Certified Professional Guardianship and Conservatorship Program

How does a certified professional guardian maintain his or her certification?

To maintain certification a Certified Professional Guardian must complete the following:

1. Perform duties as required by the court.
2. Comply with Standards of Practice and Regulations.
3. Obtain Errors and Omissions Insurance, if required.
4. Annually complete GR 23(e) Disclosure.
5. Pay Annual Recertification Fee.
6. Complete and report continuing education.

Perform Guardian Duties as Required

RCW 11.88 and 11.92 provide the statutory duties of professional guardians. Superior courts have jurisdiction over guardians in individual appointments and the legal requirements of RCW 11.88 and 11.92.

Generally the court monitors the activities of guardians through the required periodic reporting to the court and the receipt of a request for action or a complaint regarding a guardian and or a grievance. RCW 11.88.120 outlines the procedure for a court to follow upon receipt of a request for action or a complaint regarding a guardian in a guardianship case. The court may (a) direct the clerk to schedule a hearing, (b) appoint a guardian ad litem to investigate the issues raised by the application or to take any emergency action the court deems necessary to protect the incapacitated person until a hearing can be held, or (c) deny the application without scheduling a hearing, if it appears based on documents in the court file, that the application is frivolous. Within the confines of statute, the court may grant such relief as it deems just and in the best interest of the incapacitated person.

Comply with Standards of Practice and Regulations

Pursuant to GR 23, the Supreme Court granted the Certified Professional Guardianship Board exclusive authority to certify guardians, to investigate grievances regarding the conduct of professional guardians, and to issue disciplinary sanctions when appropriate. Although the Supreme Court delegated the duties above to the Board, it retains primary jurisdiction over the certification of professional guardians.

The Board drafts and promulgates Standards of Practice to guide professional guardianship. These provide guardians with standards of behavior and principles to be observed regarding their moral and professional obligations toward the court, incapacitated persons and their family and friends, other professionals and society in general.

All standards of practice provide a guide to the knowledge, skills, judgment and attitudes that are needed to practice safely. The standards are based on the premise that the professional guardian is responsible for and accountable to the incapacitated person for the quality of guardianship services provided. SOPs provide a means of determining the quality of guardianship services an incapacitated person receives.

The Board has jurisdiction pursuant to GR 23 to determine whether there has been a violation of the Standards of Practice for professional guardians. Additionally, the Board looks at patterns of conduct and may consider conduct by the professional guardian in multiple cases and in multiple counties. While the Board's disciplinary process may move more slowly, it has broad authority to fashion remedies to address guardian misconduct and protect the public in the future. The Board may require remedial education, installation of a case management system, imposition of a prohibition of acceptance of new cases and other remedies. The Board may place a guardian on probation with monitoring requirements, and can ultimately revoke the certification of a professional guardian.

To review Standards of Practice for professional guardians, visit Standards of Practice.

Obtain Errors and Omissions Insurance

Regulation 700 provides for coverage for damages resulting from unintentional errors and omissions of a professional guardian and its employees. Pursuant to this regulation certified professional guardians and certified professional guardian agencies shall maintain a minimum of $500,000.00 of errors and omissions insurance which covers the acts of the guardian or agency, and employees of the guardian or agency, unless an exemption applies.

Regulation 704 exempts professional guardians or agencies with 25 or fewer guardianship case appointments at one time and with less than $500,000.00 total countable guardianship assets under management.

"Countable guardianship assets" are defined as all real property, money, stocks, bonds, promissory notes and other investments in all of the guardianship estates currently managed by the guardian or agency. The value of an asset shall be its fair market value. In determining the value of an asset, the value as determined by a county assessor, or public price listed on a recognized exchange, may be used as its fair market value. The value of an asset shall not be reduced by the amount of any encumbrance on the asset. Insurance policies and other securities shall be included at face value or as listed on a recognized exchange. Countable guardianship assets shall not include burial trusts, pensions, or personal property other than as described in this regulation.

Annually by August 1, professionals are required to report to the Board on the need for errors and omissions insurance. If insurance is required they must provide a copy of the Declaration page from your Errors and Omissions (E & O) insurance policy.

Provide GR 23(e) Disclosure

Regulations require that professional guardians disclose the items listed below to the Board upon application, annually, and on a continuing basis:

1. If a guardian has been removed by a court order where;
   • Judgment has been entered against the professional guardian as a result of the performance of services as a guardian;
   • There is a finding by a court that the professional guardian has committed malfeasance, nonfeasance, misfeasance, a felony, or crime of moral turpitude;
2. Any adjudication of the types specified in RCW 43.43.830, and RCW 43.43.842;
3. Finding by a court that the professional guardian has violated the guardian's duties to the incapacitated person or their estate;
4. Pending or final professional licensing or disciplinary board actions or findings of violations;
5. Residential or business moves or changes in employment; and
6. Names of Certified Professional Guardians they employ or who leave their employ.
7. A substantiated finding by the Department of Social and Health Services or a judge that you abused a vulnerable adult, including abandonment, neglect, abuse or financial exploitation under RCW 74.34 and WAC 388-71-01275.
8. A substantiated finding by the Department of Social and Health Services or a judge that you abused or neglected a child under RCW 26.44? (RCW 26.44; RCW 26.44.125 and WAC 388-15-061 through WAC 388-15-141).

Pay Annual Renewal Certification Fee

Certified Professional guardians and agencies must pay an annual certification fee. Currently the fee is either $250 for those CPGs or CPGAs that have 25 or fewer guardianship case appointments AND have less than $500,000 total countable guardianship assets under management. The fee $350 is for those CPGs or CPGAs who do not qualify for the above exemption for the period August 1 of any year through July 31 of the next yearThe fee is due by August 1 of each year. If payment is not received by August 1, a $150 late fee will be assessed. Failure to pay by October 1 will result in revocation of certification pursuant to Application Regulation 111.8.

Complete and Report Continuing Education Credits

Each Guardian shall complete a minimum of 24 credit hours of approved education during each reporting period, except as exempted by Regulation 213. Credit hours accrue for classes approved by the Education Committee and shall biennially total no fewer than 24 credit hours that must include four Ethics credits, four Emerging Issues credits and 16 General Credits.

Within 30 days from the end of the preceding reporting period, each Guardian shall submit an affidavit to the AOC, setting forth all information regarding Guardian's completion of approved continuing education during the preceding reporting period. Such affidavit shall also contain a report of "carryover" credits, if any, as delineated in Regulation 203.4.

For more information see Continuing Regulation 200.