	Adult Guardianship

Introduction

Administration and Management

Service Delivery Administration Standards

Service Standards

AG 6: Conflict of Interest

The organization establishes the well-being of individuals as its primary responsibility and eliminates the risk, or appearance, of a conflict of interest.

Interpretation: A conflict of interest exists when an action made on behalf of the individual may be seen as self-serving to the guardianship worker or the organization as a whole, such as when the organization arranges for the individual to live in one of its residential facilities for which it will collect rent or some other form of payment.

AG 6.01

Whenever possible, the guardianship program:

operates as an independent entity; and
refers individuals to services offered by outside providers.

Update: Revised Standard, Added Interpretation - 06/01/10

AG 6.01 Original Standard:

Whenever possible, the individual should be referred to services offered by outside providers except when an appropriate provider is unavailable.

Interpretation: When the guardianship program is part of a larger organization or entity, it should have the authority to make independent decisions in order to avoid conflicts due to the potentially competing interests of the larger organization or entity. Exceptions to element (b) should be made only: (1) when an appropriate outside service provider is unavailable, and (2) when the exception is in the best interest of the individual served.

Research Note: When the population receiving social services from the organization is the same population for whom the organization is acting as guardian, a conflict of interest can arise. In such situations, guardianship workers may not have the autonomy required to advocate on the individual’s behalf or assess the quality and appropriateness of the service being provided. A clear process for assessing the needs of the individual, and identifying the service provider who will most effectively meet those needs should be established.

AG 6.02

When the organization acts as both guardian and direct service provider, reasons for the arrangement should be documented in the case record.

AG 6.03

The organization discloses any potential conflict of interest to all involved parties including the court, the individual, and his or her family as appropriate.

Update: Revised Standard, Added Interpretation - 06/01/10

AG 6.03 Original Standard:

The organization should disclose any potential conflict of interest to all involved parties including the court, service recipient, and his or her family as appropriate.

Interpretation: For example, if the organization acts as both guardian and direct service provider, the court should be notified.

AG 6.04

The organization only petitions the court for its own appointment as guardian when no other entity is available.

Research Note: The literature strongly suggests that there is an inherent conflict of interest when the organization acts as both petitioner and guardian. The guardian’s first responsibility is to protect the rights and assets of the individual, and acting as petitioner could be seen as self-serving. When acting as petitioner, an organization has the power to pick only those cases that would be profitable or require minimal staff time and avoid cases involving destitute individuals or individuals with significant behavioral issues.

However, it is also important to point out that barriers to finding a petitioner such as a lack of community relationships or an inability to cover court and filing fees could result in individuals going without needed services. Organizations should collaborate with other stakeholders such as nursing homes, police departments, community mental health agencies, family members, adult protective services, hospitals, attorneys, and assisted living facilities to identify potential petitioners within the community. The organization should also be aware of fee waivers in their state that may make petitioning the court more financially viable for community members and service providers.

When the organization must act as petitioner, it should do so based upon a referral from a neutral third party and provide evidence that steps were taken to protect the individual’s right to due process including access to quality legal representation.

AG 6.05

All guardianship fees are reported to and approved by the court.

Update: Added Standard - 06/01/10

Added Standard

QUICK JUMP TO


	PURPOSE: Individuals who receive guardianship services maintain a level of independence and self-determination appropriate to their functional capacity, and are at minimized risk of abuse, neglect, or exploitation.

RELATED FILES


	SERVICE One or more organization-operated programs or activities that have a common general objective and deploy the organization's material and human resources in a planned and systematic manner. An organization that publicly promotes or identifies itself in writing as offering a service, is licensed to deliver a service, assigns personnel and/or space to a service, or allocates financial resources to a service is considered to offer that service.


	CONFLICT OF INTEREST A conflict between an individual self-interest and the public good. Example: an organization that operates a day treatment program awards a food services contract to a local restaurant that is owned by a governing body member. From a legal standpoint, "conflict of interest" is a term used in connection with fiduciaries and their relationship to matters of private interest or gain to them. When used to suggest disqualification of a fiduciary from performing his or her sworn duty, the term refers to a clash between public interest and private pecuniary interest of the concerned individual.


	SOCIAL SERVICES Activities that enable individuals, families, and groups to cope with social and psychological problems interfering with their functioning.


	QUALITY In this context, the extent to which contemporary and generally recognized standards for professional practice are met and exceeded, and desirable service outcomes achieved.


	APPROPRIATENESS The degree to which a particular service, placement, treatment, intervention, or activity is: best suited to an individual's needs; not excessive, unduly intrusive, or restrictive; anticipated to be effective in achieving the desired and specified outcomes; and adequate or sufficient in quantity to address the problem.


	CASE RECORD A written compilation that describes the client and the services delivered. Records can be in hard copy and/or electronic format. The case record can be used as a source of information for quality improvement or other evaluation activities, for research purposes, or to demonstrate accountability to funding bodies.


	CASE A general term used to designate clients (including individuals, families, and groups) served by an organization for purposes of monitoring the provision of services. A foster care case is generally based on the placement of an individual child, although casework for the child may include services to the child's family. A child protective services case is based on an entire family household if a family assessment model is used; otherwise a case is defined as a child.


	COMMUNITY A specific group of people living in the same locality and who may share a common culture, values, and norms. Communities can also be defined by race, religion, ethnicity, age, occupation, political status, tribal affiliation, interest in particular problems or outcomes, or other common bonds. The term "community" encompasses worksites, schools, tribes, residential neighborhoods, business districts, recreational areas, and health and human service sites.


	STAKEHOLDER Any person, group, or organization that has a vested interest in the services provided by the organization. Examples: clients, consumers, personnel, funding organizations, referral organizations, vendors, and governmental bodies.


	FAMILY Two or more people who consider themselves family and who assume obligations, functions, and responsibilities generally essential to healthy family life. Child care and child socialization, income support, long-term care, and other caregiving are among the functions of family life. The definition of "family" will rest with an individual's indication of who plays a family member role, including current or former foster family, adoptive family, extended family members, fictive kin, or significant others. Organizations that believe family is the central constellation in a child's life, and that family attachments are of primary importance for human development, will strive to work with professional staff to develop a common understanding of "family."