Carbon County Orphan's Court Rules

Index to Orphans' Court Rules
References are to Rule Numbers


ACCOUNTS AND DISTRIBUTION
See also Family Exemptions
Accounts
Account to be filed in every estate	6.1.1
Additional requirements regarding form	6.91
Advertisement	6.3.1
Audit of	6.11, 6.3.1
Confirmation of	6.11
Continued audit	6.1.2
Distributions under Section 3534 of PEF Code	6.11.2
Exceptions to (see Objections, infra)
Execution of	6.1.2
Family Settlement Agreement in lieu of audit and confirmation	6.1.1
Filing, time for	6.4.1
Form of	6.1.2
Incapacitated person's estate, by guardian of	14.3
Notice to parties in interest	6.3.1
Objections	6.10.1
Objections, deposit for costs and fees	6.10.3
Objections, effect of failure to make	6.10.5
Objections, proof of service	6.10.4
Service	6.3.1
Small estates, petition for settlement of	6.11.3
Statement of proposed distribution	6.9.1
Distribution
Distributions under Section 3534 of PEF Code	6.11.2
Partial distribution pending exceptions	7.1.3
Risk distribution prior to confirmation	12.1.3
Statement of proposed distribution	6.9.1
ADJUDICATIONS
Exceptions to	7.1.1-7.1.3
ADOPTIONS
Affidavit of search, form of	15.4.2
Exhibits required	15.1.2
Consents, petition to confirm	15.3.2
Counsel, appointment of	15.4.1
Decree, form of	15.43
Forms	15.4.2-15.4.3
Guardian ad litem, appointment of	15.4.1
Involuntary termination of parental rights	15.4.1
Involuntary termination of parental rights, form of decree for	15.4.2
Involuntary termination of parental rights, form of petition	15.4.2
Involuntary termination of parental rights, procedure	15.4.1
Local practice and procedure	15.1.1
Petition to confirm consents	15.3.2
Registration with the Court of authorized persons	15.8.1
Relinquishment, alternative procedure	15.3.2
Representation of minors	15.4.1
Voluntary relinquishment to adult intending to adopt	15.3.1
Voluntary relinquishment to agency	15.2.1
ALLOWANCE TO SURVIVING SPOUSE
Appraisal of property	12.2.1
APPEALS
Appeal from register of wills, form of	10.1.2
Inheritance tax appeals	10.2.1
APPRAISALS
Allowance to surviving spouse	12.2.1
Family exemption,	12.1.1
Private sale of real property	12.10.1
ARGUMENT LIST
Exceptions to accounts	6.3.1, 6.11
ATTORNEYS
Endorsement of pleadings	1.2.4, 3.4.1
Service of pleadings upon	3.2.1
Signature on pleadings	3.4.1
AUDITORS AND MASTERS
Appointment of	8.1.1
Compensation of.	8.8.1
Exceptions to reports of.	7.1.2, 8.7.1
Hearing of	8.1.2
Notice of hearing	8.1.2
Reports of, confirmation procedure	8.7.1
Reports of, filing	8.6.1
Security for payment of costs and fees.	8.8.1
Testimony, transcript of	8.5.1
AUDITS (see Accounts and Distribution, supra)
BRIEFS
Form of	1.2.3
BUSINESS OF COURTS
See also Pleading and Practice
Argument list	6.3.1, 6.11
Attorneys	1.2.4
Authorized persons, registration with the Court	15.8.1
Citation of rules	1.2.1
Pleadings, motions and petitions	3.2.1
CHARITIES
Notice to the Attorney General, when required	5.5.1
CITATION
Definition of	2.3.1
CITATION OF RULES
Citation of Rules	1.2.1
DEPOSITORY OF THE COURT
Deposit of money or securities	1.2.5
EXAMINERS, OFFICIAL
Appointment of	9.1.1
Compensation of	9.1.2
EXCEPTIONS
Form and contents	7.1.1
Partial distribution	7.1.3
Proof of service	7.1.2
Time for filing	7.1.2
FAMILY EXEMPTION
Allowance prior to confirmation, petition for	12.1.2
Appraisal	12.1.1
Objections	12.1.2
Risk distribution	12.1.3
FAMILY SETTLEMENT AGREEMENT
Contents of	6.1.1
In lieu of audit and confirmation of account	6.1.1
FEES AND COSTS
Master's fees and costs, deposit for	8.8.1
Official examiner	9.1.2
FILING OF PAPERS
See also Accounts and Distribution
Attorney's name and I.D. number to be noted on pleadings	1.2.4
Exceptions	7.1.2
Petitions and motions to cite statutory authority or rule number	1.2.2
FORMS
Account
Form of	6.1.2
Notice of confirmation	6.3.1
Adoption
Affidavit of search	15.4.2
Involuntary termination of parental rights, decree of	15.4.3
Involuntary termination of parental rights, petition for	15.4.2
Consent or joinder	3.4.2
Incapacitated persons
Account of guardian of	14.3
Annual report of guardian of	14.4
Decree for guardianship, preliminary	14.1
Testimony regarding incapacity, deposition	14.2
Real property
Notice of private sale of	12.10.2
Notice of public sale of	12.9.2
GUARDIANS
Incapacitated person's estate, appointment of	14.2.1
Minor's estate or person, appointment of	12.5.1
Restricted minor's account	12.5.2
Sale of real property by guardian of incapacitated person's estate	12.9.1
INCAPACITATED PERSONS
Account of guardian	14.3
Annual report of guardian of person, form of	14.4
Preliminary Decree for guardianship, form of	14.1
Sale of real property by guardian	12.9.1
Testimony regarding incapacity, deposition	14.2
LEGAL PUBLICATIONS
Designation of *MASTERS (see Auditors and Masters, supra)*	5.1.1
MINORS' ESTATES
Allowances	12.5.4
Consents required	12.5.1
Guardian, petition for appointment of	12.5.1
Restricted account	12.5.2
Sale of real property by guardian of	12.9.1
NOTICES
Account, filing of	6.3.1
Attorney General, notice to	5.5.1
Charities, notice to Attorney General	5.5.1
Copy to be attached to petition or motion	1.2.2
Election by surviving spouse, petition for extension of time	12.3.1
Family exemption	12.1.2
Incapacitated persons, notice to	5.2.1
Legal periodicals, designation of	5.1.1
Notice, additional requirements	5.4.1
Private sale of real property	12.10.2
Public sale of real property	12.9.2
Return of service, additional requirements	5.4.1
Service, on attorney	3.2.1
OBJECTIONS
Election of surviving spouse, petition for extension of time	12.3.1
Family exemption	12.1.2
Objections to account, deposit for fees and costs	6.10.3
Objections to account, effect of failure to make	6.10.5
Objections to account; form and content	6.10.1
Objections to account; time for filing	6.10.2
Objections to account, service and return	6.10.4
OFFICIAL EXAMINERS
Appointment of	9.1.1
Compensation of	9.1.2
ORDERS AND DECREES
Decree confirming auditor's or master's report	8.7.1
Exceptions to, form and content	7.1.1
Exceptions to, time for filing	7.1.2
Exceptions to, partial distribution	7.1.3
PLEADING AND PRACTICE
Consents and joinders, form of	3.4.2
Exhibits, certification of counsel	3.4.1
Form and additional requirements	3.2.1
REAL PROPERTY
Confirmation of sale of	12.10.4
Inalienable property, mortgage of	12.12.4
Inalienable property, private sale of	12.12.3
Inalienable property, public sale of	12.12.1
Petition to lease, pledge or exchange	12.11.2
Petition to mortgage	12.10.1
Private sale of, notice	12.10.2
Private sale of,
Confirmation of	12.10.4
Form of petition	12.10.1
Notice of	12.10.2
Public sale of,
Additional security	12.9.4
Advertisement of	12.9.2
Confirmation of	12.10.4
Contents of petition	12.9.1
Decree Nisi	12.9.4
Notice of	12.9.2
Return of sale	12.9.3
REGISTER OF WILLS
Appeals from	10.1.1
Form of appeal	10.1.2
Inheritance tax appeals	10.2.1
RULES
Citation of rules	1.2.1
SERVICE
Exceptions	7. 1.2
Service of notice on attorney	3.2.1
SMALL ESTATES
Petition for Settlement of	6.11.3
SPECIAL PETITIONS
Allowance to surviving spouse	12.2.1
Election by surviving spouse, extension of time	12.3.1
Family Exemption	12.1.1-12.1.3
Guardian for Minor, Appointment of	12.5.1
Inalienable property, mortgage of	12.12.3
Inalienable property, private sale of	12.12.3
Inalienable property, public sale of	12.12.1
Minor's estate, petition for allowance from	12.5.4
Mortgage of real property	12.11.1
Pledge, lease or exchange of real property	12.11.2
Private sale of real property	12.10.1-12.10.2
Private sale of public property	12.9.1-12.9.4
SURVIVING SPOUSE'S ALLOWANCE
Appraisal of property	12.2.1
SURVIVING SPOUSE'S ELECTION
Extension of time	12.3.1
TRUSTEES
Accounts of	6.9.1
Corporate	12.5.1
Mortgage real property, petition to	12.11.1
Pledge, lease or exchange real property, petition to	12.11.2
Security, fixing amount of	12.10.4

