CPG Record Keeping 3 — Questions and Answers
Question 1: A guardian must document a decision to decline an inheritance on behalf of the ward. Which record is most critical to create?
- A notation in the guardian's personal diary
- A written memorandum in the case file explaining the legal and financial rationale, filed with the court (Correct answer)
- An oral explanation to family members
- A letter to the estate's executor only
Correct answer: A written memorandum in the case file explaining the legal and financial rationale, filed with the court
Declining an inheritance is a significant legal act requiring documented court approval and a formal rationale in the official case record.
Question 2: Which of the following is an example of commingling funds?
- Depositing the ward's Social Security check into the ward's dedicated account
- Using the guardian's personal account temporarily to pay a ward's emergency medical bill without reimbursement tracking (Correct answer)
- Investing the ward's assets in a mutual fund
- Opening a separate savings account for the ward's long-term care fund
Correct answer: Using the guardian's personal account temporarily to pay a ward's emergency medical bill without reimbursement tracking
Using a personal account for ward funds—even temporarily—without full tracking and prompt reimbursement constitutes commingling, a serious fiduciary violation.
Question 3: When a ward receives in-kind support (e.g., donated food or clothing), the guardian should:
- Ignore it since it has no cash value
- Document the item, its estimated fair market value, and the source in the ward's records (Correct answer)
- Record it only if valued over $500
- Report it as income on the court accounting
Correct answer: Document the item, its estimated fair market value, and the source in the ward's records
All in-kind support should be documented with estimated value and source to provide a complete picture of the ward's resources and to comply with benefit program reporting requirements.
Question 4: A professional guardian must keep records for multiple wards. Which practice best prevents cross-contamination of records?
- Store all ward files in a single shared folder organized by date
- Maintain separate, individually labeled physical or digital files for each ward with unique identifiers (Correct answer)
- Use a color-coding system only without unique case numbers
- Combine records for family members under the same guardian
Correct answer: Maintain separate, individually labeled physical or digital files for each ward with unique identifiers
Individual labeled files with unique case identifiers ensure each ward's records remain distinct and prevent confusion or inadvertent disclosure.
Question 5: When is a guardian required to provide an interim accounting outside of the regular annual cycle?
- Whenever the guardian personally requests one
- When the court orders one, when there is a change of guardian, or upon petition by an interested party (Correct answer)
- Only at the ward's death
- Every six months regardless of circumstances
Correct answer: When the court orders one, when there is a change of guardian, or upon petition by an interested party
Courts may order interim accountings upon guardian change, on petition of interested parties, or whenever oversight concerns arise, not only on the regular annual schedule.
Question 6: A ward's personal care log should typically NOT include:
- Medical appointments attended
- Names of healthcare providers consulted
- The guardian's personal opinions about the ward's family members (Correct answer)
- Activities of daily living assistance provided
Correct answer: The guardian's personal opinions about the ward's family members
Personal opinions about third parties are inappropriate in official records; care logs should contain only factual, objective observations relevant to the ward's care.
Question 7: Under most state guardianship laws, a ward's confidential records may be shared with:
- Any member of the public upon request
- Court-appointed visitors, auditors, and persons specifically authorized by court order (Correct answer)
- The media if a case becomes newsworthy
- The ward's employer without restriction
Correct answer: Court-appointed visitors, auditors, and persons specifically authorized by court order
Ward records are confidential and may only be shared with those the court has specifically authorized, such as court visitors, auditors, or parties named in a court order.
CPG Record Keeping 3
A guardian must document a decision to decline an inheritance on behalf of the ward.
Which record is most critical to create?