RUHS - Behavioral Health Public Guardian Policy Binder

Public Guardian Policy & Procedures

Riverside

_University

HEALTH SYSTEM

Behavioral Health

The purpose of this manual is to design and maintain uniform control and execution of policies and procedures in all operating units of Behavioral Health Public Guardian. It is not the intent of this manual however, to limit responsibilities or independent action where uniformity is not needed and may hinder efficient operation of a unit.

Additionally, one specific objective of the manual is to contribute to the development of an orderly, proficient program in which each member is functioning in concert with other members for the betterment of the program and its clients.

Dr. Matthew Chang, BH Director & Public Guardian

8/25/2021 Date

Deborah). Johnson, Behavioral Health Director of Innovation/Integration

8/25/2021 Date

Adrienne Gee, MH Services Administrator

8/25/2021 Date

August 2021

Administrative Office 4095 County Circle Drive / Riverside, CA 92503 I 951-358-4500 I RUHealth.org

Table of Contents 100 Auction…………………………………………………………………………………………………..…1 102 Automatic Transaction Procedure………………………………………………….……..…. 5 103 Automatic Transaction Printing………………………………………………………..…….…8 104 Bank Deposit……………………………………………………………………………………………. 11 110 Burial Trust Reconciliation Procedure………………………………………………………. 13 120 Check Printing Procedure…………………………………………………………………………. 15 120.1 Signature Requirements…………………………………………………………………………… 19 121 Check Reconciliation System (Union Bank Statement)……………………………… 21 122 Checks (Returned)……………………………………………………………………………………. 24 122.1 Stop Payment of Public Guardian Checks…………………………………………………. 26 123 Court Accounting Preparation Procedure…………………………………….………..… 28 127 IMD Program…………………………………………………………………………….…….………..33 130 Invoice Processing…………………………………………………………………....……………… 36 131 Invoice Processing – Posting Requirements………………………………………….… 39 132 Monthly Bank Reconciliation.….……………………………..………………….……….…… 42 133 Receipt Processing……………………………………………………………….………….………. 47 133.1 Receipt Entry To Receipts Log Verification……………………………………………..… 49 133.2 Restrictive Endorsement of Checks……………………………………………………..…... 51 135 Trust Balance Reconciliation…………………………………………………………………….. 53 136.1 Funds Transfer, Treasurer’s Account (Burial, DPG)………………………………….…55 136.2 Funds Transfer, Treasurer’s Account (Burial, Rep Payee)………………………….. 58 136.3 Funds Transfer, Treasurer’s Account (Investment Account)……………………... 61 140 Warrant Processing……………………………………………………………………………...…..64 150 AB1018 Interest Validation Procedure……………………………………………………... 66 150.1 AB1018 Interest Transferred as Revenue to BH Dept…………………………….…. 68 201 Case File Format………………………………………………………………………………………..70 210 Entering New Case on the Computer……………………………………………….…….… 73 220 Clerical Probate Referral Process………………………………………………………….….. 78 300 Probate Conservatorship Policy………………………………………………………….……. 81 300.1 Probate Conservatorship Referral Process……………………………………………..… 83 300.1a Referrals to Private Professional Conservators………………………………….……… 85 300.1b Conservatorship Referrals…………………………………………………………….………….. 87 300.2 Probate Conservatorship Investigation…………………………………………………….. 93 301 General Powers-Probate Conservatorship of the Person………………………….. 98 302 Medical Consents for Probate Conservatees………………………………..………..… 100 Public Guardian Procedure Manual

Table of Contents 306 307 309 310 311 312 314 315 318 320 321 324 325 326 327 328 329 329.5 330 330.1 331 332 333 334 340 340.a 341 342 345 346 347 348 349 350 360 365

Placement of Probate Conservatees…………………………………………….………..… 102 Probate Conservatorship Transferred to LPS Conservatorship………............ 105 AIDS (Acquired Immune Deficiency Syndrome)………………………….…………….. 108 AWOL Conservatees…………………………………………………………………..……………..110 General Powers – LPS Conservatorship of the Person……………………..……….. 113 Medical Treatment of LPS Conservatees………………………………………………….. 116 Placement of LPS Conservatee…………………………………………..…………………….. 119 Reappointment Process……………………………………………..……………………………. 122 Trials on LPS Conservatees………………………………………………………………………..127 Accounting and Addendum / Report of Conservator………………………………… 130 Court Accounting Waiver…………………………………………………………..…………….. 136 MIA Medi-Cal………………………………………………………………….……………………….. 139 Initial Medi-Cal Application (DPSS Program)…………………………………………….. 141 Continuing Medi-Cal Eligibility…………………………………………………………………..145 Medicare…………………………………………………………..……………………………………… 147 Social Security Benefits……………………………………………………..………………………150 Supplemental Security Income………………………………..………………………………. 153 Burials Trusts……………………………………………………………………………………………. 156 Fees……………………………………………………………………………………..………………….. 158 Filing Fees…………………………………………………………………………………….……………161 Life Insurance……………………………………………………………………………….………….. 163 Medical Insurance……………………………………………………………………………………. 166 Insurances of Real and/or Personal Property (Mobile Homes)…………………. 168 Compromising Debt…………………………………………………………………………………. 173 Inventory and Appraisal for LPS Act Conservatorship……………………..……….. 176 Inventory and Appraisal Preparation………………………………………………………… 178 Inventory and Appraisal (Probate Conservatorship)……………………….………… 182 Life Support Reimbursement……………………………………………………………………. 190 Marshalling Assets – Bank Accounts…………………………………..……………………. 192 Marshalling Assets – Jewelry, Coins, Stamps and other Collections.…………. 195 Marshalling Assets – Motor Vehicles………………………………………………………… 197 Marshalling Assets – Safe Deposit Box………………………………….………………….. 199 Marshalling Assets – Securities………………………………………….…………………….. 201 Marshalling Assets – Trust Deeds…………………………………….………………………. 203 Payment of Bills……………………………………………….………………………………………. 205 Initial and Other Entries to Premises……………………………………………….……….. 208 Public Guardian Procedure Manual

Table of Contents 366 367 368 369 370 380 381 382 383 390 391 400 401 402 403 404 405 406 407 408 410 435 500 501 502

Managing Real Property Prior to Letters of Conservatorship………………….… 210 Managing Real Property after Letters of Conservatorship………………........... 212 Preparation and Management of Rental Properties…………………………………. 214 Preparation and Sale of Property……………………………………………………………… 217 Public Auction of Real Property……………………………………………….………………. 220 General Sales Procedures…………………………………………….…………………………… 223 Property Sales, Liquidation or Redemption………………………………………………. 226 Sale of Depreciating Assets………………………………………………………………………. 229 Sale of Securities……………………………………………………………..………………………. 231 Closing LPS and Probate Conservatorships by Termination…………….………… 233 Closing LPS and Probate Conservatorships by Death………………………………… 235 Preparation of Current and Final Accountings…………………………..……………… 243 Closed Case Files…………………………………………………………………….………………… 247 Depositing and Withdrawing Vault Items…………………………………………………. 249 Inventory of Personal Property………………………………………….…………………….. 253 Preparation of Internal Inventory Sheets…………………………………..…………….. 255 Completing Inventory Sheets………………………………………………..…………………. 257 Mail…………………………………………………………………………………………….……………. 261 Updating and Creating Policies and Procedures……………………………………….. 264 Revenue-Interest……………………………………………………………………………………… 267 Revolving Fund………………………………………………….………………………………………269 SB 90 Claim Preparation-Conservatorship Filings……………………………………… 272 Appraisal of Valuable Items………………………………………………………….………….. 275 Handling of Nonsalable, Illegal or Contraband items………………………………… 277 Sale at Public Auction………………………………………………………………...……………. 280

Public Guardian Procedure Manual

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

100

SUBJECT:

AUCTION

REFERENCES:

None

FORMS:

Pre-numbered Lot Number Tags; Three-Part Auction Invoice; Two-Part Bidders Card; Inventory Recap

EFFECTIVE DATE:

June 13, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The Public Guardian shall sell all personal property at public auction. Public Guardian staff shall be responsible for identifying the property to be sold, collect the proceeds, release sold items, and maintain records of each sale.

PROCEDURE: A. Prior to the date of the auction, the Estate Property Technician shall identify each piece of property to be sold at the auction with a prenumbered tag.

B. Each piece of property shall be identified by tag number on the threepart auction invoice showing description of property, case number and name of conservatee. Inventory line item number shall be crossreferenced to original inventory.

C. Shall issue in numerical order bid cards to each bidder referencing name, address and phone number of each bidder and resale number if applicable. The top part of the bid ticket shall be retained by the Auction Staff for future use by the Public Guardian Office.

D. As the auction proceeds, the Estate Property Technician shall record the highest bid for each item in the box provided and the winning bid number of the highest bidder in the box provided.

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Policy 100 Page 2 of 4 E. As the auction proceeds, the Auction staff shall bring the completed auction invoice to the auction desk for sorting by Bidder Number for totaling later. The white copy is filed by bid number, the pink and yellow copies are retained for later use.

F. At the completion of the auction, one member of the Auction Staff receives the bid ticket and matches all presorted auction invoice to the bid ticket and will complete an adding machine tape of all purchases and include sales tax if and when applicable.

G. Prior to the day of the auction, the Accountant II shall; with the approval of the Mental Health Services Administrator, write and cash a check in the amount of $100.00 for use as Petty cash Change for the auction; and will place these funds in a cash box for later use at the auction for making change for cash purchases.

H. The Mental Health Services Administrator or Designee shall verify the total of the Auction Staff tape completed in “F” for accuracy. Shall attach and initial the total tape as verification that it is correct and shall attach the tape to the bid ticket.

I. Upon completion of verification in “H”, the Accountant II shall collect the total amount due, including sales tax from each bidder in the form of cash or a check. Stamp each auction invoice paid, which than becomes the claim ticket for proof of purchase of each item sold. If payment is by check, Accountant shall verify identification of individual writing the check, two (2) forms for identification shall be required. Current driver's license and national credit card will be sufficient. Driver's license number with expiration date and credit card number with expiration date shall be recorded on the reverse side of the check.

J. Each total purchase shall be listed by bid number and total dollars paid for control purposes and later use.

K. Upon collection of all monies, a total of the paid bid list completed in “J” shall be run. After verification, $100.00 shall be added to this list to account for Petty Cash used at the beginning of the sale. This is the total that will be accounted for in the cash box.

L. The cash box shall be counted and listed by denomination of currency on a separate sheet, with all checks being entered as a total.

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Policy 100 Page 3 of 4 M. The total of “K” will equal the total of “L”.

N. If the totals do not agree, the Mental Health Services Administrator shall recount and re-add all totals, verifying the accuracy of the figures. If an out of balance condition is verified, this out of balance condition shall be recorded as cash over or short.

O. The Monday following the auction, a deposit slip shall be prepared for the total monies received from the auction, including the Petty Cash Fund of $100.00 by the Accounting Clerk.

P. Accounting Assistant II shall record the total of the cash received, less the $100.00 petty cash in the Warehouse Sales Account. Shall record each check in the Warehouse Sales Account, referencing the check number and the name of the maker for cross-reference purposes. Shall record the $100.00 in the account that the money was originally withdrawn from. Shall record the cash over or short in the over and short account. The total of this receipts journal will equal the total of M above.

Q. Accounting Assistant II shall complete a list of public sale for each conservatee, referencing each auction lot number, in lot number order, from the pink copy of the auction invoice, listing the description, the inventory number, the bid number, and the selling price of each item.

Automobile sales are identified separately.

R. Accounting Assistant II shall identify from the bid ticket the name of each bidder and if the purchase was for resale.

S. Accounting Assistant II shall calculate the sales tax on all remaining items and shall total and balance each conservatee's property sales list.

T. Accounting Assistant II shall total conservatee's public sales lists to verify accuracy. Total shall equal total funds collected and deposited in “M”, “P”, and “Q”.

U. The Accounting Assistant II, upon completion of verification of totals, all sold items shall be cross-referenced back to the original conservatee's inventory list. Each item sold will be marked as sold and the date of sale referenced on the inventory list. Two copies shall be made of the inventory list. One to accounting file, one for deputy and original to warehouse.

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Policy 100 Page 4 of 4

V. The Accounting Assistant II, upon receipt of advertising invoice from Press Enterprise, portable toilet invoice from Casey Company, and calculation of Auctioneer's commissions based on the contract, each invoice shall be prorated, by the Accounting Assistant II, on a percentage of gross sales basis by conservatee and subtracted from the gross sales by conservatee.

W. Net sales shall be transferred from the Warehouse sales account to the individual case ledgers as income, referencing the cost of sales items in the description. The Accounting Assistant II, upon completion of the transfer, the Warehouse Sales Account will be zeroed and ready for the next Warehouse Sale after the expenses and sales tax have been paid out of the Warehouse Sales Account based on U above.

X. The Accounting Assistant II, upon completion of all accounting and posting, the yellow copy of the auction invoice shall be returned to the Estate Property Technician for filing in the conservatee's warehouse file.

Y. The Accounting Assistant II shall make a copy of the list of public sale for each conservatee shall be made and given to the Deputy responsible for that case for filing in the conservatee's legal file.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

102

SUBJECT:

AUTOMATIC TRANSACTION PROCEDURE

REFERENCES:

Computrust Procedure Manual; Internal Accounting Frequency Codes

FORMS:

Status Change Report (DOMH-P/G 103); Placement Agreement (DOMH-P/G 104)

EFFECTIVE DATE:

January 4, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Upon receipt of the status change form from the Deputy, accounting shall enter the information in the automatic transaction files on a daily basis, whenever possible. This will ensure that all information is correct and ready to process.

Processing of each frequency code is based on the number of the frequency and will be processed at least one working day prior to the due date, i.e., frequency 08 is payable on the 8th and should be processed on the 7th of each month.

PROCEDURE: A. Upon receipt of a Status Change Report, the Accounting Assistant II shall review the form to verify that all information needed is provided on the form.

B. Shall identify the Frequency Code or Codes and case number that is to be added, changed, deleted or placed on hold.

C. Will enter the computer system under Module #1 or #96, Files, Update and Inquiry; option #2, Automatic transactions and enter #1, Data Entry and the Sub­ Menu Option by Case Number. At this time, we only make changes by case number, not by frequency code.

D. If we are setting up a new automatic transaction, you must enter the case number beginning with zero, this will prompt you to enter the letter "A" for add. You will then be able to assign the frequency code,

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transaction code, description, vendor number from the vendor file, and the dollar amount.

E. If a second frequency code is to be entered or an additional automatic transaction is to be set up on the same frequency code, the computer will allow you to continue only if it is the same case number. If the case number changes, you must return to step “C” above and re-enter the additional information.

F. If you are changing automatic transaction information, the same procedure will be followed as in steps “D” and “E” with the exception that you must change the information based on the line number assigned by the computer for that frequency code and case number. To change information, you use the "Y" for edit and enter the line number that is to be changed.

1. At this point, you can change the transaction code, the vendor, set up a suppress, remove a suppress, the description, or change the dollar amounts.

G. In order for the changes, additions, deletions or other modifications to be recorded in the computer, you must always use the CARRIAGE RETURN. If you type in END, the changes will not take effect and nothing will be modified or changed.

H. All changes, deletions, additions or other modifications must be completed for each case and Status Change Report before going on to the next case.

NOTE: For additional details, review Section 1.2 Automatic Transactions of the Computrust Computer Operations Manual.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

103

SUBJECT:

Automatic Transaction Printing

REFERENCES:

Computer Generated Automatic Transaction Listing

FORMS:

None

EFFECTIVE DATE:

January 4, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Automatic Transaction payments shall be prepared at least one (1) working day prior to the scheduled processing date. Staff shall make every effort to ensure checks are prepared on a timely basis with accuracy.

PROCEDURE: A. Through the automatic transaction listing, located in module #2 or #97, Reports; option #30, Automatic Transaction Listing, the listing of all automatic payments shall be printed and reviewed. The reviewing process by the Accounting Clerk is to ensure that when the payments are made that there will be no cases that will enter an overdraft status when the checks are printed.

1. The report will show all of the cases for that specific frequency code listing along with the payment information, the balance of each individual trust account after deducting the amount of this current payment. If accounts are found that would go into an overdraft situation, a suppression must be placed on that particular case and payment is not to be made. The deputy must be notified that this payment is not being made, with a copy to the Supervising Deputy Public Guardian.

B. Upon completion of the review and suppression of all appropriate accounts, the Accounting Assistant II shall go into module #3 or #98 functions; option #41, automatic transaction program; menu #1, autotransaction file posting. The computer will ask for the frequency code

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number that is to be processed. Enter the Frequency code, i.e., 25, the computer will list five samples for this frequency code and will then give five different options as to which direction we will want it to take. We must always identify the cases with hold codes in the account master.

The computer will list these by case number and amount only. All of these cases with hold codes should be listed and given to the Accountant II so that he/she can have the deputies complete Status Change reports on these cases so that they can be eliminated from the auto-payment system in the near future.

C. Upon completion of the above referenced list, the computer will ask if this is the correct frequency. If it is not, you will enter No and return to step #2 and enter the correct frequency code, you will enter “Yes” and the computer will, at this time, post this payment frequency to the system for payment.

1. At the completion of this process, the computer will return to the beginning and ask for a frequency code. At this point, CAUTION must be taken that this process is not duplicated from the same frequency code as the computer will again process the frequency code for payment and a duplication of payments will be made.

2. It is best to post ONLY ONE frequency code to eliminate the possibility for this kind of duplication error.

D. Upon completion of the processing in step #3 go to module #2 or #97, Reports; option #21, Disbursements Journal; menu #1 - Disbursements Journal, and print the journal. This will give you a complete list of all of the auto-payments that have been posted for payment. Review this disbursement's journal for accuracy and correctness. This journal should equal the auto payment list that was previously printed less those cases that have HOLDS placed on them through the Account Master or through the suppressions procedure for those cases that would go into an overdraft situation.

E. If needed, at this time, change the printer format to print in common print. This can be completed by entering ECS "C" into the print format keyboard designed for this purpose.

1. Load the check stock into the printer taking care to align the checks as needed. Enter the check printing program in module #2 or #97, Reports; option #33, Check Printing; and follow procedure #120 for the printing of checks.

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NOTE: For additional detail, review section 3.41 Auto­ payment File Posting of the Computrust computer operations manual.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

104

SUBJECT:

BANK DEPOSIT

REFERENCES:

Receipted Checks; Endorsed Stamp

FORMS:

Union Bank Two-Part Deposit Slip; Disposable bank Deposit Bag; Tie with Lead Seal; Pliers for Sealing the Bank Bag; Blue Three-Part Courier Receipt form; Courier Receipt Log

EFFECTIVE DATE:

January 1, 1988

REVIEWED DATE:

August 25, 2021

POLICY: All checks receipted into the computer system shall be prepared for deposit that same working day for pickup by the courier on the following working day.

PROCEDURE: A. The Accountant Assistant II shall receipt checks into the computer system per policy number 133.

B. Shall ensure each check with the Union Bank stamp for all checks made payable to the Public Guardian, Riverside County Public Guardian, or some other format that indicates that the check is made payable to the Public Guardian Office on behalf of the conservatee.

C. If the check is made out to the conservatee, the endorsement shall include both the Union Bank Endorsement Stamp. The Accounting Assistant II shall sign the name of the Conservatee in the space provided.

The Accounting Assistant II shall also initial all checks in the bottom right-hand corner for identification of the person making the deposit.

D. The deposit form shall be completed showing the date the checks were entered in the computer system and the total of the checks or cash.

Separate deposit forms and deposit bags are completed for cash deposits.

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Due to the large number of checks, Union Bank does not require us to list the checks individually.

E. An adding machine tape shall be included with the deposit slip showing the list and total of the checks endorse.

F. The duplicate copy of the deposit form shall be given to the Accountant II for entry into the checkbook.

G. The original deposit slip, the adding machine tape and the checks shall be placed in a disposable bank deposit bag and a tie and seal provided for securing the bag shall be placed over the opening of the bag.

H. The seal shall be crushed with the pliers provided to make the seal tight.

I. A blue courier transmittal formal shall be completed showing the dollar amount of the deposit and tied to the sealed bank deposit bag.

J. The date, the deposit amount and the number of bags shall be listed on the Courier Receipt Log. K. The completed bank deposit, along with the Courier Receipt log shall be placed in the secured location where the courier can pick up and sign for the deposit and leave without creating any disturbance in the office.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration 12

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

110

SUBJECT:

Burial Trust Reconciliation Procedure

REFERENCES:

Pacific Western Computer System Month End Account Balance Report; Treasurer's Office Activity Report for Account 6206-403-000 Burial Trust Account; Burial Trust Detail Folder Maintained in Public Guardian Accounting Office; Welfare and Institutions Code 8009

FORMS:

None

EFFECTIVE DATE:

January 4, 1988

REVIEWED DATE:

August 25, 2021

POLICY: On a quarterly basis as of March 31, June 30, September 30 and December 31, the Burial trust Reconciliation shall be completed within thirty (30) days after the end of the quarter. This can only be completed quarterly because the Treasurer's Office will only issue the Burial Trust Account Report quarterly at the time interest is calculated and paid.

PROCEDURE: A. The Accountant II will Verify that all entries in the Burial Trust folder have been entered by the Treasurer's Office; both opening, additions, and closures.

B. Itemize the interest amounts that have been paid out to conservatees from the closing of the Burial Trust during the period in question and add these back to the treasurer's balance. These must be added back because they represent amounts of interest which have been paid to the conservatees, but as yet, not received from the Treasurer's Office.

C. Identify those Burial Trust amounts that have been credited to the computer system but as of cutoff date, are not recorded by the Treasurer's Office and add this to the Treasurer's Office Balance.

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D. Deduct the amount of interest that was received from the Treasurer's Office for the prior quarter form the Treasurer's Office Balance, as this is not reflected in the computer system Burial Trust Balance.

E. Taking the Treasurer's Office Balance, adding back the interest paid to conservatees (step 3), adding amounts not received by the Treasurer (step 4), deducing the interest (step 5), will give you a total. This total should equal the total of the burial trust balance as found on the computer system Account Balance report.

F. If the totals in step 6 do not equal, return to step 2 and start over, verifying each entry.

G. If they agree, complete a transfer request. To transfer the net amount of interest, i.e., Interest Earned in step E, less the interest paid in step C and transfer this amount into the Investment Account so that the Burial Trust Account with the Treasurer's Office and Burial Trust Account in the computer system are maintained and kept on the same basis. We do not record Burial Trust Interest in the Burial Trust Account of our computer system but add this amount directly to the conservatee's trust balance for use as needed.

H. Any revenue realized will be paid to the Investment Account.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

120

SUBJECT:

CHECK PRINTING PROCEDURE

REFERENCES:

Check Printing Procedure; Computrust Operations Manual

FORMS:

Check Stock

EFFECTIVE DATE:

January 4, 1988

REVIEWED DATE:

August 25, 2021

POLICY: All checks shall be generated through the check printing program on a daily or every other day basis in order for the timely payment of all bills. Whether they are generated through the automatic transaction procedures numbers, or through the set-up and payment of miscellaneous bills through the miscellaneous bill payment procedure number.

PROCEDURE: A. The accounting clerk after completing the posting of transactions either from miscellaneous bills or from the auto-transaction posting, reference procedure numbers: 201, 133, 140, a disbursement journal shall be printed, which shows all of the transactions that are to be paid. Printing of this journal is accomplished through module #2 of #97, Reports option #21, Disbursements Journal, menu #1 Disbursements Journal, and the balancing of the journal from the original entry documents. We are now ready to print the checks to pay these bills.

B. First, the printer must be programmed to print in a common print size because the Computrust System is only programmed to print checks with common print size. To change the print size on our current printer, we switch the local key to local from on-line. Using the printer key board, enter "ECS C", this sets the print size and the current configuration it is set at. Next, switch the local key back to on-line and load the check stock.

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C. At the terminal connected to the printer, enter module #2 or #97, Reports, option #33, Check Printing; which will give five options for the printing of checks. Presently, we are only using option #3 - print checks one for each transaction. Enter #3, the system will respond asking for the check date, hit enter, for the current date. Check Stub, enter "Y" for yes, we do have a check stub. Enter "A" for all, we do not separate between Public Guardian and Public Conservator cases. Enter "A" for all vendors, but the system will allow us to print by vendor only. The system will then give the Printing Procedure Menu.

D. With the check stock loaded, enter "T" for test. This will give us the opportunity to verify that the check stock is loaded properly and is aligned. At the same time, verify that we are in the common print mode.

If they test shows that the checks are aligned properly, we are ready to print the checks.

E. Enter "P" to print, the system will ask for the next check number. This is the next number immediately following the test printed check. Enter this five digit check number and press enter. (The system will automatically respond with the first check number to be printed; the total checks in this batch to be printed and will show the current check number that is printing along with the balance of checks to be printed).

1. At the start of the check run, be sure to verify that the number being printed is the same as the preprinted check number. If it is, then listen for any malfunctions of the printer. If the check number is incorrect, then hit "Q" to quit and go into option "T" to retest the alignment. Enter "R" to reprint checks and enter the correct check number.

F. Upon completion of the check run, enter "E" to eject, this will automatically move the numbering system up one check number and place the checks in a position where they can be easily removed.

G. After removing the checks, the next step is to post the check number to the disbursements. This is accomplished by going back to the main menu and entering #4 - post Printed Checks to Check File. Before doing this, make sure that NO ONE ELSE IS UPDATING ANY FILES. This is important because if the two procedures should happen to go into the same file, one or both of the posting procedures could be locked and interrupted. Thus, creating a problem on none of these entries being posted and makes it necessary for us to call Pacific Western to unlock the system.

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H. Upon completion of the posting procedure, return to the Disbursements Journal in step #2 for this procedure and reprint the journal. This new journal will be our final record copy of this check run showing the disbursement along with the check number that it was paid by.

I. The journals will be run at this time. The first in entry order, which is the same as the journal in step #1 was printed. The second is in check number order. This second journal is necessary for us to maintain a numerical log of all checks per Check Reconciliation Procedure Number.

J. Through module #1 or #96 File Update and Inquiry; option #14, Voided Check entry; enter all voided checks. This is to maintain a complete list of all checks. This will include the test check, any checks that were misprinted due to numbering errors or printers' errors.

K. The continuous check form is now separated into individual checks.

Each check is now processed through the check protector for signature.

We are currently not using the check protector section or the date section of the machine because this is all printed by the computer system.

NOTE: For additional detail, review Section 2.33 Check Printing of the Computrust Computer Operations Manual.

L. At this time, the checks are separated by check, numerical file copy, accounts payable copy, and reconciliation copy.

M. The accounts payable file copy, along with the corresponding bills and the reconciliation copy are all given to the senior Account Clerk for verification under the check reconciliation procedure number 121. The numerical file copy is placed in the numerical file and the checks are held until verification is completed.

Upon completion of verification, the checks are placed in envelopes for mailing.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

120.1

SUBJECT:

SIGNATURE REQUIREMENTS

REFERENCES:

Checking Printing P&P #120

FORMS:

None

EFFECTIVE DATE:

March 27, 1995

REVIEWED DATE:

August 25, 2021

POLICY: All checks issued with for a value of $5,000.00 or more shall require a second signature prior to being mailed.

PROCEDURE: A. The Accounting Clerk, following the Check Printing Policy and Procedure #120, all checks shall be processed through the check protector which affixes the signature of Dr. Matthew Chang mechanically to each check.

1. While completing the process for mailing the checks out to various vendors, those checks issued for a value of $5,000.00 or more will be set aside for a second signature.

2. Shall match all documentation for the checks with a value of over $5,000.00 to the check and give all documentation to the Accountant II or Mental Health Services Administrator.

B. The Mental Health Services Administrator of Accountant II shall review the documentation and if approved, counter sign the check, returning the check and all documentation to the Accounting Assistant II. C. The Accountant Clerk shall mail or distribute the check per the documentation provided.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

20

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

121

SUBJECT:

CHECK RECONCILIATION SYSTEM (UNION BANK STATEMENT)

REFERENCES:

Pacific Western Computer System Daily Disbursements Journals: in posting order and check number order

FORMS:

Reconciliation copy of ALL checks; Reconciliation Transmittal form; green reconciliation envelope, and numerical check log

EFFECTIVE DATE:

January 4, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The check reconciliation preparation shall be completed the same day as the checks are written so they can be transmitted to the bank the next working day by courier.

PROCEDURE: A. The Accounting Assistant II who prepares and writes the checks for mailing with the reconciliation copy of the checks in numerical order with the smallest check number on the top and the largest check number on the bottom and shall hold all checks until the reconciliation has been completed.

1. Shall run the Daily Disbursement Journal in posting order and in check number order.

2. Shall give the Senior Account Clerk or designee the reconciliation copy of the checks and both copies of the daily disbursements journals as specified in step #2.

B. The Senior Account Clerk, upon receiving the items from step #3, shall verify that the two (2) copies of the daily disbursements journal have the

21

same totals. If they agree, you shall continue to step #5; if they do not agree, you shall return all materials to the Account Clerk for corrections.

1. After verification in step #4, the Senior Account Clerk shall verify that all checks have been accounted for from the end of the previous check run and will record this in the check log. If a check is missing, return all materials to the Accounting Assistant II for corrections.

2. An adding machine tape of the checks shall be run, in duplicate, to verify that the total of the checks to be transmitted equals the total of the daily disbursements journal.

3. Upon verification and duplication of the tape, the person assigned to complete the reconciliation, will complete, in duplicate, a reconciliation transmittal form showing the bank account number, the check numbers of all voided checks and the check numbers inclusive of all printed checks, the check date and the dollar value of the checks, along with the signature. Under no circumstances shall a Reconciliation Transmittal Form include more than 250 checks per bank instructions. However, from experience, it has been found that it is best to keep each Transmittal Form at a level of 75 to 100 checks for ease of operation and tabulation.

4. Under completion of step #7, the reconciliation copy of the check will be separated at the perforation. With the check, half of the form, the original of the Transmittal Form, and one copy of the tape all place in the green edged Reconciliation Envelope for pick-up by the courier on the following day. Place this envelope or envelopes in the same place as the deposits.

5. The bottom half of the check copy, the duplicate of the Transmittal Form, and the second adding machine tape will be attached together and filed in numerical order for future reference.

6. The check order of the Daily disbursements Journal shall be given to the Accountant II for entry into the check book and then filed in the check order file for the Daily Disbursements Journal. The posting order for the Daily Disbursements Journal shall be filed in the posting order file kept by the Accounting Assistant II.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

23

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

122

SUBJECT:

CHECKS (RETURNED)

REFERENCES:

Returned Check Log

FORMS:

None

EFFECTIVE DATE:

January 1, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Upon receipt of a returned check, the Office of the Public Guardian shall promptly redirect, cancel or void the check. Each returned check shall be processed within fifteen (15) days.

PROCEDURE: A. Upon receiving a returned Public Guardian check, the Office Assistant II shall be responsible for directing the check to the Supervising Deputy Public Guardian.

B. The Supervising Deputy Public Guardian shall photocopy all returned checks and distribute the copies to the payee, or cancelled. Deputies will note disposition on the photocopies of the checks and return to the Supervising Deputy Public Guardian.

1. SDPG shall review all answers and either return to the assigned Deputy for re-mailing the check or return said check to Accountant for cancellation.

C. The assigned Deputy Public Guardian shall be responsible for documenting their case file as to the disposition of the check. In the case of a misdirected check, the assigned Deputy shall be responsible for completing a change of status form indicating the correct mailing address and submitting the form to the Accounting Section.

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D. The Accountant distributes the checks to the accounting unit for canceling. Every effort shall be made to enter the cancellation into the computer within ten (10) working days.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

25

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

122.1

SUBJECT:

STOP PAYMENT OF PUBLIC GUARDIAN CHECKS

REFERENCES:

NONE

FORMS:

None

EFFECTIVE DATE:

May 29, 1990

REVIEWED DATE:

August 25, 2021

POLICY: The Office of the Public Guardian will issue a stop payment on any of their checks whenever it is reported lost or stolen. In the event a check is lost, a request should be made fourteen (14) days after the check was issued. A new check will be issued upon receiving the stop payment documentation from the bank.

PROCEDURE: A. Upon realization of the possibility of a lost or stolen check, Deputy Public Guardian shall notify Accountant II, in writing that research must be done to verify that the check has not been processed through Union Bank. Written notice shall include, name of conservatee, case #, amount of check, date of check and vendor number. With a copy of Report #28 attached, with the disbursement accented in yellow.

B. Accountant II shall contact Union Bank for verification that the check is still outstanding and shall in turn notify the Deputy Public Guardian of that fact.

1. If the check is not outstanding and was paid by Union Bank in the current month, a copy shall be ordered immediately from Union Bank to determine if it was stolen and cashed by an unauthorized party. If the check was paid in the prior month, a copy will be made of the check by the Accounting Department and forwarded to the Deputy Public Guardian with the results.

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C. Deputy Public Guardian shall than request that a stop payment be placed on the check. If it is needed.

D. Accountant II shall contact Union Bank and place a stop payment on the check and record the reference # of the stop payment that will be issued

by Union Bank.

1. Upon receipt of the verification of the stop payment from Union bank, the Accountant II shall notify the Deputy Public Guardian of the receipt of the stop payment documents.

E. Deputy Public Guardian will than re-issue a Request for Payment, instructing the Accounting Department to re­issue the check.

F. Accounting Assistant II will than process the Request for Payment in the usual method as a miscellaneous disbursement.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

27

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

123

SUBJECT:

COURT ACCOUNTING PREPARATION PROCEDURE

REFERENCES:

Green Legal File; Deputy's Case File; Blue Accounting File; Pacific western Computer System Trial Balance (#28); Pacific Western Computer System Posted transaction Journal (#38)

FORMS:

Summary of Account

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: All Court Accountings shall be completed by the Accounting Department based on local rules.

PROCEDURE: A. Accountant II shall determine the due dates of the Court Accounting based on the Accounting due date report and assign them as they become due.

B. The Accountant Clerk obtains client's Case File (green) from the Deputy Public Guardian's office.

1. Obtains client's Accounting File (blue) from the Accounting Department's file cabinet.

2. Reviews the Request for Accounting to determine which accounting, i.e., First, Second, etc., is being requested and the time period the accounting will cover.

