fccc webex session december 13, 2016 · 2018-04-04 · fccc webex session december 13, 2016...

FCCC WebEx SessionDecember 13, 2016

Clerks’ Statewide Investigations Alliance

FCCC WebEx Session, December 13, 2016

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Anthony Palmieri, JD, CIA, CIGI, CCSA

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

(561) 355-6782

[email protected]

FCCC WebEx Session, December 13, 2016 - 2

Administrative Coordinator & Region 6

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Why Florida?

3FCCC WebEx Session, December 13, 2016

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Florida is ground zero.


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

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Brief history of how we got here.


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Brief history of how we got here.


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.


http://www.acfe.com/

http://www.acfe.com/

http://inspectorsgeneral.org/

http://inspectorsgeneral.org/

Innovative new guardianship partnership.


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


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


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


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Tim Parks, CIA, CIG

Inspector GeneralClerk of Court, Lee County

(239) 533-5482

[email protected]


Expert Panelist – Region 5




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.




Resolution adopted unanimously by FCCC Executive Committee




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



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Bob Melton, CPA, CIA, CFE, CIG

Inspector GeneralClerk of Circuit Court, Lake County

(352) 253-4930

[email protected]






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.



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Lita McHugh, CPA, CIG

Inspector GeneralClerk of Courts & Comptroller, Polk County

(863) 534-7636

[email protected]






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




Becoming Accredited IG Office.

Renaming audit department

Seeking accreditation

Accreditation process

Reaccreditation




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.




Obtaining more information.


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

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Anthony Palmieri, JD, CIA, CIGI, CCSA

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

(561) 355-6782

[email protected]

FCCC WebEx Session, December 13, 2016 - 23

Administrative Coordinator

Questions?


fccc webex session december 13, 2016 · 2018-04-04 · fccc webex session december 13, 2016...

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