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Supreme Court of Florida

Office of the State Courts Administrator

Trial Courts Needs Assessment Project

Probate, Guardianship, & Mental/Medical Health Functional Requirements Document

Version 1.3 28 January 2003

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Revision History

Date 12/13/2002 12/19/2002 1/3/2003 1/28/2003 Version 1.0 1.1 1.2 1.3 Changed By J. Nikiel J. Nikiel J. Nikiel J. Nikiel Notes First Edition of the Functional Requirements Document for the Probate Division Reformatted Document to include process flow diagrams in appendices A through A4, and data requirements in appendices B through B2. Added one issue/recommendation to "Other Operational Considerations" table. Completed updates to process flow diagrams in appendices A and A1. Incorporated additional comments from 17th Circuit. Replaced duplicate 3.2 flow diagram with correct 3.3 diagram. Added "employment verification" as input on 2.2 diagram. Updated all data objects in appendices to "required".

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Table of Contents

1. Overview............................................................................................................................................. 4 1.1 Background ................................................................................................................................. 4 1.2 Document Overview ................................................................................................................... 6 1.3 References................................................................................................................................... 6 2. Requirements ...................................................................................................................................... 6 2.1 Functional Process Diagrams...................................................................................................... 6 2.2 Functional Requirements ............................................................................................................ 7 2.2.1 Cross-Divisional Functional Requirements ........................................................................ 7 2.2.2 Civil Functional Requirements ......................................................................................... 13 2.2.3 Probate Division Functional Requirements ...................................................................... 14 2.3 Data Requirements.................................................................................................................... 18 3. Other Operational Considerations..................................................................................................... 18 Appendix A............................................................................................................................................... 23 Functional Process Diagrams Overview and Mental Health ....................................................... 23 Appendix A1............................................................................................................................................. 30 Functional Process Diagrams Guardianship ................................................................................. 30 Appendix A2............................................................................................................................................. 35 Functional Process Diagrams Probate/Trust................................................................................. 35 Appendix A3............................................................................................................................................. 39 Functional Process Diagrams Medical Care ................................................................................. 39 Appendix A4............................................................................................................................................. 42 Functional Process Diagrams Adult Protective Services.............................................................. 42 Appendix B ............................................................................................................................................... 46 Data Requirements Cross-Reference ............................................................................................ 46 Mental/Medical Health ................................................................................................................. 46 Appendix B1 ............................................................................................................................................. 54 Data Requirements Cross-Reference ............................................................................................ 54 Guardianship ................................................................................................................................. 54 Appendix B2 ............................................................................................................................................. 82 Data Requirements Cross-Reference ............................................................................................ 82 Probate/Trust................................................................................................................................. 82

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1. Overview

This purpose of this document is to describe the functional requirements and information needs of the trial courts in the Probate court division from the Judges' perspective, primarily addressing the Judges' court case management responsibilities. These requirements are described in the context of a larger effort, namely, a comprehensive trial court technology assessment. The comprehensive assessment will include functional, informational, technological (infrastructure, interoperability, integration), financial, and strategic aspects of achieving the goals associated with an effective integrated judicial information environment. This probate requirements document is related to a similar document containing the functional requirements from the other divisions of the court, having the more general title, "Functional Requirements Document". As of December 2002, the latest general Functional Requirements Document is version 1.3, dated October 6, 2002. The requirements contained in the related document cover the following court divisions: Criminal Civil Juvenile (Dependency and Delinquency) Traffic Family Drug Court Jury & Witness Due to the volume and complexity of the Probate division requirements, and the fact that the processes and requirements for the Probate division were still being finalized and coordinated with the Probate JAD user group as late as September 2002, OSCA determined that the Probate requirements would be published in a separate document. This is the first edition of the document, and it will be considered a living document for a period after initial publication. Changes will be made to the document based on information that may be added for the Probate division, based on input received from OSCA's and the Judges' review of the document.

1.1 Background

Functional and data requirements were collected, documented, and analyzed using various methods: Collection and compilation of existing sources, such as state and local process flow descriptions, flow charts, and data dictionaries. Review and analysis of Florida statutes and Florida rules of court Joint Application Development (JAD) sessions, involving participants from several of the twenty Florida judicial circuits, and various organizations within the circuits and from the state government level.

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There were eleven JAD sessions conducted over a five-month period in Tallahassee, Orlando, and Tampa. The sessions normally lasted one or two days, and the groups included 20 ­ 25 participants from organizations that are involved in the judicial process in some way: Judges from Circuit and County Courts General and Special Masters Clerks of Court Florida Association of Court Clerks and Comptrollers (FACC) Court Administration and Court Operations Court Information Technology and Information Systems Coordinators Public Defender Private Attorneys The JAD sessions were conducted in the following sequence, at the locations indicated:

Court Division Probate (1st session), Probate & Trust Probate (2nd session), Guardianship Probate (3rd session), Mental & Medical Health Date March 20, 2002 May 3, 2002 June 14, 2002 Location Orlando Tallahassee Tampa

In addition, the requirements analysts participated in several conference calls to review and finalize the process flow diagrams, requirements, and data elements. Prior to each JAD session, a draft set of process flow diagrams, functional requirements, and data requirements were distributed to the invitees. In most cases, the court division subcommittee chair and one or two designees provided input to the draft flows prior to distribution to the whole group. During the JAD sessions, the flows were used to facilitate the discussion of functions, specific judicial requirements, and issues faced by the judges during the case management process. Involving the diverse group in these discussions resulted in a productive exchange of ideas and recommendations, which were incorporated into the JAD session outcome reports. As the group walked through the hardcopy flow diagrams, they were modified to incorporate additional data requirements, clarify the processes, and resolve any discrepancies. The functional and data requirements spreadsheets were reviewed with the group, and indications were made for those data objects and elements that are required by the judges. In many cases, other objects and elements were added to the list as a result of the discussion. After each JAD session, the diagrams and spreadsheets were finalized in electronic format, and a JAD session outcome report was prepared. The report included a synopsis of the session, the finalized drawings and spreadsheets, and a list of issues, recommendations, and other operational considerations raised during the discussion. The report was then distributed to the JAD participants for their review and comment.

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The diagrams, spreadsheets, and remaining contents of the outcome reports were used as the primary input to this document.

1.2 Document Overview

This document is organized into sections as described below. Overview ­ content overview, project background, document overview, and references. Requirements ­ including functional process flow diagrams organized by court division, functional requirements and data requirements in spreadsheet format, cross-referenced to court division. Other operational considerations.

1.3 References

The primary references used in this document are the JAD outcome reports from the Probate JAD session mentioned in the background section above. Other main sources that were referenced include: Civil Functional Standards, published by the National Center for State Courts, updated March 1, 2001. 2001 Florida Statutes, referenced at http://www.leg.state.fl.us/Statutes. 2001 Florida Rules of Court, published by West Publishing Company (WESTLAW®) Industry Standard Specifications for Interoperability Based on XML, LegalXML data standards published by the Organization for the Advancement of Structured Information Standards (OASIS), and referenced at www.oasis-open.org. Justice XML Data Dictionary Schemas, (evolving standards) published by the Georgia Tech Research Institute (GTRI) and referenced at http://justicexml:[email protected]/jxdds/XML_Schemas.html.

2. Requirements

2.1 Functional Process Diagrams

Appendix A contains the final version of the functional process diagrams that were reviewed and agreed upon during the JAD sessions. The diagrams are grouped into three sections within the Probate division: Probate/Trust, Guardianship, and Mental/Medical Health. The functional process diagrams contain process blocks that are linked together by a simple numbering system. The diagrams are presented in a hierarchy from processes described at the most general level to the processes decomposed to the most detailed level. The processes include references to the Florida Statutes and court rules where applicable. Process diagrams are in the form of Visio drawings, and show inputs to and outputs from the processes. In cases where data comes from or goes to an external source, that source is indicated.

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2.2 Functional Requirements

This section contains the final version of the textual requirements that were reviewed and agreed upon during the cumulative JAD sessions and other analysis that has been conducted. The text requirements reference the functional area within the Probate division to which they apply: Mental Health Guardianship Probate/Trust Medical Care Adult Protective Services Each area is in a distinct section of the document, and within each section the requirements are allocated to the processes for that area. The text requirements are allocated to the processes represented by the flow diagrams in appendix A. Some processes may have no requirements allocated to them, and others may have several allocated to the same process. The main processes are listed, regardless of whether or not any requirements have been allocated to them, for two reasons: 1) for completeness and comprehensiveness, and 2) because this is a living document, text requirements may be allocated to a process in a later edition of the document.

2.2.1 Cross-Divisional Functional Requirements

This section contains requirements that are common across multiple or all divisions, and are common to many of the processes, especially if the process relates to an in-court event at which a judge or other judicial officer presides. Due to subtle differences in wording of the requirements agreed upon during the JAD sessions for the different divisions of the court, the wording of these common requirements have been standardized, and many of them mirror the criminal (CR), civil (CV), and domestic relations (DR) functional requirements standards published on the National Center for State Courts web site (http://www.ncsc.dni.us/ncsc/ctp/htdocs/standards.htm). Cross-divisional requirements generally do not apply to a specific process within divisions, so they are not mapped accordingly; they are more accurately described as "on-demand" requirements, which are required to be in place at any time, regardless of the process being executed.

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Req. # 001

002 003

004

005

006 007 008 009

Functional Area Functional Requirement Text Case Initiation and Indexing Permit case look up and retrieval subfunctions by entering a specific defendant/case party and participant name, defendant/case party and participant role, and/or case filed date range, and then obtaining index information (such as each defendant/case party and participant name, date of birth, defendant/case party charges and/or role in case, and whether defendant/case party has an attorney; case type; case number, and other identifiers; alias(es); date filed; and cross reference to other defendant/case parties and participants in case (such as those persons named in case title or style) by selecting from a list of matching results. Permit name search on various combinations of a specific individual's (i.e., defendant/case party and participants) name (e.g., full name, last name only, part of first or last name, etc.). Extract, print, retrieve, or otherwise produce (with appropriate security restrictions), case index information sorted by the content of the various components of index (e.g., defendant/case party, case number, case status, citation number). Docketing and Related Record Keeping Function Provide access to information originally entered during case initiation (e.g., case, person) and to information that supplements these initial entries from the case progress docket index (an index of summary information on the case events and documents). The case progress docket index contains such data elements as document/event identifier, document/event type (such as "motion" or "order", document/event title (such as "motion to dismiss" or "order denying motion to dismiss"), document filing or event date, document filing party. The relationship between multiple documents should also be shown if it was captured upon entry/filing; for example, the relationship between a claim and an answer to the claim should be shown. Permit user to identify and retrieve electronic documents by identifying them on the case progress docket index (e.g., with icon adjacent to event such as motion for dismissal filed indicating that motion filed electronically) and easy display or printout of electronic document or scanned image (e.g., motion that was filed) Produce information on special case processing requirements or orders (e.g., sealed case or document, suppressed indictment, custody status if fugitive). Permit user to access information on multiple individuals associated with a case, such as personal demographics (including employment/student status, immigration status, special needs (religion, diet, language), and charge status including dismissals. Permit user to access both current and historical information for each judge, attorney, prosecutor, victim, defendant, witness, or other participant that is or was associated with a case, with beginning and ending dates (or effective dates of association). Produce information and relationships on multiple cases, judges, attorneys, prosecutors, victims, defendants/case parties, witnesses, and other participants (e.g., to view related cases when preparing to hear case, to view all cases involving particular defendant, to view multiple paternity cases filed against the same respondent by different petitioners, etc.)

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Req. # 010

011

012 013 014 015 016 017 018 019 020 021 022

023 024

Functional Area Functional Requirement Text Track and allow queries on the relationship of specific cases and the defendant/case party to criminal support units (for data such as bail, pre-trial services, pre-sentence investigation, adult probation), CJ agencies (such as law enforcement, prosecutor, public defender (defense attorney), corrections, and adult probation), and non-justice agencies such as social services. Produce information on all, part, or summaries (i.e., "Views") of docket(s) (e.g., events in case progress docket, defendant/case party or participants, charges for specific defendant, summaries of judgment information, case age) for specific case or group of cases and for life of case or specific date range in chronological or reverse chronological order. Support user access to query and view electronically filed (e.g., directly from prosecutor's and defense attorneys' offices) pleadings and other documents. Produce history of changes in judge assignment including those by challenges (e.g., preemptory challenge), showing present and former judges and reasons for change. Produce history of attorney changes for a specific case or case party, with reasons for change. Allow access to information to permit user to obtain audit trail of all charges (i.e., from arrest through life of case) for a given defendant/case party and case. Schedule and Case Management Produce (including ability to reproduce, redisplay, or reprint) schedules for various individuals, events, hearing types, dates, and facilities upon user request (e.g., judges calendar by day). Display attorneys who have cases with future court dates sorted by various criteria (e.g., law firm, defense attorney, prosecutor). Produce information on scheduled events for case (e.g., next scheduled event, all scheduled events). Include case age with any display of case status related to tracking conformance to statutorily mandated or locally defined time standards. Display case conformance to time standards including reasons for non-conformance, if previously entered in the system. Provide exception reporting when scheduled events and groups of events do not conform to statutorily and locally mandated time standards. Ticklers & User Alerts Provide tickler capability to identify events coming due or overdue, periods about to expire or expired (e.g., bail forfeiture due), events of which user should be aware based on locallydefined needs (e.g., approaching maximum number of continuances, case inactive for excessive period pending completion of psychological evaluation or pre-sentence investigation). Provide capability for users to define frequency with which system displays ticklers, alerts, and prompts. Provide capability for users to define content and intrusiveness of ticklers, alerts, and prompts

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Req. # 025 026 027 028 029 030 031

032 033 034

035 036 037 038 039

Functional Area Functional Requirement Text Display lists of all events due on specific date or date range (sorted by date, event, or other user defined criteria). Generate alert when displaying pending cases for which there is no scheduled next event. Generate display of available slots on the judicial calendar. Document Processing Provide electronic acknowledgment and notify appropriate individuals that filings, pleadings, and other documents received and accepted when document filed electronically. Provide capability to print documents upon request, and in accordance with appropriate security and confidentiality restrictions. Provide capability to distribute documents electronically (e.g., documents to be sent to process server) in accordance with state and local statutes, rules, or procedures and appropriate security restrictions. Allow users to create and maintain files of output templates and standard text, including entire paragraphs, and use files to (1) create official court documents by inserting text into templates (e.g., judicial orders, with text and images of court seals and signatures) and (2) create other documents consisting of only text (e.g., brief progress reports on plea agreements). Provide capability to retrieve case-related information (such as attorneys, parties, and participants; case number; case style) from various locations in the system and database for the purpose of merging into document templates. Display status of documents sent or served (return of service or service of process information). Calendaring Display calendars and incorporate calendar addenda specifically identifying calendar addendums -- based on scheduling information -- for each type of hearing (e.g., jury trial, non-jury trial, motion, preliminary, dismissal) or mixed hearings (e.g., motions and plea agreements) for specific periods (e.g., daily, weekly, monthly) and according to various criteria (e.g., judge, date, time, case type, case category, post-conviction activity such as violation of probation, and other elements of calendar profiles). Display calendars individually (e.g., for a judge or courtroom) according to various criteria including date, judge, or courtroom. Display summary calendar information (e.g., for use in courtroom giving case number, hearing type, case title or style, hearing date and time, judge, related events or individuals, and other essential information from calendar). Display summary of upcoming hearings for given judge or in given courtroom over specific period (e.g., one week). Hearings Provide capability to create and print (including ability to reprint) court orders resulting from hearings and other judicial proceedings in real-time. Distribute court orders electronically to external (to the court) recipients and internally to be entered in docket, as necessary. (Related to A)

