THE COURTS
Title 231--RULES
OF CIVIL PROCEDURE
PART II. ORPHANS' COURT RULES
[231 PA. CODE PART II]
Order Adopting Pa.O.C. Rule 1.3; Amending Pa.O.C. Rules 5.6, 6.9, 6.12, 10.1, 14.2, 14.5, 16.5 and 16.10; and Repealing Pa.O.C. Rules 5.7, 16.11 and 16.12; and Approving Comments to Pa.O.C. Rules 5.5, 5.6, 5.7, 6.9, 6.12, 10.1, 14.2, 14.5, 16.5, 16.10, 16.11 and 16.12; No. 400 Supreme Court Rules; Doc. No. 1
[36 Pa.B. 6760]
[Saturday, November 4, 2006]
Order Per Curiam:
And Now, this 16th day of October, 2006, upon the recommendation of the Orphans' Court Procedural Rules Committee, the proposal having been published for comment before adoption at 35 Pa.B. 3405 (June 18, 2005) and republished at 35 Pa.B. 6092 (November 5, 2005):
It Is Ordered, pursuant to Article V, Section 10 of the Constitution of Pennsylvania that:
(1) Supreme Court Orphans' Court Rule 1.3 is adopted as follows;
(2) Supreme Court Orphans' Court Rules 5.6, 6.9, 6.12, 10.1, 14.2, 14.5, 16.5 and 16.10 are amended as follows;
(3) Supreme Court Orphans' Court Rules 5.7, 16.11, and 16.12 are repealed;
(4) The Committee Comments--2006 to Supreme Court Orphans' Court Rules 5.5, 5.6, 5.7, 6.9, 6.12, 10.1, 14.2, 14.5, 16.5, 16.10, 16.11 and 16.12 are approved; and
(5) Uniform forms and an index are adopted and follow the Supreme Court Orphans' Court Rules as an Appendix.
This Order shall be processed in accordance with Pa.R.J.A. 103(b) and shall be effective thirty days from the date of entry of this order.
Annex A
TITLE 231. RULES OF CIVIL PROCEDURE
PART II. ORPHANS' COURT RULES
RULE 1: JUDGES--LOCAL RULES Rule 1.3. Forms.
The Supreme Court hereby adopts forms for practice and procedure before the Registers of Wills and Orphans' Court Divisions of this Commonwealth which shall be acceptable in all jurisdictions in addition to forms otherwise approved or mandated for use pursuant to local rules. These forms for statewide practice are set forth in an Appendix to these rules. The forms may be revised and supplemented from time to time. The forms shall also be maintained for public access at a website designated by the Supreme Court.
Committee Comment--2006: A number of forms previously recommended by the Committee for use before the Register of Wills, but not formally adopted by the Court, had appeared following Rule 10.1. Most of those forms have now been consolidated or revised and set forth in the Appendix hereto. However, certain forms have been deleted because they are properly generated by the Register of Wills rather than counsel. The forms formerly set forth in the body of Rules 5.7, 6.12. 14.5, 16.11 and 16.12, some with minor revisions, have been moved to the Appendix as well. In addition, a number of new forms for use in the Orphans' Court have been adopted by the Court. The current website for electronic access to the forms is found at http://www.aopc.org./Index/Forms/IndexForms.asp. The forms posted on the website are capable of on-line completion.
RULE 5: NOTICE Rule 5.5. Charities--notice to the Attorney General.
* * * * * Explanatory Note: This is an adaptation from rules presently in effect in a number of counties which in turn were derived from informal recommendations made by Mr. Justice McBride when he was Attorney General, published in Fiduciary Review, April 1958. That same article lists many non-accounting type proceedings in which notice would also be required.
* * * * * The words ''or his designated deputy'' are added to conform with the wording in the initial paragraph and for further identification of the person to whom notice is usually most appropriate. The change from $10,000 to $25,000 avoids a nuisance for all parties in instances where the services of the Attorney General are not required.
