THE COURTS
WARREN AND FOREST COUNTIES
Local Orphan's Court Rules; Misc. No. 70 of 2012
[42 Pa.B. 4164]
[Saturday, July 7, 2012]
Order And Now, this 20th day of June, 2012, the Court hereby adopts the Local Orphan's Court Rules as hereinafter set forth for the 37th Judicial District comprised of Forest and Warren Counties. Said Rules shall be effective thirty (30) days after publication in the Pennsylvania Bulletin.
It is further ordered that the Local Orphan's Court Rules as they existed prior to the adoption of the Rules herein set forth are hereby repealed on the effective date of the new Rules.
The Court Administrator of the 37th Judicial District is directed to:
1. File seven (7) certified copies of this Order with the Administrative Office of Pennsylvania Court.
2. File two (2) certified copies and one disk copy with the Legislative Reference Bureau for publication in the Pennsylvania Bulletin.
3. File one (1) certified copy with the Pennsylvania Orphan's Court Procedural Rules Committee.
4. File one (1) copy with the Prothonotaries of the Court of the 37th Judicial District.
By the Court
MAUREEN A. SKERDA,
President Judge
LOCAL RULES
ORPHANS' COURT DIVISION
RULE O.C.L1.
JUDGES—LOCAL RULESRule O.C.L1.2.1. Local Rules. Title.
These rules shall be known as the Local Orphans' Court Rules of the 37th Judicial District except where otherwise provided by a rule adopted by the Supreme Court or an act of Assembly or by general rule by special order of the Orphans' Court Division, the Rules of Court of Common Pleas of the 37th Judicial District, which by their terms purport to apply or are intended to apply to the Orphans' Court Division of said Court, are hereby incorporated by reference. All prior publications are repealed. These rules shall be cited as ''37.R.O.C.L____.'' The elected officer of Warren County and Forest County shall constitute the Clerk of that Court.
Rule O.C.L1.2.2. Local Rules. Argument.
Matters requiring argument shall be scheduled and heard in the manner set forth by the Court Administrator.
All motions shall be supported by a statement of authority citing a statute, rule of court, or case law in support of the requested relief. The statement may be in the form of a brief filed contemporaneously with the motion or, in routine motions that do not raise complex legal or factual issues, in the body of the motion itself.
Rule O.C.L1.2.3. Local Rules. Attorneys.
(a) Attorneys as Surety. An attorney shall act as surety only by special order.
(b) Notice to Counsel. Notice by or to attorneys shall be in writing, given to the attorney of record or to an employee of the attorney's office, and shall be considered notice to the party represented unless personal notice to the party is required.
(c) Removal of Records. No records shall be removed from the office of the Clerk without a written order from Court. The Clerk shall report to the court any failure to comply with this order.
(d) Appearance. Any attorney representing a party in any proceeding in the Orphans' Court Division shall file a written appearance with the Clerk of the Orphans Court which shall state the attorney's Pennsylvania Supreme Court Identification Number, fax number, telephone number and an address within the Commonwealth at which papers may be served. Written notice of entry of appearance shall be given forthwith to all parties.
(e) Withdrawal of Appearance.
(1) An attorney may withdraw an appearance for any party in proceeding in the Orphans' Court Division only in accordance with Pa.R.C.P. 1012(b) and Local Rule of Court of the 37th Judicial District L1012 and L208.3(a).
(2) An attorney may withdraw an appearance for personal representative(s) of a decedent's estate in proceedings before the Register of Wills in the following manner:
(i) By filing a written Notice of Withdrawal with the Register of Wills with the signed consent of all personal representative(s) attached or where another attorney has entered, or simultaneously enters, an appearance for the personal representative(s) before the Register of Wills; or
(ii) With Leave of Court. After having given twenty (20) days written notice to the personal representative(s) of the attorney's intent to withdraw and filing a certification that said notice has been given.
Rule O.C.L1.2.4. Local Rules. Sureties. Individual—Corporate.
(a) Individual Sureties. Individuals proposed as sureties on bonds of fiduciaries shall file affidavits on the printed forms supplied by the Clerk. The affidavits and bond shall be filed for approval by the Clerk.
(b) Bond without Surety. The Court may permit a party in interest to execute an individual bond, without surety upon such conditions as the Court requires.
(c) Corporate Sureties. Every surety company duly authorized to do business in Pennsylvania may become surety on any bond or obligation required to be filed by the Orphans' Court; provided, that a currently effective certificate issued to it by the Insurance Department of the Commonwealth of Pennsylvania, evidencing the surety's right, is filed of record.
(d) Duty of Fiduciary. It is the duty of the fiduciary to determine that its surety remains responsible and that any bond remains continuously in effect.
Rule O.C.L1.2.5. Local Rules. Legal Periodical.
The Warren Times Observer is the legal periodical for the publication of legal notices in Warren County. The Forest Press is the legal periodical for the publication of legal notices in Forest County.
Rule O.C.L1.2.6. Local Rules. Return Days.
Return days shall be on such day as may be fixed by Order of Court unless otherwise provided by statute or Rule of the Supreme Court.
Rule O.C.L1.3.1. Forms.
The 37th Judicial District accepts the Orphans' Court Rules found at http://www.pacourts.us/Forms/Orphans CourtForms.htm.
In addition, the forms in the Appendix shall be used as referenced by the special local rule.
RULE O.C.L2.
CONSTRUCTION AND APPLICATION OF RULESRule O.C.L2.1.1. Construction of Rules.
The principles of interpretation and rules of construction embodied in Pa.O.C. Rule 2.1 and Pa.R.C.P. 102 to 153, inclusive, shall apply to these rules, with the substitution in each case of the words ''Warren/Forest County Orphans' Court'' for the words ''Supreme Court'' where appropriate.
Rule O.C.L2.3.1. Definitions.
The following words, when used in these Rules, unless the context clearly indicates otherwise, shall have the meanings ascribed to them in this section:
(a) ''Business days'' shall be deemed to include Mondays through Fridays excepting weekdays when the Courthouse is closed.
(b) ''Clerk'' means the Clerk of Orphans' Court of Warren County or Forest County.
(c) ''Common Pleas'' means the Court of Common Pleas of Warren/Forest County.
(d) ''Exceptions'' shall mean a formal, written objection to an appraisal, report of an auditor or master appointed by the Court, or an adjudication or decree of the Court.
(e) ''Objections'' shall mean written objections to actions of a fiduciary.
(f) ''O.C.L. Rule'' shall mean the Local Orphans' Court Rules of the 37th Judicial District.
(g) ''Pa.O.C. Rule'' shall mean the Pennsylvania Supreme Court Orphans' Court Rules.
(h) ''PEF Code'' shall mean the Pennsylvania Probate, Estates and Fiduciaries Code as found in 20 Pa.C.S.A. § 101, et seq., as shall be amended from time to time.
(i) ''Register'' means the Register of Wills of Warren County or Forest County.
RULE O.C.L3.
PLEADING AND PRACTICERule O.C.L3.1.1. Conformity to Equity Practice in General.
The pleading and practice procedures shall conform to Pa.O.C. Rule 3.1 and, where local rules do not conflict with state rules, shall conform to pleading and practice of the O.C.L. Rules, unless otherwise provided herein.
Rule O.C.L3.2.1. Petition, Answer and Reply. Pleadings.
The pleadings in matters before the Orphans' Court are limited to a petition, (including a petition for a citation or for declaratory relief), an answer (which may include new matter), a reply, preliminary objections and an answer to preliminary objections.
(a) New Matter. Any defense which is not a denial of the averments of fact in the petition shall be set forth under the heading ''New Matter.''
(b) Preliminary Objections.
(1) Preliminary objections are available to any party, but shall be limited to questions of:
(i) law;
(ii) form; or
(iii) jurisdiction.
(2) An answer to preliminary objections is limited to the averments of fact set forth in the preliminary objections.
