2016

Office of the

Public Administrator/

Guardian/

Conservator

Social Services Agency

Department of Aging and Adult Services

Annual Report

TABLE OF CONTENTS

Introduction 3

Operational Highlights and Accomplishments 4

Client Services 4

Empowering Staff 6

Transforming Operations through Technology 8

PAGC Case Snapshots 10

Financial Abuse Specialist Team (FAST) 12

FAST Case Snapshots 14

PAGC Staff 15

Program Descriptions 16

Conservatorships 16

Charts and Graphs 19

Estate Administration 21

Public Administration 21

Court Accountings and Fee Collection 22

Urgent Needs Fund 23

Oversight of PAGC 24

2

3

In the past year, the Office of the Public Administrator, Guardian, Conservator (PAGC) has

continued to work towards goals consistent with Santa Clara County Social Service’s strategic

vision to serve customers, empower staff, and transform operations through innovation and

technology. It has been a busy and rewarding year, with many improvements and new ideas,

which are outlined and described on the following pages. This report begins with PAGC’s

operational highlights and accomplishments, presents a snapshot of PAGC’s good works and

distinctive cases, and defines the PAGC program. Charts and graphs underlining the numbers

and demographics of the division are also included.

It is important to note that the PAGC actually contains three programs that in other counties

are often divided amongst several departments. This makes Santa Clara County PAGC a

particularly multifaceted and complex program, serving adults who cannot care for themselves

due to mental illness and/or dementia, brain injury or other cognitive impairments. In addition

to serving vulnerable adults, the Public Administration Division executes the estates of

deceased Santa Clara County residents when no one else is capable or willing. These services

are made possible through the generosity of the Santa Clara County Board of Supervisors and in

particular the dedication of PAGC Deputies, Estate Administrators, Estate Property Specialists,

support staff, and management. In addition, County Counsel, PAGC Financial Management

Services units, Information Systems and Adult Protective Services work closely with us as we

assist residents at-risk of abuse and/or self-neglect.

INTRODUCTION

4

Operational Highlights and Accomplishments

Client Services

True Link Services

A new program for PAGC, True Link Services is a financial services

company that protects vulnerable individuals from becoming

victims of fraud, scams and exploitation. Since the PAGC is

responsible for monitoring conservatee spending and providing personal needs money each

month, True Link greatly benefits relatively high functioning conservatees in independent

settings. The True Link card simplifies fund distribution and saves staff time by reducing

administrative tasks. The company provides tools that can be self-managed by a conservatee or

managed by Deputy Public Guardian Conservators (DPGC). With True Link, PAGC staff is able to

protect clients’ independence and assets. Purchases at specific stores can be blocked while

other stores have approved expenditures for specific items. DPGCs can also disable the card

and obtain alerts as needed.

Partnering with Behavioral Health and Valley Medical Center

Many PAGC clients are also served by Behavioral Health (BH) and may become a patient at

Valley Medical Center (VMC) in either the hospital or Emergency Psychiatric Services (EPS).

Therefore there is a need to keep communication open to discuss client issues, treatment,

placement, etc. To find common ground, discussions have led to joint meetings and inclusion of

PAGC in Multi-Disciplinary Teams (MDT). As we move forward, MOUs with VMC or BH are being

considered or are in the development process.

In the past year, VMC Emergency Psychological services referred 110 patients for LPS

conservatorship. Of those, PAGC petitioned for conservatorship on 86% of the cases. Of those

not filed, the majority were due to doctors withdrawing their recommendations for

conservatorship or jurisdictional issues. 4% 10% 86% 100%

Note: PAGC also received five probate

referrals from the VMC hospital, of

which two were accepted, two were

not accepted and one is pending

additional paperwork.

5

Behavioral Health/24 Hour Care is working on a MOU to allow PAGC to enter conservatee

information into the Behavioral Health UNICARE database system, including date of temporary

or permanent conservatorship, termination or dismissal of conservatorship as well as the PAGC

staff assigned. This will improve communication with providers and allow better care and

services for our clients.

