Adopting a guardianship response protocol

Responding to reports of abuse, neglect, or maltreatment in guardianship/conservatorship cases

Courts play a fundamental role in safeguarding the well-being of individuals under guardianship or conservatorship. When concerns or complaints arise, a clear and effective response is needed to protect vulnerable individuals and maintain public trust.

Guardianship/conservatorship complaints & allegations 

Our experts have compiled resources to help courts detect, monitor, and take action in response to complaints about guardians and conservators. These resources support an overall judicial response protocol for managing such cases.

Resources include: 

• "Judicial Response Protocol" web-based tool
• "Guardianship Judicial Response Protocol" webinar
• Guardianship monitoring protocol training
• Office for Victims of Crime resources

Judicial response protocol 

The "Judicial Response Protocol" tool provides a step-by-step process for handling complaints.

This interactive flowchart guides users from complaint submission to resolution, offering links to relevant resources and key considerations with each step and action.

• Step 1: Source complaint: Strategies for assessing the legitimacy and source of complaints to ensure the timely and appropriate response
• Step 2: Allegation investigation: Methods for gathering relevant information and evidence to assess credibility to determine the next steps
• Step 3: Hearing or mediation: Courts may schedule a hearing, refer to mediation, or refer to eldercare coordination
• Step 4: Determination: Assessing whether sufficient evidence supports allegations of abuse, neglect, or exploitation
• Step 5: Actions the court can consider to resolve allegations, including removing the guardian and increasing monitoring intensity and frequency: Best practices for courts to engage with concerned parties while maintaining confidentiality and due process

Guardianship judicial response protocol

Judges and court staff can access our  webinar on the web-based "Judicial Response Protocol" tool. In this session, Senior Judge Rita Cobb and Judge Michael Long discuss their experiences with guardianship and conservatorship cases, judicial response protocols initiated and lessons learned, and how to use the tool when concerns or complaints come in.

Other resources

"Examples of Conservator Exploitation: An Overview" (Brief 1)

This brief highlights conservator exploitation cases, including those that have gained media attention. It examines nine individual cases, shedding light on the dynamics, processes, and impacts of conservator exploitation on victims and their families.

Key findings of cases examined include:

• Media coverage tends to focus more on exploitation by professional conservators
• In many instances, estates are depleted before wrongdoing is detected or authorities could intervene
• Family members affected by exploitation have initiated advocacy and reform efforts

"Court Actions Upon Detection of Exploitation" (Brief 5) 

Once a court detects exploitation, a thorough investigation is key to assessing the extent of harm to the individual's assets, and determining what judicial actions are necessary to address that harm.

This brief outlines how to:

• Initiate an effective investigation
• Protect and restore assets
• Impose civil sanctions including removal of the conservator
• Refer for criminal prosecution
• Share information with federal agencies

"Supporting Victims of Conservator Exploitation" (Brief 8)

Victims and their families often struggle to raise concerns about conservatorship exploitation and recover lost assets. This brief explores how courts can enhance access to justice for affected individuals.

Topics include:

• Enabling victims to complain to the court
• Making victims whole through bonds
• Helping victims pursue civil legal remedies
• Court programs and practices to enhance access to justice

Strengthening court oversight

Effective court oversight is crucial in preventing and addressing abuse in guardianship and conservatorship cases. By following a judicial response protocol, courts can enhance accountability, improve case outcomes, and strengthen public trust in the judicial system.