58M-2.001. Professional Guardian Registration and Credit Investigation  

Effective on Wednesday, March 1, 2017
  • 1Applicants must score a minimum of 75% on the Professional Guardian Competency Examination or must receive a waiver pursuant to Section 744.2003(8), F.S., from the Department of Elder Affairs’ Office of Public and Professional Guardians (OPPG) before the application for registration will be considered.

    45(1) Definitions. As used in this rule, the term:

    54(a) “Adverse credit history information” means the following:

    621. Personal bankruptcy within the previous 5 years.

    702. Bankruptcy within the last 5 years of any organization based on events that occurred while the applicant was in a position of control of the organization.

    973. Outstanding tax lien or other governmental lien.

    1054. An outstanding judgment or a judgment within the last 15 years that is based upon grounds of fraud, embezzlement, misrepresentation, or deceit.

    1285. Open collection account or charged-off account that remains unpaid, except accounts related solely to unpaid medical expenses.

    1466. Foreclosure on any property owned by the applicant within the last 5 years.

    160(b) “Charged-off” means an account that has been identified by a creditor as an uncollectable debt.

    176(c) 177“Employee with fiduciary responsibility” means an employee of a professional guardian who has the ability to direct any withdrawal or investments from a ward’s banking or investment accounts, supervises the care of the ward under the supervision of the guardian, or who makes any health care decision, as defined by Section 228765.101(6), F.S., 230on behalf of the ward. This term shall also include an employee of a professional guardian who has in-person contact with the Ward more than five (5) times in any thirty (30) day period.

    264(2) Persons required to register with the OPPG as a professional guardian must complete the Professional Guardian Registration Form, DOEA/OPPG Form 001, February 2017, which is incorporated herein by reference and may be obtained from the Office of Public and Professional Guardians, Department of Elder 309Affairs, 4040 Esplanade Way, Tallahassee, Florida 32399-7000, or 317at 318http://www.flrules.org/Gateway/reference.asp?No=Ref-07916320. The Professional Guardian Employee Registration Form, DOEA/OPPG Form 002, February 2017, which is incorporated herein by reference and may be obtained from the OPPG or at 347http://www.flrules.org/Gateway/reference.asp?No=Ref-07917 349must also be completed and submitted for any Professional Guardian Employee with fiduciary responsibility.

    363(3) The registration forms for persons required to register with the OPPG shall be signed by the person required to register or corporate officer if the applicant is a corporation.

    393(4) The completed registration form shall be filed with the OPPG, by hand-delivery or mail. Facsimile submissions will not be accepted.

    414(5) The following items must either accompany the registration form or must be on file with the OPPG, for the 434registration to be deemed complete:

    439(a) A complete credit report, including all pages, from a nationally recognized credit agency. A nationally recognized credit agency shall mean a credit agency that obtains credit information both within and outside the State of Florida; validates, updates, and maintains the accuracy of credit information obtained. The report must reflect the financial responsibility of the applicant and provide full, accurate, current, and complete information regarding payment history and credit rating.

    509(b) Criminal history record 513for guardians as specified in Section 519744.3135, F.S.;

    521(c) Documentation of bonding as required under Section 744.2003, F.S.;

    531(6) For the initial guardian registration, the applicant must submit proof of satisfactorily completing the entire 40 hour course required by Section 744.2003(3), F.S., which includes attendance at all course activities, completion of all homework assignments and passage of the end of course practice exam. Initial applicants must also provide proof of competency by evidence of satisfactory completion of the Department of Elder Affairs approved examination unless waived in accordance with Section 744.2003(8), F.S. For annual renewals, proof of receipt of the minimum continuing education requirements must be submitted, if not on file.

    624(7) A registration fee of thirty-five dollars ($35) for each professional guardian or Professional Guardian Employee with fidcuiary responsibility in the form of a personal check, money order, or cashier’s check made payable to the Office of Public and Professional Guardians must be submitted with the registration form.

    672(8) Adverse Credit History Information. If an applicant’s credit report or responses to the registration application contains adverse credit history information, the OPPG will notify the applicant in writing of the specific items constituting adverse credit history information. The notification will also inform the applicant of the:

    719(a) Opportunity to explain the circumstances surrounding the specific items and provide any other relevant information that the applicant wishes the OPPG to consider surrounding the specific items;

    747(b) Documents that the OPPG requires in order to complete its review of the specific items. The requested documents provided by the applicant must be legible.

    773If the documents requested above cannot be obtained, the applicant shall submit evidence of that fact in order for the registration application to be deemed complete. Evidence that documents cannot be obtained shall consist of a written statement from the agency’s or creditor’s records custodian that is written on the agency’s or creditor’s letterhead; indicates that the agency or the creditor does not have any record of such matter or that the record was lost, damaged, or destroyed, or cannot otherwise be produced and provide a statement as to why the record cannot be produced; and is signed by the agency’s or creditor’s records custodian.

    878(9) Procedure for Reviewing Adverse Credit History Information.

    886(a) When deciding whether to approve an application for registration as a professional guardian, the OPPG must make a determination regarding whether the applicant has demonstrated that he or she possesses the character, general fitness, and financial responsibility to warrant the OPPG’s determination that the applicant will not violate any of the provisions of Chapter 744, F.S. In making this determination, the OPPG will consider the following information:

    9541. The Applicant’s entire credit history as reflected in the credit report.

    9662. The information provided by the applicant under subsection (8).

    9763. The responses contained in the registration application.

    9844. The previous registration history with the OPPG and the Statewide Public Guardianship Office including whether the relevant applicant was named in any regulatory action by those agencies.

    10125. Other information that reflects upon an applicant’s character, general fitness, or financial responsibility.

    10266. The time and context of the information available and any pattern of behavior the information may demonstrate.

    1044(10)(a) The registration period begins the day the registration is approved by the OPPG and ends on the applicant’s bond anniversary date. For multi-year bonds, the annual registration expiration date will be determined by the day and month that the bond expires.

    1086(b) The OPPG will prorate the registration fee up to 50% for initial applicants whose bond will expire in less than 6 months.

    1109(11) Annual Renewals: A completed DOEA/OPPG Form 001 for annual renewal of a registration shall be submitted to OPPG at least 30 days prior to the expiration date of the current registration to ensure that a lapse in registration 1148does not occur. All fees must be received with the completed registration form prior to the registration being processed by the OPPG.

    1170(12) If a professional guardian hires an employee with assigned fiduciary responsibilities during the registration period, the professional guardian shall submit an amended DOEA/OPPG Form 001 that includes the new employee information to the OPPG for approval prior to the employee assuming any fiduciary responsibilities.

    1215Rulemaking Authority 744.2002(6), 1218744.3135(5)(b) FS. 1220Law Implemented 1222744.102(17), 1223744.2002, 744.2003, 1225744.3135 FS. 1227History–New 5-4-03, Amended 12-12-05, 3-17-08, 3-1-17.


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