Questions and Answers

What is Guardianship?:
Guardianship is a legal relationship established by a court with the jurisdiction to hear a case in the state and local area where the individual resides. After evidence has been submitted, the hearing officer or judge determines whether an individual is unable to make decisions and must have someone else make decisions for them. A guardian is a person appointed by the court to manage the personal or financial affairs of another. The local court that appointed the guardian is always responsible for the oversight of the guardian.

Important Information:
Persons interested in the activities of guardians must understand that the court that appointed the guardian has the sole authority to remove, or otherwise sanction a guardian in a particular case. Therefore, complaints should be made first to the local court of jurisdiction that established the guardianship.

There are several states that certify, or license, or register guardians as a matter of state law; currently Alaska, Arizona, California, Florida, Texas, & Washington. In these states, complaints or grievances may be made to a state oversight board that can review allegations about the behavior of a guardian and impose disciplinary sanctions on the guardian if found necessary. These state level boards most often require that a complaint about the behavior of a guardian be made first to the local court of jurisdiction.

What Authority Does the Center for Guardianship Certification Have Over Guardians?: 
The Center for Guardianship Certification (CGC) has a two-tiered certification process, certifying National Certified Guardians (NCG), at the entry level and National Master Guardians (NMG), with a higher level of experience and responsibility. Currently, there are approximately 1,700 CGC-NCGs, and 48 CGC-NMGs throughout the United States. The CGC has authority over only those individual guardians who voluntarily chose to be certified as NCGs or NMGs. CGC takes seriously its responsibility to protect the wards of its certified guardians, and has a disciplinary review procedure outlined in the CGC Rules and Regulations.

CGC is allied with the National Guardianship Association (NGA), a trade and member driven organization of guardians and others interested in guardianship. The NGA encourages its members to be certified by CGC in order to raise the standard of excellence in guardianship services.

What does CGC Certification Mean? 
The Center for Guardianship Certification (CGC) certification process requires that applicants attest that they have no felony convictions, civil or criminal liability findings and that they are in good standing with state legal requirements, bonding and other local jurisdictional requirements. They must pay a fee, meet minimum criteria and pass a guardianship test. They must also swear or affirm that they will adhere to the provisions of the NGA Model Code of Ethics in their work as a guardian. The NGA Model Code of Ethics, spells out fundamental ethical precepts it expe cts guardians to follow:

Code of Ethics Rules
Rule 1 – Decision Making 
Rule 2 – Relationship Between Guardian and Ward 
Rule 3 – Custody of the Person, Residence 
Rule 4 – Consent to Care, Treatment and Services 
Rule 5 – Management of the Estate 
Rule 6 - Termination and Limitation of the Guardianship 
*(Can be found on the CGC web-site: www.guardianshipcert.org)

What can the Center for Guardianship Certification Do To a Guardian?: 
The CGC may deny, suspend or revoke a certification, or impose other disciplinary action on an individual NCG or NMG. The process for reviewing a complaint against an individual guardian is quite extensive and is not taken lightly. The process is outlined in detail in the CGC “Rules and Regulations Regarding Certification and Re-Certification of National Certified and National Master Guardians, Section VII.”

How Do I File a Complaint About the Behavior of an NCG or NMG with CGC?: 
Individuals wishing to file a complaint against an CGC certified National Certified Guardian or a National Master Guardian, must provide evidence in writing of a violation of the Model Code of Ethics or any change in status that affects their eligibility to be certified as defined in the CGC Rules and Regulations. CGC will not accept complaints filed anonymously. Letters of complaint should be addressed to the Executive Director, Center for Guardianship Certification, P.O. Box 5704, Harrisburg, Pennsylvania 17110.

Complainants wishing to have a guardian removed from a case, or cases, must contact the appointing court to determine that court’s procedure for such a complaint. 

A.    A complaint shall be made in writing by the client or another person on behalf of the client, including but not limited to a friend, relative, advocate, or other interested person, such as a caregiver or provider. An exception to the requirement that a complaint shall be made in writing shall be made if a reasonable accommodation is necessary.
B.    With the exception set forth in Subsection E of 9.4.21.14 NMAC, below, all individuals registering a complaint shall first try and resolve their complaints against a contracted provider with the office of guardianship.
C.    If the complaining party and contractor are unable to reach a resolution or agreement then the complaining party may file a complaint with the office of guardianship and may file a copy with the contractor.
D.    Complaining parties may file a simultaneous compliant against a contractor with the office of guardianship. The office of guardianship may choose to postpone intervention pending completion of the contractor’s grievance process.
E.    Exceptions shall be made to Subsections A & B of 9.4.21.14 NMAC when the office of guardianship has reason to believe that an emergency situation exists or that a delay of the investigation could result in harm to the ward or retaliation by the contractor.
F.    The complaint should include as much information as possible, including the following:
     (1) name of the incapacitated person;
     (2) name of the contact information for the individual making the complaint on behalf of the
      incapacitated person;
     (3) relationship of the complaining party to the incapacitated person;
     (4) name of the individual contractor against whom the complaint is being made;
     (5) name of the party who has attempted to resolve the complaint, if known;
     (6) details of the complaint including the alleged wrongdoing, the involved parties and when
      and where the wrongdoing occurred;
     (7) where sufficient information is provided to allow the office of guardianship to continue
      the investigation, the office of guardianship will make further inquiries if possible or
      discontinue the investigation; justification for closure of investigations based on
      insufficient information will be documented.
G.    The complaint made to the office of guardianship may be submitted by mail or fax unless a reasonable accommodation is necessary.
H.    In order to preserve the confidentiality of the incapacitated person, the complaint shall be submitted to: The NMDDPC Office of Guardianship; 810 W. San Mateo, Ste. C; Santa Fe, NM 87505-4144; (505) 476-7324; (505) 476-7322 (Fax).
I.    Upon receipt of a verbal or written complaint, the office of guardianship shall:
     (1) acknowledge receipt of a the complaint in writing;
     (2) notify all parties involved; and
     (3) initiate an investigation within 15 working days of the filing of the complaint with the office of the guardianship.
J.    A determination decision shall be made within 60 working days after the complaint is filed with the office of guardianship unless a shorter time frame is required to protect the ward.
K.    A determination decision shall include:
     (1) the decision made;
     (2) the basis for the decision;
     (3) notice of the complaining party’s right to file a complaint about the actions taken by the office of guardianship related to the investigational process pursuant to 9.4.21.15 NMAC.
     (4) further actions to be taken by the office of guardianship and the contractor which may include, but shall not be limited to:
(a) the imposition of a corrective action plan on the contractor; and
(b) a referral of the complaint to other agencies for investigation and prosecution.
L.    Persons objecting to the process of the complaint investigation taken by the office of guardianship may file a grievance against the office of guardianship with the New Mexico human services department pursuant to 9.4.21.15 NMAC below.
M.    None of these regulations restrict the due process rights of an individual to request a less restrictive guardianship or to overturn the decision of a guardianship contractor or the office of guardianship through a court of law.
[9.4.21.14 NMAC - N, 04/14/2006; A. 04/30/07]

Grievances against the office of guardianship or a staff member of the office of guardianship shall be filed with and investigated by the human services department, by sending a complaint in writing directly to the secretary of human services department with a copy sent to the director of the office of guardianship. (NMSA 2003 28-16B-6E)
[9.4.21.15 NMAC - N, 04/14/2006]