Adopting a guardianship review protocol

Judges and court personnel seeking guidance on monitoring guardianships and conservatorships can rely on our expert resources to help identify processes, timelines, and red flags.

Comprehensive protocols

Guardianship and conservatorship monitoring is designed to:

Identify cases where a person has gained or regained capacity, and the guardianship or conservatorship may no longer be necessary.
Identify guardians who are struggling.
Guide guardians who need assistance in fulfilling their duties.
Stop guardians from using their court-appointed authority to abuse, neglect, or exploit an individual.

Typically filed annually, well-being and accounting reports provide details on an individual's condition, services received, significant actions taken by the guardian, and related financial expenditures. These protocol documents help court reviewers identify potential issues and ensure the rights and well-being of vulnerable individuals are effectively addressed.

Guardianship monitoring protocol

The judicial response protocol training module is one segment of the "Guardianship Monitoring Protocol" training course, designed to help judges and court staff recognize and address issues in guardianship and conservatorship cases.

Course modules include:

Module 1: Overview

Module 2: Inventory & accounting with Jerry scenario

Module 3: Well-being reports with Chiara scenario

Module 4: Judicial response protocol

Well-being & accounting protocols

These protocols outline key steps in the monitoring process, including:

Checking for compliance with jurisdictional requirements.
Assessing the completeness of reports filed.
Identifying any potential concerns regarding the individual's safety and well-being.

The "Well-Being Protocol" focuses on the health and welfare of individuals under guardianship and includes action steps and guidance in critical areas of review.

Key questions a review should consider:

Does the well-being report address the individual's mental, physical, and social condition?
Is there evidence of face-to-face contact between the guardian and the individual?
Are there anticipated changes in housing, services, activities, or healthcare?
Are there points of concern?
Is guardianship still appropriate?

The "Accounting Protocol" helps reviewers assess financial reports to ensure responsible stewardship of assets. It provides a checklist for reviewing assets, income, and obligations, along with action steps, guidance, and possible red flag indicators.

Together, these protocols provide guardianship monitors with the tools and frameworks needed to safeguard both the personal and financial well-being of individuals under guardianship.

Identifying red flags

Reviewers are encouraged to flag reports that reveal "red flags," such as potential evidence of abuse or a guardian's lack of contact with the individual, and consider whether the current level of guardianship remains appropriate.

The "Well-Being Red Flags" document includes a list of indicators to help reviewers identify potential issues. Monitoring these warning signs is essential, as they may require immediate court intervention.

Some red flag indicators may be:

Regained capacity: Evidence suggests the individual no longer needs guardianship.
Safety concerns: Lack of visitation, isolation, or instances of homelessness.
Guardian struggles: Frequent calls to the clerk's office or decline in report quality.
Non-cooperation: Signs of missing or incomplete information, lack of response, or not cooperating with the court.

The "Accounting Red Flags" document highlights financial warning signs that may indicate mismanagement or misconduct by a guardian.

Important warning signs include:

Late or incomplete reports: Failure to submit accounting reports on time or missing key information.
Financial discrepancies: Inconsistencies in financial reporting, such as unexpected changes in asset values.
Missing income sources: Failure to report expected income, like Social Security or pensions.
Improper asset handling: Co-mingling personal and conservatorship accounts or unauthorized asset transfers.

Reviewers can play an important role in ensuring the integrity of guardianship arrangements and protecting the well-being of vulnerable individuals by promptly addressing red flags.

Video series for probate court staff

Our video series for court probate staff covers key aspects of guardianship and conservatorship oversight. Topics include recognizing when an individual may have regained capacity, identifying struggling guardians, and preventing potential abuse or neglect.

Part 1: "Monitoring Conservatorship and Guardianship Cases"

Part 2: "Red Flags in Financial Reports"

Part 3: "Responses to Potential Fraud or Abuse"

Additional training can be found by accessing the conservator showcase.