Rule O.C.L3.2.2. Petition, Answer and Reply. Disposition of Pleadings.
(a) Failure to Answer. If the respondent is required to file an answer but fails to do so, all averments of fact in the petition may be deemed by the court to be admitted.
(b) Failure to Reply. If the petitioner is required to file a reply to an answer which contains new matter and fails to do so, the averments of fact set forth in the new matter may be deemed admitted and the case will be at issue.
(c) Failure to File an Answer to Preliminary Objections. If a party is required to file an answer to preliminary objections and fails to do so, the averments of fact set forth in the preliminary objections may be deemed admitted by the court and the case will be at issue on the preliminary objections.
Rule O.C.L3.4.1. Form of Petition. Exhibits. Consents. Additional Requirements.
(a) Typing, Endorsements. Every pleading shall be endorsed with the name, address, Pennsylvania Supreme Court Identification Number and telephone number and fax number (if any) of counsel and, where practicable, typewritten and double-spaced or printed. If a party is not represented by counsel every pleading shall be endorsed with the name, address and telephone number of that party.
(b) Notice to Plead. A notice to plead shall neither be required nor used where a return day has been fixed in a citation or order as well as in cases where Pa.O.C. Rule 3.2 applies. See also 20 Pa.C.S.A. § 764. As to any other pleading to which a response is required said pleading shall have endorsed thereon, or included therein as the first page thereof, in a conspicuous place, a notice to defend and notice to plead addressed specifically to each party from whom a response is required. The form as required by Pa.R.C.P. 1018.1 and Pa.R.C.P. 1361 (as said Rules may be in force or hereafter amended) shall be used. See Pa.R.C.P. 1026.
(c) Signature and Verification. All pleadings shall be signed by the attorney (if any) and verified by at least one of the parties involved. If this is impracticable, they may be signed and verified by someone familiar with the facts, in which case the reason for the failure of the parties to verify shall be set forth.
(d) Decree. Every proposed decree shall bear the caption of the case and shall be attached to the petition.
(e) Consents. The petition shall recite that all necessary consents are attached or shall set forth the names and addresses of the persons who do not consent. The Court may direct that notice be given or that a citation be directed to persons who do not consent to show cause why the prayer of the petition shall not be granted.
(f) Paper Size. No paper or other document may be filed in the Register of Wills or Clerk other than paper 8 1/2" x 11" in size. The only exception to this rule is the filing of a Will or Trust.
(g) Cover Sheet. All motions presented at motion court shall include a completed motion court cover sheet in the form required by the Court. See Appendix Form 3.4.
(h) Notice Requirements Prior to Presentation at Court. Prior to the presentation to the Court of any motion or petition requesting an immediate Order of Court, other than a Rule to Show Cause which grants no relief, opposing counsel and unrepresented parties must be given notice, subject to the following:
(1) Contents of Notice. The notice must give the date and time when the motion or petition will be presented to the Court and must be accompanied by a copy of the proposed motion or petition and Order.
(2) Certification of Notice. The motion or petition must contain a certificate signed by counsel or a party that has no counsel, verifying that proper notice was given under this rule. The certificate shall be in the same or substantially same form as the form contained in the appendix to these rules.
(3) Length of Notice Required. Except where otherwise required under the O.C.L. Rules and except in cases of an emergency as determined by the Court, the following notice shall be required:
(i) Two (2) full business days' notice must be given by personal delivery or facsimile transmission to each party or their counsel's office1, or
(ii) Five (5) full business days' notice must be given if notice is by mail2.
(4) Failure to Give Notice. The Court will not enter an Order on a petition or motion without the Certificate of Notice being attached unless a special cause is shown to the Court.
(i) In addition to the requirements of Pa.O.C. Rule 3.4(b), the petitioner shall also attach to the petition correct copies of all wills and contracts and shall cite the place of recording of all deeds, mortgages, or other instruments recorded or filed in Warren/Forest County, or other county, which pertain to the petition.
1 Notice is deemed given when it is received.
2 Mail notice is deemed given when delivered to the postal authorities.
RULE O.C.L6
ACCOUNTS AND DISTRIBUTIONRule O.C.L6.1.1. Form of Account. Additional Requirements.
In addition to complying with the requirements of the Pa.O.C. Rules, each account shall conform to the following:
(a) Each account shall be on paper eight and one-half (8 1/2) inches wide by eleven (11) inches long with pages numbered consecutively at the bottom and fastened together at the top. A margin of at least one and one-half (1.5) inches shall be provided at the top of the first page and a margin of at least one (1) inch shall be provided at the top of all other pages.
(b) Accounts shall:
(1) Begin with a cover page;
(2) Include a Summary which shall reflect:
(i) total receipts of principal and income,
(ii) gains or losses on conversions to cash,
(iii) disbursements from principal and income, and
(iv) balance for distribution;
(3) Include an itemized statement of the assets comprising the balance for distribution, and when necessary to effect proper distribution, or when otherwise appropriate, show assets at current values as well as acquisition values;
(4) Segregate principal receipts from income receipts (the Inventory filed may be incorporated by reference as a part of the statement of principal receipts;
(5) Whenever applicable, include a statement of principal conversions to cash;
(6) Segregate disbursements of principal from disbursements of income insofar as practicable;
(7) Whenever applicable, be accompanied by a statement of proposed distribution, or a request that distribution be determined by the Court or an auditor;
(8) Have attached at the end thereof the affidavit or verification of one or more of the fiduciaries joining in the account that shall include a statement that the account is true and correct and any required advertisement of the grant of letters has been duly made; and
(9) Have attached a certificate of the attorney for the accountant or the accountant that the notice required by O.C.L. Rule 6.3.1 has been given to all parties in interest. See specimen form 6.1.1(b)(9) in Appendix.
Rule O.C.L6.3.1. Notice to Parties in Interest.
In addition to the requirements of the Pa.O.C. Rules, the notice to parties in interest shall:
(a) Conform substantially to the specimen form contained in the Appendix to these rules;
(b) State the date on which the account will be presented to the Court for confirmation nisi and absolute;
(c) Be mailed by postage prepaid, to the last known address of the persons to be notified or be served by handing a copy to the persons to be notified or to an adult member of their household;
(d) Be accompanied by a copy of the account, a copy of the statement of proposed distribution, if any, a copy of the request for the appointment of an auditor, if any; and
(e) If the notice is to a claimant, state whether or not the claim is disputed.
Written notice of the filing of an account and of the filing of a statement of proposed distribution shall be given by the accountant at least twenty (20) days prior to the date said account and/or statement of proposed distribution will be presented to the Court for confirmation nisi. Such notice shall be given to all parties entitled thereto by Pa.O.C. Rule 6.3. A copy of the statement of proposed distribution shall be attached to the notice.
Prior to the date the account and statement of distribution are to be presented to the Court for confirmation and approval, the accountant or his attorney shall file a certificate in the Court where the account and statement of distribution are filed that notice was given as required in Paragraph 1 above. A copy of the notice given shall be attached to such certificate.
Proof of publication of notice of grant of letters shall be made in a newspaper of general circulation in the County of Warren/Forest as required by Section 3162 of the PEF Code, as amended.
The notice of grant of letter shall be substantially in the following form:
(Name of Estate)
ADMINISTRATION NOTICE Letters Testamentary on the Estate of ______ , late of the ______ , ______ County, Pennsylvania, having been granted to the undersigned, all persons indebted to the decedent are requested to make payment, and those having claims against said estate to present the same without delay to:
_________________
(Name and address of fiduciary)
or to the attorney for executor: ______
Rule O.C.L6.3.2. Notice to Parties in Interest. When Notice Required.
For the purpose of this rule, neither a beneficiary whose only interest in the estate is that of a specific monetary legatee who has accepted payment of the full amount bequeathed to said beneficiary under the Will prior to the filing of the account, nor a beneficiary whose only interest in the estate is that of legatee of specific personal property who has accepted delivery of all personal property specifically bequeathed to the beneficiary under a Will prior to the filing of the final account, shall be deemed a beneficiary entitled to notice.