3. Using the Account Master found in the file and update module #1 or #96, Account Master #1, Inquiry #2, enter case number starting with a zero on the computer terminal, look up the Date of

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Appointment/Reappointment, also verify this date with the rolodex file. Using the Date of Appointment and the prior accounting, determine current accounting period.

4. Upon determining the accounting period, and which account, i.e., First, Second, etc., complete the heading of the Summary of Account (See Attached), as this information will be needed for future reference.

If Temporary Letters of Conservatorship have been issued and accounting is First Account Current or First and Final Account --Accounting Period start date will be the Date of Temporary Appointment.

FIRST ACCOUNT /FIRST AND FINAL ACCOUNT: 5. Research client's legal file and obtain all filed dated Inventory and Appraisals. Check to be sure that the file dates of Inventory and Appraisal forms fit within the prescribed Accounting Period. If accounting being calculated is Final Account, adjust Accounting Period to include all Inventory and Appraisals.

6. Verify each Inventory and Appraisal Form for accuracy of figures. If figures are incorrect, make a copy of the Inventory and Appraisal form and give to the Supervising Deputy Public Guardian so an Amended Inventory and Appraisal can be filed and accounting can be processed.

7. Using the Accounting Period, print a client's Trial Balance Report #28 and Posted Transaction Journal, Report #38, found on Report Module #2 or #97, covering the specified dates. a. Add totals of all Inventory and Appraisals and enter grand total on Summary of Account Form. (See attached). b. Using Trial Balance Report (#28), research all receipts. Cross out all receipts relating to Inventory and Appraisal and Sales of Real or Personal Property, then identify these transactions on the Posted Transaction Journal (#38) with an "S" so transactions can be suppressed when producing the accounting from the computer.

Check for adjustment transactions, i.e., Input Error, Reversed Receipt, transfer Transaction and identify with an "S" on the Posted Transaction Journal (#38) so they can be suppressed in the computer. Do not suppress returned and NSF Check Entries.

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c. Adjust Total Income Amount on Trial Balance (#28) by the amount of receipts relating to Inventory and Appraisal and Sales. Enter total of receipts after any adjustments on Summary of Account Form, as Schedule A Items. (See attached). d. Using the receipt(s) relating to Sales and a separate sheet of paper, compute Gain or Loss on Sales by calculating the difference between the Inventory and Appraisal Value of Items and the Proceeds Received from sale. Research Warehouse Sales' Records to determine Cost of Sale. Use total proceeds from sale to calculate Gain or Loss. Show Expenses of Sale and Other Disbursements on Disbursement Schedule, Schedule C. 1. In the event of Sale of Real Property, research Escrow Report and obtain gross proceeds from Sale of Property. Using this figure and Inventory and Appraisal Value, calculate Gain or Loss on Sale. Show Expenses of Sale from Escrow Report as Other Disbursements on Disbursement Schedule C. Enter Gain as Schedule B, Items or Loss as Schedule D on Summary of Account Form (See Attached).

2. Note: If Real Property is not sold within a year of being appraised, the Deputy Public Guardian must request a Reappraisal for Sale before implementing Sale. When calculating Gain or Loss on Sale of Real Property, calculation must be based on Original Appraisal, not Reappraisal for Sale. e. When a stock split has occurred during the accounting period, Schedule D-2 additions to Investing is completed, identifying the split is, two (2) for one (l) or three (3) for one (1) whatever the split amounts to showing the new total number of shares of stock with an increased value of zero (0). The new total number of shares of stock are then carried forward to Schedule E Properly on hand.

1. When cash is also received for a stock split, this indicates that partial shares were eliminated due to the stock split. The cash received is suppressed from receipts Schedule A and Schedule D-1 Gain on Sale is completed referencing the company and identifying the amount received as a gain from stock split. f. When the conservatee is the owner of a mutual fund program, there are three (3) separate methods for accounting for this fund.

The deputy must provide the statements to identify which method is to be used.

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1. All dividends and interest are being reinvested. The number of additional shares must be identified and shown on Schedule D2. Additions to inventory identifying the additional shares and the dollar value increase; this addition is included in Schedule E, Properly on hand.

2. When dividends and interest are being received as income, all dividends and interest remain on Schedule A; Receipts with no change being noted on Schedule E, Properly on Hand.

3. When an income settlement option is in effect, and receipts for income are not broken down, which is usually the case, Schedule B, Other Changes, is used to identify the breakdown of income, based on the deputy's records. The breakdown must show a separation of dividends, interest and the reduction in the number of shares. Dividends and Interest are carried on to total for Schedule B, Other Charges. The reduction in the number of shares and the dollar value are carried forward to Schedule D-2, Reduction to Inventory, and then subtracted from Schedule E, Properly on hand, to show remaining number of shares and the reduced dollar value. g. If an existing Burial Trust Account has been closed during the Account Period, show the closing transaction in Receipt Schedule A, then show as "Other Credits" in the amount of the Burial Trust Amount, not including interest. Interest will show as a receipt.

Enter amount of the reduction on Summary of Account Form as "Other Credits", Schedule D. h. Using client Trial Balanced (#28), research Disbursements, not adjusting items with "S" on Posted Transaction Journal (#38) to be suppressed when editing schedules on computer. i. Check disbursements for expenditures for purchases such as, television, radio, tape player, geriatric chair, etc. Show these transactions on Disbursement Schedule, Schedule C; also, show these transactions on Other Charges, Schedule B, and Property on Hand, Schedule E. Enter the total of Disbursements on Summary of Accounts Form. If a Burial Trust Account has been opened during the Account Period, show the transaction in the same manner as a purchase of Personal Property as outlined above.

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j. After computing Inventory and Appraisal, Receipts, Disbursements, Gain/Loss, other Charges, Other Credits, calculate Property on Hand, Schedule E. k. After all schedules have been calculated and entered on Summary of Accounts Form, total all entries for Total Charges and total all entries for Total Credits and record on the appropriate lines. These two figures should equal; if they do not, go back to Step A and check each amount recorded for accuracy. It is imperative that the Summary of Account sheet be in balance before going onto Step J. l. Upon completion of the manual calculations and balancing of the Summary Sheet, follow the Computrust Computer Manual Section 3:45 for entering the numbers into the computer and printing the Court Accounting.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

32

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

127

SUBJECT:

IMD PROGRAM

REFERENCES:

None

FORMS:

IMD Spread Sheet (Accounting Paper); Pre-typed Request for Payment Form; Request for Payment Form; Status Change Report

EFFECTIVE DATE:

June 13, 1988

REVIEWED DATE:

August 25, 2021

POLICY: SSI Funds received for those conservatees being cared for in an IMD Facility shall be remitted to the State Department of Mental Health on a monthly basis based upon SSI funds received and State Department of Mental Health monthly billings. No funds shall be remitted to the State without an invoice.

PROCEDURE: A. The Deputy Public Guardian shall notify clerical staff of all persons being transferred into or out of the IMD Program through a Status Change report, giving the reason for the change with a copy being given to the Accountant IL All IMD cases are designated in the Pacific Western System, using the Social Worker Field on Page 2 of the Account Master, using the initials IMDP for Social Worker.

B. The Typist Clerk shall enter the Status Change Information into the computer on a daily basis to insure accuracy of the system, with copy of status change to Accountant II. C. The Accounting Clerk shall enter receipts of Social Security checks into the system in the usual manner without the necessity of identifying the case as IMD. D. Monthly, between the 20th and 25th of each month, the Accountant II shall identify all cases having received IMD Funds in the system based

33

on the Ad-Hoc reporting system function in the Pacific Western Computer System. Verify the location of the conservatee as being in an IMD facility and the age of the conservatee.

1. Shall run a Trial Balanced (#28) on each conservatee for the current month to verify receipt of funds. a. SSI Funds for the current month. b. Calculate the Personal Needs funds that are to remain in each case. c. Calculate the individual dollar amount to be transferred to the IMD Fund #093579, less non-covered Medi-Cal charges. This is the difference between the SSI funds received by the conservatee and the Personal Needs money to be paid to the conservatee. d. The Accountant II shall complete a pre-typed Request for Payment Form for each transfer the net funds in "C" to Account #092579 for purposes of a later single check payment to the State Department of Mental Health.

2. Upon completion of #5, shall record all entries on the IMD Spread Sheet to recap totals of individual amounts identified in numbers 5D thru 5F, and verify calculations by running totals of each column. A tape shall be run of the Request for Payments completed in 5D as verification of accuracy.

E. The Accountant Clerk shall process payments through the Miscellaneous Disbursements Procedure and verify that total equals total tape provided from #6. An individual check will be printed to facilitate the transfer of funds out of each case for deposit in the IMD Fund Account #092579.

1. Shall receive all IMD Fund transfer checks into Account #092579, referencing the conservatee's name in the reference location and the Case Number in the description of these transfer checks into Union Bank.

2. Upon receipt of the invoice from the State Department of Mental Health, shall record the net payment due to the state by conservatee on the form provided and verify that total is equal to the Spread Sheet total.

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3. Shall complete a Request for Payment to the state Department of Mental Health for the total identified in #9.

3. Shall complete a Request for Payment to the Public Guardian for the total of the administrative fee collected for that month; based on the calculation in SE and recapped in the IMO Spread Sheet.

4. Due to the delay in receiving the State Department of Mental health billing, generally two to three months later, the Accountant II shall reconcile Account #092579 to verify balance remaining equals the totals of the monthly balances not paid to the state.

5. Shall, through the Miscellaneous Disbursement Procedure, issue checks in the amounts identified in Steps #10 and #11 above.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

35

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

130

SUBJECT:

Invoice Processing

REFERENCES:

Disbursement Journal Report

FORMS:

Request for Payment (DOMH-P/G 102)

EFFECTIVE DATE:

September 17, 1985

REVIEWED DATE:

August 25, 2021

POLICY: All invoices shall be processed expeditiously and accurately. To the extent possible, automatic transactions shall be established on vendor and client accounts which regularly recur. It shall be department policy that interest charged on any account shall not be recognized as a payable expense, with the exception of interest charges accrued and/or established prior to appointment of the case.

PROCEDURE: A. All invoices will be delivered to the Accounting Assistant II who will process the invoices.

B. The Accountant II shall maintain a regular schedule for invoice and warrant processing.

1. Invoices where Deputies request the establishment or cancellation of automatic payment status will be processed first.

2. No payment will be made without an invoice, unless the type of disbursement precludes the issuing of an invoice, such as personal needs, clothing allowance, distributions on termination, etc. a. In cases where an invoice is not issued, the Deputy will be responsible for completing a request for payment form and transmitting this form, with the invoice to Accounting.

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3. All payment transactions shall be entered in the computer and a preliminary total shall be run to ensure accuracy and sufficient funds. a. On accounts which show insufficient funds, all outstanding invoices for that account will be returned to the Supervising Deputy Public Guardian with an Invoice Action Form.

4. The Supervising Deputy Public Guardian will transmit this to the appropriate deputy and will ensure that expeditious action is taken to allow payment of the invoices. a. Deputies will complete the Invoice Action Form and return this to their Supervisor who will forward it to Accounting.

5. The preliminary transaction report will be reviewed by the Accountant II who will ensure that Account Clerks Manual tapes of entries and computer total balance. a. Any errors will be corrected. b. Invoices will be stamped paid and returned to the clerks for filing.

1. Accounting staff are responsible for maintaining a manual log which includes the total amount, the number of and numbered sequence of warrants issued for that day. c. All invoices, to the extent possible, will be paid within ten (10) working days from the time of receipt in Accounting.

1. Emergency or priority invoices to be processed by accounting upon approval of SDPG by 11:00am each day. d. Warrants for the transactions posted are then generated on the established schedule. e. Upon printing of the Disbursement Journal Report accounting staff shall compare this report with the manual log of warrants issued to ensure accuracy and to allow for corrections.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

38

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

131

SUBJECT:

INVOICE PROCESSING – POSTING REQUIREMENTS

REFERENCES:

None

FORMS:

Request for Payment (DOMH-P/G 102)

EFFECTIVE DATE:

September 17, 1985

REVIEWED DATE:

August 25, 2021

POLICY: All invoices shall be inputted into the computer containing certain information.

This information should be put on disbursements so automatic accountings may be utilized.

PROCEDURE: A. The Accountant II will receive all bills from the deputies and sort out utilities and medical premiums and put in specially marked processing box.

1. Remaining bills are to be given to the Accounting Assistant II for processing.

B. Accounting Assistant II shall process the bill within a reasonable time of receipt thereof.

1. The following information shall be noted on all bills: a. Transaction code. b. Vendor Code. c. Brief description of the bill. d. Date of service.

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e. Amount paid - net amount.

2. The following bills will not be processed: a. Bills having a balance forward with no dates of service. b. Amount authorized to pay not showing on bill. c. Bill not authorized by assigned Deputy Public Guardian. d. Insufficient funds to pay bills. e. No set-up in computer. f. Hold on the account because of client being either terminated or deceased. g. Finance charges included on bills or interest charges.

3. The following bills will not be processed with certain vendor restrictions. a. Collection agencies. b. On-going payment on account bills over six (6) months.

4. If a bill was returned because of a hold due to death or termination of the case, bill will be processed if the following additional notations are included on the bill: bill for final illness, or funeral expenses, assessment charge owing, bill occurred during course of conservatorship and should be paid, Social Security monies owing, pay pursuant to a court order. a. Bill may be paid if, on the first processing, one of the above notations is noted on the bill indicating assigned Deputy is aware the client is deceased or terminated.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

41

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

132

SUBJECT:

MONTHLY BANK RECONCILIATION

REFERENCES:

Bank Reconciliation Report; Monthly Bank Statement; Negotiated Checks

FORMS:

Bank Reconciliation Form (DOMH-P/G 132); Daily Bank Record Log (DOMH-P/G 133)

EFFECTIVE DATE:

January 4, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Upon receipt of the Union Bank Statement, usually on or about the 15th to the 20th of each month, a bank reconciliation shall be completed to verify the accuracy of the checkbook, versus the ending bank balance.

PROCEDURE: A. On a daily basis, the Accountant II shall keep the checkbook. Entering the total daily receipts from the deposit forms, the daily disbursements from the daily disbursements journals in check number order, the stop payments of checks from the stop payment journal, the cancelled checks from the cancellation journal and any other items that may affect the checkbook balanced. This is sub-totaled daily and at the end of the month becomes the final checkbook balance for the month that the bank statement must be reconciled to.

1. Using the bank reconciliation form, the Accountant II shall identify the record as follows: a. Month that is being reconciled. b. Ending dollar amount from the checkbook. c. Ending dollar amount from the bank statement.

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d. Interest earned from the bank statement. e. Stale dated checks from the bank statement - reconciliation recap. f. Outstanding checks from the bank statement - reconciliation recap.

2. Using the previous month's bank reconciliation, verify that all deposits in transit from the previous month were received by the bank and deposited.

3. Using the checkbook, verify that all deposits were received by the bank and deposited. If deposits from the last several working days do not show as being deposited, these must be entered on the bank reconciliation form as deposits in transit. If deposits for days prior to the last several days do not appear as having been recorded, the bank must be notified immediately and if they do not indicate that is have been received, the courier company must be notified immediately so that the deposit can be found. It is imperative that the bank, the courier company and the Mental Health Services Administrator all be notified immediately to protect the Public Guardian's office, the Department of Behavioral Health, the County of Riverside, and above all, the funds of the conservatee. a. If it appears that claims need to be filed, Accountant II shall obtain claim forms from counter.

4. From the checkbook, run a tape of all daily disbursements and verify that this total equals the total of the bank statement. Reconciliation recap - new issues net line. a. If they do not agree, proceed to the detail of the New Issues line found in the middle of the statement and verify each issue date amount by day as compared to the checkbook to identify all variance.

5. From the checkbook, run a tape of all cancelled check entries and verify that this total equals the total of the bank statement reconciliation recap - cancelled checks line. All variances must be identified by check number or date of cancellation and recorded on the bank reconciliation as additions to the bank statement. If cancellations from the prior month still do not show as being cancelled on the current statement, a copy of the cancellation request form must be sent a second time in order for the cancellation to be recorded by the bank.

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6. From the checkbook, run a tape of all stop payment entries and verify that this total equals the total of the bank statement reconciliation recap - stop payments line. If a stop payment is not recorded by the bank, the bank must be notified immediately that a stop payment was issued but not recorded by them. This is imperative because the bank is still showing that this check is outstanding and that the check can be cashed, which placed the Public Guardian's office in a position of being liable for this payment even though we did place a stop payment on the check. All variances must be identified by check number and recorded on the bank reconciliation as additions to the bank statement.

7. From the bank statement, verify that all returned items have been recorded in the check book. If returned item does not indicate that it was recorded in the checkbook and the returned item is found in the Public Guardian's office. It must be entered into the computer system immediately because the conservatee trust balanced shows that he has received the money, when in actuality, he does not have these funds available for use. The deputy assigned to this case must also be given a copy of this return item so that he/ she can make arrangement to collect these funds on a timely basis. a. If the returned item cannot be located in the Public Guardian's office, the bank must be notified immediately for a copy of the details of this returned item. It is imperative that action be taken immediately on all returned items from the bank, as the Public Guardian becomes liable. b. All variances must be identified by item and recorded on the bank reconciliation as deductions to the checkbook.

8. Total the following subsections and record on the bank reconciliation: a. Addition(s) to checkbook. b. Deduction(s) to checkbook. c. Addition(s) to bank statement. d. Deduction(s) to bank statement.

9. Total the checkbook section of the bank reconciliation and record the total.

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10. Total the bank statement section of the bank reconciliation and record the total.

11. The total of the bank statement section will equal the total of the checkbook section. If these do not equal, an error has been made on steps #1 thru #11 and all figures must be verified.

12. Upon completion of the bank reconciliation, all amounts adjusted on the checkbook section of the bank reconciliation must be added to the current checkbook balanced.

13. When the new month is started, it is begun with the unadjusted and unreconciled ending balanced from the previous month. This adjusts the current balance for prior months interest earned, stale dated checks adjustment and other adjustments made on the reconciliation.

14. Upon completion of the bank reconciliation and balancing, the Account Clerk receives the bank reconciliation form, the monthly checkbook and the bank statement.

B. The Account Clerk verifies that all negotiated checks are received and are listed on the bank statement.

1. Upon completion of the verification, the Account Clerk enters the checks into the computer on the File and Update Module #1 or #96 Bank Reconciliation, #9, Bank Reconciliation Entry #1.

At this point, the computer will ask for the statement date which will be entered as year, month, i.e., 8701 means the January 1987 Bank Statement. Each check will be entered by check number.

2. Upon completion, a pending purge list will be printed. This report will show each check that was entered and the total dollar amount of the negotiated checks which will equal the bank statement - reconciliation recap - check paid total. If a check has been omitted, step # 15 must be re-done for that single check only and then the pending purge report reprinted.

If a check has been purged in error, a correction can also be made through step #15 using bank reconciliation correction #2 and then the pending purge report rerun.

3. Upon completion of step #16, month end procedure is done thru file and update module # l or #96; month end procedure #13. This will clear the files or checks no longer outstanding.

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4. Upon completion of #17, an outstanding check register will be run thru report module #2, check register 335 outstanding checks #2. Upon completion, the total outstanding checks less, stale dated checks, should equal the bank statement for outstanding checks.

5. Upon completion, all documents shall be filed for ease of reference with checks filed numerically by month, all reconciliation reports filed by month.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

46

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

133

SUBJECT:

RECEIPT PROCESSING

REFERENCES:

Receipt Journal Report

FORMS:

Receipt Log Book; County of Riverside Office Receipt (Non-revenue)

EFFECTIVE DATE:

September 17, 1988

REVIEWED DATE:

August 25, 2021

POLICY: All eligible receipts shall be deposited on the day received and no later than the day after receipt. To the extent possible, automatic transactions shall be established on receipts which regularly recur. Appropriate internal and security controls shall be maintained to ensure protection of cash and checks.

PROCEDURE: A. The Clerk will process Checks and cash received in the morning mail,

together with the receipt log and copies of cash receipts shall be delivered to the Accountant II by 10:00am, or sooner, each morning. Upon receipt of the log, the Accountant II shall initial and total the receipts.

B. The Accountant II shall then distribute the checks and/or cash receipts

to the Accounting staff for endorsing the computer entry.

1. Cash shall be secured with the bank bag until time of armored pickup.

C. If the account is new, Clerical Staff opens a file on the computer.

1. Cash and/or checks brought in by Public Guardian personnel shall be receipted by the accounting staff, with copies for accounting, the deputy or other staff, as appropriate and the Auditor/ Controller.

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2. For cash and/or checks received over the counter during the day, a cash receipt form will be completed by the receptionist, with copies for Accounting, the payer and the Auditor/ Controller.

3. All cash and checks shall be transmitted to and secured by the Accountant II on a daily basis.

4. The receipt journal report is run and compared with the computer input for accuracy.

D. The deposit slip, with the cash and checks is placed in the bank bag

which is secured with the Accountant II until time of courier pickup.

1. Upon printing of the receipt journal report, this report is compared to the original log and cash receipt books and deposit slip for accuracy.

Any necessary corrections are made.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

48

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

133.1

SUBJECT:

RECEIPT ENTRY TO RECEIPTS LOG VERIFICATION

REFERENCES:

Receipts Processing, RUHS-BH - Public Guardian Policy #133

FORMS:

Receipts Log; Receipts Journal

EFFECTIVE DATE:

January 1, 1995

REVIEWED DATE:

August 25, 2021

POLICY: On a daily basis, approximately five (5) days after the completion of receipts entry, the Receipts Journal (PWIS Report #22), shall be compared to the Receipts Log to verify that all checks received by the Public Guardian Office have been entered into the PWIS System.

PROCEDURE: A. The Accountant Clerk shall enter receipts based on RUHS-BH -Public Guardian Policy# 133.

1. Shall verify the Receipts Journal, (PWIS Report #22) to the Receipts Logs, to verify that all checks that have been logged into the Public Guardian Office have been entered into the PWIS Computer system on a daily basis.

2. Shall note all variances, and bring those variances to the attention of the Accounting Technician or the Accountant II. B. The Accountant II shall investigate each variance individually to determine why a check has not been entered on a timely basis. All variance problems shall be documented and cross referenced back to the Receipts Log.

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1. Shall determine what corrective action needs to be taken, if any, and take that corrective action as soon as possible to insure that the check or checks have been entered into the system.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

50

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

133.2

SUBJECT:

RESTRICTIVE ENDORSEMENT OF CHECKS

REFERENCES:

Receipts Processing, DMH - Public Guardian Policy #133

FORMS:

Endorsement Stamp

EFFECTIVE DATE:

January 1, 1995

REVIEWED DATE:

August 25, 2021

POLICY: Upon the receipt of a check or checks the accounting staff member assigned to open the Accounting Section mail and/or log checks into the Check Receipts Log shall immediately place the Union Bank, for deposit only stamp, on the back of each and every check. Thus restricting the check from being cashed by any person or persons other than the Public Guardian Office.

PROCEDURE: A. The Accounting Staff Member shall upon receipt of a check or checks place a stamp on the reverse side of the check, thus eliminating the ability of any other person or persons from negotiating the check.

1. If a check is received on a terminated case and the Deputy desires the funds to be given to the terminated conservatee, the check shall be deposited in the conservatee account and a Public Guardian check shall be issued from the amount of the check deposited.

2. All other checks shall be returned to their maker to be re-issued to the correct payee or party involved.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

52

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

135

SUBJECT:

TRUST BALANCE RECONCILIATION

REFERENCES:

Pacific Western Computer System Month End Account Balance Report; Bank Reconciliation Form; Treasurer's Report for Investment Account 6208-403-000

FORMS:

Trust Balance Reconciliation Form (DMH-P/G 135)

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: On a quarterly basis, as of March 31, June 30, September 30 and December 31, the Trust Balanced Reconciliation shall be completed within thirty (30) days after the end of the quarter.

PROCEDURE: A. The Accountant II upon completion of the Bank Reconciliation Procedure No. 121 for the months ending March 31, June 30, September 30, and December 31. The amount of the checkbook balance becomes part of this reconciliation procedure and therefore, must be completed first.

1. On the Trust Balance Reconciliation Form, list the following items: a. Adjusted checkbook balance. b. Investment account balance. c. Trust balance. d. Office two balance.

2. Identify the stale dated checks that are still outstanding as of the end of the quarter and subtract the dollar value of these items from the Cash Account section of the trust balance reconciliation.

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3. Taking the previous quarter trust balance reconciliation form, identify the cases that were out of balance and not corrected in the current quarter and add or subtract these items as adjustments to the trust account section.

4. Identify interest that has been paid to the investment account but not distributed to the trust balance and add this amount to the trust balance.

5. Total all items in the cash accounts section.

6. Total up all items in the trust accounts section.

7. The total of step 6 should equal the total of step 7. If they agree, this means that the total of and monies on hand has been accounted for correctly through the Pacific Western System, and the Reconciliation has been completed.

8. If the totals do not equal each other, additional investigation must be done to find the amount of the variance. At this time, there is no specific direction that can be taken except to re-verify all numbers entered for correctness and all adjustments for accuracy.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

54

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

136.1

SUBJECT:

FUNDS TRANSFER, TREASURER'S ACCOUNT

REFERENCES:

None

FORMS:

Request for Payment (DOMH-P/G 102)

EFFECTIVE DATE:

April 1, 1994

REVIEWED DATE:

August 25, 2021

POLICY: Whenever a Burial Trust is to be opened or closed and General Form #'s 31 or 0 are used for the deposit or withdrawal of funds from Fund #579, a second review and approval must be obtained prior to submitted the documents to the Treasurer for deposit or withdrawal.

PROCEDURE: A. The Deputy Public Guardian or Supervising Deputy Public Guardian shall issue a Request for Payment to the Riverside County Treasurer to open a Revocable Burial Trust or shall issue a Request for Payment to the Riverside County Treasurer with the Court Order attached for an Irrevocable Burial Trust.

B. The Supervising Deputy Public Guardian or Mental Health Services Administrator shall review and approve all requests for the opening of Revocable Burial Trusts completed by Deputy Public Guardians or shall review and approve all requests for the opening of Revocable Burial Trusts completed by the Supervising Deputy Public Guardians.

C. The Accounting Clerk shall process the Burial Trust requests (Disbursements) in the same manner as other disbursement and issue a check in the name of the Riverside County Treasurer. If the request is for an Irrevocable Burial Trust, a copy of the Court order shall be attached to the check. All Burial Trust Checks shall be forwarded to the Account

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Clerk responsible for the depositing of funds to the Riverside County Treasurer.

1. Upon receipt of a check or checks issued to the Riverside County Treasurer for the purpose of opening a new Burial Trust or for increasing the amount of a Burial Trust, the Accounting Clerk shall complete a Cash Receipts, Treasury Deposit Permit, form #31. The form shall list each deposit by case number and conservatee name, the dollar amount of each Burial Trust. Form #31 will be totaled and a Riverside County Treasurers Receipt will be completed. Referencing the receipt number on Form #31.

D. The Accounting Technician upon the completion of Form #31, by the Account Clerk, the form with all checks and receipt attached, shall be reviewed by the Accounting Technician and initialed as meeting his approval. In the absence of the Accounting Technician, the Accountant II, a Supervising Deputy Public Guardian or the Mental Health Services Administrator shall be asked to approve the deposit and initial the document.

E. The Accountant Clerk upon deposit with the Treasurer, a copy shall be made of the goldenrod part of Form #31. The goldenrod copy shall be sent to Behavioral Health Accounting for bookkeeping purposes. The copy with all documentation attached shall be; given to the Accounting Technician for recording in the Public Guardian books.

F. The Deputy Public Guardian or Supervising Deputy Public Guardian upon the death or termination of a conservatee, shall complete a written request and shall forward the request to the Accounting Technician as authorization to close a Burial Trust Account. If the funds are needed from a Revocable Burial Trust to pay the conservatees bills, the same procedure shall be followed, with the addition of a Supervising Deputy Public Guardian reviewing the request and initialing their approval prior to the request being submitted to the Accounting Technician.

G. The Accounting Technician upon receiving a request signed by the Deputy Public Guardian for the closing of a Burial Tm.st, the Accounting Technician will complete a Payment Voucher, Form #9, in the amount of the Burial Trust play dosing interest for the conservatee. If there is a need to close several Burial Trust Accounts at the same time, a separate Payment Voucher will be completed for each conservatee. In the absence of the Accounting Technician, the Accountant II shall complete the documentation to close a Burial Trust Account.

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H. The Accountant II upon the completion of the Payment Voucher or Vouchers by the Accounting Technician, all documentation shall be reviewed by the Accountant II, and his initials shall be affixed to the document indicating that it meets his approval. In the absence of the Accountant II, a Supervising Deputy Public Guardian or Mental Health Services Administrator may review the documentation and initial their approval.

I. The Accounting Technician upon completion of the review, two (2) copies of the Payment Voucher shall be made. One (1) copy will be sent to M/H Accounting for bookkeeping purposes. The remaining copy will be retained by the Accounting Technician for the Public Guardian Files.

The original will be submitted to the Riverside County Auditor­Controller for payment.

J. The Accountant Clerk upon receiving the closing Burial Trust check from the Treasurer, the Accounting Clerk will post the check to the conservatees account making separate entries for the burial trust amount and the closing interest and will close or reduce the Burial Trust using a transfer code. The Burial Trust check will be included with other receipts for deposit to the Public Guardian Union Bank account.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

57

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

136.2

SUBJECT:

FUNDS TRANSFER, TREASURER'S ACCOUNT

REFERENCES:

None

FORMS:

County of Riverside, Cash Receipts Treasury Deposit Permit, General Form #31; County of Riverside, Payment Voucher, General Form #9

EFFECTIVE DATE:

July 1, 1994

REVIEWED DATE:

August 25, 2021

POLICY: Whenever a Burial Trust is requested to be opened by a Caseworker, the suggestion of the Representative Payee staff that is approved by the Caseworker or to close a Burial Trust due to death or termination, General Form #31 or #9 are used for the deposit or withdrawal of funds from Fund #579. A second review and approval must be obtained prior to submitting the documents to the Treasurer for deposit or withdrawal.

PROCEDURE: A. The Account Clerk upon receiving written authorization from a caseworker to open a Burial Trust for a client, a Request for Payment to the Riverside County Treasurer to open a Burial Trust shall be completed with all documentation attached from the caseworker when applicable.

Note: All Burial Trusts opened for Representative Payee clients are considered Revocable, as there is no Court Order issued for this Burial Trust program.

1. Shall process the Burial Trust requests in the same manner as any other disbursement and issue a check in the name of the Riverside County Treasurer.

2. Upon the completion of check printing and the identification of checks issued to the Riverside County Treasurer for opening a Burial Trust or for increasing a Burial Trust, the Accounting Clerk shall complete a

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Cash Receipts, Treasury Deposit Permit, and Form #31. The form will list each individual client by name, the dollar amount of each Burial Trust. Form #31 will be totaled. A Riverside County Treasurers Receipt will be completed and referenced on the Form #31.

B. The Accounting Technician upon the completion of the Form 331, by the Account Clerk, the form with all checks and receipts attached, shall be reviewed by the Accounting Technician and initialed as meeting his approval. In the absence of the Accounting Technician, the Accountant II, a Supervising Deputy Public Guardian or the Mental Health Services Administrator shall be asked to approve the deposit and initial the document.

C. The Accounting Clerk upon deposit with the Treasurer, a copy shall be made of the goldenrod part of Form #31. The goldenrod copy shall be sent to M/H Accounting for bookkeeping purposes. The copy with all documentation attached shall be given to the Accounting Technician for recording in the Public Guardian books.

1. Upon the death or termination of a client, Payee staff shall complete a written request and will give it to the Accounting Technician as request to close a Burial Trust Account. If funds are needed from a Revocable Burial Trust to pay bills, the same procedures shall be followed. If the Account Clerk writes the request, the Senior Account Clerk shall also review the request and initial their approval prior to the request being submitted to their Accounting Technician.

D. The Accounting Technician upon receiving a written request to close a Burial Trust from the Representative Payee section, the Accounting Technician will complete a Payment Voucher, Form #9 in the amount of the Burial Trust play closing interest for the client. If there is a need to close several Burial trust Accounts at the same time, a separate Payment Voucher will be completed for each client. In the absence of the Accounting Technician, the Accountant II shall also have the authority to close a Burial Trust Account.

E. The Accountant II upon the completion of the Payment Voucher or Vouchers by the Accounting Technician, all documentation shall be reviewed by the Accountant II, and his initial shall be affixed to the document individuating that it meets his approval. In the absence of the Accountant II, a Supervising Deputy Public Guardian or Chief Deputy Public Guardian may review the documentation and initial their approval.

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F. The Accounting Technician upon completion of the review, two (2) copies of the Payment Voucher shall be made. One (1) copy will be sent to M/H Accounting for bookkeeping purposes. The remaining will be retained by the Accounting Technician. The original will be submitted to the Riverside County Auditor-Controller for payment.

G. The Accounting Clerk upon receiving the closing Burial Trust check from the Treasurer, the Account clerk will pose the check to the client's account making separate entries for the burial trust amount and the closing interest and will close or reduce the Burial Trust using a transfer code. The Burial Trust check will be included with other receipts for deposit to the Representative Payee Union Bank account.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

60

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

136.3

SUBJECT:

FUNDS TRANSFER, TREASURER'S ACCOUNT

REFERENCES:

Fund #581, PG Investment Account

FORMS:

County of Riverside, Cash Receipts Treasury Deposit Permit, General Form #31; County of Riverside, Payment Boucher General Form #9

EFFECTIVE DATE:

April 1, 1994

REVIEWED DATE:

August 25, 2021

POLICY: As may be needed form time to time, excess funds are transferred to Fund #581 and from Fund #581 based on the need for cash in the Union Bank account. But whether funds are deposited or withdrawn, a second review and approval must be obtained prior to submitting the documents to the Treasurer for deposit or withdrawal.

PROCEDURE: A. Based on need, Account Clerk may on a daily basis transfer funds from the individual conservatees savings accounts to their trust accounts to pay current expenses. There is no pre-authorization required for this as it is a part of the normal operation of paying conservatees bills.

B. The Accounting Technician on a daily basis, will run a Daily Balance Report to verify that the system is in balance and that all receipts, savings transfers and disbursements have been account for entered correctly.