Estate Planning

PAGC is currently responsible for $94,743,444.26 worth of client assets. Estate Planning is the

formal venue for discussion, management and protection of client estates. Financial issues

related to budgets, resources, sale of residences and/or liquidation of major assets are

discussed and deliberated, resulting in a plan of action. Through a comprehensive process

involving management, supervisors, County Counsel, deputies and estate administrators;

complex situations such as occupancy issues, caregiving, evictions, repair projects, reverse

mortgages, etc. are moved forward or resolved. Weekly Estate Planning meetings provide

attention to and oversight of client estates. Through this, work assets are safeguarded, adding

to the conservatee’s security and quality of life.

Trust Review

There are 89 client trusts managed or overseen by the PAGC and reviewing the conditions of

the trusts and their contents is essential to the proper oversight of client assets. Each trust is

reviewed yearly and at any time, staff’s questions or concerns can be addressed quickly by

requesting a review on the next week’s Trust Review agenda.

Although Estate Administrators have expertise in trust administration, when budget cutbacks

eliminated many EA positions, trusts were assigned to DPGCs for oversight. Now that the

Estate Administration positions are fully reinstated, we have gradually migrated many trust

cases back to the caseloads of Estate Administrators. Currently, approximately 60% of trusts

have been re-assigned to Estate Administrators, and the remaining trusts will be reviewed and

re-assigned in the next four months.

Asset Inventory by Type and Value

6

Department of Aging and Adult Services Public Health Nurses

There are two nurses currently serving

Adult Protective Services (APS) and In

Home Support Services (IHSS) in the

Department of Aging and Adult Services

(DAAS). PAGC asked and received

permission to submit a request form to

ask a Public Health Nurse (PHN) to visit

with a Deputy Public Guardian (DPG) on

select visits where the nurse’s expertise

might help in assessing the client’s

medical needs and/or condition. This is

a valuable service to our clients, who

often find it difficult to travel to a clinic or doctor’s office.

Extra Help

Currently, there are five extra-help workers in PAGC. The request for extra help was needed as

Deputies and EAs found it increasingly difficult to keep up with complicated and time

consuming cases as they battle traffic to take clients to appointments, deliver weekly funds, or

check on household issues. In addition, finding appropriate and qualified staff replacements for

open positions in PAGC’s very specialized work has, at times, been difficult. These extra help

workers, along with three efficient and energetic interns, have helped to relieve some of the

workload and provided better oversight and contact with PAGC clients.

Empowering Staff

Induction Training for PAGC New Hires

In 2016, the Public Guardians Office, along with SSA Staff

Development, developed and implemented Induction

Training for all new Public Guardian hires. The program was

originally offered for two half days per week for 13 weeks

and has since been altered to three half days a week for

eight weeks. Induction workshops are facilitated by our

talented in-house staff, county counsel and financial

management staff. Topics included in the training are: mandated reporting, confidentiality,

conservatorship (Probate and LPS), public administration, legal issues, burial arrangements,

trust administration, court accounting, and much more.

7

PAGC Annual Regional Conference

In May of 2016, the SCC PAGC in collaboration

with the PA/PG/PC Association held the

Annual three days PAGC Regional Conference

for local area PG offices and surrounding

counties. The conference was a huge success

with over 125 attendees, 21 counties

represented and workshop presenters from

the bay area and beyond. Ten various

workshops were offered including Veterans

Affairs, Review of Psychiatric Diagnoses and

Treatment in Older Adults, Overview of Brain

Injury and Related Services, Examination of

Court Accounting, Fiduciary Ethics, and

Palliative Care verse Hospice. The Public Guardian staff was able to earn continuing education

units, which are required yearly by the PA/PG/PC Association. We look forward to hosting the

annual Regional Conference again in June 2017.

PAGC Bay Area Regional Meeting

Earlier this year, the Santa Clara County Public Guardian office reinstituted the vital Bay Area

Regional Meeting for surrounding counties. In February of 2016, Public Guardians and

managers from Alameda, San Francisco, San Joaquin, Santa Cruz, Monterey, and Santa Clara

counties met in San Jose for the first quarterly Bay Area Regional Meeting. The meeting creates

an opportunity for the group to foster communication by discussing challenges, improvements,

ideas, legislation, personnel, training and best practices. The Bay Area counties have benefited

greatly from these meetings and plan to work toward consistency among California PG

programs in 2017.

