CPG Record Keeping 5

Question 1

A guardian is transitioning a ward to a new successor guardian. Which record-related obligation is most important?

Accepted Answer

Provide the successor guardian and the court with a complete, organized set of all case records and a current interim accounting

Answer

Destroy all records to protect the ward's privacy

Answer

Retain all records personally for 30 days before transferring

Answer

Notify only the ward's family without involving the court

Question 2

Electronic record keeping systems used by professional guardians should at minimum provide:

Accepted Answer

Secure access controls, audit logs showing who accessed or modified records, and regular encrypted backups

Answer

Cloud storage only, without backup

Answer

Open access so all family members can view all wards' records

Answer

A simple spreadsheet without access restrictions

Question 3

When a ward dies, the guardian's primary record-keeping obligation shifts to:

Accepted Answer

Preparing a final accounting for the court and preserving records for the required statutory retention period

Answer

Immediately destroying all records to protect privacy

Answer

Transferring all records to the ward's family without court involvement

Answer

Closing all accounts and discarding financial documentation

Question 4

A guardian who pays a care provider in cash rather than by check should:

Accepted Answer

Obtain a signed, dated receipt from the provider and retain it with the case records

Answer

Skip documentation since cash payments cannot be traced

Answer

Record it only in the guardian's memory

Answer

Report it as an unverifiable expense in the annual accounting

Question 5

Which best describes the purpose of a 'surcharge' in the context of guardian accountings?

Accepted Answer

A court-ordered financial penalty imposed on a guardian for losses caused by breach of fiduciary duty

Answer

An additional fee charged by the court for filing accountings

Answer

A bonus paid to a guardian for excellent record keeping

Answer

A charge added to the ward's account for guardian administrative services

Question 6

A guardian should document a ward's change in living arrangement by recording:

Accepted Answer

The date of change, reason, alternatives considered, court authorization if required, and the ward's response to the change

Answer

Only the new address

Answer

A verbal note to the care team

Answer

Only the cost difference between the old and new placement

Question 7

Under most state laws, which party has the primary burden of proving that expenditures in a guardian's accounting were appropriate?

Accepted Answer

The guardian, who must show each disbursement was authorized and in the ward's best interest

Answer

The court

Answer

The ward's family

Answer

The ward's attorney