Rule O.C.L6.3.3. Notice to Parties in Interest. Notice Prior to Filing Excused.
The court, on petition of an accountant or counsel, setting forth the reasons therefore, may excuse the giving of the notice to any party in interest pursuant to this rule prior to the filing of an account; provided that no such account shall be confirmed finally until notice has been given to such interested party as provided by this rule, and proof thereof duly filed or a determination is made that the giving of such notice is impossible, or unnecessary and proper disposition of the matter is made either after hearing, audit or otherwise.
Rule O.C.L6.3.4. Notice to Parties in Interest. Advertisement of Accounts.
All accounts shall be advertised by the Clerk in the manner prescribed by law. The advertisement shall include the date that the account will be presented for confirmation nisi and shall also state that unless objections are filed within twenty (20) days after confirmation nisi, the account will be confirmed absolutely and that thereafter distribution may be made in accordance with any statement of proposed distribution filed with the account.
Rule O.C.L6.4.1. Time for Filing.
(a) All accounts and statements of proposed distribution must be filed not later than thirty (30) days prior to the regular scheduled confirmation date as published in the annual Court Calendar for confirmation nisi and absolute upon which the accountant desires to have the account and/or statement of proposed distribution submitted to the Court for approval.
(b) The Clerk shall give notice by advertisement of the time when accounts were filed and when they will be presented to the Court for confirmation nisi and absolute, stating in the advertisement that the names and capacity of the respective accountants and in conformity with Section 745 of the PEF Code and as amended.
Rule O.C.L6.6.1. Filing with the Clerk of the Orphans' Court. Accounts of Personal Representatives to be Filed in Duplicate.
Accounts of personal representatives shall be filed with the Clerk in duplicate. Following final confirmation, one copy of the accounts of personal representatives, with the dates of confirmation nisi and final confirmation noted thereon, shall be forwarded to the Register for indexing and filing with records of the proceeding in the Register's Office for that decedent.
Rule O.C.L6.9.1. Statement of Proposed Distribution. Additional Requirements.
(a) A fiduciary who is for any reason unable to file an account with a statement of proposed distribution in accordance with the requirements of the Pa.O.C. Rules, shall, in lieu thereof, file with the account a statement of the reasons why distribution cannot be proposed which shall conclude with a request that an auditor be appointed to make distribution or the Court make such order as the circumstances require.
(b) A statement of proposed distribution may be filed with the account but shall begin on a page separate from the account which it accompanies. It shall contain the name of the persons to whom it is proposed to award the balance for distribution, the amount or share awarded to each, and a brief statement of the nature and reasons for the proposed awards.
(1) If the proposed distribution is the subject of a dispute, or if it involves any fairly disputable question known to or reasonably ascertainable by the accountant, the accountant shall include in the statement of proposed distribution a statement of the dispute or fairly disputable questions, together with a statement by the accountant of the facts on which the accountant relies, in separate paragraph form, and on a separate page the law upon which the accountant relies which appears to justify the proposed distribution.
Rule O.C.L6.10.1. Objections to Accounts and Statements of Proposed Distribution.
(a) All objections to a fiduciary's account shall be filed in writing with the Clerk five (5) days before the confirmation date of the account and a verified copy of the objections shall be served by the exceptant on the accountant and the accountant's counsel of record. Such copy shall be served as provided by Pa.O.C. Rule 5.1 within five (5) days of the date of filing of the objections.
(b) The accountant or any other party in interest may file a motion to the Court requesting the appointment of an auditor to resolve the issues raised in the objections. If such motion is filed, the Court shall appoint an auditor to hear and determine the objections, as provided in Pa.O.C. Rule 8.
Rule O.C.L6.11.1. Confirmation of Accounts. Awards.
(a) No account and/or statement of proposed distribution shall be confirmed unless:
(1) The accountant has mailed or given to each distributee or his attorney of record a complete account and written notice of the filing thereof.
(2) The accountant has given notice to each unpaid creditor, whether or not payment is contested.
(3) Said notice shall be by ordinary mail and notice given ten (10) days before the proposed confirmation date. Said notice shall inform the recipient that if they disagree with the account and/or the proposed distribution they may file exceptions in writing with the Clerk five (5) days before the account is to be confirmed absolute.
(b) All accounts presented to the Court by Executors, Administrators, Guardians or Trustees shall be filed with the Clerk on or before the Friday preceding the first Monday of the months of January, April, July and October of each year.
Upon the first Wednesday of February, May, August and November of each year accounts of Executors, Administrators, Guardians and Trustees shall be presented to the Court at 9:00 a.m. for confirmation nisi and shall become absolute as of course unless exceptions are filed thereto within thirty (30) days thereafter.
All fiduciaries shall give not less than ten (10) days written notice to parties in interest in accordance with the Pa.O.C. Rule 5.3 and any amendment thereof.
Rule O.C.L6.11.2. Confirmation of Accounts. Awards. Certification. Real Estate Distributed in Kind.
When distribution of real estate in kind is awarded pursuant to a statement of proposed distribution, the Clerk, following confirmation absolute and at the request of any party in interest, shall excerpt those portions of the decree affecting title to real estate and certify the same for recording in the office of the Record of Deeds of the county in which such real estate is situated.
Rule O.C.L6.12.1. Status Report by Personal Representative.
The Status Report by Personal Representative shall be filed in the form contained in the Appendix. (Form RW-10 of the Pa.O.C. Rules.)
RULE O.C.L7.
EXCEPTIONSRule O.C.L7.1.1. Exceptions. Place of Filing.
(a) Exceptions, whether to an order or decree, account, auditor's report, master's report, or appraisement, shall be in writing filed with the Clerk.
(b) Exceptions shall be set forth in consecutively numbered paragraphs, each paragraph raising but one issue, and stating the ground or grounds thereof. Exceptions shall be signed by the exceptant or the exceptant's attorney.
RULE O.C.L8.
AUDITORS AND MASTERSRule O.C.L8.1.1. Notice of Hearings.
(a) The auditor or master shall fix a date, time and place for hearing and shall give written notice to the accountant or petitioner and all parties in interest or their counsel of record of the hearing by first class mail at least twenty (20) days prior thereto. In the event notice cannot be given in such manner, notice shall be given by advertisement one time in the Warren Times Observer for Warren County and The Forest Press for Forest County and one time in a newspaper of general circulation in the county where the decedent resided. The date of publication shall be at least twenty (20) days prior to the hearing.
(b) The notice shall include the following:
(1) The caption and number of the case;
(2) The fact and date of appointment;
(3) The name of the fiduciary of the estate;
(4) The time and place of hearing;
(5) A general statement of the matters to be determined; and
(6) The signature and the typewritten name, address and telephone number of the auditor or master.
Rule O.C.L8.1.2. Notice of Hearings. Appointment.
(a) Auditors, Masters. A master may be appointed by the Court, on its own motion, or upon the petition of the accountant, or of any party in interest.
(b) Auditors and masters shall be members of the Bar of this Court.
(c) The appointed official shall regulate all of the proceedings before him/her in accordance with the rules of law and evidence in the Commonwealth and shall have the authority to administer an oath before testimony.
(d) The hearings may be continued or adjourned from time to time for cause shown or upon agreement of all parties present, but each continuance or adjournment shall be to a day certain not more than thirty (30) days distant.
(e) The official shall have the authority to issue subpoenas and subpoenas duces tecum for all witnesses to appear and testify.
(f) The official shall have the authority to retain experts in any given field to assist the official in the performance of the appointed duties. The cost of same shall be imposed either on the estate or as the official shall determine is just and proper.