C. The Deputy Public Guardian will five a notification to the Accountant II at least 30 days prior to disbursement in excess of $100,000.00, due to the death or termination of a conservatee or if the case is being transferred to a successor conservator. This will place the Accountant II on notice that there may be a need to transfer money out of the PG Investment Account.

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1. Prior to the close of any month excess funds are identified by conservatee and an entry is made to move these funds to the savings account.

2. A single check shall be typed for the total of the excess funds, preferentially in even $100,000.00 amounts for each of reconciliation, with the check made payable to the Riverside County Treasurer.

3. The check completed in step #5 shall be signed by the Accountant II and the counter signed by the Mental Health Services Administrator per Policy and Procedure #120.1.

4. The Cash Receipts, Treasury Deposit Permit, Form #31 is completed for the amount of the transfer along with a Riverside County Treasurers Receipt for the same amount. The receipt number is referenced on the Form #31.

D. The Transfer Journal, PWIS Report #23, the check, and Form #31 shall be reviewed by the Mental Health Services Administrator and initialed as meeting her approval. In the absence of the Mental Health Services Administrator, a Supervising Deputy Public Guardian shall be asked to approve the deposit and initial the document.

E. The Accountant II will use The Transfer Journal, PWIS Report #23, and the Payment Voucher shall be reviewed by the Accountant II and initialed as meeting his approval. In the absence of the Accountant II, a Supervising Deputy Public Guardian or Mental Health Services Administrator shall be asked to approve the deposit and initial the document.

F. Upon receipt of the check, the Account Clerk shall complete a Union Bank Deposit form from the depositing of the check. No data entry is necessary, as this check is to cover net withdrawals for the prior month.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

63

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

140

SUBJECT:

WARRANT PROCESSING

REFERENCES:

Disbursements Journal; Manual Warrant Log

FORMS:

None

EFFECTIVE DATE:

September 17, 1985

REVIEWED DATE:

August 25, 2021

POLICY: It shall be department policy that warrants shall be processed on a scheduled basis. Any request for processing warrants on an emergency basis, outside of the normal schedule, shall meet specific criteria and will require supervisory approval. "Emergency" shall mean that the warrant is needed to meet the immediate, basic life support needs for the client, which cannot be met in any other way. Appropriate security of warrants and check signing equipment shall be maintained at all times.

PROCEDURE: A. The Accountant II will process warrants on the basis of an invoice or a warrant request form.

1. Upon posting and balancing disbursements for the day, the warrants will be printed as scheduled.

2. Accounting staff shall maintain a manual log of the number and numbered sequence of warrants printed. The log shall also include the total daily amount of the warrants, with notations on any cancellations.

3. The manual log shall be used to compare activity with the disbursements journal. If discrepancies occur, appropriate corrections will be made.

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4. Once the warrants are printed, accounting staff will begin to separate warrants copies, and prepare the warrants for processing through the check signer.

5. One assigned staff person will be responsible for the check signer, and will maintain the keys. This equipment shall remain locked at all times, until warrants are ready for processing.

6. After the checks are run through, assigned clerical staff will begin stuffing envelopes and preparing the checks for mail or pickup.

7. At the end of the working day, and warrants, which have not been mailed, will be secured by the Accountant II, until processing can be completed the following day.

8. All blank warrants will be secured by the Accountant II until time for printing.

9. Any warrants prepared as final distribution on an accounting will be mailed to the appropriate recipient with the established form letter, and will be mailed "return receipt requested."

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

65

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

150

SUBJECT:

AB1018 INTEREST VALIDATION PROCEDURE

REFERENCES:

Interim Audit Report

FORMS:

Lotus Spreadsheet Program

EFFECTIVE DATE:

March 31, 1994

REVIEWED DATE:

August 25, 2021

POLICY: On a quarterly basis, prior to the final posting of AB1018 interest for the quarter, the PWIS Interest Calculations shall be verified and confirmed.

PROCEDURE: A. The Accountant II or Accounting Technician will process a random sampling of Public Guardian cases, based on the PWIS AB1018 Interest Calculation Report shall be selected for verification of the Average Daily Balance and the Interest Calculation based on the appropriate interest tables. For the purpose of this procedure, a random sampling shall be considered a minimum of five (5) cases.

1. Based on the Calculation Report, using the PWIS System, a Report #38 shall be run on each of the random sampling of cases. This report shall start with the first day of the quarter and end with the last day of the quarter.

2. Using filed C: /123/AB1018/ ABVER/*.WK3 on a PC containing Lotus 123 and the appropriate templates. The template program shall be selected that matches the appropriate quarter to be audited. Note: An individual template will be setup for each quarter. Each template will have the corresponding dates listed for the quarter, including leap year.

3. Based on the AB1018 Calculation Report, the Case Name, Account Number, Average Daily Balance and Interest shall be entered into the corresponding identified area.

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4. From the Report #38, adding the Trust Balance and the Savings Balance together, the individual daily balances shall be entered on the template and copied as may be necessary to establish a balance for each day of the quarter. Note: For the first day of the quarter it will be necessary to add or subtract the first entry for the quarter to establish the beginning balance.

5. The pre-programmed formulas will calculate the total for the quarter and the average daily balance for the quarter.

6. Each quarter, the pre-programmed interest calculation formula shall be changed to reflect the current interest rates for the quarter.

7. The Average Daily Balance variance and the Interest Variance will be calculated automatically based on the pre-programmed formulas.

Each should have a variance of no greater than #.05. Note: If the variance is greater than $.05, it should be assumed that an error has been made when entering numbers into the Lotus program. If no errors can be found, PWIS will be contacted to verify that the AB1018 program is functioning properly.

8. Upon completion of the verification, a report shall be printed and maintained in the AB1018 file as a permanent record. The file will be saved in the AB1018/ ABVER/ file using the ending quarter month ending and year, i.e., 394.WK3, meaning quarter ending March 1994.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

150.1

SUBJECT:

AB1018 INTEREST TRANSFERRED AS REVENUE TO BEHAVIORAL HEALTH DEPARTMENT

REFERENCES:

Interim Audit Report

FORMS:

Request for Payment (DOMH-P/G 102)

EFFECTIVE DATE:

April 1, 1994

REVIEWED DATE:

August 25, 2021

POLICY: The Treasurer pays interest quarterly based on the earnings of the pooled investment program. Interest is calculated on the basis of cash interest received and the accrual amount anticipated to be received each quarter.

Interest earned for the previous quarter shall be transferred via a Payment Voucher to the Public Guardian books 90 days after the end of the quarter.

Net AB1018 Interest shall be transferred to Mental Health Accounting as Public Guardian Revenue two (2) times per fiscal year. In December and May of each Fiscal Year.

PROCEDURE: A. The Accountant II shall calculate the net interest received from the Treasurer. This calculation is based on the amount of interest actually received from the Treasurer during the two (2) preceding quarters less the interest paid to the conservatees.

1. The allocation of revenue shall be based on the ratio of actual cash held by the Public Guardian Office as a percentage of the total of cash held for Public Guardian and Public Conservator combined.

2. Shall calculate the net interest revenue based on the above referenced ratio, for the period allowing enough funds to remain in the account to cover one (1) quarter of future interest due the Public Guardian conservatees.

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3. Shall issue Requests for Payment (DOMH-P/G 102) from each of the Interest Accounts. Those accounts are as follows: a. Acct. #999999 Interest Investment b. Acct. #999998 Interest Burial Trust c. Acct. #999996 Interest Union Bank B. The Accountant Clerk, checks shall be made payable to Public Guardian/Conservator. The corresponding Behavioral Health Revenue Accounts and Transaction Codes are as follows: 1. Probate Rev. Acct. 8681-B T.C. 386 2. L.P.S. Rev. Acct. 8681-C T.C. 387 C. The Accountant II, all checks shall be returned to Accountant II for a second signature by Mental Health Services Administrator. Upon completion of the second signature all checks shall be sent to Behavioral Health Accounting, via Central Mail, for deposit to the corresponding Public Guardian revenue accounts.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

201

SUBJECT:

CASE FILE FORMAT

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

September 17, 1985

REVISED DATE:

August 25, 2021

POLICY: In order to insure uniformity in case file format, each case shall be set-up adhering to this section.

PROCEDURE: A. Upon receiving a probate referral or permanent LPS appointment, the clerical staff should prepare and set-up a case file.

B. The case file should have an adhesive sticker on the lower right side of the file indicating case name and case number. The red stickers are for LPS cases and green colored stickers are for probate cases.

C. The internal documents should be filed in the appropriate section.

1. Legal Filing: a. Investigation Report b. Temporary Letters of Conservatorship c. Petition for Temporary Letters of Conservatorship d. Inability to attend Court Hearings e. Petition for Public Sales f. Affidavit of Posting g. Notice of Sale for Real Property h. Petition for Authority on Exclusive Listing i. Petition for Burial Trusts/Orders j. Accounting Petitions

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k. Order Settling Accountings l. Termination Notices m. Notification of Court on address change n. Receipt for Assets o. Final Discharge p. Other legal documents on pleading papers 2. Current Legal/Inventories: a. Latest Letters of Conservatorship b. Inventories - formal c. Bank Statements d. Internal Inventory Sheets e. Stock/Bond information 3. Benefits/Address Change: a. Beginning worksheets b. Change of Payee forms c. Application for SSA/SSI benefits d. Application for Medi-Cal benefits e. Benefits - Notice of Action f. Social Security/ Medicare cards g. V.A. papers h. Private life/medical insurance i. Birth certificate j. Death Certificate k. Re-determination forms SSI or Medi-Cal 4. Property Tax/Burial Trust a. Real property profile b. Escrow papers c. Deeds d. Rental Agreements e. Title Reports f. Insurance Reports g. Tax Records h. Income Tax Records 5. Progress Notes: a. Treatment plan b. Medical information c. Nurses Reports

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d. Continuing Community Care treatment plan e. Deputy Charting f. Phone messages 6. Correspondence: a. All correspondence and memos b. Letters to Banks c. Letters to/from neighbors d. Letters to/from vendors e. Letters to/from Stock Brokers Insurance Companies

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

210

SUBJECT:

ENTERING NEW CASE ON THE COMPUTER

REFERENCES:

None

FORMS:

Master Account General Form (DOMH-P/G 210)

EFFECTIVE DATE:

February 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Upon receiving the Letters of Conservatorship and verified information from the assigned Deputy Public Guardian, the assigned Clerical Assistant shall complete the master account general form. This information shall be keyed into the computer within five (5) days of receipt of letters.

PROCEDURE: A. Upon receiving the Letters of Conservatorship, the assigned clerical assistant is to complete a master account general form. This information should have a verified social security number.

B. This form should be the reference used for inputting the information into the computer.

C. Instruction for completing the master account general form.

ACCOUNT NUMBER: Case number must have 6 letters.

STATUS CODE: Indicates kind of case: Active LPS 20 21 22 23

Temporary Permanent (Person & Estate) Permanent (Person only) LPS gone Probate

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Active Probate 40 41 42 43

Pending Temporary Probate (Person & Estate) Probate (Estate only)

Terminated Codes LPS: 30 31 32 33 34 35 36 37

Other Conservator appointed No longer gravely disabled Alternative planned voluntary treatment Transferred to Sub-Payee Terminated at contested hearing Out of jurisdiction LPS dismissed pending Probate Deceased

Terminated Probate: 50 51 52 53 54

Substitution of Private Conservator Terminated by Court Out of Jurisdiction Alternative Deceased

Closed Codes LPS: 39 139

LPS closed case LPS final discharge

Closed Codes Probate: 59 159

Probate closed Probate final discharge

LPS/MH #:

Case Number

LPS/MH Appt. Date:

Date of appointment noted on face of Conservatorship Letters.

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LPS/MH Term. Date:

Date one year from date of appoint. (I.e. is appointed 2.01.85, automatically terminated 2.01.96)

LPS/MH Temp. Date:

Date of Temporary appointment of the Person.

Probate Number:

Case number may be up to six (6) numbers.

Referral Date:

Date of the referral for Probate investigation

Probate Appt. Date:

Date of appointment noted on the Letters of Conservatorship.

Probate Term. Date:

Date the case was terminated by a Court Order.

LPS Renewal Date:

Date of re-appointment. This is usually one year from the date of appointment.

Social Security#:

Social Security of number of Conservatee.

Social Security #2:

Social Security number which is claimant number. This number may be the Social Security number of a deceased spouse, disabled or deceased parent.

Identification #:

Veteran's Claim Number of private pension number.

Alias:

Other names of the Conservatee.

Medi-Cal Number:

Medi-Cal number off the card.

Medicare Code:

Y= Yes

N= No

Citizenship:

Y= Yes

N= No

Address 1:

Name of facility

Address 2:

Street address of facility

Address 3:

City, State and Zip Code (State limited to 2 letters)

Date of Birth:

Birth Date of Conservatee

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Date of Death:

Date Conservatee deceased

Sex:

M= Male

F= Female

Marital Status:

S= Single W= Widowed

M= Married D= Divorced

Comments:

Type of living arrangement SNF = Skilled Nursing facility or convalescent hospital LSNF = Locked Skilled Nursing facility SH = State Hospital B&C = Board and Care I = Independent living

Accounting Completed Date:

Date accounting was sent to County Counsel's Office.

Accounting Filed Date:

Date the accounting petition was filed by the Clerk of the Court.

Accounting Due Date:

Probate cases - 14 months after the date of appointment. After the first year, every two years after the date of appointment. LPS cases - 12 months after the date of appointment.

Case Worker Number:

Number of the assigned Deputy Public Guardian A = A designation is for LPS case administration.

G = G Designation is for Probate case administration.

First Contact Date:

Date client was first seen by Deputy Public Guardian or Continuing Community Care Worker.

Last Contact Date:

Date client was last seen by Deputy Public Guardian, CCC Worker or Public Guardian Nurse.

Maximum Interest Code:

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Interest Rate Table: Interest Posting Frequency:

Quarterly.

Treatment Plan Date:

Date of after-case treatment plan provided by CCC in LPS cases or Nurse in Probate cases.

Attorney:

Initial Attorney assigned to the case.

Social Worker:

Initial Social Worker assigned to the case.

Inventory FY/N/X):

Evaluation Date:

Y = Inventory has been filed.

N = Inventory not yet filed.

X = Status of inventory unknown.

Date nine (9) months after appointment date.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

220

SUBJECT:

CLERICAL PROBATE REFERRAL PROCESS

REFERENCES:

Probate Referral Log

FORMS:

Request for Investigation (Probate Conservatorship) (DOMH-P/G 220); Probate Investigation (DOMH-P/G/ 221)

EFFECTIVE DATE:

February 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The assigned clerical support for the probate investigation shall make every effort to promptly perform the tasks delineated below with particular attention to assist in the tracking of statistics.

PROCEDURE: A. Mail Clerk receives Probate Referral in the mail and distributes it to the Supervising Deputy Public Guardian.

B. Supervising Deputy Public Guardian reviews the referral to determine if there is proper jurisdiction. He or she then signs off the referral and dates it.

C. Clerical Assistant receives the referral and prepares the standard form letter, indicating the referral is received into the office and that an investigation was noted.

D. Typist Clerk II receives the original referral and acknowledgment letter. The assistant logs the referral in the logbook, noting the age of the client, source and reason for the referral.

1. Once the referral is logged in, the clerk prepares an investigation file.

A sticker is placed on the side of the file indicating the name of the client, the date of referral and the name of the investigator.

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a. Prepare a whit rolodex card indicating name, date of referral, age, current address, referring party and investigator. b. Investigation file is given to the Estate Investigator.

E. Public Guardian Investigator completes the investigation. The investigator will either recommend for the establishment of a conservatorship or a termination.

1. If Public Guardian Investigator recommends conservatorship, the investigation report will be reviewed by the Supervising Deputy Public Guardian before typing. If any omission or question exists, the report will be returned to the investigator for information.

2. If the client is unable to attend Court hearing, the medical declaration must be submitted with the rough draft of the investigation report.

In the event the client is able to attend Court hearing, the investigator shall indicate the person providing transportation.

3. If the Public Guardian Investigator recommends the case be dismissed, the investigator prepares a proposed closing letter for review.

4. The Estate Investigator is responsible for securing the medical declaration of the inability to attend the Court hearing. Estate Investigator may request the Clerical Assistant to send out form letter to the attending physician; however, it is the responsibility of the investigator to follow-up on the letter and check the status on a weekly basis.

5. Public Guardian Investigator reviews the medical declaration to insure it is accurate F. Clerical receives the investigation report once it is typed, the entire package is to be given to the Supervising Deputy Public Guardian. The package includes the following: the investigation report, medical declaration, or in the even the client is able to attend the Court hearing, a memo indicating who will provide the transportation, the probate investigator referral (green referral form) and case file, and letter to referring party indicating the referral was accepted.

G. If the investigation determines a conservatorship is not appropriate, the Supervising Deputy Public Guardian reviews the file and notes the file with his or her initials indicating concurrence with the dismissal. If there is concurrence, the Supervisor approves the closing letter.

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1. If the investigation determines a conservatorship should be obtained the Supervisor is to determine if a temporary conservatorship of the Person and/ or Estate should be requested. Supervisor then assigns the case and prepares a memo to County Counsel requesting a Probate Conservatorship petition be filed.

2. Copies of the cover memo to County Counsel are given to the Mental Health Services Administrator, Supervising Deputy Public Guardian, the Nurse and Statistical Clerk.

H. Once the Clerical Assistant receives either the cover memo to County Counsel requesting conservatorship to letter closing the case or accepting the case, sends the material out, the assistant is responsible for logging the probate-log the same day the information is sent out.

1. If the case is accepted, the investigation file is to be given to the Clerical Assistant assigned to the Deputy receiving the case and opens the new case file.

2. The Probate Clerical Assistant is responsible for putting the information on the investigation white rolodex card.

3. At the end of each month, the Statistics Clerk prepares a Statistics Report.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

300

SUBJECT:

PROBATE CONSERVATORSHIP POLICY

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

February 29, 1988

REVIEWED DATE:

August 25, 2021

PROCEDURE: A. The Public Guardian shall petition to act as the Probate Conservator when the following conditions occur: 1. The Proposed Conservatee is/or potentially a victim of elder abuse; or 2. The Proposed Conservatee is: a. Substantially unable to provide for his or her personal needs for physical health, food, clothing, or shelter because of mental confusion or physical disability, and b. Should have a substantial estate which may be subject to/or at risk of loss because of fraud or undue influence.

B. The Public Guardian may petition to act as the Probate Conservator when: 1. The Probate Investigator determines a Conservatee continues to require the services of a Conservator and the existing Conservator, who is a friend or relative, is unable to perform the function of Conservator because of illness, death or relocation outside of the State; or 2. The Proposed Conservatee has exhausted all alternative means of assistance, lacks any relative, friends or significant others. This

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appointment may be a combination of services provided by the Public Guardian and other County Agencies.

C. The Public Guardian shall not petition to act as the Probate conservator for any of the following reasons: 1. For the sole purpose of providing medical consent. Existing State law provides a mechanism for obtaining medical consent without the necessity of establishing a Conservatorship (Probate Code Section 3200).

2. For the sole purpose of providing placement for a Medi-Cal beneficiary. Existing State law prohibits a Skilled Nursing Home from requiring as a condition of admission a responsible party (Welfare and Institutions Code Section 14110.8). In addition, Social Security regulations allow a facility to act as a Representative Payee.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

300.1

SUBJECT:

PROBATE CONSERVATORSHIP REFERRAL PROCESS

REFERENCES:

None

FORMS:

Referral for Investigation of Probate Conservatorship (DOMH-P/G 220); Receipt of Probate Referral Letter (DOMH-P/G 301)

EFFECTIVE DATE:

February 29, 1988

REVIEWED DATE:

August 25, 2021

PROCEDURE: A. Supervising Deputy Public Guardian will review all referrals for investigation of Probate Conservatorship to insure adequate information is available to proceed with the investigation.

1. Supervising Deputy Public Guardian shall either reject the case or assign it to an Public Guardian Investigator.

2. Probate referrals will be rejected on the basis of jurisdiction, residency, age, inadequate information and inappropriateness to proceed with a Probate Investigation for example client suffering from mental illness.

B. Senior Clerk shall open a red file, investigation card, mark notation on Probate Investigation Log. 1. Clerical Supervisor shall prepare a receipt of Probate Referral Letter for either Mental Health Services Administrator or Supervising Public Guardian's signature. After the letter is signed, it is to be returned to referral source.

C. Public Guardian Investigator will proceed with investigation.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

300.1a

SUBJECT:

REFERRALS TO PRIVATE PROFESSIONAL CONSERVATORS

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

December 1, 1999

REVIEWED DATE:

August 25, 2021

POLICY: It is the policy of the Public Guardian's Office that we will make no referrals to private professional conservators.

In the event that a specific private professional conservator is requested by a conservatee or conservatee's family member, we will ask the requester to sign a nomination form constituting written acknowledgement of their request. We may recommend to the court the appointment of a private professional conservator who is nominated or who otherwise requests appointment unless we have good cause for opposing their appointment. Such good cause would consist of evidence of current or prior fiduciary abuse, current or prior neglect, or past failure or current inability to perform appropriately the duties of a conservator.

Exceptions to this policy, if any, should be due to extraordinary circumstances, and will be allowed only with the express written consent of the Mental Health Services Administrator.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

300.1b

SUBJECT:

CONSERVATORSHIP REFERRALS

REFERENCES:

None

FORMS:

Recommendation for Conservatorship MH-1543; Declaration of Medical Condition; Psychosocial Evaluation; Application for 72-Hour Detention; Notice of Certification; Certification Review Hearing; CIO Recommendation to File Temporary Conservatorship LPS Conservatorship Worksheet; CIO - Case Management Referral; CIO - Request for Information; Temporary Letters of Conservatorship; Notification of Intent to File Conservatorship; Temporary Conservatorship Petition; Notification of Next of Kin; SB 910 Service Plan

EFFECTIVE DATE:

February 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: All LPS conservatorship referrals are to be personally handed to the Conservatorship Investigation Officer (CIO) as soon as the referral is received either by mail or personal delivery. The CIO Officer or his designee must review the referral to determine if the conservatorship referral is appropriate for processing. If the referral is approved for further processing, the designated OA II must process the application within one working day.

PROCEDURE: A. The OA II handling the receptionist duties will receive the conservatorship referral by mail, federal express or personal delivery.

The referral is usually placed in a large manila envelope. Upon receiving the referral, the OA II calls the CIO officer to notify him that the referral has been received. If the CIO officer is not readily available, the referral is given to the psychiatric social worker. If both parties are unavailable, the referral is given to the Mental Health Services Administrator or LPS Supervisor.

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1. The CIO officer reviews the application to determine if the referral is to be process or denied. If denied, the Behavioral Health Services Supervisor calls the referring party that the referral will not be processed and confirms the call by letter. If the Behavioral Health Service Supervisor determines the conservatorship is to be processed, he will direct the referral to the designated OA II for processing.

2. The OA II prepares a case file folder and an index card. The case file folder label indicates the name, date or birth, case number and date the referral was received. The index card lists the name of the client, date of birth, case number, address of the location where the client is hospitalized, date of referral, date the referral went to counsel, date the temporary conservatorship was granted, court hearing date, trial date, date of permanent appointment or dismissal.

3. The OA II logs the case in the CIO logbook specifically noting the current placement, date the 14-day certification terminates and the date the referral is sent to counsel.

4. The conservatorship referral packet consists of the following documents: a. Recommendation for Conservatorship Cover Sheet b. Declaration of Medical Condition c. Psychosocial history d. Application for 72-hour detention (5150) e. Notice of Certification f. Certification Review Hearing g. Notification of next of kin 5. The OA II photocopies the entire packet for the CIO file. The original report is always sent to counsel in addition to photocopying the packet, the designated OA II copies (2) Doctor's evaluation, and (2) Psychosocial history.

6. The OA II prints a SPUDS face sheet. (Report MHS 140). This is placed in the CIO file folder.

7. The OA II prepares the form letter to county counsel. The lines are filled with the information list below. a. Name of conservatee b. Date the letter is sent to counsel c. Date of Birth

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d. Current address of conservatee. Include the name of the hospital and address. e. Cross-out the section which is not correct. (I.e. The patient is or is not present under a conservatorship). f. Calculate the date the conservatorship terminates. This is done by reviewing the date of certification and adding 14 days.

8. The OA II prepares the notification of intent of file. This form is on NCR paper. The OA II fills in the following sections. a. Patient name: name of conservatee include alias. b. Date: the date the referral was sent to counsel.

9. The OA II prepares the Worksheet for County Counsel re: LPS Conservatorship. It is completed as listed below. a. Name of conservatee b. Age c. Name of hospital treating client d. Name of doctor signing the declaration e. Proposed conservatee unwilling to accept or incapable of accepting treatment. Refer back to the conservatorship investigation declaration cover sheet and enter the information prepared by the referring doctor. f. Enter marital status of conservatee. This information is found in the psychosocial history. g. Enter the names and addresses of all relatives. This information is available from the next of kin notification. h. Enter information on the value of the real property and the personal property by reviewing the psychosocial history. i. Check off if the psychosocial history indicates the client receives VA benefits. j. J. Leave blank the line making reference to the California Department of Mental Hygiene. k. k. Indicate the name and address of the hospital where the patient is being held for treatment.

10. The OA II then prepares the CCC referral letter. This letter requests case management services from the CCC programs. The form is filled as follows: a. Name of client b. Date the letter is prepared

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c. Date of birth d. The source of referral. Need to fill out name of facility 11. The last form is the Request for Information from the CCC programs. a. Name of conservatee b. Date of birth c. Check off the boxes labeled current CCC summaries and prior CCC summaries 12. After all the forms have been completed, add the forms to the medical declaration and put in the following order. a. Notice of Intent to File b. Recommendation for Conservatorship addressed to Counsel c. Page 4 of the LPS petition for appointment. d. Temporary Letters of Conservatorship e. Worksheet for County Counsel f. Referral packet beginning with Recommendation for conservatorship signed by the referring doctor.

13. The OA II copies the documents A through E for the investigation files.

14. Place a PG document receipt on top of this package and place in the County Counsel mail folder so that is may be delivered when "rounds" mail is hand carried to counsel.

15. The OA II mails (through central mail) all correspondence to the CCC program. Make sure the correct CCC program is notified. The SPUD's face sheet should indicate the CCC program.

16. The CIO documents are filed in the case folder in the following order: (Bottom to Top) - Right Side of the Folder a. Worksheet b. ITF admitting record c. 72-hour hold d. 14-day certification e. Next of Kin Notification f. Psychosocial history g. Doctor's evaluation h. Declaration of Gravely Disabled

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i. Declaration of Medical Condition j. Notice to Conservatee of Need for Medical Treatment (if submitted) k. Proof of Service (if submitted) l. Recommendation for Conservatorship sent to Counsel (Bottom to Top) - Left Side of the Folder a. SPUDS face sheet b. Notice to CCC (copy) c. Request for Information to CCC d. Progress Notes e. SB910 Service Plan 17.

The completed CIO file is then returned to the Investigator.

18. Counsel will provide telephonic notification when Temporary Letters of Conservatorship are granted. When the OA II receives the call, it is logged in the Temporary Conservatorship Log. The OA II calls the holding facility notifying them of the effective date of the conservatorship.

19. The OA II will also open the SPUD's episode indicating the case as an open case with CIO. The OA II also changes to legal status to reflect that the conservatee is on a temporary conservatorship.

20. In the event a conservatorship is denied. Counsel will provide written documentation that the case is denied. The CIO officer will notify the facility that the case is denied.

21. If counsel processes the conservatorship referral, the petition for appointment of a temporary conservator, letters of conservatorship.

An order appointing the CIO and a petition for permanent appointment of the conservatorship is returned to the CIO. A citation of service is attached to the petition. The OA II retrieves the CIO case file and attaches the citation to the front of the file. The file is returned to CIO staff for service.

22. When the con1pleted citation is returned to the CIO, the CIO officer will direct the OA II to return to the original citation to the counsel for filing. The OA II copies the citation, and inserts the copy in the CIO file.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

92

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

300.2

SUBJECT:

PROBATE CONSERVATORSHIP INVESTIGATION

REFERENCES:

Probate Code Section 1800, 1801, 1810 and 2201

FORMS:

Notification of Acceptance/Rejection of Probate Conservatorship Letter (DOMH-P/G 302); Probate Investigation Report (DOMH-P/G 221); Request to Petition (DOMH-P/G 303)

EFFECTIVE DATE:

February 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: All Probate Conservatorship Referrals will be investigated to determine the need for conservatorship. Each case will be evaluated on its own merits. If a case indicates a need for a conservatorship and no other alternatives are available, the Public Guardian may petition the court for Letters of Probate Conservatorship.

Introduction: Requirements for a Probate Conservatorship: A. A proposed conservatee shall either be a resident, temporary resident, or holder of property in Riverside County.

B. A conservator of the person may be appointed for a person who is unable to properly provide for his or her personal needs for physical health, food, clothing or shelter.

C. A conservator of the estate may be appointed for a person who is substantially unable to manage his or her own financial resources or resist fraud or undue influence.

D. Public Guardian shall be the last alternative pursuant to the Probate Code.

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E. Recommendations shall also include a request for Temporary Letters of Conservatorship if a need or risk to the person or estate exists. a. Guidelines for Temporary Conservatorship of the person: 1. Need to consent for the care and treatment of clients unable to do so. b. Guidelines for Temporary Conservatorship of the Estate: 1. Powers that are necessary to conserve and protect the property of the ward or conservatee from loss or injury.

PROCEDURE: A. Upon receipt of the probate referral, the Public Guardian Investigator is to review the referral and determine the priority in completing the investigation.

1. Probate investigations are to be completed within forty­five (45) days unless extenuating circumstances prevail.

2. Investigator is to have face to face contact with the proposed conservatee to gather the following information: a. Explain the conservatorship process.

1. Explain conservatorship proceedings and court actions.

2. Explanation of rights removed.

3. Explanation of the Conservator’s duties. This includes closing bank accounts, paying bills, limiting right of conservator to give away property, sets residence, manage or in some cases sell real or person property, in some cases Conservator consents to medical treatment. Also discuss the right to select their own attorney if they can afford it as well as payment of Conservatorship fees and County Counsel fees.

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b. General information on client’s person identification, assets, and family information necessary for completion for probate investigation report. c. General impression on client’s mental status.

1. Ascertain if client is able to give a voluntary consent. d. Detailed observation of client's physical appearance. e. Detailed observation of client's surroundings.

1. Take picture of conservatee and surroundings, if the client does not object. f. Determine if client is able to sign Voter's Affidavit. g. Investigator is to interview the referring party to determine the reasons for the referral and discuss conservatorship.

1. Investigator to interview relatives and close friends to exhaust the possibilities of alternatives.

2. Investigator shall determine if the proposed conservatee will consent to appointment of the Public Guardian.

3. Investigator shall determine if the Public Guardian should petition for conservatorship.

4. When a conservatorship is not recommended, the estate investigator shall: a. Complete the investigation report. This may be used for future reference in the event the client is again referred for conservatorship. b. Document the file on all interviews and telephone conversations. c. Complete the Letter of Acceptance/Rejection which is to be sent to the referring party. d. Investigation and case documentation is to be reviewed by the Supervising Deputy Public Guardian.

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e. Upon approval of the Supervising Deputy Public Guardian, the Public Guardian Investigator shall send out a letter specifying the reason for rejection of the investigation. f. Clerical Assistant shall note disposition on probate statistics-log, and file cards. g. Closed investigation file is to be placed in the terminated referral file.

When a conservatorship is recommended, the Public Guardian Investigator investigator shall: 1. Complete Investigation Report and submit to Supervising Deputy Public Guardian for review.

2. Determine if a Temporary Conservatorship of the Person or Estate should be established. If in the affirmative, prepare cover memo stating the reasons. This memo should be attached to the Investigation Report.

3. Public Guardian Investigator shall determine if the Proposed Conservatee is able to attend the court hearing. a. If able to attend the court hearing, arrange for transportation. b. If not able to attend court hearing, the Public Guardian Investigator shall be responsible for obtaining a Declaration of Medical Inability to attend court hearing. c. Supervising Deputy Public Guardian shall review the Probate Investigation Report and shall initial if in concurrence with recommendation. d. Supervising Deputy Public Guardian shall send a memo to County Counsel requesting the establishment of a Probate Conservatorship Memo shall also include if a Temporary Conservatorship should also be established. e. If any assets require protection under provisions of the Welfare and Institution Code Section 8006, the Public Guardian Investigator shall marshal those items.

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f. Public Guardian Investigator shall also secure the home of the Proposed Conservatee. g. In the event the Proposed Conservatee owns real property, the Investigator shall obtain a property profile of said property/properties.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

97

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

301

SUBJECT:

GENERAL POWERS - PROBATE CONSERVATORSHIP OF THE PERSON

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

June 13, 1988

REVEIWED DATE:

August 25, 2021

POLICY: Each Deputy General Guardian is to be aware of the general powers of a conservator of the person. Any decisions relating to the care of the conservatee shall be consistent with the legal requirements.

PROCEDURE: A. Residence

1. The conservator may fix the residence of the conservatee at either of the following a. Any place within this State without the permission of the court. In fixing the residence, the conservator shall select the least restrictive, appropriate setting which is available and necessary to meet the needs of the conservatee, and which is the best interests of the conservatee. b. A place not within this state if permission of the Court is first obtained. Whenever there is a Court Order granting the conservator authority to allow the conservatee to leave the State, the order shall specify if the conservatee is to return to this State, or to cause a conservatorship proceeding or its equivalent to be commenced in the place of the new residence.

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2. The conservator shall promptly mail to the court notice of all changes in the residence of the conservatee.

B. Medical Consent

1. If a conservatee has been adjudicated to lack the capacity to consent to medical treatment, the conservator shall have the exclusive right to consent to medical treatment.

C. Involuntary Civil Mental Health Treatment

1. No conservatee shall be placed in a mental health treatment facility against the will of the conservatee.

2. No experimental drug as defined in Section 26668 of the Health and Safety Code may be prescribed for or administered to a conservatee.

3. No convulsive treatment as defined in section 5325 of Welfare and Institutions Code.

D. Education

1. The conservator has the care, custody, control of and charge of the education of the conservatee.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

99

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

302

SUBJECT:

MEDICAL CONSENTS FOR PROBATE CONSERVATEES

REFERENCES:

None

FORMS:

Declaration of Doctor (DOMH-P/ G 304)

EFFECTIVE DATE:

February 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Whenever a Probate Conservatee requires medical treatment for alleviation of severe pain, or has a medical condition which, if not treated may lead to serious disability or death, every effort shall be made to provide the appropriate medical consents quickly either through Court Order or by special powers granted by the court.