Policy and Procedures—New, Revised and Updated

In 2016, PAGC continued to develop new procedures to provide a more thorough framework

within which the program operates. These six procedures and polices include: Obtaining

Medallion Signatures, Social Worker I/Deputy Public Guardian Assistant Process, Processing LPS

Letters and Orders, Processing Public Administrator (PA) Letters and Orders, True Link Services,

and Request for Panoramic Tickets.

In trying to bring more structure to the PG and assist in the day-to-day decision-making

processes, several procedures were updated or revised. Some of those procedures include:

Emergency Procedures for Missing Persons, Placement-Disposition of Animals, Physical

8

Inventory Verification, and Burial Trust Open and Close. Developing clearly written policies and

procedures that are documented, updated, trained and followed, helps brings structure to the

program.

In addition, an expert on state Probate codes and regulations, as well as PAGC best practices,

has been hired to lead and facilitate an in-depth examination of existing policies and

procedures related to content, current operations, and format.

Transforming Operations through Technology

Data Recovery Technology

The PAGC office is proud to have instituted a new, innovative Data

Recovery Technology (DRT) program with the help of the PAGC Sheriff

Investigator. The PAGC is responsible for the financial affairs of many of its

clients and for the estates in decedent cases. In the past, deputies, estate

administrators, and estate property specialists relied on paper documents

found in clients’ homes and obtained from financial institutions, attorneys,

relatives, etc., to find and secure assets and gather necessary documentation.

Current trends indicate a dramatic increase in the use of online banking, investments, property

records, and other estate and asset related information. This information is commonly stored

on computers, tablets, smart phones, memory cards, flash drives and other electronic devices.

The DRT is a new generational investigative approach to help identify electronically stored data.

Equipment and a secured room are now in use by an appointed Data Recovery Team and will

help greatly in reducing investigation time and increasing the recovery of client contacts, assets,

and documents.

PAGC Online Toolbox and Updated Forms

A PAGC voluntary workgroup made up of Deputies, EAs, clerical staff and supervisors from all

units in the office meet weekly to create a PAGC toolbox that will assist staff with simple forms,

legal matters, local senior resources, end of life issues and much more. The workgroup has

diligently worked on revising, updating and developing forms to be uploaded to our Panoramic

computer system as well as entered it the toolbox. The group also developed an emergency

phone number card for all staff to use while in the field. As the group continues to meet and

work hard, the goal is to have the toolbox up and running on the Intranet by mid-2017.

Remote Access for Field Staff

This year PAGC was able to secure updated phones for staff operating in the field. Old flip

phones were traded in for smartphones that allow remote access. It is hoped that laptops will

9

be furnished in the next year for the over 50 workers who spend a large percentage of their day

operating in the field.

Future Planned Technology

Discussions on the need for an Integrated Document Management (IDM) Project have begun

between PAGC, SSA Agency Management and Information Systems. Currently, a large file room

houses client files that can go back 10 to 15 years, as a conserved client can be with the PAGC

for most of their adult life. PAGC understands the importance of instituting an IDM program as

soon as possible and looks forward to making progress on this project.

DocuSign was presented to PAGC by SSA Financial Management Services (FMS) with the intent

of initiating its use in the appropriate financial transactions that our two divisions execute each

day. Use of this service will begin with our Closing Interest and Clearing Request Form. As one

FMS manager stated, “Currently, it’s difficult to know where the form is, who’s holding it up,

and what the current status is.” Using DocuSign will improve the transparency and reliability of

processes. In the next year, we intend to develop the use of DocuSign for Legal Action

Requests, Court Petitions, and any other documents that require multiple signatures.

Online Auctions

Instead of a large auction at our warehouse with an auctioneer, lots of marketing and the 30-

40% auctioneer commission, PAGC is now using an online auction to sell items on behalf of

conservatees and decedents served by our office. This online auction provides services to

government agencies that allow them to sell surplus items through the Internet. The auction

house has made selling items more efficient, saved a lot of staff time as well as provided an

inexpensive venue to sell products.

New System for Benefits

A new system using Panoramic rather than excel spreadsheets, allowed staff to request

benefits for their clients and for these requests to be tracked electronically. This system

enables clerical to receive requests, document, track, and respond more easily and timely. The

following chart reflects the number of benefit activities that have taken place on behalf of

PAGC clients throughout the year.

