Santa Clara County Grand Jury
• 2013-2014
Ile September 15, 2014 Sep 1 5 2014 David H. Yamasaki The Honorable Brian C. Walsh Presiding Judge Santa Clara County*
⚠️ Translation Notice: This content has been automatically translated. The original English text is the official version. Translation may contain errors.
⚠️ Este contenido ha sido traducido automáticamente. El texto original en inglés es la versión oficial. La traducción puede contener errores.
Findings 10 findings
F1
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By not assigning account/case numbers Agree. PAGC was not consistently entering immediately upon receipt of referrals, probate referral information into the PAGC does not follow Procedure 709.1 Panoramic Case Management System updated January 21, 2014, "Screening (PANO). of Referrals," of the PAGC's Policies and Procedures Manual. Rec 1 The County should require PAGC to Complete. Effective 07/01/14, PAGC is follow its new Procedure 709.2 dated following Procedure 709.2 as all referrals May 20, 2014, "Probate Unit Referral are entered into PANO. Process," in PAGC's Policies and Procedures Manual.
F2
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Acceptance of referrals to PAGC for Agree. The decision to accept a referral for evaluation for conservatorship, which conservatorship was determined by a removes a person's civil liberties, is Supervising Deputy Public Guardian/ decided by one person with the Conservator (SDPGC) with oversight from concurrence of upper management. the Public Administrator/ Guardian/Conservator. Rec 2 The County should implement the Complete. Effective 07/01/14, referrals are entered into PANO. The Probate SDPGs and proposed pilot project of a three- person panel for evaluation of the Supervising Estate Administrator (SEA) convene twice a week to review all conservatorship referrals in accordance with the new Procedure 709.2 dated referrals for conservatorship and May 20, 2014. collectively decide whether to accept or deny a referral. If a referral is denied, a letter is generated explaining the reason(s) for denial. This new process is outlined in Procedure 709.2. Response to Civil Grand Jury Report
F3
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Poor communication and incomplete Agree. Poor communication between APS information sharing from Adult and PAGC exists due to confusion over the Protective Services (APS) to PAGC in level of information that could be shared non-(Financial Abuse Specialist Team) without breaching client confidentiality. FAST cases result in inefficiencies and duplication of work. Rec 3 The County should require APS and the Partially complete. Staff from APS, PAGC PAGC to develop efficient and effective and the Department of Aging and Adult methods of communication and (DAAS) Administration have been actively information sharing. participating in a project under the Center for Leadership and Transformation (CLT) model for the purpose of creating a Memorandum of Understanding (MOU) to identify responsible parties, timelines and protocols to enhance accountability, communication, and information sharing. The MOU is currently being reviewed by DAAS Management and County Counsel. Once the MOU is ratified, APS and PAGC will have developed efficient and effective methods of communication and information sharing that will improve the level of service to our clients. Anticipated complete date: 07/31/14
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In non-FAST cases, PAGC does not Agree. PAGC has been inconsistent with always inform APS about the status of keeping APS abreast of the statuses of the referral after acceptance of the referrals for conservatorship. referral for conservatorship investigation. Rec 4 The County should require PAGC to Partially complete. Staff from APS, PAGC inform APS of any pertinent changes in and the Department of Aging and Adult the client's status and when (DAAS) Administration have been actively conservatorship is granted. participating in a project under the Center for Leadership and Transformation (CLT) model for the purpose of creating a Memorandum of Understanding (MOU) to identify responsible parties, timelines and protocols to enhance accountability, communication, and information sharing. The MOU is currently being reviewed by DAAS Management and County Counsel. Once the MOU is ratified, APS and PAGC Response to Civil Grand Jury Report will have a document with work flow charts to ensure that APS is provided updates on to the status of a referral for conservatorship. Updates will be provided 30 days after the acceptance of a referral for conservatorship and every 14 days thereafter. Anticipated complete date: 07/31/14
F5
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The Capacity Declaration, a mandatory Agree. The capacity declaration is not Judicial Council of California form, is not always filled out correctly by the requesting always completed correctly by the accredited practitioner. attending physician, resulting in the delay of the conservatorship process. Rec 5 The County should devise a process to In process. DAAS will form a workgroup improve identification of errors and comprised of PAGC management, APS omissions on the Capacity Declaration management, County Counsel, and other prior to the acceptance of it. stakeholders, to devise a process to improve the submission of a Capacity Declaration-Conservatorship form that is free of errors and omissions. Anticipated complete date: 08/31/14
F6
