do

or,

no

t so

meo

ne

wh

o r

evie

ws

pap

erw

ork

. H

e b

elie

ved

it

was

im

po

rtan

t to

kn

ow

wh

eth

er a

war

dis

bei

ng

car

ed f

or

pro

per

ly.

Pap

ers

can

be

in p

erfe

ct o

rder

, b

ut

pro

ble

ms

are

iden

tifi

ed i

n t

he

fiel

d n

ot

in t

he

off

ice.

H

eo

bse

rved

th

at m

ost

att

orn

eys

and

ev

en s

om

e g

uar

dia

ns

do

no

t ac

tual

ly v

isit

th

e w

ard

. M

on

ito

rs a

lso

rev

iew

th

e im

po

rtan

tas

pec

t o

f th

e le

ast

rest

rict

ive

env

iro

nm

ent.

Acc

ord

ing

to

Mr.

Ho

llin

gsw

ort

h,

the

VA

fie

ld e

xam

iner

s in

Flo

rid

a m

on

ito

r 5,

300

acti

ve

gu

ard

ian

ship

s, i

ncl

ud

ing

bo

th c

ou

rtan

d n

on

-co

urt

cas

es.

Eac

h f

ield

ex

amin

er s

up

erv

ises

ab

ou

t 50

0 ca

ses.

All

war

ds

are

seen

on

a s

ched

ule

d b

asis

: ev

ery

on

e, t

wo

,o

r th

ree

yea

rs, a

nd

mo

re o

ften

if

ther

e is

a p

rob

lem

.

Mar

tin

Mic

kle

r, a

gu

ard

ian

ship

att

orn

ey i

n J

ack

son

vil

le, s

po

ke

abo

ut

the

ben

efit

of

the

chec

ks

and

bal

ance

s th

at a

re i

n p

lace

to

ensu

re t

he

war

ds’

pro

tect

ion

in

VA

gu

ard

ian

ship

s.

He

also

op

ined

th

at s

cru

tin

y b

y t

he

VA

fie

ld e

xam

iner

is

a tr

emen

do

us

hel

p.

Mik

e F

ore

man

off

ered

co

mm

ents

an

d o

bse

rvat

ion

s o

n b

ehal

f o

f th

e G

uar

dia

nsh

ip C

om

mit

tee

of

the

Rea

l P

rop

erty

, P

rob

ate,

and

Tru

st L

aw S

ecti

on

of

Th

e F

lori

da

Bar

. H

e sp

ok

e ab

ou

t th

e n

eed

fo

r m

ore

un

ifo

rmit

y a

mo

ng

th

e tr

ial

cou

rts,

in

reg

ard

to

spec

iali

zed

fo

rms,

ap

pro

val

pro

cess

es, a

nd

gu

ard

ian

ship

an

d a

tto

rney

fee

s. T

he

sect

ion

is c

on

cern

ed w

ith

en

suri

ng

ad

her

ence

to d

ue

pro

cess

wh

en m

on

ito

rs a

re u

tili

zed

, an

d b

elie

ves

the

gu

ard

ian

or

atto

rney

sh

ou

ld b

e al

low

ed to

res

po

nd

to th

e m

on

ito

r’s

rep

ort

. M

r. F

ore

man

als

o c

alle

d f

or

enco

ura

gin

g p

ract

itio

ner

s to

en

ter

the

gu

ard

ian

ship

fie

ld, w

her

e p

rofe

ssio

nal

s ar

e co

nti

nu

-al

ly d

eali

ng

wit

h p

eop

le i

n c

rise

s si

tuat

ion

s.

20

Page 23: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

MIN

IMU

M S

TA

ND

AR

DS

FO

R G

UA

RD

IAN

SH

IP M

ON

ITO

RIN

G

Th

e m

ajo

rity

of

gu

ard

ian

s ar

e la

w a

bid

ing

an

d a

re d

ilig

entl

y f

ulf

illi

ng

th

eir

com

ple

x r

esp

on

sib

ilit

ies.

H

ow

ever

, a

smal

l p

er-

cen

tag

e ar

e n

ot

pro

per

ly h

and

lin

g g

uar

dia

nsh

ip m

atte

rs,

and

as

a re

sult

, m

on

ito

rin

g m

ay b

e n

eces

sary

. M

inim

um

req

uir

e-m

ents

fo

r co

urt

mo

nit

ori

ng

of

gu

ard

ian

ship

cas

es s

ho

uld

be

esta

bli

shed

. W

hil

e th

e sy

stem

sh

ou

ld b

e fl

exib

le a

nd

rec

og

niz

eth

at o

ne

size

do

es n

ot

fit

all,

th

e in

div

idu

al c

ircu

mst

ance

s o

f th

e w

ard

sh

ou

ld b

e th

e g

uid

ing

fac

tor

rath

er t

han

th

e in

div

idu

alci

rcu

mst

ance

s o

f th

e ci

rcu

it.

It i

s m

ore

eff

icie

nt

and

eff

ecti

ve

– an

d t

her

efo

re i

n e

ver

yo

ne’

s b

est

inte

rest

s –

for

the

cou

rts

to b

e p

roac

tiv

e in

en

suri

ng

co

mp

li-

ance

. T

he

cost

of

no

n-c

om

pli

ance

in

clu

des

fee

s fo

r an

in

ves

tig

ato

r, a

n a

tto

rney

, an

acc

ou

nta

nt,

an

d o

ther

pro

fess

ion

als

as m

ayb

e re

qu

ired

, in

ad

dit

ion

to

an

y p

hy

sica

l, e

mo

tio

nal

, o

r fi

nan

cial

lo

sses

a w

ard

may

su

stai

n.

Lac

k o

f m

on

ito

rin

g b

y t

he

cou

rtim

po

ses

incr

ease

d c

ost

s d

irec

tly

on

vu

lner

able

war

ds

– o

r in

th

e ca

se o

f in

dig

ent

war

ds,

on

th

e ta

xp

ayer

s –

and

dra

ins

re-

sou

rces

. L

ack

of

pro

per

co

urt

ov

ersi

gh

t o

f g

uar

dia

nsh

ip c

ases

mer

ely

sh

ifts

mo

nit

ori

ng

res

po

nsi

bil

itie

s to

att

orn

eys,

fam

ily

mem

ber

s, a

nd

oth

ers

wh

o m

ay n

ot

be

pro

per

ly t

rain

ed o

r eq

uip

ped

to

per

form

th

e f

un

ctio

ns

of

a p

rofe

ssio

nal

gu

ard

ian

ship

mo

nit

or.

In

ad

dit

ion

, n

on

-co

mp

lian

ce r

esu

lts

in m

ore

ju

dic

ial

acti

vit

y,

wh

ich

in

tu

rn r

esu

lts

in a

dd

itio

nal

co

sts

to F

lori

da’

sci

tize

ns.

Att

orn

eys

and

pro

fess

ion

al g

uar

dia

ns

wh

o a

pp

eare

d b

efo

re t

he

com

mit

tee

rep

eate

dly

ex

pre

ssed

co

nce

rn a

bo

ut

du

e p

roce

ssis

sues

ass

oci

ated

wit

h c

on

fid

enti

al c

om

mu

nic

atio

ns

bet

wee

n t

he

cou

rt a

nd

th

e g

uar

dia

nsh

ip m

on

ito

r.

Th

e co

mm

itte

e th

or-

ou

gh

ly e

xp

lore

d a

nd

deb

ated

th

e m

atte

r.

Wh

ile

the

com

mit

tee

is s

ensi

tiv

e to

th

e fa

ct t

hat

att

orn

eys

and

gu

ard

ian

s m

ay p

er-

ceiv

e th

ere

is a

po

ten

tial

ex

par

te c

om

mu

nic

atio

n is

sue,

th

e co

mm

itte

e b

elie

ves

th

at in

rea

lity

th

ere

is n

o im

pro

pri

ety

as

lon

g a

sp

rop

er c

ou

rt p

roce

du

res

are

esta

bli

shed

, p

ub

lish

ed,

and

fo

llo

wed

. B

ecau

se t

he

gu

ard

ian

ship

mo

nit

or

is a

n a

rm o

f th

e co

urt

and

wo

rks

at t

he

dir

ecti

on

of

the

jud

ge,

it

is p

erm

issi

ble

fo

r co

mm

un

icat

ion

bet

wee

n t

he

cou

rt a

nd

mo

nit

or

to b

e co

nfi

den

tial

(see

, fo

r ex

amp

le, r

ule

2.0

51(c

)(3)

(b),

Flo

rid

a R

ule

s o

f Ju

dic

ial

Ad

min

istr

atio

n).

Nev

erth

eles

s, t

he

com

mit

tee

reco

mm

end

s th

atin

sofa

r as

po

ssib

le, t

he

mo

nit

ori

ng

pro

cess

sh

ou

ld b

e tr

ansp

aren

t an

d o

pen

, an

d a

ll c

om

mu

nic

atio

ns

bet

wee

n t

he

mo

nit

or

and

the

jud

ge

sho

uld

be

in w

riti

ng

, bec

om

es p

art

of

the

con

fid

enti

al p

ort

ion

of

the

cou

rt f

ile,

an

d c

op

ies

pro

vid

ed t

o c

ou

nse

l an

do

ther

in

tere

sted

per

son

s as

pre

scri

bed

by

Flo

rid

a la

w.

Th

e m

on

ito

rin

g p

roce

ss s

ho

uld

be

wel

l def

ined

, an

d t

he

lev

el o

f re

vie

w a

nd

act

ion

sh

ou

ld b

e co

mm

ensu

rate

wit

h a

ny

po

ten

tial

for

har

m t

o t

he

war

d.

Th

e co

urt

sh

ou

ld b

egin

wit

h t

he

leas

t re

stri

ctiv

e le

vel

of

cou

rt m

on

ito

rin

g t

hat

ad

equ

atel

y a

dd

ress

es t

he

con

cern

. T

he

foll

ow

ing

pro

ced

ure

s ap

ply

to

no

t o

nly

sit

uat

ion

s in

vo

lvin

g t

he

wel

l-b

ein

g o

f th

e w

ard

bu

t al

so t

he

pro

tect

ion

of

the

war

d’s

ass

ets.

21

Page 24: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

1.In

cas

es w

her

e th

ere

do

es n

ot

app

ear

to b

e a

risk

of

seri

ou

s ir

rep

arab

le h

arm

, th

e ac

tio

n s

tep

s b

y t

he

cou

rt, b

ased

up

on

th

e p

rob

lem

id

enti

fied

, sh

ou

ld i

ncl

ud

e:

�T

he

jud

ge

ente

rs a

n o

rder

ap

po

inti

ng

a m

on

ito

r. T

he

war

d, g

uar

dia

n, a

tto

rney

, an

d a

ny

oth

er p

arti

es a

ren

oti

fied

of

the

app

oin

tmen

t u

po

n e

ntr

y o

f th

e o

rder

, as

pre

scri

bed

by

Flo

rid

a la

w.