Committee Comment--2006: See Appendix for form of notice under Rule 5.5.
Rule 5.6. Notice to Beneficiaries and Intestate Heirs.
(a) Requirement of notice. Within three (3) months after the grant of letters, the personal representative to whom original letters have been granted or the personal representative's counsel shall send a written notice of estate administration in the form [set forth in Rule 5.7] approved by the Supreme Court to:
* * * * * (d) Certification of notice. Within ten (10) days after giving the notice required by subdivision (a) of this Rule, the personal representative or the personal representative's counsel shall file with the Register or Clerk a certification [in the form set forth in Rule 5.7(b)] that notice has been given as required by this Rule. No fee shall be charged by the Register or Clerk for filing the certification required by this subdivision.
* * * * * (f) Effect of notice. This Rule shall not alter[,] or diminish [or confer] existing rights or confer new rights.
(g) Copies of rule. The Register shall deliver a copy of [Rules 5.6 and 5.7] Rule 5.6 and the forms of notice and certification approved by the Supreme Court to each personal representative and counsel at the time letters are granted.
[Official] Explanatory Note: It is not the intention of the Rule to require notice beyond the degree of consanguinity entitling a person to inherit under Chapter 21 of the Probate, Estates and Fiduciaries Code.
Committee Comment--2006: The form of notice and certification of notice required by Rule 5.6 and formerly set forth in Rule 5.7 have been revised and moved to the Appendix. Subparagraph (f) has been restated to correct a typographical error in the prior version of the rule.
(Editor's Note: As part of this order, the form following this rule has been moved to the Appendix. The form appeared in 231 Pa. Code pages 5-5 and 5-6, serial pages (252123) and (252124).)
Rule 5.7. [Form of notice and certification of notice to beneficiaries and intestate heirs] (Repealed).
Committee Comment--2006: The form of notice and certification of notice required by Rule 5.6 and formerly set forth in Rule 5.7 have been revised and moved to the Appendix.
(Editor's Note: As part of this order, this rule has been repealed. The text of this rule appeared in 231 Pa. Code pages 5-7--5-9, serial pages (252125) to (252127).)
RULE 6: ACCOUNTS AND DISTRIBUTION Rule 6.9. Statement of proposed distribution.
* * * * * (b) The statement of proposed distribution shall be filed at such place and time, shall be in such form and shall be accompanied by such papers, and shall be advertised or such notice thereof shall be given [as local rules shall prescribe], as prescribed by rules adopted by the Supreme Court or, in the absence thereof, the local Orphans' Court Division.
Committee Comment--2006: Form petitions for adjudication of a decedent's estate, trust, guardianship of an incapacitated person, guardianship of a minor and estate of a principal to be stated by an agent under a power of attorney have been adopted and appear in the Appendix.
Rule 6.12. Status report by personal representative.
* * * * * (c) Form of report. The report required by this Rule shall be in substantially the [prescribed] form adopted by the Supreme Court.
* * * * * (f) Failure to file a report. After at least ten (10) days prior notice to a delinquent personal representative and counsel, the Clerk of the Orphans' Court shall inform the Court of the failure to file the report required by this Rule with a request that the Court conduct a hearing to determine what sanctions, if any, should be imposed.
Committee Comment--2006: The form of status report has been revised and moved to the Appendix.
(Editor's Note: As part of this order, the form following this rule has been moved to the Appendix. The form appeared in 231 Pa. Code page 6-5, serial page (236793).)
RULE 10: REGISTER OF WILLS Rule 10.1. Procedure and forms.
* * * * * [Explanatory Note: The Committee has prepared and filed currently herewith recommended forms.]
Committee Comment--2006: The forms adopted by the Supreme Court appear in the Appendix. The forms previously recommended by the Committee, which followed Rule 10, have been revised. Certain forms previously recommended by the Committee, but which are generated by the Register of Wills instead of counsel, have been eliminated.
