Fill and Sign the Surrogate S Court Checklists PDF Free Download Form

Surrogate’s Court Checklists:These checkli sts formulat ed by the Four th Judicial District are supplied for y our use in completing petitions of common proceedings filed in Surrog ate’s Court and for w hich there are official forms. A ch ecklist works through each para graph of any particu lar petit ion. It is antici pated that the 4JD Che cklist Committee will annually update the se forms so please contact the court for infor mation as to which checklists may have been changed, corrected or added by the committee within the past y ear. Your office should not submit checklists to Surrogate’s Court when fi\ ling a proceeding. Probate Proceeding Checklist (P-CHKLST release 2/22/07)7 pages Ancillary Probate Proceed ing Chec klist (ANCP-CHK release 8/9/04) 4 pages Administration c.t.a. (after probate ) Procee ding Che cklist (Acta-CHKLST release 8/9/04) 4 pages Administration Proceeding Checklist (A-CHKLST release 2/22/07) 6 pages Ancillary Administration Proceeding Chec klist (ANCA-CHK release 8/9/04) 4 pages Administration d.b.n. Proceed ing Chec klist (Adbn-CHKLST release 2/22/07) 5 pages Voluntary Administration Checklist (V-CHKLST release 2/22/07) 4 pages Guardia nship Proceeding Checklist (G-CHKLST [person only] release 8/9/04) 4 pages Person On ly Guardia nship Proceeding Checklist (G-CHKLST [person & prop] release 8/9/04)5 pages Person an d/or Prope rty 17-A Guardia nship Proceed ing Chec klist (G17A-CHK release 2/22/07) 5 pages of Mentally Retarde d/Developmentally Disabled Per son 17-A Guardia nship Proceed ing Chec klist (G17A-CONF-STNDBY-CHK release 2/22/07)4 pages Standby Appointment/Confirmation Standby Guardia nship Proceed ing Chec klist (STBY-GRDNSHP-CHKLST release 8/9/04)7 pages Wrongful Death Compromise Settlement Proceeding Che cklist (WDCS-CHK release 8/9/04) 5 pages Informal Accounting with/without Decree Proceeding Che cklist (INF-ACTG-CHK release 8/9/04) 4 pages Judicial Settlement of Account Proce eding Checklist (JUD-ACTG-CHK release 8/9/04) 7 pages Compulsory Accounting and Related Relief Proceeding Che cklist (COMP-ACTG-CHK release 8/9/04) 2 pages Private Placement Adoption Pr oceeding Check list (PRIV-ADPTN-CHK release 2/22/07) 6 pages Agency Adoption Proceeding Chec klist (AGNCY-ADPTN-CHK release 2/22/07) 5 pages CHCKL ST-INST.F RM P-CHKL ST release 2/22/07 PAG E 1 This Checklist is provided for your convenienc e while completin g the petition and t h e checklis t should not be returned t o the Court. Probate Proceeding Checklist (see Surrogate’s Court Form P-1, rev. 12/98) Fill In All Areas On All Pages - Also Mark When Not Applicable When Nece\ ssary Check All Forms To Make Sure Venue Is Corre ct - Appropriate County Is Listed PET ¶ # DESCRIPTION YESNO Is the captione d name the same as the signature on the Will and ¶2 of petition? If A/K/A’s, are they list ed in the caption and also under ¶2 of peti tion? Has the type of Lett ers been checked? 1.(a) Is the nam e of each fiduc iary the same as in Will? If NO , does petitione r explain why? Is the petitioner ... the nominated executor alternate executor or person eligible under SCPA §1402 or 1418 (adm. c.t.a.) NOTE: A Non-domiciliary alien is ineligible to be sole fiduciary (SCPA \ §707) 1.(b) Has SCPA §2307-a be en complied with? If an attorney and so le executor: has a statem ent been filed pursuant to Court Rules §207.16(e)? 2.(a) Is the nam e of the dec edent the same as the signat ure on Will? Are all A/K/A’s listed? 2.(b) Does date of death agree with death certificate? Certified dea th certificate and obitua ry (if available) to be fil ed with petiti on 2.(c) Is the place of death the same as that listed on death certificate? 2.(d) Is the address on petition and death certificate the same? this county? If NOT , has an explanatory a ffidavit with proofs of domicile been fi led? (SCPA §206 & 208) 2.(e) If decedent was a non-domiciliary of the State, has an affidavit been fi\ l ed pursuant to SCPA §1605 showing ... (1) no original proba te or administration proceeding has bee n or will be filed in any ot her jurisdiction PET ¶ # DESCRIPTION YESNO P-CHKL ST release 2/22/07 PAG E 22.(e) cont. (2) statement that testator did not leave any probat able assets in his/her domiciliary jur isdiction (3) statement that testator left probatabl e assets in this j urisdiction (4) statement li sting the distributees in the domiciliary j urisdiction or that they are the same as under New York State Law NOTE: Does all information provided under ¶2 agree with death certifi\ cate; if not, has an explanator y affidavit been p rovided? Check that mari tal status is correct; submit divorc e decree if requeste d by the co urt. Make sure that original will and codicil are filed with af fidavit(s) of attesting witnesses or necessary documents requesting that the affidavits be dispensed with \ are filed. (With one surviving witness submit form P-8; if all witnesses are deceased sub\ mit forms P-8 and P-9 for one witness and P-9 for decedent.) 3. Are date s listed co rrectly for Will and C odicils? Are all witnesses listed correctly? If necessary - did witnesses see original will or a court-certified copy\ ? see SCPA §1406(2) Is affidavit of c omparison with copy of will (& codicils) submitted? NOTE: Witne sses may not no tarize each other’s signatures o n witness dep ositions. 4. Answered “ NONE” or s pecified? 5. NOTE: Distributee : Any person entitled to take/share in property under EPTL §4-1.1 and\ 4-1.2. Has the num ber of survivors been listed? Has “ NO ” been inse rted in all prior classes? Has an “ X ” been inse rted in all subsequent c lasses? NOTE: If alleged that the dec edent was s urvived by no distrib utee or only one distributee or whe re the relatio nship of dist ributees to the decedent is grand parents, aunts, uncles, first cousins or first cousins once removed, has an Affidavit of Heirship been submitted - see \ Court Rul es §207.16(c). 6.(a) Are all dis tributees (who are o f full age and sound m ind) listed with the required information? (Court needs Form P -4 [Acknowledged Waiver of Process/Consent to Probate] see SCPA §401(4), or proposed citation for each person listed under 6(a). Provide copy of death certificate or date of\ death for any decea sed distributee.) note-Administrator c.t.a. see SCP A §1418 - us e waiver P-11. PET ¶ # DESCRIPTION YESNO P-CHKL ST release 2/22/07 PAG E 36.(a) cont. Is each person designat ed as primary executor l isted? Are all persons adversel y affected by the purported exercise by such Will of any power of appointment li sted? Are all persons adversel y affected by any codicil listed? Are all persons list ed under any other Will of t he decedent on file in the Surrogate’s Court li sted? If there is an i nter vivos trust or other testamentary substitute, are trustees and beneficiar ies affected by t he will listed? Has a copy of the Trust been submitt ed? 6.(b) Same as 6.(a) above but are persons under disability NOTE: IF T HERE ARE PERSONS U NDER DISABILITY LISTED UN DER 6(b) A GUARDIAN AD LITEM WILL HAVE TO BE APPOINTED AND A CITATION ISSUED. (see SCPA §\ 306 & 307) NOTE: THE FOLLOWING INFORMATION HAS TO BE PROVIDED UNDER 6(b) AND 7(b\ ) IF THE RE ARE P ERSONS UNDER DISA BILITY. INFANT S: name, birth date, relationship to decedent, d omicile/residence address, person with whom he/she resides Is there a court- appointed guardia n? If so, submit name and residence a ddress and information regardi ng appointment (submit proof of appoi ntment). Are parents living? ALL OTHER PERSONS UNDER DISABILITY: name, rel ationship to decede nt, residence address facts regarding di sability: has a committee, conservator , guardian, or any other fiduciary been appo inted (submit proof of appointment) Has the person under disabil ity been committed to any institution? Are the names and addresses of any committee, pe rson or institution having care and custody of him/her, conserva tor, guardian and any relative or friend having an intere st in his/her welf are listed? if a person is confi ned as a prisoner: pl ace of incarceration listed and name and address of any person(s) having a n interest in his/her welfare PET ¶ # DESCRIPTION YESNO P-CHKL ST release 2/22/07 PAG E 46.