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Req. # 040

041 042

043 044 045

046 047 048 049 050 051 052 053

Functional Area Functional Requirement Text Send and receive materials to and from other units to assist in judicial functions (e.g., send pre-sentence information to pre-sentence investigation unit and receive results of investigation for use in sentencing, conviction information to adult probation unit and probation information from unit, contents of order for psychological evaluation to nonjustice agencies and results of evaluation from non-justice agencies). Disposition Display disposition, sentence for entire case and each charge. Distribute disposition and disposition documents (judgment form, sentencing documents, custody forms) electronically to agencies external to court in accordance with state and local statutes, rules, or procedures (e.g., to law enforcement and corrections) and internally to be entered in docket. Display disposition and sentence information that shows, for each case and defendant, original and subsequent charges and dispositions and sentences for each charge. Display separate disposition and judgment, including original and subsequent judgments (e.g., containing amounts, modifications, and satisfactions) for each case and party. Case Closure Display disposition and reason for closure (e.g., case disposed after jury or non-jufy trial, guilty plea (e.g., by plea agreement), dismissal, bound over, transfer out to another jurisdiction, consolidation, nolo contendere, or bail forfeiture, alternative dispute resolution (ADR) such as mediation or arbitration, default, dismissal, withdrawal, settlement, transfer out to another jurisdiction, or consolidation) Accounting Display existence of fee waivers or deferrals, and type of deferral. Display information on payments of fees, fines, and related assessment. Provide the capability to share information with state agencies to coordinate collection of court-ordered payments (e.g., to recover previously-waived fees, to initiate tax intercept). Audit Trail Management Provide capability to display changes in case numbers (e.g., for cases transferred to general jurisdiction (i.e., Circuit) court), individual identifiers (e.g., across courts, criminal support units, CJ agencies, and non-justice agencies), and other identifiers. Provide capability to display changes in modified or amended charges from point of arrest or initial filing through completion of sentence, while remaining linked to incident and case for disposition tracking purposes. Provide capability to display changes in dismissed charges from point of arrest or initial filing through disposition while remaining linked to incident for disposition tracking purposes. Provide capability to display pleas entered and their verdicts. Provide capability to display information on sentence compliance and modifications.

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Req. # 054

055

056 057 058 059 060 061 062 063 064 065 066 067 068 069 070 071 072 073

Functional Area Functional Requirement Text Allow for multiple numbering and index systems required by different courts, criminal support units, CJ agencies, and non-justice agencies (e.g., state identification number (SID), personal identification number (PID), state and local criminal history numbers, family identification number). Provide court and case index as part of individual identification information index for courts, criminal support units, CJ agencies, and non-justice agencies. (Court index is an index of all cases being managed by the court; case index is all components of a single case being managed by the court.) Send warrants and other served documents (e.g., subpoenas), to appropriate agency with request for acknowledgement of receipt. Receive, acknowledging receipt of, warrants and other served documents (e.g., subpoenas), from appropriate agencies. Receive return of service on warrants and other served documents (e.g., subpoenas). Notify appropriate agencies of expunged cases, sealed cases, and special case access information. Send and receive all pertinent risk and need assessments between court, criminal support units, CJ agencies, and non-justice agencies. Allow publishing of case, docket, court scheduling or calendaring information, disposition, sentence information to appropriate interested parties. Allow query and display access to case, calendar, court minute, court order, sentence, and disposition information. Allow display access to exhibit information (e.g., for disposal of exhibit). Send information on court schedules, convictions, sentences (e.g., DHSMV notification of license suspension, tax information to IRS and department of revenue). Receive special alert information from prosecution or confinement facility regarding defendant in-custody behavior. Receive information on custody status from detention/corrections unit. Receive information on sentence compliance and completion from detention/corrections unit. Receive information on defendant who has completed detention or any programs administered by corrections. Receive information on incarceration (e.g., beginning and ending dates) from detention/corrections unit. Receive from detention/corrections unit notification of release from physical custody in advance of release (when planned) or upon instance of involuntary release (escape, death). File Archival and Destruction Display reports showing cases where case file has been archived, destroyed, or transferred. Document Management Provide access to search, retrieve, and display electronic and imaged documents. Provide capability to toggle between views of several different documents.

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Req. # 074 075

076

077 078 079

Functional Area Functional Requirement Text Exhibit Management Provide access to lists of exhibits and other property according to case, participant, and other parameters. Statistical Reports Provide access to statistical reports, such as case load (opened, pending, closed, reopened), closed cases by method of disposal (using SRS disposal categories), number of cases assigned per judge; case flow or aging reports (e.g., number pending for 30 days, for 60 days, for 90 days and whether waivers of time limits exist), case age at disposition (e.g., disposed within 60 days, within 120 days, within 180 days), number of pending cases at each proceeding stage (e.g., number of pending awaiting pre-trial conference, awaiting trial, no hearing scheduled), and average time intervals between proceeding stages (e.g., between initial filing and pre-trial conference); and workload statistics (e.g., changes in numbers and percentages of filings to dispositions, percentage changes in filings in successive reporting periods and successive years, percentage changes in manner of disposition). Management Reports Provide access to management reports, providing information on cases (e.g., compliance with time standards defined by local best practices, rules of court, and state statutes; summary information on case parties, filings, and events; and detailed information on particular case aspects, such as no action within a user-specified time frame, no service of process within 120 days; warrants issued, served, and outstanding for more than a userdefined time frame) and sortable by various parameters. Display Witness List, including witness identification, relation of witness to case party, witness address, witness birthdate. Display closed cases with judgments ordered, and cases that are hung, inactive, or otherwise not disposed. Display cases pending on defendant in other Florida counties, and other states.

2.2.2 Civil Functional Requirements

The Civil functional requirements from the main Functional Requirements Document apply to the Probate division. They are repeated below for ease of reference and completeness. Req. # 120 Functional Area Functional Requirement Case Header/Style Accommodate the query and display of parties and participants as individuals (e.g., Ann Smith) or organizations (e.g., Acme Asbestos Company) with primary contact person associated with an organization. Information Relationships

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Req. # 121 122 123 124 125 126 127 128 129 130

Functional Area Functional Requirement Display information and relationships on multiple cases, judges, attorneys, and parties (e.g., cases related only by the fact that it is the same action having a prior filing). Disposition Display disposition type (i.e., type of judgment) including those involving entire cases, individual parties, parcels in real property rights cases, and cross complaints. Distribute disposition and post-judgment documents noted above electronically external to court and internally to be entered in docket. Allow for multiple judgments in cases involving multiple parties. Execution of Judgment Display requests for execution of judgments. Display objections to execution of judgment. Display fully, partially, and nonsatisfied executions. Management Reports Display report of no action on small claims case for six months. Display report of no action on regular County/Circuit civil case for one year. Report of no service of process within 120 days on County/Circuit civil cases.

2.2.3 Probate Division Functional Requirements

The Probate division functional requirements include the cross-divisional requirements from section 2.2.1, the Civil division functional requirements from section 2.2.2, plus the requirements specific to the functional area within the Probate division. An important finding relative to the Probate division functional requirements is that judges have a far more extensive, comprehensive, and active role in managing cases within the Probate division ­ more so than in any other division of the court. In Probate cases, it is the judge/court that has primary responsibility for the case party on behalf of whom an action has been filed. It is the court that must ensure that an estate or trust is administered properly, that a mental or medical health care case is being managed to properly protect the rights of the patient, and that a guardian is properly administering the affairs of a ward (thus the term, "ward of the court"). It is for this reason that the analysis process for this division involved much more depth and detail. The detailed requirements analysis process will be accordingly extensive to result in the appropriate level of system requirements for this division. 2.2.3.1 Manage Mental Health Case The requirements are mapped to the processes documented in appendix A. The main process numbers are shown in the table ­ those numbers map to the process titles: Process 1: Manage Baker Act Case

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Process 2: Manage Marchman Act Case Req. # Functional Area Functional Requirement Mental Health Process 1 2

161

162

163

164

165

Provide access to an institution tracking report to track, identify, and alert judges to facilities filing multiple petitions for involuntary assessments on a person and, after receiving Medicare assessment fees, not filing an associated petition for placement. (Identification of these "miraculous recovery" cases may indicate fraudulent payments to the facility for "churning." Law Enforcement or the facility/doctor itself could initiate repeated assessments without filing a petition in Clerk's office and Judges have no way of knowing this is occurring). Provide capability to access/communicate with DOH and ACHA databases to report case party demographic and geographic information, such as patient name and age, residential address, treatment location , facility location and case disposition of treatment. Provide interface to/communication capability with external data sources to report statistics on patient treatment facilities including treatment success and patient recidivism. (This will allow judges to identify irregularities, patterns and trends.) Provide access to administrative hearing information on cases involving problems with treatment plans. Judges would like to have access to this information for tracking and monitoring purposes even though it is an administrative hearing (DOH?) and no longer a circuit court case issue. Provide access to ZIP code demographic for a patient's residence, location of facility performing patient's assessment, and location of hospital/medical treatment facility. (For purpose of helping to identify possible "churning" and other fraudulent activity.)

X

X

X

X

X

X

X

X

X

X

2.2.3.2 Manage Guardianship Case Process 1: Manage Incapacitation Guardianship Case Process 2: Manage Minor, Veteran, and Voluntary Guardianship Case Process 3: Manage Developmentally Disabled Guardianship Case

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Req. # 166 167 168 169

Functional Area Functional Requirement Provide auditing and query tools for monitoring statutory and financial compliance, problem identification, and trend analysis Provide the capability to perform "random" audits to identify nonstatutory problems such as ward's tax returns not filed timely. Provide the capability to indicate for specific data elements that there is a threshold value associated with the element, and provide automatic alerts to the user, prompting for judicial intervention or action. Provide automatic verification that user-specified documents (such as guardianship oath, fingerprint card, etc.) have been filed, and verification that the case file contains the full set of user-specified documents. Display report of dates associated with activities by guardian type, financial institution, and health assessment and treatment providers. Provide automatic trend analysis capability for guardianship cases, where results could be sent directly to the state attorney's office for follow-up investigative action. (This would reduce the need for appointment of special masters to investigate irregularities in guardianship-related activities.) Report whether an estate has been opened upon the death of a ward of the court when closing a guardianship case. Report all case actions on a guardianship case from initial filing through administration and closing.

Guardianship Process 1 2 3 X X X X X X X X X

X X

X X

X X

170 171

X

X

X

172 173

X X

X X

X X

2.2.3.3 Manage Probate/Trust Case Process 1: Manage Formal Administration Case Process 2: Manage Summary Administration Case Process 3: Manage Personal Property Without Administration Req. # 174 Functional Area Functional Requirement Provide automatic trend analysis capability for wills/estates/trusts, to identify potential need to investigate irregularities in estate/trust-related administration activities.) Probate/Trust Process 1 2 3 X X

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Req. # 175 176 177 178 179

Functional Area Functional Requirement Provide access to report of related probate proceedings in the creditor claims process. Receive automatic notice to initiate closing of file in compliance with specified time standards. Receive notification of ongoing civil action or inaction on cases to allow judges to act within required time periods. Provide "checklist of obligations" when closing an estate to assist judge in determining if state and federal obligations (i.e., tax payments) have been met. Provide access to comparison information between a filed petition and a will to automatically identify differences between the two documents (such as beneficiaries in a will and those in a petition).

Probate/Trust Process 1 2 3 X X X X X X X X X X X

2.2.3.4 Manage Medical Care Case Process 1: Manage Tuberculosis Case Process 2: Manage Expedited Judicial Intervention Case Req. # Functional Area Functional Requirement

Medical Health Care Process 1 2 X X X X X X

180 181 182

Receive automatic notification from the Department of Health if a death certificate is filed on a person. Receive automatic notification from the Department of Health is a person is successfully treated (normally for tuberculosis). Accommodate access to DOH and Agency for Health Care Administration (AHCA) records for assessment/treatment facility information, treatment plans, reports, and dispositions.

2.2.3.5 Manage Adult Protective Services Case Process 1: Manage Non-Emergency Protective Services Case Process 2: Manage Emergency Protective Services Case

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The management of adult protective services cases was not specifically discussed in any of the JAD sessions. The process flow diagrams associated with this functional area were developed in September, 2002, after all the sessions had been conducted, and as a result of conference calls with representatives from the 6th and 17th judicial circuits. There were no functional requirements identified that were specific to this area and not accounted for in other functional areas.

2.3 Data Requirements

The data objects across all functional areas of the probate court division are documented in appendices B (Mental/Medical Health), B1 (Guardianship), and B2 (Probate/Trust). The data elements are documented at the level of a conceptual data model, where the technical details of how the data is stored are not explicitly defined. These data objects and elements will be analyzed in conjunction with the more specific information (forms, etc.) that was collected, which will result in data element standards. The goal is to eventually standardize the data objects/elements in accordance with the Justice XML and Legal XML standards approved by the W3C standards body.

3. Other Operational Considerations

This section documents items of particular interest that are not process, functional, or data requirements, but may impact the efficient operation of the judiciary, and are relevant to the definition of standards to be performed in future phases of the project. Considerations include input from the JAD session participants, especially the information related to current processes and the bottlenecks or trouble spots inherent in them. Participants' suggestions or recommendations for improved efficiency are recorded in this section.

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Item #

Issues & Discussion Topics

Recommendations

1

Standard statistical reports. There are certain sets of data that would greatly facilitate the judges' ability to operate the courts in a more efficient manner. Additionally, the court needs better tools to assist them in identifying and alerting the court to fraudulent activities conducted by parties associated with all types of cases in the Probate division (wills/estates, guardianship, medical/mental health).

Develop a Probate/Trust Reports Workgroup to review and determine the type and number of reports useful to judges in probate/trust court management.

X

2

Need capability to use Guardianship FLSSI forms data published by the Florida Lawyers Support Services, Inc. as a case management tool. There are approximately 150 guardianship FLSSI forms incorporating statutory and probate rules specific to a proceeding. However, while not official court forms, nor designed to support the need of the court to manage cases, they contain 99% of the required data. The 6th th and 17 circuits have jointly developed electronic forms that provide a basis for a future model to use as a tool for case problem identification and trend analysis.

X X X X Develop a FLSSI Forms Workgroup to identify and prioritize critical key forms needed to manage guardianships under court supervision. Data could be electronically captured and automated to provide case management and reporting capabilities useful to judges. Electronic filing capability would definitely support this recommendation.

3

Provide capability to electronically review search results provided by external entities on proposed guardians and to review any related case. The background check issue has the most potential for abuse because after a guardianship appointment and prior to closing of the case, unreported guardian activities could have taken place that adversely affect the ward.