(g) The official shall cause a stenographic record to be made of all hearings prepared by an official court reporter. Examination of witnesses shall be conducted by counsel, if any, or by the respective parties or by the official as the official may determine in the absence of counsel. If a witness or a question is objected to, or if any documentary or other evidence is objected to, the offer and purpose of such testimony shall be made a matter of record as well as the objection and the ground for said objection and the official's ruling thereon. If the official sustains the objection the official shall, nonetheless permit the question and answer to be made of record so that same may be preserved for subsequent ruling by the Court in the event exceptions are taken to the report.
(h) At the conclusion of the hearing any party who has entered a formal appearance may submit proposed findings of fact and conclusions of law and/or briefs for the purposes of aiding or guiding the official; provided, however, that copies of such submissions shall be delivered or mailed to each person who has appeared in the proceedings in person or by counsel.
Rule O.C.L8.6.1. Notice of Filing Report. Exceptions.
(a) The auditor or master shall notify all parties of the filing of the report and furnish all parties with a copy thereof. Return of notice shall be filed in accordance with Pa.O.C. Rule 5.4.
(b) Any party in interest shall have the right to file exceptions to an auditor's report or to a master's report within twenty (20) days after the date of service upon that party.
(c) The official shall file the report within ninety (90) days of the appointment; provided, however, that an extension will be permitted by the Court upon application of the official for good cause shown in complicated involved cases. Should the official fail to file the report within the time limits or extensions herein, the appointment may be vacated and compensation and reimbursement for services rendered or expenses incurred may be denied.
(d) Upon completion of the report the official shall file it in the office of the Clerk and shall forthwith give notice in writing to counsel for all parties who appear formally during the proceedings and to such parties as appear without counsel, that the report has been filed. Said notice shall inform all parties that unless exceptions are filed within twenty (20) days from the date of filing of the report, it will be presented to the Court for confirmation absolute as of course.
(e) Exceptions filed must point specifically to the error of fact or law complained of and state clearly the grounds for the objections thereto in separate paragraph form with one issue raised in each paragraph. General and vague exceptions will not be considered, nor may they be argumentative. Where the exception is in the nature that the official failed to find a fact, the exception shall state the nature of the fact the official should have found and shall give reason to support it from the record and shall specifically identify the fact not found in the record.
(f) Any party filing exceptions to the report shall, by ordinary mail, serve a copy thereof upon the official and all counsel or parties without counsel who have appeared formally in the proceedings.
(g) In the event exceptions are filed, the Clerk shall forthwith transmit the proceedings to the Court Administrator for further scheduling for a hearing thereon or argument as the Court may determine. No exceptions will be heard which are not timely filed. The Court may, in its discretion, remand the report to the auditor for further proceedings if appropriate.
(h) The official shall verify in the report that written notice has been given to counsel of record who have filed formal appearance in the proceedings and to such other parties as shall have appeared without counsel.
Rule O.C.L8.7.1. Confirmation of Report.
(a) If no exceptions are filed to the official's report within twenty (20) days of the date of filing, the Clerk shall transmit the report to the Court for confirmation as of course. When confirmed, the statement of proposed distribution found in the auditor's report shall become the decree of distribution.
(b) If exceptions are filed to the official's report, the Court shall hear the exceptions de novo or upon argument as may be appropriate, depending on the nature of the exception and either (a) confirm the official's report, whereupon the statement of proposed distribution found in the auditor's report shall become the decree of distribution, or (b) if the official has made an error of law or an abuse of discretion, modify the report and enter an appropriate decree of distribution.
(c) The Court's decree in disposition of exceptions to the official's report shall be initially in the form of a decree nisi and, if no exceptions are filed thereto, shall be made absolute of course.
Rule O.C.L8.8.1. Security for Expenses and Fees. Absolute Confirmation. Auditor's and Master's Expenses and Fees.
No nisi confirmation or decree nisi shall be confirmed absolutely by the Clerk until all expenses and auditor's or master's fees have been paid to the Clerk. Upon absolute confirmation, the Clerk shall pay all expenses and the balance of the auditor's or master's fee to the auditor or master. See 20 Pa.C.S.A. § 752.
Rule O.C.L8.8.2. Security for Expenses and Fees. Compensation of Auditor or Master.
Any auditor or master appointed by the Court under these rules shall be compensated by reasonable fees as fixed by the Court and paid from such sources as the auditor or master shall recommend and the Court shall direct. The Court may require payment of the auditor's or master's fees in advance as addressed in Pa.O.C. Rule 8.8.
RULE O.C.L9.
OFFICIAL EXAMINERSRule O.C.L9.1.1. Appointment of Official Examiners. Appointment and Ordinary Duties.
The Court may appoint by special Order an official examiner or examiners who shall examine the assets held by any fiduciary and make full written report thereon to the Court showing what assets belong to the estate, how they are registered or otherwise earmarked as the property of the estate to which they belong, and where and how the cash belonging to the estate is kept or deposited.
Rule O.C.L9.1.2. Appointment of Official Examiners. Special Duties.
The Court may, in any Order appointing an examiner or examiners, also request the examiner or examiners to accomplish one or more of the following:
(a) Determine, in the case of a trust, if its purposes are being carried out;
(b) Determine, if the funds and assets in the hands of the fiduciary are being used or applied in accord with any trust instrument, will, applicable statute, regulation or court order;
(c) Make a written report including findings of fact, conclusions of law, and, when appropriate, recommendations for the consideration of the Court; and
(d) Such other matters as the Court may designate.
Rule O.C.L9.1.3. Appointment of Official Examiners. Compensation.
Examiners shall be allowed such fees from principal or income, or apportioned between principal and income, as may be directed by the Court.
RULE O.C.L10.
REGISTER OF WILLSRule O.C.L10.2.1. Appeals from the Register of Wills. Petition.
Appeals taken from a judicial act or proceedings before the Register of Wills shall be addressed to the Orphans' Court with the appropriate caption. The appeal shall be in petition form. The petition shall set forth:
(a) The caption;
(b) A heading indicating briefly the purpose of the petition;
(c) The nature of the proceedings before the Register;
(d) A copy of any will or instrument in controversy;
(e) A statement of the facts and circumstances upon which appellant relies;
(f) A precise statement of the questions of law or of fact involved;
(g) The names and addresses of all parties in interest; and
(h) A prayer for the relief desired.
When an appeal petition has been filed with the Court, the Register shall cause the record to be certified to the Court and properly docketed with the Orphans' Court. When an appeal has been perfected from a judicial act or proceeding before the Register and the record has been certified as provided, a citation shall issue as of course, without petition executed by the Court, directed to all persons named in the appeal to show cause why the appeal should not be sustained and the decision complained of set aside. Said citation shall contain a date and time certain for hearing on the appeal.
Rule O.C.L10.2.2. Appeals from the Register of Wills. Bond.
If the Court requires that a bond be furnished, the appellant shall file a bond and secure its approval by the Register of Wills. If the bond is not presented within the time indicated by the Court, the Clerk, upon praecipe of the appellee(s), shall order a judgment of non pros.
Rule O.C.L10.2.3. Appeals from the Register of Wills. Jury Trial.
A party or person entitled to and desiring a trial by jury shall make timely demand therefore in accordance with PEF Code.
Rule O.C.L10.2.4. Appeals from the Register of Wills. Subpoenas.
Subpoenas, with or without a clause of duces tecum, shall be issued by the Clerk.
RULE O.C.L12.
SPECIAL PETITIONSRule O.C.L12.0.1. Settlement of Small Estates.
(a) Form of Petitions. Contents. Petitions under PEF Code § 3102, as amended, for the settlement of small estates shall set forth:
(1) The name and address of the petitioner and the relationship of the petitioner to the decedent.
(2) The name, date of death and domicile of decedent, whether the decedent died testate or intestate, the date of the probate of the Will and of the grant of letters, if any, and whether the personal representative has been required to give bond and, if so, the amount.