(b) cont. unknowns: described in the sa me language as will be used in the citation NOTE: IF THERE ARE UNKNOWNS, the following proof has to be submitted: affidavit showing that diligent efforts have been made to locate unknown\ distributees or distributee s who se whe reabouts are unk nown [Cou rt Rules §2 07.16(d)] “DILIGENT SEARCH” requires extensive research, e.g.: cemetery and mar riage records; tele phone boo ks; conversation wi th other distributees, neighbors, etc.; records of varied Surrogate’s Court; military record\ s; Bureau of Immigrat ion & Naturalizat ion; Social Security Adminis tration; Bureau of V ital Statisti cs; Department of Motor Vehicles; Bureau of the Census; City directories; In\ ternet 7.(a) Court nee ds Form P-6 [Notice of P robate/Affidavit of Mail ing] for all persons listed under 7(a) & 7(b) - see SCPA §1409. Are the names and domiciliary addresses of all substitute or successor executors, trustees, guardians listed? If predeceased - provide death certificate or da te of deat h. Are all legatees (any person designated to receive a transfer by will o\ f personal propert y) who is of full age and sound mind listed? Are all de visees (any person t o whom real property is transferred by will) who is of full age and so und mind listed? Are all ot her benefic iaries, who a re of full age and sound mind , named in the will listed? Are char ities receiving a r esiduary sh are? If so the State Attorney Genera l must receive a notice of probate. Are any t rustees and beneficia ries of any inter vivos trust de signated in t he purporte d will other t han those nam ed in paragraph 6 listed? 7.(b) Same as 7.(a) above but are persons under a disability (see ¶6b).\ see SCPA §1409(2) and SCPA §307(3) and (4). 8. Has “NONE” been entered or is there an indication of the confident\ ial relationship? (May require a PUTNAM hearing.) 9.(a) Has value of estate been listed? (do not include joint assets, insuranc\ e left to a beneficiar y, non-proba te assets) 9.(b) Has “NONE” b een entered or has cause of ac tion been sp ecified? 10. Under WHER EFORE Clause: has all relief requested be en checked and comple ted? PET ¶ # DESCRIPTION YESNO P-CHKL ST release 2/22/07 PAG E 510. cont. Is petition dated, signed, verified, properly notarized (including prop\ er jurat and expiration date of notary’s commission)? Is oath and de signation signed? does it se t forth pro posed fiduciar y’s physical address? Is propose d fiduciary a B ank? submit designation with consent Is attor ney’s nam e, address and phone num ber listed? Has Par t 130 Cer tification been com pleted? if NOT , has a separ ate attorney ce rtification as to P art 130 signing requirem ents been included? If forms ar e computer gen erated, has a cer tification pursuant to Court Rules §207.4 been attached? PARTIA L FEE SCHED ULE SCPA/EPTL§ or Rule # Filing Fee Have the proper fees been include d with petition? Fees per sched ule; $6.00 for each Certificate of Appointm ent. Filing fee is based up on the values of the es tate owned individually by the decedent or pa yable to the Estate - see SCPA §2402(8) 0 but under 10,000 $ 45.00 10,000 but under 20,000 75.00 20,000 but under 50,000 215.00 50,000 but under 100,000 280.00 100,000 but under 250,000 420.00 250,000 but under 500,000 625.00 500,000 and over 1,250.00 If Letters of Trust eeship are request ed include an addi tional $45.00 for this appointment ( after checking with individual court of filing as to fee policies). 2402 P-CHKL ST release 2/22/07 PAG E 6 COMMENTS A ND COURT NOTES Form Number SCPA/EPTL§ or Rule # When Permitted Whenever d ecedent dies with a W ill. 1402 For ms Always Required •Petition for Prob ate •Original Will of dec edent and Codicil(s), if any •Affidavit of Co mparison (unless waived b y court) •Certified Death Cer tificate •Affidavit of Attest ing Witnesses •Self- address ed stampe d envelope (if court r equires) P-1 P-13 P-3 1402 207.15(b) 1406 Forms or Docume nts Sometimes Required •Applic ation to Dispe nse with Testimony of Att esting Witness •Waiver of P rocess; Consent to Probate •Notice of Appearance •Authorization to A ppear on Behalf of Party •Attorney/Fiducia ry Statement •Family Tree C hart (if required by cou rt) •Affida vit Proving Hand writing of Dece dent/Witness •Renunciation of Nominated Exe cutor and/or Trustee •Renunci ation of Lett ers of Admi n. c.t.a./Waiv er of Pro cess •Affidavit of No Debt (Admin. c.t.a.) •Citation on Prob ate •Affidavit for Supplementa l Citation •Order for Mailing and/or Publ ication •Notice to Consul General •Notice of Probate & Affidavit of Service •Affidavit of Due Dilige nce •Application for Prel iminary Letters Testamentary & Oath & Designation of Preli minary Executor •Sole Heir A ffidavit •Affidavit of Servic e (Personal/Mail/Publication) •Affidavit as to Mil itary Service •Bond •Death Certific ate of deceased spouse, di stributee, beneficiary or named executor •Notic e of Ele ction by Survi ving Spou se •Waiver or Release of the Ri ght of Election P-8 P-4 FT-1 P-9 P-10 P-11 P-12 P-5 P-6 P-2 1405 207.16(e) & 2307-a 207.16(c) 1403 1412 207.16(c) 314 801-805 207.15(c) 5-1.1 5-1.1 P-CHKL ST release 2/22/07 PAG E 7 COMMENTS A ND COURT NOTES (continued) All Waivers and Proofs of Service must show that each interested party actually received a copy of the Will. Proofs of Service of Citation m ust be filed with the Court at least two (2) working days before the return dat e. Guardian Ad Litem will be appointe d on or before the ret urn day of process for all unknowns and persons under disabil ity (SCPA §403). Petition & No tice of Probate mu st include names of all persons des ignated in Will as legatee , devisee, fiduci ary or alternate fiduciary not otherwise liste d as an intereste d party. Letters will not be delivere d until Notice of Probate and Mailing Affi davit are filed. Review carefully i nstructions to par agraphs 6 and 7 of the Petition and be sure intereste d parties are li sted i n the co rrect place s. NYS Department of Taxation & Finance may be a necessary party for estates of non- domiciliary dece dents. Review SCPA §1403(1)(g). Docume nts signed by Power of Attorney (Provide c ertified copy of POA and comply w ith Section 13-2.3 EPTL and 207.48 Uniform Rules). Check to be certai n all documents are proper ly acknowledged. THIS MATERIAL IS PROVIDED FOR INFORMATIONAL /TRAINING PURPOSES ONLY. – It is intended for use in conjuncti on with review of the applicable statutes and rul es of the Surrogate’s Court a nd the Surrogate’s C ourt Operations M anual. ANCP-CHK release 8/9/04 PAGE 1 This Checklist is provided for your convenience while completing the petition and the checklist should not be returned to the Court. Ancillary Probate Proceeding Checklist (see Surrogate’s Court Form AP-1, 12/97, rev. 4/98) NOTE: An ancillary probate may be used when a non-domiciliary leaves real and/or personal property which needs to be administered under NYS law and there has been probate in the foreign (domiciliary) jurisdiction. Fill In All Areas On All Pages - Also Mark When Not Applicable When Necessary Check All Forms To Make Sure Venue Is Correct - Appropriate County Is Listed CHECK: IS THE ATTORNEY OF RECORD LICENSED TO PRACTICE IN THE STATE OF NEW YORK? PET ¶ #DESCRIPTION YES NO Is the captioned name the same as the signature on the Will and ¶2 of the petition? If A/K/A’s are they listed in the caption and also under ¶2 of the petition? Has the type of Letters been checked? 