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Agree. PAGC does not have formalized As of March 1, 2014, there are no formalized written training programs written training programs for new and for new and current PAGC staff. current PAGC staff. Rec 6a The County should develop and Complete. Depending on the classification implement a formal written case within PAGC, staff is hired with case management training program for new management experience. In lieu of a and current PAGC staff. manual on how to manage a case, PAGC enhances the staffs' existing experience by providing: 1. On- the-job training with PAGC Supervisors and Leads, and 2. Policies and Procedures online that is readily available to assist staff with their work. Furthermore, PAGC offers a host of training opportunities throughout the year (refer to Exhibit A for a list of 2013-2014 PAGC Response to Civil Grand Jury Report trainings) to ensure staff receives the knowledge and skills needed to successfully deliver services to our clients. Rec 6b The County should develop and Partially complete. PANO has a help implement a formal written training function to allow users to self-navigate and program for the use of Panoramic Case perform work. Management System (PANO) for new and current PAGC staff. Additionally, PAGC has begun working with Panoramic Inc. to develop a Train the Trainer program that will ensure we have staff on hand to provide classroom style training on how to use PANO for new and current PAGC staff. Lastly, PAGC is working with an internal Information Systems (IS) Project Manager to identify training gaps and create training modules for all staff. Anticipated complete date: 12/31/14 Partially Agree. Some PAGC Policies and
F7
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The current PAGC Policies and Procedures are not current. Procedures Manual does not reflect current job titles and responsibilities. Rec 7 The County should require PAGC to In process. PAGC is reviewing all of its policies and procedures for inaccurate correct its Policies and Procedures Manual to reflect current job titles and information and making updates to ensure they are current. responsibilities. Anticipated complete date: 09/30/14 Agree. APS does not include a Live Scan
F8
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Background checks of prospective APS (Digitally Scanned Fingerprints) screening personnel, prior to the time of hire into as part of its background check prior to the department, do not include Live offering a job. Scan screening. Substantially Agree. SSA will work with The County should require all Rec 8 County Employee Services Agency (ESA) prospective personnel of APS to receive which is responsible for the human Live Scan screening prior to the time of resources administration, to determine an hire into the department. appropriate standard which may include Live Scan amongst the available tools, for background screening of prospective APS program employees. To the extent that Response to Civil Grand Jury Report there are changes to the existing standards, County will notice the bargaining unit representative, and will implement new screening standards upon completion of meet and confer with such representative and adoption of changes by the Board of Supervisors.
F9
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Background checks of prospective PAGC Agree. PAGC does not include a Live Scan personnel, prior to the time of hire into (Digitally Scanned Fingerprints) screening the department, do not include Live as part of its background check prior to Scan screening. offering a job. Rec 9 The County should require all Substantially Agree. SSA will work with ESA prospective personnel of PAGC to to determine an appropriate standard receive Live Scan screening prior to the which may include Live Scan amongst the time of hire into the department. available tools, for background screening of prospective PAGC program employees. To the extent that there are changes to the existing standards, County will notice the bargaining unit representative, and will implement new screening standards upon completion of meet and confer with such representative and adoption of changes by the Board of Supervisors.
F10
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Agree. The tracking of PAGC case PAGC case management statistics are often incomplete, limited in scope, and management statistics can be improved to inaccurate, leading to SSA allow for better management of client management's inability to make services. effective management and budget decisions. Rec 10 The County should require PAGC to In process. Measures are being put in place to ensure the tracking and reporting of research, identify, and report complete, comprehensive, and accurate case accurate case management statistics. Procedure 709.2 reinforces the timely management statistics. documentation of referrals for conservatorship into PANO. PAGC continues to work with our internal Information Systems (IS) team to develop ad-hoc reports directly in PANO to report out case management statistics. Meanwhile, IS has created ad-hoc reports within Business Objects/InfoView to extract Response to Civil Grand Jury Report data from PANO for reporting purposes. Lastly, a Probate Intake spreadsheet (refer to Exhibit B) has been developed to track case management statistics and is updated and monitored by the PAGC leadership team. Anticipated complete date: 09/30/14 Conclusion The PAGC, in keeping with the Social Services Agency's mission to provide residents of Santa Clara County with high quality, professional financial and protective services, welcomes the constructive findings and recommendations of the Civil Grand Jury. Two separate reports submitted in the past two years have provided both the Agency and the Department of Aging and Adult Services with