IN THE COURT OF COMMON PLEAS OF CARBON COUNTY, PENNSYLVANIA

ORPHANS' COURT DIVISION

IN RE: ADOPTION OF LOCAL

ORPHANS' COURT RULES

RULES OF COURT

CARBON COUNTY ORPHANS' COURT RULES

RULE 1 - JUDGES AND LOCAL RULES

Rule 1.2.1. Citation of Rules.

These Rules shall be known as Carbon County Orphans' Court Rules adopted pursuant to Pa.O.C.R. 1.2 and shall be cited as "Carbon Co. O.C.R. No. ___."

Rule 1.2.2. Petitions and Motions.

(a) Every original petition or motion filed shall set forth in its first paragraph the citation of any statute, Rule of court, or other authority relied upon to justify the relief requested.

(b) A copy of any notice required to be given shall be attached to the petition or motion.

Rule 1.2.3. Briefs.

Briefs will be prepared and filed in accordance with the provisions of Carbon Co. Civ. L. No. 210, unless otherwise ordered by the Court.

Rule 1.2.4. Attorneys.

The name and Supreme Court identification number of any attorney employed by any party in any proceeding pending in this Court shall be marked on the initial pleading or paper filed in the office of the Clerk. Any attorney who has properly entered an appearance will receive notice of all hearings, conferences, and orders.

Rule 1.2.5. Depository of the Court.

(a) Deposit of Money or Securities in Court. All monies paid or securities delivered into Court shall be deposited immediately in a segregated account in such bank or trust company as the Clerk may designate, to the credit of the court in the particular estate or proceeding to which the money or securities may belong; and such depository shall keep a separate account of each payment and delivery, designating the same by name of the estate or proceeding.

(b) Withdrawals. No money shall be paid out of Court by the depository, or securities delivered, except on checks or orders of the Clerk accompanied by a certified copy of the Order of Court authorizing such withdrawal or delivery.