10

Reunited—Mark and Karen’s Story

Mark and Karen, a married couple who had never spent more than a few days apart during

their decades together, had become ill and found themselves separated due to circumstances

beyond their control. For months, they were receiving treatment for their respective illnesses

miles apart from one another. Devastated by their situation and inability to be together, they

depended on Probate Deputies and Estate Administrators, who worked tirelessly to reunite the

aging couple.

Together, the team at PAGC began to piece together a solution by developing an estate plan,

organizing 24-hour caregivers and preparing their home for Mark and Karen’s return. When

everything had come together, the couple was overjoyed to be reunited. All smiles and tears,

Mark and Karen said of their Deputy, “She is the one who brought us home and we are so

grateful!”

PAGC Case Snapshots Working to Improve the Lives of Others

At Peace in His Own Home—Jeff’s Story

Once a savvy businessman with a net worth of $15 million, Jeff’s dementia had begun to take a

toll on his mental and physical strength and he was unable to protect himself from predators.

He became a target of threats, violence and financial abuse by an employee of his property

management company. The abusive employee demanded high wages and expensive presents

and ran up huge credit card bills, all while living rent-free in the client’s property, violating his

employment agreement.

Jeff had a hard time seeing that he was being financially abused. In addition, he was unable to

physically care for himself and required assistance with hygiene and medical care. Meanwhile,

his abuser was also threatening other employees with violence, and those employees

contacted Adult Protective Services on behalf of Jeff, who was ultimately referred to the Public

Guardian for conservatorship. Through the Public Guardian, Jeff gained protection through an

Elder Abuse Restraining Order and his assets were secured. Jeff now lives peacefully in his own

home with appropriate care and supervision.

11

A Guardian Angel—Fred’s Story

Suffering from vascular dementia, Fred fell victim to a sweetheart scam, which drained him of

over $300,000 and left him with a fraction of his life savings. He had been hospitalized for four

months when the PAGC was appointed as his conservator. On Fred’s behalf, his Deputy applied

for benefits and located a care home where he would receive the services he needed. Ever

since he was placed in the home, Fred has been thriving and is thankful for the care he has

received, saying his Deputy is his “guardian angel.”

Back on Her Feet—Samantha’s Story

Samantha had a long history of homelessness and wandering when she was referred to PAGC

by the Santa Clara County Main Jail’s inpatient psychiatry unit. Diagnosed with schizophrenia,

this intelligent, college-educated woman had succumbed to her illness, which led to the

deterioration of her relationships with her family, poor self-esteem and living on the streets.

With the help of her PAGC Deputy, Samantha developed goals while in treatment and gained

insight into what was needed to remain independent within the community. When PAGC staff

assisted her in obtaining benefits, they discovered that she was entitled to over $17,000 in

Social Security back payments. With the skills she developed, the benefits she now receives and

money to get back on her feet, Samantha was released from conservatorship a year ago and

has continued to be successful, living independently in an apartment she found on her own.

Rescued from Abuse—Marie’s Story

At 88 years old, Marie had been living beyond her means and found that her financial resources

were running out. She was introduced to an attorney who promised to help her stay in her

home. He advised her to revoke her estate plan, which left her $3 million home to her family,

and instead grant him Power of Attorney. He took charge of her care, hiring questionable

caregivers and pressured Marie into signing a complicated lease agreement, giving him the full

rights to her property for the next 30 years. He then installed sound-proof windows and a large

gate to keep others out and permitted friends to reside in the house rent-free.

When she suffered a stroke, Marie’s attorney refused to take her to the doctor for several days,

instructing her caregivers to only give her ice for the pain. The Public Guardian stepped in and

immediately petitioned the court for an emergency, ex-parte petition for conservatorship,

prevailing over the objections of the abusive attorney, who rescinded the lease. Marie is now

living in her home, with the appropriate care she needs to enjoy her life.

12

Financial Abuse Specialist Team (FAST)

Outcomes of FAST Cases

After initial vetting by Adult Protective Services, 45 cases were investigated by the FAST team in

the past year. Each referral receives a thorough investigation, which typically includes multiple

interviews, visits to financial institutions, researching legal documents, financial statements and

other memoranda associated with the alleged abuse. Team members (DPGCs, EAs, APS Social

Worker) follow a twofold approach for each case: (1) determine if there has been fraud, theft,

or other criminal activity; and (2) determine if the victim is in need of a conservatorship. Both

County Counsel and Deputy District Attorneys are present to discuss the case. Once fraud,

theft, embezzlement, etc. has been detected, the Team develops a plan to protect the victim’s

remaining assets and discusses an approach to recover stolen property.