Develop a Background Check Sub-Workgroup to identify the most critical background check compliance issues and how to accomplish reviews in a more efficient manner, with special consideration of the following: Provide a statewide directory/registry to maintain current information on professional guardians. (A system has been implemented in South Florida for

X

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Recommendations

4

Need system capability for a single data entry point for case information to eliminate duplication and mistakes that could populate clerk's data base. For example, re-entering of accounting data frequently causes inaccurate financial information to be provided to judges. A single data entry point would minimize this problem and ensure better data integrity. Chain of custody procedure/process for taking guardian applicant's fingerprints. The clerk's office gives the applicant the blank finger print card, they take it to the sheriff's office to have their prints taken, and then return the completed card to the clerk. This opens the possibility of an applicant giving the card to another person to ensure that "no criminal" results are returned from the background check. Administrative impact of estimated increase in future probate case load: A recent Supreme Court report (Subcommittee report on Fairness) estimated an increase by 20% of people between 65 - 85 in the next five years. Such an increase would be expected to have a large administrative impact on the Probate Court Divisions.

the public guardianship office, but it only applies to guardianship requirements.) Provide a communications method for circuits to inform and share information on fraudulent activities. Background checks and identification of related cases should be done at periodic intervals throughout the guardianship and provide automated "red flags" or alerts to identify changes in a guardian's suitability. Prime candidate for facilitation of a solution through electronic X X X X filing.

5

Further options should be explored in addition to scheduling fingerprinting at the clerk's office. Participants in JAD sessions recommended that the applicant identification and verification process should begin at the clerk's office.

X

6

Projections for additional staff, as well as a process analysis X X X X and re-engineering effort should be initiated to improve the efficiency of the process. Automating functions specific to the probate division would facilitate an improvement in efficiency.

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Item #

Issues & Discussion Topics

Recommendations

7

8 9

Standard statistical reports. There are certain sets of data that would greatly facilitate the judges' ability to operate the courts in a more efficient manner. Additionally, the court needs better tools to assist them in identifying and alerting the court to fraudulent activities conducted by parties associated with all types of cases in the Probate division (wills/estates, guardianship, medical/mental health). Lack of a unique "person identifier" to identify all cases related to a specific individual.

Establish a Baker and Marchman Act Reports Workgroup to review and determine the type and number of reports useful to judges in the areas of mental and medical health case management.

X X

X X X X Several recommendations were made in the general Functional Requirements Document. Please reference that document for recommendations. Identify and count every petition as a separate case number per a No specific recommendations were made, as this is a function X X X X new SRS requirement, effective July 1, 2002. All separate cases must that would need to be implemented in the clerks' systems. be related for judge's purposes. Need for DCF add the appropriate information to assessment forms Perhaps through the TCTC, this effort can be accomplished. so it can be tracked by their agency. For example, original facility where person being treated, age of person, treating physician, petitioner, receiving facility on both assessment and placement, but need to flag the ones that don't have a following placement petition. Need to assist various agencies (ACHA, DCF, etc) whose responsibility it is to protect elderly. X X X

10

11

12

Need to capture Social Security Numbers. Hospitals must have it, and it's going to be a protected (confidential) record, so courts should be allowed to capture it.

X X X Pinellas task force to address substance abuse/mental health. One of the recommendations from this committee is to form a committee to look into the abuses of the Baker and Marchman Acts. Miami-Dade has a task force as well, addressing these issues over the course of 3 - 5 years. Participants recommend a Baker and Marchman Acts review at the statewide level to address abuses. This is an issue that should be addressed by the FCTC/TCTC, X X X X and the recommendation of that body put forward.

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Issues & Discussion Topics

Recommendations

13

The question was posed during JAD session discussions on whether the Again, this is an issue that may be best addressed by the court has the authority to charge someone with contempt, and whether the FCTC/TCTC, or a working group. Legislature should clarify it or whether it is a constitutional issue. Court should include "a finality point" for attorneys appointed by the Determine through FCTC/TCTC or a working group the court. (Some attorneys expect they should serve for the life of the person process for defining the "finality point" of attorney and at the same rate they were paid at initial appointment.) appointments for various processes. Participant discussion on health care advanced directives indicated some judges use a pro bono standing panel of specialists who review treatment records and evidence and submit recommendations to the court prior to hearing. Sometimes when there is a transfer of a patient to a treatment facility by the Sheriff under a court order, the patient is not accepted into the facility for some reason, which causes a problem of not being able to fulfill the order. Patients being treated at a facility under the Marchman Act often do not complete the treatment because they simply leave the facility at some point prior to end of treatment. This could be recommended and communicated to other judges and circuits. Facility's verification that patient will be accepted should be obtained prior to issuance of the pickup and transfer order. Physically secure (i.e., lock) those facilities treating patients under the Marchman Act.

X X X X

14

X X X X

15

X

16

X X

17

X

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Appendix A

Functional Process Diagrams Overview and Mental Health

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1. Functional Process Diagrams

Appendix A contains the final version of the functional process diagrams that were reviewed and agreed upon during the JAD sessions. The diagrams are grouped by probate division functional area. The functional process diagrams contain process blocks that are linked together by a simple numbering system. The diagrams are presented in a hierarchy from processes described at the most general level to the processes decomposed to the most detailed level. The processes include references to the Florida Statutes and court rules where applicable. Process diagrams are in the form of Visio drawings, and show inputs to and outputs from the processes. In cases where data comes from or goes to an external source, that source is indicated.

Diagram Notation: Overview

The process diagrams for this project use a notation that is a combination of the IDEF process modeling technique and traditional flowcharting. IDEF is a method designed to model the decisions, actions, and activities of an organization or system CONTROL

INPUT

Process Name ID #

OUTPUT

MECHANISM

Processes are represented by a box containing a descriptive name for the process, and a number. Top-level process IDs are whole numbers; when the top-level process is further detailed, the processes are numbered in paragraph fashion, such as 1.1, 1.2, and so on. INPUTs to the process are labeled and enter the process box from the left side. OUPUTs are labeled and exit the process box on the right side. CONTROLs are a kind of constraint or regulation to which the process is subject (normally, the FL Statute that governs the process is indicated). Controls enter the process box from the top. MECHANISMs are rarely used in the diagrams, but when they are, they represent a tool or technique that facilitates the process.

Input

Process 1.1

Output

Process 1.2

Processes are linked together in sequential order, where the output from one process is used as an input to the next process. Occasionally, there may be no link between the output of one process and the input of the next process, but the processes remain in sequential order by the process ID numbers. As mentioned above, the second-level process boxes are numbered with the top-level (or "parent") process number followed by a period separator (.) and a sequential number. The diagrams also contain some more familiar shapes from traditional flowcharts, as indicated.

"OR" j u nc ti o n

Decision Point ?

YES

External Entity

Database

NO

Figure A-1. Diagram Notation: Overview

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1.1 Probate, Guardianship, and Mental/Medical Health Overview and Mental Health Case Management Process

The Probate overview process shows the functional areas covered by the process flow diagrams. The process flow diagrams included in this appendix are: Probate, Guardianship, and Mental/Medical Health: Overview Manage Mental Health Case [1] Manage Baker Act Case [1.1] Manage Baker Act Initial Examination [1.1.1] Manage Baker Act Placement [1.1.2] Manage Marchman Act Case [1.2] Manage Marchman Act Initial Assessment [1.2.1] Manage Marchman Act Treatment [1.2.2]

Probate, Guardianship and Mental/Medical Health:Overview

F L Statutes 392-394,397, 415, 731-738, 744, 747, 765 Mental/Medical, and 945 Guardianship, Probate/T rust and Adult Protective Servc. Petitions Determine Type of Filing F ilings of W ill, Caveat or Pre-need Guardianship F L Rules 5.010 - 5.900

Mental Health?

NO

Guardianship?

NO

Probate/ Trust?

NO

Medical Care?

NO

Adult Protective Servcs? YES

NO

YES

YES

YES

YES

Manage Mental Health Case 1

Manage Guardianship Case 2

Manage Probate Case 3

Manage Medical Care Case 4

Manage Adult Protective Services Case 5

updated 08/23/02 probate guardianship and mental/medical health overview.vsd

Figure A-2. Probate, Guardianship, and Mental/Medical Health: Overview

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Probate: M anage M ental Health C ase [1]

F L Sta tu te s 394, 397 and 945 C h a p t e r 9 4 5 in c l u d e s c o m m i t m e n t t o C o r r e c t io n s M e n t a l He a lt h In s t it u t i o n ( C M HI) a n d p e t it i o n f o r t r e a t m e n t o f in m a t e , a s we ll a s B a k e r A c t e xa m a n d p la c e m e n t a t e n d o f t e r m o f in c a r c e r a t io n

M e n t a l He a lt h D etermine P e t it io n s T ype o f Filin g B aker A ct? NO March man A ct? NO

YES Man age B aker A ct C as e 1.1

YES Man ag e Marchman A ct C as e 1.2

updated 12/20/02 probat e manage mental health c as e 1.v s d

Figure A-3. Manage Mental Health Case [1]

Probate: M anage Baker Act* C ase [1.1]

F L Sta tu te s 394 and 945 Baker Act M e n t a l He a lt h P e t it io n s D etermine Type of Filing Ex Parte Petitio n for Initial Ex am ? YES NO Petitio n for Invo lutary Placement ? NO * F lo r id a ' s M e n t a l He a lt h A c t ( P e t it io n f o r In v o lu n t a r y C o m m it m e n t )

YES

Manage Baker A ct Initial Ex am 1.1.1

Manage Baker A ct Placement 1.1.2

updated 11/01/02 probate manage bak er ac t c as e 1.1.v s d

Figure A-4. Manage Baker Act Case [1.1]

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P ro b a te : M a n a g e B a k e r A c t In itia l E xa m in a tio n [1 .1 .1 ]

( P e t i t i o n f o r In v o l u n t a r y E x a m i n a t i o n )

R e la te d Cases Ex Pa rte P e tit io n

F L Sta tu te s 3 9 4 .4 5 9 , 3 9 4 .4 5 9 8 , 3 9 4 .4 5 9 9 , 3 9 4 .4 6 3 , 3 9 4 .4 6 7 , 3 9 4 .4 6 7 2 , 3 9 4 .4 6 7 4 , 9 4 5 .4 3 -9 4 5 .4 8 F ile D o cu m e n t s in R e c o r d s S e a r c h C le rk O ffice 1 .1 .1 .1

No t e 1 : Ju d ic ia l in v o lv e m e n t e n d s a t t h i s s t a g e . If a s s e s s m e n t fa c ilit y d e te r m in e s p la c e m e n t is n e c e s s a r y , fa c ilit y file s a P e titio n fo r P la c e m e n t. a d o c to r o r la w e n fo r c e m e n t f il th e p e titio n , th e c o u r t will n o t s e e it.

C le r k 's Re c o r d s

C o n d u ct Ju d icial/E x Part e R e v ie w 1 .1 .1 .2

E x P a r t e O r d e r f o r In i t i a l E x a m D e n ia l o f P e titio n Appeal No t ic e to P a r tie s

E n d Pro ce s s (N o t e 1 )

updated 11/01/02 p ro b a t e ma n a g e b a k e r a c t in it ia l e x a min a t io n 1 . 1 . 1 . v s d

Figure A-5. Manage Baker Act Initial Examination [1.1.1]

Probate: M anage Baker Act Placement [1.1.2]

( In v o l u n t a r y P l a c e m e n t ) F L Sta tu te s 3 9 4 .4 5 9 , 3 9 4 .4 5 9 8 , 3 9 4 .4 5 9 9 , 394.463 , 3 94.467 , 3 94.467 2, 3 9 4 .4 6 7 4 , 9 4 5 .4 3 -9 4 5 .4 8 A p p o in t G e n e r a l o r S p e c ia l M a s t e r A p p o in t P u b lic D e fe n d e r No t e 1 : It e r a t i v e r e v i e w o f G e n e r a l o r S p e c ia l M a s te r fin d in g s . No t e 2 : S e t f o r a d m i n i s t r a t i v e h e a r in g in T a lla h a s s e e a t e n d o f i n i t i a l 6 - m o n t h p e r io d , i f c o n tin u e d p la c e m e n t is sought. * No r m a l l y o c c u r s a t t i m e o f i n i t ia l h e a r i n g ( r e q u e s t f o r c o n t i n u a n c e f o r IM E ) . No fo r m a l p e titio n u s u a lly file d . D e n ia l o f P e titio n A p p o in t G u a r d ia n Ad vo ca te O r d e r f o r In d e p e n d e n t M e d i c a l E v a l u a t i o n ( IM E ) P la c e m e n t/T r a n s fe r O r d e r o r D is m is s a l Ap pea l

P e titio n fo r Involuntary P la c e m e n t

File D o cuments in C lerk O ffice 1 .1.2.1

SAO DoC A t t o rn ey(s ) P e titio n fo r T ra n sfe r to C M HI C o nd u ct G en eral o r S p ecial Mas ter Hearing (o p tio nal) 1.1.2 .2 P a t ie n t P u b lic D efen d er R e q u e s t f o r IM E a n d C o n t in u a n c* e IM E R e p o r t M a s te r F in d in g s ( No t e 1 ) C o nd u ct Jud icial R eview 1 .1.2.3

C lo s e C as e 1 .1.2.4 (No te 2)

updat ed 12/20/02 probate m anage bak er ac t plac em ent 1. 1. 2 . v s d

Figure A-6. Manage Baker Act Placement [1.1.2]

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Probate: M anage M archman Act Case [1.2]

F L Sta tu te s 397

Ma r ch ma n Act M e n t a l He a lt h Determine P e t it io n s Type o f Filing Initial A s s es s ment & S tabilizatio n ? YES NO NO

Invo luntary Treatment ? YES

End Pro ces s (o ther filing)

Manage Marchman A ct Initial A s s es s ment 1.2.1

Manage Marchman A ct Treatment 1.2.2

updat ed 12/ 20/02 probate manage marc hman ac t c as e 1.2.v s d

Figure A-7. Manage Marchman Act Case [1.2]

Probate: M anage M archm an A ct Initial A ss essm ent [1.2.1]

( In v o l u n t a r y A s s e s s m e n t , S t a b i l i za t i o n , a n d T r e a t m e n t f o r S u b s t a n c e A b u s e ) No t e 1 : P e t itio n s fo r in v o lu n ta r y a s s e s s m e n t a n d /o r s t a b i l i za t i o n f o r s u b s t a n c e a b u s e c o n d it io n s . No te 2 : G u a r d ia n A d L it e m c a n b e a p p o in t e d a t a n y tim e . N o t e 3 : It e r a t i v e r e v i e w o f G e n e r a l o r S p e c ia l M a s te r f i n d i n g s . Ju d g e m a y a l s o s c h e d u le a h e a r in g if it is d e te r m in e d t o b e n e c e s s a r y .