(c) Docket to be Maintained. The Clerk shall maintain a "Money-in-Court" Docket in which shall be entered concisely under the name of the respective estates, the Orders of Court directing money to be paid into Court, as well as an accurate account of the money paid in and paid out, so that the record will fully explain itself.

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RULE 2 - CONSTRUCTION AND APPLICATION OF RULES

Rule 2.3.1. Definitions.

(a) As used in these Rules "P.E.F. Code" shall mean a reference to the Probate, Estates and Fiduciary Code, June 30, 1972, P. L. 508, 20 Pa.C.S.A. Sec. 101, et seq., as amended.

(b) As used in these Rules, the terms "Citation" and "Rule to Show Cause" shall be interchangeable unless otherwise specially ordered by the Court, all interest earned on said accounts shall accrue to the credit of the County of Carbon.

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RULE 3 - PLEADINGS AND PRACTICE

Rule 3.1. - Conformity to Equity Practice in General.

1 Any documents presented for filing referring to social security numbers, driver's license/vehicle identification numbers, and any financial account numbers shall list only the last four digits. Birth dates shall be limited to the year of birth only. When reference is made to a minor child (i.e., individuals less than 18 years of age), the names shall not be given, only their initials. The complete social security numbers, account numbers, dates of birth and full names of minors shall be submitted on the Court's “CONFIDENTIAL INFORMATION FORM” attached hereto. The Register of Wills/Orphans Court Office shall record the Confidential Information in the Court Computer Database and, upon verification of proper entry, shall shred the form containing the Confidential Information. This information shall remain confidential in that it will only be visible to internal personnel and cannot be accessed through the public access programs.

2 The parties and their attorneys are solely responsible for complying with the provisions of number 1 above. The court staff is not responsible for reviewing any document filed as a public record for compliance with number 1 above. A party's or attorney's failure to comply with the provisions shall not affect access to case records that are otherwise accessible.

3 Motions and petitions shall be governed by the provisions of Carbon County Civil L206.1. A completed Petition/Motion cover sheet shall be attached in the form as Exhibit "A".

4 A copy of every pleading, including exceptions, shall be promptly served upon counsel of record for all parties in interest, and upon any party who is not represented.

5 A party representing himself or herself shall enter a written appearance which shall state an address, which need not be his or her home address, where the party agrees that pleadings and other legal papers may be served, and a telephone number through which the party may be contacted, as attached hereto and marked Exhibit “B”. The entry of appearance may include a facsimile number as provided by Pa.R.C.P. No. 440(d).

6 A self-represented party is under a continuing obligation to provide current contact information to the Court, to other self-represented parties, and to attorneys of record.

7 The self-represented party shall provide a copy of the entry of appearance to all self-represented parties and attorneys of record.

8 The assertion of self-representation shall not delay any stage of the proceeding.

Effective December 17, 2001

Revision effective May 1, 2014

CARBON COURT OF COMMON PLEAS

ORPHANS' COURT DIVISION

PETITION/MOTION COURT COVER SHEET

            Assigned Judge

            Court Action Taken

            Returned to Attorney for Deficiencies

            Action Deferred by Court

For Court Use Only

                                                                                                NO.

vs.

FILING OF: Petitioner ( ) Respondent ( )

TYPE OF FILING (check one):

( ) 1. Application for Continuance (128)

( ) 2. Petition for Adoption (134)

( ) 3. Petition for Voluntary Termination (132)

( ) 4. Petition for Involuntary Termination (155)

( ) 5. Petition to Remove Fiduciary (053)

( ) 6. Petition for Guardian of Minor (050)

( ) 7. Petition to Sell Real Estate (052)

( ) 8. Petition to Distribute Minor's Estate (057)

( ) 9. Incapacity Petition (058)

( )10. Petition to Withdraw as Counsel (127)

( )11. Petition to Revoke Letters (064)

( )12. Petition to Challenge Election (229)

( )13. Petition to Excuse Additional Bond (055)

( )14. Petition for Compensation (151)

( )15. Other Motion or Petition (specify):

( )16. Response to:

OTHER ATTORNEY:

Attorney's Name (Typed)

Attorney for:

( ) Petitioner ( ) Respondent

N.B. The numbers after the Motion or Petition above are docket codes used in the Court Computer System. Please be precise when marking your Motion or Petition. When filing Motion or Petition, provide Clerk with sufficient copies for opposing Counsel and filing Counsel.

THIS FORM IS AVAILABLE IN THE ORPHANS' COURT OFFICE

Exhibit "A"

Effective December 17, 2001

Revision effective May 1, 2014

IN THE COURT OF COMMON PLEAS OF CARBON COUNTY, PENNSYLVANIA

ORPHANS COURT DIVISION

ENTRY OF APPEARANCE

In accordance with Carbon County Rule of Orphans Court Procedure CARB.Co.O.C.R. No. 3.1 governing a Self-Represented Party:

I , Plaintiff or Defendant (circle one)

choose to represent myself and provide the following address where pleadings and other legal papers can be served and a telephone number through which I can be contacted. This Entry of Appearance shall remain in full force and effect unless superseded with an Entry of Appearance by an attorney.

Street Address Telephone Number

City, State, Zip Code Facsimile Number (Governed by PA Rule of Civil Procedure 440 (d))

In accordance with Carbon County Rule of Orphans Court Procedure 3.1, a self-represented party is under a continuing obligation to provide current contact information to the court, to other self-represented parties, and to attorneys of record.

