Audit of the Hampden County Probate and Family Court Register’s Office
June 24, 2022 · Hampden County Probate and Family Court Register · Read the full official report on mass.gov ↗
Published June 24, 2022 Audit covers January 1, 2019 – December 31, 2020 Under Suzanne M. Bump · 2011–2023
source
“Below is a summary of our findings and recommendations, with links to each page listed.”
Read the plain-English breakdown
This is a state audit of the Hampden County Probate and Family Court Register’s Office covering January 1, 2019 through December 31, 2020.
“This report details the audit objectives, scope, methodology, findings, and recommendations for the audit period, January 1, 2019 through December 31, 2020.”
The State Auditor reviewed whether the office followed internal control rules and properly monitored conservatorships and guardianships.
“In this transition audit, we examined HCPFC’s compliance with the Office of the Comptroller of the Commonwealth’s Internal Control Guide and its administration and monitoring of conservatorships and guardianships.”
If required follow-up does not happen, people under conservatorships or guardianships may not get the protection and oversight the court system is supposed to provide.
“Without taking these actions, HCPFC cannot ensure that individuals with guardians have stable living conditions and receive the care needed to maintain an appropriate quality of life.”
For Hampden County residents, this matters because this court handles family and probate issues such as divorce, child support, estates, guardianships, and conservatorships.
“HCPFC serves the residents of Hampden County, which had a population of 466,372 in 2019, from the fourth floor of the Roderick L. Ireland Courthouse at 50 State Street in Springfield.”
The office said it assigned staff to review the control plan, identify overdue cases, send notices, schedule hearings, and handle guardian ad litem appointments.
“These processes have been implemented as recommended.”
The findings are significant because weak controls and missed follow-up can leave vulnerable people’s money, care, or living situation without the oversight the court expects.
“If the office does not take these actions, it cannot ensure that the assets of individuals with conservators are adequately protected.”
A “show cause hearing” is a court date where someone must explain why they failed to do something required, such as filing court paperwork.
“At a show cause hearing, the respondent is required to appear before a judge to explain why the respondent did not fulfill an obligation or take a certain action.”
What the Auditor checked
- Did not comply Does the current internal control plan (ICP) of the HCPFC Register’s Office contain all eight components of the Committee of Sponsoring Organizations of the Treadway Commission’s (COSO’s) enterprise risk management framework, as required by the Office of the Comptroller of the Commonwealth’s (CTR’s) Internal Control Guide?
- Did not comply Did HCPFC track conservatorships in accordance with Section 5-418(a) of Chapter 190B of the General Laws, HCPFC’s Decree and Order of Appointment of Conservator, and the Massachusetts Trial Court’s “Best Case Practice for Failure to File a Conservator Account”?
- Did not comply Did HCPFC track guardianships in accordance with Sections 5-209(b)(6) and 5-309(b) of Chapter 190B of the General Laws and the Trial Court’s “Judicial Best Case Practice for Failure to File an Adult Guardianship Care Plan Report”?
What the Auditor found
Why it matters: This could prevent the office from identifying vulnerabilities and increases operational risk.
Standard: Office of the Comptroller of the Commonwealth’s Internal Control Guide, based on COSO’s enterprise risk management framework. ( Office of the Comptroller of the Commonwealth’s Internal Control Guide )
1 recommendation
- The HCPFC Register’s Office should update its ICP to include all required components and principles of COSO’s enterprise risk management framework.agency: agreed
Agency response & Auditor reply
Agency: "To address this issue, a staff member has been given the responsibility to review the Internal Control Plan on a quarterly basis and update accordingly, with immediate attention given to the areas identified as incomplete."
Auditor: "Based on its response, HCPFC is taking measures to address our concerns on this matter."
Why it matters: The office could not ensure that assets of individuals with conservators were adequately protected.
Standard: Section 5-418(a) of Chapter 190B of the Massachusetts General Laws; HCPFC’s Decree and Order of Appointment of Conservator; Trial Court’s “Best Case Practice for Failure to File a Conservator Account.” ( Section 5-418(a) of Chapter 190B of the Massachusetts General Laws; HCPFC’s Decree and Order of Appointment of Conservator; Trial Court’s “Best Case Practice for Failure to File a Conservator Account” )
1 recommendation
- The HCPFC Register’s Office should appoint a staff member to schedule show cause hearings and assign guardians ad litem when conservators do not submit accounts within required timeframes.agency: agreed
Agency response & Auditor reply
Agency: "To address this issue, a staff member has been given the responsibility to identify cases requiring show cause hearings and present to Assistant Judicial Case Managers for scheduling."
Auditor: "Based on its response, HCPFC is taking measures to address our concerns on this matter."
Why it matters: The office could not ensure that individuals with guardians had stable living conditions and received needed care.
Standard: Sections 5-209(b)(6) and 5-309(b) of Chapter 190B of the General Laws; Trial Court’s “Judicial Best Case Practice for Failure to File an Adult Guardianship Care Plan Report.” ( Trial Court’s “Judicial Best Case Practice for Failure to File an Adult Guardianship Care Plan Report”; Sections 5-209(b)(6) and 5-309(b) of Chapter 190B of the General Laws )
1 recommendation
- The HCPFC Register’s Office should appoint a staff member to send notices of noncompliance, schedule show cause hearings, and assign guardians ad litem.agency: already implemented
Agency response & Auditor reply
Agency: "These processes have been implemented as recommended."
Auditor: "Based on its response, HCPFC is taking measures to address our concerns on this matter."