F L Sta tu te s 3 9 7.68 1 , 39 7.6 81 1, 3 9 7.68 1 5 an d 3 9 7.68 2 1 Ex Pa rte P e tit io n G e n e r a l o r S p e c ia l File ( No t e 1 ) D o cu m en ts in M a s t e r A p p o i n t m e n t C lerk O ffice A t t o r n e y A p p o i n t m e n t 1 .2 .1 .1 C o n d u ct G en eral o r S p ecial Mas t er Hearin g (o p tio n al) 1 .1 .2 .2 G u a r d ia n A d L it e m A p p o in tm e n t ( No t e 2 )

Ma ster F in d in g s ( No te 3 )

C o n d u ct Ju d icial/E x Part e R eview 1 .2 .1 .2

G u a r d ia n A d L it e m A p p o in tm e n t ( No t e 2 ) D e n ia l O r d e r O rd e r fo r Asse ssme n t/ S t a b i l i za t i o n P ic k u p O r d e r E n d Pro ces s (No t e 4 )

N o t e 4 : Ju d i c i a l i n v o l v e m e n t e n d s a t t h i s s t a g e . If a s s e s s m e n t f a c ility d e t e r m in e s t r e a tm e n t is r e q u ir e d , th e y file a P e tit io n fo r T r e a tm e n t. F a m ily , fr ie n d , e tc . c a n a ls o file p e tit io n fo r tr e a t m e n t.

updat ed 12/ 20/ 02 probat e manage marc hman ac t init ial as s es s ment 1. 2. 1. v s d

Figure A-8. Manage Marchman Act Initial Assessment [1.2.1]

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Probate: Manage Marchman Act Treatment [1.2.2]

F L Sta tu t e s 3 9 7 .6 9 3 , 3 9 7 .6 9 5 5 , 3 9 7 .6 9 5 7 , 3 9 7 .6 9 7 ,3 9 7 . 6 9 7 1 , 3 9 7 .6 9 7 5 , 3 9 7 . 6 8 2 1 , 3 9 7 .6 9 5 5 , 3 9 7 . 6 9 5 7 a n d 3 9 7 .6 9 7 5 Pe t itio n for Treatment G e n e r a l Ma s te r Ap p o in tme n t At to r n e y Ap p o in t me n t ( In v o lu n ta r y T r e a t me n t) No t e 1 : G u a r d ia n Ad L ite m o n ly a p p o in t e d if p a tie n t d o e s n o t a p p e a r a t h e a r in g . No te 2 : If th e p e r s o n d o e s n o t s h o w fo r tr e a t me n t , o r if t h e y le a v e p r e ma t u r e ly . No te 3 : Ju d ic ia l a c t io n e n d s u n le s s fu r th e r p e titio n s file d . No tr e a tme n t r e p o r t s a r e file d with th e c o u r t.

File Documents in Clerk Office 1.2.2.1

Pe tit io n f o r Exte n s io n o f Treatment

O r d e r fo r In v o lu n ta r y T r e a tme n t o r C o n te mp t F in d in g D is mis s a l Sta n d in g Pic k u p O r d e r Hearing on Order to O r d e r t o Sh o w C a u s e Show Cause (Note 2) 1.2.2.3 Administer Treatment 1.2.2.4 Treatment Completed ? NO YES D is mis s e d Final D is p o s itio n ( No t e 3 ) Close Case 1.2.2.5

Conduct Judicial Review 1.2.2.2

G u a r d ia n Ad L ite m Ap p o in t me n t ( No te 1 )

O r d e r t o Sh o w C a u s e

updated 12/2002 probate manage marchman ac t treatment 1.2.2.vsd

Figure A-9. Manage Marchman Act Treatment [1.2.2]

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Appendix A1

Functional Process Diagrams Guardianship

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1.2 Guardianship Case Management Process

The process flow diagrams included in this section are comprised of: Manage Guardianship Case Overview Manage ETG/Incapacitation Guardianship Case [2.1] Manage Guardianship Case [2.2] Discharge Guardian/Close Guardianship [2.2.5] Manage Developmentally Disabled Guardianship Case [2.3] Manage Involuntary Admission to Residential Services Case [2.3.1] Manage Appointment of Guardian Advocate Case [2.3.2]

Probate: Manage Guardianship Case Overview [2]

FL Statute s FL 392-394, 7 3 1 - 7 3 8 , Rules 74 4, 74 7 5 .01 0 an d 76 5 5 .800 Prob ate, G u a r d ia n s h ip , T r u s t P e t it io n s F ilin g s o f W ill, C a ve a t or Pre-need G u a r d ia n s h ip Determine Type of Filing Incapacitation ? YES NO NO NO Developmentally Disabled ? YES FL Statute s, C h a p te r . 393 Manage Veteran Guardians hip Case 2.2 Manage Developmentally Dis abled Guardianship Cas e 2.2 Manage Voluntary Guardianship Cas e 2.2 NO Voluntary Guardianship ? YES NO

Minor ? YES

Veteran ? YES

F L Statu te 7 4 4 .3 0 1 (4 ) Manage Incapacitation Guardianship Cas e 2.1 Manage Minor Guardianship Cas e 2.2

updated 06/03/02 guardians hip_manage c as e ov erv iew 2.v s d

Figure A-10. Manage Guardianship Case Overview

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Probate: Manage ETG*/Incapacitation Guardianship Case [2.1]

F L R u le s 5.5x 5.6x Ju d ic ia l NOTE 1 Ap p o in t me n ts File Pe tit io n Documents in Clerk Office No t ic e o f He a r in g s 2.1.1 F L St a t u te 744 F ilin g s F L Sta tu t e 7 4 4 .3 0 3 1 D e n ia l o f Eme r g e n c y Conduct Emergency Hearing 2.1.2 Ap p o in tme n t ET G L e tte r s E mer g en cy T emp o r ary G u ard ian

A t t o rn ey(s ) E x amin in g C o mmit t ee

* Eme r g e n c y T e mp o r a r y G u a r d ia n

NOTE 1

O r d e r Ap p o in tin g Atto r n e y ( F o r m G - 2 . 0 3 0 / .0 3 1 ) O r d e r Ap p o in tin g Exa min in g C o mmit te e ( G - 2 .0 4 0 ) O r d e r D e t e r min in g T o ta l In c a p a c it y ( G - 2 .0 6 0 ) O r d e r D e t e r min in g L imite d In c a p a c it y ( G - 2 .0 6 1 ) Case F ile D e n ia l/ D is mis s a l Order NOTE 2 D e t e r min in g Manage C a p a c it y Guardianship Case Order 2.2 Ap p o in tin g Guardian

NOTE 2

All Exa min a tio n R e p o r ts ( G - 2 .0 5 0 , o th e r )

Conduct Hearing to Determine Capacity 2.1.3

dated 12/20/02 guardianship_manage incapacitation 2.1.v sd

Figure A-11. Manage ETG/Incapacitation Guardianship Case [2.1]

Probate: M anage G uardians hip C as e [2.2]

F L S ta tu te F L R u le s 5 . 5 x, 5 . 6 x 744 P e titio n , No tic e o f A p p lic a tio n He a r in g A p p lic a n t C o n d u ct F i n g e r p r i n t s B ackg ro u n d In ves t ig at io n C a s e F ile C r im in a l 2 .2 .1 His to r y FB I FD L E Abuse/ Ne g le c t R e p o rt DCF C r e d it Check, G u a rd ia n sh ip R e g is tr y Check, E m p lo y m e n t V e r ific a tio n C o n d u ct G u ard ian s h ip Hearin g 2 .2 .2 No te 1 : A d m in is te r in g th e G u a r d ia n s h ip m a y in v o lv e m u lt ip le h e a r in g s fo r m a n y r e a s o n s . He a r in g s a r e in itia te d b y th e filin g o f a p e titio n o r m o tio n . M a y b e h e a r d b y e ith e r a G e n e r a l M a s te r o r Ju d g e , w h e r e t h e r e s u l t i s e i t h e r a n O r d e r o r a n O r d e r D e n y in g t h e a c tio n r e q u e s te d in th e p e titio n o r m o t io n .

O at h , A p p o in t m en t , L et t ers o f G u ard ian s h ip C a s e F ile

G u a r d ia n (Pers o n ) G u a r d ia n (Pro p ert y)

G u a r d ia n s h ip R e p o rts ( In i t i a l In v e n t o r y & P la n , A n n u a l C le r k - A u d it e d A c c o u n t in g & G u a r d ia n s h ip Pla n ) C le r k o f R e p o rts C o u rt O rders or O rd e rs D e n y in g No tic e o f He a r in g

A d m in is t er G u ard ian s h ip 2 .2 .3

C o u r t R e v ie w & A u d it

O rd e r to D is c h a r g e G u a rd ia n O b ject io n s t o A cco u n t in g ? YES NO

C o n d u ct Hearin g 2 .2 .4 ( No te 1 )

D is ch arg e G u ard ian / C lo s e G u ard ian s h ip 2 .2 .5

da t ed 01/ 2 8/ 02 gu ardia ns h ip_mana ge c as e 2. 2 . v s d

Figure A-12. Manage Guardianship Case [2.2]

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Probate: Discharge Guardian/Close Guardianship [2.2.5]

Death Cer tificate, Major ity, Person Guardian Transfer of ? Jur isdictio n , Suggestion for NO Restoration of Capacity, Petition for Dischar ge, Exh austion of Assets, Final Accounting Property Guardian ? NO YES Note: Removal of guardian and subsequent appo intment of a successor is descr ibed in the Administer Guar dianship proce ss of the Manag e Guar dianship Case flow diagram.

Petition fo r Dischar ge, Final YES Accounting

Objections ? NO

Order to YES Show Cause

Conduct Hearing 2.2.5.1

Resolution

Order for Terminate Discharge Guardianship 2.2.5.4

Suggestion fo r Restoratio n of YES Capacity Restoration Appoint of Capacity Physician ? 2.2.5.2 NO

NO Objections ? YES

Doctor Approval ? NO

YES Resto ra tion Par tial Resto ra tion No Resto ra tion

Conduct Hearing 2.2.5.3

updated 12/30/02 guardianship - discharge-close 2.2.5.vsd

Figure A-13. Discharge Guardian/Close Guardianship [2.2.5]

P ro b a te : M a na g e D e ve lo p m e nta lly D is a b le d G ua rd ia ns hip C a s e [2 .3 ]

F L Sta tu te s 393

P e t itio n s

D et e rm in e T yp e o f F ilin g NO NO

In vo lu n t ary A d m is s io n ? YES

G u ard ian A d vo cat e? YES

M an ag e In vo lu n t ary A d m is s io n t o R es id en t ial S ervices C as e 2 .3 .1

M an ag e A p p o in t m en t o f G u ard ian A d vo cat e C as e 2 .3 .2

updated 07/02/02 p ro b a t e ma n a g e d e v e lo p me n t a lly d is a b le d g u a rd ia n s h ip c a s e 2 . 3 . v s d

Figure A-14. Manage Developmentally Disabled Guardianship Case [2.3]

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Probate: M anage Involuntary Admission to Residential Services Case [2.3.1]

F L Sta tu te s 3 9 3 .1 1 File D o cument in Clerk's Office 2.3.1.1 I n v o l u n t a r y Ad m i s s i o n t o R e s i d e n t i a l S e r v i c e s fo r De v e lo p me n ta l Dis a b ilitie s No t ic e ( No t e 2 ) Order for Developmental Services Program Examination ( A d a p t e d f r o m Jill B u r zy n s k i' s d r a win g s b a s e d o n s. 3 9 3 .1 1 )

P e t it io n ( No t e 1 )

No t e 1 : P e t it io n f ile d b y a P e t it io n in g C o m m is s io n ( 3 p e r s o n s , in c lu d in g 1 C o u r t m a y A p p o in t M a s t e r A p p o in t A t t o r n e y ? ( n o t le s s t h a n 2 0 wo r k in g d a y s p r io r t o h e a r in p h y s ic ia n ) , D C F , S A O , o r g) d e fe n d a n t's a tto rn e y. A p p o in t g u a r d ia n a d lit e m ? ( No t e 3 ) No t e 2 : No t ic e o f h e a r in g P e t it io n se n t to d e fe n da n t's Co nduct Attorney Order for Involuntary Admission (Note 4) a tto rn e y, a nd to th e SAO . Hearing W it n e s s e s , fo r Invo luntary E v id e n c e Appeal, Denial, Writ of Habeas Corpus No t e 3 : A t t o r n e y m a y A dmis s io n E xa m in a t io n s e e k t h e a p p o in t m e n t o f a 2.3.1.2 Report ( due 10 g u a r d ia n a d lit e m . A p r io r n o t le s s t h a n f in d in g o f in c o m p e t e n c y is wo r k in g d a y s n o t r e q u ir e d b e f o r e a S u p p o r t P la n Co nduct p r io r t o h e a r in g ) g u a r d ia n a d lit e m is Review o f a p p o in t e d p u r s u a n t t o t h is In t e r e s t e d p a r t ie s S uppo rt Plan s e c t io n . DCF Support 2.3.1.3 P la n ( d u e wit h in No t e 4 : Is s u e o f 45 days of c o m p e t e n c y s h a ll b e order) d e t e r m in e d in a s e p a r a t e O r d e r f o r t r a n s f e r o f p r o c e e d in g u n d e r C h . 7 4 4 c o n t in u in g ju r is d ic t io n a n d F l P r o b a t e R u le s . Co nduct Co ntinuing Appeal, Juris dictio n Writ of Habeas Corpus 2.3.1.4 O r d e r f o r R e le a s e

updated 07/02/02 probate manage inv ol adm to res idential s erv c as e 2.3.1.v s d

Figure A-15. Manage Involuntary Admission to Residential Services Case [2.3.1]

Probate: Manage Appointment of Guardian Advocate Case [2.3.2]

D e v e lo p me n t a l D is a b ilit ie s F L Sta tu te s 3 93 .1 2 No t ic e ( No t e 2 ) File Do cument in Clerk's Office 2.3.2.1 A p p o in t A t t o r n e y ( if in d ig e n t / o r n o a p p e a r a n c e h a s b e e n f ile d wit h in 1 0 wo r k in g d a y s o f h e a r in g ) ( A d a p t e d f r o m Jill B u r zy n s k i' s d r a win g s b a s e d o n s. 3 93 .1 2) C o n d it io n : P r o b a t e c o u r t m a y a p p o in t a g u a r d ia n a d v o c a t e , wit h o u t a n a d ju d ic a t io n o f in c a p a c it y , f o r a p e r s o n wit h d e v e lo p m e n t a l d is a b ilit ie s , if t h e p e r s o n la c k s t h e c a p a c it y t o d o s o m e , b u t n o t a ll, o f t h e t a s k s n e c e s s a r y to ca re fo r th e pe rson , p r o p e r t y , o r e s t a t e , o r if t h e p e r s o n h a s v o lu n t a r ily p e t it io n e d f o r o n e . No t e 1 : P e t it io n t o a p p o in t a g u a r d ia n a d v o c a t e m u s t s p e c if y e xa c t a r e a s in wh ic h p e r s o n la c k s c a p a c it y t o m a k e in f o r m e d d e c is io n s a bo u t ca re , tre atmen t s e r v ic e s , o r r e q u ir e m e n t s f o r h e a lt h a n d s a f e t y . No t e 2 : No t ic e o f h e a r in g s h a ll b e s e t t o in q u ir e in t o t h e c a p a c it y o f t h e p e r s o n wit h d e v e lo p m e n t a l d is a b ilit ie s t o e xe r c is e t h e r ig h t s e n u m e r a t e d in t h e p e t it io n .