PROCEDURE: A. Upon receipt of a telephone contact from a doctor, facility staff, social

worker, etc., the assigned Deputy Public Guardian shall review the Court Order appointing conservator to determine what special powers were granted to the Probate Conservator. Specifically determine who has the authority to consent for medical treatment - conservator or conservatee.

B. In the event the conservator has the authority to consent:

1. The Deputy Public Guardian will obtain detailed information on the required medical treatment. If the medical procedure appears to be necessary, the Deputy should document his/her case file and give the appropriate medical consent. Should advise the requesting party that conservator has the exclusive right to consent.

C. In the event the conservatee has the authority to consent:

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1. Simply advise the requesting party that the conservatee has the legal power to consent for medical treatment. Consent should be obtained from the conservatee.

2. In the event the conservatee requires emergency medical treatment and the conservatee has the authority to consent, the conservator may consent to the medical treatment for the alleviation of pain or the conservatee has a medical condition which, if not immediately diagnosed and treated will lead to serious disability or death. This procedure would be followed only if the conservatee, for some reason such as illness or injury, cannot give the required consent.

(Conservatee could not be comatose, injured, under strong medication, etc.) a. When signing the medical consent, the assigned Deputy should note that the situation is a medical emergency based upon a medical recommendation. This same information should be noted in the case file.

3. If the conservatee can consent and refuses to consent, the Deputy Public Guardian shall petition the court for authorization to consent if it appears to be medically necessary. In addition to securing the Doctor's Declaration regarding the proposed medical treatment, the Deputy should also secure a psychiatric evaluation as to the conservatee's ability to consent to medical treatment. All the before mentioned information should be sent to County Counsel for inclusion in their petition. Deputies should present at the court hearing.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration 101

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

306

SUBJECT:

PLACEMENT OF PROBATE CONSERVATEES

REFERENCES:

None

FORMS:

Change of Status (DOMH-P/G 103); Placement Agreement (DOMH-P/G 104; Notification to Court of Address of Conservatee/Ware of Conservator/Guardian (DOMH-P/G 314)

EFFECTIVE DATE:

July 28, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The Deputy Public Guardian may fix the residence of a Conservatee without the permission of the Court. In fixing the residence, the Conservator shall select the least restrictive appropriate Facility which is available and necessary to meet the needs of the Conservatee. Conservator may not place Conservatee into a secured treatment facility, unless given specific authority by the Court for treatment of Dementia.

PROCEDURE: A. Receives telephone call from Facility indicating a new placement is

needed. The Deputy Public Guardian shall notify the Registered Nurse to evaluate the Conservatee and locate a new placement.

B. Evaluate Conservatee and locate a new placement.

1. If the Conservatee requires an emergency placement, the Registered Nurse shall contact the Facility in order to discuss the physical and mental conduct of the Conservatee.

2. Obtain all information regarding any behavior problems, and if appropriate, disclose the information to any other agency involved.

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3. Make arrangements with Facility to transport personal belongings when Conservatee is moved.

4. Consult with the Deputy Public Guardian for approval of placement and verification of income and method of payment (Medi-Cal or private pay).

C. Verify income and advise the Registered Nurse the method of payment.

The Deputy Public Guardian should be assured that placement is appropriate for the Conservatee and is the closest available Facility to his/her home.

1. If SSI and/or Medi-Cal Benefits are needed, the Deputy Public Guardian must apply for Benefits ASAP, and if necessary, request a protective filing date. Typist Clerk II (Benefit Clerk) may also do this upon instruction from the Deputy Public Guardian.

2. If placement is obtained by the Registered Nurse, a Placement Agreement must be secured at the time of placement. Copy of Placement Agreement should be sent to the accounting section.

D. Complete Change of Status and indicate distribution to all appropriate

agencies. Attached copy of Placement Agreement to Copy of Status form to the Accounting Clerk for documentation needed to request automatic payment to the Facility.

E. Process and set-up automatic payment as requested by the Deputy

Public Guardian.

F. If a Probate Conservatee is transferred or changes residence at any time,

the Deputy Public Guardian must file with the Court, a Notification to Court of Address of Conservatee/Ward and of Conservator/Guardian.

G. Copies of Change of Status form and distribute to appropriate agencies

as checked.

H. Type Notification to Court of Address of Conservatee/Ward, etc., and

return to the Deputy Public Guardian for their review and signature.

I. Review the Notification of Court of Address of Conservatee/Ward, etc.,

and return to the Deputy Public Guardian for their review.

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J. Xerox copy of the Notification to Court of Address of Conservatee/War,

etc., for the Attorney for Conservator, Attorney for Conservatee, if appropriate and Deputy Public Guardian file. The Typist Clerk II shall forward the original copy to Attorney for Conservator to file with the Court.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

104

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

307

SUBJECT:

PROBATE CONSERVATORSHIP TRANSFERRED TO LPS CONSERVATORSHIP

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

August 31, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Whenever a Probate Conservatee is exhibiting behavioral problems requiring placement in a Mental Health Facility, the Deputy Public Guardian must request psychiatric evaluation for an LPS Conservatorship.

PROCEDURE: A. The Deputy Public Guardian or Registered Nurse Receives a telephone call from a facility indicating there is a problem with a client who is currently under a Probate Conservatorship in Riverside County.

1. If client is residing outside of Riverside County, the Deputy Public Guardian must instruct the facility to contact the County's designated Mental Health team for an evaluation.

2. If the client is residing in Riverside County, the Deputy Public Guardian must instruct the facility to transport the client to Riverside University Health System – Medical Center for an evaluation.

3. If the situation is an emergency, the Deputy Public Guardian instructs the facility to contact the Police/Sheriff’s Department and request the Conservatee be transferred to Riverside University Health System – Medical Center or that County's acute hospital for a 5150 evaluation.

4. If the client can remain at the facility and it is not an emergency situation, the Deputy Public Guardian notifies the Public Guardian's

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Registered Nurse for assistance to discuss the possibility of an outpatient conservatorship.

B. Upon determination that an outpatient LPS referral is needed, the Deputy Public Guardian must consult with the Supervising Deputy Public Guardian.

1. If the Client is currently an active case of one of the Continuing Community Care Worker Offices, the Deputy Public Guardian must request, as soon as possible, an LPS evaluation, by the Continuing Community Care worker for possible outpatient referral.

2. If the client is not currently under one of the Continuing Community Care Worker Offices, the Deputy Public Guardian must instruct the Registered Nurse to contact the Crisis and Referral Office to request an appointment at the next available date and time for evaluation of outpatient LPS referral; preferably the same day. a. Riverside County Crisis and Referral will evaluate any conservatee transported to that office who is a resident of Riverside County. b. Riverside County Crisis and Referral will not evaluate any conservatee residing outside of Riverside County, regardless of conservatorship status.

C. The Registered Nurse must contact Riverside County's Crisis and Referral office to request an appointment for evaluation of an outpatient LPS referral. The Registered Nurse must make arrangements with the assistance of the Deputy Public Guardian to transport the conservatee tot eh Crisis and Referral office, and return the conservatee back to the facility.

D. Upon notification that the conservatee has been transferred to that County's acute hospital or Riverside University Health System – Medical Center, the Deputy Public Guardian must contact the doctor and request the conservatee to be evaluated for an LPS conservatorship. The Deputy Public Guardian must also advise the doctor of the circumstances leading to the request for an LPS Conservatorship. The Deputy Public Guardian lacks the authority to hold a patient at a psychiatric facility.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

309

SUBJECT:

AIDS (ACQUIRED IMMUNE DEFICIENCY SYNDROME)

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

July 1, 1988

REVIEWED DATE:

August 25, 2021

POLICY: It is the policy of Riverside University Health System – Behavioral Health (RUHS – BH) to whenever a conservatee has been diagnosed as having AIDS, they shall be accorded any treatment, upon Court approval, for alleviation or remission of the disease. Confidentiality laws relating to the reporting and disclosure of the disease shall follow prevailing State law.

PROCEDURE: If the assigned Deputy Public Guardian receives a request from a facility or doctor, requesting consent to administer a blood test to detect antibodies to the probable causative agent of AIDS, the Deputy Public Guardian shall review the Letters of Conservatorship and Orders appointing conservatorship to determine what medical powers are given to the conservator.

If the medical powers indicate the conservatee has the right to consent to medical treatment, the Deputy Public Guardian should advise the facility to solicit a consent from the conservatee. The Deputy Public Guardian may request the facility to advise them of the results of the test be disclosed so that steps are taken to allow the conservator to petition the Court for authorization to consent to treatment.

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In the event that the conservatee refuses to consent to the blood test and/or is unable to consent to the administration of the blood test, the assigned Deputy Public Guardian shall immediately petition the Court for authorization to consent to the procedure. The doctor's declaration must be attached to the petition, consistent with Policy Numbers 302 and 312.

Upon receiving Court authorization, the Deputy Public Guardian may provide written consent for the administration for a blood test.

Deputy Public Guardian may receive the results of the testing and can only disclose the results to the person identified under State law.

The assigned Deputy Public Guardian may release information to the assigned Case Manager so they may adequately document their case file and alert any third party who is entitled to receive the information for the care and treatment of the patient.

The Deputy Public Guardian should indicate in their case file the client requires blood and fluid precautions.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

109

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

310

SUBJECT:

AWOL CONSERVATEES

REFERENCES:

None

FORMS:

Change of Status (DOMH-P /G 103); Letter to Sheriff/Policy Departments; Certified Copy of Letters of Conservatorship; Notice of Change of Placement (DOMH-P/G 315)

EFFECTIVE DATE:

July 12, 1988

REVIEWED DATE:

August 25, 2021

POLICY: When any conservatee, placed into a facility, leaves the facility without the approval of the conservator or the person in charge of the facility, the conservator may take the conservatee into custody and return him to the facility or place him at a county designated treatment facility. A conservator, at his discretion, may request a peace officer to detain the conservatee and return such person to the facility in which he was placed or to transfer such person the county designated treatment facility. Such a request shall be in writing and accompanied by a Certified Copy of the Letters of Conservatorship.

PROCEDURE: A. Receives notification from the facility that conservatee is AWOL (Absent

without Office Leave).

1. The Deputy Public Guardian must obtain pertinent information regarding AWOL status; such as, date, time and circumstances surrounding AWOL status.

2. Request facility to report AWOL status to local Police/Sheriff Department and obtain the reporting number on the report.

3. Obtain a description of the conservatee, including clothing work when last seen.

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4. The Deputy Public Guardian should also ascertain whether the facility is willing to readmit the conservatee upon his/her return from AWOL status.

B. The Deputy Public Guardian must complete a Change of Status form and

distribute to all appropriate agencies notifying them of AWOL status.

1. Contact family members, CCC worker or Public Guardian's Registered Nurse, if Probate, or AWOL status of conservatee.

2. In order to notify the police that we would like them to hold and detain an AWOL conservatee, the assigned Deputy Public Guardian must complete a letter to Police/Sheriff Departments and attach Letters of Conservatorship (Certified Copy). a. If the facility is willing to readmit the conservatee when found, request the Police/Sheriff Department to return the conservatee to the facility for readmission. b. If the facility is unwilling to readmit the conservatee when found, request the Police or Sheriff Department to transport the client to Riverside General Hospital for placement until alternate placement can be arranged.

3. When the conservatee is located, the Deputy Public Guardian shall complete one of the following: a. The facility notifies the Deputy Public Guardian that the conservatee has returned. Note the date the client was returned in the case file and notify appropriate agencies. b. If conservatee is admitted to Riverside General Hospital by the Police/Sheriff’s Department, the staff will notify the assigned Deputy Public Guardian of the conservatee's admission. The c. Deputy Public Guardian shall provide admission papers to Riverside General Hospital the same working day, or, if after working hours, the following day. d. If a family member calls the assigned Deputy Public Guardian indicating the conservatee is at their home, the Deputy Public Guardian should determine if the client is cooperative to returning to the facility. If so, Deputy Public

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Guardian should call the facility to determine if the facility will accept the patient back to the facility. If the facility accepts, the Deputy Public Guardian may request the family member to return the client, if not arrangements should be made for a Riverside General Hospital admission. e. If another agency notifies the Public Guardian of the location of an AWOL client, the Deputy Public Guardian must assist the agency returning the conservatee to the facility or admission to Riverside General Hospital. f. Complete a Change of Status and distribute to all appropriate agencies, advising of return of conservatee.

4. If conservatee has been AWOL for thirty (30) days or more, the Deputy Public Guardian shall initiate termination of the conservatorship. a. The assigned Deputy Public Guardian shall instruct County Counsel to petition for termination of conservatorship. A final accounting should be attached to the instructions.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

112

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

311

SUBJECT:

GENERAL POWERS - LPS CONSERVATORSHIP OF THE PERSON

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

June 13, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Each Deputy Public Guardian is to be aware of the general powers of the conservatorship of the person for conservatorships established under the Welfare and Institutions Code. Any decisions relating to the care of the conservatee must be consistent with the powers granted to the conservator.

PROCEDURE: A. The conservatee shall have the following rights unless the Court

specifically denies these rights at the time the conservatorship is established.

1. The privilege of possessing a license to operate a motor vehicle.

2. The right to enter into a contract.

3. The right to vote.

4. The right to refuse or consent to treatment related specifically to the conservatee's being gravely disabled.

5. The right to refuse or consent to other medical treatment unrelated to remedying or preventing the recurrence of the conservatee's being gravely disabled which is necessary for the treatment of an existing or continuing medical condition.

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B. Placement

1. The conservator shall place the conservatee in the least restrictive alternative placement as designed by the Court.

2. If the conservatee is not to be placed in his or her own home or the home of a relative, first priority shall be placement in a suitable facility as close as possible to his or her home or the home or a relative. Suitable facility means the least restrictive residential placement available and necessary to achieve the purposes of treatment.

3. The conservator may transfer his or her conservatee to a less restrictive alternative placement without a further hearing and court approval. In any case in which a conservator has reasonable cause to believe that his or her conservatee is in need of immediate more restrictive placement because the condition of the conservatee has so changed that the conservatee poses an immediate and substantial danger to himself or herself or others, the conservator shall have the right to place his or her conservatee in a more restrictive facility or hospital. a. In the event the placement is more restrictive than the courtdetermined placement, the conservator shall provide written notice of the change of placement and the reason therefore to the court, the conservatee's attorney, the county patient's rights advocate and such other person designated by the court.

C. Medical Treatment

1. Except in emergency cases in which the conservatee faces loss of life or serious bodily injury, no surgery shall be performed upon the conservatee without the conservatee's prior consent or a court order specifically authorizing such surgery. (Also refer to medical consents section).

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

115

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

312

SUBJECT:

MEDICAL TREATMENT OF LPS CONSERVATEES

REFERENCES:

None

FORMS:

Declaration of Doctor DOMH-PG

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: If a conservatee (LPS) requires medical treatment which has not been specifically authorized by the court, the conservator must obtain a Court Order for such medical treatment, except in emergency cases in which the conservatee faces loss of life or serious bodily injury. In emergency situations, two (2) doctors can verify if a life threatening situation exists and can proceed without the consent of either the conservator or conservatee. This procedure is not necessary in the event the conservatee understands the reasons and consequences of a proposed medical procedure and consents to such treatment.

Under no circumstances can the conservator consent to psychosurgery.

Psychosurgery is defined as those operations currently referred to as lobotomy, psychiatric surgery, and behavioral surgery and is performed for the purpose of modification or control of thoughts, modification of normal brain functions, and treatment of abnormal brain functions.

If a conservatee requires electroconvulsive treatment, the conservator should immediately contact their attorney as to the specific conditions and legal requirements for proceeding with obtaining medical consents.

Conservator lacks the authority to sterilize a conservatee or consent to the administration of experimental drugs.

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PROCEDURE: A. Upon verbal or written contact from doctor, facility, social worker, etc., for authorization to consent for medical treatment, the Deputy Public Guardian should review the Order appointing the conservator to determine if the conservator has specified powers to consent to medical treatment. If powers exist, the conservator may consent to the medical procedure without further court intervention.

1. If the specific power is not given to the conservator, the assigned Deputy Public Guardian should further ascertain if the conservatee is able to comprehend the nature of the medical procedure and is able to give informed medical consent. If the conservatee is able to give informed consent, the consent should be given by the conservatee.

2. If it appears the conservatee is unable to understand the nature of the medical procedure, the Deputy should then ascertain if the requested medical procedure is an emergency or elective. In the event the medical procedure is an emergency situation, the assigned Deputy Public Guardian should hand-carry the Doctor's Declaration directly to the doctor for completion. In the event the medical procedure is elective, the required legal form may be mailed directly to the doctor for completion.

3. Notification of pending medical treatment should be made to the attorney for the conservator. The attorney for the conservator should then immediately contact the attorney for the conservatee advising them of the pending petition.

4. Upon receiving the completed Doctor's Declaration, the Deputy should review the Declaration to insure all the pertinent information is completed. If the information is incomplete, the doctor should be contacted to correct any deficiencies. If the Declaration is adequate the Declaration should be transmitted to County Counsel for preparation into the proper petition.

5. Upon notification of the Ex-Parte hearing, the Deputy should determine if his presence would be helpful. In the event the petition is being contested, the Deputy Public Guardian shall be present in Court.

6. Upon receiving the Court Order authorizing the Public Guardian to consent to medical treatment, the assigned Deputy Public Guardian shall contact the doctor regarding the consent. A copy of the Order shall be given to the doctor providing the medical treatment, attorney for the conservatee, case file and hospital records, if appropriate. Signed consents shall be completed promptly.

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7. After the medical treatment is rendered, the assigned Deputy Public Guardian should contact the doctor and the patient to determine the status of the treatment and condition of the client. Case file should be documented. a. In the event the treatment is not rendered, the Deputy should immediately contact the doctor as to the reasons for the delay of treatment or what other alternatives are being pursued. County Counsel should be apprised of the situation as soon as possible.

8. In the event the conservatee has the capacity to consent to medical treatment however he/she refuses to consent to the proposed medical procedure, the conservatee should have a psychiatric evaluation regarding his/her ability to give informed medical consent. Conservator shall request County Counsel to file a Petition for Instructions. Procedure 4 through 8 should be followed.

9. In the event permission for emergency surgery was given, the assigned Deputy Public Guardian should notify other agencies and the nurse when the medical treatment was rendered.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

118

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

314

SUBJECT:

PLACEMENT OF LPS CONSERVATEE

REFERENCES:

Intra-Agency Agreement: Dept. of MH Policy #211 Placement - License Facilities and Policy #231 - Inter­ Regional and Out of County Placements for Adults

FORMS:

Change of Status, DOMH-PG 103 Notice of Change Placement (LPS), DOMH-PG 315 Placement Agreement

EFFECTIVE DATE:

July 28, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The Deputy Public Guardian shall place his/her Conservatee in the least restrictive alternative placement. Such placement may include a medical, psychiatric, nursing or other State-Licensed Facility, or a State Hospital, County Hospital, Hospital operated by Regents of the University of California, a United States Government hospital, or other non Medi-Cal Facility approved by the State Department of Mental Health. If a Conservatee is not to be placed in his/her own home, or the home of a relative, the first priority shall be to place in a suitable Facility as close to his/her home or the home of a relative.

Suitable Facility means the least restrictive residential placement available and necessary to achieve the purposes of treatment. All placements should be coordinated with the assistance of the Continuing Care Agencies and Older Adults Case Management.

PROCEDURE: A. Receives telephone call or placement referral from Continuing Community Care Worker or Facility indicating a new placement is needed.

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1. If telephone call is received from Facility, the Deputy Public Guardian shall notify the Continuing Care Worker to evaluate the Conservatee and locate a new placement.

2. If copy of placement referral from Facility is received, the Deputy Public Guardian shall conduct the Continuing Community Care Worker and forward a copy of said referral.

3. Evaluate Conservatee and locate new placement Continuing Community Care Worker shall make arrangements to transport personal belongings when the Conservatee is moved. Continuing Community Care Worker shall consult with Deputy Public Guardian for approval of placement, verification of income and method of payment, i.e., Life Support, MediCal or Private Pay. 4. Verify income and advise Continuing Community Care Worker the method of payment. The Deputy Public Guardian should be assured that placement is appropriate for Conservatee and is the closest available Facility to his/her home. a. If SSI and/or Medi-Cal Benefits are needed, the Deputy Public Guardian must apply for benefits ASAP and if necessary, request a Protective filing date. Typist Clerk II (Benefit Clerk) may also do this Upon instructions from the Deputy Public Guardian. b. If placement is obtained by Case Manager, the Deputy Public Guardian shall request the placement agreement be sent to the Deputy Public Guardian for their signature. c. Upon receipt of signed placement form, the form is to be sent to the Case Manager and a copy placed in the case file.

5. If an LPS Conservatee is transferred to a higher level of care from a lower Level of care, i.e., Board and Care Facility to Skilled Nursing Facility, or Skilled Nursing Facility to State Hospital, the Deputy Public Guardian must complete and submit to the Typist Clerk II, noting new address, a Notice of Change of Placement - LPS.

a. If placement is Board and Care and the Deputy Public Guardian wishes payment to be automatic pay, the Deputy Public Guardian shall submit a copy of the agreement to the assigned Account Clerk. b. Attach to Change of Status.

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6. Complete Change of Status and indicate distribution to appropriate agency.

7. Xerox copies of Change of Status form and distribute to appropriate agency.

8. The Typist Clerk II should type Notice of Change of Placement - LPS and return to the Deputy Public Guardian for their review and signature.

9.

Review the Notice of Change of Placement - LPS. If it is accurate, the Deputy Public Guardian shall sign the form and return it to the Typist Clerk II.

10. Xerox copy of Notice of Change of Placement - LPS, for Attorney for Conservator, Attorney for Conservatee, if appropriate, and the Deputy Public Guardian file. The Typist Clerk II shall forward original copy to Attorney for Conservator for filing with the Court.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

121

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

315

SUBJECT:

REAPPOINTMENT PROCESS

REFERENCES:

None

FORMS:

Notice of Termination Declaration for Reappointment Petition for Reappointment W & I Conservatorship memo

EFFECTIVE DATE:

July 1, 1988

REVIEWED DATE:

August 25, 2021

POLICY: At least ninety (90) days before the termination of the Conservatorship, the assigned Deputy Public Guardian shall take adequate steps to have a client re­ evaluated to determine if the Conservatorship should be renewed.

PROCEDURE: A. Three (3) months before the termination of a conservatorship, the

assigned Deputy Public Guardian shall contact the conservatee to determine who should be given notice of any reappointment or accounting petitions.

B. The assigned Deputy Public Guardian receives a W&I Conservatorship

Memo from Superior Court. This memo is sent ninety (90) days before the automatic termination of the conservatorship. This serves as a notice to the conservator that the conservatorship will terminate unless a petition for reappointment is filed. The assigned Deputy Public Guardian may also review the reappointment due date report (on the CompuTrust system) to determine the cases requiring re-evaluations. The Deputy Public Guardian completes a request for re­ evaluation and submits it to the Supervising Deputy Public Guardian.

C. Upon receipt of the memo, the Supervising Deputy Public Guardian

assigns a psychiatrist to evaluate the client for reappointment purposes.

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The assignment is written on the memo given to the assigned Typist Clerk II. D. The Typist Clerk receives the memo from the Supervising Deputy Public

Guardian, requesting the current address of the conservatee. Upon receiving this notice the Typist Clerk II shall type in the correct address and type in the name and address of any person the conservatee wishes to be noticed on the reappointment petition. This notice is then returned to the Court. The Typist Clerk II shall return a copy of the notice to the Deputy Public Guardian.

E. Upon receiving the memo from the Supervising Deputy Public Guardian,

the Typist Clerk prepares the following packet which is to be given to the assigned Doctor.

1. Current address and telephone number of the conservatee.

2. CCC quarterly reports, if available, for the last two (2) quarters.

This report should be legible.

3. Latest Doctor Evaluation if the current Doctor is not the same Doctor who performed the last evaluation.

4. Any new discharge summaries, if available.

5. Notice to the facility indicating the Doctor's appointment.

6. If this evaluation is the first reappointment evaluation, the conservatorship investigation and Riverside University Health System – Medical Center’s report should be included.

7. Request to review the medical condition of the client for the doctor to determine if the conservator requires special medical powers.

8. Deadline as to when doctor’s report is due. This date is (45) days before the automatic termination of the conservatorship.

9. A copy of the notice of termination is to be given to the Account II the purpose is to verify the termination date against the account due date report.

F. The assigned Doctor evaluates the conservatee and must determine:

1. Necessity of establishing a conservatorship.

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2. Disabilities which should be imposed upon the conservatee.

3. Medical powers which should be granted to the Conservator.

4. The Doctor should be able to make the determination based upon psychiatric evaluation, review of the medical records and consultation, if necessary with the assigned Deputy Public Guardian of CCC worker.

G. Report shall contain a recommendation which may include:

1. Continuation of conservatorship.

2. Termination of the conservatorship.

H. CIO will log in the name of the client who is the subject of the report and

date the report was returned. The report will be photocopied. Three (3) copies will be made. One copy for the Doctor performing the evaluation, second copy for CIO and third copy for the assigned Deputy Public Guardian. The original report is to be sent to the attorney for the conservator for filing. In the event the attorney for the Conservator is not County Counsel for Riverside, the CIO will be notified.

I. Thirty (30) days before the automatic termination of a conservatorship,

the Supervising Deputy Public Guardian shall print a Reappointment Due Date Report. The Supervising Deputy Public Guardian shall consult with either CIO, County Counsel, or Deputy Public Guardian to determine if all re-evaluations are completed and filed (30) days before the automatic termination. If any evaluations were overlooked, every effort shall be made to promptly request a psychiatric evaluation. County Counsel should be notified immediately so that they may petition for reappointment and ratification before the automatic termination. The report is to be filed at a later date.

J. The Doctors re-evaluation report will either request continuation of the

conservatorship or termination based upon the clients condition or an alternative mechanism exists which would preclude the re-establishment of the conservatorship.

1. If conservatorship is recommended the attorney for the conservator will petition for the reappointment of the conservatorship.

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2. If conservatorship is to terminate the attorney will file the report and allow the conservatorship to automatically terminate by operation of law.

K. If the Doctor recommends termination of the conservatorship, the

assigned Deputy would follow one of the following procedures:

1. If termination occurs because of the recovery of the client, the assigned Deputy shall follow procedure #390.

2. If termination occurred because the client was appropriate for a conservatorship was established under the provisions of the Probate Code, the assigned Deputy Public Guardian shall write a report to the Supervising Deputy Public Guardian indicating the necessity of establishing a conservatorship of the person and estate. Portions of policy number 300.2 should be followed.

3. If termination is recommended because a family member is willing to assume responsibility, the assigned Deputy Public Guardian should meet with the proposed conservator to discuss the duties and responsibilities of a conservator. The LPS handbook for private conservators should be given to the conservator. Deputy Public Guardian shall also secure the consent to act from the proposed conservator. The original consent should be filed with the Court.

Upon the successful appointment of the successor conservator, the assigned Deputy Public Guardian shall initiate termination procedure 390.

4. If termination of the conservatorship occurs because the client is to be placed on any representative payee program, the assigned deputy will send a memo to the assigned CCC worker asking the client be evaluated for admission to the mental health representative payee program. CCC worker is to be instructed to report back if the client is placed on the program. If the client is placed on the program, pre-pare final accounting and continue with termination from conservatorship. In the event the client is not being considered for the program, call the evaluating doctor advising them the client is not being considered for the program and reasons thereof. This would allow the doctor to consider reappointment evaluation.

L. The assigned Deputy will receive a filed petition for reappointment. The

hearing date should be noted. If transportation needs to be arranged, the Supervising Deputy Public Guardian should be consulted.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

318

SUBJECT:

TRIALS ON LPS CONSERVATEES

REFERENCES:

None

FORMS:

Letter of Doctor's Notice of Re-Evaluation Appointment; Master Calendar

EFFECTIVE DATE:

July 12, 1988

REVIEWED DATE:

August 25, 2021

POLICY: At any time, the conservatee, on the initial appointment or reappointment, may petition the Superior Court for a rehearing as to his/her status of the conservatorship. However, after the filing of the first petition for hearing, no further petition for rehearing shall be submitted for a period of six months.

The conservatee may also request a trial on the issue of placement.

PROCEDURE: A. Upon receipt of Petition for Rehearing, Petition for Placement, or Mental

Health Court Calendar-Petitions for Reappointment, the Deputy Public Guardian shall review and log on the Master Calendar, name, date and time of all trials and/or placement hearings.

1. The Deputy Public Guardian shall make a written request for doctor's assignment from the Supervising Deputy Public Guardian for all trials; which would also include a request for an Order for Transportation.

2. Memo must outline name of conservatee, date and time of hearing, type of trial name and date of the last doctor's evaluation.

B. Review the memo to insure the information is on the Master Calendar.

1. Upon receipt of the memo, the Supervising Deputy Public Guardian will assign a doctor to evaluate the conservatee. This

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same doctor shall also testify at the hearing. Assignment will be based upon location or prior evaluation of the client.

2. The Supervising Deputy Public Guardian will instruct the assigned Typist Clerk II to prepare the Order for Transportation to assure the client is present at his/her court trial.

C. Type Letter of Doctor's Notice of Evaluation Appointment, noting name of

conservatee, date and time of trial, type of trial and the name of the doctor who will evaluate the conservatee for trial. The letter will also indicate when the report is to be returned to the Public Guardian's Office. This is calculated five days before trial date. If the doctor has not seen the client, the Typist Clerk II will provide the following: 1. If the doctor has never seen the client, a copy of the last psychiatric evaluation and Conservatorship Investigation Report should be attached.

2. If the doctor has seen the client, the doctor should have this information in his own file.

3. The letter notifying a facility of the impending evaluation should be sent to the facility where the conservatee is residing. The Typist Clerk II should make four (4) copies. One copy goes to County Counsel, one copy for the CCC Office, one copy for the Deputy Public Guardian's file, and the last copy for the doctor is attached to any psychosocial history, Conservatorship Investigation Report and CCC Quarterly Reports covering the last year only, if appropriate.

D. Evaluate conservatee and prepare a written report. If there is insufficient

time to prepare a written report, the doctor will testify from his notes on date of trial and submit written report at a later date.

E. Receives doctor's report and enters into Log Book showing date, time and

type of trial and date to County Counsel. Xerox three (3) copies: original and one copy are sent to County Counsel; one copy for the CCC Office and one copy for Deputy Public Guardian's case file.

F. Review doctor's report. Contact doctor and discuss if there are any

questions or concerns.

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G. The assigned Deputy Public Guardian should contact County Counsel to

discuss the doctor's report and determine whether to proceed with the trial.

H. The Deputy Public Guardian must appear at the trial, particularly if

there is an outstanding issue.

I. Reviews Mental Health Calendar for Order for Transportation two (2)

days before trial to insure the Order for Transportation has been completed and there are not problems.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

320

SUBJECT:

REVIEWING AN ACCOUNTING AND PREPARATION OF THE ADDENDUM/REPORT OF CONSERVATOR

REFERENCES:

None

FORMS:

Addendum, Report of Conservator; Cover Transmittal Sheet to County Counsel and Court Accounting

EFFECTIVE DATE:

August 19, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The Deputy Public Guardian must complete a Report of Conservator for all accountings when unusual items appearing within that accounting are in need of explanations and/or additional information is required by the Court.

Riverside County Superior Court Probate Policy Memoranda Local Rule 6.1205 states: (A) Interim Accounts-First Annual. The First Annual accounting shall be filed and set for hearing on the review dates set at the time of the granting the petition for conservatorship. Failure to file the required accounting in sufficient time for hearing on the date fixed for review shall be grounds for imposition of sanctions, (C) Other Accounts. If the conservator receives money or property from the Veterans Administration on behalf of the conservatee, accounts must be filed annually unless VA is notified of accounting to coincide with review data. Probate Code Sections 2620 and 2628 must be followed. If Probate Code Section 2628 is applicable, the conservator should petition the Court for an Order dispensing with accounts. (E) Conservatee's Address. The conservatee's current residence address should be set forth in each report or account filed; and (F) Annual and biennial accountings shall be filed in sufficient time prior to the review date that the same can be calendared by the Clerk either on the review date or prior thereto.

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PROCEDURE: A. The Deputy Public Guardian receives original and one copy of

Current/Final Accounting from the Supervising Deputy Public Guardian.

All accountings must be reviewed and a Report of Conservator completed, if necessary, within two (2) weeks.

B. When reviewing accounting, particular attention should be made to the

following items:

1. Check accounting period against prior accounting or date of appointment on Letters of Conservatorship.

2. Check for reservations of jurisdiction on problems from prior settled accounting. a. Supplemental Security Income - A representative payee receiving benefits on behalf of a beneficiary may be liable for repayment of any overpayment received. The beneficiary is liable for repayment if he or she received the benefit of monies. Representative payee is personally liable if he or she either was at fault in creating the overpayment or did not apply the monies for the beneficiary's use and benefit b. Social Security Retirement & Disability - If the overpaid beneficiary is deceased, the estate is liable for repayment. The legal representative may be asked to make refund or benefits due the estate may be withheld. Also, the distribute of the estate may be required to refund an overpaid amount to the extent of funds received from the estate.

3. Overpayments or Underpayments. a. If there is an overpayment, indicate on Addendum Report of Conservator the time period and full amount of overpayment.

If payment has been made, indicate amount and date of payment. b. If there is an underpayment, indicate on Addendum Report of Conservator, time period and full amount of underpayment. c. State whether conservatee is eligible or ineligible for benefit and what action has been taken to obtain payments.

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4. Check for Renters Assistance, Renters Credit, or any other current tax refunds. Description must show tax year for which refund is received.

5. Review Dividends. Review the number of shares the client has against Standard/Poor Report to insure client has received all the dividends.

C. Disbursement - Schedule C

1. Facility payments for each month should be checked to insure no payments are missing. If any payments are missed, that month must be addressed in the Addendum of Report of Conservator. a. The Deputy Public Guardian should check the last facility payment on the prior settled accounting. b. Particular attention should be made to any changes from Share of Cost to Private Pay or vice versa.