(3) The names and relationship of all beneficiaries entitled to any part of the estate under the Will or intestate laws, a brief description of their respective interests, whether any of them has received or retained any property of the decedent by payment of wages under PEF Code § 3101 and whether any of them are minors, incapacitated or deceased with the names of their fiduciaries.
(4) The person or persons, if any, entitled to the family exemption; whether or not the individual was a member of the same household as the decedent at the time of decedent's death; and, if a claim thereof is made in this petition, any additional facts necessary to establish the prima facie right thereto.
(5) An inventory of the real and personal estate of the decedent, with values ascribed to each item, either incorporated in the petition or attached as an exhibit.
(6) An itemization of all administrative costs, funeral expenses and debts of the decedent and whether or not any of these have been paid.
(7) A list showing the nature, amount and preference of all unpaid claims against the estate and indicating which are admitted.
(8) A calculation of the inheritance tax due, if any.
(9) That ten (10) business days' written notice of intention to present the petition has been given to every unpaid beneficiary, heir or claimant who has not joined in the petition, or to the Attorney General, if the decedent's heirs are unknown, and to every unpaid claimant or creditor.
(10) A prayer for distribution of the property, setting forth the persons entitled and their distributive shares.
(b) Required Exhibits. The following exhibits shall be attached to the petition:
(1) The original of the decedent's Will, if it has not been probated, or a copy if the original has been probated;
(2) Joinders of unpaid beneficiaries, heirs, claimants and creditors insofar as they are obtainable;
(3) A statement from the inheritance tax department showing the status of the inheritance tax, if any tax is due;
(4) A certification that a copy of the proposed petition and decree has been given to all beneficiaries and unpaid creditors at least ten (10) business days prior to presentation of the petition; and
(5) Written confirmation by the Pennsylvania Department of Public Welfare of the amount of any claim for assistance provided to the decedent.
Rule O.C.L12.1.1. Family Exemption. Additional Requirements.
(a) Additional Contents of Petition. In addition to the matters required by Pa.O.C. Rule 12.1, a petition for the family exemption shall also set forth:
(1) The name, residence and date of death of the decedent;
(2) The petitioner's name, address and relationship to the decedent, and whether the petitioner was a member of the same household as the decedent on the date of decedent's death;
(3) If the petitioner is the surviving spouse, the date and place of the marriage, and if a common law marriage is asserted, all averments necessary to establish the validity of the marriage;
(4) Whether the decedent died testate or intestate;
(5) Whether, when and to whom letters were granted, and what letters were granted;
(6) The names, relationship to the decedent, and addresses of those interested in the estate; and
(7) The location and value of the property claimed.
(b) When Appraisal Unnecessary. Unless otherwise directed by the Court, no appraisal shall be required if the exemption is claimed from:
(1) Cash or from stocks, bonds, securities or other choices in action which have an immediate determinable market value.
(2) Real estate or personal property, the value of which is agreed to by all parties in interest that are sui juris, or if not sui juris, the fiduciaries for such incompetents.
In all other cases, an appraisal shall be necessary, unless specifically excused by the Court.
(c) Procedure for Appraisal.
(1) If an appraisal is necessary, the Court shall appoint two appraisers in accordance with Section 3123 of the PEF Code. After appointment, the appraisers shall submit to the Court their appraisal within thirty (30) days of appointment. A copy of the appraisal shall be served by the appraisers on the personal representatives, or if there is no personal representative, then as the Court shall direct. Such person shall immediately give notice to all parties in interest who would be adversely affected by the allowance of the exemption. Interested parties shall have ten (10) days from the date of notice to file objections with the Court. If objections are filed, the matter shall be referred to the Court for further disposition.
(2) Upon the filing of the appraisal, notice thereof shall be given to the personal representative, and to the next of kin, and if there be neither personal representative nor the next of kin, to the Attorney General. The notice shall contain a copy of the petition and the appraisal, and a statement that nisi confirmation of the appraisal and the setting apart of the real estate to the surviving spouse will be requested and may be allowed by the Court at a stated time, and unless exceptions are filed thereto, confirmed absolutely ten (10) days thereafter. Said notice shall be given not less than ten (10) days prior to the date set for nisi confirmation. If the address or whereabouts of any of the next of kin is unknown, notice shall be given in such manner as the Court shall direct.
(3) Confirmation and Setting Apart of Allowance. Unless exceptions are filed to the nisi confirmation, the appraisal and award of real estate shall be confirmed absolutely by the Clerk without further order of Court.
(4) Exceptions. Exceptions to an appraisement shall be filed with the Clerk within ten (10) days after nisi confirmation. Copies of the exceptions shall be served on the fiduciary, if any, and on the spouse or the attorney for the spouse, within five (5) days after filing. If exceptions are filed, the matter may be placed on the Argument list in accordance with the Local Rules of Civil Procedure of the 37th Judicial District.
Rule O.C.L12.1.2. Family Exemption. Voluntary Distribution.
When the personal representative, at his/her own risk delivers assets of the estate in satisfaction of the exemption, he/she shall set forth the same as a credit in the account. The same may be the subject of objection by any claimant or party in interest.
Rule O.C.L12.2.1. Allowance to Surviving Spouse of Intestate. Additional Requirements.
(a) Contents of Petition. In addition to complying with the Pa.O.C. Rules, a petition for the allowance to the surviving spouse of an intestate shall also set forth in separate paragraphs:
(1) The information required in a petition for family exemption under O.C.L. Rule 12.1.1, as far as appropriate; and
(2) That ten (10) days prior notice of the intended presentation of the petition has been given to the personal representative; or, if no personal representative has been appointed, to those interested as next of kin; and, if there be no next of kin, to the Attorney General.
(b) Exhibits. The following exhibits shall be attached to the petition;
(1) A copy of the inventory and appraisement; and
(2) An affidavit or verification of service/return of notice.
Rule O.C.L12.2.2. Allowance to Surviving Spouse of Intestate. Conclusiveness of Averments.
If the averments of the petition are contested by any party in interest as to the right of the spouse to the allowance being claimed, the matter may be referred to an auditor, or to a Hearing Judge.
Rule O.C.L12.2.3. Allowance to Surviving Spouse of Intestate. Appraisal. Notice. Practice and Procedure.
The appraisers shall, within thirty (30) days after their appointment, file with the Clerk an appraisal of the property claimed.
Rule O.C.L12.2.4. Allowance to Surviving Spouse of Intestate. Revocation, Vacating and Extension of Time for Filing of Surviving Spouse's Election.
(a) A petition for extension of time in which the surviving spouse may file an election to take against the will or other conveyances shall be in paragraph form alleging facts relied upon to justify the extension.
(b) The Petition shall be filed with the Clerk and petitioner shall give at least ten (10) days written notice of intention to request the extension to all persons adversely affected thereby who do not join in the prayer of the petition.
Rule O.C.L12.5.1. Appointment of a Guardian for the Estate or Person of a Minor. Guardian of Minors. Appearance Before the Court.
If the minor is over fourteen (14) years of age, the minor shall appear in person at the presentation of the petition and verify his/her nomination of a guardian as set forth in the petition. The Court may excuse the minor's appearance upon good cause shown.
Rule O.C.L12.5.2. Appointment of a Guardian for the Estate or Person of a Minor. Information Required from Counsel.
In addition to the information required by the Pa.O.C. Rules, the petition for the appointment of a guardian shall contain the following information:
(a) The total amount of the assets; and
(b) Whether or not the minor resides in the same household with the proposed guardian.
Rule O.C.L12.5.3. Appointment of a Guardian for the Estate or Person of a Minor. Minor's Estate. Allowance.