�T

he

mo

nit

or

wo

rks

wit

h t

he

app

rop

riat

e en

titi

es t

o o

bta

in a

dd

itio

nal

in

form

atio

n, a

nd

su

bm

its

a w

ritt

enre

po

rt o

f fi

nd

ing

s an

d r

eco

mm

end

atio

ns

to t

he

cou

rt.

�T

he

cou

rt t

akes

ap

pro

pri

ate

acti

on

bas

ed u

po

n t

he

rep

ort

, up

to

an

d i

ncl

ud

ing

set

tin

g a

hea

rin

g i

f n

eces

-sa

ry.

Sin

ce t

he

com

mit

tee

lear

ned

th

at m

ost

gu

ard

ian

ship

def

icie

nci

es i

nv

olv

e b

enig

n r

epo

rtin

g d

iscr

ep-

anci

es a

nd

err

ors

, it

seem

s li

kel

y t

hat

man

y m

on

ito

rin

g i

ssu

es w

ill

be

reso

lved

at

this

sta

ge,

wit

ho

ut

the

nee

d f

or

a h

eari

ng

. T

his

alo

ne

sho

uld

red

uce

th

e co

st o

f g

uar

dia

nsh

ip o

ver

sig

ht.

�In

ex

trem

e o

r eg

reg

iou

s si

tuat

ion

s, t

he

cou

rt s

ho

uld

im

po

se a

pp

rop

riat

e sa

nct

ion

s ag

ain

st t

he

gu

ard

ian

and

/o

r at

torn

ey t

o r

ein

forc

e th

e se

rio

us

nat

ure

of

pro

tect

ing

war

ds

and

to

en

cou

rag

e fu

ture

co

mp

lian

ce.

2.

In

cas

es w

her

e it

ap

pea

rs t

her

e is

su

bst

anti

al l

ikel

iho

od

fo

r se

rio

us

irre

par

able

har

m (

sim

ilar

to

th

e in

jun

ctiv

e re

lief

stan

dar

d),

im

med

iate

act

ion

ste

ps

by

th

e co

urt

sh

ou

ld i

ncl

ud

e b

ut

no

t b

e li

mit

ed t

o:

�T

he

jud

ge

ente

rs a

n o

rder

ap

po

inti

ng

a m

on

ito

r. A

t th

e ju

dg

e’s

dis

cret

ion

, th

e o

rder

of

app

oin

tmen

t m

ayn

ot

be

mad

e p

ub

lic

un

til

the

jud

ge

det

erm

ines

wh

eth

er t

her

e is

pro

bab

le c

ause

.�

Th

e m

on

ito

r w

ork

s w

ith

th

e ap

pro

pri

ate

enti

ties

to

ob

tain

ad

dit

ion

al i

nfo

rmat

ion

, an

d s

ub

mit

s a

wri

tten

rep

ort

of

fin

din

gs

and

rec

om

men

dat

ion

s to

th

e co

urt

.�

Sim

ult

aneo

usl

y, t

he

cou

rt s

ho

uld

im

med

iate

ly t

ake

any

oth

er a

pp

rop

riat

e ac

tio

ns

the

cou

rt d

eem

s n

eces

-sa

ry i

n a

cco

rdan

ce w

ith

Flo

rid

a la

w, i

ncl

ud

ing

:

-F

ilin

g a

n a

bu

se, n

egle

ct, o

r ex

plo

itat

ion

co

mp

lain

t w

ith

th

e D

epar

tmen

t o

f C

hil

dre

n a

nd

Fam

ilie

s,as

req

uir

ed b

y s

tatu

te.

-R

efer

ral

to l

oca

l la

w e

nfo

rcem

ent

agen

cies

or

the

stat

e at

torn

ey.

-C

on

du

ctin

g i

mm

edia

te h

eari

ng

s.

-

Is

uu

ing

su

bp

eon

as a

nd

su

mm

on

ses.

-E

nte

rin

g a

pp

rop

riat

e in

juct

ion

s in

vo

lvin

g a

sset

s.

-

Pro

vo

kin

g l

ette

rs.

2

2

Page 25: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

CO

MP

ON

EN

TS

OF

AN

ID

EA

L G

UA

RD

IAN

SH

IP M

ON

ITO

RIN

G P

RO

GR

AM

Th

ere

are

fou

r m

ajo

r se

rvic

e ar

eas

of

gu

ard

ian

ship

mo

nit

ori

ng

dir

ecte

d t

o f

ulf

illi

ng

th

e p

urp

ose

. E

ach

pro

vid

es a

dis

tin

ct f

un

ctio

nan

d d

esir

ed o

utc

om

e in

su

pp

ort

of

gu

ard

ian

ship

mo

nit

ori

ng

an

d c

an o

per

ate

ind

epen

den

tly

of

the

oth

ers.

Th

e fo

ur

maj

or

serv

ice

area

s o

f g

uar

dia

nsh

ip m

on

ito

rin

g a

re:

1.

Init

ial

an

d O

n-G

oin

g S

creen

ing

an

d R

ev

iew

ing

of

Gu

ard

ian

s.

2.

Rep

ort

ing

on

th

e W

ell

-Bein

g o

f th

e W

ard

.

3.

Rep

ort

ing

on

th

e P

rote

ctio

n o

f th

e W

ard

’s A

ssets

.

4.C

ase

Ad

min

istr

atio

n.

Co

mp

reh

ensi

ve

cou

rt o

ver

sig

ht

of

gu

ard

ian

ship

cas

es r

equ

ires

th

at a

ll f

ou

r co

mp

on

ents

be

add

ress

ed t

o s

om

e d

egre

e, d

epen

din

go

n t

he

nu

mb

er o

f ca

ses

wit

hin

th

e ci

rcu

it a

nd

oth

er f

acto

rs. T

he

com

mit

tee

ack

no

wle

dg

es t

he

curr

ent

lack

of

adeq

uat

e fu

nd

ing

fo

rg

uar

dia

nsh

ip m

on

ito

rin

g.

Th

e S

even

teen

th C

ircu

it c

urr

entl

y h

as s

om

e S

tate

fu

nd

ing

fo

r g

uar

dia

nsh

ip m

on

ito

rin

g,

wh

ich

is

com

-b

ined

wit

h g

ran

t an

d c

ou

nty

fu

nd

s.

Co

un

ty f

un

din

g s

up

po

rts

on

e fu

ll-t

ime

pro

fess

ion

al m

on

ito

r in

th

e S

ixth

Cir

cuit

. T

he

Th

ir-

teen

th C

ircu

it h

as a

mix

ture

of

loca

l an

d g

ran

t fu

nd

ing

th

at s

up

po

rts

two

fu

ll-t

ime

mo

nit

ors

an

d a

cad

re o

f st

ud

ents

. O

ver

th

e y

ears

,lo

w-c

ost

vo

lun

teer

mo

nit

ori

ng

pro

gra

ms

hav

e b

een

pil

ote

d w

ith

var

yin

g d

egre

es o

f su

cces

s in

th

e E

igh

th,

Tw

elft

h,

and

Fif

teen

thci

rcu

its.

Th

is f

un

din

g s

itu

atio

n m

ay b

e im

pac

ted

by

th

e fu

nd

ing

tra

nsi

tio

n c

om

mo

nly

kn

ow

n a

s “A

rtic

le V

: R

evis

ion

7.”

In

199

8, F

lori

da

vo

ters

ap

pro

ved

an

am

end

men

t to

th

e F

lori

da

Co

nst

itu

tio

n r

elat

ing

to

th

e fu

nd

ing

fo

r th

e ju

dic

ial b

ran

ch o

f g

ov

ern

men

t. P

rese

ntl

y,

wel

l o

ver

hal

f o

f th

e m

on

ey t

hat

per

mit

s th

e tr

ial

cou

rts

to f

un

ctio

n c

om

es n

ot

fro

m t

he

Sta

te b

ut

fro

m t

he

cou

nti

es. E

ffec

tiv

e Ju

ly 1

,20

04,

the

Sta

te m

ust

ass

um

e a

gre

ater

res

po

nsi

bil

ity

fo

r fu

nd

ing

th

e tr

ial

cou

rts.

T

his

ch

ang

e, w

hil

e re

pre

sen

tin

g a

ver

y s

mal

lam

ou

nt

of

the

enti

re S

tate

of

Flo

rid

a b

ud

get

, nev

erth

eles

s p

ose

s a

sig

nif

ican

t fi

scal

ch

alle

ng

e to

th

e L

egis

latu

re.

Un

der

th

e am

end

-m

ent,

th

e S

tate

wil

l be

resp

on

sib

le f

or

fun

din

g m

ost

asp

ects

of

the

Sta

te C

ou

rts

Sy

stem

, off

ices

of

stat

e at

torn

eys

and

pu

bli

c d

efen

d-

ers,

an

d c

ou

rt-a

pp

oin

ted

co

un

sel.

It

is

un

kn

ow

n a

t th

is t

ime

wh

at i

mp

act

the

fun

din

g t

ran

siti

on

may

hav

e o

n t

he

cou

rt’s

du

ty t

oad

equ

atel

y m

on

ito

r g

uar

dia

nsh

ip c

ases

.

Th

e co

mm

itte

e re

com

men

ds

that

gu

ard

ian

ship

mo

nit

ori

ng

be

fun

ded

in

ev

ery

cir

cuit

, re

gar

dle

ss o

f w

het

her

su

ch f

un

din

g i

s p

ro-

vid

ed t

hro

ug

h t

he

Sta

te o

r co

un

ties

. D

iffe

ren

t m

od

els

sho

uld

be

dev

elo

ped

an

d im

ple

men

ted

in t

he

var

iou

s ci

rcu

its,

dep

end

ing

on

the

case

load

an

d o

ther

lo

cal

req

uir

emen

ts.

At

a m

inim

um

:

•C

ircu

its

that

hav

e a

con

sist

ent

gu

ard

ian

ship

cas

elo

ad i

n e

xce

ss o

f 2,

500

sho

uld

hav

e a

staf

fin

g c

om

ple

men

t th

at i

ncl

ud

es o

r a

llo

ws

acce

ss t

o c

ase

man

ager

s, i

nv

esti

gat

ors

, acc

ou

nta

nts

, an

d s

oci

al w

ork

ers.

In

mo

st c

ases

, th

ese

fun

ctio

ns

all

fall

wit

hin

th

e d

efin

itio

n o

f co

urt

mo

nit

or

(see

sec

tio

n 7

44.1

07, F

lori

da

Sta

tute

s).

23

Page 26: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

•C

ircu

its

that

hav

e a

con

sist

ent g

uar

dia

nsh

ip c

asel

oad

ran

gin

g f

rom

1,0

00-2

,500

sh

ou

ld h

ave

at le

ast o

ne

full

-tim

e m

on

i-to

r, a

nd

acc

ess

to s

up

ple

men

tal

reso

urc

es o

n d

eman

d.

•C

ircu

its

wit

h a

co

nsi

sten

t g

uar

dia

nsh

ip c

asel

oad

of

less

th

an 1

,000

sh

ou

ld h

ave

acce

ss t

o a

pro

fess

ion

al m

on

ito

r an

d

o

ther

res

ou

rces

, on

dem

and

.