2. Review Personal Needs Allotment. a. Deputy Public Guardian should inquire whether conservatee is in need of clothing, shoes, or other personal items. If so, indicate on Report of Conservator the amount that will be sent to the facility. b. Deputy Public Guardian should contact facility and obtain patient trust account balance for use to determine if fees should be requested.

3. Tax preparation payments. Description should include tax year.

Review Schedule A to insure a tax refund was received. If not received, indicate reason on Addendum Report of Conservator.

4. Payment of fees from prior account. If not paid, indicate reason for non-payment on Addendum Report of Conservator.

5. Utility and telephone bills. Description should include service dates and addresses.

6. Real Property Taxes. Description should include parcel number and year for which the tax is paid.

7. Medical bills, i.e. drug charges, doctor's payments.

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a. Determine any duplication of payments. If so, indicate on Addendum Report of Conservator and request any refunds. b. Determine any possible medical insurance reimbursements.

If so, indicate on Addendum Report of Conservator.

8. Unusual payments. Explain thoroughly on Addendum Report of Conservator.

D. Gain/Loss on Sales - Schedule B

1. Review your files for any sales.

2. Check items listed to be certain it is correctly listed and identified. a. Addition - new property not previously marshaled or controlled; such as inheritances or gifts. b. Conversion - Conversion equals disbursement of money for tangible property; i.e., chairs, televisions, or typewriter, that now reflect on Property on Hand as a separate item when it was previously reflected as part of cash on hand.

3. Check for mutual fund reinvestments and stock splits.

E. Property on Hand - Schedule E

1. Check with prior account or Inventory and Appraisement to be certain assets have not been omitted from the Property on Hand Schedule.

2. Complete cover sheet to County Counsel, showing request for fees and other pertinent information.

F. Fees. The Addendum Report of Conservator should show the fee request;

method of computation, special report specifying management time, and administrative time must be submitted.

G. Submit the completed accountings to the Supervising Deputy Public

Guardian for review and approval. The following information should be attached to the accounting: Cover sheet to County Counsel, Report of Conservator, Court Accounting and File of Conservatee.

H. Reviews First Account Current Accountings and Final Accountings only.

All accounting of probationary employees must be reviewed. Review cover

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sheet to County Counsel, Report of Conservator, and accounting which includes: Summary of Account, Receipts, Disbursements, Gain/Loss on Sales, Reductions/ Additions to Inventory and Property on Hand.

1. If Conservatee is deceased, insure Deputy Public Guardian has returned any benefits for which the estate is not entitled.

2. Review fee request to insure adherence to fee policy.

3. Review accounting due dates to insure the accounting is filed with the time limits set by the Riverside County Superior Courts.

4. If accounting is approved, forward to Typist Clerk II for typing. If accounting is not approved, return to Deputy Public Guardian for corrections.

I. Types Cover Sheet to County Counsel and Addendum Report to

Conservator and returns to Deputy Public Guardian for review and signature.

J. Reviews, signs, and returns to Typist Clerk II. K. The Typist Clerk II shall Xerox two copies of the Court Accounting,

distribute original cover sheet, Addendum Report of Conservator and Court Accounting to County Counsel; copy for Deputy Public Guardian's file and copy of the Cover Sheet and Report of Conservator only is to be given to the Accounting Section.

L. Logs the completed accounting in the accounting log, indicating date the

accounting was sent to County Counsel.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

135

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

321

SUBJECT:

COURT ACCOUNTING WAIVER

REFERENCES:

None

FORMS:

Accounting Transmittal Form DOMH-PG 403.2; Wavier of Accounting Memo; Petition for order that Conservator not Prepare Accounting

EFFECTIVE DATE:

June 13, 1988

REVIEWED DATE:

August 25, 2021

POLICY: A. The Deputy Public Guardian may request the filing of a "Petition for

Order that Conservator Need Not Present Accounting" when the following requirements are met:

B. The estate at the beginning and end of the accounting period for which

an accounting is otherwise required consisted of property, exclusive of the residence of the conservatee, of a total net value of less than fifteen­ thousand ($15,000.00) dollars, and C. The income of the estate for each month of the accounting period,

exclusive of public benefit payments were less than two thousand ($2,000.00) dollars, and D. All income of the estate during the accounting period, if not retained, was

spent for the benefit of the conservatee.

PROCEDURE: E. The accounting staff will initially review an accounting to determine if the

accounting can be waived. If it can, the Accountant shall prepare a memo directed to the Deputy requesting a Waiver of the accounting. This memo along with trail balance reports (28 and 38) are to be given to the

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Supervising Deputy Public Guardian requesting the Deputy Public Guardian to evaluate the possibility of waiving the current accounting.

F. Review printouts (28 and 38) to determine whether estate meets legal

requirements for waiving the accounting. If standards are met, Supervising Deputy Public Guardian will, within two days, deliver the printouts to the assigned Deputy Public Guardian to also evaluate the possibility of waiving the current accounting by the court.

G. Reviews trial balance printouts (28 and 38) to determine if the

accounting is within the legal requirements. Determine if a full accounting is to be prepared or if accounting should be waived. If a full accounting is requested, the assigned Deputy Public Guardian must notify the Supervising Deputy Public Guardian within two (2) days by memo, so that adequate notice is given to the accounting section.

H. If a waiver is requested, the assigned Deputy Public Guardian must

notify the Supervising Deputy Public Guardian within two (2) days, by memo, that a Petition for Order that Conservator Need Not Present Accounting will be prepared. A waiver for accounting should not be requested when there is a reservation from a prior accounting or a surcharge imposed upon the conservator.

I. The Supervising Deputy Public Guardian, will advise the Accountant if

the accounting is to either waived or completed. This information should be completed by memo within two (2) days of receiving the information from the Deputy Public Guardian.

J. The assigned Deputy Public Guardian shall complete a Petition for an

Order that Conservator Need Not Present Accounting. Completed draft is to be sent to the Typist Clerk II for typing.

K. Types the Petition. Also will type the Accounting Transmittal Memo.

Once completed, it is to be returned to the Deputy Public Guardian for review and signature.

L. Review Accounting Transmittal Form, and Petition for Order that

Conservator Need Not Present Accounting to ensure it is free from any typographical errors. If accurate, sign and return to Typist Clerk II.

M. Duplicate two (2) copies of the Accounting Transmittal

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N. Memo and Petition for Order that Conservator Need Not Present

Accounting. Send original to County Counsel; one (1) copy to the accounting section and one (1) copy to the assigned Deputy Public Guardian for the case file.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

138

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

324

SUBJECT:

MIA MEDI-CAL

REFERENCES:

None

FORMS:

Application for MIA (fast track form)

EFFECTIVE DATE:

August 18, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Whenever a client is not eligible for Medi-Cal, is indigent but is not disabled, the assigned Deputy Public Guardian shall apply for MIA medical at a contract facility on the first day of medical necessity.

ELIGIBILITY REQUIREMENTS: 1. Applicant must be a County of Riverside resident. The resident must have resided in the County for thirty (30) days and intends to remain in Riverside County.

2. The applicant must between the ages of 21 and 64.

3. The client must be indigent. This is determined by the annual income and property. Client cannot be eligible for either Medi-Cal or Medicare.

4. MIA Medi-Cal coverage begins the first day the application is signed and is only granted on an episodic basis. Applications must be made every subsequent month if needed. The only exceptions are for clients who suffer from chronic disabilities i.e. diabetic conditions etc.; in which case one application may last for 3 months.

5. Illegal aliens are eligible for this program.

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PROCEDURE: A. Whenever a client requires medical care or hospitalization, the assigned

Deputy Public Guardian shall visit a contract facility to complete an MIA Medi-Cal form. This must be accomplished on the day the service is rendered otherwise there is no eligibility.

1. Upon receiving the card, the deputy must have photocopy of the card for the case file. The original card may be given to the patient or responsible party at the facility for submission to the service providers.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

140

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

325

SUBJECT:

INITIAL MEDI-CAL APPLICATION (DPSS PROGRAM)

REFERENCES:

Medi-Cal Manual

FORMS:

CA 1, DPSS 640; MC 210; MC 213 (Retro-Coverage); MC 216; MC 217, MC 223 and 3 MC 220 (Disability Packet, if necessary.) Request for Medi-Cal Application DOMH-PG 3, Medi-Cal Log DOMH-PG 326, Report of Denial of Medi-Cal DOMH-PG 327

EFFECTIVE DATE:

February 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Initial application for Medi-Cal shall be completed in a timely manner for all persons eligible to receive such benefits.

ELIGIBILITY CRITERIA: (BASIC) 1. Person must be under twenty-one (21) years of age, sixty-five (65) years of age or older and/ or disabled. A person must be receiving social security disability or old age pension. (For indigent persons, applications must be made through the MIA Program currently administered by DPSS staff at Riverside University Health System – Medical Center.

2. Cash assets are less than the SSI rate (example: $2,000.00 for 1988.)

3. $6,000.00 exemption on real and personal property. This may include the value of a deed of trust, mobile home if registered through Department of Motor Vehicles, vacant land or real property. a. If the client is able to return home, the real property may be exempt. b. A person may be eligible for Medi-Cal benefits while the property is in the process of being sold.

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c. This exemption is limited to one residence. If there are additional residences or vacant land, the second parcel of land may be subject to property limitation.

PROCEDURE: A. Upon receipt of the case file, the assigned Deputy Public Guardian shall review the case to determine if the client is eligible for Medi-Cal coverage.

If eligibility exists, immediate steps should be undertaken to apply for benefits.

B. Continuing conservatorship cases should be reviewed on a monthly basis through the Account Balance Report to determine when a client becomes eligible for Medi-Cal benefits.

C. Deputy Public Guardian shall request the Benefits Clerk (Typist Clerk II) to apply for Medi-Cal benefits within five days after the case is reviewed.

1. Deputy shall complete a Request for Medi-Cal Application. All pertinent information should be in the case file.

D. Benefits Clerk shall apply for Medi-Cal within the month requested. An application shall be completed within five days of receipt of said request.

(In the event of illness or vacation a second person shall be named as benefits back-up clerk).

1. Benefits Clerk shall be responsible for maintaining a log of all applications completed.

2. On or about the twentieth (20th) of each month, the assigned Benefits Clerk shall forward a copy of the log to the assigned Supervising Deputy Public Guardian.

3. In the event insufficient information prohibits the processing of the Medi-Cal application, the Benefits Clerk shall forward a memo to the assigned Deputy requesting the information.

4. At the end of the month, the Benefits Clerk shall prepare a monthly report of all Medi-Cal applications prepared and the disposition of said applications. This report should indicate if the application is pending, approved or denied. After the application is approved, the case may be omitted from the next report.

E. Benefits Clerk is to prepare the application for the Deputy's signature.

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F. The assigned Deputy Public Guardian is to review the application for accuracy. If the application is correct, it is to be signed and returned to the Benefits Clerk for submission to the Medi-Cal Office.

G. The Notice of Action will request additional information, approve the Medi-Cal application or deny Medi-Cal coverage.

1. If additional information is requested, the assigned Deputy Public Guardian is responsible for obtaining and sending the requested information within ten (10) working days.

2. If Medi-Cal is approved, the following actions should be taken: a. Notice of Action (carbon copy) is to be sent to the facility where the conservatee resides. b. The original Notice is to be placed in the Deputy's file. c. Memo should be sent to the Benefits Clerk advising of the Medi-Cal approval for the log records. d. If the Notice of Action indicates an amount identified as a share-of-cost, the assigned Deputy should authorize payment of that amount and prepare a status change to establish automatic payments to the facility.

3. If the Medi-Cal application is denied, the following actions should be taken: a. Review the reasons for denial. If it appears the denial was incorrect, initiate an Appeal. If there are any questions, consultation with the Supervising Deputy Public Guardian is advisable. b. Send memo to the Benefits Clerk advising of the disposition of the application. This information should be included in the monthly report. c. The Notice of Action (carbon copy) should be sent to the appropriate facility with a letter explaining our position or proposed action.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

144

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

326

SUBJECT:

CONTINUING MEDI-CAL ELIGIBILITY

REFERENCES:

Medi-Cal Manual

FORMS:

Notice to Medi-Cal DOMH-PG 328

EFFECTIVE DATE:

February 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Once eligibility is ascertained, Public Guardian staff will continue to monitor eligibility requirements and complete periodic re-determination forms to insure continued benefit coverage.

PROCEDURE: A. Upon receiving a new case file, the assigned Deputy Public Guardian should ascertain if the conservatee is currently receiving Medi-Cal benefits from a County DPSS Medi-Cal Program. If so, the assigned Deputy is responsible for contacting the appropriate Medi-Cal Office and insuring a proper change of address has taken place.

1. The DPSS Medi-Cal Office will periodically request re­determination

form be completed to insure the conservatee continues to remain eligible for Medi-Cal benefits. Upon receipt of the re-determination, the assigned Deputy should make every effort to complete and return the re-determination within the required ten (10) days. Failure to complete the re-determination may result in denial of continued benefits.

B. Clerical Assistant shall be responsible for duplicating the completed redetermination and mailing it out to the appropriate Medi-Cal Office.

1. The Receptionist (Typist Clerk II) shall be responsible for receiving and mailing out all Medi-Cal cards. Upon receipt of the cards the responsible person shall duplicate one (1) copy for the master file.

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Each Medi-Cal card is to be logged into the Master Medi-Cal Log. The Medi-Cal card is to be mailed to the facility within five (5) working days. The duplicated copy is to remain in the master Medi-Cal file.

2. The designated clerk is to prepare a monthly report listing all MediCal cards not received for that month. The report shall specify the case name, missing month, and assigned Deputy. The report shall be prepared around the twentieth (20th) of each month and given to the Supervising Deputy Public Guardian with a copy to the Mental Health Services Administrator. The Supervising Deputy Public Guardian shall monitor the cards and if the cards are late, confer with the assigned Deputy Public Guardian to determine the reasons for the delay.

3. In the event cards do not arrive within three months, the Supervising Deputy Public Guardian shall advise, by memo, the case names and problems to the Mental Health Services Administrator.

4. All retroactive cards, once duplicated by the receptionist, shall be given to the assigned Deputy Public Guardian. The Deputy is responsible for directing said cards to the appropriate creditors.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

146

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

327

SUBJECT:

MEDICARE

REFERENCES:

Medicare Handbook

FORMS:

Request for Medicare Payment

EFFECTIVE DATE:

June 13, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Every effort shall be made to provide Medicare coverage to individuals as soon as they become eligible for benefits. Once a person has Medicare coverage, this insurance will be used to pay for Medicare covered expenses. The assigned Deputy Public Guardian may either request the service provider to bill Medicare or bill Medicare directly for the services. In either case, the assigned Deputy Public Guardian should monitor their clients' medical bills to insure Medicare payment is received.

DEFINITION: Medicare is a Federal Health Insurance program for people 65 or older and certain disabled persons. Medicare has two parts - hospital insurance and medical insurance. Hospital insurance can help pay for inpatient hospital care, inpatient care in a skilled nursing facility, (maximum is 60 days for rehabilitative purposes only), home health care and hospice care. Medical insurance can help pay for medically necessary doctor's services, outpatient hospital services, and a number of other medical services and supplies that are not covered by the hospital insurance part of Medicare.

PROCEDURE: A. The Supervising Deputy Public Guardian shall distribute copies of the Medicare handbook during the training phase for persons becoming DPG's. Copies are available through Social Security Administration.

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B. The Deputy Public Guardian shall be responsible for reading the handbook to understand the eligibility requirements and covered Medicare expenses.

1. Upon reviewing medical bills, the assigned DPG shall determine if Medicare insurance reimbursements me to be requested. The deputy may ask the provider to bill Medicare directly and accept assignment of the benefits. If the provider is willing to accept the assignment, the amount paid by Medicare is payment in full for services rendered.

2. In the event the provider refuses to accept assignment, the assigned DPG should first review the financial status of the conservatee to determine if there are sufficient funds to pay privately. a. If there are sufficient funds to pay privately, pay the bill, and instruct the Typist Clerk II to prepare a request for payment. TC II should process this request within 5 days of receipt. b. If there are insufficient funds to pay privately, the assigned DPG shall contact the provider and so advise. Direct the TC II to provide a Medicare request for payment.

1. Upon receipt of the Medicare payment, the assigned receipt account clerk shall forward a copy of the explanation of benefits to the assigned DPG. 2. The DPG shall determine the amount of the Medicare benefit paid to the estate and forward said payment to the provider. If appropriate, the payment shall be accompanied by a letter indicating the estate can only afford to pay the amount allowed

by Medicare.

3. In the event the client does not have Medicare insurance upon the establishment of the conservatorship, however may become eligible, the assigned DPG shall monitor the case and apply for benefits as soon as the client becomes eligible.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

149

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

328

SUBJECT:

SOCIAL SECURITY BENEFITS

REFERENCES:

Social Security Handbook 100 Series

FORMS:

Social Security Application; Application to become Representative Payee

EFFECTIVE DATE:

July 12, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Upon receiving a new case, the assigned Deputy Public Guardian shall review the employment history of the client, or his/her age to determine if the client is eligible for Social Security old age or disability benefits.

GENERAL GUIDELINES A. The Social Security Act provides for a number of programs which have the basic objective of providing for the material needs of individuals, protecting aged and disabled person against the expenses of illnesses that could otherwise exhaust their savings. These programs include: Retirement insurance, Survivors insurance, Disability insurance, Hospital and medical insurance for the aged, the disabled, and those with end-stage renal disease.

B. Monthly Social Security benefits can be paid to: 1. A disabled insured worker under the age of 65.

2. A retired insured worker at the age of 62 or over.

3. A spouse of a retired or disabled worker entitled to benefits who: a. Under age 18; or b. Age 18 or over, but under a disability which began before age 22.

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4. The surviving spouse (including a surviving divorced spouse) of a deceased insured worker if the widow(er) is age 60 or over.

5. The disabled surviving spouse (including a surviving divorced spouse in some cases) of a deceased insured worker I the widow(er) is age 5059 and becomes disabled within 7 years after the last month the widow(er) was previously entitled to benefits on the worker's earning records.

6. The surviving spouse (including a surviving divorced spouse) of a deceased insured worker, regardless of age, if caring for an entitled child (under age 16 of disabled) of the deceased.

7. The dependent parents of a deceased insured worker at age 62 or over.

PROCEDURE: A. The Deputy Public Guardian upon receiving a new case, the assigned DPS shall review the case to determine if the conservatee is eligible for Social Security Benefits. This would also include obtaining social security numbers for the insure worker. If the conservatee is entitled, the assigned DPG shall apply for the benefits. This is accomplished by preparing a written request to the assigned TC II (benefits clerk). The request should be accompanied by a certified birth certificate, certified married certificate, if appropriate and ledgers.

B. The typist Clerk II Upon written instruction, the assigned TC II shall contact Social Security Administration to apply for benefits. This may require setting up an appointment and meeting with a claims representative to apply for benefits. Upon completion of the application, the file and decision shall be redirected to the assigned DPG.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

152

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

329

SUBJECT:

SUPPLEMENTAL SECURITY INCOME

REFERENCES:

Social Security Handbook

FORMS:

SSA - 11 BK, Change of Address; SSI Application

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Once a conservatorship estate is under the control of the Public Guardian, every effort shall be done to apply for any SSI benefits the conservatee may be eligible and maintain said benefits.

ELIGIBILITY REQUIRMENTS (BASIC): 1. In order to be eligible for SSI benefits, the conservatee should have a medical condition either physical or mental which has or may continue to exist for at least 12 months rendering the claimant unable to work.

2. A person's assets must be less than the accepted SSI rate ($2,000.00). Any real property or personal property in excess of that amount, may render the person ineligible for benefits. Homes may be excluded if the conservatee resides in his own home.

3. Conservatee must be a U.S. citizen or a naturalized citizen to be eligible for benefits. Legal resident aliens may, under some circumstances, be eligible for benefits.

PROCEDURE: A. Upon receiving the case file, the assigned Deputy Public Guardian shall read the investigation report to determine if the client is currently receiving SSI benefits. If so, deputy should determine where the checks are being sent and re-direct said checks to the office of the Public Guardian.

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B. In the event SSI checks are being paid to the conservatee, the assigned deputy public guardian shall direct his clerical assistant to prepare a Request to be selected as Payee. This application should be sent to the local Social Security office.

C. If a client is not receiving SSI benefits, the assigned deputy public guardian is responsible for applying for benefits. A request for a SSI application should be sent to the benefits clerk as soon as it is determined a person needs SSI benefits. A protective filing date should be called in either by the benefits clerk or the assigned deputy.

Deputy is responsible for insuring all necessary documents are located within the file.

D. Social Security Administration will either approve the application for SSI or deny said request. In the even the application is approved SSI benefits will be forthcoming. In the event SSI benefits are denied, the deputy should review the reasons for denial to determine if an appeal should be filed. If further consultation is required the deputy should meet with their immediate supervisor.

E. Social Security Administration will also advise the Public Guardian when they are appointed the representative payee for the conservatee.

In the event the application is denied, the assigned deputy should immediately request an appeal.

F. The assigned deputy should notify Social Security Administration of any change of income, living arrangements, termination of conservatorship or death of the client. Failure to do so may result in an overpayment to the estate. The notification should be completed on forms supplied by the Social Security Administration.

G. In the event the conservatorship estate is overpaid SSI benefits, the assigned DPG shall review the overpayment worksheet and verify if the calculation is correct. If sufficient monies exist in the estate, the overpayment shall be made. If not, Social Security Administration should be contacted to work out a repayment schedule.

H. Periodically, Social Security Administration will send out SSI redetermination to establish continued SSI eligibility. The assigned deputy public guardian is responsible for completing the forms in a timely basis.

I. Social Security Administration also sends out representative payee forms which is an accounting of all monies received by the beneficiary during a particular time period. The payee report should either be

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completed by the assigned deputy or a trial balance report should be attached.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

329.5

SUBJECT:

BURIAL TRUSTS

REFERENCES:

None

FORMS:

Request for Burial Trust (DOMH-P/G 329.5); Trial Balance Report

EFFECTIVE DATE:

June 17, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The Public Guardian shall review each case periodically to determine if the estate requires a burial trust. Their revocable burial trust shall be established for clients based upon age, assets or the best interest of the client.

Clients are allowed to have irrevocable burial trusts to a maximum allowed amount and retain eligibility for Medi-Cal benefits.

PROCEDURE: A. The assigned Deputy Public Guardian shall obtain and review appropriate account balance report to determine if an irrevocable burial trust should be established. Included in the determination is a review of the status of bills to insure there are no outstanding debts.

1. If the assigned DPG determines an irrevocable burial trust need not be established, a Request for Burial Trust must be completed and submitted to County Counsel for processing.

B. The assigned Clerical Assistant is to type the request and sent it to County Counsel.

C. The Deputy Public Guardian reviews the Court calendar to monitor the granting of the Burial Trust Petition.

1. Upon the granting of the petition and receipt of the Order Authorizing the Public Guardian to establish an Irrevocable Burial Trust, the

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assigned DPG shall prepare a Request for Payment which will allow the account clerk to open upon a Burial Trust with the County Treasurer.

D. The Accountant Clerk upon receiving the Request for Payment, a Burial Trust account will be established. Prepare Auditor/ Controller deposit.

The burial account is established once the deposit is made with the investment account.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

330

SUBJECT:

FEES

REFERENCES:

None

FORMS:

Time Sheets DOMH-PG 330

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The Public Guardian shall make every effort to recover the cost of providing services from the conservatorship estate consistent with the amount of services rendered and the ability of the estate to pay for such costs.

PROCEDURE: A. Each fiscal year, the Mental Health Services Administrator shall request the Auditor-Controller to determine the yearly cost of providing services for the office of the Public Guardian. Once the new costs are determined, the fee schedule will be readjusted once the Board of Supervisors approves the new rate. Once the new rate is determined, the Mental Health Services Administrator will obtain the Board of Supervisor's approval.

1. The Auditor-Controller has determined the costs of the Public Guardian are a combination of case administration and case management. Case administration is the routine work performed on all conservatorship cases. Case management is the performance of specifically defined tasks.

B. In order to determine billable hours for case management, time records will be maintained. The time sheet should be completed as the service is tendered. Supervising Public Guardian, Public Guardian, Registered Nurse, or Estate Property Technician shall complete the time sheet and submit to the Accountant II at least once a month. The time sheet lists task codes, task description, case name, case number and time spent.

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C. The Accounting Clerk on a monthly basis, the designated account clerk shall process the time sheets. The information should be reviewed to insure the correct task codes and descriptions are used. The information should be entered into the accounting worksheet.

D. At the time the accounting is prepared, the Accounting Technician shall generate an "inform" report on the accounting worksheet. This information is a listing of all management time rendered to the estate by various employees.

1. The Accounting technician shall calculate the total case administration and management fee. The case administration fee is calculated by adding the total moths of administration by fiscal year.

The sum of the total months is multiplied by the case administrative fee to determine a total. The case management fee is calculated by adding the total hours and multiplying the sum by the hourly fee. The fee calculations are to be attached to the prepared Court Accounting.

E. The completed Court Accounting is to be distributed to the Supervising Deputy Public Guardian consistent with Policy No. 123, Preparation of Court Accountings.

F. Deputy Public Guardian is to review the accounting and fee calculation.

The Deputy should determine the fee. The fee shall be the cost of providing service consistent with the ability of the estate to pay.

The schedule of the ability to pay is as follows: $ -0$ 300.00 301.00 1,000.00 1,001.00 1,800.00 1,801.00 2,500.00 2,501.00 +

Waiver of Fees 25% 30% 35% Actual

* The percentage should be used when calculating case administration fees. The case management fee is added to the sum of the case administration fee.

1. The exceptions to the before mentioned table are as follows: a. Request full fee when there may be a potential surcharge. b. Reserve on fees when there is a possibility of collection of the entire fee because of the sale of property or other potential.

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2. Once fees are calculated, the amount should be noted on the accounting transmittal form.

3. The Deputy Public Guardian shall include the Conservatorship Investigation Officer's fee, whenever applicable. The fee should be calculated consistent with the memo from the Temporary conservator specifying the number of service hours and rate.

G. The accounting and transmittal form are to be reviewed by the Supervising Deputy Public Guardian before it is sent to Count Counsel.

H. The assigned Deputy Public Guardian should request County Counsel to petition for periodic fees to cover case administrative fees on any Probate Conservatorship case having funds (exceptions- cases reviewed by Chief Deputy Public Guardian) in excess of $20,000.00. Periodic fees may only be granted after the Inventory and Appraisement is on file with the court.

Case management fees will be requested on an annual basis. Whenever possible on those Probate cases having assets below $20,000.00 every effort should be made to petition for administrative fees on a yearly basis.

1. The assigned Deputy Public Guardian should review the weekly court calendar to determine if the court approved fee request. The approval should be calendared by the Deputy to insure the court orders are received timely. In the event the Order Approving Fees is not received within three weeks, the assigned Deputy should send a request to the attorney of record requesting one. Upon receipt of the Order Approving the Accounting and Granting Fees, the assigned Deputy should immediately process payment.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration 160

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

330.1

SUBJECT:

FILING FEES

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

August 19, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The Deputy Public Guardian shall make a claim against the Conservatee's estate for the filing and processing services of the County Clerk, as the Court in which his/her accounts are settled deems just and reasonable. Filing and processing fees shall be requested, paid or waived by the Court during the First Account Current or First and Final Account.

PROCEDURE: A. Upon review of the First Account Current or First and Final Account, the Deputy Public Guardian shall determine whether the filing fees are paid.

1. Filing fees must be paid before any fee request for Public Guardian, County Counsel, Temporary Conservatee or Conservatee's Attorney.

B. If there is money available to pay the filing fee, the Deputy Public Guardian should request reimbursement as shown on the Petition for Accounting.

1. The Deputy Public Guardian should determine that payment will not interfere with the care and maintenance of the Conservatee.

2. The Deputy Public guardian should determine that all current personal needs are met.

C. If there is insufficient money to pay the filing fee, the Deputy Public Guardian should request the Court to waive reimbursement of filing fees.

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D. If the reimbursement is approved by the Court, the Deputy Public Guardian should complete a request for payment and submit the requisition for payment to the Accounting Section.

E. The Accountant Clerk will process the request for payment and return check to Deputy Public Guardian.

F. The Deputy Public Guardian will forward the check to County Counsel to submit to the Court.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

331

SUBJECT:

LIFE INSURANCE

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Office of the Public Guardian shall make every effort to preserve any life insurance for the benefit of the conservatee. In the event the ongoing expenses of the client prohibit the ongoing payment of the life insurance premium, the assigned deputy shall petition the Court for instruction to cash in the policy or request the beneficiary to continue premium payments.

PROCEDURE: A. The Deputy Public Guardian, after discovery of policy, determine the following: 1. Type: a. Term life insurance b. Whole life c. Credit life 2. If policy is still in force and amount of premium.

3. Cash surrender value of said policy.

4. Determine: a. Beneficiary of policy.

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b. Owner of policy. c. If the insurance is paid up. d. Loans against the insurance policy.

B. If the insurance is term insurance (with no cash surrender value), beneficiary may wish to pay premiums as interest of conservatorship estate in maintaining policy is negligible.

C. If the policy shall remain in force, allow it to lapse or cash in said policy.

1. If the policy remains in force, assigned deputy shall be responsible to insure premiums are paid on a timely basis.

2. If insurance policy is to be cashed in or allowed to lapse, the following consideration should be given prior to taking any action: a. Financial status of estate to continue to pay monthly premiums. b. Cash surrender value if it exceeds Medi-Cal or SSI resource limit.

Beneficiary may be deceased. (May have case whereas the beneficiary is deceased and the conservatee is unable to designate new beneficiary or has no other person they wish to designate as the beneficiary).

D. Request County Counsel to prepare appropriate petition to dispose of life insurance policy.

E. After receipt of Order, complete necessary forms from carrier to surrender policy.

F. With other necessary documentation surrender original policy to company.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

332

SUBJECT:

MEDICAL INSURANCE

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Whenever a client has ongoing medical insurance, the conservator shall make every effort, when sufficient assets remain, to retain medical insurance for the client. Conservator shall be responsible for analyzing the costs of premium against any benefits accrued.

PROCEDURE: A. After discovery of policy, deputy will review policy for coverages and contact agent or company to determine if policy is still in force.

B. If policy is still in force, deputy is to determine if the policy should be kept in force. Guidelines are as follows: 1. Determine policy coverage a. Major medical b. Physician c. Combination d. Psychiatric 2. Determine policy limits, deductible or coverage limits.

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a. Many policies have lifetime coverage limits and how much of this has been exhausted should be determined from the carrier. b. Some policies have major deductible or coverage ceiling which should be considered. c. If the lifetime coverage is almost exhausted; the deductible is excessive; or the ceilings are unrealistic, the maintenance of the policy should be discontinued.

3. Other coverage - Medicare, Medi-Cal, etc.

4. Financial status of conservatorship estate.

C. After determination is made, deputy should document his file as to the decisions and reasons thereof.

D. In the event a medical insurance policy remains in force, deputy is responsible for setting up a system to insure premiums are paid on a quarterly, six (6) month or yearly basis.

E. After marshalling is completed deputy should prepare notice to TC II that premium is due for medical premium.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

333

SUBJECT:

INSURANCES OF REAL AND/OR PERSONAL PROPERTY (MOBILE HOMES)

REFERENCES:

None

FORMS:

Request for Payment and Request for Automatic Pay

EFFECTIVE DATE:

August 19, 1988

REVIEWED DATE:

August 25, 2021

POLICY: All Real and/or Personal Property (Mobile Homes) under the care and maintenance of the Public Guardian shall have insurance coverage. Insurance coverage consists of the following: 1. Coverage A -Dwellings (structures attached to the dwelling).

2. Coverage B – Other structure (structure connected to the dwelling by a fence or utility lines, or separated from the dwelling by clear space.

3. Coverage C - Personal Property (owned or used by Conservatee or members of the family residing in the property at its location.

Vacant lots are not covered. Payments for insurance are made by the Behavioral Health Department. Reimbursements to the Department of Mental Health are to be made each month as shown on the Real Property Report.

Personal property stored in the Public Guardian Warehouse is not covered by the insurance policy.

DEFINITIONS: Property Profile: Insured Amount: Replacement Value:

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Market Value: The price property would command in the market. The highest price a willing buyer would pay and a willing seller accept, both being fully informed, and the property being exposed for a reasonable period of time. The market value may be different from the price a property can actually be sold for at a given time (market price). The market value of an article or piece of property is the price which it might be expected to bring if offered for sale in a fair market; not the price which might be obtained on a sale at public auction or a sale forced by the necessities of the owner, but such a price as would be fixed by negotiation and mutual agreement, after ample time to find a purchaser, as between a vendor who is willing (but not compelled) to sell and a purchaser who desires to buy but is not compelled to take the particular article or piece of property.

Assessed Value Value on each unit of which a prescribed amount must be paid as property taxes. The worth or value of property established by taxing authorities on the basis of which the tax rate is applied. Commonly, however, it does not represent the true market value of the property.

PROCEDURE: A. Upon receiving the case file, the Deputy Public Guardian shall review the investigation report and complete a separate investigation to determine whether property exists. The Deputy Public Guardian should obtain a printout from the Tax Collector's Office.

1. The Deputy Public Guardian shall determine if the property is occupied or unoccupied by inspecting said property consistent with Policy #367.

2. The Deputy Public Guardian shall determine the relationship of anyone residing on the property.

3. If the property is occupied by the competent spouse and/ or sufficient others, the Deputy Public Guardian should discuss with that person whether there is current insurance and how the premium is paid. a. If there is current insurance with a private insurance company, the Deputy Public Guardian should request a copy of the insurance policy.

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b. The Deputy Public Guardian should determine who will take primary responsibility for payment of insurance premiums. c. The Deputy Public Guardian should write a letter to the private insurance company requesting notification of any lapse or cancellation notices.

4. If the property is unoccupied, the Deputy Public Guardian should determine whether to leave the furnishings at the residence; i.e., furnishings attached or made specifically for a mobile home.

5. The Deputy Public Guardian should determine whether the estate can afford to pay for the insurance coverage. a. If the estate cannot afford to pay, the Deputy Public Guardian should request money from the Revolving Fund in order to cover the cost. b. Reimbursement of the cost of coverage is to be paid when the property is sold.