When a petition is necessary for an allowance from a minor's estate, the petition shall set forth:
(a) The manner of the guardians' appointment and qualification, and the dates thereof;
(b) The age and residence of the minor, whether the minor's parents are living, the name of the person with whom the minor resides, and the name and age of the minor's spouse and children if any;
(c) The value of the minor's estate, real and personal, where located and the net annual income;
(d) The circumstances of the minor, whether employed or attending school, and, if the minor's parents are living, the reason why the parents are not discharging their duty of support or able to pay the requested allowance for the minor;
(e) The date and amount of any previous allowance by the Court;
(f) The financial requirements of the minor and the minor's family unit, in detail, and the circumstances making such allowance necessary, including whether there is adequate provision for the support and education of the minor, spouse and children; and
(g) If the petition is presented by someone other than the guardian, that demand was made upon the guardian to act, and the reason, if known, for the guardian's failure to do so, together with proof of notice to the guardian of the filing of the petition.
Rule O.C.L12.6.1. Appointment of a Trustee. Exhibits.
The following exhibits shall be attached to the petition:
(a) A copy of the trust instrument; and
(b) The written consent of the trustee or trustees.
Rule O.C.L12.7.1. Discharge of a Fiduciary and Surety. Additional Provisions.
(a) Affidavit or Verification. The affidavit or verified statement to the petition shall include an averment that the parties who have signed the consents to discharge are all the parties interested in the estate, or the reason for the failure of any party to consent. If any party shall fail to consent, the Court may, if the circumstances require, direct the issuance of notice by citation or otherwise.
(b) Exhibits. Consents. Written consent of all parties in interest, and of the surviving or successor fiduciary, shall be attached to the petition. Such consent may be included in a satisfaction of award attached to the petition.
(c) Discharge of a Personal Representative. When the value of the gross real and personal estate of a decedent does not exceed the value of the statutory limitation, the personal representative, after the expiration of one (1) year from the first complete advertisements of the grant of letters, may present a petition to the Court with an account attached under the provisions of Section 3531 of the PEF Code (20 Pa.C.S.A. § 3531). The petition shall conform as far as practicable to the requirements of a petition under Pa.O.C. Rule 12.7.
Rule O.C.L12.9.1. Public Sale of Real Property. Contents of Petition. Additional Requirements.
(a) Personal Representative. A petition by a personal representative to sell real property at public sale, under Section 3353 of the PEF Code shall set forth in separate paragraphs:
(1) The name, residence and date of death of the decedent, whether the decedent died testate or intestate and the date of the grant of letters;
(2) That the personal representative is not otherwise authorized to sell by the PEF Code, or is not authorized or is denied the power to do so by the Will, or that it is desirable that the sale have the effect of a judicial sale, stating the reasons;
(3) Whether an inventory and appraisement have been filed, the total value of the property shown therein, and the value at which the real property to be sold was included therein;
(4) If the personal representative entered bond with the Register, the name of the surety and the amount of such bond;
(5) The names and relationships of all parties in interest, a brief description of their respective interests, whether any of them are minors, adjudicated incapacitated or deceased, or, if so, the names and the record of the appointment of their fiduciaries, if any;
(6) A full description of the real property to be sold, the improvements thereon, by whom it is occupied, its rental value if applicable and current common level ratio value; and
(7) Sufficient facts to enable the Court to determine that the sale is desirable for the proper administration and distribution of the estate.
(b) Trustee. A petition by a trustee to sell real property at public sale, under PEF Code § 3353, shall also set forth in separate paragraphs:
(1) How title was acquired, stating the date and place of probate of the Will or recording of the deed;
(2) A recital of the relevant provisions of the Will or deed pertaining to the real property to be sold, and the history of the trust;
(3) The names and relationships of all parties in interest; a brief description of their respective interest; whether any of them are minors, adjudicated incapacitated or deceased, and if so, the names and record of appointment of their fiduciaries if any;
(4) A full description of the real property to be sold, the improvements thereon, by whom it is occupied, its rental value if applicable and current common level ratio value;
(5) That the trustee is not otherwise authorized to sell by the PEF Code or is denied the power by the trust instrument or that it is advisable that the sale have the effect of a judicial sale, stating the reason; and
(6) Sufficient facts to enable the Court to determine that the proposed sale is for the best interests of the trust.
(c) Guardian of Minor. A petition by a guardian to sell real property at public sale, under PEF Code § 3353, shall set forth in separate paragraphs:
(1) The age of the minor;
(2) The names of the minor's next of kin and the notice given them of the presentation of the petition;
(3) How title was acquired, stating the date and place of probate of Will or recording of the deed;
(4) A recital of the provisions of the Will or deed relating to the real property to be sold;
(5) The nature and extent of the interest of the minor, of the guardian and of third persons in the real property;
(6) A full description of the real property to be sold, the improvements thereon, by whom it is occupied, its rental value and current common level ratio value; and
(7) Sufficient facts to enable the court to determine that the proposed sale will be in the best interest of the minor.
(d) Guardian of Incapacitated Person. A petition by a guardian to sell real property at public sale, under PEF Code § 3353, shall set forth in separate paragraphs the same information as required for the sale by a guardian of a minor with sufficient additional facts to enable the Court to determine that the proposed sale will be in the best interest of the incapacitated person.
Rule O.C.L12.9.2. Public Sale of Real Property. Exhibits.
The following exhibits shall be attached to the petition by a personal representative, trustee or guardian to sell real property at public sale:
(a) Certification that ten (10) business days' notice has been given to those parties who do not consent or join; and
(b) Consent by any mortgagee whose lien would otherwise not be discharged by the sale.
Rule O.C.L12.9.3. Public Sale of Real Property. Notice.
After allowance of a petition for public sale of real estate, the petitioner shall, in addition to such notice as may be required to be given by law, give notice of the sale to each interested party, including every unpaid creditor by first class mail, if known. Such notice shall be given at least twenty (20) days prior to the date of the proposed sale. In addition, notice of the sale shall be advertised one (1) time in a newspaper of general circulation in the appropriate county and such notice shall contain:
(a) The size of the property, either by acreage or square feet if known, the street or road location and reference to any landmarks that may identify the property;
(b) A list of all improvements on the property and the nature thereof;
(c) A deed description or surveyor's description of the property, if any;
(d) The name of the grantee of the last recorded deed of the subject premises, together with the Deed Book and page of the record; and
(e) The recorded liens thereon and the identity of the secured party.
Rule O.C.L12.9.4. Public Sale of Real Property. Notice. Confirmation.
(a) Notice. After the allowance of a petition for public sale, notice in approved form of the proposed sale shall be given in the manner provided by Pa.O.C. Rule 5.1.
(b) Confirmation. If no objection is filed, the Court may enter a decree confirming the sale upon submission of a return of sale.
Rule O.C.L12.9.5. Public Sale of Real Property. Security.
On the return day of the sale, the Court, in the decree approving or confirming the sale, may fix the amount of security or additional security which the personal representative, trustee or guardian may be required to enter or will excuse the fiduciary from entering additional security.
Rule O.C.L12.10.1. Private Sale of Real Property or Options Therefor. Contents of Petition. Additional Requirements.
Where the power to sell real property is not granted by will, trust instrument or statute, a petition by a personal representative, trustee or guardian to sell real property at private sale shall also conform as closely as practicable to all requirements of these rules with regard to a petition to sell real property at public sale by the fiduciary.
Rule O.C.L12.10.2. Private Sale of Real Property or Options Therefor. Exhibits.
The following exhibits shall be attached to the petition by a personal representative, trustee or guardian to sell real property at private sale:
(a) Certification that twenty (20) business days notice has been given to those parties who do not consent or join;
(b) A copy of the agreement of sale; and
(c) Affidavits in the form required by Pa.O.C. Rule 12.10(b) unless otherwise ordered by the Court.
Rule O.C.L12.10.3. Private Sale of Real Property or Options Therefor. Security.
The Court, in the decree approving or confirming the sale, may fix the amount of security or additional security which the personal representative, trustee or guardian may be required to enter or may excuse the fiduciary from entering additional security.
