Florida Senate - 2014                CS for CS for CS for SB 634
       
       
        
       By the Committees on Appropriations; Judiciary; and Children,
       Families, and Elder Affairs; and Senator Brandes
       
       
       
       
       576-04543-14                                           2014634c3
    1                        A bill to be entitled                      
    2         An act relating to guardianship; amending s. 744.102,
    3         F.S.; redefining the term “audit”; amending s.
    4         744.3135, F.S.; revising the requirements and
    5         authorizations of the court to require specified
    6         guardians to submit to a credit history investigation
    7         and background screening; authorizing the court to
    8         waive a credit history investigation, background
    9         screening, or both under certain circumstances;
   10         authorizing a nonprofessional guardian to petition the
   11         court for reimbursement for the credit history
   12         investigation and background screening; amending s.
   13         744.368, F.S.; authorizing a clerk of the court to
   14         obtain and review records and documents relating to
   15         guardianship assets and to issue subpoenas to
   16         nonparties upon application to the court; providing
   17         requirements for affidavits, notice, and subpoenas;
   18         providing for objection to a subpoena; amending s.
   19         744.3685, F.S.; authorizing the court to require the
   20         production of records and documents by a guardian who
   21         fails to submit them during an audit; amending s.
   22         744.474, F.S.; providing for the removal of a guardian
   23         for a bad faith failure to submit records during an
   24         audit; amending ss. 943.0585 and 943.059, F.S.;
   25         providing that a person seeking an appointment as
   26         guardian may not lawfully deny or fail to acknowledge
   27         the arrests covered by an expunged or sealed record;
   28         reenacting s. 943.0585(4)(c), F.S., relating to court
   29         ordered expunction of criminal history records, to
   30         incorporate the amendments made to s. 943.0585, F.S.,
   31         in a reference thereto; reenacting s. 943.059(4)(c),
   32         F.S., relating to court-ordered sealing of criminal
   33         history records, to incorporate the amendments made to
   34         s. 943.059, F.S., in a reference thereto; providing an
   35         effective date.
   36          
   37  Be It Enacted by the Legislature of the State of Florida:
   38  
   39         Section 1. Subsection (2) of section 744.102, Florida
   40  Statutes, is amended to read:
   41         744.102 Definitions.—As used in this chapter, the term:
   42         (2) “Audit” means a systematic review of financial and all
   43  other documents to ensure compliance with s. 744.368, rules of
   44  court, and local procedures using generally accepted accounting
   45  principles. The term includes various practices that meet
   46  professional audit standards, such as verifications, reviews of
   47  substantiating papers and accounts, interviews, inspections, and
   48  investigations.
   49         Section 2. Subsection (1) of section 744.3135, Florida
   50  Statutes, is amended to read:
   51         744.3135 Credit and criminal investigation.—
   52         (1) The court shall require all persons who are seeking
   53  appointment by the court, other than a corporate guardian as
   54  described in s. 744.309(4) may require a nonprofessional
   55  guardian and shall require a professional or public guardian,
   56  and all employees of a professional guardian, other than a
   57  corporate guardian as described in s. 744.309(4), who have a
   58  fiduciary responsibility to a ward, to submit, at their own
   59  expense, to a an investigation of the guardian’s credit history
   60  investigation and to undergo level 2 background screening as
   61  required under s. 435.04. On petition by any interested person
   62  or on the court’s own motion, the court may waive the
   63  requirement of a credit history investigation or a level 2
   64  background screening, or both. If appointed, a nonprofessional
   65  guardian may petition the court for reimbursement of the
   66  reasonable expenses of the credit history investigation and
   67  background screening. If a credit or criminal history record
   68  check is required, The court must consider the results of any
   69  investigation before appointing a guardian. At any time, the
   70  court may require a guardian or the guardian’s employees to
   71  submit to an investigation of the person’s credit history and
   72  complete a level 1 background screening pursuant to as set forth
   73  in s. 435.03. The court shall consider the results of any
   74  investigation in determining whether to reappoint when
   75  reappointing a guardian. The clerk of the court shall maintain a
   76  file on each guardian appointed by the court and retain in the
   77  file documentation of the result of any investigation conducted
   78  under this section. A professional guardian shall must pay the
   79  clerk of the court a fee of up to $7.50 for handling and
   80  processing professional guardian files.