P e t it io n ( No t e 1 )

P e t it io n Attorney W it n e s s e s , E v id e n c e S u p p o r t P la n s , E d u c a t io n a l P la n , o r oth er re po rts d o c u m e n t in g c o n d it io n o r n e e d

Co nduct Hearing 2.3.2.2

Order for Appointment of Guardian Advocate, as governed by s. 744.351 Denial

Manage Guardians hip Cas e 2.2

updated 07/02/02 probate manage appointment of guardian adv oc ate c as e 2.3.2.v s d

Figure A-16. Manage Appointment of Guardian Advocate Case [2.3.2]

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Appendix A2

Functional Process Diagrams Probate/Trust

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1.3 Probate/Trust Case Management Process

The process flow diagrams included in this section are: Manage Probate Case [3] Manage Formal Administration Case [3.1] Administer & Close Estate [3.1.5] Manage Summary Administration Case [3.2] Manage Without Formal Administration Case [3.3]

Probate: M anage Probate Case [3]

Ca v e a t, No tic e o f T r us t, Pr o b a te Pe titio n, Will, Othe r Pe titio n F L Sta tute s 655.935, 731 - 738 FL Sta tute s 737.201, 737.205 Civ il Rule s o f N Pr o c e d ur e O TE

1

Determine Type of Proce e ding

Discre te Filing?

NO

Formal Administration Case ?

YE S

NO

Summary Administration Case ?

YE S

NO

Trust Issue ?

NO

YE S

Initialize Trust Action or Administe r Trust

YE S Pe titio n to Ope n Sa fe Cle r k 's De p o s it Re c o r d s Bo x , F r e e s ta nding Ho m e s te a d Pe titio n

F L Sta tute s 731,732,733, 734,735 & 737

M anage Formal Administration Case 3.1

F L Sta tute s 733, 735

M anage Summary Administration Case 3.2

F L Sta tute s 732.402, 735.301, 735.302

N O TE 1

Dua l T r a c k s - Inita te in Civ il Div is io n a nd m a na g e in Pr o ba te Div is io n

Dispose Pe rsonal Prope rty w/o Administration 3.3

updated 03/21/02 probate manage c as e 3.v s d

Figure A-17. Manage Probate Case [3]

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Probate: M anage Formal Administration C ase [3.1]

F L S ta tu te s 7 3 1 , 7 3 2 , De a th 7 3 3 , 7 3 4 , 7 3 5 a nd 7 4 7 Ce r tific a te , Pr o b a te Pe titio n , File F ile d Will, Do cu me n ts in Do c um e n ts Ca v e a t, No tic e o f Cle rk's O ffice 3.1.1 T r u s t, Pe titio n fo r F u r the r A d m inis tr a tio n Re la te d C a s e s a nd A c tio n s C le r k 's Re c o r d s

Co n d u ct Cle rk Re v ie w 3.1.2

No tic e s

Is W ill Co n te ste d ?

YE S

NO

C u r a to r , A d m in is tr a to r a d lite m , Pe r s o na l Re p r e s e n ta tiv e A p p o intm e n t, Bo nd A m o u nt, Re s id e n t A g e nt De s ig n a tio n , A d m is s io n o f W ill, Le tte r s o f A d m in is tr a tio n

Co n d u ct Ju d icial Review 3.1.3

W ill Co n te ste d o r O b je ctio n s/ M o tio n s?

YE S

NO

Co n d u ct He arin g 3.1.4

Or d e r , Appeal

Ad min iste r & Clo se Estate 3.1.5

updated 03/21/ 02 probate formal adm c as e 3.1. v s d

Figure A-18. Manage Formal Administration Case [3.1]

Probate: Administer & C lose Estate [3.1.5]

Proof of Pu b lic a tio n , S ta te m e n t fr o m C r e d ito r s , In v e n to r y Lis tin g

Ad min iste r Estate 3.1.5.1

O b je ctio n s o r M o tio n s ?

YE S

NO

FS 7 3 3 .7 0 5

Co n d u ct In d e p e n d e n t Actio n s 3.1.5.2

DOR

Tax

Ad min iste r Distrib u tio n to Be n e ficarie s Lia b ility 3.1.5.3

F in al Acco u n tin g / YE S W aiv e rs Co mp le te d w/n o Ob je ctio n s F in a l ?

NO Or d e r to Pa y , Or d e r to S h o w Ca u s e , Appe al

A c c o u n tin g , Pe titio n fo r Dis c h a r g e

Re la te d Ca s e s a n d A c tio n s

Co n d u ct He arin g 3.1.5.4

Cle r k 's Re c o r d s

Clo se Estate & YE S Clo se Case Ch e c k lis t 3.1.5.5

Or d e r fo r Dis c h a r g e

updated 03/21/02 probate admin-c los e 3. 1.5.v s d

Figure A-19. Administer & Close Estate [3.1.5]

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Probate: Manage Summary Administration Case [3.2]

Sum m a ry Proba te F L Sta tute s Pe tition 733, 735 Will, Ca v e a t, No tic e o f F ile d File T r u s t, P e t i t i o n Docume nts in Do cum e nts Cle rk's Office fo r F u r th e r 3.2.1 A dm inis tr a tio n

Re la te d Ca se s a nd A ctions Cle rk's

Conduct Re v ie w 3.2.2

No tice s

Obje ctions, Motions ?

NO

Cle r k 's Re c ords Sum m a ry Che ck list

Pe rform Summary Administration 3.2.3

Distr ibutio n/ Pa y m e nt, Optio na l No tice to Cr e dito rs

Additional Claims ?

YE S

NO

No Furthe r Action

F L Sta tute 735.206 (4)(e ) Cla im s Cle rk

Option to File Civ il Action

Cla im s

Conduct He aring 3.2.4

Orde r, A ppe a l

updated 03/22/02 probate s ummary cas e 3.2.vs d

Figure A-20. Manage Summary Administration Case [3.2]

Probate: Manage W /O Formal Administration Case [3.3]

F L Sta tute s 732.402, 735.301, 735.302 Inform a l A ffida v it, le tte r by inte re ste d pa rty

File Docume nts in Cle rk's Office 3.3.1

Re la te d Ca se s a nd A ctions

F ile d Docum e nts Wr iting A uthorizing Orde r for Pa y m e nt, T ra nsfe r o r Disposition of Pe rsona l Prope rty YES

Conduct Cle rk's Re v ie w 3.3.2 Conduct Judicial Review 3.3.3 Qualifie d for Disposition without Administration ?

NO

Cle rk 's Re cords

No Furthe r Action

Formal Administration Case ?

YE S

NO

Summary Administration Case ?

YE S

NO

No Furthe r Action

M anage Formal Administration [3.1]

updated 03/22/02 probate w -o admin c ase 3.3.vsd

M anage Summary Administration [3.2]

Figure A-21. Manage Without Formal Administration Case [3.3]

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Appendix A3

Functional Process Diagrams Medical Care

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1.4 Medical Care Case Management Process

The process flow diagrams included in this section are comprised of: Manage Medical Care Case [4] Manage Tuberculosis Case [4.1] Manage Expedited Judicial Intervention Case [4.2]

Probate: Manage Medical Care Case [4]

F L Sta tu te s 3 9 2 .5 5 , 3 9 2 . 5 6 , 3 9 2 .5 6 5 , 3 9 2 . 5 7 , 3 9 2 .6 0 , 3 9 2 .6 4 , 7 6 5 .1 0 5 Ru le 5 .9 0 0 Me d ica l Ca r e Determine Pe tit io n s Type of Filing NO Tuberculosis Petition? YES Expedited Judicial Intervention Petition? YES NO

Manage Tuberculosis Case 4.1

Manage Expedited Judicial Intervention Case 4.2

updated 06/14/02 probate manage medical care case 4.vsd

Figure A-22. Manage Medical Care Case [4]

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Probate: Manage Tuberculosis Case [4.1]

F L St a t u te s 3 9 2 .5 5 , 3 9 2 . 5 6 , 3 9 2 .5 6 5 , 3 9 2 .5 7 , 3 9 2 . 6 0 , 3 9 2 .6 4 a n d 393.11 Pe titio n s File ( No te 1 ) Documents in Clerk Office 4.1 D O H Pla n Pe tit io n Warrant, Orders No t ic e /Pla n ( No t e 2 ) Conduct Judicial Review 4.1.2 Ap p o in t Attorney G u a r d ia n s h ip ( No te 3 ) T r e a tme n t /Pla c e me n t Order R e le a s e O r d e r ( No te 4 ) Treatment NO Plan Objections ? YES Conduct Hearing 4.1.4 Ap p e a l? District Court Administer Treatment Plan 4.1.5 YES No te 1 : Exp e d ite d Ju d ic ia l In t e r v e n t io n p e titio n s fo r e me r g e n c y h o ld , c e r tific a t e fo r in v o lu n t a r y h o ld f o r t u b e r c u lo s is c o n tr o l a n d p e t it io n f o r r e le a s e . No t e 2 : C o u r t ma y wa iv e o r s e r v e n o tic e o n p e r s o n s wh o h a ve n o t jo in e d in p e titio n . No t e 3 : Pe r s o n ma y n e e d g u a r d ia n s h ip o f p e r s o n o r p r o p e r ty . G o to Ma n a g e G u a r d ia n s h ip . No t e 4 : Up o n R e le a s e O r d e r o r p a t ie n t d is c h a r g e c a s e is c lo s e d .

D O H Pla n

Su p p o r t in g Ev id e n c e , W itn e s s e s , Ph y s ic ia n o r F a c ility R e p o r t

Conduct Hearing 4.1.3

Plan Followed? NO

D is c h a r g e

C o n te mp t o f C o u r t Pe t it io n

updated 06/14/02 probate manage tuberculosis cas e 4.1.vsd

Conduct Enforcement

Figure A-23. Manage Tuberculosis Case [4.1]

Proba te: M a nage E xp edite d Jud ic ia l Interven tion C as e [4.2 ]

F L Sta tu te s 7 6 5 .1 0 5 P e t it io n s File ( N o t e 1 ) D o cu m en t s in C lerk O ffice 4 .2 .1 R u le 5 .9 0 0 No t ic e ( No t e 2 ) A p p o in t A tto r n e y , A t t o r n e y a d lit e m G u a r d ia n A d v o c a t e / G u a r d ia n a d lite m ( No t e 3 ) A p p o i n t E xp e r t P a n e l ( O p t i o n a l ) N o t e 1 : E xp e d i t e d Ju d i c i a l In t e r v e n t i o n p e t i t i o n s f o r r e v i e w o f h e a lt h c a r e d ir e c t iv e s , s u r r o g a t e o r p r o xy d e c i s i o n s a n m is c e lla n e o u s ( e n d - o f life ) p e t it io n s . No te 2 : C o u r t m a y wa iv e o r s e r v e n o tic e o n p e r s o n s wh o h a v e n o t jo in e d in p e t itio n . No te 3 : P e r s o n m a y n e e d g u a r d ia n s h ip o f p e r s o n o r p ro p e rty . G o to M a n a g e G u a r d ia n s h ip . No t e 4 : Up o n F in a l O r d e r ( R u lin g o n R e lie f ) o r A p p e a l c a s e c lo s e d . NO O b ject io n s ? YES C o n d u ct E vid en t iary Hearin g 4 .2 .4 F in a l O r d e r ( No te 4 ) Appeal F in a l O r d e r ( No te 4 )

P e t it io n t o R e v ie w

C o n d u ct Ju d icial R eview 4 .2 .2 P e t it io n t o R e v ie w

C o n d u ct Ju d icial PreHearin g A tto rn e y , A tto rn e y 4 .2 .3 a d lit e m , G u a r d ia n A d v o c a te /G u a r d ia n a d lit e m

Atto rn e y, Atto rn e y a d lit e m , G u a r d ia n A d v o c a te /G u a r d ia n a d lit e m

S u p p o r t in g E v id e n c e , W it n e s s e s , P h y s ic ia n o r F a c ilit y R e p o r t E xp e r t P a n e l R e p o r t ( O p tio n a l)

u p da t ed 0 6 / 1 4 / 0 2 p ro b a t e ma n ag e e x p ed it e d ju d ic ia l in t e rv e nt io n c a s e 4. 2 . v s d

Figure A-24. Manage Expedited Judicial Intervention Case [4.2]

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Appendix A4

Functional Process Diagrams Adult Protective Services

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1.5 Adult Protective Services Case Management Process

The process flow diagrams included in this section are comprised of: Manage Adult Protective Services Case [5] Manage Non-Emergency Protective Services Case [5.1] Manage Emergency Protective Services Case [5.2]

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Probate: Manage Adult Protective Services Case [5]

F L Statu tes Ch ap ter 41 5 A d u lt P r o t e c t iv e S e r v ic e s Determine P e t it io n s Type of Filing

Non-Emergency Petition?

NO

Emergency Petition?

NO

YES

YES 41 5.1 05 1 (1 ) 4 15 .10 51 (2)

Manage NonEmergency Protective Services Case 5.1

Manage Emergency Protective Services Case 5.2

updated 08/22/02 probate manage adult protec tiv e serv ic es c as e 5.v s d

Figure A-25. Manage Adult Protective Services Case [5]

Probate: M anage Non-Emergency Protective Services Case [5.1]

F L Sta tu te s 4 1 5 .1 0 5 1 (1 ) No n - E m e r g e n c y P r o te c tiv e S e r v ic e s File P e tit io n D o cu m en t s in C lerk O ffice C o n t in u a t io n 5 .1 .1 P e tit io n C o n d u ct Ju d icial R eview 5 .1 .2 No t e 1 : C o u r t s e t s h e a r i n g d a t e wi t h i n 1 4 d a y s a f te r t h e f ilin g o f t h e p e t it io n . No t e 2 : C o p y g i v e n t o v u ln e r a b le a d u lt , s p o u s e , g u a r d ia n a n d le g a l c o u n s e l, wh e n k n o wn , a d u l t c h i l d r e n o r n e xt o f k in a t le a s t 5 d a y s p r io r to h e a r in g . N o t e 3 : If s e r v i c e s a r e needed, DCF may request a u t h o r i za t i o n f r o m t h e c o u r t o f ile f o r g u a r d ia n s h ip (re fe re n ce p ro ce ss " M a n a g e G u a r d ia n s h ip C a se [2 ]") .

S e t H e a r i n g D a t e ( No t e 1 ) No t ic e ( No t e 2 ) A p p o in t A tto r n e y ?

P e t it io n

P e titio n Atto rn e y o r A p p o in te d A tto r n e y V u ln e r a b le A d u lt and any person g iv e n n o t ic e

C o n d u ct Ju d icial Hearin g 5 .1 .3

Need S ervices an d L ack C ap acit y?