Signature Date

Exhibit “B”

Effective December 17, 2001

Revision effective May 1, 2014

COMMONWEALTH OF PENNSYLVANIA Confidential Information Form

Carbon County Court of Common Pleas

Carbon County Courthouse

P.O. Box 131

Jim Thorpe, PA 18229-0131

Telephone: (570) 325-8556

COUNTY OF CARBON

VS.

Docket No.

CONFIDENTIAL INFORMATION
Name: Plaintiff Defendant Other:	Social Security Number
	Financial Information/Driver’s License Number/VIN
Name: Plaintiff Defendant Other:	Social Security Number
	Financial Information/Driver’s License Number/VIN
Name: Plaintiff Defendant Other:	Social Security Number
	Financial Information/Driver’s License Number/VIN
Name: Plaintiff Defendant Other:	Minor Child(ren) Names/Dates of Birth

Name: Signature:

Attorney #: Telephone: ( )

Address:

Rule 3.2.1. Pleadings, Motions and Petitions.

(a) Motions and petitions shall be governed by the provisions of Carbon Co. Civ. L. 206.

(b) A copy of every pleading, including exceptions, shall be promptly served upon counsel of record for all parties in interest, and upon any party who is not represented.

Rule 3.2.2. Pleadings, Disposition, Issues of Fact or Law.

Except in those cases where no responsive pleading is required, if the respondent fails to answer a petition to which an answer is required under the Carbon County Rules of Civil Procedure or the Pennsylvania Orphans' Court Rules or the Pennsylvania Rules of Civil Procedure within twenty (20) days of service, all material averments of fact in the petition shall be taken as admitted and the Court may, at any time after the reply day or return day and upon proof of service of the Rule to show cause upon the respondent at least ten (10) days prior to the return date, upon motion, enter a decree granting the prayer of the petition or such other relief deemed appropriate by the court.

Rule 3.4.1. Form. Exhibits.

(a) Endorsements. Every pleading shall be endorsed with the name of counsel, if counsel has appeared for a party.

(b) The signature of an attorney to a petition shall constitute a certification by that attorney that all copies of written or printed instruments, records, or documents which are not certified or authenticated, are true and correct copies of the original.

Rule 3.4.2. Consents. Joinders. Form.

(a) All petitions shall aver that all parties in interest are petitioners, or that consents or joinders of all necessary parties are attached or, if the petitioner is unable to attach a necessary consent or joinder, this fact shall be stated in the petition together with the reason.

(b) Whenever a party other than a petitioner desires to consent to or join in the prayer of a petition, there shall be appended to the petition a written "Consent" or "Joinder" signed by the party in the following form:

I, , having read and considered the contents of the foregoing petition, do herewith waive the benefit of all requirements of notice of the presentation, or service upon me, of said petition, do authorize the Court to note my general appearance in said proceeding as though I had appeared personally or by counsel, do herewith waive all objections to the Court's jurisdiction over my person, and do herewith consent to or join in [add specifics of prayer for relief].

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RULE 5 – NOTICE

Rule 5.1.1. Notice. Legal Publication.

The Carbon County Law Journal and The Times News and such other publications as may be designated by the President Judge shall be the legal periodicals for the publication of notice whenever publication in a legal periodical is required by Act of Assembly, Rule, or Order of Court.

Rule 5.2.1. Method. Person under Incapacity. No Guardian or Trustee.

Whenever notice is given to a person who is not sui juris and for whom there is no guardian or trustee, notice shall be given by serving it upon the person, if over fourteen years of age, and in all cases, upon:

(a) The person's spouse, if sui juris, or

(b) The person's next of kin, if sui juris, or

(c) The person with whom he or she resides or by whom he or she is maintained; or

(d) The superintendent or other official of the institution having custody of the person; or

(e) In such manner as the Court, by special order, may direct.

Rule 5.4.1. Notice. Additional Requirements.

(a) (1) Personal Service. Return of personal service shall set forth the date, time, place and manner of such service, and that a true and correct copy of the petition and notice were handed to the person served.

(2) Registered or Certified Mail. Return of notice by registered or certified mail shall set forth the date and place of mailing the petition and notice and shall include the return receipt or a copy thereof.

(3) Publication. Return of notice by publication shall set forth the date(s) and newspaper and/or legal periodicals of publication and shall include proofs of publication or copies thereof.

(b) Except as may otherwise be provided, by statute, Rule or special order, a return of notice shall be filed with the Clerk prior to the date set for the occurrence of the event of which notice has been given.

Rule 5.5.1. Charities. Notice to the Attorney General.

Notice to the Attorney General or his designated deputy shall be given in accordance with the provisions of Pa.O.C.R. No. 5.5 in any matter which involves:

a. a specific bequest to a charity in the amount of $25,000.00 or more;

b. a specific bequest to a charity totaling less than $25,000.00 which will not be paid in full; or

c. a charitable bequest of any amount payable out of the residue of the estate.

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RULE 6 - ACCOUNTS AND DISTRIBUTION

Rule 6.1. Form.

Accounts shall be prepared on 8 ½” by 11” paper, fastened together at the top and numbered consecutively at the bottom.

In every decedent’s estate in which Letters Testamentary or Letters of Administration have been issued by the Register of Wills, the executor, administrator or other personal representative shall file an account with the Clerk of the Orphans’ Court. Each such account shall conform to the requirements of Pa.O.C. Rule 6.1(g), and shall include either a Statement of Proposed Distribution or a request that distribution be determined by the Court or an auditor.

Revision effective December 17, 2001

Rule 6.1.1. Accounts Required. Time for Filing. Family Settlement Agreement in Lieu of Audit and Confirmation.