   81         Section 3. Subsections (5) through (7) are added to section
   82  744.368, Florida Statutes, to read:
   83         744.368 Responsibilities of the clerk of the circuit
   84  court.—
   85         (5) If the clerk has reason to believe further review is
   86  appropriate, the clerk may request and review records and
   87  documents that reasonably relate to the guardianship assets,
   88  including, but not limited to, the beginning inventory balance
   89  and any fees charged to the guardianship.
   90         (6) If a guardian fails to produce records or documents to
   91  the clerk upon request, the clerk may request the court to enter
   92  an order pursuant to s. 744.3685(2) by filing an affidavit that
   93  identifies the records or documents requested and shows good
   94  cause as to why the records or documents requested should be
   95  produced.
   96         (7) Upon application to the court supported by an affidavit
   97  pursuant to subsection (6), the clerk may issue subpoenas to
   98  nonparties to compel production of records or documents. Before
   99  issuance of a subpoena by affidavit, the clerk must serve notice
  100  on the guardian and the ward, unless the ward is a minor or
  101  totally incapacitated, of the intent to serve subpoenas to
  102  nonparties.
  103         (a) The clerk must attach the affidavit and the proposed
  104  subpoena to the notice to the guardian and, if appropriate, to
  105  the ward. The notice must:
  106         1. State the time, place, and method for production of the
  107  records or documents, and the name and address of the person who
  108  is to produce the documents or items, if known, or if not known,
  109  a general description sufficient to identify the person or the
  110  particular class or group to which the person belongs;
  111         2. Include a designation of the records or documents to be
  112  produced; and
  113         3. State that the person who will be asked to produce the
  114  records or documents has the right to object to the production
  115  under this section and that the person is not required to
  116  surrender the records or documents.
  117         (b) A copy of the notice and proposed subpoena may not be
  118  furnished to the person upon whom the subpoena is to be served.
  119         (c) If the guardian or ward serves an objection to
  120  production under this subsection within 10 days after service of
  121  the notice, the records or documents may not be required to be
  122  produced until resolution of the objection. If an objection is
  123  not made within 10 days after service of the notice, the clerk
  124  may issue the subpoena to the nonparty. The court may shorten
  125  the period within which a guardian or ward must file an
  126  objection if the clerk’s affidavit shows that the ward’s
  127  property is in danger of being wasted, misappropriated, or lost
  128  unless immediate action is taken.
  129         Section 4. Section 744.3685, Florida Statutes, is amended
  130  to read:
  131         744.3685 Order requiring guardianship report; contempt.—
  132         (1)If When a guardian fails to file the guardianship
  133  report, the court shall order the guardian to file the report
  134  within 15 days after the service of the order upon her or him or
  135  show cause why she or he may should not be compelled to do so.
  136         (2) If a guardian fails to comply with the submission of
  137  records or documents requested by the clerk during the audit,
  138  upon a showing of good cause by affidavit of the clerk which
  139  shows the reasons the records must be produced, the court may
  140  order the guardian to produce the records or documents within a
  141  period specified by the court unless the guardian shows good
  142  cause as to why the guardian may not be compelled to do so
  143  before the deadline specified by the court. The affidavit of the
  144  clerk shall be served with the order.
  145         (3) A copy of an the order entered pursuant to subsection
  146  (1) or subsection (2) shall be served on the guardian or on the
  147  guardian’s resident agent. If the guardian fails to comply with
  148  the order file her or his report within the time specified by
  149  the order without good cause, the court may cite the guardian
  150  for contempt of court and may fine her or him. The fine may not
  151  be paid out of the ward’s property.
  152         Section 5. Subsection (21) is added to section 744.474,
  153  Florida Statutes, to read:
  154         744.474 Reasons for removal of guardian.—A guardian may be
  155  removed for any of the following reasons, and the removal shall
  156  be in addition to any other penalties prescribed by law:
  157         (21) The failure in bad faith to submit a guardianship
  158  record during the audit pursuant to s. 744.368.