6. If the property is in need of insurance coverage, the Deputy Public Guardian should submit in writing to the Supervising Deputy Public Guardian a request for insurance coverage showing case name, address or property, type of residence, occupied or unoccupied, and value of property (usually noted on property profile or tax printout).

1. The Supervising Deputy Public Guardian shall verify the billing statement against the report and approve the bill accordingly by initialing said statement.

2. The Supervising Deputy Public Guardian will then forward the billing statement to the Mental Health Services Administrator to also approve the bill and forward to Behavioral Health Department Accounting for payment.

3. The Supervising Deputy Public Guardian prepares a second report showing any additions, deletions, and/or corrections, and distribute to all Deputy Public Guardians and the Mental Health Services Administrator, outlining case name, address of property, type of residence, occupied or unoccupied, value of property, cost of monthly insurance premium, and cost of monthly taxes and fees.

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a. Report is prepared when there are changes to report only. If there are no changes, the Supervising Deputy Public Guardian will refer to the prior insurance report. b. The Supervising Deputy Public Guardian will calculate the cost of monthly insurance premium by multiplying .35 by the value of the property with the total divided by 100, equals the monthly premium for unoccupied property; or multiplying .12 by the value of the property with the total divided by 100, equals the monthly premium for occupied property.

B. The Deputy Public Guardian will review insurance report for accuracy.

1. The Deputy Public Guardian must submit to the accounting section a request for automatic payment to reimburse the Behavioral Health Department until termination or death of the Conservatee or sale of the property. a. If the Conservatee is terminated from Conservatorship, insurance coverage must continue until property is distributed to the Conservatee. b. If the Conservatee is deceased, insurance coverage must continue until property is distributed to the Executor of the Estate or the Public Administrator's Office. c. If the property is sold, insurance coverage must continue until escrow is closed.

2. The Deputy Public Guardian should advise in writing to the Supervising Deputy Public Guardian of any property that should be removed from the insurance list.

C. The Supervising Deputy Public Guardian will Review and monitor automatic payment list quarterly to ensure reimbursements are being made to the Behavioral Health Department.

1. The Supervising Deputy Public Guardian prepares a report to the Mental Health Services Administrator outlining the status of all reimbursements.

2. The report is completed quarterly since the budget expenses are affected.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

334

SUBJECT:

COMPROMISING DEBT

FORMS:

Memo to County Counsel

EFFECTIVE DATE:

July 12, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The Deputy Public Guardian shall pay all debts incurred by the conservatee before creation of the conservatorship, debts incurred by the conservatee during the conservatorship to provide for the necessities of life and wage claims for work or services rendered. When there is doubt as to whether a debt should be paid, the Deputy Public Guardian may obtain Court approval by requesting County Counsel to petition the Court for instructions of said debt.

LEGAN GUIDELINES: A. Wage Claims 1. The Deputy Public Guardian shall pay for services rendered for the conservatee within thirty (30) days prior to the date the Petition for Appointment of the conservator was filed. The payment of the wage claim shall not exceed $600.00 to each claimant. If there is insufficient money to pay all the claims, the money available shall be distributed among claimants in proportion to the amount of their respective claims. Court approval is required for payment of claims more than $600.00.

2. After the above payments have been made, the conservator shall pay wage claims for services rendered for the conservatee within ninety (90) days prior to the date the Petition for Appointment of the conservator was filed. These payments shall not exceed 3. $600.00 to each claimant. If there is insufficient money to pay all the claims, the money available shall be distributed among all claimants

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in proportion to the amount of their respective claims. Court approval is required for payment of claims more than $600.00.

B. Real Property a. Court approval is required when the compromise affects the Title to Real Property; an interest in Real Property or a lien or encumbrance on Real Property; or an option to purchase Real Property or an interest in Real Property. b. The above does not apply to an extension, renewal or modification of a lease or Real Property having an unexpired term of two years or less when the rental does not exceed $750.00, or regardless of the amount of rental, the lease is from month to month.

C. Transactions - Unsecured Encumbrances: Court approval is required when the transaction requires the transfer or encumbrance of assets of the estate; or the creation of an unsecured liability of the estate; or the amount if the transaction exceeds $25,000.00.

D. Claim against Conservator: Court approval is required when there is a claim or compromise against the conservator; or an extension, renewal or modification or a debt or obligation in favor of the conservator.

E. Other Claims: Court approval is also required for the compromise of any of the following: a. Claim for the support, maintenance, or education of the conservatee; or a person whom the conservatee is legally obligated to support, maintain, or educate against any other person including, but not limited to, the spouse, parent, or adult child of the conservatee. b. A claim of the conservatee for wrongful death. c. A claim of the conservatee for physical or nonphysical harm to the person.

PROCEDURE: A. Approval is required; the Deputy Public Guardian must first obtain the Court Order before authorizing payment of any bill.

1. If the Deputy Public Guardian receives a bill, and there is insufficient money to pay the bill, the Deputy Public Guardian must calculate how much money the estate can afford to pay. The Deputy Public

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Guardian shall determine the current expenses of the conservatee, add all the debts then prorate the debts by the cash available. Debts are not to be paid to the extent said payment would impair the ability to provide the necessities of life to the conservatee.

2. The Deputy Public Guardian shall make an offer to each claimant on a prorate basis. a. If the offer is accepted and there is no need to obtain prior Court approval, the Deputy Public Guardian may simply pay the compromised amount to each claimant. b. If the offer is rejected by the creditor, the Deputy Public Guardian shall document the case file for future information. Payments should not be made since the offer was rejected.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

340

SUBJECT:

INVENTORY AND APPRAISAL FOR LANTERMANPETRIS-SHORT ACT CONTERVATORSHIP

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The same policy applies to the filing of the Inventory and Appraisal for Probate Conservatorships which is set forth as follows: 1. The Inventory and Appraisal shall be filed within ninety (90) days after the appointment of conservatorship of the estate.

2. An extension of the ninety (90) days period may be granted by the Court if an Ex-Parte petition is filed by the conservator requesting such an extension for reasonable cause.

PROCEDURE: A. The same procedures apply to the filing of the Inventory and Appraisal for the Probate Conservatorship with the exception that when there is to be no sale of any property of the estate, the property described in Schedule B may also be appraised by the conservator and need not be appraised by a Probate Referee. A formal Inventory and Appraisal form will be used.

B. Attached, is a sample of an Inventory which the conservator alone has appraised. (Policy No. 341, Sample A).

C. If there is a sale:

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a. Appoint a Probate Referee. Probate Referee must appraise all items on Schedule 2 prior to sale.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

340.a

SUBJECT:

INVENTORY AND APPRAISAL PREPARATION

FORMS:

Judicial Council Form 372 and Probate Referee Cover Letter

EFFECTIVE DATE:

September 30, 1997

REVIEWED DATE:

August 25, 2021

POLICY: The Deputy Public Guardian has primary responsibility for preparing the Inventory and Appraisal. The deputy prepares the draft. The designated Office Assistant II is responsible for typing the document, ensure that it is photocopied, mailed out if necessary.

PROCEDURE: A. The Deputy Public Guardian prepares a draft of the Inventory and Appraisal, specifically Attachment 1 and 2. The draft must signify the type of I&A (i.e. complete, partial etc.) and the attorney of record.

B. The OA II types Inventory and Appraisal according to the attached sample.

1. Name, address and telephone number of the attorney.

2. Address of the Court.

3. Name of the Conservatee, include any known alias. Must mark the box for conservatee.

4. Type in the court case number. Double check the case number to ensure accuracy 5. Date of Appointment. Enter the earliest date that the Public Guardian was appointed conservator of the estate. (This might be the temporary appointment date.)

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6. Appraisal: (1. and 2.) Type in the values entered by the deputy. If this is a simple I&A which does not require the use of a probate referee, the sums should be identical to the grand sums listed on Attachment 1 and 2. If I&A is being sent to the probate referee, the probate referee will be sent the values on Attachment 2. Verify that the totals are correct.

7. Declaration of Representative. (3.) If the I&A is a complete, final or supplement, the box before the word "all" should be marked. If the I&A is a partial, the box before the words "a portion" should be marked.

8. Need to mark one of the boxes making a reference to the probate referee (4.) If there is no property on Attachment 2, no probate referee is needed. If there is property that needs to be appraised, the court will assign a probate referee. The court order appointing the conservator will note the probate referee assigned to the case. Include that date in the section specifying the court order.

9. Date: Insert current date.

10. Type name: Insert name of Deputy Public Guardian.

C. Attachment 1 is a listing of all the cash assets. The Deputy Public Guardian writes out this information. The OA II is responsible for typing the following information. (See sample) 1. Name of the estate and case number.

2. Type in 1. Please note the first page will be page 3 of 4.

3. Type in all the assets listed by the deputy.

D. Attachment 2 is a listing of all assets other than cash. The deputy will describe the assets. Depending upon the value of the estate, the deputy will either set a value or leave the value blank so that the probate referee can set a value. The OA II types the following information: a. Name of conservatee, Attachment 2, case number and inserts page number beginning with page 4 of 4. b. The OA II types the assets according to the descriptions prepared by the deputy.

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E. Once I&A is typed, the OA II proof-reads the document for any errors.

Once proof read, the OA II returns the document to the deputy for signature. After the deputy signs the I&A it is returned to the OA II to photocopy and send out.

F. If the I&A is complete and does not need to be sent to a probate referee, it is sent to the attorney of record for the attorney's signature and filing with the court. The photocopied I&A is returned to the deputy, with a notation in the upper right hand corner, the date it was sent to counsel, and initialed by the OA II's.

G. If the I&A needs to be sent to a probate referee, the OA II photocopies the I&A and prepares a cover letter to the probate referee. (Sample attached.)

A return envelope is provided to the referee. The cover letter is signed by the probate referee. The cover letter and photocopied I&A is returned to the deputy.

H. Once the probate referee appraises the real and personal property, the I&A is returned directly to the assigned deputy. The Deputy Public Guardian will return the I&A to the OA II to photocopy and send the document to the attorney. Again, the OA II photocopies the I7A. The original I&A is sent to the attorney.

I. The attorney of record files the I&A with the court. A confirmed copy of the I&A is returned to the Public Guardian. (The majority of the time, I&A’s are returned via "rounds mail".) Upon receiving the confirmed copy, the designated OA II clerk, records the I&A in the PWIS system, makes one copy for the accounting division, then returns the I&A to the assigned deputy. (Note: when filing documents in the case file, the clerk can throw away the unfiled I&A's since the confirmed copy is the most important.)

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

341

SUBJECT:

INVENTORY AND APPRAISAL (PROBATE CONSERVATORSHIP)

FORMS:

Judicial Council For #372; Ex Parte Application for Extension of Time to File Inventory and Appraisal; and Consent to inclusion of Community Property in Conservatorship Estate

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Within ninety (90) days after appointment as Conservator of the Estate, the conservator shall file with the Clerk of the Court an Inventory and Appraisal of the Estate.

An extension of the ninety (90) day period may be granted by the Court if an Ex Parte Petition is filed by the conservator requesting such an extension for reasonable cause.

DEFINITIONS: Partial Inventory: The Inventory and Appraisal covers only a portion of the known assets of the estate.

Amended Inventory: To correct an item(s) on previously file inventory.

Final Inventory: A full inventory of all known assets of an estate, valued as of the Date of Appointment. Items listed on a Partial Inventory should not be included.

Supplemental Inventory: Supplemental Inventory should be filed for property newly discovered or received after the filing of what was thought to be a final inventory. Valuation of property is as of the date the property was discovered or received.

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Amended Supplemental: To correct an item(s) on incorrect Supplemental Inventory previously filed.

Reappraisal Inventory: A reappraisal of realty as of current date for sale purposes, if original appraisal is one year old or more. Appraisal date is appointment date, not date of appraising signature.

PROCEDURE: A. Assigned Deputy Public Guardian shall review their case file and financial ledger to complete the Inventory and Appraisal.

1. The property described in the I&A shall contain all assets held at the Date of Appointment of the conservator and shall be valued as of that date.

2. Assets which may be appraised by the conservator alone are those assets listed on Attachment 1.

3. Assets listed on Attachment 2 are to be appraised by a Court appointed Probate Referee. If there are Attachment 2 assets, a request must be filed with the Court requesting the appointment of a Probate Referee, if appointment is not on Order Appointing Conservator.

Usually, this function is complete by Counsel.

4. If the conservatee is or has been a patient of Behavioral Health Department or the State Department of Developmental Services, the conservator shall mail a copy of the completed I&A to the Director; (State Division Health Services); the appropriate department at the director's office in Sacramento no later than fifteen (15) days after the I&A is filed with the Court. (Section 1461 and2611) 5. Any property of the conservatee discovered, inherited or acquired (other than by the routine investment and management of the estate by the conservator) after the filing of the I&A and owned by the conservator on the on the date of appointment shall be included in a Supplemental Inventory and Appraisal which shall be filed within ninety (90) days of the date of receipt of such assets. Valuation shall be made as to the date the property was so discovered or received.

6. When the assets of a conservatorship consist solely of cash assets, a cash only inventory will be filed. All cash assets which are in the possession or control of the conservator as of the date of filing the inventory, shall be included in the inventory. These assets include:

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a. Savings Account - includes interest as accrued to the date of appointment. The account number, name of the bank, city and state, shall be included in the description of this item. b. Checking Account - includes the account balance as of the Date of Appointment, the account number, name of the bank, city and state shall be included in the description of this item and accrued interest if applicable. c. Certificates of Deposit - includes the posted account balance as of the Date of Appointment. The Certificate of Deposit number, interest rate and maturity date, name of the bank, city and state shall be included in the description of this item. d. Currency and coin found to be in the possession and/or belongings of the conservatee, brought to the Public Guardian's Office and deposited into the conservatee's account. e. All uncashed checks, issued prior to the Date of Appointment, including U.S. Treasury, Social Security, Pension, Dividends and Interest Payments. This value shall be the face value of the check.

7. When there are assets which are only to be place on Attachment 2 or which shall be placed on Schedule 1 and 2, a formal inventory and appraisement shall be filed. The Court has preprinted forms which shall be used for that purpose. The assets to be include on Schedule 1 or set forth in Procedure 7; the assets to be included on Schedule 2 are set forth as follows: a. Cash items which are owed to the Conservatee prior to the Date of Appointment, but received after the Date of Appointment. These include insurance premium refunds. This item should include the amount received, time period it covers, payer and when it was received. b. Bonds - this item should include the type of bond, serial number of the bond, date of the bond, face value of the bond, and where applicable, interest note of the bond, and the redemption or maturity date of the bond, plus accrued interest to Date of Appointment. c. Stocks - this should include the name of the corporation in which stock is held, whether it is common or preferred, and the number

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of shares. Dividends on each issue, if payable, to stockholder or record on, or prior to appointments. d. Notes Receivable - a complete description of any promissory sales including the date, original amount, when and how much interest is paid, and at what percent balance owed including interest, name of maker of the note, the beneficiary of the note, and the amounts of the monthly (or specify how often and when), payments are to be made, plus accrued interest. e. Note secured by Trust Deed on Real Property. It must include the legal description of the property, original amount of the property, and balance due, including interest, the interest rate, and amount of monthly payments, the name of the Trustor, Trustee and Beneficiary. f. Any outstanding legal obligations which are owing but unpaid to the conservatee as of the Date of Appointment. These include wages for services rendered prior to the Date of Appointment. g. Real Property must be located in California. This must include the legal description, the address and the type of property, i.e. an unimproved lot, single-family dwelling, etc. h. Mobile homes - this must include the size of the home, the type of home, year the home was made, and location. i. Automobiles and other motor vehicles required to be licensed by the California D.M.V. This must include the year of the vehicle, type of vehicle (sedan, convertible), and the license number of the vehicle. j. Household furniture, furnishings and personal property. This can be a general description of the personal clothing, furniture and furnishings belonging to the conservatee, which is brought into the possession of the Riverside County Public Guardian. Any unusual items shall be set forth pursuant to item K. k. Antiques, collectibles, fine art and any unusual items of value shall be listed and described separately for individual appraisal by a private appraiser. l. Miscellaneous jewelry - this include jewelry other than costume jewelry which would be included in item J. Each item of jewelry should be appraised by a private appraiser, described and given a

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monetary value. These descriptions do not have to be set forth in the body of Attachment #2 but should be forwarded to the Probate Referee for his appraisal. m. United States and/or foreign coin collections - description of the kind of collection, and approximate dates. This must also be appraised by a private appraiser. n. United States and/ or foreign stamp collections - description of the kind of collection and approximate dates. This must also be appraised by a private appraiser. o. Cemetery Plots. This item needs to include a legal description, the location of the plot, cemetery, city and state. p. Pre-need, paid-up mortuary plans - include face amount of plans, and the interest rate, any account number and savings institution in which the plan is held, and the name and location of the mortuary with whom the agreement has been made. q. Life insurance policies - include the face amount of the policy, cash surrender value as of the Date of Appointment. r. Businesses. Describe the business of the conservatee and where it is located. A private accountant will need to be utilized in order to complete a valuation of the business. s. Trusts. If the conservatee is the beneficiary of a testamentary or intervolves trust, copy the instrument creating the trust and list of assets.

8. In appraising the assets on Attachment #2, the Probate Referee will need to have sufficient information from the Deputy Public Guardian to provide an accurate appraisal. In order to accomplish this purpose, the following information should be sent with the inventory: a. Real Property. A copy of the grant deed, most recent assessor's valuation, including the AP number, and a copy of the most recent property tax statement, if available. b. Automobile. The current blue book value will be used by the appraiser. In the case of a car which is older than the blue book values, the fair market value of such vehicle sold at public auction should be estimate. For an antique or reconditioned classic car, an appraiser should be used for a written appraisal.

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c. Motorcycles and other vehicles whenever possible the fair market value of such a vehicle sold at public auction should be estimate. d. Household furniture, furnishings and personal. Again, the fair market value of this property sold at public auction or at a garage sale is to be estimated. If the property is under the control of the conservator and the property has been inventoried, the values set by the Estate Property Custodian may be use. e. Antiques, collectibles and fine art. A letter by a private appraiser should be included. f. Miscellaneous jewelry. A letter of appraisal by a private appraiser should be included. g. Coin and stamp collection. A letter of appraisal by a private appraiser should be included. h. Cemetery plots. Whenever possible, a copy of the original purchase agreement should be included showing the original price paid for this plot. i. Life Insurance Policies. A letter or statement from the life insurance company should be included. j. Businesses. A written appraisal by an accountant should be included. Whenever possible, current inventories and other related business documents should be include, i.e. profit and loss statements. k. Trusts. A copy of the trust instrument containing all of the items of the Trust should be included.

9. Once the Probate Referee has appraised the formal Inventory and Appraisement, it will be returned for signature by the Deputy Public Guardian, County Counsel, and the original, will be filed with the Court.

10. Within thirty (30) days after the Inventory and Appraisal is filed, the conservator, any creditor or any other interest person(s) may file written objections to any or all appraisals. (The basis for the objection should be based upon the value of the item appraised and not on any omissions on the Inventory and Appraisal). The party who has filed the objections shall serve a notice of the hearing, a copy of the

187

objections, ten (10) days before the hearing on the conservator, spouse, and relatives within the second degree, and the Probate Referee. The Court shall determine the outcome of these objections which may include appointment of independent appraisals.

11. Failure to file the Inventory within ninety (90) days after the appointment of the conservator results in any damage or injury to the estate, the conservator is liable for these damages.

12. If the Deputy Public Guardian believes that the conservatee's property is wrongfully held by a third party, he may file a petition alleging the circumstances surround the wrongfully held property including any claims against a third party by the estate. Upon the filing of the petition, the Court may cite the third party into Court for further examination.

13. Attached, are samples of inventories as follows: a. Cash on inventory. b. Formal Inventory and Appraisal. c. Inventory whereas Spouse Manages Community Assets.

14. In the event the conservatee is married, the assigned Deputy Public Guardian should be aware as to whom has control of the community assets of the estate. The competent spouse has the exclusive management and control of the community property. The community property is not part of the conservatorship estate. In the event both parties (husband and wife) are both under conservatorship, the Conservators must agree, in writing, that all or specific items of the community property shall be included in the conservatorship estate of one or the other of the spouses.

15. Upon discovering a conservatee is married, the assigned deputy should discuss the community property with the competent spouse to ascertain what community assets, if any, should be included in the conservatorship estate. This must be completed before the inventory is filed, since the decision of the competent spouse must either be to manage the entire community property or to include the community property into the conservatorship estate. a. If the property is to be managed by the competent spouse, the inventory and appraisement should, for information purposes, list the property managed by the competent spouse.

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b. If the property is to be included in the conservatorship estate, the competent spouse is to sign a consent to inclusion of community property. (See sample). This form is to be filed with the Court. The Inventory and Appraisal should reflect the community property the competent spouse wishes to include in the conservatorship estate.

16. In the event the cost of appraising property is less than the cost of the appraisal by the Probate Referee, consult the SDPG. Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

342

SUBJECT:

LIFE SUPPORT REIMBURSEMENT

REFERENCES:

Agreement to Repay Life Support Program

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIED DATE:

August 25, 2021

POLICY: Behavioral Health Department advances interim funds to provide for the placement needs of LPS temporary and permanent conservatees. The Office of the Public Guardian shall make every effort to reimburse life support program monies as soon as government or private benefits become available.

PROCEDURE: A. The Deputy Public Guardian upon appointment of a conservatorship, the assigned deputy shall review the file to determine if a Life Support contract exists. (A contract may be signed during the Temporary Conservatorship).

1. If a contract does exist, the assigned DPG should determine if an SSI application was filed, if not, an application should be filed as soon as possible. A copy of the application should be forwarded to the assigned CCC case manager.

2. If a client requires Life Support funding to pay for board and care expenses (Life Support does not fund IMD facilities), the assigned deputy should contact the CCC worker to indicate the interim funding. Deputy is responsible for insuring the SSI application is made on a timely basis. Upon receipt of the SSI benefits, the deputy should contact the case manager (CCC) to terminate life support funding and determine amount of the outstanding balance. The balance to life support should be paid during the same month the benefits were received.

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B. The various CCC units notify The Supervising Deputy Public Guardian of any outstanding balance on life support recipients. Each month, the SDPG shall review the list and prepare a report as to the status of repayment. This report is to be given monthly to the Mental Health Services Administrator.

1. In the event a conservatorship is terminated before life support is repaid, the assigned DPG shall immediately discuss the situation with the SDPG. If it appears life support will not be repaid, the case shall be reported to the Mental Health Services Administrator. DPG would also be informing the case manager.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

191

RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

345

SUBJECT:

MARSHALLING ASSETS - BANK ACCOUNTS

REFERENCES:

None

FORMS:

Letter to Bank Closing Accounts - DOMH P/G 345

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Public Guardian shall hold marshalling of estate's assets as being a high priority. Immediately upon receipt of Letters of Conservatorship, all bank accounts are to be closed, unless there may be a loss to the estate due to the nature of the account.

DEFINITIONS: Sole Ownership: Bank account in name of conservatee only.

Joint Tenancy: Joint tenants have one and the same interest, accruing by one and the same conveyance (document), commencing at one and the same time and held by one and the same undivided possessions. Usually, title of account contains designation as joint tenants.

Totten Trust: Savings account trust - title to account in name of conservatee as trustee for John Doe. PROCEDURE: A. The Deputy Public Guardian and Investigator searches personal papers of conservatee to determine if he/she has any bank account, passbooks, checkbooks, certificates of deposit, etc.

1. Determines title to accounts, (i.e. sole owner, joint tenancy, Totten trust, etc.)

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2. Instructs Typist Clerk II to send bank account verification letter to depository.

B. The Typist Clerk II prepares bank account verification letter to depository.

C. The Deputy Public Guardian and Investigator, if verification comes back as sole ownership, instructs Typist Clerk II after appointment, to send bank account closing letter to close account and forward proceeds to Public Guardian.

D. Typist Clerk II prepares and sends bank account closing letter.

E. The Deputy Public Guardian and Investigator, if verification comes back as joint tenancy, deputy determines if conservatee contributed total amount or account. Can be accomplished by asking conservatee, conservatee's family, and bank staff.

1. Request Typist Clerk II to send bank account closing letter.

2. If depository refused to release without other joint tenancy's approval, deputy requests other joint tenancy to give approval.

3. If other joint tenancy claims contribution to account or refuses to allow release, deputy requests petition from court.

F. County Counsel petitions Court for release of account(s).

G. The Deputy Public Guardian and Investigator, if verification comes back as Totten Trust, must obtain Court order before closing out account.

H. County Counsel obtains Order to close out account.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

346

SUBJECT:

MARSHALLING ASSETS-JEWELRY, COINS, STAMPS AND OTHER COLLECTIONS

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: All jewelry, coin, stamp or other collections should be inventoried as such, and placed in a sealed container. They will be placed in a safe-room to be broken down and inventoried, in detail, later for appraisal.

PROCEDURE: A. The Deputy Public Guardian and Investigator, when such a collection is discovered, it should be placed in a container and sealed. A suitcase is a good container, and locks can be sealed easily.

1. When jewelry is discovered, it should be described and inventoried (per procedure - "Inventorying Personal Property") and placed in a safe-room upon return to office. (Per procedure - "Depositing Items in Safe­ Room").

2. If it appears the jewelry, coins, and stamps are of reasonable value, said items shall be appraised within a reasonable time. Assigned deputy shall request estate property custodian to schedule appraisal.

3. In the event any jewelry, coin or stamp may be specifically bequeathed in a Will, the assigned deputy shall "red tag'' this item to prevent this item from being sold.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

347

SUBJECT:

MARSHALLING ASSETS - MOTOR VEHICLES

REFERENCES:

None

FORMS:

Property Release DOMH/PG 347

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Any vehicle belonging to a conservatorship estate shall be towed into the Public Guardian storage lot within thirty (30) days of the appointment or discovery of auto. This is to ensure personal property is adequately protected.

PROCEDURE: A. The Deputy Public Guardian will inquire of family, friends, referring source and search conservatee's papers to determine if client owns any motor vehicle(s).

1. If documents of title cannot be located, deputy should request verification of ownership from sheriff’s teletype. Deputy shall be responsible for securing a copy of the teletype prints out. It should be determined, if at all possible, that the conservatee owns a vehicle(s) before towing it to Public Guardian's storage.

2. Determines if vehicle is worth marshalling (i.e. extensively damaged).

B. The Supervising Deputy Public Guardian reviews recommendation to abandon vehicle and initials memo for file, if agrees.

C. The Deputy Public Guardian or Investigator, if deputy determines vehicle is in cumbered, contacts the lien-holder to determine balance due.

1. If lien approximates value of vehicle the deputy arranges for lienholder to repossess vehicle.

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2. If deputy determines that lien-holder will take possession of vehicle as full satisfaction of lien, will not seek deficiency from estate of conservatee; deputy can release vehicle to lien-holder after obtaining property release without necessity of seeking Court order.

3. If deputy, determines that lien-holder will not accept return of vehicle as full satisfaction of lien, will seek deficiency from estate, then deputy must obtain a Court order before releasing vehicle.

4. Deputy requests County Counsel to petition the Court for authority to release, informing Court of lien-holder's intention to seek deficiency from conservatee's estate.

D. County Council obtains Court authority to release vehicle to lien-holder.

E. The Deputy Public Guardian and Estate Investigator requests Typist Clerk II to prepare receipt for lien­ holder's signature of approved County Counsel form.

F. The Typist Clerk II prepares receipt.

G. The Deputy Public Guardian and Estate Investigator obtains lien-holder's signature on receipt at time of release of vehicle.

1. If vehicle is to be sold, see Procedure "Sale of Motor Vehicle".

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

348

SUBJECT:

MARSHALLING ASSETS - SAFE DEPOSIT BOX

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Upon discovering the existence of a safe deposit box, the assigned DPG shall make arrangements to close said box within 30 days. Whenever any entry is made, an independent third party witness shall be present for the purpose of inventory or verifying the property.

PROCEDURE: A. The Deputy Public Guardian and Investigator if safe deposit box key is discovered in personal effects of conservatee or bank verification letter indicates the existence of a box, the deputy will contact bank to schedule inventory of box. (Usually will occur after letters are issued).

1. If there is a joint tenant on box, joint tenant will have to be present at box opening, most bank policies require this. If joint tenant is deceased, a certified copy of joint tenant's death certificate will be required in most instances.

2. If key to box is not located, deputy will have to arrange with the bank to have a locksmith present to force box open.

3. If joint tenant claims any contents of box as theirs, deputy has the following discretion to resolve the claims: a. Reach agreement with the claimant that all items will be inventoried, the items claimed by joint tenant to be inventories

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last on the inventory sheet, and identified as such. Deputy will inform joint tenant that Court instructions will be requested. b. If claimant disagrees with this procedure, deputy informally inventories disputed items and requests that they be placed back in box. Deputy then notifies bank officer that neither the joint tenant not the Public Guardian is allowed in the box without other present. Deputy requests that this proviso be placed in the safe deposit entry and/or lease card. SDPG will be advised of the problem.

4. Brings inventoried items back to the office and deposits them with appropriate support function (i.e. vault, warehouse and file, etc.).

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

349

SUBJECT:

MARSHALLING ASSETS - SECURITIES

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Any security in the possession of the Public Guardian's Office shall be inventoried and secured promptly for safekeeping. After the documents are properly placed in a vault, prompt action shall be made to insure dividend and interest payments are forwarded to this office.

PROCEDURE: A. The Deputy Public Guardian and Estate Investigator will search personal papers of conservatee to locate stocks, bonds, and other securities or dividend checks.

1. Determines title to securities and determines if it has any value by consulting broker.

2. Securities should be inventoried and placed in safe­ room.

3. If securities are to be sold or redeemed, refer to procedure. (Sales Procedure 383).

4. Assigned deputy shall correspond with the appropriate transfer agent to insure future payments (dividends or interest are to be forward to Public Guardian's office.

5. In the event it appears, the securities or certificates are lost; the assigned deputy shall initiate proceedings to obtain duplicate certificates.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

202

RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

350

SUBJECT:

MARSHALLING ASSETS - TRUST DEEDS

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: On all deeds of trust that are assets of conservatee's estate, the deputy will request, from a title company, a "Trust Deed Service" to cover the subject property that secures the deed of trust.

PROCEDURE: A. The Deputy Public Guardian and Investigator searches personal papers to locate any notes and deeds of trust securing same and inventories same for deposit in safe.

1. Request verification that deed of trust is still valid. This can be accomplished by requesting a "lot book vesting'' or a preliminary title report from the title company.

2. Locates oblige under the note and requests payment to Public Guardian's office in name of conservatee's estate.

3. If note has been placed for collection, determination must be made whether or not to leave note for collection with that entity.

4. If note is missing, and note is paid off, must convey, or if note is to be sold, arrange for the acquisition of a "Lost Instrument Bond."

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

204

RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

360

SUBJECT:

PAYMENT OF BILLS

FORMS:

Request for Payment (DOMH-P/G 102)

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: All bills received shall be reviewed daily as received by the assigned Deputy Public Guardian. All bills shall be processed by the assigned deputy within 40 working hours of receipt. Processing shall include authorization for payment; inquiries made to the creditor, or placing bills in a pending file pending the receipt of funds, benefits or other necessary information.

GUIDELINES: A. Bills which are to paid from the estate of a conservatee shall include: 1. Debts incurred by the conservatee prior to the appointment of the Public Guardian, as conservator, when sufficient assets are available.

2. Debts incurred by the conservator to provide food, clothing and shelter for the conservatee when they are reasonable, and medical expenses not payable by any health insurance benefits, and there are sufficient funds with which to pay these bills.

3. Any debts incurred by the conservatee which he/she is allowed to incur pursuant to the Oder Appointing Conservator.

4. Any debts incurred in the collection, care and administration of the estate with the exception of those items set for in #2, hereafter.

B. A Court Order must be made before any of the following expenses may be paid by the conservator: 1. Conservator fees.

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2. Attorney fees.

C. If there is any doubt about whether or not a bill should be paid (i.e. was the conservatee really liable for incurring the charge); a Petition for Instructions may be requested and filed by County Counsel.

D. The conservator may pay wages to those who have rendered services to the conservatee if they are reasonable. If there is a question regarding amount, or necessity or services rendered, a petition for instructions may be filed by County Counsel.

E. The conservator shall authorize the payment of costs and expenses which were incurred to maintain in good condition the repair of the home of the conservatee.

F. The conservator may continue, renew, modify or terminate medical, hospital and other healthcare policies, plans, or benefits. Disability policies, plans, or benefits are also included. The conservator may continue in force, any life insurance policies, annuity policies, mutual fund and other dividend reinvestment plans, retirement, profit sharing, employee welfare plans or benefits a conservatee has or will have an interest.

G. The conservator shall pay taxes, assessment and penalties upon the property and income of the estate whether by authorizing payment of tax assessments received or by preparation of tax returns by an accountant and given to the deputy for the purpose of requesting payment of taxes.

H. Any obligation shall be authorized immediately if it will prevent loss or additional expense to the estate if it needs to be paid on a timely basis.

This shall include taxes, mortgage payments, payments on leases and promissory notes where there is a late charge.

PROCEDURE: A. Upon receiving a new case, the assigned Deputy Public Guardian shall determine if any expenses should be placed on automatic payment.

1. Personal needs may be entered on automatic payment without any other additional information.

2. Board and Care Agreements must be filed before it is place on automatic payment.

3. Convalescent Care - private payment may be placed on automatic payment if a copy of the daily rate is on file.

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4. Medi-Cal share of cost liabilities may be placed on automatic payment if a copy of the Medi-Cal notice is on file.

B. Upon receiving a bill, the assigned DPG shall review the bill to ascertain its correctness in reference to the dates of service rendered, the amount charged, whether insurance should be billed first. (Private, Medicare etc.). If the bill should be paid and it is so authorized by the deputy, it will be given to the Accounting Section for processing.

C. Upon receiving an authorized invoice, the assigned Accounting Clerk shall process payment within five (5) days of receipt.

D. In the event any payment of bills would put an estate in a negative position, the invoice should be returned to the Deputy Public Guardian.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

365

SUBJECT:

INITIAL AND OTHER ENTRIES TO PREMISES

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Per policy of office, Deputy will arrange to be accompanied by a Property Technician or another Deputy as a witness on any entry into the residence of a Conservatee. (Member of family should be given preference.)* If any property is removed from the premises an inventory will be prepared listing property. If no property is removed the inventory sheet will provide a statement thereon stating the premises was entered and nothing removed. *All inventories will be witnessed by the Property Technician or another Deputy accompanying Deputy into the premises.