(a) Accounts Required. In every decedent’s estate in which Letters Testamentary or Letters of Administration have been issued by the Register of Wills, the executor, administrator or other personal representative shall file an account with the Clerk of the Orphans’ Court. Each such account shall conform to the requirements of Pa.O.C. Rule 6.1, and shall include either a Statement of Proposed Distribution or a request that distribution be determined by the Court or an auditor.

(b) Time for Filing. Every account required to be filed by this rule shall be filed not later than eighteen (18) months following the date of issuance of Letters Testamentary or Letters of Administration unless the Court, upon petition and for good cause shown, shall have extended the time for filing same.

(c) Family Settlement Agreement. As an alternative to formal submission and confirmation of an account, a personal representative may file with the Clerk of Orphans’ Court a Family Settlement Agreement. Each Family Settlement Agreement shall have attached thereto a first and final account of the executor, administrator or other personal representative indicating all transactions during the administration of the estate, which account shall be substantially in the form prescribed by Carbon Co. O.C.R. No. 6.1.2. Each Family Settlement Agreement shall also have attached thereto a Statement of Proposed or Actual Distribution, and a release signed by each and every heir, beneficiary or other party in interest approving the account, waiving the requirement that the account be audited and confirmed by the Court and discharging the executor, administrator or other personal representative.

Rule 6.1.2. Form of Accounts. Additional requirements.

(a) All accounts shall be in the form approved by the Pennsylvania Supreme Court and as explained by the Uniform Fiduciary Accounting Principles, pursuant to Pa.O.C. Rule 6.1(g).

(b) Accounts shall be stated on 8 ½" by 11" paper, fastened together at the top and numbered consecutively at the bottom.

(c) Every account filed with the Clerk shall be signed by each accountant and shall be verified by at least one accountant.

Rule 6.3.1. Notice to Parties in Interest.

(a) Notice of the filing and of the date and time for confirmation as required by law and Rule of Court shall be given by certified or registered mail, return receipt requested, at least ten days prior to the confirmation date. In lieu of such notice, a written waiver of notice may be filed for any party. The notice shall state that any party may file objections in writing with the Clerk of the Orphans’ Court at any time prior to the date and time fixed for confirmation, and that if no objection is filed, the Account and Statement of Proposed Distribution will be confirmed absolutely.

(b) In addition to notices otherwise required by law or statute, the surety on the bond of any fiduciary seeking discharge shall be given written notice of the filing of the petition and of the date and time for presentation for Final Decree, by certified or registered mail, return receipt requested, at least ten days prior to the date scheduled for discharge. In lieu of such notice, a written waiver of notice may be filed. The notice shall state that the surety may file objections in writing with the Clerk of the Orphans’ Court at any time prior to the time fixed for Final Decree, and that if no objections are filed, a Final Decree shall be entered as of course.

(c) Prior to the date set for confirmation of the account, the accountant, or counsel, shall file with the Court a return of notice as prescribed in Rule 5.4.1. hereof, in form approved by the Court.

(d) If it shall appear that timely and proper notice has not been given to all parties entitled to notice or that the requisite affidavit of notice has not been filed, or that all costs have not been paid, no order of confirmation or discharge will then be made and in lieu thereof the procedure shall be as follows:

(1) If the irregularity is remedied within twenty (20) days, the Clerk shall represent the matter to the assigned Judge in Chambers for confirmation or discharge order, provided at least ten (10) days have elapsed after notice was given to any party and provided that no objection, exception or answer has been filed meanwhile. If any such objection, exception or answer has been filed, the provisions of Rule 6.4.1(b) shall apply.

(2) If the irregularity has not been so remedied within twenty (20) days, the time for confirmation or for discharge order shall be as of course extended until the next regular scheduled session for confirmation and discharge, and re-advertisement and re-notification of all parties shall be required, unless the fiduciary makes written application to the Court and obtains special relief for cause shown.

(3) In any case now pending or hereafter arising in which an account, statement of proposed distribution, or discharge petition has been filed but remains unconfirmed for unremedied procedural defect, the Clerk may file a petition with the Court stating the essential facts and requesting issuance of a Rule to show cause why an order denying confirmation or dismissing the discharge petition should not be made. A copy of such petition shall be furnished by mail to the fiduciary and his or her counsel, and to each party entitled to receive notice and the case shall be placed on the argument schedule for hearing and argument.

(e) The Clerk shall give notice of all accounts filed and of the time and place of the call of the Confirmation List. The notice shall be published once a week for two (2) consecutive weeks immediately prior to the date of confirmation in the legal publication designated by these Rules and in one daily newspaper of general circulation published within Carbon County, and the Clerk shall also post copies of the Confirmation List in his/her office.

(f) The form of advertisement of Accounts and Statements of Proposed Distribution that have been filed for confirmation by the Court shall be as follows:

NOTICE OF CONFIRMATION OF FIDUCIARIES’ ACCOUNTS

To all claimants, beneficiaries, heirs, next-of-kin, and all other parties in interest:

NOTICE is hereby given that the following named fiduciaries of the respective estates designated below have filed their Accounts and Statements of Proposed Distribution in the office of the Register of Wills in and for the County of Carbon, Pennsylvania, and the same will be presented to the Orphans’ Court Division, Courtroom No. , Carbon County Courthouse, Jim Thorpe, Pennsylvania, on the day of , at . m. for confirmation. All objections must be filed in writing in the office of the Clerk of Orphans’ Court Division, Court of Common Pleas, Jim Thorpe, Pennsylvania, prior to the foregoing stated date and time:

ESTATE FIDUCIARY ATTORNEY

X X X

Clerk of the Orphans 'Court

Rule 6.4. Time for Filing.