It i

s so

un

d p

ub

lic

po

licy

to

saf

egu

ard

th

e m

enta

l an

d p

hy

sica

l h

ealt

h o

f w

ard

s, a

nd

it

mak

es g

oo

d f

isca

l se

nse

to

en

sure

th

atth

eir

fin

anci

al a

sset

s ar

e p

rote

cted

an

d p

rud

entl

y i

nv

este

d.

Th

ese

pre

cau

tio

ns

wil

l en

able

ad

ult

s w

ho

are

in

cap

acit

ated

to

rem

ain

in

dep

end

ent

as l

on

g a

s p

oss

ible

, o

bv

iati

ng

th

e n

eed

fo

r p

rem

atu

re i

nst

itu

tio

nal

izat

ion

or

pu

bli

c as

sist

ance

. T

he

ben

efit

s re

aliz

ed f

rom

fu

nd

ing

ad

equ

ate

cou

rt o

ver

sig

ht

of

gu

ard

ian

ship

mo

nit

ori

ng

can

po

ten

tial

ly p

ay t

ang

ible

an

d i

nta

n-

gib

le d

ivid

end

s th

at o

utw

eig

h t

he

cost

of

the

pro

gra

ms,

bo

th i

n t

erm

s o

f th

e co

nse

rvat

ion

of

scar

ce r

eso

urc

es a

s w

ell

asfu

lfil

lin

g s

oci

ety

’s o

bli

gat

ion

to

pro

tect

th

e w

ell

bei

ng

of

its

mo

st v

uln

erab

le m

emb

ers.

F

urt

her

mo

re,

pu

rsu

ant

to s

ecti

on

744.

107,

Flo

rid

a S

tatu

tes,

th

e ex

pen

dit

ure

s in

man

y c

ases

nee

d n

ot

be

sole

ly f

un

ded

by

pu

bli

c re

ven

ues

.

24

Page 27: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

1.

IN

ITIA

L A

ND

ON

-GO

ING

SC

RE

EN

ING

AN

D R

EV

IEW

ING

OF

GU

AR

DIA

NS

Th

e F

lori

da

Sta

tute

s a

nd

Ru

les

of

Co

urt

pro

vid

e r

eq

uir

em

en

ts f

or

the

ap

po

intm

en

t a

nd

re

mo

va

l o

f g

ua

rdia

ns.

•C

hap

ter

744,

Flo

rid

a S

tatu

tes,

pre

scri

bes

th

e re

qu

irem

ents

of

(a)

wh

o m

ay b

e ap

po

inte

d g

uar

dia

n o

f a

resi

den

t w

ard

, (

b)

con

sid

erat

ion

s in

ap

po

intm

ent

of

a g

uar

dia

n, (

c) a

pp

lica

tio

n f

or

app

oin

tmen

t, (

d)

cred

it a

nd

cri

min

al in

ves

tig

atio

ns,

and

(e)

gu

ard

ian

ed

uca

tio

n r

equ

irem

ents

.•

R

ule

5.5

90, P

rob

ate

Ru

les,

pre

scri

bes

th

e p

roce

du

res

for

app

lica

tio

n f

or

app

oin

tmen

t as

a g

uar

dia

n, d

iscl

osu

re s

tatm

ent,

an

d f

ilin

g.

Th

ese

ap

ply

to

(a)

in

div

idu

al a

pp

lica

nts

, (b

) n

on

-pro

fit

corp

ora

te g

uar

dia

ns,

(c)

fo

r p

rofi

tco

rpo

rati

on

s an

d a

sso

ciat

ion

s, a

nd

(d

) p

ub

lic

gu

ard

ian

s.•

Ru

le 5

.650

, Pro

bat

e R

ule

s, p

resc

rib

es t

he

pro

ced

ure

s fo

r re

sig

nat

ion

or

dis

qu

alif

icat

ion

of

gu

ard

ian

s, a

nd

ap

po

intm

ent

succ

esso

r.

A g

uar

dia

nsh

ip m

on

ito

rin

g p

rog

ram

pro

vid

es s

up

po

rt t

o t

he

pre

sid

ing

jud

icia

l o

ffic

er t

o e

nsu

re t

hat

th

e re

qu

irem

ents

of

the

cou

rt r

ule

s an

d s

tatu

tes

are

foll

ow

ed.

To

ad

equ

atel

y s

cree

n a

nd

rev

iew

pro

spec

tiv

e g

uar

dia

ns

as r

equ

ired

by

th

e F

lori

da

Sta

tute

s, a

gu

ard

ian

ship

mo

nit

ori

ng

pro

gra

m s

ho

uld

co

nd

uct

tim

ely

in

ves

tig

atio

ns

and

iss

ue

a w

ritt

en r

epo

rt t

o t

he

jud

ge

ind

icat

ing

:

•W

het

her

th

e ap

pli

cati

on

has

bee

n f

iled

an

d c

on

tain

s co

rrec

t in

form

atio

n.

•W

het

her

th

e g

uar

dia

n m

eets

th

e re

qu

isit

e st

atu

tory

qu

alif

icat

ion

s.•

Wh

eth

er t

he

gu

ard

ian

has

sat

isfa

cto

rily

co

mp

lete

d t

he

edu

cati

on

al r

equ

irem

ents

.•

Th

e g

uar

dia

n’s

cre

dit

his

tory

.•

Wh

eth

er t

her

e ar

e an

y c

on

firm

ed r

epo

rts

of

abu

se o

r n

egle

ct b

y t

he

gu

ard

ian

.•

Wh

eth

er t

he

gu

ard

ian

has

a h

isto

ry o

f cr

imin

al c

on

du

ct.

•T

he

nu

mb

er o

f w

ard

s to

wh

om

th

e g

uar

dia

n h

as a

lrea

dy

bee

n a

ssig

ned

.•

Te

wel

l-b

ein

g o

f o

ther

war

ds

un

der

th

e g

uar

dia

n’s

car

e.•

Wh

eth

er t

he

gu

ard

ian

is

a p

arty

to

an

y p

end

ing

lit

igat

ion

.•

Co

mp

lian

ce w

ith

th

e re

gis

try

req

uir

emen

ts i

n s

ecti

on

744

.108

3, F

lori

da

Sta

tute

s.

Th

e ex

ten

t to

wh

ich

th

e co

urt

is

able

to

pro

vid

e th

e d

esir

ed s

cree

nin

g s

erv

ices

is

dep

end

ent

on

th

e re

sou

rces

an

d f

un

din

gav

aila

ble

. T

his

ap

pli

es t

o b

oth

th

e sc

op

e o

f th

e in

itia

l scr

een

ing

an

d r

evie

w, a

s w

ell a

s to

th

e fr

equ

ency

of

sub

seq

uen

t re

vie

ws.

Th

e in

itia

l re

vie

w i

s cr

itic

al t

o t

he

cou

rt’s

det

erm

inat

ion

th

at t

he

app

lica

nt

for

gu

ard

ian

ship

is

in f

act

qu

alif

ied

an

d s

uit

able

fo

rth

e p

osi

tio

n.

In

dee

d,

his

tori

call

y a

nd

un

fort

un

atel

y,

thro

ug

h m

uch

of

the

stat

e th

ere

has

bee

n n

o v

erif

icat

ion

th

at a

pp

lica

nts

seek

ing

ap

po

intm

ent

as g

uar

dia

n e

ven

mee

t th

e st

atu

tory

req

uir

emen

ts.

To

mai

nta

in t

he

qu

alit

y a

nd

in

teg

rity

of

gu

ard

ian

s, i

tis

imp

ort

ant

to a

lso

hav

e an

on

go

ing

rev

iew

sy

stem

in p

lace

. S

cree

nin

g a

nd

rev

iew

ing

are

ess

enti

al w

hen

a c

om

pla

int

is lo

dg

edb

y t

he

fam

ily

or

oth

er i

nte

rest

ed p

arty

.

25

Page 28: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Ho

wev

er,

no

t al

l in

cid

ence

s o

f ab

use

an

d n

egle

ct a

re r

epo

rted

, an

d i

t is

im

po

rtan

t th

at t

her

e b

e an

in

dep

end

ent

rev

iew

per

form

ed o

n a

per

iod

ic b

asis

, pre

fera

bly

at

leas

t an

nu

ally

.

To

be

able

to

eff

ecti

vel

y s

cree

n a

nd

rev

iew

pro

spec

tiv

e g

uar

dia

ns

and

th

ereb

y c

om

ply

wit

h t

he

stat

uto

ry r

equ

irem

ents

, th

efo

llo

win

g r

eso

urc

es m

ust

be

avai

lab

le t

o t

he

cou

rt:

Acc

ess

to

an

d/o

r fu

nd

ing

fo

r

•C

red

it r

epo

rtin

g s

erv

ices

.•

Cri

min

al h

isto

ry c

hec

ks

(sta

te a

nd

fed

eral

).•

Ab

use

reg

istr

y c

hec

ks.

•C

ou

rt d

ock

et c

hec

ks.

•H

ard

war

e an

d s

oft

war

e to

mai

nta

in a

dat

abas

e o

n s

tatu

s o

f g

uar

dia

ns.

•O

ffic

e su

pp

lies

, tel

eph

on

e se

rvic

e, f

acsi

mil

e se

rvic

e, e

tc.

•S

taff

tra

inin

g o

n i

nte

rpre

tati

on

of

cred

it, a

bu

se, a

nd

cri

min

al h

isto

ry r

epo

rts.

•E

mp

loy

men

t v

erif

icat

ion

ch

eck

s.

Sta

ff w

ith

th

e fo

llo

win

g t

rain

ing

, exp

erie

nce

, an

d s

kil

ls

•In

ves

tig

ato

rs.

•A

dm

inis

trat

ive

sup

po

rt.

•P

eop

le w

ho

can

rev

iew

an

d i

nte

rpre

t cr

edit

his

tori

es, c

rim

inal

his

tory

ch

eck

s, a

nd

ab

use

reg

istr

ych

eck

s, a

nd

wh

o a

re f

amil

iar

wit

h c

ou

rt p

roce

du

res.

•S

om

eon

e to

fin

ger

pri

nt

gu

ard

ian

s.•

Info

rmat

ion

sy

stem

s su

pp

ort

an

d d

atab

ase

adm

inis

trat

ion

.

26

Page 29: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

2.

RE

PO

RT

ING

ON

TH

E W

EL

L-B

EIN

G O

F T

HE

WA

RD

Ch

apte

r 74

4, F

lori

da

Sta

tute

s, a

nd

th

e P

rob

ate

Ru

les

of

Co

urt

def

ine

the

auth

ori

ty o

f a

gu

ard

ian

an

d t

he

serv

ice

and

rep

ort

ing

req

uir

emen

ts.

Th

ese

app

ly t

o t

he

wel

l-b

ein

g o

f th

e w

ard

as

wel

l as

to

th

e p

rote

ctio

n o

f th

e w

ard

’s a

sset

s.