(Editor's Note: As part of this order, the forms following this rule have been moved to the Appendix. The forms appeared in 231 Pa. Code pages 10-2--10-17, serial pages (236802) to (236817).)
RULE 14. INCOMPETENTS' ESTATES Rule 14.2. Adjudication of incapacity and appointment of a guardian of the person and/or estate of an incapacitated person.
A petition to adjudicate incapacity shall meet all requirements set forth at 20 Pa.C.S. § 5511. A citation and notice in the form [set forth in Rule 14.5] approved by the Supreme Court shall be attached to and served with a petition. The procedure for determination of incapacity and for appointment of a guardian shall meet all requirements set forth at 20 Pa.C.S. §§ 5512 and 5512.1.
Committee Comment--2006: The form of citation and notice formerly found in the body of Rule 14.5 has been moved to the Appendix.
Rule 14.5. Form of Citation and Notice.
The citation and notice to be attached to and served with a petition for adjudication of incapacity and appointment of guardian shall be substantially in the [following] form[:] approved by the Supreme Court.
(Editor's Note: As part of this order, the form in this rule has been moved to the Appendix. The form appeared in 231 Pa. Code pages 14-2 and 14-3, serial pages (252130) and (281641).)
[Official Note: Rule 14.5 prescribes the form of the uniform citation and notice to be served with a petition for adjudication of incapacity and appointment of guardian as required by Section 5511 of the Probate, Estates and Fiduciaries Code, 20 Pa.C.S. § 5511.
The rule is part of an ongoing process by which all existing subdivisions of Rule 14 are being revised to reflect current requirements.]
Committee Comment--2006: The form of citation and notice formerly found in the body of Rule 14.5 has been moved to the Appendix.
RULE 16. PROCEEDINGS PURSUANT TO SECTION 3206 OF THE ABORTION CONTROL ACT Rule 16.5. Application. Contents. Form of Verification. Assistance in Preparation.
(a) The application shall set forth the following:
* * * * * (3) the names and addresses of each parent, guardian or, if the petitioner is a minor whose parents are deceased and no guardian has been appointed, any other person standing in loco parentis to the applicant;
[Offical Note: The names and addresses may be included in the separate unsworn verifications, form of which is provided by Rule 16.12, which shall be incorporated by reference in the application.]
* * * * * (7) an unsworn verification by the applicant stating that the information therein is true and correct and that the applicant is aware that any false statements made in the application are [punishable by law. The verification may be substantially in the form prescribed by subdivision (b)] subject to the penalties of 18 Pa.C.S. § 4904 relating to unsworn falsification to authorities; and
(8) the signature of the applicant, which may consist of the applicant's initials.
[Official Note: See Rule 16.11 and Rule 16.12 for a suggested form of application when the applicant is a minor.]
(b) [The verification required by subdivision (a)(7) may be substantially in the following form.
I verify that the statements made in this application are true and correct to the best of my personal knowledge or information and belief. I understand that false statements herein are made subject to the penalties of Section 4904 of the Crimes Code, 18 Pa.C.S. Section 4904, relating to unsworn falsification to authorities.
(c)] Where necessary to serve the interest of justice, the court shall refer the applicant to the appropriate personnel for assistance in preparing the application.
Committee Comment--2006: The form of unsworn verification previously found in subdivision (b) has been deleted. This unsworn verification required by subdivision (a)(7) is the standard form of verification made subject to the penalties of Section 4904 of the Crimes Code, 18 Pa.C.S. § 4904.
Forms formerly found in Rule 16.11 and 16.12 for applications and separate unsworn verifications by minors have been moved to the Appendix.
Rule 16.10. Form; Generally.
The form of application by a minor and form of separate unsworn verification shall be prepared and filed in substantial conformity with[:
(i) The forms set forth in Rules 16.11 and 16.12; or (ii)] the forms approved by the [local court--whichever the minor shall elect] Supreme Court.
