11. Probate Q&A
1. Probate Status Reports can contain medical information on them. How is the court to handle these? Financial documents that are usually attachments to annual or final settlements; e.g. bank statements? As of right now I don't think there is a special docket code for those attachments at a higher security. Annual review/status reports for guardianships? These sometimes contain personal information; e.g. medical updates, financial status or info, etc.
The State Judicial Records Committee (SJRC) voted to raise the security level of the following codes from a 1 to a 3:
2. Address for minors/protectees/wards in guardianships?
As of today, the addresses for the minor and/or protectee are not considered personally identifiable information; however, there is a Senate Bill 103 that may change this in the near future.
3. Why is the name redacted as well as the date of birth? Will we have to redact a minor's name in Probate cases?
The State Judicial Records Committee (SJRC) voted to raise the security level of the following codes from a 1 to a 3:
- KSTAT – Status/Annual Report Filing KGSRF – Guardian Status Report Filing KRLSF – Report in Lieu of Settlement Filing KOSTR – Order Approving Status Report
- KOARS – Order Approve Report Lieu of Settlement
2. Address for minors/protectees/wards in guardianships?
As of today, the addresses for the minor and/or protectee are not considered personally identifiable information; however, there is a Senate Bill 103 that may change this in the near future.
3. Why is the name redacted as well as the date of birth? Will we have to redact a minor's name in Probate cases?
Updated 11-16-231
The minor’s name is not considered personally identifiable information for probate, municipal, traffic cases and criminal cases (Senate Bill 103). Court Operating Rule 2 does include date of birth in the list of items that is considered personally identifiable information.
4. In minor Probate Cases, if there is juvenile case information listed in filings, such as juvenile case numbers or juvenile case reports, would that information need to be redacted?
There is a reference in the Rule about redacting confidential case information. We will need to look at the exact language in the Rule that reference the confidential case.
5. For a small estate that is a pro se filing, for a bank account – for instance – they will need to file a redacted version and an unredacted version? Banks require the bank account number for them to obtain the contents.
Yes, a redacted and unredacted version would have to be filed.
6. In our county, probate matters require the attorneys to file death certificates, medicals interrogatories, credit reports, background screenings, etc. Local attorneys have told me they can no longer file those documents due to this new ruling. Is this correct?
No, that is not correct. Those filings still need to be made. There is nothing in the Rule that those should not be filed. All of these come in at a security level 3, which wouldn’t be a reason to redact. That information is required to be filed and there is nothing that prevents them from filing that information with the court. We can verify the information, but on probate, a lot of those documents are already considered a level 3 because they already contained all confidential information. The State Judicial Records Committee took an approach to those documents many years ago at the beginning of electronic filing.
7. Are annual settlements not open to the public? Is this situation like adult abuse, it is level 3 but is a public record?
Going forward, if a document is a security level 3, the party requesting it will have to file that application for a closed record in order to inspect the file. Then it would be up to the court to determine whether or not to release that document. The issue is that those secure documents have confidential information that shouldn’t be readily available to the public. In the past we have treated some of them like the Orders of Protection. You may want to have the party that is requesting it fill out that application for access to a closed record.
8. When attorneys file annual settlements and include bank statements, are they required to redact the bank account numbers? I know the docket code is a level 3, but they are telling me they are required to redact the account numbers on all documents.
If the document comes in with a security level of 3 or higher, the attorneys will NOT have to redact.
9. I receive Guardianship Reviews from State Mental Health Facilities - currently they are at a level 1, I change them to a 5 or 6 - because it is several pages of the client’s mental health status and history. Is there any way that can be raised to a higher security level without me having to manually change it?
It is unclear what docket code you are currently using. Be sure to review the docket codes and the associated security levels on the Court Information Center (CIC) under Remote Access to Documents. Most reports have a default security level of 3. If there is a code that should have a default security level higher than what’s listed, submit a request to the State Judicial Records Committee (SJRC) to have the code reviewed to potentially have the security level raised.
10. An attorney told our circuit clerk that probate is not included in the redaction rules, because it is neither civil or criminal. Is that correct?
Yes, they are included but important to note there is already a limited number of probate filing that already are filed at a higher security level such as inventory, status reports. Those that are already filed at a default security level of 3 does not fall under those requirements.
4. In minor Probate Cases, if there is juvenile case information listed in filings, such as juvenile case numbers or juvenile case reports, would that information need to be redacted?
There is a reference in the Rule about redacting confidential case information. We will need to look at the exact language in the Rule that reference the confidential case.
5. For a small estate that is a pro se filing, for a bank account – for instance – they will need to file a redacted version and an unredacted version? Banks require the bank account number for them to obtain the contents.
Yes, a redacted and unredacted version would have to be filed.
6. In our county, probate matters require the attorneys to file death certificates, medicals interrogatories, credit reports, background screenings, etc. Local attorneys have told me they can no longer file those documents due to this new ruling. Is this correct?
No, that is not correct. Those filings still need to be made. There is nothing in the Rule that those should not be filed. All of these come in at a security level 3, which wouldn’t be a reason to redact. That information is required to be filed and there is nothing that prevents them from filing that information with the court. We can verify the information, but on probate, a lot of those documents are already considered a level 3 because they already contained all confidential information. The State Judicial Records Committee took an approach to those documents many years ago at the beginning of electronic filing.
7. Are annual settlements not open to the public? Is this situation like adult abuse, it is level 3 but is a public record?
Going forward, if a document is a security level 3, the party requesting it will have to file that application for a closed record in order to inspect the file. Then it would be up to the court to determine whether or not to release that document. The issue is that those secure documents have confidential information that shouldn’t be readily available to the public. In the past we have treated some of them like the Orders of Protection. You may want to have the party that is requesting it fill out that application for access to a closed record.
8. When attorneys file annual settlements and include bank statements, are they required to redact the bank account numbers? I know the docket code is a level 3, but they are telling me they are required to redact the account numbers on all documents.
If the document comes in with a security level of 3 or higher, the attorneys will NOT have to redact.
9. I receive Guardianship Reviews from State Mental Health Facilities - currently they are at a level 1, I change them to a 5 or 6 - because it is several pages of the client’s mental health status and history. Is there any way that can be raised to a higher security level without me having to manually change it?
It is unclear what docket code you are currently using. Be sure to review the docket codes and the associated security levels on the Court Information Center (CIC) under Remote Access to Documents. Most reports have a default security level of 3. If there is a code that should have a default security level higher than what’s listed, submit a request to the State Judicial Records Committee (SJRC) to have the code reviewed to potentially have the security level raised.
10. An attorney told our circuit clerk that probate is not included in the redaction rules, because it is neither civil or criminal. Is that correct?
Yes, they are included but important to note there is already a limited number of probate filing that already are filed at a higher security level such as inventory, status reports. Those that are already filed at a default security level of 3 does not fall under those requirements.
11. Should minor guardianship and conservator case header be redacted to initials only?
There is nothing in statute requiring that a minor's name in a minor guardianship be redacted.
12. Should Public Administrators be filing everything at a level 3?
No, the security level will depend on the document and if confidential information is contained within the document.
November 16, 2023
1Previous answer: As of today, the addresses for the minor and/or protectee are not considered personally identifiable information; however, there is a Senate Bill 103 that may change this in the near future.