FCCC WebEx Session December 13, 2016 · 2018-04-04 · FCCC WebEx Session December 13, 2016...

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FCCC WebEx SessionDecember 13, 2016

Clerks’ Statewide Investigations Alliance

FCCC WebEx Session, December 13, 2016

2

Anthony Palmieri, JD, CIA, CIGI, CCSA

Deputy Inspector General & Chief Guardianship InvestigatorClerk & Comptroller, Palm Beach County

(561) 355-6782

apalmieri@mypalmbeachclerk.com

FCCC WebEx Session, December 13, 2016 - 2

Administrative Coordinator & Region 6

3

Why Florida?

3FCCC WebEx Session, December 13, 2016

4

Florida is ground zero.

4FCCC WebEx Session, December 13, 2016

65+ Senior Population 85+ Senior Population

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%

FLORIDA 19.4% PENNSYLVANIA 17.0%OHIO 15.9%NEW YORK 15.0%ILLINOIS 14.2%CALIFORNIA 13.3%TEXAS 11.7%

Source: 2014 US Census, top 6 by percentagefor states with over 10 million population

5

Brief history of how we got here.

5FCCC WebEx Session, December 13, 2016

6

Brief history of how we got here.

6FCCC WebEx Session, December 13, 2016

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.

Why Florida Clerks? Model program.

7FCCC WebEx Session, December 13, 2016

http://www.acfe.com/
http://www.acfe.com/
http://inspectorsgeneral.org/
http://inspectorsgeneral.org/

Innovative new guardianship partnership.

8FCCC WebEx Session, December 13, 2016

http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376
https://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwjexrC0mfbNAhVDqR4KHUcSBz4QjRwIBw&url=https://www.lakecountyclerk.org/&psig=AFQjCNFr5kfCF1tj2hkJVpaPfeuGu0SaUQ&ust=1468697155685282
https://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwjexrC0mfbNAhVDqR4KHUcSBz4QjRwIBw&url=https://www.lakecountyclerk.org/&psig=AFQjCNFr5kfCF1tj2hkJVpaPfeuGu0SaUQ&ust=1468697155685282
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwim0OfwmfbNAhWMMx4KHUvUCBUQjRwIBw&url=http://www.ptghome.com/clients.html&bvm=bv.127178174,d.dmo&psig=AFQjCNHelENkwATSDQx2uGXwlvORc9jA3w&ust=1468697276795781
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwim0OfwmfbNAhWMMx4KHUvUCBUQjRwIBw&url=http://www.ptghome.com/clients.html&bvm=bv.127178174,d.dmo&psig=AFQjCNHelENkwATSDQx2uGXwlvORc9jA3w&ust=1468697276795781
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwiF0r3bmfbNAhUDlh4KHQfPAlEQjRwIBw&url=http://www.okaloosaclerk.com/index.php/duties-of-the-clerk&psig=AFQjCNFJGES4wkh_BNJOi-Bl4uPQWfUPRQ&ust=1468697236501469
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwiF0r3bmfbNAhUDlh4KHQfPAlEQjRwIBw&url=http://www.okaloosaclerk.com/index.php/duties-of-the-clerk&psig=AFQjCNFJGES4wkh_BNJOi-Bl4uPQWfUPRQ&ust=1468697236501469

9FCCC WebEx Session, December 13, 2016

Flow chart of investigative process.

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)

Clerks’ Statewide Investigations Alliance

10FCCC WebEx Session, December 13, 2016

11

Tim Parks, CIA, CIG

Inspector GeneralClerk of Court, Lee County

(239) 533-5482

tparks@leeclerk.org

11FCCC WebEx Session, December 13, 2016

Expert Panelist – Region 5

http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376

1212FCCC WebEx Session, December 13, 2016

Building on Florida Guardianship Law.

Section 744.2004(1)(g), Fla. Stat.:

The OPPG shall…Coordinate, to the greatest extentpossible, with the Clerks of Court to avoid duplicationof duties with regard to the financial audits preparedby the Clerks pursuant to s. 744.368.