A g

uar

dia

nsh

ip m

on

ito

rin

g p

rog

ram

ass

ists

wit

h t

he

coo

rdin

atio

n a

nd

ov

ersi

gh

t fu

nct

ion

s o

f th

e p

resi

din

g j

ud

icia

l o

ffic

er t

oen

sure

co

mp

lian

ce w

ith

th

e re

qu

irem

ents

of

the

rule

s an

d s

tatu

tes.

To

eff

ecti

vel

y a

nd

eff

icie

ntl

y r

epo

rt o

n t

he

wel

l-b

ein

g o

f th

ew

ard

, a g

uar

dia

nsh

ip m

on

ito

rin

g p

rog

ram

sh

ou

ld t

ake

the

foll

ow

ing

ste

ps.

To

en

sure

th

at t

he

wel

l-b

ein

g o

f th

e w

ard

is

adeq

uat

ely

ad

dre

ssed

, it

is

esse

nti

al t

he

cou

rt h

ave

the

mo

nit

ori

ng

cap

acit

y t

oev

alu

ate

any

co

mp

lain

ts o

f ab

use

an

d n

egle

ct.

Ho

wev

er t

o p

rev

ent

inst

ance

s o

f ab

use

an

d n

egle

ct a

nd

to

en

sure

th

at t

he

war

d i

sb

ein

g p

rop

erly

car

ed f

or,

it is

als

o n

eces

sary

fo

r th

e co

urt

to

co

nd

uct

a p

erio

dic

, pre

fera

bly

an

an

nu

al, r

evie

w o

f th

e g

uar

dia

nsh

ipp

lan

as

req

uir

ed b

y F

lori

da

Sta

tute

s, m

ake

site

vis

its

to t

he

resi

den

ce o

f th

e w

ard

, an

d i

nte

rvie

w t

he

care

giv

ers

of

the

war

d.

Bec

ause

of

incr

easi

ng

ly l

imit

ed r

eso

urc

es a

nd

in

crea

sin

g c

asel

oad

s, t

he

cou

rts

wil

l b

e fa

ced

wit

h p

rio

riti

zin

g t

he

typ

es o

f as

sess

-m

ents

th

ey w

ill

be

able

to

co

nd

uct

. A

cco

rdin

gly

, th

e fo

llo

win

g t

ask

s ar

e ar

ran

ged

in

rec

om

men

ded

ord

er o

f im

po

rtan

ce, b

egin

-n

ing

wit

h t

he

min

imu

m a

ccep

tab

le l

evel

to

id

eal.

Rea

list

ical

ly, s

carc

e re

sou

rces

mak

e it

lik

ely

th

at d

esk

wo

rk w

ill

be

per

form

edm

ore

fre

qu

entl

y t

han

vis

its;

ho

wev

er, f

ield

in

ves

tig

atio

n i

s p

refe

rab

le s

ince

th

at i

s an

eff

ecti

ve

mec

han

ism

fo

r d

isco

ver

ing

pro

b-

lem

s. A

dd

itio

nal

ly, i

n d

eter

min

ing

wh

en i

nv

esti

gat

ion

s/re

vie

ws

sho

uld

be

con

du

cted

, th

e co

urt

sh

ou

ld a

ct f

irst

wh

en t

her

e is

aco

nce

rn, a

nd

sec

on

dly

on

a r

and

om

bas

is.

A.

Vis

its

and

fie

ld i

nv

esti

gat

ion

s sh

ou

ld b

e m

ade

and

su

spec

ted

ab

use

or

neg

lect

sh

ou

ld b

e re

po

rted

to

th

e co

urt

,p

rose

cuto

rs,

law

en

forc

em

en

t, t

he

De

pa

rtm

en

t o

f C

hil

dre

n a

nd

Fa

mil

ies,

an

d o

the

rs a

s a

pp

rop

ria

te.

B.

Vis

its

and

fie

ld i

nv

esti

gat

ion

s sh

ou

ld b

e co

nd

uct

ed a

nd

a c

on

cise

rep

ort

in

a s

tan

dar

diz

ed f

orm

at, w

hic

h w

ou

ldb

eco

me

par

t o

f th

e co

nfi

den

tial

po

rtio

n o

f th

e o

ffic

ial

cou

rt r

eco

rd, p

rov

ided

to

th

e co

urt

on

th

e st

atu

s o

f th

e w

ard

ind

icat

ing

wh

eth

er

•T

her

e ar

e si

gn

s o

f ab

use

or

neg

lect

.•

Th

e w

ard

’s f

oo

d a

nd

sh

elte

r ar

e ad

equ

ate.

•T

he

med

ical

, psy

chia

tric

, an

d p

hy

sica

l tr

eatm

ent

of

the

war

d a

re a

pp

rop

riat

e.•

A f

ind

ing

of

wh

eth

er t

he

care

bei

ng

pro

vid

ed t

o t

he

war

d i

s co

nsi

sten

t w

ith

th

e p

lan

.•

An

y B

aker

Act

pro

ceed

ing

s h

ave

bee

n i

nit

iate

d.

•T

he

war

d i

s re

ceiv

ing

an

y r

ehab

ilit

atio

n s

erv

ices

an

d/

or

ther

apie

s.•

Th

e p

refe

ren

ces

of

the

war

d h

ave

bee

n c

on

sid

ered

.•

Th

e p

lace

men

t o

f th

e w

ard

is

pro

po

rtio

nat

e to

th

e w

ard

’s f

inan

cial

sta

tus.

•T

he

gu

ard

ian

’s p

erfo

rman

ce i

s ad

equ

ate.

2

7

Page 30: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

C.

An

ass

essm

ent

of

the

leas

t re

stri

ctiv

e en

vir

on

men

t sh

ou

ld b

e m

ade

and

rep

ort

ed t

o t

he

cou

rt, i

ncl

ud

ing

in

for-

m

atio

n o

n:

•W

het

her

th

e p

lace

men

t is

th

e le

ast

rest

rict

ive

op

tio

n.

•T

he

abil

ity

of

the

war

d t

o r

egai

n c

apac

ity

an

d h

ave

par

tial

or

tota

l re

sto

rati

on

of

his

or

her

rig

hts

.•

Th

e ap

pro

pri

aten

ess

of

alte

rnat

ives

to

gu

ard

ian

ship

.

D.

Inv

esti

gat

ion

s sh

ou

ld b

e co

nd

uct

ed a

nd

a w

ritt

en r

epo

rt p

rov

ided

to

th

e co

urt

on

th

e co

mp

lete

nes

s, a

ccu

racy

,an

d v

alid

ity

of

the

ann

ual

pla

n t

hat

in

clu

des

:

•A

co

mp

aris

on

of

the

pla

n a

gai

nst

ch

eck

list

(s)

for

app

rop

riat

enes

s an

d c

om

ple

ten

ess.

•A

n a

sses

smen

t o

f th

e tr

uth

fuln

ess

of

the

info

rmat

ion

in

th

e p

lan

.•

A c

on

firm

atio

n t

hat

th

e w

ard

act

ual

ly r

esid

es w

her

e th

e p

lan

in

dic

ates

.•

A d

eter

min

atio

n t

hat

lis

ted

ph

ysi

cian

s ar

e re

ally

lic

ense

d h

ealt

h c

are

pro

vid

ers.

To

be

able

to

det

erm

ine

wh

eth

er t

he

wel

l-b

ein

g o

f th

e w

ard

is b

ein

g a

deq

uat

ely

ad

dre

ssed

an

d p

rote

cted

, th

e fo

llo

win

g t

yp

eso

f re

sou

rces

mu

st b

e av

aila

ble

to

th

e co

urt

:

Par

tner

ship

s/al

lian

ces

wit

h

•Educational facilities, such as community colleges or schools of social work, nursing, and gerontology.

13

•C

om

mu

nit

y r

eso

urc

es a

nd

ser

vic

e p

rov

ider

s.

Acc

ess

to

an

d/o

r fu

nd

ing

fo

r

•T

ran

spo

rtat

ion

.

•R

egis

trie

s an

d d

irec

tori

es o

f av

aila

ble

ser

vic

es.

•O

ffic

e su

pp

lies

, tel

eph

on

e se

rvic

e, f

acsi

mil

e se

rvic

e, e

tc.

•F

ore

ign

lan

gu

age

and

sig

n l

ang

uag

e in

terp

rete

rs.

Po

lici

es

an

d p

roce

du

res

for

staff

, st

ud

en

t in

tern

s, a

nd

vo

lun

teers

•M

anu

als.

•C

hec

kli

sts.

•P

roto

cols

.

13F

lori

da

is f

ort

unat

e in

bei

ng h

om

e to

a n

um

ber

of

exce

llen

t publi

c an

d p

rivat

e co

lleg

es a

nd u

niv

ersi

ties

. P

artn

ersh

ips

wit

h t

he

court

and t

hes

e

educa

tional

inst

ituti

ons

can b

e a

cost

-eff

ecti

ve

use

of

pre

sentl

y-a

vai

lable

res

ourc

es t

o i

mpro

ve

serv

ices

wit

h m

inim

al f

isca

l im

pac

t.

28

Page 31: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Sta

ffin

g r

equ

irem

ents

•M

on

ito

rs.

•V

isit

ors

.•

An

ad

min

istr

ato

r.•

Ad

min

istr

ativ

e su

pp

ort

.•

Tra

iner

.•

So

meo

ne

to c

oo

rdin

ate

and

su

per

vis

e m

on

ito

rs, s

tud

ent

inte

rns,

an

d v

olu

nte

ers.

•S

tud

ent

inte

rns

and

vo

lun

teer

s.•

Sta

ff w

ith

kn

ow

led

ge

of

com

mu

nit

y r

eso

urc

es, i

ncl

ud

ing

pri

vat

e an

d n

ot-

for-

pro

fit

gro

up

s as

wel

l as

go

ver

nm

enta

l ag

enci

es.

•P

erso

ns

wit

h s

oci

al w

ork

bac

kg

rou

nd

s.

Tra

inin

g o

n v

olu

nte

er m

anag

emen

t; a

ccep

tab

le q

uau

lity

of

care

; re

cog

niz

ing

ab

use

an

d n

egle

ct;

reso

urc

es a

nd

fac

iali

ties

avai

lab

le i

n t

he

com

mu

nit

y;

the

cou

rts

sett

ing

, en

vir

on

men

t, a

nd

pro

ced

ure

s; a

nd

co

mm

un

icat

ing

wit

h e

lder

s an

d p

erso

ns

wit

h c

og

nit

ive

imp

airm

ents

.

29

Page 32: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

3.

