In many cases, both courts and federal agencies have responsibilities for  protecting incapacitated elderly people, as shown in figure 1. State Laws Require Courts to Oversee Guardianships, but Jurisdictional Issues Complicate Oversight

State laws provide for court appointment and oversight of guardianships. 2.) Some states are reluctant to recognize guardianships originating in other  states, leading to jurisdictional complications. In each state, most courts responding to our  survey required all guardians to submit time and expense records to  support petitions for compensation, but other courts in each state only  require these reports for some guardians. Most Courts Surveyed Do Not Track the Number of Active Guardianships

In each state surveyed, some information needed for effective oversight of  guardianships, such as the number of people with guardians, was generally  not available. State Courts and Federal Representative Payee Programs Serve Many of the Same Incapacitated Elderly People, but Collaborate Little in Oversight Efforts

Federal agencies and state courts’ representative payee programs  collaborate little to protect incapacitated people and prevent misuse of  federal benefits. Some state courts and federal agencies share certain information  on a case-by-case basis. Insufficient interagency coordination may also leave incapacitated elderly  people more vulnerable to abuse or neglect. 3.) Not only is it likely that the lack of coordination limits the protection of  incapacitated people and their federal benefits, it may also result in  increased federal expenditures. To facilitate state efforts to improve oversight of guardianships and to aid  guardians in the fulfillment of their responsibilities, the Department of  Health and Human Services should work with national organizations  involved in guardianship programs, such as the those represented on the  National Guardianship Network, to provide support and leadership to the  states for cost-effective pilot and demonstration projects to:    develop cost-effective approaches for compiling, on a continuing basis,  consistent national data concerning guardianships to aid in the  management of programs for protecting incapacitated adults, such as  the age of the incapacitated person, the type of guardian appointed, etc;    study options for compiling data from federal agencies and state  agencies, such as Adult Protective Services agencies, concerning the  incidence of elder abuse in cases in which the victim had granted  someone the durable power of attorney or had been assigned a  fiduciary, such as a guardian or representative payee, and in cases in  which the victim did not have a fiduciary; and  review state policies and procedures concerning interstate transfer and  recognition of guardianship appointments to facilitate efficient and  cost-effective solutions for interstate jurisdictional issues. To determine what state courts do to ensure that guardians fulfill their  responsibilities, we studied both states’ laws concerning guardianship and  court practices, particularly those concerning court oversight of  guardians. To determine what guardianship programs recognized as exemplary do to  ensure that guardians fulfill their responsibilities we visited 4 courts to  study their procedures. The four courts we selected were each identified as exemplary by two or  more members of the network. Information in financial  reports is verified.
Why GAO Did This Study

As people age, some become incapable of managing their personal and financial affairs. To protect these people, state laws provide for court appointment of guardians to act on their behalf. In many cases federal programs provide these incapacitated people financial benefits. GAO was asked to examine: (1) what state courts do to ensure that guardians fulfill their responsibilities, (2) what guardianship programs recognized as exemplary do to ensure that guardians fulfill their responsibilities, and (3) how state courts and federal agencies work together to protect incapacitated elderly people.

What GAO Found

All states have laws requiring courts to oversee guardianships, but court implementation varies. Most require guardians to submit periodic reports, but do not specify court review of these reports. Interstate jurisdictional issues sometimes arise when states do not recognize guardianships originating in other states. Most courts responding to our survey did not track the number of active guardianships, and few indicated the number of incapacitated elderly people under guardianship. Four courts recognized by members of the National Guardianship Network as having exemplary guardianship programs devote staff to strong programs for guardianship training and oversight. Three of these courts offer training to guardians even though state law does not require it. Three also have programs in which volunteers or social work student interns visit people under guardianship and report on their condition. Although state courts and federal agencies are responsible for protecting many of the same incapacitated elderly people, they generally work together only on a case-by-case basis. Some courts send notices of guardianship to the Department of Veterans Affairs and the Social Security Administration, but generally coordination among federal agencies and courts is not systematic. Federal agencies and courts do not systematically notify other agencies or courts when they identify someone as incapacitated, or when they discover that a guardian or a representative payee is abusing the incapacitated person. This lack of coordination may leave incapacitated people without the protection of responsible guardians and representative payees.