The Public Guardian has extraordinary (statutory) powers to freeze, collect or otherwise protect

assets at risk. This could involve exercising the authority to freeze bank accounts, preventing

transfers of investments or interceding and preventing a fraudulent real estate transaction

from being completed.

There are several possible outcomes from a referral for FAST Investigation:

The allegations of financial abuse are determined to be unfounded. In some instances, there has

been a misinterpretation of the facts, or more commonly, cross-allegations are made by

siblings/beneficiaries, against each other;

The allegations are determined to have merit and assets are at risk. The victim may have

dementia, or other cognitive deficiencies, but there are less intrusive vehicles available to

protect the individual and their property than a conservatorship (appointment of a fiduciary,

power of attorney, appointment of a trustee or successor trustee);

The allegations are determined to have merit and assets are at risk. The individual will be

evaluated for conservatorship. A thorough screening and assessment will take place before the

court hearing is held. During this period of time, the Public Guardian will exercise its

extraordinary powers to protect assets, and will enlist any necessary services to ensure that the

proposed conservatee is safe and has proper care in place; or

The Public Guardian may be appointed temporary conservator and a family member or other

party may be appointed by the Probate Court to take over the conservatorship for a variety of

reasons. In very rare instances, a conservatee may have stabilized and gotten their estate in

order, so that they are no longer in need of a conservatorship.

13

FAST Assets Recovered and/or Loss Prevention

The investigative process, as well as the appointment of Conservator and the managing of a

conservatee’s estate, may take weeks or months. In Financial Abuse cases, the Public Guardian

may file an action to recover conservatee’s property, or there may be a criminal prosecution

and restitution ordered. In many such cases, the assets are gone and the Public Guardian must

develop a plan to pay for the care and other needs a conservatee will have for the rest of their

life. This entails creative, conservative, case management and long-range planning.

In FY 2016, PAGC prevented the loss of and recovered a total of $37,316,000 in assets, which

are a combination of real property, liquid assets, stocks and bonds and restitution, recovery and

settlements. Since the FAST program began in 1999, PAGC has prevented the loss of and

recovered assets totaling over $300 million.

FY 2016

14

Crisis Averted—Charles’ Story

Unscrupulous caregivers had convinced Charles to invest $1 million of his estate in real

property for their family’s benefit in the name of friendship. When the transaction was almost

complete, the case was reported to Adult Protective Services. The FAST team immediately

began the investigation and the theft was averted and the transaction was cancelled. The team

was able to stop the abuse, put the client’s finances in order and provide him help with a

private fiduciary.

FAST Case Snapshots Stopping Financial Abuse

Freedom from an Abusive Son—Thomas and Carla’s Story

Thomas and Carla feared their adult son, who suffered from alcohol and drug addiction and was

living in their rental property without paying rent. He had a history of violence and constantly

badgered his elderly parents for loans and caused them to lose four properties while taking

hundreds of thousands of dollars from their savings. Now in their eighties, Thomas and Carla

needed help to make their property profitable enough to pay for their care. The FAST team

intervened and safely removed the son from the property so it could be utilized to generate

income for the couple’s daily needs.

Saved at a Critical Moment—Jill’s Story

Recently widowed and emotionally distraught, Jill fell victim to the operator of a residential

care facility. He persuaded her to sell her home to him for a significantly reduced price in

exchange for the right to remain in the home at below market rate. When that scheme failed,

the abuser put the house on the market, with the proceeds earmarked to go to him.

Through the intervention of the Public Guardian, the sale was intercepted and the proceeds

held until a conservatorship could be established and an estate plan created for Jill. Through

the FAST team’s collaboration, the complexities of this case were unraveled and, at a critical

moment, Jill’s funds were secured and returned to her.

15

PAGC Staff

The office of the Public Administrator/Guardian/Conservator is comprised of 84 employees.

This year, an Office Management Coordinator position was created and an Administrative

position was added (and one Office Specialist III position was deleted).