1. Is the petitioner the person expressly appointed in the Will as executor with respect to property located in this State or his/her designee? (see SCPA §1604) If Not: Is petitioner the fiduciary appointed to act in the domiciliary jurisdiction or his/her designee? If Not: Is petitioner the person acting in the domiciliary jurisdiction to administer and distribute the testator’s estate? If Not: Is petitioner a person entitled to letters of administration c.t.a. or his/her designee? (see SCPA §1418) If Not: Is petitioner a creditor, public administrator (County Treasurer) or person interested or to whom letters may issue? (see SCPA §1609.1) NOTE: Non-domiciliary alien executor, though ineligible to act in this jurisdiction (unless said executor has a co-executor who is a citizen), has a right to designate an ancillary fiduciary. (see SCPA §707 and §1608) 2. Verify information set forth in Authenticated documents from foreign state. NOTE: Exemplified/Authenticated Record should include copies of Will, Decree or Order Admitting Will to probate in the foreign (domiciliary) jurisdiction, and Letters issued thereon in the foreign jurisdiction (if the issuance of Ancillary Letters are being requested). (see SCPA §1614 and CPLR §4540) NOTE: Exemplifications and/or authenticated documents must be unaltered - i.e. should not be unstapled to photocopy and should not be attached to petition. PET ¶ #DESCRIPTION YES NO ANCP-CHK release 8/9/04 PAGE 2 2 cont.NOTE: Documents filed in a foreign language shall be accompanied by an English translation and an affidavit by the translator stating his/her qualifications and that the translation is accurate. [see CPLR §2101(b)]. 3. Verify again that all information set forth is as indicated in the Authenticated documents from foreign state. NOTE: If petition indicates that time has not yet passed for Will to be subject to contest under the laws of the foreign state, do not admit to ancillary probate, hold in abeyance until such time as verification from foreign Court is filed indicating that time has passed and it is not being contested. NOTE: Bond of Ancillary Fiduciary may be required. [see SCPA §801(c)(ii)] 4a. Is all the New York State property listed with complete address, description and value? Verify jurisdiction at this time with property situate in your County, real or personal. (see SCPA §206) All items must be completed. If non-applicable, please indicate. NOTE: Filing fee on Ancillary Probate is based on the value of New York Property only. (see SCPA §2402) 4b. If cause of action is listed complete details must be included ; if none, so state. (See note at beginning of instructions regarding exemplified or authenticated copies of records from foreign Court.) 5. Issue citation for service on Interested parties listed here as set forth in form (unless waivers and consents to ancillary probate have been submitted). Always Cite the New York State Department of Taxation and Finance (see SCPA §1609.3) UNLESS a Notice of Appearance and Consent by Tax Commissioner has been filed with Stipulation Reserving Domicile. If Letters Are Requested Cite: 1) Domiciliary (New York State) Creditors or those claiming to be creditors; 2) Those entitled to letters or entitled to designate an appointee. (see instructions on item 1 this checklist for those entitled to letters - SCPA §1604) 6. Only beneficiaries who reside in New York State (domiciliary beneficiaries) and who are named in the Will/Codicil being offered for Ancillary Probate need be listed here. If Letters are Requested: Notice of Ancillary Probate with proof of mailing to all listed if they have not been served with process, waiver, or otherwise appeared in the proceeding. Both (a) and (b) must be completed. If none applicable, so indicate. PET ¶ #DESCRIPTION YES NO ANCP-CHK release 8/9/04 PAGE 3 7. This must be completed. Either “except” crossed out or “none” indicated. Under WHEREFORE Clause: has all relief requested been checked and completed? Is petition dated, signed, verified, properly notarized (including proper jurat and expiration date of notary’s commission)? Is Combined Verification, Oath and Designation signed? Does it set forth proposed fiduciary’s physical address? Is proposed fiduciary a bank? (If yes, submit a combined Corporate Verification, Consent and Designation) NOTE: Certification must be provided from a financial institution that they are qualified to act as a fiduciary in the State of New York. Is attorney’s name, address and phone number listed? Has Part 130 Certification been completed? If NOT , has a separate attorney certification as to Part 130 signing requirements been included? If forms are computer generated, has a certification pursuant to Court Rules §207.4 been attached? PARTIAL FEE SCHEDULESCPA/EPTL§ or Rule # Filing Fee Have the proper fees been included with petition? Fees per schedule; $6.00 for each Certificate of Appointment. Filing fee is based upon the values of the New York State Property only owned individually by the decedent or payable to the Estate - see SCPA §2402(8) 0 but under 10,000 $ 45.00 10,000 but under 20,000 75.00 20,000 but under 50,000 215.00 50,000 but under 100,000 280.00 100,000 but under 250,000 420.00 250,000 but under 500,000 625.00 500,000 and over 1,250.002402 ANCP-CHK release 8/9/04 PAGE 4 COMMENTS AND COURT NOTESForm NumberSCPA/EPTL§ or Rule # When PermittedWhenever a non-domiciliary decedent leaves real and/or personal property which needs to be administered under NYS law and there has been probate in the foreign jurisdiction.1602 Forms Always Required•Petition for Ancillary Probate •Exemplified/Authenticated Record of Foreign Proceeding (Will, Order Appointing, Letters of Appointment) •Citation (or waiver and consent from tax department)AP-1 AP-21609 1614 CPLR 4540 1609 Forms or Documents Sometimes Required•Certified Death Certificate •Notice of Ancillary Probate with Affidavit of Mailing •Renunciation of Nominated Executor •Self-addressed stamped envelope •BondAP-3 P-101608(5) 801(c)(ii) COMMENTS AND COURT NOTES (continued) Proofs of Service of Citation must be filed with the Court at least two (2) working days before the return date. Letters will not be delivered until Notice of Ancillary Probate and Affidavit of Mailing are filed if applicable. Documents signed by Power of Attorney (Provide certified copy of POA and comply with Section 13-2.3 EPTL and 207.48 Uniform Rules). Check to be certain all documents are properly acknowledged. THIS MATERIAL IS PROVIDED FOR INFORMATIONAL/TRAINING PURPOSES ONLY. – It is intended for use in conjunction with review of the applicable statutes and rules of the Surrogate’s Court and the Surrogate’s Court Operations Manual. Acta-CHKLST release 8/9/04 PAGE 1 This Checklist is provided for your convenience while completing the petition and the checklist should not be returned to the Court. Administration c.t.a. (after Probate) Proceeding Checklist (see Surrogate’s Court Form CTA-1, rev. 7/98) NOTE: If, subsequent to the admission of a will to probate, the executor or administrator c.t.a. dies, resigns or for any reason is removed from office, and there is no executor or administrator c.t.a. qualified to act, a proceeding for the appointment of an administrator c.t.a. or administrator c.t.a., d.b.n. may be commenced in order to complete the administration of the estate. (SCPA §1418 and 1419). NOTE: According to the Opinion of the State Comptroller 89-49, dated 11/27/1989, the fee to be charged on an administration c.t.a. proceeding is $45.00. Check that the office of the executor or administrator c.t.a. is vacant [SCPA §1418(1)]: 1. death certificate 2. proof of revocation 3. resignation (NOTE: the Court may require an accounting before permitting a fiduciary to resign) NOTE: The Court may refuse to issue Letters of Administration c.t.a. if distribution is possible pursuant to SCPA §2207. Fill In All Areas On All Pages - Also Mark When Not Applicable When Necessary Check All Forms To Make Sure Venue Is Correct - Appropriate County Is Listed PET ¶ #DESCRIPTION YES NO Secure the estate file folder Is the captioned name exactly the same as it appears on the original proceeding? Make sure that the file number is on the petition and all other supporting documents and should be the same file number as the original proceeding 1a. Is the petitioner eligible to act and qualify pursuant to SCPA §1418? (a) sole beneficiary or if he/she is dead, to his/her fiduciary (b) to one or more residuary beneficiaries or, if any are dead, to his/her fiduciary (c) if there is no one eligible under (a) or (b) who will accept, the Court may issue letters to one or more persons interested in the estate or, if any be dead, to his/her fiduciary *NOTE: [see SCPA §1418(2)-(8) for additional classes] Check citizenship Has the interest of the petitioner been checked and specified? 