Every account required to be filed by this rule shall be filed not later than eighteen (18) months following the date of issuance of Letters Testamentary or Letters of Administration unless the Court, upon petition and for good cause shown, shall have extended the time for filing same.

The Register of Wills/Clerk of Orphans’ Court shall fix a filing deadline for each regular session and shall give notice thereof at least two (2) weeks prior to the deadline. The time interval between the deadline and the session shall be sufficient to enable the Register/Clerk to make publication as provided by law and Rules of Court.

The Register of Wills/Clerk of Orphans’ Court shall schedule for the next regular session all matters filed before the deadline for that session and shall make the required publication. The notices shall contain a statement that all objections must be filed in writing before the time fixed for confirmation, or final decree of discharge, as the case may be.

Revision effective December 17, 2001

Rule 6.4.1. Accounts. Time for Filing.

Rule 6.9.1. Accounts. Papers to be Submitted.

(a) All Accounts. Counsel for all fiduciaries shall submit:

(1) Copies of all agreements with respect to settlements and compromises;

(2) Accurate descriptions of all real property to be awarded in kind, described by metes and bounds in the manner appearing in the last deed of record, together with recital of title into the decedent; and

(3) Statement of Proposed Distribution.

(b) Accounts of Trustees. Counsel for Trustees shall also submit:

(1) a waiver of an income accounting executed by all of the income beneficiaries, if the account does not contain a complete income accounting; and

(2) a Statement of Proposed Distribution.

(c) Accounts of Guardians of the Estates of Minors. Counsel for a Guardian of the estate of a minor shall also submit:

(1) where the former minor has attained the age of eighteen (18) years, his/her written stipulation setting forth that he/she attained the age of eighteen (18) years on a certain designated date, that he/she has examined the account and has found it correct; and that he/she has received the balance or balances shown in the account and requests that the guardian be discharged;

(2) where the former minor has attained the age of eighteen (18) years but has not executed the stipulation referred to in paragraph (18) of this Rule, then in place thereof a Statement of Proposed Distribution shall be filed;

(3) where the minor is deceased, or has been adjudged an incapacitated person under the P.E.F. Code, or is an absentee or presumed decedent, or the guardian has resigned or has been removed, a statement of Proposed Distribution shall be filed.

(d) Accounts of Guardians of Estates of Incompetents/ Incapacitated Persons. The annual account of the guardian for an incompetent or incapacitated person shall be in the form prescribed by Carbon County Orphans Court Rule No.14.3.

Rule 6.10.1. Objections. Form and Content.

(a) Objections to an account, inventory, and statement of proposed distribution shall be in writing; shall be numbered consecutively; shall be signed by the objector or his or her attorney; and where they contain allegations of fact, shall be properly verified in the same manner as a petition.

(b) Each objection shall be specific as to description and amount, shall raise but one issue of law or fact, and shall set forth briefly the reason or reasons in support thereof.

Rule 6.10.2. Objections. Time for Filing.

(a) Written objections to an account, inventory, or statement of proposed distribution may be filed as of course with the Clerk at any time prior to, or at, the call of the account for confirmation.

(b) No objections shall be made or filed except as provided in subparagraph (a) unless leave of Court is first obtained.

Rule 6.10.3. Objections. Deposit on Account of Fees and Costs.

Upon the filing of objections to an account, inventory or statement of proposed distribution, objectors shall deposit with the Orphans Court the sum of $350.00 on account of the fees and costs of the Auditor or Master.

Rule 6.10.4. Objections. Service. Return.

A copy of objections to an account, inventory or statement of proposed distribution shall be served upon the accountant and all other parties in interest or their attorney of record, immediately after the objections have been filed with the Clerk. Proof of such service shall be filed forthwith with the Clerk. Any unreasonable delay in serving objections shall constitute grounds for dismissal of the same by the Court.

Rule 6.10.5. Objections. Failure to Make, Effect.

Any question which can be and is not raised by objections conforming to these Rules shall not thereafter be the subject of an exception to an order confirming an account or decreeing distribution.

Rule 6.11. Confirmation of Accounts. Awards.

(a) All accounts on the advertised Confirmation List will be presented for Confirmation on the day set for confirmation unless Objections have been filed.

(b) As an alternative to formal submission and confirmation of an account, a personal representative may file with the Clerk of Orphans’ Court a Family Settlement Agreement. Each Family Settlement Agreement shall have attached thereto a first and final account of the executor, administrator or other personal representative indicating all transactions during the administration of the estate, which account shall be substantially in the form prescribed by Pa.O.C. Rule 6.1 (g). Each Family Settlement Agreement shall also have attached thereto a Statement of Proposed or Actual Distribution, and a notarized release signed by each and every heir, beneficiary or other party in interest approving the account, waiving the requirement that the account be audited and confirmed by the Court and discharging the executor, administrator or other personal representative.

Rule 6.11.2. Distribution Under Section 3534 Of P.E.F. Code.

(a) Where at the time of distribution of the estate the personal representative or a distributee requests the Court to divide, partition, and allot the real estate or to direct a sale thereof, an interlocutory decree shall be entered fixing a day certain, not less than twenty (20) days from the date of the interlocutory decree, for hearing; the interlocutory decree to be entered shall be in the form of a notice to all parties in interest that on the day so fixed for hearing the Court will hear the contentions of the parties in interest with respect to:

(1) whether the real estate can be divided among less than all of the parties in interest without prejudice to or spoiling the whole and if so, how; and

(2) whether the Court should direct the personal representative to sell at a sale confined to the distributees or at a private or public sale not so confined.