1 Chief Deputy Public Administrator/Guardian/Conservator

12 Estate Administrators

6 to manage real property trusts, securities and assets of clients

6 to manage Decedent Estate cases

2 Estate Administrator Assistants

4 Estate Property Specialists

1 Deputy Public Guardian Assistant

32 Deputy Public Guardian Conservators

1 Office Management Coordinator

1 Executive Assistant

1 Administrative Assistant

1 Legal Secretary II

2 Office Specialist IIs

10 Office Specialist IIIs

1 Social Services Program Manager II/I (Estate and Public Administration)

1 Social Services Program Manager III/II (LPS and Probate)

4 Supervising Deputy Public Guardian Conservators

2 Supervising Estate Administrators

2 Extra-Help Social Workers

1 Extra-Help Deputy Public Guardian Assistant

1 Extra-Help Estate Administrator

1 Extra-Help Management Analysis Program Manager III

3 Masters of Social Work Student Interns

16

Program Descriptions

The Office of the Public Administrator/Guardian/Conservator (PAGC) in the Department of

Aging and Adult Services (DAAS), Social Services Agency (SSA) provides essential programs for

residents of Santa Clara County to ensure the safety and well-being of individuals who cannot

care for themselves. The PAGC is governed by the California Probate Code as well as the

Welfare and Institution Code and only acts on behalf of an individual and/or an individual’s

estate if appointed by the California Superior Court.

The PAGC is accountable to the Superior Court and is

represented by the SSA County Counsel. The Superior

Court appoints the PAGC to act as a primary decision

maker for Conservatorship and Public Administration

cases.

The residence of the client at the time of

commencement of proceedings is often presumed to

be the appropriate and least restrictive residence for

the conservatee. Upon appointment, the PAGC shall

determine the appropriate level of care, taking into

account all of the circumstances of the client,

included but not limited to the clients financial means

and medical needs.

Conservatorships

A Conservatorship is a civil legal process which begins with a referral to the PAGC from a variety

of sources such as: hospitals, skilled nursing facilities, jails, the Superior Court and agencies

such as Adult Protective Services and the Department of Mental Health. In accordance with the

Probate Code and Welfare and Institutions Code, the referral must include information about

the physical or mental impairment that results in the individual’s inability to provide for their

own personal needs such as health, food, clothing, shelter and financial management.

Information is also required related to support systems, such as family or friends and the family

or friends’ ability or willingness to assist the individual. Finally, a conservatorship requires

medical information including diagnosis, history and treatment as well as a mental capacity

determination by a qualified specialist.

Facility or Residence Types

17

Once the referral is received by the PAGC, it is screened to ensure that the referral meets the

guidelines as defined in the Probate Code and/or Welfare and Institution Code. If a referral

meets the legal criteria, it is assigned to a Deputy Public Guardian Conservator (DPGC) who

makes contact with the individual and conducts an assessment and investigation to determine

if there is a need for a conservatorship. If the client has assets, such as real and personal

property, an Estate Administrator (EA) is also assigned to the case, and the DPGC and the EA

work on the case conjointly. Estate Property Specialist staff may also assist with the inventory

process and management of personal property.

A crucial part of the investigation is to determine if there could be an alternate plan before

assigning public conservatorship. This is accomplished by contacting health care providers,

family and friends and/or helping to secure community based services. In some situations,

there are family and friends who, despite their willingness to help, are not good conservator

candidates, because they are suspected of elder or dependent adult abuse and/or neglect of

the client.

If there is no alternate plan that can be created to address the unmet needs of the individual

referred, the PAGC staff completes the investigation and the PAGC asks County Counsel to

petition the Superior Court for appointment of the PAGC as conservator. In some cases the

Superior Court assigns an independent Court Investigator to assess the client and their needs,

and determine the appropriateness of the petition for conservatorship. The Court Investigator

then submits a recommendation to the Court. A hearing date is set and the individual referred

is represented by the Public Defender or private counsel as needed. There are two types of

conservatorships in PAGC:

Lanterman Petris Short Conservatorship

A Lanterman Petris Short (LPS) Conservatorship is named for the three California legislators

who wrote the LPS Act in 1967: Lanterman, Petris, and Short. This type of conservatorship may

be appointed for individuals who are diagnosed with a serious mental illness and are

determined to be either a danger to self/others or gravely disabled.