1b.Is the proposed administrator an attorney? PET ¶ #DESCRIPTION YES NO Acta-CHKLST release 8/9/04 PAGE 2 If so, has a statement been provided pursuant to 22NYCRR 207.16(e)? NOTE: Latter will need an accounting (see 22NYCRR 207.52) 2. Check that the date of admission of Will to probate is correct and that the name of the original fiduciary is listed along with date of death or removal. 3.NOTE: Verify that all persons and parties interested in this proceeding having a right to letters of administration c.t.a. prior or equal to the petitioner under the provisions of SCPA §1418 and 1419 are listed. Check that the names, relationships, domiciles and interest of all parties are listed in the petition. NOTE: If there are any deceased interested parties, provide a copy of the death certificate or provide the date of death. 4. Check that all names, relationships, domiciles and interest of all persons and parties are listed who are beneficiaries named in the will other than those named in paragraph 3. NOTE: Form CTA-3 has to be submitted from all adult competent persons listed under 3 & 4 having a right to letters equal or prior to petitioner or a citation will be issued. ALL INTERESTED PARTIES MUST CONSENT THAT BOND BE DISPENSED WITH OR FILING OF A BOND WILL BE REQUIRED. NOTE: If any have died subsequent to the death of the decedent, a statement should be included as to whether a legal representative has been appointed, and if so, name and title of such representative, his/her address and the court which issued letters. If no legal representative has been appointed, the distributees of such post-deceased distributee must be listed giving names, relationship, domiciles and citizenship. NOTE: FOR INFANTS (Attach copy of birth certificate if required by court) NOTE: IF THERE IS A COURT-APPOINTED GUARDIAN (FIDUCIARY) SUBMIT PROOF OF APPOINTMENT. NOTE: IF THERE ARE UNKNOWNS, the following proof has to be submitted: affidavit showing that diligent efforts have been made to locate unknown distributees or distributees whose whereabouts are unknown [Court Rules §207.16(d)] “DILIGENT SEARCH” requires extensive research, e.g.: cemetery and marriage records; telephone books; conversation with other distributees, neighbors, etc.; records of varied Surrogate’s Court; military records; Bureau of Immigration & Naturalization; Social Security Administration; Bureau of Vital Statistics; Department of Motor Vehicles; Bureau of the Census; City directories; Internet 5. Verify that there are no other persons interested in this proceeding other than those already mentioned. PET ¶ #DESCRIPTION YES NO Acta-CHKLST release 8/9/04 PAGE 3 6. Make sure outstanding debts or funeral expenses are listed. If none, so state. 7.a& 7.b Check value of unadministered property Check estimated gross rents of real property (if any) for period of eighteen (18) months Check that any pending or contemplated causes of action on behalf of the decedent are listed and complete information is given NOTE: If inconsistent with amount shown in original proceeding, an explanatory affidavit may be required.) Under WHEREFORE Clause: has all relief requested been checked and completed? Is petition dated, signed, verified, properly notarized (including proper jurat and expiration date of notary’s commission)? Is Combined Verification, Oath and Designation signed? does it set forth proposed fiduciary’s physical address? Is proposed fiduciary a bank? (submit a Consent and Designation) Is attorney’s name, address and phone number listed? Has Part 130 Certification been completed? if NOT , has a separate attorney certification as to Part 130 signing requirements been included? If forms are computer generated, has a certification pursuant to Court Rules §207.4 been attached? Official Forms for this type of proceeding are: N CTA-1 (7/98) Petition for Letters of Administration c.t.a. after Probate N CTA-2 (7/98) Citation (make sure that the full relief requested is included in citation) N CTA-3 (7/98) Renunciation of Letters of Administration c.t.a., Waiver of Process and Consent to Dispense with Bond (to be submitted by an adult competent party having a prior or equal right to that of petitioner) NOTE: The Court may fix a bond in an amount which will adequately protect creditors and interested persons who have not consented to dispense with a bond COMMENTS AND COURT NOTES Acta-CHKLST release 8/9/04 PAGE 4 The Court may fix a bond in an amount which will adequately protect creditors and interested persons who have not consented to dispense with a bond. Proofs of Service of Citation must be filed with the Court at least two (2) working days before the return date. Guardian Ad Litem will be appointed on or before the return day of process for all unknowns and persons under disability (SCPA §403). Review carefully instructions to paragraphs 3 and 4 of the Petition and be sure interested parties are listed in the correct places. Documents signed by Power of Attorney (Provide certified copy of POA and comply with Section 13-2.3 EPTL and 207.48 Uniform Rules). Check to be certain all documents are properly acknowledged. THIS MATERIAL IS PROVIDED FOR INFORMATIONAL/TRAINING PURPOSES ONLY. – It is intended for use in conjunction with review of the applicable statutes and rules of the Surrogate’s Court and the Surrogate’s Court Operations Manual. A-CHKL ST release 2/22/07 PAG E 1 This Checklist is provided for your convenienc e while completin g the petition and t h e checklis t should not be returned t o the Court. Administration Proceeding Checklist (see Surrogate’s Court Form A-1, rev. 12/98) Fill In All Areas On All Pages - Also Mark When Not Applicable When Nece\ ssary Check All Forms To Make Sure Venue Is Corre ct - Appropriate County Is Listed PET ¶ # DESCRIPTION YESNO Is the captione d name exactly the same as i t appears on the Death Certificate? If A/K/A’s, are they list ed in the caption and also under ¶2 of peti tion? Has the type of Lett ers been checked? 1. Is the petitioner eligible to act and qualify pursuant to SCPA §1001?\ (a) surviving adult spouse of decedent (b) adult child (c) adult grandchild (d) parent (e) brother or sist er (f) any other person who is a di stributee and who is eligible to qualify (g) others as set fort h in SCPA §1001(3) to (9) Check citizenship NOTE: A Non-domiciliary alien is ineligible to act as a sole fiduciary [\ see SCPA §707] Has the interest of the petitioner been checked and spec ified? Is the proposed administra tor an attorney? If so, has a statement bee n provided pursuant to 22NYCRR 207.16(e)? NOTE: Later will need an accounting [see 22NYCRR 207.52] 2. Does the information under ¶2 of the Petition agree with the death ce\ rtificate? (certified copy of death certificate and obituary, if available, to be filed with petition) (a) if address on pet ition does not agree with death certificate, has an explanator y affidavit be en filed [see SCPA §206-208] (b) if decedent was a non- domiciliary of the State, has an expl anatory affidavit and a request for non-domicil iary treatment been filed set ting forth the following: (1) statement that no original probat e or administration proceeding has been or will be fil ed in any jurisdi ction PET ¶ # DESCRIPTION YESNO A-CHKL ST release 2/22/07 PAG E 22. cont. (2) statement that the decedent left no estate assets in his/her domiciliary jurisdicti on (3) statement that the decedent left estate assets in this j urisdiction (4) statement li sting the distributees in the domiciliary j urisdiction or that they are the same as under New York State Law 3. Has ever ything bee n answered? (a) & (b) is all propert y in decedent’s name al one? do not include: jointly held pr operty with right of survivorship; property held in trust for another; assets t hat have a named benefic iary (c) estimated rent for 18 months has to be included; this amount needs to be considered in det ermining whether a bond is requi red and if so, the amount of the bond (d) if there is a pending o r contemplated cause of action on behalf of the decedent, has all informati on requested in pet ition been provided? (e) has it been che cked, if so, is informati on provided under ¶7 of Peti tion? 4. This paragr aph states that a dilig ent search has been m ade to find a will . 