  159         Section 6. Paragraph (a) of subsection (4) of section
  160  943.0585, Florida Statutes, is amended, and paragraph (c) of
  161  that subsection is reenacted, to read:
  162         943.0585 Court-ordered expunction of criminal history
  163  records.—The courts of this state have jurisdiction over their
  164  own procedures, including the maintenance, expunction, and
  165  correction of judicial records containing criminal history
  166  information to the extent such procedures are not inconsistent
  167  with the conditions, responsibilities, and duties established by
  168  this section. Any court of competent jurisdiction may order a
  169  criminal justice agency to expunge the criminal history record
  170  of a minor or an adult who complies with the requirements of
  171  this section. The court shall not order a criminal justice
  172  agency to expunge a criminal history record until the person
  173  seeking to expunge a criminal history record has applied for and
  174  received a certificate of eligibility for expunction pursuant to
  175  subsection (2). A criminal history record that relates to a
  176  violation of s. 393.135, s. 394.4593, s. 787.025, chapter 794,
  177  s. 796.03, s. 800.04, s. 810.14, s. 817.034, s. 825.1025, s.
  178  827.071, chapter 839, s. 847.0133, s. 847.0135, s. 847.0145, s.
  179  893.135, s. 916.1075, a violation enumerated in s. 907.041, or
  180  any violation specified as a predicate offense for registration
  181  as a sexual predator pursuant to s. 775.21, without regard to
  182  whether that offense alone is sufficient to require such
  183  registration, or for registration as a sexual offender pursuant
  184  to s. 943.0435, may not be expunged, without regard to whether
  185  adjudication was withheld, if the defendant was found guilty of
  186  or pled guilty or nolo contendere to the offense, or if the
  187  defendant, as a minor, was found to have committed, or pled
  188  guilty or nolo contendere to committing, the offense as a
  189  delinquent act. The court may only order expunction of a
  190  criminal history record pertaining to one arrest or one incident
  191  of alleged criminal activity, except as provided in this
  192  section. The court may, at its sole discretion, order the
  193  expunction of a criminal history record pertaining to more than
  194  one arrest if the additional arrests directly relate to the
  195  original arrest. If the court intends to order the expunction of
  196  records pertaining to such additional arrests, such intent must
  197  be specified in the order. A criminal justice agency may not
  198  expunge any record pertaining to such additional arrests if the
  199  order to expunge does not articulate the intention of the court
  200  to expunge a record pertaining to more than one arrest. This
  201  section does not prevent the court from ordering the expunction
  202  of only a portion of a criminal history record pertaining to one
  203  arrest or one incident of alleged criminal activity.
  204  Notwithstanding any law to the contrary, a criminal justice
  205  agency may comply with laws, court orders, and official requests
  206  of other jurisdictions relating to expunction, correction, or
  207  confidential handling of criminal history records or information
  208  derived therefrom. This section does not confer any right to the
  209  expunction of any criminal history record, and any request for
  210  expunction of a criminal history record may be denied at the
  211  sole discretion of the court.
  212         (4) EFFECT OF CRIMINAL HISTORY RECORD EXPUNCTION.—Any
  213  criminal history record of a minor or an adult which is ordered
  214  expunged by a court of competent jurisdiction pursuant to this
  215  section must be physically destroyed or obliterated by any
  216  criminal justice agency having custody of such record; except
  217  that any criminal history record in the custody of the
  218  department must be retained in all cases. A criminal history
  219  record ordered expunged that is retained by the department is
  220  confidential and exempt from the provisions of s. 119.07(1) and
  221  s. 24(a), Art. I of the State Constitution and not available to
  222  any person or entity except upon order of a court of competent
  223  jurisdiction. A criminal justice agency may retain a notation
  224  indicating compliance with an order to expunge.
  225         (a) The person who is the subject of a criminal history
  226  record that is expunged under this section or under other
  227  provisions of law, including former s. 893.14, former s. 901.33,
  228  and former s. 943.058, may lawfully deny or fail to acknowledge
  229  the arrests covered by the expunged record, except when the
  230  subject of the record:
  231         1. Is a candidate for employment with a criminal justice
  232  agency;
  233         2. Is a defendant in a criminal prosecution;
  234         3. Concurrently or subsequently petitions for relief under
  235  this section, s. 943.0583, or s. 943.059;
  236         4. Is a candidate for admission to The Florida Bar;
  237         5. Is seeking to be employed or licensed by or to contract
  238  with the Department of Children and Families, the Division of
  239  Vocational Rehabilitation within the Department of Education,
  240  the Agency for Health Care Administration, the Agency for
  241  Persons with Disabilities, the Department of Health, the
  242  Department of Elderly Affairs, or the Department of Juvenile
  243  Justice or to be employed or used by such contractor or licensee
  244  in a sensitive position having direct contact with children, the
  245  disabled, or the elderly; or
  246         6. Is seeking to be employed or licensed by the Department
  247  of Education, any district school board, any university
  248  laboratory school, any charter school, any private or parochial
  249  school, or any local governmental entity that licenses child
  250  care facilities; or.