RE

PO

RT

ING

ON

TH

E P

RO

TE

CT

ION

OF

TH

E W

AR

D’S

AS

SE

TS

Th

e ex

ten

t o

f th

e fi

nan

cial

ser

vic

e o

f g

uar

dia

nsh

ip m

on

ito

rin

g v

arie

s d

epen

din

g o

n t

he

nee

ds

and

cir

cum

stan

ces

of

the

ind

i-v

idu

al w

ard

. T

hes

e v

aria

ble

s af

fect

no

t o

nly

th

e le

vel

of

fin

anci

al r

evie

w a

nd

au

dit

, b

ut

also

th

e fr

equ

ency

. T

his

mo

nit

ori

ng

fun

ctio

n r

ang

es f

rom

a b

rief

rev

iew

of

the

fin

anci

al r

epo

rts,

to

an

au

dit

up

on

rec

eip

t o

f a

com

pla

int,

to

ran

do

m d

etai

led

fin

an-

cial

rev

iew

s an

d a

ud

its,

to

rev

iew

s o

f h

ow

ass

ets

are

inv

este

d a

nd

man

aged

, to

ro

uti

ne

sch

edu

led

fin

anci

al r

evie

ws

and

au

dit

s.T

his

mo

nit

ori

ng

fu

nct

ion

all

ow

s th

e co

urt

to

det

ect

and

in

ves

tig

ate

var

ian

ces

in t

he

war

d’s

ass

ets.

Wel

l-d

efin

ed f

inan

cial

au

dit

s, p

urs

uan

t to

nat

ion

ally

-rec

og

niz

ed a

ud

itin

g s

tan

dar

ds,

sh

ou

ld b

e co

nd

uct

ed i

n e

ver

y g

uar

dia

n-

ship

cas

e, w

ith

dif

fere

nt

lev

els

of

aud

it r

evie

w a

s ap

pro

pri

ate.

Fin

anci

al a

ud

itin

g b

egin

s w

ith

a r

ou

tin

e au

dit

on

ev

ery

fil

ing

.T

his

sh

ou

ld b

e su

pp

lem

ente

d b

y a

gra

du

atin

g r

ang

e o

f st

epp

ed-u

p a

ud

its,

wh

en a

pro

ble

m i

s in

dic

ated

. F

urt

her

mo

re,

tosu

ffic

ien

tly

pro

tect

war

ds

and

th

eir

asse

ts,

gu

ard

ian

ship

cas

es s

ho

uld

be

aud

ited

bas

ed o

n a

sta

tist

ical

ran

do

m s

amp

lin

g.

Def

init

ion

s o

f fi

nan

cial

au

dit

s sh

ou

ld b

e d

evel

op

ed a

nd

au

dit

ing

sta

nd

ard

s sh

ou

ld b

e ad

op

ted

. T

rain

ing

, ex

per

ien

ce,

and

bac

kg

rou

nd

of

aud

ito

rs i

n g

uar

dia

nsh

ip c

ases

sh

ou

ld a

lso

be

def

ined

, as

ther

e ar

e cu

rren

tly

no

req

uir

emen

ts i

n t

his

reg

ard

.

It i

s in

stru

ctiv

e to

lo

ok

at

the

thre

e-le

vel

au

dit

pro

gra

m i

n t

he

Sev

ente

enth

Cir

cuit

th

at a

pp

lies

sp

ecia

lize

d g

uar

dia

nsh

ip a

c-co

un

tin

g s

oft

war

e an

d s

tan

dar

diz

ed f

orm

s. T

his

fin

anci

al a

ud

itin

g p

rog

ram

, wh

ich

co

uld

be

con

sid

ered

a m

od

el, u

tili

zes

the

foll

ow

ing

lev

els

of

rev

iew

:

•L

evel

On

e: a

ud

it a

ll a

nn

ual

acc

ou

nti

ng

s w

ith

a f

ive-

step

au

dit

pro

cess

.•

Lev

el T

wo

: per

form

sta

tist

ical

sam

pli

ng

of

all

rep

ort

s th

at a

re f

ou

nd

to

be

in c

om

pli

ance

at

Lev

el O

ne,

uti

lizi

ng

a L

evel

Tw

o c

hec

kli

st.

•L

evel

Th

ree:

per

form

sta

tist

ical

sam

pli

ng

of

com

pla

int

rep

ort

s fr

om

Lev

el T

wo

. D

etai

led

in

-ho

use

an

dfi

eld

au

dit

s o

f su

pp

ort

ing

do

cum

enta

tio

n w

ill

be

per

form

ed o

n t

he

sele

cted

sam

ple

.

Init

ial r

ou

tin

e fi

nan

cial

au

dit

s ar

e st

atu

tori

ly r

equ

ired

to

be

con

du

cted

by

sta

ff in

th

e o

ffic

e o

f th

e cl

erk

of

cou

rt.

Mo

re in

-dep

thfi

nan

cial

au

dit

s, in

th

ose

cir

cuit

s w

her

e th

ey a

re r

egu

larl

y c

on

du

cted

, are

per

form

ed in

so

me

inst

ance

s b

y t

he

cler

k’s

off

ice

and

in o

ther

s b

y c

ou

rt s

taff

.

14Ju

dic

ial

Duti

es i

n G

ener

al.

The

judic

ial

duti

es o

f a

judge

take

pre

ceden

ce o

ver

all

the

judge’

s oth

er a

ctiv

itie

s.

The

judge’

s ju

dic

ial

duti

es i

ncl

ude

all

the

duti

es o

f th

e ju

dge’

s off

ice

pre

scri

bed

by l

aw. I

n t

he

per

form

ance

of

thes

e duti

es, th

e sp

ecif

ic s

tandar

ds

set

fort

h i

n t

he

foll

ow

ing s

ecti

ons

apply

.

Ca

no

n 3

.A.,

Co

de o

f Ju

dic

ial

Co

nd

uct.

30

Page 33: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

So

me

com

mit

tee

mem

ber

s an

d i

nd

ivid

ual

s w

ho

sp

ok

e at

th

e p

ub

lic

hea

rin

gs

wer

e o

f th

e o

pin

ion

th

at p

lace

men

t o

f th

e fi

nan

cial

aud

it f

un

ctio

n i

n t

he

cler

k’s

off

ice

ren

der

ed t

he

fun

ctio

n l

ess

effe

ctiv

e an

d t

hat

th

e re

spo

nsi

bil

ity

sh

ou

ld b

e tr

ansf

erre

d f

rom

th

ecl

erk

s to

th

e co

urt

s, w

hic

h w

ou

ld r

equ

ire

a st

atu

tory

ch

ang

e. T

hey

als

o n

ote

d t

hat

cle

rks

are

no

t g

iven

th

is le

vel

of

resp

on

sib

ilit

yfo

r an

y o

ther

cat

ego

ry o

f ca

ses.

Th

e co

urt

has

th

e u

ltim

ate

resp

on

sib

ilit

y f

or

mo

nit

ori

ng

th

e w

ard

’s w

ell b

ein

g; a

cco

rdin

gly

, th

eyb

elie

ve

Can

on

3A

of

the

Co

de

of

Jud

icia

l C

on

du

ct1

4 r

equ

ires

th

e re

spo

nsi

bil

ity

fo

r co

nd

uct

ing

fin

anci

al a

ud

its

to r

est

wit

h t

he

cou

rt.

A p

resu

med

ben

efit

of

tran

sfer

rin

g t

he

fin

anci

al a

ud

it f

un

ctio

n f

rom

th

e cl

erk

to

th

e co

urt

wo

uld

be

dec

reas

ing

th

e d

isp

ari-

ties

am

on

g c

ou

nti

es, i

ncr

easi

ng

eff

icie

nci

es, a

nd

pro

mo

tin

g a

sta

ble

pro

tect

ive

env

iro

nm

ent

for

the

war

d.

Ho

wev

er, o

ther

co

mm

itte

e m

emb

ers

and

sp

eak

ers

at t

he

pu

bli

c h

eari

ng

s w

ere

of

the

op

inio

n t

hat

if t

he

app

rop

riat

e au

dit

gu

ide-

lin

es a

re e

stab

lish

ed a

nd

fo

llo

wed

, th

e au

dit

s co

uld

be

adeq

uat

ely

co

nd

uct

ed b

y e

ith

er t

he

cou

rts

or

the

cler

ks.

In

so

me

cou

nti

es,

the

cler

k o

f co

urt

has

ass

um

ed t

he

resp

on

sib

ilit

y –

an

d i

nd

eed

tak

en t

he

init

iati

ve

– fo

r co

nd

uct

ing

hig

h q

ual

ity

an

d e

ffec

tiv

efi

nan

cial

au

dit

s. T

he

com

mit

tee

hea

rd a

bo

ut

aud

itin

g p

erfo

rmed

by

th

e cl

erk

s in

Ch

arlo

tte

and

Pas

co C

ou

nti

es, w

her

e th

e cl

erk

s’o

ffic

es s

eem

to

be

do

ing

an

ad

mir

able

job

of

aud

itin

g t

he

fin

anci

al r

epo

rts.

Acc

ord

ing

ly,

the

Co

mm

itte

e d

eter

min

ed t

he

aud

itin

g f

un

ctio

n c

ou

ld b

e ef

fect

ivel

y p

erfo

rmed

by

eit

her

th

e cl

erk

or

cou

rt,

ifp

erm

itte

d b

y s

tatu

te,

as l

on

g a

s d

efin

itio

ns

and

sta

nd

ard

s ar

e ad

op

ted

an

d a

ud

ito

r q

ual

ific

atio

ns

are

ado

pte

d.

If

th

e fu

nct

ion

rem

ain

s in

th

e cl

erk

’s o

ffic

e, t

he

com

mit

tee

reco

mm

end

s th

at i

t b

e o

rgan

ized

as

an i

nd

epen

den

t au

dit

un

it w

hic

h i

s re

qu

ired

to

req

ues

t a

hea

rin

g w

hen

a p

rob

lem

is id

enti

fied

. F

urt

her

, all

co

mm

un

icat

ion

bet

wee

n t

he

jud

ge

and

th

e cl

erk

’s o

ffic

e sh

ou

ld b

e in

wri

tin

g a

nd

bec

om

e p

art

of

the

off

icia

l co

urt

rec

ord

.

A g

uar

dia

nsh

ip m

on

ito

rin

g p

rog

ram

ass

ists

wit

h t

he

coo

rdin

atio

n a

nd

ov

ersi

gh

t fu

nct

ion

s o

f th

e p

resi

din

g j

ud

icia

l o

ffic

er t

oen

sure

co

mp

lian

ce w

ith

th

e re

qu

irem

ents

of

the

rule

s an

d s

tatu

tes.

To

eff

ecti

vel

y a

nd

eff

icie

ntl

y r

epo

rt o

n t

he

wel

l-b

ein

g o

f th

ew

ard

’s a

sset

s, a

gu

ard

ian

ship

mo

nit

ori

ng

pro

gra

m s

ho

uld

tak

e th

e fo

llo

win

g s

tep

s.

Au

dit

s an

d f

ield

in

ves

tig

atio

ns

are

con

du

cted

an

d a

wri

tten

rep

ort

is

pro

vid

ed t

o t

he

cou

rt o

n w

het

her

•T

he

init

ial

inv

ento

ry i

s co

mp

lete

an

d a

ccu

rate

.•

Th

e an

nu

al f

inan

cial

acc

ou

nti

ng

is

com

ple

te a

nd

acc

ura

te, i

ncl

ud

ing

- V

erif

icat

ion

fro

m t

he

dep

osi

tory

th

at r

epo

rted

bal

ance

s w

ere

accu

rate

.