5. Were the court’s records searche d for a will for sa fekeeping or an estate/file previously opened? [See SCPA §2507 and §2508] 6. NOTE: Distributee: Any person entitled to take or share in property under EPTL §4-1.1 a\ nd 4-1.2. (SUBMIT A FAMILY TREE IF REQUIRE D BY THE COURT.) Has the num ber of survivors been listed? Has “ NO ” been inse rted in all prior classes? Has an “ X ” been inse rted in all subsequent c lasses? NOTE: If alleged that the dec edent was s urvived by no distrib utee or only one distributee or whe re the relatio nship of dist ributees to the decedent is grand parents, aunts, uncles, first cousins or first cousins once removed, has an Affidavit of Heirship been submitted - see \ Court Rul es 207.16(c). NOTE: If there are any deceased distr ibutees, provide a c opy of the death certificate or provide the date of de ath. 7.(a) Are all distributees or other necessary parties (exam ple: creditors) who are of full age and under no disabil ity listed with required information? [see Court Rules §207.16(b)] PET ¶ # DESCRIPTION YESNO A-CHKL ST release 2/22/07 PAG E 37a. cont. Renunciation and Waiver: Renunciation of l etters of administration and waiver of process may be submitted from any adult, c ompetent person who has a prior or equal right t o letters of admini stration and must consent to the granting of all reli ef in the “wherefore clause” of the petition. Waivers must be signe d and acknowledged. If let ters of administration are to be granted to a designee, the name of such desi gnee must be inserted. (Form A-8 to be used by individuals and Form A-9 from a Corporati on [example: funeral director]). If non-marital or adopted-out person, has Schedule A and/or B been attac\ hed to Petit ion? Notice of Applicat ion for Letters of Administration: (Form A-3) Th is notice must be given to all those listed in the petition who have a right to le tters inferior to that of the nominated administrat or, or persons who share in the decedent’s estat e as distributees, but are not el igible to receive letters. If any of these have waived, not ice to them is not required. An original affidavit of mailing must accompany the fil ed notice. NOTE: ALL INTERESTED PARTIES MUST CONSENT THAT BOND BE DISPENS ED WITH ORFILING OF BOND WILL BE REQUIRED. 7.(b) Same as 7.(a) above but are persons under disability Are infants and persons un der disability listed wit h required informat ion? Are Schedules A, B, C and/or D attached? NOTE: FOR I NFANTS (Atta ch copy of birth certificate if require d by court) NOTE: IF THERE IS A COURT-APPOINTED GUARDIAN (FIDUCIARY) SUBMIT PROOF OF APPOINTMENT. NOTE: IF THERE ARE UNKNOWNS, the following proof has to be subm itted: affidavit showing that diligent efforts have been made to locate unknown\ dist ributees or distributee whose whereabouts are unknown [see Court Rul es §207.16(d)] “DILIGENT SEARCH” requires extensive research, e.g.: cemetery and marriage r ecords; telephone books, conversation with other dis tributees, neighbors, etc.; records of varied Surrogate’s Courts; military recor\ ds; Bureau of Immigration & Natur alization; Social Security Administrati on; Bureau of Vital Statistics; Department of Motor Vehicles; Bureau of the Census; City directories, In\ ternet NOTE: PURSUANT TO SCPA §1003(4) Jurisdictio n over unknow n distributees or distribut ees whose whereabout s are not kno wn need not be secured prior to the is suance of letters, but is required by publication of citation in the accounting proceeding. The Decree granting Administrat ion must so state. PET ¶ # DESCRIPTION YESNO A-CHKL ST release 2/22/07 PAG E 48. Make sure outstanding debts or funeral expenses are listed (attach copy\ of funeral bill if pa id). If no outstanding expenses, so state. If out standing expenses, use Form A-9. 9. Under WHER EFORE Clause: has all relief requested be en checked and comple ted? Is petition dated, signed, verified, properly notarized (including prop\ er jurat and expiration date of notary’s commission)? Is Combi ned Verific ation, Oath and Designa tion signed? does it se t forth pro posed fiduciar y’s physical address? Is propose d fiduciary a ba nk? (submit a Consent and Designat ion) Is attor ney’s nam e, address and phone num ber listed? Has Par t 130 Cer tification been com pleted? if NOT , has a separ ate attorney ce rtification as to P art 130 signing requirem ents been included? If forms ar e computer gen erated, has a cer tification pursuant to Court Rules §207.4 been attached? PARTIA L FEE SCHED ULE SCPA/EPTL§ or Rule # Have the pr oper fees been include d with petition? Fees per sched ule; $6.00 for each Certificate of Appointm ent. Filing fee is ba sed upon the values of the estate owned individually by the decedent or payabl e to the Estate - see SCPA §2402(8) 0 but under 10,000 $ 45.00 10,000 but under 20,000 75.00 20,000 but under 50,000 215.00 50,000 but under 100,000 280.00 100,000 but under 250,000 420.00 250,000 but under 500,000 625.00 500,000 and over 1,250.00 2402 A-CHKL ST release 2/22/07 PAG E 5 COMMENTS A ND COURT NOTES Form Number SCPA/EPTL§ or Rule # When Permitted Whenever decedent dies wit hout a Will, OR Will filed with Court is not offered f or Probate. 1001-1004 For ms Always Required •Petition for Administr ation •Oath and Designation •Death Certificate •Copy of paid funeral bi ll or Waiver from funeral di rector •Self- address ed stampe d envelope (if court r equires) A-1 A-1 A-9 1402 207.15(b) Forms or Docume nts Sometimes Required •Administration Cita tion •Waiver, R enunciation & C onsent: Individual Corporation •Notice of Applicat ion for Letters Administration •Affidavit of Maili ng Notice of Applicat ion •Notice to Consul General •Affidavit of Reg ularity •Attorney/Fidu ciary Affidavit •Affidavit of Due Dilige nce for Publication •Affidavit of Servic e •Bond •Family Tree Chart •Affidavit of So le Heirship •Death Certific ate of deceased spouse, di stributeeA-2 A-8 A-9 A-3 A-4 A-5 A-7 A-10 FT-1 1003 1003(3) 1005 207.21 207.16(e) 207.16(c) 307 801-805 207.16(d) 207.16(c) 207.15(c) A-CHKL ST release 2/22/07 PAG E 6 COMMENTS A ND COURT NOTES (continued) If the assets exceed $20,000 a nd one or more distributees refuse to consent th at the Administrator serve without bond (or are unable to consent by reason of their being under disabili ty) it may be necessary t o obtain a fiduciary bond. See SCPA Article 8. Proofs of Service of Cita tion must be filed wit h the Court at least two (2) working days before the return dat e. Guardian Ad Litem will be appointe d on or before the return day of proc ess for all unknowns and persons under disabil ity (SCPA §403). Letters will not be delivered unti l Notice of Applica tion (if required) and Mailing Affidavit are filed. Review carefully instructio ns to par agraphs 6 and 7 of the Petit ion and be sure inte rested parties are li sted i n the co rrect place s. Docume nts signed by Power of Attorney (Provide c ertified copy of POA and comply with Section 13-2.3 EPTL and 207.48 Uniform Rules). Check to be certai n all documents are proper ly acknowledged. T HIS MATERIAL IS PROVIDED FOR INFORMATIONAL/TRAINING P URPOSES ONLY. – It is intended for use in conjunc tion with review of the appli cable statutes and rules of the Surrogat e’s Court and the Surrogate’s C ourt Operations M anual. ANCA-CHK release 8/9/04 PAGE 1 This Checklist is provided for your convenience while completing the petition and the checklist should not be returned to the Court. Ancillary Administration Proceeding Checklist (see Surrogate’s Court Form AA-1, 12/97, rev. 4/98) NOTE: An ancillary administration may be used when a non-domiciliary dies without a will and leaves real and/or personal property located in New York State or a cause of action exists which need to be administered and there has been an administration in the foreign (domiciliary) jurisdiction. Fill In All Areas On All Pages - Also Mark When Not Applicable When Necessary Check All Forms To Make Sure Venue Is Correct - Appropriate County Is Listed CHECK: IS THE ATTORNEY OF RECORD LICENSED TO PRACTICE IN THE STATE OF NEW YORK? PET ¶ #DESCRIPTION YES NO Is the captioned name the same as that on the foreign documents and ¶2 of the petition? If A/K/A’s are they listed in the caption and also under ¶2 of the petition? Has the type of Letters been checked? 