Rule O.C.L12.10.4. Private Sale of Real Property or Options Therefor. Petition to Fix or Waive Additional Security. Personal Representatives.
(a) Form of Petition. In a sale, whether public or private, of real estate by a personal representative acting without benefit of an Order of Court, directing or authorizing such sale, but who was required to give bond, the personal representative shall present a petition to the Court before the proceeds of the sale are paid by the purchaser setting forth:
(1) The date of death of the decedent;
(2) The date of the grant of letters to the petitioner;
(3) The amount of the bond or bonds filed by the petitioner, the date of such filing and the name or names of the surety;
(4) The total valuation of the personal estate as shown on the inventory and appraisement, if any, and the total proceeds of any real estate sold previously;
(5) A short description of the real property sold, the name(s) of the purchaser(s), the amount of the consideration to be paid and the terms of the sale;
(6) A list of all liens of record known to petitioner, including mortgages, delinquent taxes, judgments, etc. and the names and relationships of all parties in interest with a brief description of their respective interests; and
(7) A prayer for an Order fixing the amount of additional security or for an Order excusing the filing of additional security.
(b) Surety on Additional Bond. The surety on any additional bond, except for cause shown, shall be the same as on the original bond.
Rule O.C.L12.12.1. Inalienable Property.
In addition to the requirements of PEF Code Chapter 83 and Pa.O.C. Rule 12.12, in the case of:
(a) Public Sale. The content of the petition, required exhibits, notices, confirmation and security shall conform to the requirements of O.C.L. Rules 12.9.1 through 12.9.4.
(b) Private Sale. The content of the petition, required exhibits, provisions as to higher offers, security and petitions to fix or waive additional security shall conform to the requirements of O.C.L. Rules 12.10.1 through 12.10.4.
RULE O.C.L13.
DISTRIBUTION—SPECIAL SITUATIONSRule O.C.L13.3.1. Report by Fiduciary.
The report contemplated by Pa.O.C. Rule 13.3 shall be submitted in compliance with the following requirements. Whenever the identity or whereabouts of a distributee is unknown, or that if distribution is made, the beneficiary would not have the actual benefit, use, enjoyment or control of the money or other property awarded, and the court is requested to withhold distribution or to make a provisional award thereof to the accountant, to the Clerk, or the State Treasurer through the Department of Revenue, or in a manner other than to the distributee or the nominee of said distributee, the fiduciary or counsel shall submit to the court or auditor, as the case may be, a written report outlining the investigation made and the facts upon which the request is based.
(a) Unknown Distributee. If it appears that the existence, identity or whereabouts of a distributee is unknown, or if there are no known heirs:
(1) The report shall be filed together with a petition for rule to show cause, seeking permission of the Court to publish service by publication addressed to any known distributee(s), or if none are known, then to the heirs, beneficiaries, successors and assigns of the decedent, trust or fund. Publication, if authorized by the Court, shall be carried out in accordance with Pa.O.C. Rule 5.1(c). The return date and time of the rule to show cause shall be included in the publication of notice. If persons shall appear in response to said notice, the Court may conduct an evidentiary hearing to determine the identity of the proper distributee(s).
(2) The contents of said report shall include:
(i) The nature of the investigation made to locate the distributee(s) in full detail;
(ii) If applicable to the determination of distributee(s) identity, a complete family tree in as much detail as possible, supported by as much documentary evidence as the petitioner has been able to obtain;
(iii) A statement that investigation was made by as many of the following means as are available and feasible: questioning of members of the household of the decedent or settlor, and/or friends, neighbors and/or known relatives thereof; officers and members of groups, unions, social or fraternal organizations to which decedent or settlor belonged; contacting employers and/or co-workers; examining church, insurance, school and voters registration records; Veteran's Administration and Social Security records; naturalization records if not a native born citizen; telephone and electronic media such as internet listings; and such other sources as the circumstances suggest; and
(iv) The petition and report shall be verified by the fiduciary and/or by counsel where counsel conducted the investigation.
(3) If, after notice by publication, such evidentiary hearing as the Court may choose to conduct, the distributee cannot be ascertained, the Court shall cause distribution to be made to the Clerk, with notice to the Attorney General of the Commonwealth and the fund shall be considered subject to escheat under 27 P. S. § 332 or such similar act as may then be in effect; or the Court may make such other distribution that is proper under the law and rules.
(b) Non-resident or Foreign Distributee. If the fiduciary determines that a non-resident distributee shall not be able to receive or to enjoy the actual benefit of the interest due thereto, the fiduciary shall submit a petition and report setting forth:
(1) Identity, relationship and address for the distributee;
(2) Such supporting information as the circumstances require, such as a family tree in as much detail as possible, supported by as much documentary evidence as the petitioner has been able to obtain;
(3) Reason(s) for the request that distribution be withheld or postponed, together with a proposed plan for the securing of the fund, identity of a continuing fiduciary and when possible, the time or event the occurrence of which will make distribution possible;
(4) To the extent possible, notice shall be given to the distributee or where applicable, to the guardian, parent, next friend or party having custody of the distributee, and any other party required by rule or statute; and
(5) Continuing custody or distribution shall be decided in keeping with 20 Pa.C.S.A. § 4111 and 4112 and/or such other act as may then be in effect.
Upon filing of such petition the Court shall cause the distribution to be made to the Clerk in the name of the proposed distributee with notice to the Attorney General of the Commonwealth and the funds shall be considered for distribution under the escheat laws of the Commonwealth if they cannot otherwise be delivered to the distributee or, as the law may provide, on the distribu- tee's death to the distributee's heirs.
RULE O.C.L14.
GUARDIANSHIP OF INCAPACITATED PERSONSRule O.C.L14.2.1. Adjudication of Incapacity and Appointment of a Guardian of the Person and/or Estate of an Incapacitated Person. Petition.
A petition to adjudicate a person incapacitated and to appoint a guardian shall set forth:
(a) All matters required by Pa.O.C. Rule 14.2;
(b) Whether the petition seeks limited or plenary guardianship, and what powers are sought for a limited guardian;
(c) Whether the proposed guardian wishes approval of any initial expenditures of funds at the hearing;
(d) Whether the alleged incapacitated person executed a durable Power of Attorney and the name and current address of the attorney in fact;
(e) Whether the alleged incapacitated person executed a Will or other testamentary document and the location of the original document;
(f) Whether the alleged incapacitated person executed a Living Will, advance health care directive or similar document and the location of the original document;
(g) The name of the attorney who has represented the person in the recent past; and
(h) Where appropriate state therein the name of the proposed guardian and if an individual, the relationship, if any, to the alleged incompetent; any fee arrangements and costs to be paid the proposed fiduciary and any interest the proposed fiduciary may have to the incompetent's estate, if any.
Rule O.C.L14.2.2. Adjudication of Incapacity and Appointment of a Guardian of the Person and/or Estate of an Incapacitated Person. Hearing.
The Court shall fix a date for hearing which shall not be less than ten (10) days after the service of the petition and citation.
The petition shall comply with all of the mandates of Pa.O.C. Rule 14.2; however, if it is alleged that the incompetent is unable to attend court for any reasons, the petitioner, at time of hearing, must make a part of the record a physician's report dated within ten (10) days of the hearing that the physician has examined the alleged incompetent and in the medical opinion of the physician the incompetent is not physically able to attend the hearing or if did attend would not be communicative or recognize the nature of the proceedings.
At the hearing the Court shall determine the amount, if any, of a bond to be placed by the fiduciary with the Court and the nature thereof.
Rule O.C.L14.2.3. Adjudication of Incapacity and Appointment of a Guardian of the Person and/or Estate of an Incapacitated Person. Qualifications of the Guardian.
(a) The class of persons from which a guardian may be appointed shall be as set forth at 20 Pa.C.S.A. § 5511(f).
(b) Non-residents: The Court, except in special circumstances, will not appoint non-residents as guardians of the estate of incapacitated persons residing within the county.
