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Senator Jerry Ortiz y Pino |
“We are faking it. We pretend like we have a guardian system and there’s nothing in place.”
– Sen. Jerry Ortiz y Pino, D-Albuquerque
A
2008 audit of ongoing guardianship cases found problems with “25 to 35
percent and maybe more … enough cases that we realized we should take it
as an alarm.”
– Ted Baca, then-chief judge of the 2nd Judicial District Court
How can a group of strangers take control of an elderly individual
and their estate; disregard retirement preparations, including wills,
trusts and powers of attorney; drain bank accounts, and sell off
belongings and property to pay themselves and colleagues; even bar
family members who had been caregivers for years from seeing their loved
one – all with the imprimatur of the court?
They can. And they
have. In virtual secrecy and sometimes without the person about to be
relegated to “ward” status and with no rights ever appearing before a
judge. In other cases, the process is well underway before there is even
a hearing where all family members have an opportunity to be heard.
All
this happens in a well-intentioned and necessary guardianship “system”
that has virtually no outside accountability – Judge Shannon Bacon of
Albuquerque admits it essentially is an “honor system” because the
underfunded courts lack money to review or audit cases as the state
“doesn’t have three cents to rub together.”
It is wrong and it needs to change.
Reporter,
author, columnist and television commentator Diane Dimond uncovered all
this and more in her five-part investigative series on guardianship in
New Mexico [Who Guards the Guardians?] published by the Albuquerque Journal (the entire series can
be found at ABQJournal.com).
Dimond, an Albuquerque native,
recounts the story of an estate valued at $5 million drained to
$750,000; a 17-acre North Valley ranch sold at what would appear to be
far below market value to someone who turned around and sold it to the
state for twice the price; children shut out from caring for their
mother by court-appointed for-profit professionals; familiar medical
professionals replaced with strangers – and all without the judge who
signed off on the arrangement ever interviewing 79-year-old Blair
Darnell or holding a hearing to determine whether she was, in fact, “an
adult incapacitated person.”
That label automatically revoked
Blair’s civil rights – she could no longer travel alone, vote, enter
contracts, decide who her doctors were, say who could visit her home or
spend her own money. Instead, her court-appointed guardian and
conservator called all the shots – including declaring that, if the
family couldn’t get Blair’s beloved dog out to “relive(sic) herself, she
must go.”
Unfortunately, problems in guardianship cases are not rare.
Former Chief Judge Ted Baca ordered a review during his tenure that
found problems in a quarter to a third of cases checked by lawyers on a
volunteer basis – including wards who had been abandoned by guardians
or were living in dilapidated surroundings without enough nourishment.
More
than one attorney told Dimond they advise families to steer clear of
the system because there are no checks and balances, and excessive
secrecy.
When the best thing you can say about a system is to
avoid it, there’s a problem. And the attorneys and family members who
spoke to Dimond did so in fear of reprisals and in violation of what
retired District Judge Anne Kass of Albuquerque calls an inbred “code of
silence.”
There’s the daughter of a deceased ward who asked for
clarification of her mother’s $5,000 funeral expense because the $1,000
cremation fee was prepaid and services were held at her mother’s home.
There’s
the daughter of a deceased ward who was forbidden to see her father
during the final months of his life because she challenged the
conservator’s proposed distribution of funds without an independent
forensic audit.
There are the daughters of a ward who learned
that, after 25 months in charge, the conservator had not paid taxes on
their mother’s property in Texas and foreclosure was imminent.
Imagine
being told out of the blue that you can’t see your elderly and frail
mom or dad. Imagine being elderly and frail, and being told you can’t
see your children. All because the guardian thinks there is too much
“bickering.”
Imagine carefully planned financial decisions and
legal instruments being thrown out so court-appointed for-profit folks
can be paid to make all the decisions.
Professionals in the system are unapologetic. They say their
responsibility is to the wards, not their families. They have been
accused of being threatening and intimidating, and have been known to
tell people to never again contact them.
And the majority of those
entrenched professionals who live off New Mexico’s guardianship system
– lawyers, guardians, conservators, providers who range from dog
walkers to in-home caretakers – maintain the system is working just
fine, thank you very much, in protecting the interests of the
“incapacitated.”
Judges are on that same bandwagon.
In an
op-ed in today’s Journal, 2nd Judicial District Court Chief Judge Nan
Nash, and elder and disability attorneys Amanda Frazier and Judith
Paquin defend the system and the secrecy. It is simply more of what
Ortiz y Pino found in 2013 when he sponsored a measure to establish a
task force to look into complaints: “What we ran into, frankly, was that
anytime we got into guardianship issues, the attorneys who deal with
probate in the state went ballistic – they did not want us to even
open the door.”
Baca came up against the same resistance. For
several years, the court tried to get the Legislature to fund a larger
study with the goal a statewide office to oversee all guardian cases.
Eight years later, it is still status quo. So while, as his audit found,
the system works in many cases when an elderly adult is at risk, it
simply does not work in others and needs reform.
Several steps to
correcting this have nothing to do with money, and everything to do with
transparency and accountability. Multiple families said their
complaints to the bar association, state legislators, regulatory boards,
the district attorney, the Albuquerque Police Department, the attorney
general and the Governor’s Office amounted to nothing, likely in great
part because it’s hard to fight decisions protected by court secrecy.
While
the court claims it is guarding elderly individuals’ privacy, there is a
world of difference between holding a court-appointed professional
accountable for oversight decisions and spending, and safeguarding an
individual’s medical information. Right now, the court blankets
everything per vaguely written sections of the state’s Uniform Probate
Code.
Kass says, “We need to have a really profound conversation
between privacy and secrecy, and develop a better way of measuring it.”
It should also be the rule, not the exception that, unless it is
physically impossible, the elderly person appear in court and be
questioned by the judge before even being called incapacitated. The same
goes for hearing from all concerned relatives – rather than simply
taking the word of whoever filed an emergency petition to have the
senior put under guardianship. There should be full hearings, as stated
in state law, and relatives should be first in line to become guardians.
In
general, relatives should also not be barred from seeing each other.
Outgoing Rep. Conrad James, R-Albuquerque, tried to curb the practice of
guardians banning family visits that might upset a ward, saying,
“Isolating seniors from their family is the first step of abuse in these
cases.” He plans to have a legislator carry a similar proposal in the
session that starts next month.
And the requirement that family
members sign a waiver of liability releasing “any and all liability for
actions taken in (his/her) capacity as conservator and trustee” before
they can receive their inheritance flies in the face of accountability.
If conservators and guardians are indeed professionals, they should be
able to stand by their decisions.
It is shocking that guardians
and conservators are not licensed in New Mexico and, while some may have
various certifications, those can be purchased online after a short
exam. Requiring some training, certification and state licensing in
financial planning, social work and elder care seems more than
reasonable for allowing someone to take control of a life and an estate.
Dimond’s
series is a wake-up call to New Mexico. Unless and until these changes
are implemented, the best advice for those dealing with a parent with
purported diminished capacity comes from Dr. Sam Sugar, founder of
Americans Against Abusive Probate Guardianship. He tells family members
to “never even consider guardianship or hiring an attorney.”
This
editorial first appeared in the Albuquerque Journal. It was written by
members of the editorial board and is unsigned as it represents the
opinion of the newspaper rather than the writers.
Full Article & Source:
Editorial: Guardianship system needs accountability
See Also:
Who Guards the Guardians?