1. Is the petitioner the person appointed administrator in the foreign/domiciliary jurisdiction or the person acting in that jurisdiction? [see SCPA §1607(2)] If Not: Is petitioner a person entitled to original letters of administration? If Not: Is petitioner the designee of person(s) in either the two classes listed above? [see SCPA §1607(3)] If Not: Is petitioner a creditor, public administrator (County Treasurer) or person interested or to whom letters may issue? (see SCPA §1609.1) NOTE: Non-domiciliary alien administrator, though ineligible to act in this jurisdiction (unless said administrator has a co-administrator who is a citizen), has a right to designate an ancillary fiduciary. (see SCPA §707 and §1608) 2. Verify information set forth in Authenticated documents from foreign state. NOTE: Exemplified/Authenticated Record should include copies of the foreign administration proceeding, Decree or Order and Letters issued thereon in the foreign jurisdiction. (see SCPA §1614 and CPLR §4540 and §4542) NOTE: Exemplifications and/or authenticated documents must be unaltered - i.e. should not be unstapled to photocopy and should not be attached to petition. NOTE: Documents filed in a foreign language shall be accompanied by an English translation and an affidavit by the translator stating his/her qualifications and that the translation is accurate. [see CPLR §2101(b)]. PET ¶ #DESCRIPTION YES NO ANCA-CHK release 8/9/04 PAGE 2 3. Verify again that all information set forth is as indicated in the Authenticated documents from foreign state. NOTE: Bond of Ancillary Fiduciary may be required. [see SCPA §801(c)(ii)] 4a. Is all the New York State property listed with complete address, description and value? Verify jurisdiction at this time with property situate in your County, real or personal. (see SCPA §206) All items must be completed. If non-applicable, please indicate. NOTE: Filing fee on Ancillary Administration is based on the value of New York Property only. (see SCPA §2402) 4b. If cause of action is listed complete details must be included ; if none, so state. (See note at beginning of instructions regarding exemplified or authenticated copies of records from foreign Court.) 5. Issue citation for service on Interested parties listed here as set forth in form (unless waivers and consents to ancillary probate have been submitted). Always Cite the New York State Department of Taxation and Finance (see SCPA §1609.3) UNLESS a Notice of Appearance and Consent by Tax Commissioner has been filed with Stipulation Reserving Domicile. If Letters Are Requested Cite: 1) Domiciliary (New York State) Creditors or those claiming to be creditors; 2) Those entitled to letters or entitled to designate an appointee. (see instructions on item 1 this checklist for those entitled to letters - SCPA §1607) 6. Only domiciliary distributees who reside in New York State need to be listed here. Notice of Application for Letters of Ancillary Administration with proof of mailing to all domiciliary distributees who have not waived or otherwise appeared in the proceeding must be submitted. Both 6(a) and 6(b) must be completed. If none applicable, so indicate. 7. This must be completed. Either “except” crossed out or “none” indicated. Under WHEREFORE Clause: has all relief requested been checked and completed? Is petition dated, signed, verified, properly notarized (including proper jurat and expiration date of notary’s commission)? Is Combined Verification, Oath and Designation signed? Does it set forth proposed fiduciary’s physical address? PET ¶ #DESCRIPTION YES NO ANCA-CHK release 8/9/04 PAGE 3 Is proposed fiduciary a bank? (If yes, submit a combined Corporate Verification, Consent and Designation) NOTE: Certification must be provided from a financial institution that they are qualified to act as a fiduciary in the State of New York. Is attorney’s name, address and phone number listed? Has Part 130 Certification been completed? If NOT , has a separate attorney certification as to Part 130 signing requirements been included? If forms are computer generated, has a certification pursuant to Court Rules §207.4 been attached? PARTIAL FEE SCHEDULESCPA/EPTL§ or Rule # Filing Fee Have the proper fees been included with petition? Fees per schedule; $6.00 for each Certificate of Appointment. Filing fee is based upon the values of the New York State Property only owned individually by the decedent or payable to the Estate - see SCPA §2402(8) 0 but under 10,000 $ 45.00 10,000 but under 20,000 75.00 20,000 but under 50,000 215.00 50,000 but under 100,000 280.00 100,000 but under 250,000 420.00 250,000 but under 500,000 625.00 500,000 and over 1,250.002402 COMMENTS AND COURT NOTESForm NumberSCPA/EPTL§ or Rule # ANCA-CHK release 8/9/04 PAGE 4 When PermittedWhenever a non-domiciliary decedent leaves real and/or personal property or a cause of action which needs to be administered under NYS law and there has been an administration in the foreign jurisdiction.1607 Forms Always Required•Petition for Ancillary Administration •Exemplified/Authenticated Record of Foreign Proceeding, Decree or Order Appointing, Letters of Appointment •Citation (or waiver and consent from tax department)AA-1 AA-21609 1614 CPLR 4540 1609 Forms or Documents Sometimes Required•Certified Death Certificate •Notice of Ancillary Administration with Affidavit of Mailing •Self-addressed stamped envelope •BondAA-3 P-101608(5) 801(c)(ii) COMMENTS AND COURT NOTES (continued) Proofs of Service of Citation must be filed with the Court at least two (2) working days before the return date. Letters will not be delivered until Notice of Ancillary Administration and Affidavit of Mailing are filed if applicable. Documents signed by Power of Attorney (Provide certified copy of POA and comply with Section 13-2.3 EPTL and 207.48 Uniform Rules). Check to be certain all documents are properly acknowledged. THIS MATERIAL IS PROVIDED FOR INFORMATIONAL/TRAINING PURPOSES ONLY. – It is intended for use in conjunction with review of the applicable statutes and rules of the Surrogate’s Court and the Surrogate’s Court Operations Manual. Adbn-CHKL ST release 2/22/07 PAG E 1 This Checklist is provided for your convenience while comp leting the petition and the checklist should not be returne d to the Cour t. Administration d.b.n. Proceeding Checklist (see Surrogate’s Court Form ADM/DBN-1, rev. 7/98) NOTE : An Administrator De Bonis Non (d.b.n.) may be appointed to complete t\ he administration of an estate if the adm inistrator dies, re signs, or for any other reason is remov ed from o ffice. The pr ocedure for the appo intment of an adminis trator d.b.n. shall be the same as an application for letters of administration (SCPA §1007\ ). NOTE: According to the Opinion of the State Comptroller 89-49, dated 11/27/1989, the fee to be charged on an administration d.b.n. proceeding is $45.00. Check that the off ice of the administ rator is vacant [SCPA §1007(1)]: 1. death certificate 2. proof of revocation 3. resignation (NOTE: the Court may require an account ing before permitting a fiduciary t o resign) NOTE: The Court may refuse to issue Letters of Adminis tration d.b.n. if distrib ution is possible pursuant to SCPA §2207. Fill In All Areas On All Pages - Also Mark When Not Applicable When Nece\ ssaryCheck All Forms To Make Sure Venue Is Corre ct - Appropriate County Is Listed PET ¶ # DESCRIPTION YESNO Secure the estat e file folder Is the captione d name exactly the same as i t appears on the original proceeding? Make sure that the fi le number is on the peti tion and all other supporting documents and should be the same file number as t he original proceeding 1a. Is the petitioner eligible to act and qualify pursuant to SCPA §1001?