(b) A copy of the interlocutory decree, duly certified, shall be served by certified or registered mail, by the personal representative, upon all parties in interest, not less than ten (10) days before the return day fixed in the decree; proof of service of notice, in the form of return receipts, to be filed upon the return day.

Rule 6.11.3. Settlement of Small Estates. Contents of Petition.

(a) Contents of Petition. A petition for the settlement of small estates under Section 3102 of the P.E.F. Code shall set forth:

(1) the name, date of death, and residence of the decedent;

(2) the petitioner’s name and address and his/her relationship to the decedent;

(3) if the petitioner is the surviving spouse, the date and place of marriage to the decedent;

(4) whether the decedent died testate or intestate;

(5) the names, relationship, and interest of all persons entitled to share in the decedent’s estate under the Will, if any and the names, relationship and interest, if any, intestate heirs, stating who are minors, incapacitated persons, or decedents, with the names of their fiduciaries, if any, and whether any of them received or retained any property of the decedent by payment of wages, salary or any accrued pension under Section 3101 of the P.E.F. Code or otherwise;

(6) where a claim for family exemption is included, a statement that claimant formed a part of the decedent’s household at the date of death and, if the claimant is the surviving spouse, that he or she has not forfeited the right to claim the family exemption;

(7) an itemized statement of the gross personal estate to be distributed and the fair value of each item other than cash, such value to be that given in the inventory filed, and if one was filed, then the fair value, if not readily ascertainable, shall be fixed by two appraisers whose affidavits of value shall be attached to the petition;

(8) the disbursements made prior to the filing of the petition; the date and name of the person to whom paid; and the nature and amount of each payment;

(9) the names of all unpaid claimants of whom the petitioner has notice, the nature and amount of each claim, and whether such claims are admitted;

(10) that a schedule of assets and deductions for inheritance tax purposes has been filed with the Register of Wills, the amount of any inheritance tax assessed, and the date of payment thereof, or the reasons why no such schedule was filed; and

(11) a statement that ten (10) days written notice of intention to present the petition has been given to every beneficiary, heir, or unpaid claimant who has not joined in the petition, or to the Attorney General, if the decedent’s heirs are unknown.

(b) Exhibits. The following exhibits shall be attached to the petition:

(1) a copy of the decedent’s Will;

(2) the consents of unpaid beneficiaries, heirs, and claimants; and

(3) the inheritance tax voucher, or in lieu thereof a statement from the inheritance tax department that no tax is due.

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RULE 7 - EXCEPTIONS

Rule 7.1.1. Exceptions. Form and Contents.

(a) No exceptions shall be filed to orders or decrees entered in proceedings unless the right to except thereto is expressly conferred by Act of Assembly, Pa. Orphans Court Rule, Local Rule, or special order, and all decrees other than those to which exceptions are so allowed to be taken are FINAL.

(b) Exceptions to findings of fact and conclusions of law contained in adjudications, orders and decrees shall be in writing, shall be numbered consecutively, and shall be signed by the exceptant or his attorney.

(c) Each exception shall be specific, shall raise but one question and shall set forth briefly the reason or reasons in support thereof.

(d) Questions which were the proper subject of objections to accounts, inventory, or statements of proposed distribution and were not raised when the account was called for confirmation, or questions which might properly have been raised by an answer to or during a hearing on a petition, shall not be subject of exceptions, and if so made shall be subject to dismissal.

Rule 7.1.2. Exceptions. Time for Filing.

Except as otherwise provided, exceptions shall be filed as of course with the Clerk within twenty (20) days from service of a copy of the adjudication, order, proposed order, or decree complained of, or a report of a Master or Auditor, and a true and correct copy of the exceptions served upon all parties in interest, or their counsel of record. Proof of service as aforesaid shall be filed with the Clerk prior to any disposition of the exceptions.

Rule 7.1.3. Exceptions. Partial Distribution.

When the matters which are the subject of an adjudication, schedule of distribution, or the report of an auditor or master, are so separate and distinct that an exception to any one or more, whether sustained or dismissed, cannot affect the remainder, and the accountant will not be prejudiced by the distribution of such remainder, confirmation of the adjudication, schedule of distribution, or report, shall not be suspended, except as to those matters to which exceptions have been filed; distribution may proceed as to the remainder, and any party from whom such distribution has been withheld may petition the Court to order distribution.

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RULE 8 - AUDITORS AND MASTERS

Rule 8.1.1. Appointment.

The Court, on its own motion, or upon petition of the accountant, or of any other party in interest, may appoint an Auditor or Master to assist the Court in the audit of an account or the disposition of an issue of fact in a matter.

Rule 8.1.2. Notice of Hearing. Hearings.

(a) The Clerk shall give written notice of an Auditor’s or Master’s appointment to all counsel of record and all interested parties not represented by counsel known to the Clerk.

(b) Notice of the hearings shall be given by the Auditor or Master.

(c) The hearing shall be held in an appropriate room at the Carbon County Courthouse at a time and place indicated and not later than forty-five (45) days after the Auditor’s or Master’s appointment and shall be extended only upon application to the Court for good cause shown.

Rule 8.5.1. Transcript of Testimony.

(a) Testimony given at an Auditor’s or Master’s hearing shall be stenographically recorded, unless otherwise ordered by the Court upon application by a party, or the Auditor or Master.

(b) The transcript of testimony taken before an Auditor or Master shall be filed with the report.

(c) Fees may be taxed as costs and the Auditor or Master shall recommend to the Court that the stenographer’s fees follow the award as costs in appropriate cases.