YES (No te 3 )

O r d e r f o r P r o te c t iv e S e r v ic e s , D e s ig n a te R e s p o n s ib le P a r t y Appeal

NO

updat ed 09/ 10/ 02 probat e manage non-emergenc y prot ec t iv e s erv ic es 5. 1. v s d

Figure A-26. Manage Non-Emergency Protective Services Case [5.1]

Probate FRD.doc Appendix A4 - Page 44 13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Probate: M anage Emergency Protective Services Case [5.2]

F L Sta tute s 41 5.1 0 51 (2 ) File D o cuments in C lerk Office 5.2.1 Co nduct Judicial R eview 5.2.2 P e t i t io n Atto rn ey or Ap p o in te d A tto r n e y V u ln e r a b l e A d u l t and any person g iv e n n o t i c e No t e 1 : C o u r t s e t s h e a r in g d a t e wi t h i n 4 d a y s a f t e r t h e f il i n g o f th e p e titio n . S e t He a r i n g D a t e ( No t e 1 ) No t i c e ( No t e 2 ) A p p o in t A tto r n e y ? No t e 2 : C o p y g i v e n t o v u ln e r a b le a d u lt, s p o u s e , g u a r d ia n a n d le g a l c o u n s e l , wh e n k n o wn , a d u lt c h i l d r e n o r n e xt o f k in a t le a s t 2 4 h o u r s p r io r to h e a r in g . No t e 3 : If s e r v i c e s a r e ne e de d , DCF ma y re q ue st a u t h o r i za t i o n f r o m t h e c o u r to file fo r g u a r d ia n s h ip (re fe re n ce p ro ce ss "M a n a g e G u a r d ia n s h ip Case [2 ]") .

Eme rge n cy P r o te c tiv e S e r v ic e s P e titio n C o n t i n u a t io n P e titio n

P e titio n

C o nd uct Jud icial Hearing 5.2.3

YES

S e rv ice s Ne e d e d a nd La ck s C a pa city / C o nse nt?

S e rv ice s C o ntinue d a nd La ck s C a pa city / C o nse nt?

YES

O r d e r f o r P r o t e c t iv e YES S e r v i c e s (Note 3) D e s i g n a t e R e s p o n s ib l e P a r t y D is co ntinue S ervices ? Appeal NO

NO

NO

updat ed 09/ 10/ 02 probate manage emergenc y protec t iv e s erv ic es 5. 2.v s d

Figure A-27. Manage Emergency Protective Services Case [5.2]

Probate FRD.doc

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13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Appendix B

Data Requirements Cross-Reference Mental/Medical Health

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28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement Provide automatic tracking and ticklers related to statutorily-mandated time frames, and other time frames as specified by the user.

Data Object Name

Data Element Requirement

Judge Requires/ Not Needed R

Comments

Case Data

Case Number

R

Case file contents, especially for images, and electronicallyfiled documents.

Judge Name Special Master Name

R R

View and query medical treatment data

Expedited Judicial Intervention Concerning Medical Treatment Procedures, Petition (Rule 5.900)

Name of petitioner

R

Applies to Baker Act as well.

Address of petitioner Name of subject person Address of subject person (patient) Relationship to patient Name of patient's spouse Name (s) of patient's adult children

R R R R R R

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Name (s) of minor patient's parents, If none of the above, name (s) of patient's next of kin Name of any guardian Name of any court-appointed health care decision-maker Name of person designated in living will, or other document Name of hospital administrator Name of nursing home Name of principal physician Name (s) of other physician Name of other persons Facts to support a relief request Affidavits and supporting documents

Judge Requires/ Not Needed R R R R R R R R R R R R R R R R R

Comments

Return of Service

Notice ID Petition ID Name of person noticed Service status

Not the same as in the civil sense.

BAKER ACT

Ex Parte Petition

Diagnosis

Baker Act data (refer to forms provided by 6th and 11th).

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28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Social Security Number of Respondent Name of Respondent Age of respondent/patient Primary language of respondent/patient Gender of respondent Ethnicity of respondent

Judge Requires/ Not Needed R R R R R R

Comments

(all of traditional demographics associated with a primary party such as respondent) Private insurance, Medicaid, Medicare... Where they were living prior to entering facility Primary physician, and any other physicians providing treatment to the respondent.

Health insurance coverage

R

Respondent's residence prior to placement in facility Name of referring facility Name of Treating Physician(s)

R R R

Name of Referring Physician Name of facility to which respondent is referred.

R R

On petition and on order (they may differ).

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Legal status of respondent

Judge Requires/ Comments Not Needed R Legally declared to have a guardian/guardian advocate/health care surrogate. R Whether public defender or private attorney. PD will be appointed automatically, and there may be a substitution of private attorney at a later time.

Respondent's attorney name

Respondent's attorney contact information. State Attorney name

R

R

This is the specific name of the assistant state attorney

State Attorney contact information Related Baker Act actions applicable to respondent.

R R

Other Related cases

R

Especially DR, DV actions, pending criminal cases.

Medical History of respondent

R

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name Criminal History of respondent

Data Element Requirement

Judge Requires/ Not Needed R

Comments

Petition for Treatment

Everything on the ex parte petition plus the following: Physician diagnosis Reason(s) for commitment Signing physician name Signing physician contact info Method of initial Baker Act assessment

R R R R R R

There will be a minimum of two occurrences. Law Enforcement, Treatment facility, medical personnel, petitioner This information may appear on multiple documents (orders, findings...) Danger to self/others,

Court Findings/orders

Diagnosis found by court

R

Criteria for commitment Period of commitment Advocate appointment Type of Advocate Advocate's relationship to respondent Type of Placement

R R R R R R

For Psychiatric or physical treatment Family member or professional advocate Public or private

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Functional Requirement

Data Object Name

Data Element Requirement Status of advocate's attendance at training course Independent Medical Evaluator that was appointed on an order

Judge Requires/ Comments Not Needed R Ordered, completed, in process... R R Court cannot read it unless it's admitted by respondent. They do, however, need to know whether an independent medical evaluation exists, regardless of whether it's been admitted.

Independent Medical Evaluation

Provide view and query access to list. List of proven independent medical evaluators

R

Number of and length of continuances Reasons for continuances Party filing motion for continuance

R R R

Per case. Per case. Per case.

Provide access to the data elements Report and Recommendations of contained in the forms listed in the General Master "Data Object Name" column, from this row on.

R

From forms used by the 6th Circuit, and related to involuntary placement.

Probate FRD.doc

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28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name Findings of Fact Recommendations Order for Involuntary Placement Order of Dismissal Findings of Fact of General Master

Data Element Requirement

Judge Requires/ Not Needed R R R R R

Comments

From forms used by the 6th Circuit, and related to involuntary placement.

Probate FRD.doc

Appendix B - Page 53

28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Appendix B1

Data Requirements Cross-Reference Guardianship

Probate FRD.doc

Appendix B1 - Page 54

28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Name of petitioner

View and query guardianship petition Petition to Determine Incapacity data (Rule 5.550)

Judge Requires/ Comments Not Needed R Repeated in FLSSI forms list.

Age of petitioner Address of petitioner Petitioner's relationship to alleged incapacitated person Name of incapacitated person Age of incapacitated person Count Residence of incapacitated person Address of incapacitated person Primary language of incapacitated person, if known Facts on which petitioner bases belief in alleged person's incapacitation Name of all persons known to the petitioner who have knowledge of such facts through personal observation Address of all persons known to the petitioner who have knowledge of such facts through personal observation Name of alleged incapacitated persons attending or family physician, if known

R R R R R R R R R

R

R

R

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Address of alleged incapacitated persons attending or family physician, if known Petitioner states what alleged incapacitated person is incapable of performing Petitioner states if they have insufficient judgment to determine what alleged incapacitated incapable of performing State if plenary guardianship sought State if limited guardianship sought Next of kin name to alleged incapacitated person Next of kin relationship to alleged incapacitated person Next of kin address to alleged incapacitated person Next of kin minors dates of birth to alleged incapacitated

Judge Requires/ Not Needed R

Comments

R

R

R R R R R R R R R R R

View and query probate case notices Notice (Rule 5.550)

Time of hearing Place of hearing Date of hearing Type of notice

Repeated in FLSSI forms list.

Probate FRD.doc

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28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Name of person noticed Address of person noticed Telephone number of person noticed Other pertinent information No petition to determine incapacity required

Judge Requires/ Not Needed R R R R R

Comments

View and query guardianship petition Guardianship of Minors, Petition for data Appointment of Guardian (Rule 5.555)

Repeated in FLSSI forms list.

Verified by the petitioner Facts to establish venue Petitioner's residence Petitioner's post office address Minor name Minor age Minor SSN# Minor residence Minor post office address Minor's parents name, if known Minor's parents address, if known Minor's next of kin name, if known Minor's next of kin address, if known Proposed guardian's name Proposed guardian's SSN# Proposed guardian's name

R R R R R R R R R R R R R R R R

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Functional Requirement

Data Object Name

Data Element Requirement Proposed guardian's tax identification number Proposed guardian's residence Proposed guardian's post office address Answer "yes" or "no" if proposed guardian qualified to serve Answer "yes" or "no" if willing and qualified guardian has not been located Proposed guardian's relationship to minor Proposed guardian's previous relationship to minor State reason why proposed guardian should be appointed Nature and value of property subject to guardianship

Judge Requires/ Not Needed R R R R R

Comments

R R R R R Repeated in FLSSI forms list.

View and query guardianship petition Petition for Appointment of Guardian Facts to establish venue data of an Incapacitated Person (Rule 5.560) Petitioner's residence Petitioner's post office address Name of alleged incapacitated person Age of alleged incapacitated person

R R R R

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Residence of alleged incapacitated person Post office address of alleged incapacitated person State the nature of incapacity State the extent of the guardianship as plenary or limited State the nature of property subject to guardianship State value of property subject to guardianship Next of kin name of alleged incapacitated person Next of kin address of alleged incapacitated person Proposed guardian's name Proposed guardian's SSN# Proposed guardian's name Proposed guardian's tax identification number Proposed guardian's residence Proposed guardian's post office address Answer "yes" or "no" if proposed guardian qualified to serve

Judge Requires/ Not Needed R R R R R R R R R R R R R R R

Comments

Probate FRD.doc

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Answer "yes" or "no" if willing and qualified guardian has not been located Proposed guardian's relationship to incapacitated Proposed guardian's previous relationship to incapacitated State reason why proposed guardian should be appointed State if petitioner requests appointment of a public guardian

Judge Requires/ Not Needed R

Comments

R R R R R Repeated in FLSSI forms list.

View and query guardianship applications and disclosures

Application for Appointment as Guardian; Disclosure Statement; Filing (Rule 5.590)

Individual applicant's qualifications

Name of ward (s) Court file number Circuit Court where each case pending Statement acting as limited guardian of property for each ward Statement as plenary guardian of person for each ward Appointment application filing date View and query guardianship applications and disclosures Disclosure Statement for Nonprofit Corporations State qualifications to serve

R R R R R R R

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28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Name of ward (s) Court file number Circuit Court where each case pending Statement acting as limited guardian of property for each ward Statement as plenary guardian of person for each ward

Judge Requires/ Not Needed R R R R R R R

Comments

View and query guardianship claims Settlement of Minor's Claims (Rule 5.636)

File quarterly with clerk Name of minor

Residence of minor Address of minor Date of birth of minor Name of appointed guardian Address of appointed guardian Name of natural guardian Residence of natural guardian Name of other person having legal custody Residence of other person having legal custody Disclosure of conflict of interest with that of minor Description of cause of action

R R R R R R R R R R R

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Summary of proposed settlement terms Copies of all agreements executed on behalf of minor

Judge Requires/ Not Needed R R R

Comments

View and query guardianship applications and disclosures

Resignation or Disqualification of Resignation statement Guardian, Appointment of Successor (Rule 5.650)

Amount of compensation to be paid to guardian Amount of compensation to be paid to guardian's attorney Amount of compensation to be paid to guardian's accountant Amount of compensation to be paid to other agents employed by guardian Name of successor guardian Address of successor guardian Name of successor guardian's attorney Address of successor guardian's attorney Determination if successor guardian appointed Determination if successor guardian qualified

R R R R

R R R R R R

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Appendix B1 - Page 62

28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement View guardianship reports

Data Object Name Final Report of Guardian

Data Element Requirement Receipts Disbursements Amounts reserved Fees Other pertinent information List of assets to be turned over to successor guardian

Judge Requires/ Not Needed R R R R R R R

Comments

View and query guardianship petition Termination of Guardianship - Petition Reason for termination data for Discharge (Rule 5.680) Explanation of guardianship administration Amount unpaid Anticipated costs Anticipated fees Fees to be paid by the guardian Fees to be paid to attorney Fees to be paid by the accountants Fees to be paid to agents of guardian View guardianship reports General Master's Report (Rule 5.697) Description of matters considered Master's conclusions Master's recommendations

Repeated in FLSSI forms.

R R R R R R R R R R R

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28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement Generate and view guardianship statistical reports

Data Object Name

Data Element Requirement

Judge Requires/ Comments Not Needed R To be defined by a reports working group. R From forms used by the 6th Circuit, and related to incapacity and guardianship.

Provide access to the data elements Guardianship Filing Schedule contained in the forms listed in the "Data Object Name" column, from this row up until the FLSSI forms list. Master's Findings and Recommended Order on Petition to Determine Capacity and Petition for Appointment of Guardian Order Determining Incapacity and Appointing Plenary/Limited Guardian

R

R

Letters of Plenary/Limited Guardianship

R

View and query the forms listed herein.

G-1.010 Formal Notice

R

Judges require all data elements from all FLSSI forms.