\ (a) surviving adult spouse of decedent (b) adult child (c) adult grandchild (d) parent (e) brother or sist er (f) any other person who is a di stributee and who is eligible to qualify (g) others as set fort h in SCPA §1001(3) to (9) PET ¶ # DESCRIPTION YESNO Adbn-CHKL ST release 2/22/07 PAG E 21a. cont. Check citizenship Has the interest of the petitioner been checked and spec ified? 1b. Is the proposed administra tor an attorney? If so, has a statement bee n provided pursuant to 22NYCRR 207.16(e)? NOTE: Latter will need an accounting (see 22NYCRR 207.52) 2. Check date original letters were issued; insert name of original adminis\ trator and date of death, resignation or removal 3.a- 3.e Check value of unadministered property Check estimated gross rents of real property (if any) for period of ei\ ghteen (18) months Check that any pending or contemplated cau ses of action on behalf of t he decedent are listed and complete information is given NOTE: If inconsiste nt with amount shown in o riginal administration proceeding, an explanatory affidavit may be required.) 4. NOTE: Distributee - Any person entitled to take/share in property under EPTL §4-1.1 an\ d 4-1.2. (SUBM IT A FAMI LY TREE IF REQ UIRED BY THE COURT) Has the num ber of survivors been listed? Has “ NO ” been inse rted in all prior classes? Has an “ X ” been inse rted in all subsequent c lasses? NOTE: If alleged that the dec edent was s urvived by no distrib utee or only one distributee or whe re the relatio nship of dist ributees to the decedent is grand parents, aunts, uncles, first cousins or first cousins once removed, has an Affidavit of Heirship been submitted - see \ Court Rul es §207.16(c). NOTE: If there are any deceased distr ibutees, provide a c opy of the death certificate or provide the date of de ath. 5a. Check that the names, relationship, domicile and citizenship of all dist\ ributees are listed in the petition NOTE: Form ADM/DBN-3 has to be submitted from all adult competent persons listed under 5a having a right to letters equal or prior to petitioner or a citation w ill be issued. Use ADM/DBN-4 form for all companies listed. All persons wit h an inferior right to letters should receive a notice of application (forms ADM/DBN-5 & 6). ALL INTERESTED PARTIES MU ST CONSENT THATBOND BE DISPENSED WITH OR FILING OF BOND WILL BE REQUIRED. PET ¶ # DESCRIPTION YESNO Adbn-CHKL ST release 2/22/07 PAG E 35a. cont. NOTE: If any have died subsequent to the death of the decedent, a statem\ ent should be included as to whether a legal representative has been appointed, and if so, name\ and title of such representative, his/her address and the court which issued letters. If n\ o legal representative has been appo inted, the d istributees of such po st-deceased distr ibutee must be listed giving names, relationship, domiciles and citizenship. 5b. Same as 5a. above but are persons under disability Are infants and persons un der disability listed wit h required informat ion? Are Schedules A, B, C and/or D attached? NOTE: FOR I NFANTS (Atta ch copy of birth certificate if require d by court) NOTE: IF COURT-APPOINTED GUARDIAN (FIDUCIARY) SUBMIT PROOF OF APPOINTMENT. NOTE: IF THERE ARE UNKNOWNS, the following proof has to be subm itted: affidavit showing that diligent efforts have been made to locate unknown\ dist ributees or distributees whose whereabouts are unknown [Court R ules §207.16(d)] “DILIGENT SEARCH” requires extensive research, e.g.: cemetery and marriage r ecords; telephone books; conversation with other dis tributees, neighbors, etc.; records of varied Surrogate’s Court; military record\ s; Bureau of Immigration & Natur alization; Social Security Administrati on; Bureau of Vital Statistics; Department of Motor Vehicles; Bureau of the Census; City directories; In\ ternet NOTE: PURSUANT TO SCPA §1003(4) Jurisdictio n over unknow n distributees or distribut ees whose whereabout s are not kno wn need not be secured prior to the is suance of letters, but is required by publication of citation in the accounting proceeding. The Decree granting Administrat ion must so state. 6. Verify that there are no other persons interested in this proceeding oth\ er than those alr eady mentioned. 7. Make sure outstanding debts or funeral expenses are listed. If none, so \ state. Under WHER EFORE Clause: has all relief requested be en checked and comple ted? Is petition dated, signed, verified, properly notarized (including prop\ er jurat and expiration date of notary’s commission)? Is Combi ned Verific ation, Oath and Designa tion signed? does it se t forth pro posed fiduciar y’s physical address? Is propose d fiduciary a ba nk? (submit a Consent and Designat ion) PET ¶ # DESCRIPTION YESNO Adbn-CHKL ST release 2/22/07 PAG E 4 Is attor ney’s nam e, address and phone num ber listed? Has Par t 130 Cer tification been com pleted? if NOT , has a separ ate attorney ce rtification as to P art 130 signing requirem ents been included? If forms ar e computer gen erated, has a cer tification pursuant to Court Rules §207.4 been attached? Official Forms for this t ype of proceeding are: N ADM/DBN-1 Petition for Letters of Administrat ion d.b.n. (7/98) N ADM/DBN-2 Citation (make sure ful l relief requested is incl uded in citation) (7/98) N ADM/DBN-3 Waiver of Citation, Renunc iation and Consent to Appointment of Administrat or d.b.n. (Individual) (10/ 04) N ADM/DBN-4 Consent to Appointment of Administrat or d.b.n. (Corporation) (10/04) N ADM/DBN-5 Notice of Applicat ion for Letters of Administration d.b.n. (7/98) N ADM/DBN-6 Affidavit of Mailing Notice of Appli cation for Letters of Administrati on d.b.n. (7/98) N ADM/DBN-7 Notice to the Consul Gener al (7/98) N ADM/DBN-8 Affidavit of Servic e of Citation (Adult) (7/98) Adbn-CHKL ST release 2/22/07 PAG E 5 COMMENTS A ND COURT NOTES If the assets exceed $20,000 a nd one or more distributees refuse to consent that t he Administrator serve without bond (or are unable to consent by reason of their being under disabili ty) it may be necessary t o obtain a fiduciary bond. See SCPA Article 8. Proofs of Service of Citat ion must be filed with t he Court at least two (2) working days before the return dat e. Guardian Ad Litem will be appoint ed on or before the retur n day of process for all unknowns and persons under disabil ity (SCPA §403). Letters will not be delivered unti l Notice of Application (if required) and Mailing Affidavit are filed. Review careful ly instructions t o paragraphs 5a and 5b of the Pet ition and be sure interested parti es are l isted in the correc t places. Docume nts signed by Power of Attorney (Provide c ertified copy of POA and comply w ith Section 13-2.3 EPTL and 207.48 Uniform Rules). Check to be certai n all documents are proper ly acknowledged. THIS MATERIAL I S PROVIDED FOR IN FORMATIONAL/TRAINING PURPOSES ONLY. – It is intended for use in conjunc tion with review of the appli cable statutes and rules of the Surrogat e’s Court and the Surrogate’s C ourt Operations M anual. V-CHKL ST release 2/22/07 PAG E 1 This Checklist is provided for your convenienc e while completin g the petition and t h e checklis t should not be returned t o the Court. Voluntary Administration Checklist (see Surrogate’s Court Form SE-2A, rev. 4/98) Fill In All Areas On All Pages - Also Mark When Not Applicable When Nece\ ssary Check Form To Make Sure Venue Is Corre ct - Appropriate County Is Listed PET ¶ # DESCRIPTION YESNO Is the captione d name exactly the same as i t appears on the Death Certificate? If A/K/A’s , are they listed in the caption an d also under ¶3 of affidavit? 