- I

den

tifi

cati

on

of

any

qu

esti

on

able

ex

pes

es, s

uch

as

un

usu

al a

tto

rney

’s f

ees,

un

usu

al g

uar

dia

n’s

fee

s, c

hec

ks

p

ayab

le t

o “

cash

.”

•E

xp

end

itu

res

are

con

sist

ent

wit

h c

ou

rt o

rder

s.

•T

he

war

d’s

pro

per

ty i

s b

ein

g p

rop

erly

car

ed f

or

and

ap

pro

pri

ate

insu

ran

ce h

as b

een

sec

ure

d a

nd

is

up

to

dat

e.•

Inv

estm

ents

mad

e o

n b

ehal

f o

f th

e w

ard

are

ap

pro

pri

ate,

in

clu

din

g:

31

Page 34: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

-E

xce

ssiv

e tu

rno

ver

in

in

ves

tmen

ts.

-S

ale

of

pro

per

ty.

-

Sp

ecu

lati

ve

inv

estm

ents

.

•A

pp

lica

tio

n f

or

ever

y b

enef

it t

o w

hic

h a

war

d i

s en

titl

ed.

•B

on

din

g, s

ecu

rity

, an

d b

on

d p

rem

ium

pay

men

ts a

re s

atis

fact

ory

an

d c

urr

ent.

•C

on

firm

atio

n t

hat

th

e w

ard

is

rece

ivin

g t

he

app

rop

riat

e in

com

e an

d t

her

e is

no

div

ersi

on

of

the

inco

me.

•T

he

war

d’s

pro

per

ty a

nd

in

com

e ta

xes

hav

e b

een

pai

d.

•T

he

war

d’s

ass

ets

hav

e b

een

mar

shal

ed.

•T

he

war

d’s

ass

ets

hav

e b

een

rev

iew

ed a

nd

bal

ance

d i

n k

eep

ing

wit

h F

DIC

an

d S

EC

lim

its.

•C

urr

ent

add

ress

in

form

atio

n i

s p

rov

ided

to

th

e cl

erk

of

cou

rt.

To

be

able

to

det

erm

ine

wh

eth

er t

he

war

d’s

ass

ets

are

bei

ng

ad

equ

atel

y p

rote

cted

, wh

eth

er a

pp

lica

tio

n h

as b

een

mad

e fo

r al

lth

e b

enef

its

to w

hic

h t

he

war

d i

s en

titl

ed,

and

th

e w

ard

’s a

sset

s ar

e b

ein

g u

sed

to

th

e w

ard

’s b

enef

its,

th

e fo

llo

win

g t

yp

es o

fre

sou

rces

sh

ou

ld b

e av

aila

ble

to

th

e co

urt

:

Po

lici

es

an

d p

roce

du

res

for

staff

•U

nif

orm

def

init

ion

s o

f v

ario

us

typ

es/

lev

els

of

aud

its.

•G

uid

elin

es a

bo

ut

app

rop

riat

e ex

pen

dit

ure

s.•

Gu

idel

ines

ab

ou

t an

nu

al b

ud

get

ing

.

Sta

ffin

g r

equ

irem

ents

•P

erso

ns

wit

h b

oo

kk

eep

ing

sk

ills

.•

Per

son

s w

ith

fo

ren

sic

acco

un

tin

g s

kil

ls.

•C

erti

fied

pu

bli

c ac

cou

nta

nts

.•

Ind

ivid

ual

s w

ith

in

ves

tmen

t p

lan

nin

g e

xp

erie

nce

.•

Per

son

s w

ith

kn

ow

led

ge

abo

ut

pu

bli

c an

d p

riv

ate

ben

efit

pro

gra

ms

or

enti

tlem

ents

to

wh

ich

war

ds

may

be

enti

tled

.A

ccess

to

an

d/o

r fu

nd

ing

fo

r•

po

ol

of

fin

anci

al m

anag

emen

t m

on

ito

rs (

for

larg

e as

set

case

s)•

adv

ice

fro

m a

fin

anci

al m

anag

er•

har

dw

are

and

so

ftw

are

for

a fi

nan

cial

au

dit

dat

abas

e•

off

ice

sup

pli

es, t

elep

ho

ne

serv

ice,

fac

sim

ile

serv

ice,

etc

.

Tra

inin

g o

n a

pp

rop

riate

in

vest

men

t p

att

ern

s fo

r d

iffe

ren

t ty

pes

of

ward

s

Bro

ker

s’ f

ees

- -C

on

sist

ent/

app

rop

riat

e w

ith

th

e ag

e o

f th

e w

ard

.

32

Page 35: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

4.

CA

SE

AD

MIN

IST

RA

TIO

N

Ch

apte

r 74

4, F

lori

da

Sta

tute

s, a

nd

th

e P

rob

ate

Ru

les

of

Co

urt

pro

vid

e a

nu

mb

er o

f ca

se r

epo

rtin

g a

nd

rec

ord

ing

req

uir

emen

ts a

sp

art

of

the

cou

rt o

ver

sig

ht

fun

ctio

n f

or

gu

ard

ian

ship

cas

es.

Sin

ce g

uar

dia

nsh

ip c

ases

may

sta

y a

ctiv

e fo

r an

ex

ten

ded

per

iod

of

tim

e, t

he

case

-flo

w m

anag

emen

t an

d c

oo

rdin

atin

g f

un

ctio

ns

req

uir

e o

ng

oin

g a

tten

tio

n.

Wh

ile

case

man

agem

ent

is a

n in

dep

end

ent

com

po

nen

t o

f g

uar

dia

nsh

ip m

on

ito

rin

g,

each

of

the

oth

er t

hre

e co

mp

on

ents

als

o r

equ

ires

cas

e m

anag

emen

t an

d a

dm

inis

trat

ive

sup

po

rt.

Gu

ard

ian

ship

mo

nit

ori

ng

req

uir

es s

taff

an

d i

nfo

rmat

ion

sy

stem

su

pp

ort

to

rev

iew

, p

roce

ss,

and

mo

nit

or

the

var

iety

of

rep

ort

s re

qu

ired

by

ru

le a

nd

sta

tute

.

Jud

ges

, co

urt

man

ager

s, a

nd

pro

gra

m p

erso

nn

el c

an i

mp

rov

e g

uar

dia

nsh

ip m

on

ito

rin

g p

rog

ram

per

form

ance

by

ap

ply

ing

so

un

dm

anag

emen

t p

rin

cip

les

and

pra

ctic

es.

To

do

so

, th

ey m

ust

hav

e ti

mel

y a

cces

s to

rel

iab

le i

nfo

rmat

ion

ab

ou

t th

e o

per

atio

ns

of

the

pro

gra

m.

Su

ch i

nfo

rmat

ion

co

uld

be

ob

tain

ed f

rom

th

e re

cord

s m

anag

emen

t sy

stem

or

fro

m s

urv

eys

or

cust

om

er s

atis

fact

ion

rep

ort

s ad

dre

ssin

g t

he

qu

alit

ativ

e as

pec

ts o

f th

e se

rvic

es a

nd

act

ivit

ies.

Th

is i

nfo

rmat

ion

can

be

use

d t

o m

on

ito

r an

d m

easu

re t

he

pro

gra

m e

ffec

tiv

enes

s an

d a

ssis

t in

def

inin

g t

he

exte

nt

to w

hic

h t

he

pro

gra

m is

ach

iev

ing

its

pu

rpo

se.

Th

e in

form

atio

n c

an a

lso

be

use

d t

o d

eter

min

e if

th

e p

rog

ram

is

op

erat

ing

eff

icie

ntl

y a

nd

to

pro

vid

e w

ork

load

dat

a to

id

enti

fy r

eso

urc

e n

eed

s.

Rel

iab

lep

erfo

rman

ce i

nfo

rmat

ion

can

als

o b

e u

sed

to

pro

vid

e ex

tern

al a

cco

un

tab

ilit

y,

by

des

crib

ing

in

a m

ean

ing

ful

fash

ion

th

e w

ork

of

cou

rt p

rog

ram

s an

d t

he

serv

ices

th

ey p

rov

ide.

Eac

h o

f th

e co

mp

on

ents

of

gu

ard

ian

ship

mo

nit

ori

ng

req

uir

es d

ata

rela

tiv

e to

th

e sp

ecif

ic s

erv

ices

pro

vid

ed.

All

th

e co

mp

on

ents

inte

rrel

ate

as w

ell

to t

he

gu

ard

ian

ship

cas

e fl

ow

of

the

cou

rt.

A r

elat

ion

al a

uto

mat

ed c

ase

man

agem

ent

syst

em p

rov

ides

th

efr

amew

ork

to

rec

ord

in

form

atio

n a

bo

ut

gu

ard

ian

ship

cas

es, t

he

war

ds,

an

d t

he

gu

ard

ian

s. T

his

in

form

atio

n d

atab

ase

can

be

use

dto

mee

t th

e o

per

atio

nal

an

d m

anag

emen

t n

eed

s o

f th

e g

uar

dia

nsh

ip m

on

ito

rin

g p

rog

ram

as

wel

l as

pro

vid

ing

th

e n

eces

sary

man

-ag

emen

t, p

lan

nin

g a

nd

bu

dg

etin

g i

nfo

rmat

ion

. A

nu

mb

er o

f te

chn

olo

gic

al i

nn

ov

atio

ns

are

un

der

dev

elo

pm

ent

in t

he

gu

ard

ian

-sh

ip d

om

ain

, as

des

crib

ed b

elo

w a

nd

th

rou

gh

ou

t th

is r

epo

rt, a

nd

sh

ou

ld b

e en

cou

rag

ed a

s a

mec

han

ism

fo

r im

pro

vin

g t

he

qu

alit

yo

f in

form

atio

n t

hat

is

avai

lab

le t

o c

ou

rt m

anag

ers

and

dec

isio

n m

aker

s.

Th

e E

lect

ron

ic C

ou

rt F

ilin

g C

om

mit

tee

of

the

Rea

l Pro

per

ty, P

rob

ate,

an

d T

rust

Law

Sec

tio

n o

f T

he

Flo

rid

a B

ar s

tud

ied

th

e co

nce

pt

of

elec

tro

nic

co

urt

fil

ing

in

th

e p

rob

ate

and

gu

ard

ian

ship

pra

ctic

e ar

ea.

Th

e C

om

mit

tee

issu

ed a

Wh

ite

Pap

er i

n t

he

fall

of

2002

ou

tlin

ing

a p

rop

osa

l th

at c

on

tem

pla

tes

a li

mit

ed e

lect

ron

ic f

ilin

g s

yst

em t

hat

co

uld

lat

er b

e p

rog

ress

ivel

y e

xp

and

ed t

o i

ncl

ud

e al

ld

ivis

ion

s o

f th

e tr

ial c

ou

rt s

yst

em.

