Supporting Best Practices in Guardianship

Guardianship is a weighty responsibility, one that requires both sound judgment and strict adherence to legal and ethical obligations. A court-appointed guardian serves as a safeguard for individuals who are legally incapacitated, acting as the decision-maker in their best interests to prevent neglect, exploitation, and financial mismanagement. A guardian's work is subject to oversight to ensure accountability and adherence to legal and ethical standards.

The Pinellas County Clerk of the Circuit Court and Comptroller’s Division of Inspector General (IG) plays a role in maintaining high standards in professional guardianship. The IG’s oversight process ensures that guardianship remains a trusted and effective solution for those who need it. This article by Lori Scott from the IG provides valuable insight into how investigations are conducted, why they happen, and what professional guardians—as well as those who work alongside them—should know about the process.

Engaging with Experts: April 4th Virtual Networking Event Lori Scott will be the featured speaker at the April 4th GAPC Virtual Networking Event, where she will discuss the IG’s role in professional guardianship and answer questions from attendees. This is an opportunity for guardians, attorneys, and service providers to deepen their understanding of oversight and collaborate on best practices. One particularly insightful aspect of Lori’s article is how investigations begin—either by court appointment or in response to concerns—and the ways guardians can engage in this process professionally. We encourage all members to read Lori’s piece and join us on April 4th for a deeper discussion.

Investigations of Professional Guardians

By Lori Scott, Division of Inspector General

The IG’s Role in Professional Guardianship

The Pinellas County Clerk of the Circuit Court and Comptroller’s (Clerk) Division of Inspector General (IG) has the authority to investigate professional guardians pursuant to §§ 744.102(2) and 744.368(5), Florida Statutes. The IG conducts these investigations for two reasons: the Sixth Judicial Circuit Court (Court) adjudges an Order Appointing the IG, or the IG receives a complaint and determines the complaint warrants an investigation into the guardian. An investigation usually focuses on one of the guardian’s cases. A substantial concern could result in a larger scope investigation to include all cases in which the guardian is appointed.

When and Why Investigations Begin

When the IG receives a complaint, a team member reviews it to determine whether the allegation is within the IG's jurisdiction. The IG only has jurisdiction in Pinellas County, except in cases when another governing agency requests additional assistance. Once jurisdiction is established, the IG will determine whether the IG will open an investigation. When the Court has concerns regarding a person subject to guardianship’s (PSTG*) care and well-being, they will appoint the IG to investigate their concerns.

The Investigation Process

If an investigation is opened, the investigator assigned reviews the allegation(s) in the complaint or the Court’s concerns outlined in the order appointing and reviews the guardianship case to determine the steps they will take during the investigation. The IG uses Florida Statutes (F.S.), which outline the powers and duties of a guardian, along with the Florida Probate Rules of Court and Florida Administrative Code 58M- 2.009 Standards of Practice, to determine if the guardian violated any of the duties they were appointed to perform.

During the investigation, the IG reviews documents and conducts interviews with multiple relevant parties to gather evidence about the allegations. The IG also interviews the guardian. It is up to the guardian whether or not they participate in the interview process, as it is voluntary; however, failure to participate could tarnish their reputation with the Court. If necessary, the IG will request the guardian to provide extra documentation to help prove or disprove the allegation(s) against the guardian.

Reporting Findings and Moving Forward

Once the IG concludes on the allegation(s), they prepare a report to present to the Court. The report details the IG’s investigation and how they determined if the allegation(s) was true or false. The Court will determine if discipline for the guardian is necessary.

Continuing the Conversation

If there is a topic you would like discussed in any of our upcoming monthly newsletter articles, please email lscott@mypinellasclerk.gov.

For additional information, contact:

• Division of Inspector General PIU: 464-8371

• Division of Inspector General Fax: 464-8386

• Probate Court Records: 464-3321

• Guardianship Hotline: 45FRAUD (453-7283)

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* Pursuant to Section 744.102(22), Florida Statutes, 'Ward' means a person for whom a guardian has been appointed. The term 'Ward' is antiquated and considered derogatory, demeaning, and pejorative by many advocates throughout the country. Pinellas County Division of Inspector General serves to protect the dignity and rights of persons who are incapacitated. Therefore, following national best practices in person-centered language, the Division of Inspector General refers to these individuals as 'Persons Subject to Guardianship' (PSTG).