G-1.011 Formal Notice (adversary)

R

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name G-1.015 Proof of Service of Formal Notice G-1.016 Proof of Service of Formal Notice (adversary) G-1.020 Declaration Naming Preneed Guardian G-1.025 Designation of Health Care Surrogate G-2.010 Petition to Determine Incapacity G-2.020 Notice of Petition to Determine Incapacity and of Petition to Appoint Guardian

Data Element Requirement

Judge Requires/ Not Needed R R

Comments

R

R R R

G-2.021 Notice of Petition to Determine Incapacity (no petition to appoint guardian) G-2.025 Proof of Service by Elisor of Petition to Determine Incapacity, Petition to Appoint Guardian and Notice

R

R

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name G-2.026 Proof of Service by Elisor of Petition to Determine Incapacity and Notice G-2.030 Order Appointing Attorney and Elisor (on Petition to Determine Incapacity) G-2.031 Order Appointing Attorney (on Suggestion of Capacity or Petition for Authority) G-2.040 Order Appointing Examining Committee G-2.050 Report of Examining Committee G-2.060 Order Determining Total Incapacity G-2.061 Order Determining Limited Incapacity G-2.062 Certificate of Service of Order Determining Incapacity

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

R

R

R R

R

R

Probate FRD.doc

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name G-2.065 Order Dismissing Petition to Determine Incapacity G-2.067 Order Assessing Costs Against Petitioner (costs paid by county) G-2.070 Order for Compensation of Examining Committee G-2.080 Claim of County for Fees Paid and Petition for Payment G-2.087 Order Directing Payment to County G-2.095 Order for Compensation of Court Appointed Attorney G-2.100 Suggestion of Capacity G-2.105 Order Appointing Physician and Notice G-2.110 Order of Restoration - Partial G-2.112 Order of Restoration - Full

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

R

R

R R

R R

R R

Probate FRD.doc

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name G-2.115 Order Denying Suggestion of Capacity (filed within 90 day limit) G-2.120 Order Denying Suggestion of Capacity (after hearing) *G-3.010 Petition for Emergency Temporary Guardian *G-3.020 Petition for Appointment of Guardian of Minor (Person and Property) *G-3.021 Petition for Appointment of Guardian of Minor (Person) *G-3.022 Petition for Appointment of Guardian of Minor (Property) *G-3.023 Petition for Appointment of Plenary Guardian (incapacity - person and property) *G-3.024 Petition for Appointment of Plenary Guardian (incapacity person)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

R

R

R

R

R R

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Functional Requirement

Data Object Name *G-3.025 Petition for Appointment of Plenary Guardian (incapacity property) *G-3.026 Petition for Appointment of Limited Guardian (incapacity - limited - person and property)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

*G-3.027 Petition for Appointment of Limited Guardian (incapacity person) *G-3.028 Petition for Appointment of Limited Guardian (incapacity - limitedproperty) G-3.030 Notice of Filing Petition for Appointment of Plenary Guardian (Notice to persons not served by Clerk) G-3.031 Notice of Filing Petition for Appointment of Limited Guardian (Notice to persons not served by Clerk) G-3.035 Petition for Voluntary Guardianship

R

R R

R

R

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name G-3.036 Order Appointing Guardian Upon Petition for Voluntary Guardianship G-3.040 Petition for Foreign Guardian to Manage Property of Non-Resident Ward G-3.041 Order Authorizing Foreign Guardian to Manage Property of NonResident Ward G-3.055 Application to Serve as Guardian G-3.056 Order Directing Prospective Guardian to Submit to Investigation G-3.057 Order Exempting Guardian from Educational Requirements

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

R R R

R

G-3.060 Order Appointing Emergency Temporary Guardian G-3.061 Order Appointing Plenary Guardian of Person and Property (incapacitated person)

R

R

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Functional Requirement

Data Object Name G-3.062 Order Appointing Plenary Guardian of Person (incapacitated person) G-3.063 Order Appointing Plenary Guardian of Property (incapacitated person) G-3.064 Order Appointing Limited Guardian of Person and Property (incapacitated person)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

R

G-3.065 Order Appointing Limited Guardian of Person (incapacitated person) G-3.066 Order Appointing Limited Guardian of Property (incapacitated person) G-3.067 Order Appointing Guardian of Person and Property of Minor

R

R

R

G-3.068 Order Appointing Guardian of Person of Minor

R

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name G-3.069 Order Appointing Guardian of Property of Minor *G-3.070 Oath of Guardian and Designation of Agent G-3.071 Oath of Corporate Guardian G-3.075 Bond of Guardian G-3.100 Letters of Plenary Guardianship of the Person and Property G-3.101 Letters of Plenary Guardianship of the Person G-3.102 Letters of Plenary Guardianship of the Property G-3.105 Letters of Limited Guardianship of the Person and Property G-3.107 Letters of Limited Guardianship of the Property G-3.108 Letters of Emergency Temporary Guardianship

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

R R R

R

R

R

R

R

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Functional Requirement

Data Object Name G-3.109 Letters of Guardianship of the Person and Property of Minor

Data Element Requirement

Judge Requires/ Not Needed R

Comments

G-3.110 Letters of Guardianship of the Person of Minor G-4.015 Initial Guardianship Plan (Guardianship Report) of Guardian of Person G-4.016 Proof of Service of Initial Guardianship Report of Guardian of Person G-4.020 Annual Guardianship Plan (Guardianship Report) of Guardian of Person G-4.025 Annual Accounting (Guardianship Report) of Guardian of Property G-4.027 Order Waiving Audit Fee G-4.029 Proof of Service of Annual Guardianship Report of Guardian of Property G-4.031 Order Approving Initial Report of Guardian of the Property

R

R R

R R

R R R

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Functional Requirement

Data Object Name G-4.036 Order Disapproving Initial Report of Guardian of the Property

Data Element Requirement

Judge Requires/ Not Needed R

Comments

G-4.040 Order Approving Annual Report of Guardian of the Person G-4.070 Petition for Appointment of Appraiser G-4.075 Order Appointing Appraiser G-4.076 Report of Appraiser (single) G-4.077 Report of Appraisers (multiple) G-4.080 Petition for Order Designating Depository G-4.081 Petition for Order Designating of Depository (with investment powers) G-4.082 Certificate by Depository G-4.085 Order Designating Depository

R

R

R R R R

R

R R

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Functional Requirement

Data Object Name G-4.086 Order Designating Depository (with investment powers) G-4.090 Acceptance and Receipt of Depository G-4.091 Acceptance and Receipt of Depository (investment powers) *G-4.100 Petition for Court Monitor G-4.105 Order Appointing Court Monitor G-4.110 Petition for Judicial Interim Review G-4.145 Petition by Guardian for Order Determining Whether Payments Should be Made for Assistance of Ward's Dependent

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R R

R R R R

G-4.146 Order Authorizing Payments for Ward's Dependent (on petition of guardian) *G-4.150 Petition for Order Authorizing Payment of Attorney's Fees and Expenses

R

R

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Functional Requirement

Data Object Name G-4.151 Order Authorizing Payments of Fees and Expenses of Attorney

Data Element Requirement

Judge Requires/ Not Needed R

Comments

G-4.155 Petition for Order Authorizing Payment of Compensation and Expenses of Guardian

R

G-4.156 Order Authorizing Payment of Compensation and Expenses of Guardian G-5.050 Request for Notice and Copies *G-5.055 Petition For Order Requiring Guardianship Report and Request for Service of Copy

R

R R

*G-5.056 Order Requiring Guardianship Report G-4.041 Order Approving Annual Report of Guardian of the Property

R R

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Functional Requirement

Data Object Name G-4.045 Order Disapproving Annual Report of Guardian of the Person

Data Element Requirement

Judge Requires/ Not Needed R

Comments

G-4.046 Order Disapproving Annual Report of Guardian of the Property

R

G-4.060 Verified Inventory of Guardian (Initial Guardianship Report of Guardian of Property) G-4.061 Proof of Service of Initial Guardianship Report of Guardian of Property G-4.065 Inventory of Safe Deposit Box G-4.066 Proof of Service of Inventory G-4.111 Order of Judicial Interim Review G-4.120 Petition for Order Authorizing Periodic Payments to Guardian of Person G-4.121 Schedule of Ward's Estimated Monthly Expenses

R R R R R R

R

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Functional Requirement

Data Object Name G-4.122 Order Authorizing Periodic Payments to Guardian of Person

Data Element Requirement

Judge Requires/ Not Needed R

Comments

G-4.125 Petition for Order Authorizing Periodic Withdrawals from Restricted Depository

R

G-4.126 Order Authorizing Periodic Withdrawals from Restricted Depository For Payments to Guardian of Person

R

G-4.140 Petition by Dependent for Order Authorizing Payments for Dependent G-4.141 Order Authorizing Payments for Assistance of Ward's Dependent

R

R

*G-6.050 Notice of Final Report and Accounting and Petition for Discharge

R

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Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name * G-6.055 Guardian's Report of Distribution *G-6.060 Order of Discharge of Guardian G-6.070 Petition for Discharge of Guardian of Person (upon death of Ward) * G-6.075 Order of Discharge of Guardian of Person (upon death of Ward) G-6.010 Resignation of Guardian G-6.011 Notice of Resignation of Guardian G-6.012 Order of Resignation of Guardian * G-6.014 Petition to Remove Guardian * G-6.015 Order Removing Guardian * G-6.020 Final Report of Guardian of Property * G-6.025 Petition for Discharge of Guardian

Data Element Requirement

Judge Requires/ Not Needed R R R

Comments

R

R R R R R R R

Probate FRD.doc

Appendix B1 - Page 79

28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name * G-6.026 Petition for Discharge of Guardian (depository) * G-6.027 Petition for Discharge of Guardian (waiver by Ward and consent to distribution) * G-6.028 Petition for Discharge of Guardian (depository - waiver and consent to distribution) * G-6.029 Waiver of Notice and of Hearing and of all Objections to Petition for Discharge and Final Report and Accounting, and Consent to Distribution

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R R

R

*G-6.030 Waiver of Final Report and Consent to Distribution *G-6.031 Waiver of Notice and Objections and Consent to Distribution, by Personal Representative *G-6.032 Full Waiver and Receipt by Ward

R

R

R

Probate FRD.doc

Appendix B1 - Page 80

28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Probate Functional Requirements Document

Functional Requirement

Data Object Name G-6.034 Receipt by Ward and Consent to Discharge G-6.035 Receipt *G-6.040 Order Approving Distribution and Authorizing Discharge of Guardian G-6.041 Order Approving Distribution and Authorizing Discharge of Guardian (by waiver) *G-6.050 Notice of Final Report and Accounting and Petition for Discharge

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R R

R

R

Probate FRD.doc

Appendix B1 - Page 81

28 January 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Appendix B2

Data Requirements Cross-Reference Probate/Trust

Probate FRD.doc

Appendix B2 - Page 82

6 October 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Statement of Interest

View and query probate petition data Petition for Administration (Rule 5.200)

Judge Requires/ Not Needed R

Comments

Petitioner's name Petitioner's address Petitioner's attorney Petitioner's attorney office address Decedent name Decedent last known address Decedent SSN# Date of death Place of death Decedent state of domicile Decedent county of domicile Name of beneficiary Address of beneficiary Relationship of beneficiary Date of birth of any beneficiary who is a minor Statement showing venue Priority of personal representative Statement that representative is qualified Proceeding pending in another state Proceeding pending in another country

R R R R R R R R R R R R R R R R R R R R

Probate FRD.doc

Appendix B2 - Page 83

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Name of foreign representative Address of foreign representative Statement on value of assets Statement on nature of assets Intestate estate statement on unrevoked wills and codicils Testate estate statement on unrevoked wills and codicils Testate estate statement on original decedent's last will in possession Other pertinent information Name of decedent File number of estate Designation of court Court address Name of personal representative Address of personal representative Name of attorney of personal representative Date of first publication Decedent spouse's objections Beneficiaries objections Trustee's objections Statement regarding creditors

Judge Requires/ Not Needed R R R R R R R

Comments

View and query probate case notices Notice of Administration (Rule 5.240)

R R R R R R R R R R R R R

Probate FRD.doc

Appendix B2 - Page 84

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement List the estate Fair market value of each listed item at date of decedent's death

View and query probate inventory and Inventory accounting data (Rule 5.340)

Judge Requires/ Not Needed R R R

Comments

Interim Accountings (Rule 5.345)

Cash transactions since date of last accounting or commencement of administration Property transactions since date of last accounting, or since commencement of administration Schedule of assets File number of estate Designation of court Court address Name of personal representative Address of personal representative Name of attorney of personal representative Date of first publication Decedent spouse's objections Beneficiaries objections Trustee's objections Statement regarding creditors Objection Substantiating Papers

R

R R R R R R R R R R R R R R

Probate FRD.doc

Appendix B2 - Page 85

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name Fiduciary Accounting of Personal Representative (Rule 5.346)

Data Element Requirement County name

Judge Requires/ Not Needed R

Comments

Name of estate File number Division Type of accounting by personal representative From date MM/DD/YYYY Through date MM/DD/YYYY Sign date MM/DD/YYYY Signature of attorney for personal representative Print name Telephone Florida Bar No. Attorney address Signature of personal representative Print name Personal representative address Telephone County name Name of estate File number Division

R R R R R R R R R R R R R R R R R R R R

Probate FRD.doc

Appendix B2 - Page 86

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Type of accounting by personal representative From date MM/DD/YYYY Through date MM/DD/YYYY Summary Starting balance Summary Receipt income Summary Receipt principal Summary Total receipts Summary Subtotal Summary Disbursement income Summary Disbursement principal Summary Total disbursements Summary Subtotal Summary Distribution income Distribution principal Summary Total distributions Summary Subtotal Summary Capital transactions and adjustments Summary Assets on hand at close of accounting period Summary total inventory or adjusted carrying value of all assets on hand at close of accounting period Type of accounting by personal representative

Judge Requires/ Not Needed R R R R R R R R R R R R R R R R R R R

Comments

Summary Schedule

R

Probate FRD.doc

Appendix B2 - Page 87

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Name of estate From date MM/DD/YYYY Through date MM/DD/YYYY Detail receipt date Receipt description Receipt income Receipt principal Type of accounting by personal representative Name of estate From date MM/DD/YYYY Through date MM/DD/YYYY Detail disbursement date

Schedule A: Receipts during period

Judge Requires/ Not Needed R R R R R R R R R R R R

Comments

Schedule B: Disbursements during period

Disbursement description Disbursement income Disbursement principal Type of accounting by personal representative Name of estate From date MM/DD/YYYY Through date MM/DD/YYYY Detail distribution date

R R R R R R R R

Schedule C: Distributions during period

Probate FRD.doc

Appendix B2 - Page 88

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement Distribution description Distribution income Distribution principal Type of accounting by personal representative

Judge Requires/ Not Needed R R R R R R R R

Comments

Name of estate From date MM/DD/YYYY Through date MM/DD/YYYY Schedule D: Capital Transactions and Detail capital transactions and Adjustments adjustments Capital transactions and adjustment description Capital transactions and adjustment net gain Capital transactions and adjustment net loss Total net gains Total net losses Net gain Net loss Type of accounting by personal representative Name of estate From date MM/DD/YYYY Through date MM/DD/YYYY

R R R R R R R R R R R

Probate FRD.doc

Appendix B2 - Page 89

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement

Schedule E: Assets on Hand at close Assets other than cash estimated of accounting period current value Assets other than cash carrying value Total assets other than cash estimated current value Total assets other than cash carrying value Cash total Total assets on hand at close of accounting period Name of estate From date MM/DD/YYYY Through date MM/DD/YYYY Complete per s. 733.6171(9)

Judge Requires/ Not Needed R

Comments

R R R R R R R R R

Schedule F: Compensation of attorneys for personal representatives

Determination of Beneficiaries and Shares (Rule 5.385) Distribution and Discharge (Rule 5.400)

R

R

Probate FRD.doc

Appendix B2 - Page 90

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name Objections to Petition for Discharge or Final Accounting (Rule 5.401) Resignation of Personal Representative (Rule 5.430) Proceedings for Removal (Rule 5.440) Establishment and Probate of Lost or Destroyed Will (Rule 5.510) Summary Administration (Rule 5.530)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

R R

R R To be defined by a reports working group.

Generate and view probate statistical reports Obligation Checklist Petition for Discharge signed by Attorney, PR? Accounting or Waivers? All Beneficiaries, (Wards, Minors, Trusts, those under US Code - 3 countries: Cuba, ) identified?

R R R

Probate FRD.doc

Appendix B2 - Page 91

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name Was Publication of Notice to Creditors Filed?