Pro

per

ly im

ple

men

ted

, ele

ctro

nic

fil

ing

wo

uld

all

ow

eas

ier

acce

ss t

o f

iled

do

cum

ents

, sim

pli

fyth

e cl

erk

of

cou

rt’s

han

dli

ng

pro

ced

ure

s, r

edu

ce d

ata

cap

ture

an

d s

tora

ge

cost

s, i

mp

rov

e d

isas

ter

reco

ver

y f

acil

itie

s, a

nd

red

uce

cost

s an

d t

ime

for

atto

rney

s an

d o

ther

use

rs o

f th

e co

urt

sy

stem

. T

he

pro

po

sed

sy

stem

wo

uld

be

dev

elo

ped

th

rou

gh

a “

fili

ng

inte

rmed

iary

” w

ith

a l

egal

XM

L-c

apab

le s

erv

er.

Bec

ause

th

e sy

stem

wo

uld

be

bas

ed o

n o

pen

sta

nd

ard

s, a

ny

ven

do

r co

uld

ser

ve

as a

fil

ing

in

term

edia

ry.

Th

e E

lect

ron

ic C

ou

rt F

ilin

g C

om

mit

tee

sug

ges

ts t

hat

pro

bat

e an

d g

uar

dia

nsh

ip a

re u

niq

uel

y p

osi

tio

ned

to p

rov

ide

a p

roo

f o

f co

nce

pt

on

a m

anag

eab

le s

cale

, si

nce

th

ese

fili

ng

s g

ener

ally

co

nst

itu

te 5

to

10%

of

circ

uit

co

urt

cas

e fi

lin

gs.

Ad

dit

ion

ally

, th

e S

ecti

on

est

imat

es t

hat

up

to

95%

of

fili

ng

s in

th

e p

rob

ate

and

gu

ard

ian

ship

div

isio

n a

re c

om

pri

sed

of

app

rox

i-m

atel

y 4

00 f

orm

s, a

nd

fo

rms-

bas

ed d

ocu

men

ts a

re s

ign

ific

antl

y e

asie

r to

dea

l w

ith

in

an

XM

L e

nv

iro

nm

ent.

33

Page 36: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

An

y p

rob

lem

s en

cou

nte

red

wit

h s

yst

em im

ple

men

tati

on

co

uld

be

add

ress

ed b

efo

re e

xp

ansi

on

. T

he

Gu

ard

ian

ship

Mo

nit

ori

ng

Co

mm

itte

e b

elie

ves

th

e E

lect

ron

ic C

ou

rt F

ilin

g C

om

mit

tee’

s p

rop

osa

l h

old

s si

gn

ific

ant

pro

mis

e fo

r im

pro

vin

g t

he

jud

icia

lad

min

istr

atio

n o

f g

uar

dia

nsh

ip c

ases

.

Th

e S

tate

wid

e O

ffic

e o

f P

ub

lic

Gu

ard

ian

ship

is

dev

elo

pin

g a

war

d m

anag

emen

t so

ftw

are

dat

abas

e, w

hic

h i

s d

esig

ned

to

cap

ture

gu

ard

ian

ship

dat

a in

sta

nd

ard

ized

man

ner

.

Th

e F

lori

da

Co

urt

Tec

hn

olo

gy

Co

mm

issi

on

is

char

ged

wit

h d

evel

op

ing

tec

hn

olo

gic

al s

tan

dar

ds

for

auto

mat

ed c

ou

rt s

yst

ems

in t

he

stat

e. T

he

Co

mm

issi

on

asp

ires

to

bri

ng

a c

oh

esiv

e, in

teg

rate

d a

pp

roac

h t

o t

he

use

of

tech

no

log

y in

th

e ju

dic

ial b

ran

ch f

or

coll

ecti

ng

, pro

cess

ing

, an

d s

har

ing

info

rmat

ion

in a

sta

nd

ard

ized

fo

rmat

. S

uch

sta

nd

ard

ized

au

tom

ated

co

urt

sy

stem

s w

ill n

ot

on

ly m

eet

the

dat

a n

eed

s o

f ju

dg

es,

the

pu

bli

c, ju

stic

e sy

stem

par

tner

s, a

nd

oth

ers

wh

o n

eed

to

acc

ess

cou

rt i

nfo

rmat

ion

, b

ut

also

en

cou

rag

e in

no

vat

ive

cost

-eff

ecti

ve

pro

ject

s th

at c

an b

e u

sed

th

rou

gh

ou

t th

e ju

dic

ial

bra

nch

. J

oin

t ap

pli

cati

on

dev

elo

p-

men

t (J

AD

) se

ssio

ns

wer

e h

eld

to

ass

ess

the

dat

a n

eed

s o

f th

e tr

ial

cou

rts

in t

he

var

iou

s to

pic

al a

reas

, in

clu

din

g t

he

pro

bat

e,g

uar

dia

nsh

ip, a

nd

men

tal

hea

lth

div

isio

n.

Bas

ed o

n t

he

ou

tco

me

of

the

JAD

ses

sio

ns,

tec

hn

olo

gy

sta

nd

ard

s w

ere

dev

elo

ped

and

ad

op

ted

in

th

e fa

ll o

f 20

02.

Th

e in

form

atio

n c

urr

entl

y a

vai

lab

le, a

s w

ell a

s th

e en

han

ced

dat

a th

at c

ou

ld b

e p

rov

ided

thro

ug

h im

pro

ved

tech

no

log

y, s

ho

uld

be

uti

lize

d b

y t

he

cou

rt t

o o

ver

see

gu

ard

ian

ship

cas

es.

Th

e g

uar

dia

nsh

ip m

on

ito

rin

g p

rog

ram

alo

ng

wit

h t

he

cler

k o

f co

urt

’so

ffic

e as

sist

s w

ith

th

e co

ord

inat

ion

an

d o

ver

sig

ht

fun

ctio

ns

of

the

pre

sid

ing

ju

dic

ial

off

icer

to

en

sure

co

mp

lian

ce w

ith

th

ere

qu

irem

ents

of

the

rule

s an

d s

tatu

tes.

To

eff

ecti

vel

y a

nd

eff

icie

ntl

y a

dm

inis

ter

the

case

of

the

war

d, a

gu

ard

ian

ship

mo

nit

or-

ing

pro

gra

m s

ho

uld

tak

e th

e fo

llo

win

g s

tep

s:

Rev

iew

case

fil

es

an

d e

nte

r d

ata

in

co

nfo

rmit

y w

ith

th

e c

om

pre

hen

siv

e g

uard

ian

ship

data

req

uir

em

en

ts c

on

tain

ed

in

th

e p

rob

ate

, Gu

ard

ian

ship

an

d M

en

tal/

Med

ical

Healt

h F

un

ctio

nal

Req

uir

em

en

ts D

ocu

men

t, V

ers

ion

1.3

, Ja

nu

ary

28, 2003, S

up

rem

e C

ou

rt o

f F

lori

da, O

ffic

e o

f th

e S

tate

Co

urt

s A

dm

inis

trato

r, T

rial

Co

urt

s N

eed

s

Ass

essm

ent

Pro

ject

.

Co

nd

uct

fo

llo

w-u

p o

n r

ep

ort

s th

at

are

no

t

•T

imel

y f

iled

.•

Co

mp

lete

d.

•A

pp

rov

ed b

y t

he

cou

rt.

Pre

pare

ord

ers

to

sh

ow

cau

se f

or

the c

ou

rt’s

co

nsi

dera

tio

n.

Sch

ed

ule

heari

ng

s, w

hen

ap

pro

pri

ate

an

d a

t th

e c

ou

rt’s

dir

ect

ion

.

34

Page 37: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Main

tain

a c

ase

in

ven

tory

an

d n

oti

fy t

he c

ou

rt o

f o

ld c

ase

s.

Rep

ort

to

th

e c

ou

rt o

n w

heth

er

•C

ou

rt o

rder

s ap

pro

vin

g r

epo

rts

hav

e b

een

en

tere

d.

•T

he

war

d’s

dri

ver

’s l

icen

se h

as b

een

rev

ok

ed, i

f re

qu

ired

.•

An

y o

ther

lo

cal

pro

vis

ion

s an

d a

dm

inis

trat

ive

ord

ers

hav

e b

een

co

mp

lied

wit

h.

In o

rder

to

det

erm

ine

wh

eth

er r

epo

rts

and

do

cum

ents

hav

e b

een

fil

ed t

imel

y a

nd

are

co

mp

lete

, an

d o

ther

pro

ced

ura

lre

qu

irem

ents

hav

e b

een

fo

llo

wed

, th

e fo

llo

win

g t

yp

es o

f re

sou

rces

mu

st b

e av

aila

ble

to

th

e co

urt

:

Acc

ess

to

an

d/o

r fu

nd

ing

fo

r

•C

ou

rt d

ock

ets.

•H

ard

war

e an

d s

oft

war

e fo

r a

case

tra

ckin

g a

nd

mo

nit

ori

ng

sy

stem

or

wel

l-d

evel

op

ed

p

roto

cols

an

d c

hec

kli

sts.

•O

ffic

e su

pp

lies

, tel

eph

on

e se

rvic

e, f

acsi

mil

e se

rvic

e, e

tc.

Sta

ffin

g r

equ

irem

ents

•In

form

atio

n s

yst

ems

staf

f an

d/

or

dat

abas

e ad

min

istr

ato

r.•

Sk

ille

d, d

edic

ated

pro

bat

e cl

erk

.

Tra

inin

g f

or

pro

bate

cle

rk.

It i

s cl

ear

that

co

mp

ute

riza

tio

n o

f m

uch

of

thes

e p

roce

sses

, an

d t

he

use

of

rela

tio

nal

dat

abas

es, w

ou

ld s

ign

ific

antl

y r

edu

ceth

e le

vel

of

man

po

wer

nec

essa

ry t

o e

ffec

tiv

ely

pro

vid

e th

e g

uar

dia

nsh

ip o

ver

sig

ht

serv

ice

req

uir

ed b

y t

he

Leg

isla

ture

an

dre

sult

in

a c

on

com

itan

t re

du

ctio

n i

n c

ost

per

cas

e.

35

Page 38: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

MIN

OR

GU

AR

DIA

NS

HIP

S

Th

e C

om

mit

tee

agre

ed t

o r

eco

mm

end

th

at t

he

Leg

isla

ture

in

crea

se t

he

thre

sho

ld d

oll

ar a

mo

un

t fo

r m

ino

r g

uar

dia

nsh

ips.

Pri

or

to t

he

com

ple

tio

n o

f th

e C

om

mit

tee’

s w

ork

, th

e L

egis

latu

re a

cted

du

rin

g t

he

2002

ses

sio

n b

y i

ncr

easi

ng

th

e am

ou

nt

to$1

5,00

0 (s

ee s

ecti

on

744

.387

, F

lori

da

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tute

s).

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e C

om

mit

tee

com

men

ds

the

Leg

isla

ture

fo

r in

crea

sin

g t

he

juri

sdic

tio

nal

amo

un

t in

min

or

gu

ard

ian

ship

s b

ecau

se t

hat

wil

l al

low

lim

ited

jud

icia

l re

sou

rces

to

be

focu

sed

on

th

e m

ore

co

mp

lex

gu

ard

-ia

nsh

ip c

ases

.