  251         7. Is seeking to be appointed as a guardian pursuant to s.
  252  744.3125.
  253         (c) Information relating to the existence of an expunged
  254  criminal history record which is provided in accordance with
  255  paragraph (a) is confidential and exempt from the provisions of
  256  s. 119.07(1) and s. 24(a), Art. I of the State Constitution,
  257  except that the department shall disclose the existence of a
  258  criminal history record ordered expunged to the entities set
  259  forth in subparagraphs (a)1., 4., 5., 6., and 7. for their
  260  respective licensing, access authorization, and employment
  261  purposes, and to criminal justice agencies for their respective
  262  criminal justice purposes. It is unlawful for any employee of an
  263  entity set forth in subparagraph (a)1., subparagraph (a)4.,
  264  subparagraph (a)5., subparagraph (a)6., or subparagraph (a)7. to
  265  disclose information relating to the existence of an expunged
  266  criminal history record of a person seeking employment, access
  267  authorization, or licensure with such entity or contractor,
  268  except to the person to whom the criminal history record relates
  269  or to persons having direct responsibility for employment,
  270  access authorization, or licensure decisions. Any person who
  271  violates this paragraph commits a misdemeanor of the first
  272  degree, punishable as provided in s. 775.082 or s. 775.083.
  273         Section 7. Paragraph (a) of subsection (4) of section
  274  943.059, Florida Statutes, is amended, and paragraph (c) of that
  275  subsection is reenacted, to read:
  276         943.059 Court-ordered sealing of criminal history records.
  277  The courts of this state shall continue to have jurisdiction
  278  over their own procedures, including the maintenance, sealing,
  279  and correction of judicial records containing criminal history
  280  information to the extent such procedures are not inconsistent
  281  with the conditions, responsibilities, and duties established by
  282  this section. Any court of competent jurisdiction may order a
  283  criminal justice agency to seal the criminal history record of a
  284  minor or an adult who complies with the requirements of this
  285  section. The court shall not order a criminal justice agency to
  286  seal a criminal history record until the person seeking to seal
  287  a criminal history record has applied for and received a
  288  certificate of eligibility for sealing pursuant to subsection
  289  (2). A criminal history record that relates to a violation of s.
  290  393.135, s. 394.4593, s. 787.025, chapter 794, s. 796.03, s.
  291  800.04, s. 810.14, s. 817.034, s. 825.1025, s. 827.071, chapter
  292  839, s. 847.0133, s. 847.0135, s. 847.0145, s. 893.135, s.
  293  916.1075, a violation enumerated in s. 907.041, or any violation
  294  specified as a predicate offense for registration as a sexual
  295  predator pursuant to s. 775.21, without regard to whether that
  296  offense alone is sufficient to require such registration, or for
  297  registration as a sexual offender pursuant to s. 943.0435, may
  298  not be sealed, without regard to whether adjudication was
  299  withheld, if the defendant was found guilty of or pled guilty or
  300  nolo contendere to the offense, or if the defendant, as a minor,
  301  was found to have committed or pled guilty or nolo contendere to
  302  committing the offense as a delinquent act. The court may only
  303  order sealing of a criminal history record pertaining to one
  304  arrest or one incident of alleged criminal activity, except as
  305  provided in this section. The court may, at its sole discretion,
  306  order the sealing of a criminal history record pertaining to
  307  more than one arrest if the additional arrests directly relate
  308  to the original arrest. If the court intends to order the
  309  sealing of records pertaining to such additional arrests, such
  310  intent must be specified in the order. A criminal justice agency
  311  may not seal any record pertaining to such additional arrests if
  312  the order to seal does not articulate the intention of the court
  313  to seal records pertaining to more than one arrest. This section
  314  does not prevent the court from ordering the sealing of only a
  315  portion of a criminal history record pertaining to one arrest or
  316  one incident of alleged criminal activity. Notwithstanding any
  317  law to the contrary, a criminal justice agency may comply with
  318  laws, court orders, and official requests of other jurisdictions
  319  relating to sealing, correction, or confidential handling of
  320  criminal history records or information derived therefrom. This
  321  section does not confer any right to the sealing of any criminal
  322  history record, and any request for sealing a criminal history
  323  record may be denied at the sole discretion of the court.
