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  • MCPF handles cases with substantial assets. And Difficult cases no one else will take.
  • Difference between exploitation and fiduciary abuse Who are fiduciaries? Public Private Person with legal or implied fiduciary responsibility
  • 36 staff members with a combined experience 41 - 33 - now 35 100 new cases MCPF administers a caseload of around 1150 clients with 750 active cases. 20 staff members certified by the State 16 staff members certified by the NGF
  • Tom receives 220 referrals a year
  • Tom takes into consideration the total factors influencing the lives of the person alleged to be in need of our services. The family and any existing family dynamics. Assets existing or recoverable The timeframe
  • Provides administrative assistance to the Public Fiduciary. Consults and coordinates with private attorneys and the County Attorney’s Office concerning legal matters and court hearings. Michelle D’Andrea represents our office. MCPF prepares most legal documents
  • MCPF administers CIB program County Head Funeral Director Many County PF oversee this program MCPF handles #1200 referrals annually
  • Annually a report is prepared for the court and filed detailing the status of the client. This report includes an updated medical statement prepared by the physician following an annual exam. The statement documents the client's continuing need for guardianship.
  • The duties of Estate Administrator include marshaling, inventorying, storing, managing selling and distributing various types of assets. Provide example here MCPF can provide more expertise and improved services for considerable lower fiduciary fees than private sector fiduciaries. Our ability to make a client’s assets and resources go further maintaining them in their preferred lifestyle is a real plus. Estates in the $150-200 thousand dollar range get more bang for their buck with us. Recovery is the same.
  • Difference between exploitation and fiduciary abuse Who are fiduciaries? Public Private Person with legal or implied fiduciary responsibility
  • Difference between exploitation and fiduciary abuse Who are fiduciaries? Public Private Person with legal or implied fiduciary responsibility
  • Difference between exploitation and fiduciary abuse Who are fiduciaries? Public Private Person with legal or implied fiduciary responsibility
  • Difference between exploitation and fiduciary abuse Who are fiduciaries? Public Private Person with legal or implied fiduciary responsibility
  • Difference between exploitation and fiduciary abuse Who are fiduciaries? Public Private Person with legal or implied fiduciary responsibility
  • Difference between exploitation and fiduciary abuse Who are fiduciaries? Public Private Person with legal or implied fiduciary responsibility
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    1. 1. Elder Abuse Taskforce January 8, 2003 <ul><li>THE ROLE OF THE MARICOPA COUNTY PUBLIC FIDUCIARY </li></ul><ul><li>& </li></ul><ul><li>THE FINANCIAL EXPLOITATION </li></ul><ul><li>INVESTIGATOR </li></ul>
    2. 2. Objectives <ul><li>You will have been exposed to some of the terminology used by the Public Fiduciary and the Financial Exploitation Investigator </li></ul><ul><li>You will have a general understanding of the Public Fiduciary’s role & services. </li></ul><ul><li>You will have a general understanding of the role of the MCPF Financial Exploitation Investigator </li></ul>
    3. 3. <ul><li>You will be aware of the Pertinent Statutes </li></ul><ul><li>You will have an understanding of who has a duty to report abuse and the financial exploitation of vulnerable adults </li></ul>Objectives
    4. 4. Title 14, Article 6 Public Fiduciary <ul><li>A.R.S. § 14-5602(A) </li></ul><ul><li>The court shall appoint a public fiduciary for those persons or decedents’ estates in need of guardianship, conservatorship or administration and for whom there is no person or corporation qualified and willing to act in that capacity. </li></ul>Superior Court - Probate Division
    5. 5. The Role of The Public Fiduciary <ul><li>The Maricopa County Public Fiduciary provides guardianship, conservatorship and decedent services when no other person or corporation is qualified and willing to serve. </li></ul>We are frequently appointed by the probate court to make an investigation and recommend what action should be taken. We are the fiduciary of last resort and is referred those cases in which no attorney, bank trust department, private fiduciary, family member or any other person or corporation is able to act. We are often appointed successor guardian, conservator or personal representative in matters involving breach of fiduciary duty.