The LPS process is mandated by the California Welfare and Institution Code section beginning

with 5000. The purpose is to arrange for the involuntary hospitalization and mental health

treatment of individuals who meet the legal definition of danger to self/others or gravely

disabled as a result of a mental health disorder and who are unwilling or unable to accept

mental health treatment. An individual is referred to the PAGC for an LPS conservatorship when

a psychiatric hospitalization, assessment, and treatment has determined a conservatorship is

necessary. The request for a LPS conservatorship must come from a professional in charge of

the local mental health facility, the local mental health director or the attending psychiatrist.

During an LPS conservatorship, some individual rights such as having an active driver’s license

and owning a gun may be revoked. After the acute psychiatric hospitalization, an individual may

18

be placed in a locked psychiatric facility to receive ongoing treatment and support. The goal is

to help the client manage their symptoms and treatment independently. The California Welfare

and Institution Code mandates least restrictive placement, prompt evaluation and treatment,

and safeguards the individual rights through the California Superior Court, probate division. The

individual has the right to free legal representation from the Public Defender’s office and can

attend court and request a hearing to contest a conservatorship.

Probate Conservatorship

A Probate Conservatorship may be appointed for individuals who experience significant

impairments in cognitive function, which are due to dementia or other cognitive issues, and

who

may also be victims of elder or dependent adult abuse or neglect. Medical documentation by a

qualified physician, psychologist or religious healing practitioner is required, specifying

cognitive impairment and/or the client’s inability to provide for their own physical health, food,

clothing, shelter, etc. In addition, the specialist will evaluate the client’s ability to manage their

financial resources or resist fraud and undue influence .

The referral must also include documentation that there is no family, friend or support system

that is willing or able to act on behalf of the individual. It also must indicate whether the

individual has the ability to make medical or financial decisions for them.

The PAGC may receive a referral for probate conservatorship from a hospital, a community or

government agency such as Adult Protective Services. However, a petition for conservatorship

can also be filed in Superior Court by private citizens on behalf of their own family members,

companions or friends, without PAGC involvement.

The California Probate Code 2920 mandates two situations where the PAGC must petition the

Court to become probate conservator, if there is no one else to act:

The Public Guardian shall apply for appointment as guardian or conservator of the

person and/or estate, if there is an imminent threat to the person’s health, safety or

estate.

The Public Guardian shall apply for appointment as guardian or conservator of the

person, the estate, or both if the Court so orders.

In Probate, as in LPS conservatorships, some individual rights such as having an active driver’s

license and owning a gun may be revoked. The individual has the right to free legal

representation from the Public Defender’s office, to attend court and request a hearing to

contest a conservatorship.

The Superior Court may also appoint the PAGC in cases where the client is conserved under

both LPS and Probate criteria. These cases are referred to as “Combo” cases and may also have

an Estate Administrator assigned.

19

Total Cases by Program Type

Total Cases by Program Type and Status

20

Ethnicity by Program Type

LPS PA Probate

Age by Program Type

Referrals by Program Type

Ethnicity by Program Type

21

Asset Inventory by Type and Value

Estate Administration

The Estate Administration (EA) unit manages and maintains the real and personal property of

individuals for whom the PAGC has been appointed as the LPS or Probate conservator. EA staff

members secure bank accounts and other monetary assets to ensure their use on behalf of the

client. The EAs administer trusts, insurance policies, securities, annuities and other client assets.

They look for and examine wills and documents to decipher the client’s wishes. Documents

related to taxes and accountings are prepared and submitted to the SSA’s Financial

Management Services (FMS) unit. An Estate Administrator may also, as part of an investigation

of elder and dependent adult abuse, examine records and documents, as well as interview

witnesses, to determine the fiscal history and economic circumstances of the conservatee. In

cases where the PAGC intends to file for conservatorship and where financial abuse appears

eminent, Probate Code 2901 allows the EA or DPGC to restrain anyone from transferring,

encumbering, or disposing of the client’s real or personal property. This written certification

protects assets and helps to prevent financial abuse.

Public Administration

The Public Administrator (PA) is mandated by the California Probate Code to administer and

provide estate closure services on behalf of deceased Santa Clara County residents when no

one else is willing or able to execute the estate. California probate law states that if a person

dies in a hospital, convalescent hospital or board and care facility without a known next of kin,

the person in charge of the hospital or facility shall give immediate notice to the Public

Administrator division in the PAGC office. If the deceased relatives are not United States

citizens, the PA is charged with closing the estate and assisting families with burial preparations

and final interment.

