Clerks Statewide Investigations Alliance FCCC WebEx Session December 13, 2016
Administrative Coordinator & Region 6 Anthony Palmieri, JD, CIA, CIGI, CCSA Deputy Inspector General & Chief Guardianship Investigator Clerk & Comptroller, Palm Beach County (561) 355-6782 apalmieri@mypalmbeachclerk.com - 2 2
Why Florida? 3 3
Florida is ground zero. 65+ Senior Population 85+ Senior Population FLORIDA 19.4% PENNSYLVANIA 17.0% OHIO 15.9% NEW YORK 15.0% ILLINOIS 14.2% CALIFORNIA 13.3% TEXAS 11.7% FLORIDA 2.7% PENNSYLVANIA 2.6% NEW YORK 2.2% OHIO 2.2% ILLINOIS 2.0% CALIFORNIA 1.8% TEXAS 1.4% NATION 14.9% NATION 2.0% Source: 2014 US Census, top 6 by percentage for states with over 10 million population 4 4
Brief history of how we got here. 5 5
Brief history of how we got here. 6 6
Why Florida Clerks? Model program. Elected, not appointed. Separate, independent state constitutional office with county jurisdiction. Communications with the court statutorily authorized; not ex parte. Unfettered access to the Court and court records. Professional training; highly credentialed and accredited. Already auditing and investigating with success. 7
Innovative new guardianship partnership. 8
Flow chart of investigative process. 9
Clerks Statewide Investigations Alliance Region 1 (Okaloosa Co. IG) Region 2 (Lake Co. IG) Region 3 (Pinellas Co. IG) Region 4 (Polk Co. IG) Region 5 (Lee Co. IG) Region 6 (Palm Beach Co. IG) Region 7 (Shared by all Clerk IGs) 10
Expert Panelist Region 5 Tim Parks, CIA, CIG Inspector General Clerk of Court, Lee County (239) 533-5482 tparks@leeclerk.org 11 11
Building on Florida Guardianship Law. Section 744.2004(1)(g), Fla. Stat.: The OPPG shall Coordinate, to the greatest extent possible, with the Clerks of Court to avoid duplication of duties with regard to the financial audits prepared by the Clerks pursuant to s. 744.368. 12 12
Resolution adopted unanimously by FCCC Executive Committee 13 13
Streamlining Alliance investigations. User name and password to access confidential court and official records Cross-deputization Work-space or secure private meeting area A point of contact in the Clerk s office 14 14
Expert Panelist Region 2 Bob Melton, CPA, CIA, CFE, CIG Inspector General Clerk of Circuit Court, Lake County (352) 253-4930 bmelton@lakecountyclerk.org 15 15
Becoming an Alliance participant. Maintaining integrity of the Alliance Agreeing with policies & procedures Implementing FCCC Guardianship Best Practices Becoming an IG Office Performing non-operational enhanced audits Must develop a robust history (one year) OPPG must agree with participation 16 16
Expert Panelist Region 4 Lita McHugh, CPA, CIG Inspector General Clerk of Courts & Comptroller, Polk County (863) 534-7636 litamchugh@polk-county.net 17 17
Implementing Best Practices. Level 1, 2, or 3 audits based on risk factors Requires exercise of judgment Internal audit/ig expertise Review attorney & guardian fees Utilize advanced investigative techniques Third party verifications Interviews & interrogations Inspections, observations 18 18
Becoming Accredited IG Office. Renaming audit department Seeking accreditation Accreditation process Reaccreditation 19 19
Implications to Clerk s Guardianship Duties. Alliance report to Clerk and Court Clerk s Statutory Role (s. 744.368, Fla. Stat.) Clerk s Enhanced Auditing Capability Non-legally sufficient complaints Alliance offering investigative services to all Clerks 20 20
Obtaining more information. 21 21
http://www.mypalmbeachclerk.com/clerksig/ 22 22
Administrative Coordinator Anthony Palmieri, JD, CIA, CIGI, CCSA Deputy Inspector General & Chief Guardianship Investigator Clerk & Comptroller, Palm Beach County (561) 355-6782 apalmieri@mypalmbeachclerk.com - 23 23
Questions? 24