INTRODUCTION: In conformance/compliance with the Public Guardian Office policies of establishing an audit trail for the protection and recordation of assets of its Conservatees, and to protect the integrity of the Deputies in their duties of taking possession and control of these assets, the following procedure will be adhered to during any entry into a residence or premises of a Conservatee.

PROCEDURE: A. The Deputy Public Guardian to obtain and inventory keys to premises and places them in vault where they will be kept until all personal property is removed from premises.

1. Deputy withdraws keys from vault when initial entry is arranged.

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2. Upon initial entry the following functions are to be performed: a. Take pictures of entire interior of residence to get pictorial record of property therein. b. Search for, inventory and remove any easily removable items (i.e. jewelry, cameras, and money, stamp or coin collections). c. Remove any papers, records, or documents that may assist in marshalling assets (i.e. deeds, notes, bank account passbooks, stocks, bonds, etc.)

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

209

RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

366

SUBJECT:

MANAGING REAL PROPERTY PRIOR TO LETTERS OF CONSERVATORSHIP

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

February 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: This office of the Public Guardian shall take steps to secure the premises within 7 days of appointment of Conservatorship. (This is evidenced by the decisions listed on the Court Calendar).

PROCEDURE: A. The Assigned Estate Investigator shall inspect the real property within 7 days after appointment of conservatorship. In the event the conservatorship investigating officer believes there is a need to secure or inspect the premises after a determination is made that the Public Guardian will be recommended to act as the conservator, the above requirements will apply.

B. The Deputy Public Guardian shall conduct a preliminary search for cash and small valuables. Any entries must be in the presence of two Deputies or two Deputies and an Estate Technician. All property must be inventoried and brought in to the Public Guardian Office. (Limitation to only small items which may be easily stolen).

1. Shall determine if security measures are in place. This would include but not limited to: a. Photographing the interior and exterior of the structure. b. Advising Deputy of necessity of installing new locks.

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c. Reporting to appropriate law enforcement agency that the property is vacant, and if necessary, requesting surveillance. d. Requesting neighbors and friends to report trespasser to the local law enforcement agency and to this office. e. Place "seals" on entry-ways.

2. Examine and analyze such security measures as: a. Condition of Locks b. Type of neighbors c. Fences d. Screening and other effect of foliage and other structures e. Night lighting conditions f. Fire and safety hazards 3. Provide DPG and property manager with written notice of security problems.

4. Obtain property profile from Chicago Title Company. This report should be submitted to the assigned Deputy Public Guardian.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

211

RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

367

SUBJECT:

MANAGING REAL PROPERTY AFTER THE LETTERS OF CONSERVATORSHIP ARE ISSUED

FORMS:

Request for Inventory DOMH-PG 367

EFFECTIVE DATE:

January 19, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Office of the Public Guardian staff shall manage the property within (30) days of appointment. Determination should be made within (30) days of eventual disposition of the property consistent with the guidelines found in the Probate Code.

PROCEDURE: A. The Deputy Public Guardian should ascertain the county in which each parcel of land is located. A certified copy of the Letters of Conservatorship should be filed with the appropriate County recorder.

The purpose of this filing is to notice all parties; the Public Guardian has a conservatorship over the holder of real property.

1. The assigned DPG should review the title vesting to the property. If the property is in joint tenancy, the Deputy should consider the necessity of severing the joint tenancy if the joint tenant is a legal stranger. If the property title vesting is in tenants in common, no further action is needed since the interest will vest in the heir.

Whenever there is a question on title vesting, the SDPG should be consulted.

2. Determine if any outstanding loans exist. If so, send letter to lender requesting information on outstanding balance and status of payment.

3. Determine the status of utilities.

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4. Contact utility companies to send billing to this office. Determine and advise respective utility companies of either shutting off or maintaining utilities. May be advisable to keep water on so that the yard may be maintained. Electricity should remain on until all personal property is removed from the premises. (Not to exceed 60 days).

5. Make arrangements to store all the personal property in warehouse.

Request for Inventory must be completed within five (5) days when Deputy is aware property must be stored.

6. If money is available, make arrangements for care of premises.

7. Determine if the property insurance coverage is adequate. If not, secure insurance by obtaining three bids and selecting the best bid which is coordinated by SDPG. 8. Review financial status of the case.

9. Determine if the property should be rented or sold. Determination completed within thirty (30) days.

10.

Submit the property for appraisal to the Probate Referee.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

213

RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

368

SUBJECT:

PREPARATION AND MANAGEMENT OF RENTAL PROPERTIES

FORMS:

Rental Agreement DOMH-PG 368

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: In the event any real property is rented, or should be rented, the assigned DPG is responsible for securing rental contracts and instructing the renters to forward the payments to this office. In addition to notification of the renters, assigned Deputy should advise accounting staff so appropriate internal control may be installed.

PROCEDURE: A. The Deputy Public Guardian, if at the time of appointment any real property is being rented the assigned Deputy shall immediately notify the renters and advise future rent payments are to be made to Public Guardians collection account.

1. Obtain copy of original rental or lease agreement.

2. Review if the amount of rent is appropriate. If inappropriate increase the rent.

3. Review what if any security deposits were received by the conservatee.

4. Review yard and maintenance responsibilities.

B. If the property is vacant and property should be rented the assigned Deputy is responsible for insuring the property is cleaned and repaired before the property is rented out.

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1. Determine the appropriate rent for the home. This is to be reviewed by Supervising Deputy Public Guardian.

2. Determine if the property is to be leased or rented on a month to month basis.

3. Advertise or contact agency to obtain a renter.

4. Prospective renters are to complete form which is similar to a request for rental.

5. If the property is to be leased and/ or the amount of rent exceeds $1,000.00/month, the assigned Deputy Public Guardian must petition for authority to execute the agreement.

C. Deputy Public Guardian must submit a memo to County Counsel requesting authority to execute a lease. The memo should indicate: 1. General description of property.

2. Term, rental and general conditions of the lease.

3. Advantage to the estate to accrue from giving a lease.

D. After the Court Order is obtained the lease may be executed.

E. Deputy Public Guardian is to advise the tenant of move­ in-date.

F. Deputy Public Guardian shall collect first and last month's rent, key and cleaning deposit. Deposits may be refundable.

G. Set up collection rental account.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

216

RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

369

SUBJECT:

PREPARATION AND SALE OF PROPERTY THROUGH THE USE OF REAL ESTATE BROKER OR PUBLIC GUARDIAN

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Assigned Deputy shall use the services of a licensed real estate broker. The Deputy shall explain the terms and conditions of all sales conducted for the Public Guardian.

PROCEDURE: A. The Deputy Public Guardian will determine if the real property is to be sold. Determination must be consistent with Probate Section 2540.

1. Income of the estate is insufficient for the comfortable and suitable support, maintenance, and education of conservatee.

2. Personal property of the estate and the income from real property of the estate is insufficient to pay the debts.

B. Obtain appraisal.

C. Discuss the sale of real property with the conservatee.

D. If the conservatee is unable to understand the nature of his/her assets, and consents for the sale of the real property, have the conservatee execute consent for sale.

E. If the conservatee is unable to return to independent living, and a sale is necessary to pay for the current expenses of the estate, the Deputy shall so document in file.

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F. Locate a real estate broker to list real property. DPG must explain the conditions of sale, confirmation of Court approval, and estate liability. (i.e. Sold "as is") G. Send a request to petition for Exclusive Listing.

H. Prepare Notice of Sale and arrange for publishing of same.

I. Notice of Sale must be published prior to signing Exclusive Listing agreement. Obtain a copy of the Notice for Real Property file.

1. Sale cannot be made prior to date of notice.

2. Listing agreement includes pre-presentations of P.C. 760.

(Commissions subject to Court approval).

J. Items to advise listing agents: 1. Request comparable and print-out of listings in the same area/price range.

2. Do not inform realtor of 90% concept as it relates to inventory and appraisal.

3. Advise the realtor of the Title Insurance and Escrow Company is to be designated by the Public Guardian.

4. All property must have a sign located in front of the property and must be listed in multiple listing service. Property listed "as is", cash only.

5. All listing agreements, offers and acceptance are to be signed by the DPG. K. When any offers are received, said offer must be reviewed by the Supervising Deputy Public Guardian.

L. After the offer is accepted the Public Guardian shall sign the acceptance subject to Court confirmation.

M. Request County Counsel to petition for confirmation of the sale.

1. Must be filed (30) days after receipt of bid.

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2. Overbids must be a least 10% of the first $10,000.00 and 5% of the balance.

N. Appear at Court Hearing and if successful bidder is another buyer, secure sale agreement and deposit.

O. After the petition for confirmation is heard and confirmed, the escrow should be opened within (5) days.

P. Request a (30) day escrow.

Q. Escrow instructions are to be signed by the Public Guardian.

Conservator Deeds can only be signed by the Public Guardian.

R. At the end of escrow, monitor funding to make sure money is received by Public Guardian.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

219

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

370

SUBJECT:

PUBLIC AUCTION OF REAL PROPERTY

REFERENCES:

None

FORMS:

Offers to Purchase Real Property

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: In the event the assigned Deputy Public Guardian is aware of several buyers interested in a parcel of property, the assigned Deputy Public Guardian may conduct a public auction sale upon approval of the Supervising Deputy Public Guardian.

PROCEDURE: A. The Deputy Public Guardian will verify appropriate minimum deposits are available.

1. Cash 2. Cashier's checks 3. Certified checks 4. Money orders 5. Personal checks with appropriate ID. B. Inform prospective buyers of the following prior to the start of bidding: 1. Name of the estate and brief description of the property.

2. Minimum bidding increments.

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3. Right of the Public Guardian to refuse any offer.

4. Property is sold "as is", without warranties expressed or implied as to its condition and title.

5. Bids are cash (unless otherwise specified) and are not contingent upon the buyer obtaining financing. All costs relating to financing, including prepayment penalties on existing loans, will be at the expense of the buyer.

6. Buyers are to be advised that all transactions will be handled through an escrow company selected by the Public Guardian.

7. The escrow period is normally (30) days and within that time the buyer will be expected to provide escrow with the necessary funds to conclude the purchase.

8. All sales are subject to confirmation by the Court unless specifically exempted.

C. In addition, prior to the start of the bidding, blank offer forms, preliminary title reports and other appropriate documents will be made available to prospective buyers who will be provided the opportunity to ask questions and discuss any matter pertaining to the property being sold.

D. If there are any sealed bids for the property, they will be opened and the amount announced. Sealed bids must contain the minimum required deposit and a signed Offer to Purchase.

1. If no one present at the auction offers a higher bid, the sealed bid may be accepted and the buyer notified that his bid was accepted.

E. If there are no sealed bids or if higher bids are offered by persons at the auction, the highest net oral bid may be accepted. Upon receiving the highest net oral bid, it will be reduced to writing immediately on an Offer to Purchase by the Deputy or a designated person from the Public Guardian's Office.

F. The successful bidder will be given a receipt for the deposit and provided with copies of the signed Offer to Purchase.

G. Petition for confirmation of the sale.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

222

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

380

SUBJECT:

GENERAL SALES PROCEDURES

FORMS:

Consent to Sell Property DOMH-PG 380

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The primary objective of the conservator is to conserve all assets prudently. In the event storage costs of the personal property outweigh the value of said property, the Deputy Public Guardian shall be guided as to the best interests of the client.

LEGAL REQUIREMENTS: The guardian or conservator may sell personal property of estate in any of the following cases: 1. The income of the estate is insufficient for the comfortable and suitable support, maintenance, and education of the conservatee (including care, treatment and support of the ward or conservatee if a patient in a State Hospital under the jurisdiction of the State Department of Mental Health) or those legally entitled to support, maintenance, or education of the conservatee.

2. The personal property of the estate and the income from real property of the estate is insufficient to pay the debts referred to in Section 2430 and 2431.

3. If it is for the advantage, benefit and best interest of the conservatee, the estate or the conservatee and those legally entitled to support, maintenance, or education from the conservatee.

4. Whenever the aggregate sales or exchanges made during any calendar year exceeds $5,000.00, Court confirmation of the sales is required.

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PROCEDURE: A. The Deputy Public Guardian and Public Guardian Investigator will consult with conservatee, if he/she is capable of understanding regarding the need for the sale of their property and if any specific items should be retained for their use or disposition after death.

1. Consult with conservatee, if he/she is capable of understanding regarding the need for the sale of their property and if any specific items should be retained for their use or disposition after death.

2. Also reviews the Will or Trust of the conservatee to determine if any items are not to be sold because they are specifically bequeathed under said documents. The sale of such items should be discussed with the Supervising Deputy Public Guardian.

3. If the conservatee is incapable of discussing the proposed sale, the deputy should determine if Court intervention is required regarding the conservatee's ability to consent. a. If the sale is of household furniture or furnishings, the conservatee must either consent to the sale or the Court must determine the conservatee lacks the capacity. The assigned Deputy Public Guardian shall secure a doctor's statement indicating the patient's mental ability and send this document to County Counsel requesting the Court make a finding the conservatee lacks the capacity to consent.

1. If the conservatee lacks the ability to consent to the sale of his/her household furniture or furnishings, the attorney of record for the conservatee, may provide a written consent to the conservator. This consent would suffice as the consent for the conservatee. b. If the sale is for the other items, the legal requirements must be met.

4. If the conservatee is capable to consent to a sale, the assigned deputy shall obtain a written consent to sell for the case file and send a copy to County Counsel.

5. The deputy reviews the Inventory and Appraisement to verify that the property is properly listed.

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6. The deputy then follows appropriate sale procedures for the type of property to be sold set forth in the specific sale procedure herein (i.e. appreciating personal property, automobile, real property, etc.).

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

225

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

381

SUBJECT:

PROPERTY SALES, LIQUIDATION OR REDEMPTION

FORMS:

Notice of Sale of Personal Property at Public Auction (Judicial Council Form)

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Shortly after the filing of the Court Inventory and Appraisal, the assigned Deputy Public Guardian shall determine if the personal property should be sold. The case file shall indicate the decision of the Deputy.

DEFINITION: Appreciating Personal Property: Property other than Real Property that increases in value with the passage of time (age), due to its uniqueness or traditionally increases in value. Examples of such property are: antiques, jewelry (other than costume), coins, stamps and other collectibles and gold and silver articles. Specifically excluded are household furniture and furnishings.

PROCEDURE: A. Upon receipt of the initial inventory sheets, the assigned DPG shall review said sheets to determine if any items should be appraised.

1. If any item is to be appraised a request for appraisal shall be sent to the Estate Property Custodian.

B. Estate property custodian shall arrange for a professional appraisal of the articles, which will be submitted to the Probate Referee. At the time, request is made for a letter appraisal for sale purposes or the submission of the formal inventory.

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C. The Deputy Public Guardian shall if any property is to be sold, a written request must be submitted to the SDPG with a copy of the inventory and appraisement.

D. SDPG shall review a request for to insure all internal policies are followed. The request shall be forwarded to the Estate Property Custodian for scheduling an auction.

1. Supervising Deputy and Estate Property Custodian shall determine the priority for the sale of items at public auction.

2. Once a decision has been made as to which personal property items are to be sold, the SDPG shall prepare Notice of Sale. (Should advise Mental Health Services Administrator).

3. Notice of Sale shall be posted at the Court House, at least 10 days before the auction.

4. Title of property sold at the public auction passes upon receipt of the purchase price and delivery.

E. The Deputy Public Guardian shall after auction proceeds are posted to the respective accounts. If the amount exceeds $5,000.00 the assigned DPG shall prepare a Petition for Confirmation of Sale. This petition shall be submitted to County Counsel for filing with the Court.

1. When the Order is returned from Court approving the sale, the Order shall be placed in the Deputy's case file.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

228

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

382

SUBJECT:

SALE OF DEPRECIATING ASSETS

FORMS:

Petition to Confirm Sale of Personal Property, Ex-Parte Petition for Approval of Sale of Personal Property

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Any perishable items or other personal property which may depreciate if not properly cared for or which will incur loss or expense by being kept shall be sold as quickly as possible.

PROCEDURE: A. The assigned Deputy Public Guardian shall determine, as soon as the marshalling of the assets is completed, if any personal property is of a depreciating nature. (Property such as perishable items - plants, fruit trees, or livestock, mobile homes incurring space rent, motor vehicles and trailers.)

1. Notify Supervising Deputy Public Guardian to sell the items as soon as possible.

2. Schedule items at next available sale since there is not legal requirements for posting of Notice.

3. After the auction proceeds are posted to their respective accounts, the assigned Deputy Public Guardian shall prepare a Return of Sale of Personal Property. This form shall be submitted to County Counsel for Court filing. If the total amount is under $5,000.00 and meets §2541 requirements, there is no need to file a separate petition for confirmation, the sale can be approved at the next accounting.

4. The Order Confirming the Sale of Personal Property shall be filed in the Deputy's case file.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

230

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

383

SUBJECT:

SALE OF SECURITIES

FORMS:

Ex-Parte Petition for Authority to Sell Securities and Order (Judicial Council Form 392.5)

EFFECTIVE DATE:

January 1, 1988

REVIEWED DATE:

August 25, 2021

POLICY: Sale of Securities shall only occur when these assets must be converted for the purpose of paying for the client's current expenses or if it is in the best interest of the client.

PROCEDURE: A. The Deputy Public Guardian will request the letter appraisal from Probate Referee or formal appraisal used if completed.

1. In the event the stock, bond or security is listed and subject to purchase and sale on an established stock or bond exchange in the United States a Court Order is not necessary to sell the security.

2. If the stock is listed on an established exchange, the assigned deputy shall confer with SDPG regarding said sale.

3. In the event the security is not listed on an established stock or bond exchange in the United States, the assigned deputy shall request County Counsel to prepare Ex-Parte Petition and Order to Sell Securities and ask that a certified copy of same be obtained for such issue of stock to be sold. a. Prepare Ex-Parte Petition and Order and obtain required number or certified copies requested and returns to the deputy.

4. Upon receipt of the Court Order (if necessary) or after case conference with SDPG, the assigned deputy prepares the following package of

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documents to be supplied to broker for sale of securities which are usually the following: a. Letter of Instructions. b. Affidavit Domicile for each issue, if required by broker. c. Stock Power, each issue. (Conservatee's Social Security number must be shown on assignment). d. Certified copy of Letters of Conservatorship. (Not over 90 days) e. Stock Certificate.

5. Delivers package to broker for sale and obtains broker's receipt for stock certificates.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

232

RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

390

SUBJECT:

CLOSING LPS AND PROBATE CONSERVATORSHIPS

BY TERMINATION

FORMS:

Court Calendar; Memos, Change of Status, Request for Extension to file Final Accounting, Request for Final Accounting, Release of Personal Property, Cover Sheet - Fees, Final accounting, Petition for Final Accounting, Order Settling Final Accounting, Request for Payment of Fees, Request for Inventory, Receipt for Assets and Declaration of Final Discharge.

EFFECTIVE DATE:

August 19, 1988

REVIEWED DATE:

August 25, 2021

POLICY: An LPS and Probate Conservatorship may terminate only by one of the following: [1] Operation of Law; [2] Court Order of the Superior Court; [3] Death; or [4] Appointment of a Successor Conservator.

The Attorney or Petitioner prepares formal order terminating the proceedings shall be submitted to the Probate Examiner for approval as to form and shall be accompanied by a check to Riverside County /Executive Office Superior Court in the total amount of any assessments ordered by the Court as reimbursement for services of the Court Investigator; and [D] A Final Accounting shall be filed with the Court within 60 days of termination of the conservatorship of the estate unless otherwise ordered by the Court. Cash distribution shall not be made unless all property from the safe room and/or warehouse has been distributed.

PROCEDURE: A. The Deputy Public Guardian shall monitor any automatic termination by operation of law. The Deputy Public Guardian should also review court calendars weekly and note any terminations. The Deputy Public

233

Guardian should notify, by telephone, family and facility of the termination of the conservatorship.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

234

RIVERSIDE UNIVERSITY HEALTH SYSTEM – BEHAVIORAL HEALTH POLICY:

391

SUBJECT:

CLOSING LPS AND PROBATE CONSERVATORSHIPS

BY DEATH

REFERENCES:

Public Guardian Policy No.: 320 - Accountings

FORMS:

Court Calendar; Memos, Change of Status; 700.1 Notice; 13100 Affidavit; Declination of Executor; Public Administrator Referral For; Request for Extension to File Accounting; Request for Final Accounting; Cover Sheet Fees; Final Accounting; Petition for Final Accounting; Order Settling Final Accounting; Request for Payment of Fees; Request for Inventory; Receipt for Assets; Notice to Department of Health Services and Form #S-0086; Declaration of Final Discharge and Order for Assessment of Fees.

EFFECTIVE DATE:

September 8, 1988

REVIEWED DATE:

August 25, 2021

DEFINITIONS: Testate: One who has made a will; one who dies leaving a will.

Intestate: Without making a will. A person is said to die intestate when he/she dies without making a will, or dies without leaving anything to testify what his/her wishes were with respect to the disposal of his/her property after his/her death. The word is also often used to signify the person him/herself.

Thus, in speaking of the property of the person who died intestate, it is common to say "the intestate's property"; i.e., the property of the person dying in an intestate condition.

POLICY: A. The Deputy Public Guardian may complete final distribution to the heirs of the conservatee's estate if the gross value of real and personal property does not exceed $166,250.00 and if 40 days have elapsed since the death of the conservatee. The successor of the conservatee may, without

235

procuring Letters of Administration or awaiting probate of the Will, do any of the following with respect to one or more particular items of property: 1. Collect any particular item of property that is money due conservatee.

2. Receive any particular item of property that is tangible personal property of the conservatee.

3. Have any particular item of property that is evidence of a debt, obligation, interest, right, or choose an action belonging to the conservatee transferred, whether or not secured by a lien or real property.

B. The Deputy Public Guardian will not distribute any cash to heirs unless all property has been removed from safe room and/or warehouse.

C. Guidelines: A declaration or an affidavit under penalty of perjury shall be furnished to the Deputy Public Guardian stating all of the following: 1. The date and place of death.

2. The conservatee's name.

3. At least 40 days have elapsed since the death of the conservatee, as shown in the certified copy of the death certificate attached to the declaration or affidavit.

4. No proceedings are now or have been conducted in California for administration of the conservatee's estate.

5. The gross value of the conservatee's real and personal property in California does not exceed $166,250.00.

6. A description of the property.

7. The name of the heir to the described property.

8. The Deputy Public Guardian must determine either of the following: a. The declarant or affiant is the heir of the conservatee's interest in the described property.

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b. The declarant or affiant is authorized to act on behalf of the heir of the conservatee's interest in the described property.

9. No other person has a right to the conservatee's interest in the described property.

10. The declarant or affiant requests that the described property be paid, delivered or transferred to the declarant or affiant.

11. The declarant declares under penalty of perjury that the foregoing is true and correct: a. If there is more than one person to execute the declaration, the Deputy Public Guardian must modify the statements as appropriate to reflect that fact. b. A certified copy of the death certificate shall be attached to the declaration.

12. Reasonable proof of the identity of each person executing the declaration shall be provided to the Deputy Public Guardian if one of the following requirements are met: a. The person executing the declaration is personally known to the Deputy Public Guardian. b. The person executes the declaration in the presence of a Notary Public.

PROCEDURE: A. Upon notification by a facility of the death of the conservatee, the Deputy Public Guardian must request date and time of death.

1. The Deputy Public Guardian must contact all family members to advise of the death of the conservatee. a. The Deputy Public Guardian must advise family members to advise of the death of the conservatee. b. If there are no pre-need arrangements, the Deputy Public Guardian must determine the wishes of the family members.

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c. The Deputy Public Guardian must discuss with the family members whether they are willing to complete funeral arrangements and/ or pay for the services of the mortuary. d. If the family members decline and request the Deputy Public Guardian shall determine the cash value of the estate and contact a mortuary advising the amount of cash available for payment. The Deputy Public Guardian should use the monthly mortuary listing for selection as the family has no preference. e. The Deputy Public Guardian must request one certified copy of the death certificate. The charge of the death certificate is included within the cash available for payment of services. f. Cremations and autopsies cannot be authorized by the Public Guardian's Office. Only family members can authorize cremation and autopsies.

2. The Deputy Public Guardian must complete a Change of Status and distribute to appropriate agencies and staff. If automatic payments need to be canceled, the assigned Deputy Public Guardian should prepare a Request to cancel "Auto" Pay. a. Request to accounting section shall delete all automatic payments.

B. The Typist Clerk II will distribute Change of Status to appropriate agencies and staff.

1. Enter into computer "HOLD" on the account. This should prevent any deposits or disbursements.

2. Change of status on computer to deceased code.

3. Enter date of death.

C. The Accounting Clerk will delete all automatic payments, if requested.

D. If the Last Will and Testament was located, the Deputy Public Guardian must contact the Executor and advise him/her of the death of the conservatee. The Deputy Public Guardian must ask the Executor is he/ she is willing to administer the estate. The original Will should be filed

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with the Superior Court. A copy of the Will should be sent to the attorney for the conservator and the Deputy Public Guardian case file.

1. If the Executor is willing to administer the estate, the Deputy Public Guardian must forward a copy of the Last Will and Testament to the Executor.

2. If the Executor declines to act as Executor, the Deputy Public Guardian must re quest, in legal form, a Declination to Act as Executor and file it with the Court. A filed copy should be forwarded to the conservator's attorney and a copy is made for the Deputy Public Guardian's case file.

3. If the estate does not exceed the value of $166,250,000.00 for real and personal property, the Deputy Public Guardian must determine heirs of the estate. If the real property exceeds $166,250.00, it does not qualify under Section 13100 of the Probate Code. a. If there is a Will, the Deputy Public Guardian shall distribute according to that Will. b. If there is no Will, the Deputy Public Guardian must complete a 13100 Affidavit and forward it to all relatives for review, signature and Notary Public for cash distribution only. The Deputy Public Guardian should confer with counsel on who have rights to inherit on intestate succession.

1. If there are known relatives, the Deputy Public Guardian must contact those relatives for names and addresses of any other relatives know to them.

2. Relatives within the first degree; i.e., surviving spouse, son, daughter, mother, father, sister, brother, niece or nephew are first in line for distribution.

3. If there are any discrepancies regarding the correct heir to distribute property, the Deputy Public Guardian must discuss with the Supervising Deputy Public Guardian c. In the event that the assigned Deputy is unable to locate heirs, a referral should be sent to the Public Administrator.

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The Public Administrator can accept cases wherein the location of the heirs is unknown. They will also accept cases if the named Executor in the Will declines to act and there is no one willing to administer the estate. Referrals should not be sent to the Public Administrator when it is possible to distribute under Provisions of Probate Code 13100.

4. The Deputy Public Guardian shall request the Accountant and Estate Property Custodian to check for any property remaining in the safe room and warehouse.

5. The Deputy Public Guardian must contact the facility to determine any outstanding debts, including pharmacy charges. Final billing should be sent to this office. a. The Deputy Public Guardian must request a refund of the Patient Trust Account. b. The Deputy Public Guardian must request whether there remains any personal property at the facility.

1. If there is personal property consisting of clothing only, the Deputy Public Guardian must advise the family members and ask them what their wishers are. In the event the family members with to donate the clothing to the facility, the Deputy Public Guardian must obtain a letter from all heirs authorizing the donation. A copy of the letter should be sent to the facility.

2. If the family members with to keep the clothing and there are no objections from the other heirs, the Deputy Public Guardian must instruct the facility to release the clothing to the family member(s) and request a copy of the list of personal property outlining items released and family members' signatures showing that family members have received the personal property.

3. If the personal property consists of item other than clothing, the Deputy Public Guardian must make arrangements to pick up and store the property until final distribution is authorized. c. If there is an Executor, the Deputy Public Guardian must determine the amount of partial distribution. The Deputy Public Guardian shall not make any distribution to the

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Executor without an Order of Administration of Letters of Testamentary. d. Upon receipt of a certified copy of the death certificate, the Deputy Public Guardian must request preparation of a Notice to Director of Health Services and form #S-0086.

E. The Typist Clerk will type a Notice to the Director of Health Services and form #S-0086. Date, sign and attach a copy of the death certificate.

Photocopy one copy to County Counsel with the original being sent to filing in the Superior Court. One copy is sent to the attorney for the conservatee, if appropriate, and a copy is made for the Deputy Public Guardian's case file.

F. The Deputy Public Guardian shall request preparation of Extension of Time to file Final Accounting, if a 700.1 Notice is to be given. This would allow the Department of Health Services to file a claim in their allotted time.

1. Upon receipt of the 13100 Affidavit from all relatives, the Deputy Public Guardian must review all pages to insure that it is completed and relatives are within the second degree.

2. Request completion of final accounting. Refer to Policy #320Accounting.

3. Upon receipt of copy of filed Order Settling Final Accounting, the Deputy Public Guardian must request payment of all fees to appropriate agencies approved by the Superior Court. A request for payment must be accompanied by a copy of the Order and given to the accounting section.

G. The Accountant will calculate and AB1018 interest on money to the estate.

1. The Accounting Clerk shall process the check request. The check shall be given to the Typist Clerk II for preparation of fee receipt.

H. The Typist Clerk II shall prepare receipts for fees to all appropriate agencies. The receipt and Check shall be sent to the appropriate agency for signature. The receipt should be copied for the Deputy's record.

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I. After payment of all fees, the Deputy Public Guardian should obtain a computer printout (38), and prepare a Receipt for Assets and make final distribution pursuant to the Court Order of the Superior Court.

1. Monitor return of the filed copies of the fee receipts. Upon receipt of all filed receipts, the Deputy Public Guardian should request County Counsel to prepare a Declaration Final Discharge. A filed copy should be returned and placed in the Deputy's file.

J. County Counsel is responsible for filing the Declaration of Final Discharge and sending a filed copy to the Public Guardian.

1. If the Declaration of Final Discharge cannot be filed, the Deputy Public Guardian must determine the missing document in order to close the case.

2. If the Declaration of Final Discharge is filed by County Counsel, the Deputy Public Guardian shall close the case and turn the file over to the Typist Clerk II. K. The Typist Clerk II shall make a computer entry showing the case is closed. Enter into the computer Status Code 139 (LPS) or 159 (Probate), showing the case is closed.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

242

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

400

SUBJECT:

PREPARATION OF CURRENT AND FINAL ACCOUNTINGS

REFERENCES:

Probate Code Section 2620

FORMS:

Court Accounting; Accounting Cover Sheet DOMH 403-2 and Public Guardian Receipt

EFFECTIVE DATE:

September 30, 1997

REVIEWED DATE:

August 25, 2021

POLICY: The court accounting is reviewed by the Deputy Public Guardian. The Deputy will prepare an addendum report of conservator and the draft accounting cover sheet. The Supervising Deputy Public Guardian must review all first accountings and final accounts before the document is typed. Upon receiving a court accounting document, the assigned Office Assistant II must verify if the Supervising Deputy Public Guardian needs to approve the accounting, if not, the OA II must process the accounting within 3 working days and enter the date the accounting was sent to counsel on the PWIS system.

PROCEDURE: A. The Deputy Public Guardian receives a court accounting from the Public Guardian accounting division. The DPG will first determine if the accounting falls within provisions of the accounting waiver. If it does, the DPG will prepare a petition to waive the accounting.

1. In LPS cases the petition to waive the accounting must be filed each year.

2. Probate cases, accountings can be waived for the current accounting and all future dates if the account is within the guidelines for the waiver.

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3. The DPG must have all first and final accountings reviewed by the immediate supervisor. The immediate supervisor will initial the cover sheet indicating the accounting document was reviewed and approved.

B. The Office Assistant II will receive either (1) a petition to waive the accounting or (2) court accounting.

1. If the accounting is waived, the OA II types the information provided by the deputy on a blank Petition for Accounting Waiver.

2. If the court accounting is not waived, the OA II must type up the cover memo, report of conservator and location of the conservatee on the statement of charges page.

3. Accounting Cover Sheet: This form is typed exactly as prepared the Deputy Public Guardian. See the example 1.

4. The Report of Conservator is typed on plain white paper in the format noted in sample 2. The name of the conservatee is noted in the upper left hand corner, with the case number and the type of account. a. The Deputy Public Guardian will write out the Report of Conservator and it must be typed as written. On the bottom left hand corner of each page type "Report of Conservator", and the type of accounting. This "footer" must be noted on each page of the Report of Conservator. b. The report of conservator needs to have page numbering at the bottom of each page. The page number is centered at the bottom of each page, i.e. 1 of 2.

5. The Delineation of Administration Services is an exhibit which lists the services provide to the clients. On the upper right hand side of the form, the OA II types in the case name and number. a. The page numbers should be inserted on the bottom of each page. The page numbers should be centered.

6. The Summary of Accounting page must list the conservatee's current address on the first page. Please see the sample 3.

7. Once the accounting documents are completed, carefully proof read the accounting cover sheet, Report of Conservator and court accounting for any errors.

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8. Return the completed accounting to the DPG for signature.

9. When the accounting is returned to the OA II, check again for any additional changes or corrections. Make all the corrections.

10.

Make copies of the accounting as follows:

a. Accounting Cover sheet (3 copies) Original sent to counsel for filing.

(1) Copy to counsel for their records.

(1) Copy to deputy file.

(1) Copy for accounting file. b. Report of Conservator (3 copies) Original sent to counsel for filing.

(1) Copy to counsel for their records.

(1) Copy to deputy file.

(1) Copy for accounting file c. Exhibits A&B (2 copies) Original sent to counsel for filing.

(1) Copy to counsel for their records.

(1) Copy to deputy file.

11. After all the copies are made, combine the documents together; Accounting cover sheet, Report of Conservator, exhibits A&B, court accounting. This is one packet. Prepare a Public Guardian receipt and place in front of the accounting cover sheet.

12. Place the accounting in the "rounds" mail slot if the attorney is County Counsel. If counsel is private, mail the document directly to the attorney of records.

13. Update the PWIS computer on the date the accounting was sent to counsel. This is accounting to attorney line in the account master.

14. When the filed accounting petition is returned to the office, the OA II updates the accounting information on the PWIS system. It is the accounting filed date on the account master.

15. Photocopy the first page of the accounting petition and the last page where the "prayer" is located. These two pages are given to the accounting division.