[Official] Explanatory Note: Additional averments will be required for an application filed on behalf of a person who has been adjudged an incapacitated person pursuant to Chapter 55 of the Probate, Estates and Fiduciaries Code, 20 Pa.C.S. Section 5501, et seq.
Committee Comment--2006: Forms formerly found in Rules 16.11 and 16.12 for applications and verifications by minors have been moved to the Appendix.
Rule 16.11. [Form of Application by a minor] (Repealed).
Committee Comment--2006: The form formerly found in Rule 16.11 for application by a minor has been moved to the Appendix.
(Editor's Note: As part of this order, this rule has been repealed. The text of this rule appeared in 231 Pa. Code pages 16-5 and 16-6, serial pages (276631) and (276632).)
Rule 16.12. [Form of Separate Unsworn Verification] (Repealed).
Committee Comment--2006: The form formerly found in Rule 16.12 for unsworn verification by a minor has been moved to the Appendix.
(Editor's Note: As part of this order, this rule has been repealed. The text of this rule appeared in 231 Pa. Code pages 16-6--16-8, serial pages (276632) to (276634).)
INDEX TO APPENDIX
ORPHANS' COURT AND REGISTER OF
WILLS FORMS
ADOPTED BY SUPREME COURT
PURSUANT TO Pa.O.C. Rule 1.3
Available as Fill-in Forms on Website
of Administrative Office of Pennsylvania Courts
http://www.aopc.org./Index/Forms/IndexForms.asp.
Orphans' Court and Administration Forms A. Audit and Administration Forms
1. Petition for Adjudication--Decedent's Estate
(Pa.O.C. Rule 6.9) OC-012. Petition for Adjudication--Trust Estate
(Pa.O.C. Rule 6.9) OC-023. Petition for Adjudication--Guardian of Estate
of Incapacitated Person (Pa.O.C. Rule 6.9) OC-034. Petition for Adjudication--Guardian of Estate
of Minor (Pa.O.C. Rule 6.9) OC-045. Petition for Adjudication--Principal's Estate
under POA (Pa.O.C. Rule 6.9) OC-056. Notice of Charitable Gift (Pa.O.C. Rule 5.5) OC-06
7. Notice of Claim OC-07
B. Guardianship Forms
1. Important Notice--Citation with Notice
(Pa.O.C. Rule 14.5) G-01
2. Annual Report--Guardian of Estate G-02
3. Annual Report--Guardian of Person G-03
4. Guardian's Inventory G-04
5. Petition for Adjudication--Guardian of Estate
of Incapacitated Person OC-03*6. Petition for Adjudication--Guardian of Estate
of Minor OC-04*** Form OC-3 is not reprinted here and is located
under Audit and Administration Forms at No. 3.** Form OC-4 is not reprinted here and is located
under Audit and Administration Forms at No. 4.C. Abortion Control Act Forms
1. Minor's Application for Judicial Authorization
of an Abortion (Pa.O.C. Rule 16.10) ACA-012. Confidential Unsworn Verification by a Minor
(Pa.O.C. Rule 16.10) ACA-02
D. Register of Wills Forms
1. Estate Information Sheet RW-01
(Not adopted by Supreme Court; form promulgated by Department of Revenue and maintained with Register of Wills forms for convenience.)
2. Petition for Probate and Grant of Letters RW-02
3. Oath of Subscribing Witness(es) RW-03
4. Oath of Non-subscribing Witness(es) RW-04
5. Oath of Witness(es) to Will Executed by Mark RW-05
6. Renunciation RW-06
7. Pa.O.C. Rule 5.6 Notice RW-07
8. Certification of Notice under Pa.O.C.
Rule 5.6(a) RW-089. Estate Inventory RW-09
10. Pa.O.C. Rule 6.12 Status Report RW-10
Form OC-01
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