Data Element Requirement

Judge Requires/ Not Needed R

Comments

Creditors Paid? Satisfaction of State & Federal Tax Various Proof of Evidence (from DOR, Obligations or Evidence that Tax Not IRS...) Owed? Receipts to Beneficiaries Filed? Inventory Filed? Service of Notice of Administration to Beneficiaries served? Disclaimer (Waiver of Inheritance Beneficiaries under US Code cannot Rights) in appropriate form to prevent waive inheritance rights. fraud? Ancillary Administration? (Check for Notice of Ancillary Admin.) In state/country other than Florida. (Rule 5.065)

R R

R R R

R

R

Forms Required

Petition for Administration

Residence Address of Nominated, Actual, Successor PR

R

Used in determining whether PR is qualified and to determine whether bond waiver should be honored by the Court.

Probate FRD.doc

Appendix B2 - Page 92

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement Free-form Data Object Discussion

Data Object Name

Data Element Requirement

Judge Requires/ Not Needed

Comments

Petition for Determination of Homestead Oath and Designation of Resident Agent Will

Homestead Address

R

R Bond Waiver Name of Nominated PR Name of Actual PR R R R R R R

Consent for Change of PR, or Successor PR Waiver to serve as PR 733.301

List of Persons who must consent to change/successor if will does not provide for succession. List of Persons who must consent to the waiver if will does not provide for succession. To verify homestead address

R

Affidavit of Disinterested Party Other documentation used to prove validity of homestead address (homestead tax exemption for decedent; phone bill w/decedent name & address; etc.)

R R

Probate FRD.doc

Appendix B2 - Page 93

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name

Data Element Requirement

Judge Requires/ Not Needed R

Comments

Court Orders previously issued by Judges in cases or actions related to involved persons, or issued previously in current probate case.

View and query the forms listed herein.

P-1.0100 Petition to Open Safe Deposit Box P-1.0110 Order to Open Safe Deposit Box *P-1.0300 Caveat by Creditor *P-1.0310 Caveat by Interested Person (other than creditor) P-1.0400 Request for Notice and Copies P-1.0500 Formal Notice P-1.0501 Formal Notice (adversary) P-1.0510 Proof of Formal Notice P-1.0511 Proof of Service of Formal Notice (adversary)

R

Judges require all data elements from all FLSSI forms.

R R R

R R R R R

Probate FRD.doc

Appendix B2 - Page 94

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name P-1.0520 Notice of Action (formal notice by publication) *P-1.0530 Notice of Hearing *P-1.0531 Notice of Hearing (adversary) P-1.0501 Formal Notice (adversary) *P-1.0600 Consent and Waiver of Notice *P-1.0610 Consent and Waiver of Notice (copy attached) **P-1.0620 Joinder, Waiver and Consent P-2.0100 Disposition of Personal Property without Administration-- Verified Statement

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R R R R R

R R R

# P-2.0200 Petition for Summary Administration (testate) **P-2.0205 Petition for Summary Administration (testate)

R

R

Probate FRD.doc

Appendix B2 - Page 95

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name # P-2.0210 Petition for Summary Administration (intestate) **P-2.0215 Petition for Summary Administration (intestate) P-2.0300 Order of Summary Administration (testate) P-2.0310 Order of Summary Administration (intestate) **P-2.0355 Notice to Creditors (Summary Administration) P-2.0600 Order Admitting Will to Probate (summary or family administration) *P-2.0610 Order Admitting Will to Probate (self-proved) *P-2.0800 Petition to Admit Foreign Will to Record *P-2.0810 Order Admitting Foreign Will to Record

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

R

R

R

R

R

R

R

Probate FRD.doc

Appendix B2 - Page 96

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name P-3.0100 Petition for Administration (testate Florida resident--single petitioner) P-3.0110 Petition for Administration (testate Florida resident--multiple petitioners, single P R) P-3.0111 Petition for Administration (testate Florida resident--multiple petitioners and P Rs) P-3.0120 Petition for Administration (intestate Florida resident--single petitioner) P-3.0130 Petition for Administration (intestate Florida resident--multiple petitioners, single P R) P-3.0131 Petition for Administration (intestate Florida resident--multiple petitioners and P Rs) *P-3.0140 Petition for Administration (testate nonresident-single petitioner)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

R

R

R

R

R

Probate FRD.doc

Appendix B2 - Page 97

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name *P-3.0150 Petition for Ad ministration (testate nonresident--multiple petitioners) *P-3.0151 Petition for Administration (testate nonresident--multiple petitioners and P R s) *P-3.0160 Petition for Administration (intestate nonresident--single petitioner) *P-3.0170 Petition for Administration (intestate nonresident--multiple petitioners and single PR)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R R

R

*P-3.0171 Petition for Administration (intestate nonresident--multiple petitioners and P Rs) P-3.0190 Waiver of Notice by Domiciliary Personal Representative P-3.0200 Waiver of Priority, Consent to Appointment of Personal Representative, and Waiver of Notice and Bond (single)

R

R

R

Probate FRD.doc

Appendix B2 - Page 98

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name P-3.0210 Waiver of Priority, Consent to Appointment of Personal Representative, and Waiver of Notice and Bond (multiple)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

*P-3.0300 Oath of Witness to Will *P-3.0301 Oath of Witness to Will (copy) *P-3.0310 Oath of Witness to Codicil *P-3.0311 Oath of Witness to Codicil (copy) P-3.0320 Proof of Will (witnesses unavailable) *P-3.0330 Proof of Codicil (witnesses unavailable) P-3.0350 Petition for Appointment of Commissioner *P-3.0360 Commission to Prove Will *P-3.0400 Order Admitting Will to Probate and Appointing Personal Representative

R R R R R R

R

R R

Probate FRD.doc

Appendix B2 - Page 99

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name P-3.0401 Order Admitting Will to Probate and Appointing Personal Representative *P-3.0410 Order Admitting Will to Probate and Appointing Personal Representatives (multiple)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

*P-3.0420 Order Admitting Will to Probate and Appointing Personal Representative (self proved, singular)

R

*P-3.0421 Order Admitting Will to Probate and Appointing Personal Representative (self proved, corporate) *P-3.0430 Order Admitting Will to Probate and Appointing Personal Representatives (self proved, multiple) *P-3.0440 Order Appointing Personal Representative (intestate--single)

R

R

R

Probate FRD.doc

Appendix B2 - Page 100

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name P-3.0441 Order Appointing Personal Representative (intestate--corporate)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

*P-3.0450 Order Appointing Personal Representatives (intestate--multiple)

R

P-3.0460 Order Admitting Codicil to Probate *P-3.0470 Order Admitting Codicil to Probate (self proved) *P-3.0480 Order Admitting Will of Nonresident to Probate and Appointing Personal Representative

R

R

R

*P-3.0481 Order Admitting Will of Nonresident to Probate and Appointing Personal Representative (corporate)

R

Probate FRD.doc

Appendix B2 - Page 101

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name *P-3.0490 Order Appointing Personal Representative of Nonresident (intestate) P-3.0491 Order Appointing Personal Representative of Nonresident (intestate-corporate)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

*P-3.0500 Petition to Waive Bond of Personal Representative P-3.0510 Waiver of Bond by an Interested Person P-3.0520 Bond of Personal Representative *P-3.0600 Oath of Personal Representative and Designation and Acceptance of Resident Agent

R

R R R

*P-3.0610 Designation of Successor Resident Agent, and Acceptance P-3.0620 Oath of Corporate Personal Representative

R

R

Probate FRD.doc

Appendix B2 - Page 102

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name P-3.0710 Letters of Administration (multiple) *P-3.0720 Ancillary Letters of Administration ** P-3.0740 Notice to Creditors #P-3.0800 Notice of Administration **P-3.0801 Notice of Administration (intestate) **P-3.0802 Notice of Administration (testate) P-3.0810 Waiver of Notice of Administration (testate) P-3.0820 Waiver of Notice of Administration (intestate) P-3.0830 Proof of Service of Notice of Administration *P-3.0831 Statement Regarding Creditors (individual) *P-3.0832 Statement Regarding Creditors (corporate) *P-3.0900 Inventory

Data Element Requirement

Judge Requires/ Not Needed R R R R R R R

Comments

R

R

R

R

R

Probate FRD.doc

Appendix B2 - Page 103

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name *P-3.0901 Inventory (ancillary) *P-3.0910 Request for Copy of Inventory P-3.0920 Proof of Service of Inventory P-3.0950 Notice of Federal Estate Tax Return Due P-3.1000 Personal Representative's Proof of Claim P-3.1010 Statement of Claim *P-3.1020 Objection to Claim *P-3.1021 Objection to Personal Representative's Proof of Claim (to be paid) P-3.1030 Proof of Service of Objection to Claim #P-3.1032 Notice to Creditor to File Petition For Extension or Be Barred

Data Element Requirement

Judge Requires/ Not Needed R R R R

Comments

R

R R R

R

R

Probate FRD.doc

Appendix B2 - Page 104

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name ** P-3.1033 Notice to Creditor to File Petition for Extension #P-3.1040 Petition For Order Striking Untimely Filed Claims ** P-3.1041 Petition For Order Striking Untimely Filed Claim P-3.1045 Order Striking Untimely Claim P-3.1050 Satisfaction and Release of Claim #* P-4.0100 Petition for Allocation of Spouse's Share ** P-4.0101 Petition for Allocation of Spouse's Share (lineals are issue of surviving spouse) #P-4.0110 Order Allocating Spouse's Share (lineals are issue of surviving spouse) ** P-4.0111 Order Allocating Spouse's Share (lineals are issue of surviving spouse)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

R

R R R

R

R

R

Probate FRD.doc

Appendix B2 - Page 105

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name *P-4.0120 Petition for Allocation of Spouse's Share (lineals not issue of spouse) P-4.0130 Order Allocating Spouse's Share (lineals not issue of spouse)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

P-4.0200 Petition to Determine Exempt Property P-4.0210 Order Determining Exempt Property *P-4.0300 Petition for Family Allowance *P-4.0310 Order Authorizing Family Allowance # P-4.0410 Petition to Determine Homestead (Intestate) **P-4.0411 Petition to Determine Homestead (Intestate) # P-4.0420 Petition to Determine Homestead (Testate)

R

R

R R

R

R

R

Probate FRD.doc

Appendix B2 - Page 106

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name **P-4.0421 Petition to Determine Homestead (Testate) P-4.0454 Order Determining Homestead Status of Real Property (Intestate--spouse, no lineal descendants-exempt from claims)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

P-4.0456 Order Determining Homestead Status of Real Property (Intestate--lineal descendants, no spouse-exempt from claims)

R

P-4.0457 Order Determining Homestead Status of Real Property (Intestate ­ spouse, lineal descendants, exempt from claims)

R

P-4.0462 Order Determining Homestead Status of Real Property (Testate-not validly devised, spouse or minor child-exempt from claims)

R

Probate FRD.doc

Appendix B2 - Page 107

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name P-4.0463 Order Determining Homestead Status of Real Property (Testate-not validly devised, minor child but no surviving spouse-exempt from claims)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

P-4.0464 Order Determining Homestead Status of Real Property (Testate--validly devised, spouse, no minor child-exempt from claims)

R

P-4.0466 Order Determine Homestead Status of Real Property (Testate-validly devised, heirs, no spouse or minor lineal descendantsexempt from claims)

R

P-4.0468 Order Determining Homestead Status of Real Property (Testate--validly devised, heirs, no spouse or minor child exempt from claims)

R

## P-4.0500 Election to Take Elective Share

R

Probate FRD.doc

Appendix B2 - Page 108

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name ## P-4.0505 Notice of Election to Take Elective Share ##P-4.0506 Proof of Service of Notice of Election to Take Elective Share

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

## P-4.0510 Petition for Determination of Elective Share ##P-4.0520 Order Deter mining Elective Share **P-4.0540 Election to Take Elective Share **P-4.0545 Notice of Election to Take Elective Share **P-4.0550 Proof of Service of Notice of Election to Take Elective Share

R

R R R

R

**P-4.0555 Order Determining Spouse's Entitlement to Elective Share

R

Probate FRD.doc

Appendix B2 - Page 109

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name **P-4.0560 Petition to Determine Amount of Elective Share (Contribution Unnecessary)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

**P-4.0565 Order Determining Amount of Elective Share (Contribution Unnecessary)

R

P-5.0400 Petition for Discharge (single PR) P-5.0401 Petition for Discharge (multiple PRs) *P-5.0410 Notice of Final Accounting and Petition for Discharge P-5.0420 Receipt of Petition for Discharge and Accounting and Consent to Distribution ** P-4.0570 Petition to Determine Amount of Elective Share (Contribution Required)

R R R

R

R

Probate FRD.doc

Appendix B2 - Page 110

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name **P-4.0575 Order Determining Elective Share (Contribution Necessary) *P-4.0600 Declaration that Proceeding is Adversary P-4.0610 Order that Proceeding is Adversary P-4.0650 Notice of Civil Action P-4.0700 Notice of Ancillary Ad ministration *P-4.0800 Notice of Trust *P-5.0100 Petition to Extend Time for Filing Final Accounting and Petition for Discharge P-5.0200 Order Extending Time for Filing Final Accounting and Petition for Discharge P-5.0300 Notice of Interim Accounting *P-5.0338 Accounting Cover Page (see Appendix A to rule 5.346)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

R R R R R

R

R R

Probate FRD.doc

Appendix B2 - Page 111

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name *P-5.0340 Accounting Summary P-5.0341 Accounting Schedule A P-5.0342 Accounting Schedule B P-5.0343 Accounting Schedule C P-5.0344 Accounting Schedule D P-5.0345 Accounting Schedule E P-5.0511 Receipt (with refunding language) P-5.0520 Waiver of Accounting and Service of Petition for Discharge and Receipt of Beneficiary and Consent to Discharge

Data Element Requirement

Judge Requires/ Not Needed R R R R R R R R

Comments

P-5.0530 Receipt of Beneficiary and Consent to Discharge P-5.0550 Petition for Discharge (full waiver) P-5.0551 Petition for Discharge (full waiver-multiple)

R

R R

Probate FRD.doc

Appendix B2 - Page 112

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name P-5.0570 Waiver of Accounting and Portions of Petition For Discharge; Waiver of Service of Petition For Discharge; and Receipt of Beneficiary and Consent to Discharge *P-5.0600 Personal Representative's Release and Certificate of Distribution of Real Property (single individual PR)

Data Element Requirement

Judge Requires/ Not Needed R

Comments

R

*P-5.0605 Personal Representative's Release and Certificate of Distribution of Real Property (multiple PRs)

R

*P-5.0610 Personal Representative's Release and Certificate of Distribution of Real Property (corporate PR)

R

P-5.0700 Report of Distribution (single PR) P-5.0701 Report of Distribution (multiple PRs) P-5.0800 Order of Discharge (single PR)

R R

R

Probate FRD.doc

Appendix B2 - Page 113

13 December 2002

Office of the State Courts Administrator Trial Court Needs Assessment Project Functional Requirements Document

Functional Requirement

Data Object Name P-5.0810 Order of Discharge (multiple PRs) P-5.0500 Waiver of Accounting and Service of Petition for Discharge P-5.0501 Waiver of Accounting and Service of Petition for Discharge, and Consent to Distribution

Data Element Requirement

Judge Requires/ Not Needed R R

Comments

R

P-5.0510 Receipt

R

Probate FRD.doc

Appendix B2 - Page 114

13 December 2002

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Microsoft Word - Probate FRD.doc

114 pages

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