1. Is the petitioner eligible to act and qualify pursuant to SCPA §1303(a) or 1303(b)? (a) named exec utor/executrix if there is a w ill (b) surviving adult spouse of decedent (c) adult child (d) adult grandchild (e) parent (f) brother or sist er (g) niece or nephew or aunt or uncle (h) others as set fort h in SCPA §1303(a) or SCPA §1303(b) 2. Has the int erest of the affiant be en checked and specifie d? 3. Enter decedent’s name, including a/k/a’s, domicile, date of death,\ place of death and citizenship. Does the information agree with the death certificate? NOTE: A certified copy of the death certificate must be filed with affid\ avit.[see SCPA §1304(3)] 4. Check appr opriate box. If decede nt died with a will , the original will must be submitted with Affidavit [SCPA §1303(b)]. 5. Check records of Surrogate’s Court to make sure no previous applicati\ on has been made in this estate for a voluntary administration or for letters o\ f administ ration or for the pro bate of a will. 6. NOTE: Distributee: Any person entitled to take or share in property under EPTL §4-1.1 a\ nd 4-1.2. (SUBMIT A FAMILY TREE IF REQUIRE D BY THE COURT.) Check that name, complete m ailing address and relationship of each distributee is listed. NOTE: If alleged that the dec edent was s urvived by no distrib utee or only one distributee or whe re the relatio nship of dist ributees to the decedent is grand parents, aunts, uncles, first cousins or first cousins onc e removed, the Court may r equire an Affidavit of Heirship as s et forth in Uniform Rules 207.16(c). NOTE: If there are any deceased distr ibutees, provide a c opy of the death certificate or provide the date of de ath. PET ¶ # DESCRIPTION YESNO V-CHKL ST release 2/22/07 PAG E 27. Must be listed: name, bequest and full mailing address of each individua\ l named in t he will. NOTE: Pos tcard Notices (may b e in letter form) are to be mailed to e ach distributee and beneficiary listed in affidavit under ¶6 and ¶7, excluding affiant\ . [see SCPA §1304(4)] 8. Check to be certain that value of personal property does not exceed $20,\ 000.00 for decedent dying on or after 8/30/96 ($10,000.00 for decedent dying p\ rior to 8/30/96). [see SCPA §1301(1) and EPTL §5-3.1(a)(1-5)] 9. Must be lis ted: all assets of the decedent including bank ac counts, stocks, insurance policies not payable to a named beneficiary and the value of e\ ach item. JOINT ASSETS AND SET-OFF PROPERTY ARE EXCLUDED. [ see EPTL §5-3.1] Give specifics for each asset, i.e. name of bank, accoun\ t number, etc. A certificate will be issued for each asset listed. 10. Must be lis ted: names of all cr editors, including unpaid fune ral expenses, and the amount owed to each creditor. 11. Court should advise the voluntary administrator of his or her duties and\ that they are required to account for the di sposition of a ll assets. 12. This paragraph states that this proceeding will not determine the estate\ tax liability. 13. This paragr aph states that if an adm inistration or probat e proceeding is commenced, voluntary administrator /trix must file account with the Court appointed fiduciary. [see SCPA §1307(2)] Is affidavit sig ned and prope rly notarized (including proper jurat and expiration date of notary’s commission)? Is attor ney’s nam e, address and phone num ber listed? Has Par t 130 Cer tification been com pleted? if NOT , has a separ ate attorney ce rtification as to P art 130 signing requirem ents been included? If forms ar e computer gen erated, has a cer tification pursuant to Court Rules §207.4 been attached? V-CHKL ST release 2/22/07 PAG E 3 FEE SCHEDU LE SCPA/EPTL§ or Rule # Have the proper fees been included with affidavit? $1.00 for filing aff idavit $ .25 for each certi ficate (only for decedents dying pri or to 7/6/99)1304(4) COMMENTS A ND COURT NOTES Form Number SCPA/EPTL§ or Rule # When Permitted May be used when a fiduciary is needed to transfer es tate assets (personal property onl y) and the value of the assets does not exceed the foll owing: $20,000 - for decedents dying on or after 8/29/96 $10,000 - for decedents dying f rom 6/15/81 through 8/28/96 $5,000 - for decedents dying f rom 6/24/75 through 6/14/81 $3,000 - for decedents dying pr ior to 6/24/75 Amounts exclusive of property set off under EPTL §5-3.1. 1301 Document s Always Required •Affidavit in Rel ation to Settlement of Estate unde r Article 13 •Certified Death Cer tificate •Origin al Will (if one exists) •Report and A ccount in Settlement o f Estate SE-2A SE-1D1304(3) 1304(3) 1303(b) 1307(2) Document s Sometimes Required •Renunciation of Volunt ary Administration •Copy of fu neral bill •Obituary Notice •Affidavit of D isinterested Party/Sole H eirship Affidavit •Family Tree Chart •Amend ed Affidavit •Death Certific ate of deceased spouse, di stributee SE-1C FT-1 SE-2B 1303 207.16(c) 207.16(c) 207.46 V-CHKL ST release 2/22/07 PAG E 4 COMMENTS A ND COURT NOTES (continued) Only one certifi cate of appointment will be issued for ea ch asset or item listed i n paragraph 9 of the Affidavit (SE-2A). If additional certificates are needed after A ffidavit is filed, use Amended Affidavit (Form SE-2B). A v olunt ary administrator MAY NOT be used to pass titl e to real property held in the decedent’s name. [However, pursuant to Real Property Law §321(5)(a) a voluntary administrator may sign a discharge of mortgage.] A bank account must be opened for any money rec eived by the voluntary administra tion, see SCPA §1307(1). Review carefully instruct ions to ¶6 and ¶7 of the Affi davit and be sure interested parties are list ed in t he corr ect places. Docume nts signed by Power of Attorney (Provide c ertified copy of POA and comply with Section 13-2.3 EPTL and 207.48 Uniform Rules). Check to be certai n all documents are proper ly notarized. Estates, Pow ers and Trusts L aw Section 5-3.1 - Exemption for Benefit of Fam ily If a person dies lea ving a surviving spouse the following items of personal property vest in such surviving spouse, and if t here is no surviving spouse, such i tems of property vest in the decedent’s children under the age of 21 years, i f any: (1) Household items (furnitur e, clothing, etc...) not exceeding a total value of $10,000.00. (2) Family Bible, pict ures, videotapes, computer t apes, discs, software, books not exc eeding a total value of $1,000.00. (3) Domestic animals with thei r necessary food for 60 days, far m machinery, one tractor and one lawn tractor, not exceeding in aggre gate value $15,000.00. (4) One motor vehicle not exc eeding in value $15,000.00. (5) Money o r other personal pro perty not exceeding in v alue $15,000.00, except that wh ere assets are in suffic ient to pay th e reasonable funeral expense of the decedent, the persona l representa tive mus t apply su ch money or other personal propert y to defray any d eficiency in such exp enses. (This is n ot a compl ete reprint of the la w regarding family exemptions. Please see EPTL §5-3.1 for the full text of the law.) THIS MATERIAL IS PROVIDED F OR INFORMATIONAL/TRAINING PURP OSES ONLY. – It is intended for use in conjunc tion with review of the applicable statutes and rul es of the Surrogate’s Court and the Surrogate’s C ourt Operations M anual. G-CHKLST (Person Only) release 8/9/04 PAGE 1 This Checklist is provided for your convenience while completing the petition and the checklist should not be returned to the Court. Guardianship Proceeding Checklist Person Only (see Surrogate’s Court Form G-2A, rev. 12/6/00) Fill in All Areas On All Pages - Also Mark When Not Applicable When Necessary Check All Forms To Make Sure Venue Is Correct - Appropriate County Is Listed PET ¶ #DESCRIPTION YES NO Does the Court have jurisdiction over the subject infant [see SCPA §1702]? NOTE: The infant must be