    6. 6. Definitions <ul><li>Fiduciary </li></ul><ul><ul><li>An individual or a trust institution charged with the duty of acting for the benefit of another party as to matters coming within the scope of the relationship between them. </li></ul></ul><ul><ul><li>Examples: The relationship between a guardian and his ward, an agent and his principal, an attorney and his client, one partner and another partner, a trustee and a beneficiary. </li></ul></ul><ul><ul><li>A person can become a “de facto” fiduciary by acting in a fiduciary capacity. </li></ul></ul>
    7. 7. MCPF Organizational Chart Public Fiduciary Asst. Public Fiduciary Estate Operations Estate Administration Guardian Administration Intake Investigator
    8. 8. Case Referrals <ul><li>physicians and lawyers </li></ul><ul><li>nursing homes and hospitals </li></ul><ul><li>The Superior Court </li></ul><ul><li>Adult Protective Services </li></ul><ul><li>The Division of Developmental Disabilities </li></ul><ul><li>Private Fiduciaries </li></ul><ul><li>Law enforcement </li></ul>
    9. 9. Intake Investigator <ul><li>The Chief Investigator visits the prospective client and contacts family and others involved in care and/or familiar with their circumstances. </li></ul><ul><li>The Chief Investigator summarizes his findings, conclusions and recommendations in a written memorandum submitted to the Public Fiduciary, who determines the office’s subsequent involvement in any case. </li></ul>
    10. 10. Assistant Public Fiduciary <ul><li>Assists in directing activities related to the proper management of the MCPF office. </li></ul><ul><li>Preparation of Legal Documents </li></ul><ul><li>Court Appearances </li></ul><ul><li>Initiate and Monitor Legal Actions </li></ul>
    11. 11. Estate Operations Primary Services <ul><li>Internal / Estate Accounting </li></ul><ul><li>Court Accounting </li></ul><ul><li>Benefits </li></ul>
    12. 12. Maricopa County Indigent Burial Program <ul><li>The purpose of the Burial Services Program is to provide final disposition to decedents of indigent families of Maricopa County so that eligible burial services can be arranged. </li></ul>
    13. 13. Services Provided by the Guardian Administrators <ul><li>Quarterly Visits </li></ul><ul><li>Care Plan Reviews </li></ul><ul><li>Coordination of Medical Support Services </li></ul><ul><li>Monitoring of Residential Placement </li></ul><ul><li>Health Exam Coordination </li></ul><ul><li>Triage Change in Med. Condition Status </li></ul><ul><li>Personal Needs Assessment </li></ul><ul><li>Shopping and Trans. Coordination </li></ul><ul><li>Final Arrangements </li></ul>
    14. 14. Services Provided by the Estate Administrators <ul><li>Inventorying Services </li></ul><ul><li>Marshaling of Assets </li></ul><ul><li>Asset Research and Discovery </li></ul><ul><li>Valuations </li></ul><ul><li>Client Budget Set up and Monitoring </li></ul><ul><li>Insurance Procurement </li></ul><ul><li>Investment Purchases </li></ul><ul><li>Real Property Management </li></ul><ul><li>Investigations </li></ul>
    15. 15. The Role of The Financial Exploitation Investigator <ul><li>Investigate referrals involving the alleged financial exploitation of a vulnerable adult or incapacitated person. </li></ul><ul><ul><li>Referral sources include: </li></ul></ul><ul><ul><ul><li>1) Internal (Estate or Guardian Administrators) </li></ul></ul></ul><ul><ul><ul><li>2) Superior Court--Probate Division </li></ul></ul></ul><ul><ul><ul><li>3) Adult Protective Services (APS) </li></ul></ul></ul><ul><ul><ul><li>4) Law Enforcement </li></ul></ul></ul><ul><ul><ul><li>5) Family / Friends / Neighbors of our wards. </li></ul></ul></ul>
    16. 16. <ul><li>Fiduciary Abuse </li></ul><ul><ul><li>a situation in which any person who is the caretaker of, or who stands in a position of trust to, an adult, takes, secretes, or appropriates their money or property, to any use or purpose not in the due and lawful execution of such person's trust. </li></ul></ul>More Definitions
    17. 17. More Definitions <ul><li>Mental Capacity </li></ul><ul><ul><li>This refers to the victim’s ability to give knowledgeable consent. </li></ul></ul><ul><ul><li>There are a range of of impairments that may render a person incapable of independent decision-making. This may, or may not be a permanent condition. </li></ul></ul><ul><ul><li>No single standard has been codified for the legal determination of capacity. </li></ul></ul>
    18. 18. More Definitions <ul><li>Undue Influence </li></ul><ul><ul><li>This is a form of manipulation or deception used to gain assets without the true consent of the victim. </li></ul></ul><ul><ul><li>It is usually the result of a relationship between the victim and the abuser. </li></ul></ul><ul><ul><li>Anyone can be subject to this. There is no mental test for it. </li></ul></ul>