Referrals come from funeral directors, law enforcement, the Court, the community, or

coroner’s office. Once a referral is received, the PA initiates an investigation, which includes

securing the decedents' home, identification of financial resources, locating wills, trust

documents, and heirs to the estate.

22

If a will is found, the PAGC notifies the named executor. If a will and/or heirs are not found or

the heirs are unable or unwilling to act, the PAGC has the responsibility to make funeral

arrangements as well as to take prompt control of the property and assets that are subject to

loss, injury, waste or misappropriation.

Probate Code determines the process of settling a decedent estate and is monitored by the

Superior Court. It includes the collection and valuing of assets, notification of creditors,

determination of debts and liabilities, filing and payments of inheritances, final income tax

preparation and selling assets, as appropriate.

Court Accountings and Fee Collection

The Probate Code authorizes the PAGC to collect fees when client resources are available to do

so in the Conservatorship and Public Administration programs. New fees not authorized by

Probate Code are subject to Board approval. Fees are collected through the Court Accounting

process and generated $2,127,477.71 in calendar year 2016. There are many fee categories,

such as PG, LPS, and PA ordinary fees, bond fees, County Counsel fees, and extraordinary fees.

These resources go directly into the General Fund to offset the cost of the PAGC program to

county taxpayers.

In conservatorship cases, the PAGC must file an inventory with the Court listing all assets of a

conservatee. According to the guidelines of the Probate Court, the accounting must be filed

after the first year of conservatorship and every two years thereafter.

Honoring Our Veterans

No homeless veteran will ever have an indigent burial in Santa Clara County. PAGC always

checks to see if a decedent in our charge was a US veteran. If so, they are given a

ceremonial burial at the San Joaquin National

Cemetery, regardless of their financial status.

Some local mortuaries agree to prepare the

remains for free and family/friends are invited

to attend the ceremony, which includes the

Twenty-one Gun Salute. If they are unable to be

present, the flag used during the service is sent

to the closest relative.

23

The Court Accounting lists all known property and its value, and financial activity including

assets, income, liabilities, and property sold. At the time the accounting is presented to the

Court, payment of requested fees is approved, if the Court deems appropriate. Once the Court

has approved the collection of fees, the PAGC determines if a conservatee has the ability to

pay. If fee payment causes impoverishment or presents a living expense hardship, the PAGC will

defer the fee.

In Decedent Estate cases, the Probate Code also provides a statutory framework for the

collection of fees. The fees are based on the value of the estate and may include extraordinary

fees. The collection of fees to the PAGC and statutory fees to County Counsel take priority over

distributions to heirs or beneficiaries.

Urgent Needs Fund

The Urgent Needs Fund is intended to assist in the event of an emergency or urgent situation

when no other funding source is immediately available for a conservatee or decedent estate.

Emergency or urgent situations are unexpected events that have a significant impact and/or

pose a threat to the person's health, safety or welfare. The Urgent Needs Fund addresses

imminent needs that require payment within a week and is not intended to be ongoing

financial support.

The Urgent Needs fund was increased in October 2016, from $80,000 to $100,000. The

additional funds are able to provide more conservatees with emergency funds in urgent

situations.

Fees Collected in 2016, by Type

24

Eligible requests to utilize the Urgent Needs Fund include, but are not limited to:

Clothing

Food

Healthcare

Personal Care

Essential Housekeeping

Urgent Transportation

Emergency Shelter

Delinquent rent or mortgage payments

Delinquent caregiver payments

Home insurance

Property taxes

Delinquent utility payments

Emergency or urgent medical needs not covered by other funding sources

Maintaining quality of life while waiting for funds to be available (including

personal needs money)

Oversight of PAGC

The Santa Clara County Superior Court appoints and holds the PAGC accountable to act on

behalf of individuals and/or estates.

SSA Office of County Counsel represents the PAGC in conservatorship and public administration

hearings and legal matters.

SSA Financial Management Services facilitates financial activity including payment of fees,

distributions, accountings and taxes.

SSA Information Systems provides support for Panoramic and for key performance indicator

reports.

Urgent Needs Fund Activity, 2014 to Present