Rule O.C.L14.3.1. Review Hearing. Petition.
A petition to adjudicate whether there has been any significant change in the capacity of a person who was formerly adjudicated to be incapacitated shall set forth:
(a) All matters required by Pa.O.C. Rule 14.3;
(b) The name and location of the court which adjudicated incapacity; and
(c) Whether the former incapacitated person is capable of conducting his/her own affairs and whether he/she would be beyond reach of designing persons.
The petitioner may be the incapacitated person, the guardian, the spouse of the incapacitated person, a relative, a creditor, a debtor, or any person interested in the welfare of the incapacitated person.
Rule O.C.L14.3.2. Review Hearing. Hearing.
A hearing shall be set by the court not less than twenty (20) days after service of the petition and notice of hearing.
RULE O.C.L15.
ADOPTIONSRule O.C.L15.1.1. Local Rules. Practice and Procedure.
(a) All papers in adoption matters including petitions for voluntary and involuntary relinquishment shall be filed with the Clerk who shall thereafter submit the appropriate order to the Court Administrator to fix a hearing date on the proceedings.
(b) All adoption petitions shall be filed with the Clerk forty-five (45) days prior to the scheduled hearing date.
(c) No petition for adoption shall be presented by the Clerk for hearing thereon if it is not in conformity with and have attached thereto all mandatory information of abuse of children record or other information required.
Note: See 23 Pa.C.S.A. § 2530 as to requirements for Home Study and Preplacement Report; see also 23 Pa.C.S.A. § 2531 as to requirements for Report of Intention to Adopt; see also 23 Pa.C.S.A. § 2711 as to requirements for Consents Necessary to Adoption. Notice does not need to be provided to any parent whose parental rights have been terminated by petition to confirm adoption. See 23 Pa.C.S.A. § 2535, § 2724 and § 2533.(d) At time of hearing counsel shall attach a copy of all costs and counsel fees, as well as any other expenses incurred, to be paid by the adoptors.
(e) The adoptee (adoptees) shall be available for court review at the time of adoption.
Rule O.C.L15.5.1. Adoption.
A petition for adoption shall have attached thereto a proposed preliminary order scheduling the adoption hearing. At the time of the hearing, the attorney for petitioner shall submit to the Court a proposed decree of adoption.
Rule O.C.L15.6.1. Notice: Method and Time.
(a) In proceedings under Pa.O.C. Rule 15.4 the attorney for petitioners shall make a good faith effort to determine the address and identity of each parent and to provide notice of the proceedings. In adoption proceedings under Pa.O.C. Rule 15.5 notice of the proceedings shall also be given to any persons who have custody pursuant to a valid Court Order.
(b) Notice of the involuntary termination petition and hearing shall be served on the natural or putative father whose identity and/or whereabouts cannot be ascertained or on a mother whose identity and/or whereabouts cannot be ascertained by publication in the form and manner approved by the Court following presentation of a separate Motion for Service by Publication and Affidavit of Diligent Search as required by Pa.R.C.P. 430.
(c) A motion for service by publication upon a natural or putative father must aver that the natural mother does not know the identity and/or whereabouts of the natural or putative father; must include his last known address, if known; and must also specify all attempts made by the petitioner to determine the correct identity and/or address of the natural or putative father. See also 23 Pa.C.S.A. § 2512(c).
(d) Publication shall include, as a minimum, the contents of the notice required by 23 Pa.C.S.A. § 2513(b). Proof of publication shall be submitted to the Court prior to the hearing.
APPENDIX TO RULE O.C.L3.4.1(h)(2)
NOTICE You are hereby notified that the attached motion will be presented by me on ______ 20 ____ .
( ) to the Court Administrator as an uncontested matter;
( ) has been listed for Argumenton _____ 20 ______ .
CERTIFICATION OF NOTICE AND SERVICE The undersigned represents that a copy of this motion and proposed order have been served by ( ) first class mail posted five days prior to the presentation and by ( ) fax or ( ) hand delivery at least two (2) days prior to the date of presentation. Notice was given on the _____ day of _____ 20 ____ upon all parties or their counsel of record.
INFORMATION FOR COURT ADMINISTRATOR A. Is this an original filing in this case?
____ Yes ____ NoB. Has any judge heard this matter previously? ____ Yes ____ No
C. If yes, name of judge who presided over previous matter:
__ Skerda __ Hammond __ Other/Name __________
D. Estimated court time required if this matter is granted:
____Minutes ____Hours ____Days
E. Is this motion opposed by another party?
____Yes ____No ____Unknown
UNCONTESTED MOTION CERTIFICATION The undersigned represents that:
____ 1. All parties or counsel have consented.
____ 2. Consents of all parties or counsel are attached.
____ 3. The Order seeks only a return hearing or argument date and no other relief.
____ 4. The Order seeks only the appointment of a master, auditor or the like and no other relief.
Opposing Counsel: __________(if opposing party is unrepresented, list his/her current address and telephone):
__________
_________________ (Phone)__________
I HEREBY CERTIFY ALL OF THE ABOVE STATEMENTS ARE TRUE AND CORRECT.
By: ______
Attorney for: ______
APPENDIX TO RULE O.C.L6.1.1(b)(9)
CERTIFICATE
COMMONWEALTH OF : PENNSYLVANIA : : SS COUNTY OF WARREN : Personally came ______ , the Accountant(s) herein named, who being duly sworn say(s):
(1) That letters were granted and advertised more than four (4) months before filing of the account;
(2) That all of the disbursements claimed have been made or shall be made to the parties entitled thereto;
(3) That the within account as stated is true and correct; and
(4) That a copy of the account and notice of filing have been given to everyone required mandated by the Pennsylvania Supreme Court Orphans' Court Rules and Local Orphans' Court Rules of the 37th Judicial District.
_________________
ACCOUNTANTSworn to or affirmed and subscribed
before me this ______ day
of ______ , 20____ .
_________________
Notary Public
CERTIFICATE The __ day of _____ , 2011, (attorney's name) , the undersigned, hereby certifies that he/she has examined the foregoing account and that it is in accordance with the Local Orphans' Court Rules of the 37th Judicial District as to form and arrangement and that the account is true and correct according to the best of his/her judgment and belief.
_________________
ATTORNEY
ESTATE OF ______ No. ______ in the office of the Register of Wills of ______ County, Pennsylvania.
No. ______ Term 20____ in the Court of Common Pleas of the 37th Judicial District of Pennsylvania, ______ County Branch, Orphans' Court Division
______ Account of ______
(First, Partial, Final)_____ , 20____ filed, examined, allowed and passed.
_____ , 20____ account advertised
_____ , 20____ account certified to Orphans' Court.
_________________
Register_____ , 20____ account confirmed nisi by the Court.
_________________
Clerk of the Orphans' Court_____ , 200____ account with statement of proposed distribution confirmed absolute by the Court.
_________________
Clerk of the Orphans' Court______ D PG______
APPENDIX TO RULE O.C.L6.3.1(a)
NOTICE OF FILING ACCOUNTYou are hereby notified in accordance with the provisions of Section 3503 of the Probate, Estate and Fiduciaries Code and Rule 6.3 of the Pennsylvania Supreme Court Orphans' Court Rules that the First and Final Account of _____ , executor of the Estate of _____ , deceased, has been filed in the Office of the Register of Wills of ______ County, Pennsylvania, as of ____ , 20____ , will be confirmed nisi on ____ , 20____ , and will be confirmed absolute on ____ , 20____ , unless exceptions are filed in writing with the Clerk of the Orphans' Court five (5) days before said absolute confirmation.
Enclosed herewith is a copy of said First and Final Account which account includes a Statement of Proposed Distributions.
_________________
Attorney for Accountant
[Pa.B. Doc. No. 12-1258. Filed for public inspection July 6, 2012, 9:00 a.m.]
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