    19. 19. More Definitions <ul><li>Power of Attorney </li></ul><ul><ul><li>A document, sometimes witnessed and acknowledged, authorizing the person named therein to act as his agent (attorney in fact) for the person signing the document (principal). There are two basic types of powers of attorney: financial and healthcare . </li></ul></ul><ul><ul><li>General: Agent is authorized to act in all matters. </li></ul></ul><ul><ul><li>Special: Agent has the authority to only do certain, specified things. </li></ul></ul><ul><ul><li>Durable: The power granted survives the disability of the principal. </li></ul></ul><ul><ul><li>Springing: Authority commences upon a certain event, or contingency. </li></ul></ul>
    20. 20. <ul><li>Power of Attorney (Continued) </li></ul>More Definitions <ul><ul><li>Under Arizona Revised Statutes Section </li></ul></ul><ul><ul><li>14-5506 (A) an attorney in fact must act </li></ul></ul><ul><ul><li>solely for the benefit of the principal . </li></ul></ul><ul><ul><li>Any actions taken that are not solely for the benefit of the principal must be specifically identified by the power of attorney and be separately initialed by the principal and the witness at the time of execution of the instrument. </li></ul></ul>
    21. 21. <ul><li>Exploitation </li></ul><ul><ul><li>financial abuse of individuals by the repeated improper or illegal use of their assets. </li></ul></ul><ul><ul><li>taking unfair advantage of an someone’s financial resources for personal or financial advantage by the use of undue influence, coercion, harassment, duress, deception, false representation or false pretense. </li></ul></ul>More Definitions
    22. 22. Additional Duties of The Financial Exploitation Investigator <ul><li>Asset Protection </li></ul><ul><li>File criminal complaints with law enforcement, when evidence of exploitation exists </li></ul><ul><li>Notify the Superior Court when we have filed a complaint of exploitation under </li></ul><ul><li>§A.R.S. 46-454. </li></ul><ul><li>Assist in the prosecution of civil / criminal exploitation cases. </li></ul><ul><ul><li>Testimony & exhibits. </li></ul></ul>
    23. 23. Additional Duties of The Financial Exploitation Investigator <ul><li>Asset Recovery </li></ul><ul><ul><ul><li>Quit-Claim Deed </li></ul></ul></ul><ul><ul><ul><li>Title to Auto </li></ul></ul></ul><ul><ul><ul><li>Promissory Note </li></ul></ul></ul><ul><ul><ul><li>Settlement Agreement </li></ul></ul></ul>
    24. 24. What Are the Signs of Financial Exploitation? THEFT AHEAD FORGERY Right 3 Miles EXTORTION Next Left
    25. 25. <ul><li>Exhibiting disparity between income, assets and lifestyle </li></ul><ul><li>Unexplained, or sudden inability to pay bills, purchase food, or personal care items </li></ul><ul><li>Extraordinary interest by family member of older person’s assets </li></ul>Some of the Signs of Financial Exploitation
    26. 26. <ul><li>Inaccurate, confused, or no knowledge of finances </li></ul><ul><li>Fear or anxiety when discussing finances </li></ul><ul><li>Unprecedented transfer of assets from an older person to others </li></ul>Some of the Signs of Financial Exploitation
    27. 27. Pertinent Statutes <ul><li>§A.R.S. 14-5601(A) </li></ul><ul><ul><li>The Arizona State Legislature established the Office of the Public Fiduciary in 1974. </li></ul></ul><ul><li>§A.R.S. 46-454 </li></ul><ul><ul><li>Duty to report abuse, neglect, exploitation... </li></ul></ul><ul><li>§A.R.S. 46-455 </li></ul><ul><ul><li>Duty to an incapacitated or vulnerable adult... </li></ul></ul>
    28. 28. Duty To Report <ul><li>§A.R.S. 46-454 (A) A physician, hospital intern or resident, surgeon, dentist, psychologist, social worker, peace officer or other person who has responsibility for the care of an incapacitated or vulnerable adult and who has a reasonable basis to believe that abuse or neglect of the adult has occurred or that exploitation of the adult's property has occurred shall immediately report or cause reports to be made of such reasonable basis to a peace officer or to a protective services worker. The guardian or conservator of an incapacitated or vulnerable adult shall immediately report or cause reports to be made of such reasonable basis to the superior court. </li></ul>
    29. 29. Duty To Report <ul><li>§A.R.S. 46-454 (B) An attorney, accountant, trustee, guardian, conservator or other person who has responsibility for preparing the tax records of an incapacitated or vulnerable adult or a person who has responsibility for any other action concerning the use or preservation of the incapacitated or vulnerable adult's property and who, in the course of fulfilling that responsibility, discovers a reasonable basis to believe that exploitation of the adult's property has occurred or that abuse or neglect of the adult has occurred shall immediately report or cause reports to be made of such reasonable basis to a peace officer, to a protective services worker or to the public fiduciary of the county in which the incapacitated or vulnerable adult resides. </li></ul>

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