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

A smooth transition requires the successor guardian to receive complete records and a current accounting so there is no gap in oversight or management of the ward's affairs.

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

Professional electronic systems must protect confidentiality through access controls, maintain integrity via audit logs, and ensure data survivability through encrypted backups.

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

Upon the ward's death, a final accounting must be submitted to the court, and all records must be retained for the statutory period to allow for estate proceedings or audits.

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

Signed, dated receipts from payees are essential to verify cash disbursements during accounting reviews and protect the guardian from allegations of misuse.

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

A surcharge is a remedy where the court holds the guardian personally liable to restore funds lost due to mismanagement, negligence, or breach of fiduciary duty.

(CPG) Certified Professional Guardian Practice Test

(CPG) Certified Professional Guardian Practice Test

CPG Record Keeping 5