16.

The accounting petition is returned to the DPG for their case files.

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17. When the accounting is approved, counsel prepares an order settling the account. This document will indicate if fees are approved, for amount and the date of the next accounting. When an order settling the account is received, the OA II makes a copy of the first page, and the "ordered" page and distributes these copies to the accounting division. The OA II distributes the order to the assigned DPG.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

401

SUBJECT:

CLOSED CASE FILES

REFERENCES:

None

FORMS:

Affidavit of Final Discharge

EFFECTIVE DATE:

January 1, 1988

REVIEWED DATE:

August 25, 2021

POLICY: A unified procedure to shred closed case files over six (6) years old. Probate and LPS files will be removed from file folders and placed into boxes. Old folder files will be retained for re-use at some future date. The boxes containing case file information will be shredded.

PROCEDURE: A. The Estate Property Custodian will examines all closed case files over six years old to determine if the Declaration of Final Discharge has been filed.

1. Removes contents from file and places it in a box in preparation for shredding.

2. Retains files for reuse.

3. Prepares a list showing name, case number of each case destroyed.

This list will indicate the date the contents were destroyed. This list is prepared and given to the Mental Health Services Administrator. A file will be maintained in the Administrator files.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

248

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

402

SUBJECT:

DEPOSITING AND WITHDRAWING VAULT ITEMS

REFERENCES:

Vault record, Inventory Control Sheets

FORMS:

Vault record, DOMH-P/G 402, Property Inventory Sheets

EFFECTIVE DATE:

February 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: All items of value shall be placed either in the vault or warehouse for safekeeping. Vault items may include: jewelry, coins, stamps, important documents, and unusual collectibles. In order to establish an audit trail all property being placed in the vault must be inventoried within 24 hours of placement and shall be signed into and out of the vault.

DEFINITIONS: Costume jewelry - jewelry made of relatively inexpensive materials or set with imitation gems.

GENERAL INTERNAL REGULATIONS: 1. All vault deposits must be completed with 24 hours of bringing the property into the office. If vault deposit items are brought in during normal working hours, they are not to be left on the Deputy's desk or other unsecured areas. They must be deposited as soon as possible during the working day.

2. All inventory item numbers of property, including cash, to be deposited in the vault must be circled on the original property inventory before the Deputy presents items to the assigned account clerk for disposition.

3. All cash items will be personally delivered to the accounting clerk to be logged in. Under no circumstances is cash/vault item to be left on the

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desk/work area of the vault clerk, or Deputy. After cash is logged in all cash property to be deposited in vault is presented by Deputy to the assigned account clerk for disposition.

4. The following items must be deposited in the vault: cash, precious metals, checks and traveler's checks, coin collections, jewelry, watches, original Wills, bonds, certificates of deposit, stock certificates (except those with no value), vehicle certificates of ownership (pink slips) and other documents relating to title, life insurance policies and trust deed with notes attached.

5. The following items are not acceptable for deposit in the vault but may be placed in the warehouse: sterling silver items, cameras, pictures, picture frames, binoculars, pocket knives, and costume jewelry.

6. Only the assigned Account Clerk, Accountant II, Chief Deputy Public Guardian are allowed to enter the vault. Other staff may enter upon approval of Accountant II. 7. In the absence of the assigned Account Clerk, the Accountant II will deposit or withdraw items from the vault.

8. Prior to appointment, all checks will be deposited in the vault until the Deputy determines whether or not the Public Guardian will administer the case.

9. Persons authorized for vault withdrawals are as follows: Deputies, Supervising Deputy Public Guardian, Chief Deputy Public Guardian, warehouse personnel, accounting personnel and the Public Guardian.

PROCEDURE: A. Depositing items into the vault.

1. Upon returning from the field with vault items, the Deputy proceeds to the assigned Account Clerk who counts and logs in the cash and checks to be deposited and initials the original Property Inventory Sheet.

2. The Account Clerk next matches each item to its description on the Property Inventory Sheet. a. Minor corrections are made to the white Property Inventory Sheet and initialed by both the Deputy and Account Clerk.

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b. Major corrections are noted by a memo explaining the discrepancy, signed by both the Deputy and Account Clerk and attached to all copies of the Property Inventory Sheet.

3. After each item has been matched to its description on the Inventory Sheet, the Account Clerk initials each item to indicate having received it. The Deputy if relieved of the responsibility for the items at this time.

4. The Account Clerk types the vault deposit and withdrawal record. The vault deposit and withdrawal record is filled out as to: a. date deposited b. item number c. description by the Account Clerk - vault record 5. When the vault deposit and withdrawal records are ready, the Account Clerk notifies the Deputy who goes to the Account Clerk and initials in half of the "receipted from" column. The Account Clerk initials the "receipted from" column, makes a duplicate copy of the vault deposit and withdrawal record and gives it to the assigned Deputy to place in the case file.

B. Withdrawing items from the vault.

1. When an item is to be withdrawn from the vault the Account Clerk completes the following columns on the vault and withdrawal records: a. "distributed from" b. "distributed to" 2. The person receiving the items completes the following columns: a. "distribution to" b. "for distribution" 3. Upon signing the "distribution to" column the person receiving the item assumes responsibility for the item.

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4. The Account Clerk makes a copy of the vault deposit record and gives a copy to the assigned Deputy.

5. If another item from the same estate is brought in at a later time, the same record is used.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

252

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

403

SUBJECT:

INVENTORY OF PERSONAL PROPERTY

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

SUMMARY: Function in audit trail for inventory control of personal property and procedure thereof including responsibilities for requesting and coordinating inventory, role of the witness, items to be included and omitted establishing values of items, and control of residence keys.

POLICY: Warehouse section shall have responsibility for coordinating inventory which includes boxing, describing, numbering, and valuing the items of personal property. The inventory will be conducted by designated warehouse personnel and an impartial and voluntary witness.

All items of property with value will be included on inventory except items owned by others and are authorized to be released in advance by Deputy, opened bottles of liquor, beer, or wine and food in cupboards or refrigerator; nonsalable, contraband pornographic materials; and no value items.

Determination of value and inclusion of item in the inventory will be resolved at the sites of inventory. If a later disagreement arises concerning an issue of valuation or disposition of an item it will be resolved by the Mental Health Services Administrator.

PROCEDURE: A. The Deputy Public Guardian as soon as practicable after initial visit of residence of a Conservatee, Deputy will determine the necessity of an inventory of the personal property therein.

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1. Requests that inventory be performed completing required information on Inventory Request.

2. Determines disposition of keys to residence upon completion of inventory. a. If rental, Deputy will notify Estate Property Technician to release keys to Manager or Owner upon removal of property to warehouse.

Deputy will prepare key release form for Manager's or owner's signature and attach same to Inventory Request. b. If residence belongs to estate the keys will be kept in vault until property is removed.

B. The Estate Property Technician during inventory, all items listed on sheets will be tagged with corresponding inventory number consisting of an alpha/numerical code which includes the initials of the conservatee and the chronological item number assigned thereto. The importance of accurate tagging cannot be overemphasized as these alpha/numeric codes are used to trace each item through the entire chain of custody of the item within the Public Guardian Office until sale or release.

1. After all items inventoried and removed, residence is released to appropriate individual.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

254

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

404

SUBJECT:

PREPARATION OF INTERNAL INVENTORY SHEETS

REFERENCES:

None

FORMS:

Riverside County Inventory Form

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: To insure protection of the conservatorship intake, an inventory describing the property and value shall be prepared whenever staff personnel picks up personal property belonging to a conservatorship estate. Every effort shall be made to protect and carefully maintain all personal property.

PROCEDURE: A. The Deputy Public Guardian or Estate Property Technican upon receiving any personal property belonging to a conservatorship estate, the party picking up the property shall prepare a Riverside County Inventory Form.

1. The preparer shall note the case name, case number and date. The preparer will note the conservatee's name and address where the property was picked up.

2. All items are to be numbered with the corresponding number and inventory sheet.

3. All cash items are to be labeled "l". The purpose for this is to have a quick identification of all cash.

4. All jewelry believed to be a substantial value shall be individually tagged. All stocks, bonds and insurance policies are to be individually tagged.

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5. Household items should be grouped in similar sets, i.e. (box of books, box of pots and pans etc.)

6. Whenever an inventory is being conducted an independent third party should be present. If one is unavailable a good faith effort should be made to seek an alternative. Efforts to locate a witness should be documented either in the deputy's case file or warehouse file.

7. Prior to the inventory, the person conducting the inventory shall take pictures of the premises and property.

8. Estimated value is for internal purposes only and should not reflect the true market value of the property.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

256

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

405

SUBJECT:

COMPLETING INVENTORY SHEETS

REFERENCES:

None

FORMS:

Property Inventory Sheet (FORM 0612-46.3), Auditor­ Controller Receipt

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

SUMMARY: As a basis for establishment of uniformity (within the audit trail for control of property), the following procedure is implemented. The individual preparing the Inventory Sheet has the primary responsibility for accuracy and adherence to the policies and procedure set forth herein.

POLICY: All items of property that are assets or represent assets or potential assets of the estate shall be inventoried on approved Inventory Sheets except: checks or other negotiable instruments received in the mail or received over the counter.

These will be either logged in (mail) or a receipt given and logged in (over the counter). Rental payments collected in the field will be evidenced by a receipt.

(Auditor-Controller receipts).

PROCEDURE: A. The Deputy or Estate Property Technician fills out the top section of the Property Inventory Sheet 1. The estate name and the residential address (street address and city) of the conservatee.

2. The case number - be it our assigned number or the number from the Court.

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3. The ID code letters - should be all three initials of the person whose estate is being inventoried.

4. Since many cases have the same first and last initial, the middle initial must be included.

5. The deputy's or Estate Property Technician's or another designated person's signature plus the date of the inventory.

6. The witness' signature, address (street and city) and phone number.

These must be present on every inventory sheet used.

B. The Deputy or the Estate Property Technician numbers, describes and assigns a value to each item. The descriptions or each item should adhere to the following guidelines: 1. The identifying number assigned to each item of property together with an estimate of its value and a brief and accurate description.

2. Cash is always numbered "1" on the inventory sheet and dollar ($) amount is written in estimated value column.

3. Each check should be itemized under separate inventory number (not No. 1). The description should include the payee (if different from the person being inventoried), the maker of the check, the check number (not the bank number), the date of the check, purpose for which drawn (if known), and the amount of the check (in the estimate value column).

4. Bonds, stocks and wills should show the owner (if different from the person being inventoried), the identifying numbers, the name of the maker, the date issued, the number and type of shares, and for bonds, the face value. Deeds and other legal documents should not be inventoried until it is determined that they represent actual current assets of the estate.

Note: Deeds and other legal documents should be inventoried as part of the "personal papers" and brought back to the office should be placed in plastic bags and labeled as such.

5. Individual items of jewelry should include the color of metal, the number and color of stones, and the type (ring, pin, necklace, etc.).

State if any stones are missing. If there are many stones in a particular item label stones as "numerous". Each item should be place in a labeled plastic bag or string tagged.

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6. Watches should be describe as to color of metal, color or type of band, the brand name, and whether man's, lady's or child's.

7. All Certificates of Ownership should be inventoried. Certificate of Ownership descriptions should include the owner (if different from the person being inventoried), the year of the manufacture, the make, the ID Number, and the license number. Other documents relating to car titles (registration, smog certificates, etc.), should be attached to the Certificate of Ownership.

8. Unless heirs request that they be broken down in the field, coin and/ or currency bag or other container(s) and described as "Sealed bag/ container or coins to be broken down later, value pending." If the heirs request that the coins be broken down in the field, they should be placed in plastic bags by denomination with the face value of the coins and/or currency attached (i.e., "8 fifty­ cent pieces, a total face value: $4.00). Foreign coins and currency, regardless of number or suspected value, will be place in a sealed bag and identified as such with value as pending. Upon request by memo from the Deputy, the coins will later be broken down in the office by the Estate Property Custodian.

9. Special consideration must be given to "built-in" items, or to items which are combined into a single item. a. Built-ins, custom-fit items or items that are permanently attached to the home or mobile home, or removal of which would result in an incomplete unit, should not be removed or inventoried as separate items (i.e., built-in stoves, air conditioning units, skirts, awnings, butane tanks, should be listed as part of the mobile home features). The primary consideration is whether the item has utility in the living unit which appreciates the value of the unit and removal of which would depreciate the value of the basic unit. b. Boats and trailers, as well as pick-up trucks and campers are considered to be one basic unit and, as stated above, should be inventoried together. (The description, however, should detail, e.g., sailboard with trailer).

10. Upon finding what appears to be an original will, whether formal or holographic, an Estate Property Technician phones in his discovery to the Deputy or Supervising Deputy Public Guardian. The Will is listed on the Property Inventory Sheet and is taken to the Account Clerk for

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deposit into the vault. (See Procedure No. 402 Depositing Vault Items).

11. If, during the inventory, the deputy or Estate Property Custodian comes upon items which are not to be included as part of the inventory, Procedure No. 501- Handling of Non-Salable and Illegal or Contraband Items is followed.

12. When a deputy enters a residence for any purpose, prior to the removal of personal property (i.e., search for Will, obvious valuables, etc.), a Property Inventory Sheet must be completed, even though no property is removed (i.e. "Premises inspected for Will or valuables.

None found. No Property removed."). The witness will sign the Property Inventory Sheet and be given a copy.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

260

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

406

SUBJECT:

MAIL

REFERENCES:

GP2, DP2 and APl

FORMS:

Log Book for Currency, Coins, Checks, Money Orders, etc., and Return to Sender Form Letter

EFFECTIVE DATE:

September 17, 1985

REVIEWED DATE:

August 25, 2021

POLICY: All mail shall be processed in a timely manner. First priority shall be given to processing checks and cash, which shall be opened, logged, and transmitted to Accounting on the day they are received. Appropriate internal control, including adequate separation of duties, shall be maintained to ensure protection of all receipts. Second priority shall be given to Medi-Cal and Supplemental Security Income Notices of Action and any Court "Orders to Show Cause" on Accountings.

PROCEDURE: A. The Typist Clerk II as mail is received, and before it is opened, every effort will be made to sort and open cash and checks first.

1. The mail opener's first responsibility will be to open, sort and log in all checks and cash received in the morning mail. (See reference form# for detail on log entries).

B. The Accountant II will the log shall be initialed by the mail opener and delivered to Accounting with the morning receipts, where designated Accounting staff will initial receipts of the cash and checks.

C. The Typist Clerk II the log and receipts shall be delivered to Accounting by 10:30 a.m. or sooner.

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a. It is expected that checks and cash received in the afternoon mail will be processed as detailed above and will be delivered to Accounting the same day.

D. The Accountant II When a question arises on a check, which delays or prevents posting, the log shall indicate who is researching the check and that individual will initial and date the log. The designated Accounting Staff shall be responsible for follow up on such checks.

1. All checks in question will be secured, with copies made to allow two working days for research. Exceptions to this policy would include non-appointed cases and cases where the payee is deceased or terminated as detailed below.

2. Check copies will be forwarded to the Supervising Deputy Public Guardian, who will sign and date the copies. Upon return to Accounting, the Supervising Deputy Public Guardian will again sign and date the copies. Check copies will be filed and maintained in an Accounting file.

3. When appointment has not been made, but is imminent, the check shall be held and secured by the Accountant II until appointment is obtained, at which time checks shall be immediately deposited.

4. In those cases where appointment is not expected and/ or where the case is deceased or terminated, the checks shall be promptly returned to the sender. A copy of the letter will be filed in a case or referral file.

5. Appropriate notation and initialing, which indicates action taken shall be made in the log.

6. All undeposited checks shall be appropriately secured by the Accountant II. E. The Typist Clerk II once all mail has been opened, and checks and cash have been sorted and delivered to Accounting, the remaining mail can be distributed to the clerical staff who will sort the mail by Deputy and deliver to the appropriate clerical staff person.

1. Each Typist Clerk will then be responsible for date­ stamping, sorting and screening the Deputies' mail for action, signature, reading items, etc.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

263

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

407

SUBJECT:

UPDATING AND CREATING POLICIES AND PROCEDURES

REFERENCES:

None

FORMS:

Policy and Procedure Format

EFFECTIVE DATE:

September 17, 1985

REVIEWED DATE:

August 25, 2021

POLICY: It shall be department policy, to enhance consistent and efficient operational functioning, written policies and procedures shall be maintained and regularly updated.

PROCEDURE: A. The procedure manual shall include labeled procedures for Deputies (DP), Accounting (AP), and General Office/Clerical (GP). All procedures can, as appropriate and cross-referenced under the reference heading of the procedure format.

B. The Supervising Deputy Public Guardian, Accounting II and Senior Clerk shall be responsible for updating and adding procedures as needed.

1. The established format shall be used in updating/initiating new procedures.

C. A distribution list for procedures shall be maintained by the Senior Clerk, who upon receipt of new and updated procedures will arrange for printing and distribution.

1. The process of updating and/or developing new procedures shall be as follows:

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a. The initiator shall discuss the need the relevance of a proposed procedure with supervisor. Upon concurrence that a procedure is needed, the initiator shall draft the procedure. b. Upon completion of the draft, the procedure shall be forwarded to the Supervisor for review. Any additions or corrections will be added and the procedure will be ready for broader office review. c. The procedure will then be copied for other sections within the office. Review of procedures shall be made by all office sections, deputies, clerical, and accounting. Each section supervisor shall be responsible for review. d. Review shall be made within an appropriate period of time. The reviewer shall return suggestions, corrections and/or additions to the initiator's Supervisor, who will forward to the initiator for completion. e. Any unresolved conflict between office sections shall be resolved in a committee of section representatives which will be convened as necessary to review proposed procedure and/or accompanying forms. f. Upon completion of corrections and/or additions of the procedure, the procedure shall be forwarded to the Mental Health Services Administrator for approval. Upon approval at this level, the procedure will be forwarded to the Manager of Adult Services. g. The Manager of Adult Services will forward the procedure to the Director for final approval. h. Upon the Director's approval, the procedure will be returned through the chain of command for adoption. i. Once final approval is received, the initiator shall forward the procedure to the Senior Clerk, who will be responsible for printing the procedure and accompanying forms and shall ensure appropriate office distribution. j. Depending on the nature of the procedure, review and concurrence of the Departments/Agencies may be appropriate. Where appropriate, distribution of such procedures should also be made to affect Departments/Agencies

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

408

SUBJECT:

REVENUE-INTEREST

REFERENCES:

W & I Code 8009, Computrust Procedure Manual

FORMS:

Interest Posting Calculation Sheet

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The Public Guardian shall post interest consistent with outside rates to insure the conservatee receives the total dollar value equal to what the estate could have earned if the money was individually invested.

Any excess payment of interest earned by the pooling of funds shall be a benefit which shall only accrue to the Office of the Public Guardian. Interest will be transferred to the Department of Behavioral Health Accounting Division on a quarterly basis.

PROCEDURE: A. The Accountant II shall be responsible for preparing and calculating the payment of interest for the conservatees.

The Accountant is to survey seven loan banks: Union Bank, California Federal Savings/Loan, Bank of America, Home Savings/Loan, Security Pacific Bank, First Interstate Bank, American Savings/Loan. The purpose of the survey is to determine the prevailing rates offered to the general public. Based upon this survey the mean of the interest will be used to determine the interest rates on the tiered schedule. The rates are to be used at the time the interest is calculated, reviewed and posted. For example the rates surveyed for January will be the same rates posted during April for the time period of January through March.

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1. Once the survey is completed, the results will be discussed with the Mental Health Services Administrator. Upon approval, the Accountant will post the interest for all conservatorship estates.

2. Burial trust interest will also be surveyed with the same banking institutions mentioned in # 1 procedure. The rate will also be discussed with the Mental Health Services Administrator. Upon approval, the Accountant is to insure the interest is posted to the various conservatorship accounts.

3. At the end of each quarter, the Accountant shall prepare a report indicating the total amount of interest earned in the investment, checking and burial accounts. The total paid interest is to be reported. The difference less any bank charges in revenue for the Office.

4. Revenue is to be forwarded to Behavioral Health Accounting on a quarterly basis.

5. Semi-annually, the Accountant shall perform an analysis of the payment of interest made to insure the client has received the correct amount of interest. This is to validate the tiered schedule.

6. This analysis would also consider any potential readjustment for interest. This would cover any adjustments for uncollected checks, uncashed paid checks past the six (6) month negotiation period, incorrect benefit posting and returned checks. After all the readjustments are made, the Accountant shall determine the revenue.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

268

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

410

SUBJECT:

Revolving Fund

REFERENCES:

None

FORMS:

Request for Payment DOMH / PG 102

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The Office of the Public Guardian shall advance monies to Conservatorship estates for the purpose of protecting those estates. Circumstances for which such advances may be made include: a need to secure or clean real property or mobile home residences, to prevent foreclosure, to procure services necessary for the Public Guardian to meet legal responsibilities as laid out in the California Probate Code. Once estates monies become available, the estates shall repay the revolving fund.

The Revolving Fund account shall be monitored monthly to see that proper procedures have been followed. I CH, Chapter 2, Section 2.h (6) requires funds in bank accounts to be reconciled monthly. The Reconciliations shall be reviewed, dated, and signed off by the Mental Health Services Administrator.

PROCEDURE: A. The Public Guardian Accountant shall maintain an interest-bearing checking account representing the funds for the Public Guardian Revolving Fund. Authorized signers on the account shall be the Mental Health Services Administrator, the Mental Health Services Administrator, and the Behavioral Health Services Supervisor over the Conservatorship Investigation Office. Checks drawn on the account must be signed by the Mental Health Services Administrator or designee among the other authorized signers.

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B. The Accountant, on a monthly basis, should identify Revolving Fund interest. The Accountant will compile accumulated interest to transfer to the Behavioral Health General fund at least on a quarterly basis.

C. The Revolving Fund shall be available in the following circumstances: a. Home is in foreclosure. b. Residence requires securing. c. Residence must be cleaned for the purpose of renting or selling it.

Either equipment or cleaning crews are required. d. Other unanticipated emergency circumstances arise in which funds are reimbursement is reasonably expected.

D. When Public Guardian staff determines that an estate requires a cash advance, the staff person must complete a Request for Payment (DMH/PG 102A). At the top of the form the staff person shall write, "Revolving Fund." The staff person will specify the amount of the loan, and the check will be made payable directly to the Conservatee's account. A statement of justification must be attached to the emergency fund request. At the same time, the staff person will prepare a second Request for Payment (DOMH/PG 102A) to facilitate the transfer of funds from the client account to the vendor.

E. The Mental Health Services Administrator or designee from the authorized signer list shall review the request to use the Revolving Fund to insure compliance with this policy and to determine that reimbursement is reasonably expected. The Mental Health Services Administrator or designee shall indicate approval of the request via signature and date on the request form. For request equal to or greater than $5,000, two dated signatures of authorized signers shall be required.

F. Upon receiving a properly approved Request for Funds from the Revolving Fund the Accountant will process the request. A check will be cut to transfer the requested amount from the Revolving Fund to the Client's account. If the check is for $5,000 or more, it will require the signatures of two authorized signers. After approval, the check will be entered into the client's trust account in CompuTrust.

G. The Accountant shall maintain a control file for all Revolving Fund checks and shall reconcile the file monthly. The monthly reconciliation shall be sent to the Mental Health Services Administrator for review. The

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Mental Health Services Administrator shall sign and date the reconciliation subsequent to review and maintain a Revolving Fund Reconciliation file.

H. The accountant working with the requesting Deputy shall monitor outstanding debts to the Revolving Fund on a monthly basis to determine when reimbursement is possible, with no specific time. When funds are available, the Deputy shall complete a Request for Payment (DOMH/PG 102A) payable to "Public Guardian Revolving Fund," with two authorized signers for approval.

I. Should it become clear that an estate would not be able to reimburse the Revolving Fund, the Mental Health Services Administrator is to be notified. The Mental Health Services Administrator will then initiate a request to replenish the Revolving Fund through the Staff Analyst. At this time the "replenishment" of funds to the revolving fund would be established through the Behavioral Health General Funds. This step is only to be initiated if all avenues for reimbursements have been exhausted.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

271

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

435

SUBJECT:

SB 90 CLAIM PREPARATION-CONSERVATORSHIP FILINGS

FORMS:

SB 90 Worksheets; DOMH-PG 435; County of Riverside Expense Reimbursement Claim Travel Form; Riverside County Car Pool

EFFECTIVE DATE:

April 20, 1989

REVIEWED DATE:

August 25, 2021

POLICY: Public Guardian to document time spent on cases on which the Public Guardian was appointed the conservator due to the Court Investigator's findings, where such costs would be eligible for reimbursement to the extent that these exceed any other court-directed function or any payment received from the estate of the conservatee. (Cases identified as LPS cases are not eligible for reimbursement).

The Public Guardian staff will track all Probate conservatorship cases which fall under the above-mentioned guidelines, and prepare claims on a yearly basis.

PROCEDURE: A. Upon receiving information on new appointments indicating the Public Guardian was appointed the successor conservator pursuant to the Court investigator's recommendation, the SDPG will notify the Mental Health Services Administrator by memo of the new case. The SDPG will also discuss the case with the assigned DPG and review case documentation requirements.

1. Case documentation includes noting all time spent on conservatorship administration services within the case file. This may include memos to file, case contact log, or time notations at the bottom of a completed document.

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2. The assigned DPG will also document the case name on all County of Riverside Expense Reimbursement Claims, travel logs, and sign-out sheet. The dates on the respective logs should coincide with information within the deputies' files.

B. Each year, the assigned DPG will complete an SB 90 worksheet. The instructions listed on the first page of the worksheet are to be followed in completing the worksheet. The worksheet will be completed no later than October 15th of each year. In order to complete the form, the DPG will review his/her case file and print a trial balance report. The completed form will be given to the SDPG for review.

C. The SPDG will review all worksheets to ensure the worksheet is accurate.

SPDG will also check the worksheets against the prior year's claim to avoid omitting an eligible estate. After the worksheets are reviewed they are to be submitted to the Mental Health Services Administrator.

D. The Mental Health Services Administrator will compile the worksheets and prepare the claim. The claim form will list the name of the employee, rate of pay, total salary, total benefits and the total of both salary and benefits.

1. The Mental Health Services Administrator will be responsible for maintaining the justification for the claims which may include time studies, expense claim reports and copies of travel and check out logs.

This information may be later used when the claim is audited by State Representatives.

2. The claim will be transmitted to the Auditor-Controller. The AuditorController prepares the entire SB 90 claim for the county. A photocopy of the claim will be sent to the Accounting Section of the Behavioral Health Department and the Manager of Adult services for their records.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

274

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

500

SUBJECT:

APPRAISAL OF VALUABLE ITEMS

REFERENCES:

None

FORMS:

None

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: 1. Requests for appraisals should be made to Estate Property Custodian by memo on the Request for Appraisal Form.

2. Appraisals for guns, coins, stamps, antiques, jewelry, etc. will be arranged when there are sufficient number of items to be appraised, with the only exception being the necessity of preparing the formal Court Inventory and Appraisal, or a sale of such items is pending. The Estate Property Custodian will be notified by memo of any such items that require an appraisal.

3. The appraisals whenever possible will be made at the Public Guardian's Office or Warehouse. In exceptional cases or instances, the Estate Property Custodian may remove the items to be appraised from the office to be taken to the Appraiser, with the prior approval of the Chief Deputy Public Guardian.

INTRODUCTION: To establish a uniform procedure for the valuation of the more valuable items of a conservatee's estate and to assist the Deputies in establishing values for Formal Court Inventories the following will be adhered to.

PROCEDURE: A. The Deputy Public Guardian sends a request to Estate Property Custodian for an appraisal of specific items.

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1. Select the appraiser from the approved list that appraises these items.

B. The Estate Property Custodian schedules the appraisal with sufficient lead time so that appraisement will be available to Deputy for requested purpose. (ie. Court inventory and appraisement, auction, etc.)

1. If the property is in the safe room, before arrival of Appraiser, the Estate Property Custodian notifies accountant of items to be appraised, arranges for the removal from safe room, and leaves original of Deputies Appraisal Request with accountant.

2. After the appraisal the Estate Property Custodian returns the appraised items to Accountant for re-deposit into safe room.

C. The Accountant checks the items off against the deputy's original Appraisal Requests and re-deposit items in the safety room.

1. Upon receipt of appraisal from appraiser the original appraisal (along with the bill) is given to accounting section for insertion in accounting file).

2. If appraisal is to be conducted at the Warehouse Facility at least a 4 day notice is to be given to the Estate Property Custodians so that he may arrange to have the property available for viewing by the appraiser.

Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

276

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

501

SUBJECT:

HANDLING OF NONSALABLE, ILLEGAL OR CONTRABAND ITEMS AND PORNOGRAPHIC MATERIAL

REFERENCES:

Internal Inventory Sheets

FORMS:

Internal Inventory Sheet

EFFECTIVE DATE:

February 1, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The office of the Public Guardian will handle all nonsalable, illegal or contraband items in a prudent manner.

DEFINITIONS: Contraband - Those items for which it is unlawful or prohibited to trade. These items include illegal drugs (heroin, cocaine, marijuana, etc.), large quantities of medicines, pills or tablets; machine guns; fully automatic weapons, rocket launchers, grenades, mortars, or any large caliber ammunition, police batons, blackjacks and "brass knuckles." (If the Deputy is in doubt about an item, the Supervisor should be consulted.)

PROCEDURE: A. Estate Property Custodian: Handling Nonsalable Items 1. Nonsalable items include: frozen or opened food; opened bottles of beverages, liquor, beer and wine; nonprescription home remedies, and small quantities of prescription drugs.

2. Frozen or opened food should be boxed or placed in closed plastic garbage bags and place in an on-site refuse bin or garbage pail.

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3. Opened beverages, liquor, beer and wine and opened medicines shall be poured down an open drain.

4. Small quantities of tablets or pills should be flushed down a toilet bowl, if possible.

5. Nonsalable items should be itemized on a separate Inventory Sheet which details the quantity and describes briefly the method of disposal. This sheet should be signed by the witness and filed in the case file.

B. Estate Property Custodian: Handling Unopened Bottles of Liquor, Beer and Wine 1. Unopened bottles of liquor, beer or wine may be given upon request to the next of kin during the inventory by the Estate Property Custodian.

If not claimed at that time at the site by the next of kin, they are brought into the warehouse for storage and later destroyed. They may be destroyed by opening said bottle.

2. In all cases, the bottles are inventoried on a separate property inventory sheet which describes what action has been taken, and later place in the case file.

C. Estate Property Custodian: Handling Illegal, Contraband and Pornographic Items.

1. Illegal, contraband and pornographic items are inventoried and witnessed on a separate property inventory sheet which will be filed in the case folder.

2. These items are then placed in the warehouse and the Chief Deputy Public Guardian is notified.

3. The Chief Deputy Public Guardian arranges for the items disposal or, if necessary, notifies the proper law enforcement authority. Upon disposal of said property, the Chief Deputy Public Guardian shall be responsible for preparing a follow-up memo describing the action taken, with a copy for Supervising Deputy Public Guardian.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

279

RIVERSIDE UNIVERSITY HEALTH SYSTEM BEHAVIORAL HEALTH – PUBLIC GUARDIAN POLICY:

502

SUBJECT:

SALE AT PUBLIC AUCTION

FORMS:

Request to Sell

EFFECTIVE DATE:

April 29, 1988

REVIEWED DATE:

August 25, 2021

POLICY: The Office of the Public Guardian may sell Real or Personal Property of the Estate in any one of the following cases: 1. The income of the Estate is insufficient for the comfortable and suitable support, maintenance, and education of the Conservatee including care, treatment and support of the Conservatee, if a patient is in a State Hospital under jurisdiction of the State Department of Developmental Services, or of those legally entitled to support, maintenance, or education from the Conservatee.

2. The Personal Property of the Estate and the income from Real Property of the Estate is insufficient to pay the debts referred to in Probate Code Sections 2430 and 2431.

3. It is for the advantage, benefit, and best interest of (1) the Conservatee, (2) the Estate, or (3) the Conservatee and those legally entitled to support, maintenance, or education from the Conservatee.

PROCEDURE: A. Whenever Personal Property is to be sold, the assigned Deputy Public Guardian should verify if there is a good reason to sell the property, the property is not specifically bequeathed, appraisal is completed, consent, if applicable, is on file. If a sale is to proceed, the deputy should complete a Request to Sell to the Supervising Deputy Public Guardian. Any applicable documents should be attached and forwarded to the Supervising Deputy Public Guardian.

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B. The Supervising Deputy Public Guardian will review all estates for sale, either by the Courts or by consent of the conservatee, when possible.

Review Request to Sell. The information will then be reported to the Mental Health Services Administrator with all necessary documents required authorizing sale of each estate and specifying types of items and the priority of sale for each estate. In case of special items, autos, jewelry, etc., minimum bid prices will be supplied.

Supervising Deputy Public Guardian shall be responsible for preparing and posting the Notice of Sale.

C. Mental Health Services Administrator will instruct Estate Property Technician which estates have been selected and approved for sale.

D. The Estate Property Technician will remove estate properties from storage and assemble by estate for rechecking of inventory. Property will be cleaned and prepared for best viewing appearance. Lot numbers will then be assigned to each item, in each estate. (Lot numbers must be tied to inventory number).

E. The Typist Clerk II with the completed sale list will be typed a long with sale tags for annotating sale prices, buyer, and inventory number.

Sufficient copies of sale list must be made for all auction customers.

F. The Estate Property Technician with the Advertisement of auction in local newspaper will be completed, a minimum of one week, prior to date of auction. Restroom facilities will be made available for customers, either in our building or portable accommodations.

G. Auctioneer will be contacted and given the date of the auction, at least thirty (30) days prior to sale. The longest lead time possible should be given. At the time of the auction, the auctioneer hand his crew must be given any special instructions needed by the Estate Property Custodians prior to the beginning of the auction.

The Estate Property Technician will oversee the proceedings and handle any problems that may occur. When all items are sold, the Estate Property Technician will then supervise the release of all items sold, making sure the right property is received by the right person.

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Review Completed: 8/25/2021 (Signature on file) Shirley Jackson Supervising Deputy Public Guardian (Signature on file) Deborah Young Supervising Deputy Public Guardian (Signature on file) Adrienne Gee Mental Health Services Administrator (Signature on file) Deborah Johnson Director of Innovation/Integration

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