Recommendations 2
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R1Page 3On- the-job training with PAGC Supervisors and Leads, and
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R2Page 3Policies and Procedures online that is readily available to assist staff with their work. Furthermore, PAGC offers a host of training opportunities throughout the year (refer to Exhibit A for a list of 2013-2014 PAGC Response to Civil Grand Jury Report trainings) to ensure staff receives the knowledge and skills needed to successfully deliver services to our clients. Rec 6b The County should develop and Partially complete. PANO has a help implement a formal written training function to allow users to self-navigate and program for the use of Panoramic Case perform work. Management System (PANO) for new and current PAGC staff. Additionally, PAGC has begun working with Panoramic Inc. to develop a Train the Trainer program that will ensure we have staff on hand to provide classroom style training on how to use PANO for new and current PAGC staff. Lastly, PAGC is working with an internal Information Systems (IS) Project Manager to identify training gaps and create training modules for all staff. Anticipated complete date: 12/31/14 Partially Agree. Some PAGC Policies and Finding 7 The current PAGC Policies and Procedures are not current. Procedures Manual does not reflect current job titles and responsibilities. Rec 7 The County should require PAGC to In process. PAGC is reviewing all of its policies and procedures for inaccurate correct its Policies and Procedures Manual to reflect current job titles and information and making updates to ensure they are current. responsibilities. Anticipated complete date: 09/30/14 Agree. APS does not include a Live Scan Finding 8
Conclusions 2
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CL1 Page 8The PAGC, in keeping with the Social Services Agency's mission to provide residents of Santa Clara County with high quality, professional financial and protective services, welcomes the constructive findings and recommendations of the Civil Grand Jury. Two separate reports submitted in the past two years have provided both the Agency and the Department of Aging and Adult Services with recommendations to improve office policies, procedures and practice to best serve our community's most vulnerable clients. The Agency will move to incorporate the remaining recommendations provided by the Grand Jury. Page 7 of 7 Response to Civil Grand Jury Report
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CL2 Page 9Response to Civil Grand Jury Report 26 Bloodborne Pathogens Safety 24 Planning for Your Future: Advance Care Planning Workshop 22 2014 Regional Training: Gay and Gray: Aging and Long-Term Care 18 Personal Property and Real Property Management 16 Public Guardian New Hire Training: Probate Ongoing 29 Visitation, Mail, and Telephone Calls 28 Conservator of the Person: Initial Duties, Health, Placement, and Dementia Powers 27 25 Trust Administration 23 2014 Regional Training: Complete Geriatric Assessment 21 Mental Health Parity Basics 20 Trust Management: Special Needs Trusts and Trusts Established by the Court 19 Understanding Basic Mental Health Issues for Conservators 17 Taxation Issues in Estate Planning 15 Public Guardian New Hire Training: LPS Ongoing 13 12 Public Guardian New Hire Training: Estate Administration PA 11 Public Guardian New Hire Training: Probate Intake 10 Public Guardian New Hire Training: Operations and Ethics 14 Public Guardian New Hire Training: LPS Intake \infty 9 9 5 Estate Management After Death: Conservatorship Estates and Decedent Estates Public Guardian New Hire Training: Estate Administration PG Effective Communication and Reasonable Accommodation for SSA Clients Patients' Rights Under Probate and LPS Conservatorships Starting From the Basics: Conservatorship Law, Ethics, and Duties Maintaining a Respectful and Harmonious Work Environment Balancing Customer Care with Self Care Fiduciary Ethics Understanding and Accessing Public Benefits Investigation Basics Temporary and General Conservatorships: Powers, Responsibilities and Limitations Course Title Date: Deputy Cle ATTES The foregoing instrument is a correct copy of the original. nn Regadanz, Clerk of the Silicon Valley Bar Association Silicon Valley Bar Association Silicon Valley Bar Association Silicon Valley Bar Association Silicon Valley Bar Association Michael Hall Bettie Baker Marshall, J.D Hospice of the Valley Mental Health Advocacy Project Silicon Valley Bar Association Silicon Valley Bar Association Mary Clarke William Griffith Barbara Herlihy Victoria Fedor-Thurman Marie Dupras Sandra Monsees Silicon Valley Bar Association Silicon Valley Bar Association Sponsor/Instructor County Counsel Silicon Valley Bar Association Carlotta Royal Judy Cardoza Donald Moody Silicon Valley Bar Association Teresa Hayes, Civil Rights Coordinator Los Angeles County Public Guardian Center for Human Services, UC Davis Extension Center for Human Services, UC Davis Extension Board 06/30/14 07/24/14 06/27/14 06/02/14 05/22/14 05/19/14 05/09/14 05/08/14 05/05/14 05/02/14 04/23/14 04/04/14 03/28/14 03/25/14 03/25/14 03/25/14 03/25/14 03/21/14 03/25/14 03/21/14 03/10/14 02/28/14 02/10/14 02/05/14 01/31/14 01/27/14 01/10/14 11/21/13 09/27/13 Date EXHIBIT A N/A 12 9 9 1.5 2 2 N N N/A N/A 3.5 N 3.5 N/A N/A N/A N/A 2.5 1.5 2 S N/A CEUs
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* This report's PDF did not contain easily extractable text and required Optical Character Recognition (OCR) for analysis. There may be minor errors in the extracted findings and recommendations due to OCR limitations with scanned documents.