Th

e co

mm

itte

e re

com

men

ds

the

foll

ow

ing

ad

dit

ion

al c

han

ges

reg

ard

ing

min

or

gu

ard

ian

ship

s:

•R

equ

ire

secu

re c

ust

od

ial

ban

k a

cco

un

ts, t

hat

can

no

t b

e ch

ang

ed, u

nd

er t

he

Un

ifo

rm T

ran

sfer

to

Min

ors

Act

, fo

r su

ms

un

der

th

e am

ou

nt

allo

wed

by

sta

tute

. In

an

y u

nd

erly

ing

gu

ard

ian

ship

set

tlem

ent,

jud

ges

sh

ou

ld r

equ

ire

a re

ceip

t fo

rth

e ac

cou

nt

to b

e fi

led

, or

the

fun

ds

cou

ld b

e co

mm

itte

d t

o t

he

pu

rch

ase

of

an I

nte

rnal

Rev

enu

e C

od

e S

ecti

on

529

Pla

no

r o

ther

ap

pro

pri

ate

pre

-pai

d c

oll

ege

tuit

ion

pla

n.

•A

llo

w s

imp

lifi

ed a

cco

un

tin

g f

or

ban

k, s

tock

, or

bro

ker

age

acco

un

ts i

f th

ere

are

no

wit

hd

raw

als

oth

er t

han

th

ose

au

tho

rize

d b

y c

ou

rt o

rder

.

Th

e p

rop

ose

d a

lter

nat

ive

to m

ino

r g

uar

dia

nsh

ip,

for

sum

s u

nd

er t

he

amo

un

t al

low

ed b

y s

tatu

te,

wo

uld

all

ow

th

e co

urt

to

rev

iew

th

e al

tern

ativ

e p

lace

men

t o

f th

e fu

nd

s in

a s

ecu

re a

cco

un

t su

ch a

s a

pre

pai

d c

oll

ege

fun

d o

r ap

pro

pri

ate

ann

uit

y.

36

Page 39: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

ED

UC

AT

ION

AN

D T

RA

ININ

GG

uard

ian

s

In a

cco

rdan

ce w

ith

th

e F

lori

da

Sta

tute

s, p

rofe

ssio

nal

gu

ard

ian

s m

ust

co

mp

lete

a 4

0-h

ou

r tr

ain

ing

co

urs

e ap

pro

ved

by

th

e O

ffic

eo

f S

tate

wid

e P

ub

lic

Gu

ard

ian

ship

(se

ctio

n 7

44.1

085,

Flo

rid

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tatu

tes)

. F

amil

y m

emb

ers

and

oth

er n

on

-pro

fess

ion

al g

uar

dia

ns

mu

st c

om

ple

te a

n 8

-ho

ur

trai

nin

g c

ou

rse

app

rov

ed b

y t

he

chie

f ju

dg

e (s

ecti

on

744

.314

5, F

lori

da

Sta

tute

s).

Th

e S

tate

wid

e P

ub

lic

Gu

ard

ian

ship

Off

ice;

the

Go

ver

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ent L

awy

ers

Sec

tio

n a

nd

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Eld

er L

aw S

ecti

on

of

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e F

lori

da

Bar

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tso

nU

niv

ersi

ty S

cho

ol

of

Law

; an

d o

ther

s w

ork

ed t

o d

evel

op

a B

asic

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ard

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ship

Tra

inin

g M

anu

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m t

his

bas

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rain

ing

pro

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ram

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e m

inim

um

cu

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ulu

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on

ten

t fo

r th

e 40

-ho

ur

pro

fess

ion

al g

uar

dia

n c

ou

rses

was

dev

elo

ped

. I

nfo

rmat

ion

on

th

ese

trai

nin

g p

rog

ram

s is

acc

essi

ble

on

th

e In

tern

et a

t h

ttp

://

ww

w.f

mh

i.u

sf.e

du

/g

uar

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n.

Th

e C

om

mit

tee

dis

cuss

ed t

he

nee

d t

o g

ear

trai

nin

g c

urr

icu

lla

to t

he

spec

ific

ty

pe

of

gu

ard

ian

ship

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ter

pre

par

e g

uar

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ns

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han

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ng

th

eir

case

. T

he

com

mit

tee

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ura

ges

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e R

eal

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per

ty,

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bat

e an

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rust

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tio

n,

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d t

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e o

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is e

du

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on

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d t

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cial

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rk w

hen

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ian

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esan

d n

ote

d t

hat

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oo

d g

uar

dia

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e co

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e re

com

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the

foll

ow

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ents

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he

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e ca

lls

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enta

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ilit

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enta

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h, a

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su

bst

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m t

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y b

eg

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ing

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e F

lori

da

Bar

’s p

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ram

fo

r n

ew a

tto

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s, P

ract

icin

g w

ith

Pro

fess

ion

alis

m, s

ho

uld

in

clu

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a se

gm

ent

on

gu

ard

ian

ship

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er, d

evel

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tal

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abil

ity

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stan

ce a

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se i

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es t

o i

ncr

ease

th

e aw

aren

ess

of

pra

ctic

e in

th

ese

area

s o

f th

e la

w, r

eco

gn

izin

g t

hat

in

div

idu

als

wit

h m

enta

l il

lnes

ses,

dev

elo

pm

enta

l d

isab

ilit

ies,

or

sub

stan

ce a

bu

se p

rob

lem

s m

ay r

equ

ire

the

stru

ctu

red

rel

atio

nsh

ip o

f a

gu

ard

ian

ship

.•

Th

e co

mm

itte

e en

cou

rag

es t

he

Rea

l P

rop

erty

, Pro

bat

e an

d T

rust

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Sec

tio

n, t

he

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ver

nm

ent

Law

yer

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tio

n, t

he

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er L

aw S

ecti

on

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ters

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mm

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e o

f th

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on

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da

Bar

to

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p a

trai

nin

g p

rog

ram

fo

r m

aste

rs a

nd

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ard

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ship

att

orn

eys.

Att

orn

eys

wh

o a

re i

nex

per

ien

ced

in

gu

ard

ian

ship

law

, su

ch a

s p

erso

nal

in

jury

att

orn

eys

and

oth

ers,

sh

ou

ld b

een

cou

rag

ed t

o t

ake

the

exis

tin

g 8

-ho

ur

cou

rse.

Fu

rth

er, a

tto

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ho

ser

ve

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uar

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low

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atic

ally

wai

ve

the

8-h

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r ed

uca

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req

uir

emen

t.

37

Page 40: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions

Th

ese

chan

ges

co

uld

be

imp

lem

ente

d t

hro

ug

h a

sta

tuto

ry c

han

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jud

ge

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ld e

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llo

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g a

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er t

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no

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erti

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orn

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om

ple

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the

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nin

g.

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ge

s

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om

e o

f th

e la

rger

urb

an c

ircu

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on

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jud

ges

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ign

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sep

arat

e P

rob

ate,

Gu

ard

ian

ship

, an

d M

enta

l H

ealt

hD

ivis

ion

. T

ho

se j

ud

ges

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dg

e n

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ly a

bo

ut

the

app

lica

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law

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d p

roce

du

res

bu

t al

so t

he

pro

ble

ms

and

circ

um

stan

ces

that

oft

en f

ace

war

ds.

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wev

er, i

n t

he

maj

ori

ty o

f th

e tr

ial

cou

rts,

gu

ard

ian

ship

mat

ters

are

han

dle

d b

y ju

dg

esas

sig

ned

to

th

e g

ener

al C

ivil

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isio

n.

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e to

th

e d

iver

sity

of

mat

ters

bef

ore

th

em, t

ho

se ju

dg

es d

o n

ot

hav

e th

e sa

me

op

po

r-tu

nit

y t

o d

evel

op

ex

per

tise

on

th

e is

sues

th

at f

req

uen

tly

ari

se i

n g

uar

dia

nsh

ip c

ases

.

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dd

itio

nal

tra

inin

g o

n g

uar

dia

nsh

ip l

aw i

ssu

es,

incl

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ing

cu

rric

ula

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cuse

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lder

, d

evel

op

men

tal

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abil

ity

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d m

enta

l h

ealt

h m

atte

rs, s

ho

uld

be

avai

lab

le t

o a

ll ju

dg

es t

hro

ug

h t

he

Flo

rid

a C

on

fere

nce

of

Cir

cuit

Co

urt

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dg

es.

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ese

top

ics

are

amo

ng

th

ose

iden

tifi

ed b

y t

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a C

ou

rt E

du

cati

on

Co

un

cil a

s “c

riti

cal t

rain

ing

are

as.”

Ju

dic

ial e

du

cati

on

on

th

ese

issu

es s

ho

uld

als

o b

e in

clu

ded

in

th

e g

ener

al c

ivil

tra

cks,

sin

ce m

ost

cir

cuit

s d

o n

ot

hav

e ju

dg

es w

ho

hea

rp

rob

ate

case

s ex

clu

siv

ely

.•

Th

e S

up

rem

e C

ou

rt s

ho

uld

en

cou

rag

e ju

dg

es t

o r

evie

w t

he

curr

icu

lum

or

par

tici

pat

e in

sel

ecte

d s

ecti

on

s o

f th

e 40

-h

ou

r p

rofe

ssio

nal

gu

ard

ian

trai

nin

g, a

s p

rom

ulg

ated

by

the

Off

ice

of

Sta

tew

ide

Pu

bli

c G

uar

dia

nsh

ip, p

rio

r to

the

jud

ge’

sas

sig

nm

ent

to t

he

pro

bat

e d

ivis

ion

.

Pro

ba

te C

lerk

s a

nd

Co

urt

Sta

ff

Ap

pro

pri

ate,

sp

ecia

lize

d t

rain

ing

fo

r al

l co

urt

sta

ff i

nv

olv

ed i

n g

uar

dia

nsh

ip m

atte

rs w

ou

ld b

e b

enef

icia

l.

Acc

ord

ing

ly,

the

Co

mm

itte

e o

ffer

s th

e fo

llo

win

g r

eco

mm

end

atio

ns:

•T

he

Flo

rid

a A

sso

ciat

ion

of

Co

urt

Cle

rks

sho

uld

dev

elo

p a

co

mp

reh

ensi

ve

trai

nin

g p

rog

ram

fo

r p

rob

ate

cler

ks

on

gu

ard

ian

ship

iss

ues

.•

Th

e F

lori

da

Co

urt

Ed

uca

tio

n C

ou

nci

l sh

ou

ld o

ffer

tra

inin

g o

n g

uar

dia

nsh

ip l

aw,

as w

ell

as e

lder

, d

evel

op

men

tal

dis

-a

bil

itie

s, a

nd

men

tal

hea

lth

iss

ues

, fo

r co

urt

sta

ff w

ith

res

po

nsi

bil

itie

s re

lati

ng

to

gu

ard

ian

ship

mo

nit

ori

ng

.

38

Page 41: Guardianship monitoring in Florida - Florida Courts · INTRODUCTION A guardian is a surrogate decision-maker appointed by the court to make either personal and/or financial decisions