http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376

1313FCCC WebEx Session, December 13, 2016

Resolution adopted unanimously by FCCC Executive Committee

http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376

1414FCCC WebEx Session, December 13, 2016

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

http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376

15

Bob Melton, CPA, CIA, CFE, CIG

Inspector GeneralClerk of Circuit Court, Lake County

(352) 253-4930

bmelton@lakecountyclerk.org

15FCCC WebEx Session, December 13, 2016

Expert Panelist – Region 2

https://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwjexrC0mfbNAhVDqR4KHUcSBz4QjRwIBw&url=https://www.lakecountyclerk.org/&psig=AFQjCNFr5kfCF1tj2hkJVpaPfeuGu0SaUQ&ust=1468697155685282
https://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwjexrC0mfbNAhVDqR4KHUcSBz4QjRwIBw&url=https://www.lakecountyclerk.org/&psig=AFQjCNFr5kfCF1tj2hkJVpaPfeuGu0SaUQ&ust=1468697155685282

1616FCCC WebEx Session, December 13, 2016

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

Becoming an Alliance participant.

https://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwjexrC0mfbNAhVDqR4KHUcSBz4QjRwIBw&url=https://www.lakecountyclerk.org/&psig=AFQjCNFr5kfCF1tj2hkJVpaPfeuGu0SaUQ&ust=1468697155685282
https://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwjexrC0mfbNAhVDqR4KHUcSBz4QjRwIBw&url=https://www.lakecountyclerk.org/&psig=AFQjCNFr5kfCF1tj2hkJVpaPfeuGu0SaUQ&ust=1468697155685282

17

Lita McHugh, CPA, CIG

Inspector GeneralClerk of Courts & Comptroller, Polk County

(863) 534-7636

litamchugh@polk-county.net

17FCCC WebEx Session, December 13, 2016

Expert Panelist – Region 4

http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwim0OfwmfbNAhWMMx4KHUvUCBUQjRwIBw&url=http://www.ptghome.com/clients.html&bvm=bv.127178174,d.dmo&psig=AFQjCNHelENkwATSDQx2uGXwlvORc9jA3w&ust=1468697276795781
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwim0OfwmfbNAhWMMx4KHUvUCBUQjRwIBw&url=http://www.ptghome.com/clients.html&bvm=bv.127178174,d.dmo&psig=AFQjCNHelENkwATSDQx2uGXwlvORc9jA3w&ust=1468697276795781

1818FCCC WebEx Session, December 13, 2016

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

http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwim0OfwmfbNAhWMMx4KHUvUCBUQjRwIBw&url=http://www.ptghome.com/clients.html&bvm=bv.127178174,d.dmo&psig=AFQjCNHelENkwATSDQx2uGXwlvORc9jA3w&ust=1468697276795781
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwim0OfwmfbNAhWMMx4KHUvUCBUQjRwIBw&url=http://www.ptghome.com/clients.html&bvm=bv.127178174,d.dmo&psig=AFQjCNHelENkwATSDQx2uGXwlvORc9jA3w&ust=1468697276795781

1919FCCC WebEx Session, December 13, 2016

Becoming Accredited IG Office.

Renaming audit department

Seeking accreditation

Accreditation process

Reaccreditation

http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376
http://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwir-oONmfbNAhXCLB4KHVGYB9kQjRwIBw&url=http://www.leeclerk.org/index.asp?Type=B_BASIC&SEC=06CA286F-F901-4D55-A8C8-9C3D4C6496AF&psig=AFQjCNHLzVllHHxvynZN16afJwhgVyZL_A&ust=1468697066411376

2020FCCC WebEx Session, December 13, 2016

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

Implications to Clerk’s Guardianship Duties.

https://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwjexrC0mfbNAhVDqR4KHUcSBz4QjRwIBw&url=https://www.lakecountyclerk.org/&psig=AFQjCNFr5kfCF1tj2hkJVpaPfeuGu0SaUQ&ust=1468697155685282
https://www.google.com/url?sa=i&rct=j&q=&esrc=s&frm=1&source=images&cd=&cad=rja&uact=8&ved=0ahUKEwjexrC0mfbNAhVDqR4KHUcSBz4QjRwIBw&url=https://www.lakecountyclerk.org/&psig=AFQjCNFr5kfCF1tj2hkJVpaPfeuGu0SaUQ&ust=1468697155685282

2121FCCC WebEx Session, December 13, 2016

Obtaining more information.

2222FCCC WebEx Session, December 13, 2016

http://www.mypalmbeachclerk.com/ClerksIG/

23

Anthony Palmieri, JD, CIA, CIGI, CCSA

Deputy Inspector General & Chief Guardianship InvestigatorClerk & Comptroller, Palm Beach County

(561) 355-6782

apalmieri@mypalmbeachclerk.com

FCCC WebEx Session, December 13, 2016 - 23

Administrative Coordinator

Questions?

24FCCC WebEx Session, December 13, 2016

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