  324         (4) EFFECT OF CRIMINAL HISTORY RECORD SEALING.—A criminal
  325  history record of a minor or an adult which is ordered sealed by
  326  a court of competent jurisdiction pursuant to this section is
  327  confidential and exempt from the provisions of s. 119.07(1) and
  328  s. 24(a), Art. I of the State Constitution and is available only
  329  to the person who is the subject of the record, to the subject’s
  330  attorney, to criminal justice agencies for their respective
  331  criminal justice purposes, which include conducting a criminal
  332  history background check for approval of firearms purchases or
  333  transfers as authorized by state or federal law, to judges in
  334  the state courts system for the purpose of assisting them in
  335  their case-related decisionmaking responsibilities, as set forth
  336  in s. 943.053(5), or to those entities set forth in
  337  subparagraphs (a)1., 4., 5., 6., and 8. for their respective
  338  licensing, access authorization, and employment purposes.
  339         (a) The subject of a criminal history record sealed under
  340  this section or under other provisions of law, including former
  341  s. 893.14, former s. 901.33, and former s. 943.058, may lawfully
  342  deny or fail to acknowledge the arrests covered by the sealed
  343  record, except when the subject of the record:
  344         1. Is a candidate for employment with a criminal justice
  345  agency;
  346         2. Is a defendant in a criminal prosecution;
  347         3. Concurrently or subsequently petitions for relief under
  348  this section, s. 943.0583, or s. 943.0585;
  349         4. Is a candidate for admission to The Florida Bar;
  350         5. Is seeking to be employed or licensed by or to contract
  351  with the Department of Children and Families, the Division of
  352  Vocational Rehabilitation within the Department of Education,
  353  the Agency for Health Care Administration, the Agency for
  354  Persons with Disabilities, the Department of Health, the
  355  Department of Elderly Affairs, or the Department of Juvenile
  356  Justice or to be employed or used by such contractor or licensee
  357  in a sensitive position having direct contact with children, the
  358  disabled, or the elderly;
  359         6. Is seeking to be employed or licensed by the Department
  360  of Education, any district school board, any university
  361  laboratory school, any charter school, any private or parochial
  362  school, or any local governmental entity that licenses child
  363  care facilities; or
  364         7. Is attempting to purchase a firearm from a licensed
  365  importer, licensed manufacturer, or licensed dealer and is
  366  subject to a criminal history check under state or federal law;
  367  or.
  368         8. Is seeking to be appointed as a guardian pursuant to s.
  369  744.3125.
  370         (c) Information relating to the existence of a sealed
  371  criminal record provided in accordance with the provisions of
  372  paragraph (a) is confidential and exempt from the provisions of
  373  s. 119.07(1) and s. 24(a), Art. I of the State Constitution,
  374  except that the department shall disclose the sealed criminal
  375  history record to the entities set forth in subparagraphs (a)1.,
  376  4., 5., 6., and 8. for their respective licensing, access
  377  authorization, and employment purposes. It is unlawful for any
  378  employee of an entity set forth in subparagraph (a)1.,
  379  subparagraph (a)4., subparagraph (a)5., subparagraph (a)6., or
  380  subparagraph (a)8. to disclose information relating to the
  381  existence of a sealed criminal history record of a person
  382  seeking employment, access authorization, or licensure with such
  383  entity or contractor, except to the person to whom the criminal
  384  history record relates or to persons having direct
  385  responsibility for employment, access authorization, or
  386  licensure decisions. Any person who violates the provisions of
  387  this paragraph commits a misdemeanor of the first degree,
  388  punishable as provided in s. 775.082 or s. 775.083.
  389         Section 8. This act shall take effect July 1, 2014.