Rule 8.6.1. Filing of Report. Notice of Filing. Proof of Notice.

(a) An Auditor or Master shall file with the Clerk of Orphans Court his or her original report, together with the transcript of testimony and the proposed Decree Nisi, not later than 120 days after conclusion of the final hearing, and shall give notice in writing to all parties in interest or their counsel of record of the filing of such report, and shall further file proof of the giving of notice with the Clerk.

(b) The Clerk shall serve a copy of said report and proposed Decree Nisi upon each counsel of record and to each party in interest not represented by counsel.

Rule 8.7.1. Report of Auditor or Master. Disposition Procedure.

(a) Subject to the provisions of Carbon Co. O.C.R. No. 8.8.1(a), the report of an Auditor or Master shall be transmitted to the Court for Confirmation Nisi upon filing with the Clerk and shall become FINAL unless written exceptions thereto are filed within twenty (20) days after the date of filing the report.

(b) Exceptions. Any party in interest shall have the right to file exceptions to the report of an Auditor or Master within twenty (20) days after the filing and Confirmation Nisi thereof.

Rule 8.8.1. Compensation and Security.

(a) 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.

(b) A motion to the Court to require additional security for payment of fees and expenses may be filed with the Clerk at any time by the Auditor or Master, Accountant or any party in interest. The report shall not be filed with the Clerk until all fees and expenses have been paid.

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RULE 9 - OFFICIAL EXAMINER

Rule 9.1.1. Official Examiners.

Whenever an examination of assets is ordered in connection with an accounting, the special order of appointment will be included in the adjudication of the account, and the examiner shall make the examination after the schedule of distribution has been filed and approved so that the assets distributable to fiduciaries, which are the assets to be examined, will have been determined.

Rule 9.1.2. Official Examiners. Compensation.

Each estate shall be liable for the compensation of the examiner and the amount of such compensation shall be fixed by special Order of the Court.

RULE 10 - REGISTER OF WILLS

Rule 10.1.1. Appeals From Grant Of Letters

Appeals from the grant of letters of administration or letters testamentary, whether founded upon discovery of a later will or otherwise, shall initially be filed with and heard by the Register of Wills, who shall conduct a hearing on such appeal within thirty (30) days of the filing of same. The Register of Wills shall issue a written decision granting or denying the appeal not later than ten (10) days following the date of the hearing. Appeals to the Court from the decision of the Register shall be as provided in Carbon Co. O.C.R. No. 10.1.2.

Rule 10.1.2. Form Of Appeal From Register Of Wills Decision.

When an appeal is taken from a judicial act or proceeding before the Register of Wills, the appellant shall do so by petition which sets forth:

(1) the nature of the proceedings before the Register of Wills;

(2) the reasons for the appeal;

(3) the names and addresses of all parties in interest, including those who have not been made parties to the record and their counsel; and

(4) A request that a Rule to Show Cause issued directed to all parties in interest including those not represented on the record to show cause why the appeal should not be sustained and the judicial act or proceeding complained of be set aside and reversed.

Upon the issuance of the Rule to Show Cause, the Register of Wills shall certify the record to the Court.

Rule 10.2.1. Inheritance Tax Appeals.

Practice and procedure in inheritance tax appeals shall be in accordance with the Inheritance and Estate Tax Act, 72 P.S. '9101 et seq.

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RULE 12 - SPECIAL PETITIONS

Rule 12.1.1. Family Exemption. Appraisal

(a) Where the exemption is claimed from personal property included in the inventory filed, the value of each item so claimed shall be that given in the inventory filed.

(b) Where the exemption is claimed from personal property forming part of a Small Estate and no inventory has been filed, the value of each item claimed shall be the fair value thereof.

(c) Unless otherwise directed by the Court, no appraisal shall be required if the exemption is claimed;

(1) in money;

(2) from personal property and the gross value of the estate does not exceed the amount of the exemption;

(3) in real or personal property at valuations agreed upon by all parties in interest.

Rule 12.1.2. Family Exemption. Allowance.

(a) Personal Property. If the petitioner requests the exemption prior to confirmation, the petitioner shall file a petition with the Clerk and thereupon shall give ten (10) days written notice of intention to request the exemption to the personal representative, if any, and to all persons adversely affected thereby who do not join the prayer of the petition. Objections to the exemption may be filed by any party in interest within twenty (20) days of service of notice thereof.

1. Real Property. If the Petitioner requests the exemption prior to the Confirmation, the appraisers shall, within thirty (30) days after their appointment, file with the Clerk an appraisal of the property claimed, and written notice of such filing shall be given to the personal representative and to the next of kin, or, if there be neither personal representative nor next of kin, to the Attorney General. The notice shall contain a copy of the petition and the appraisal, and a statement that confirmation of the appraisal and the setting apart of the real estate to the petitioner will be requested and may be allowed by the Court unless objections are filed thereto within twenty (20) days. If the address or whereabouts of any of the next of kin is unknown, notice shall be given in such manner as the Court may direct.

Rule 12.1.3. Family Exemption. Risk Distribution Prior to Confirmation.

When the personal representative at his or her own risk delivers assets of the estate in satisfaction of the exemption he shall set forth the same as a disbursement in the account under the subheading "Family Exemption." Such delivery may be the subject of objection by any claimant or party in interest.

Rule 12.2.1. Allowance to Surviving Spouse of Intestate. Appraisal.

If an appraisal of property is needed, the manner of appraising the property, of filing and confirming the appraisal, and of advertising or giving notice thereof shall be by special order in each case.

Rule 12.3.1. Election of Surviving Spouse. Filing of Petition for Extension of Time.

(a) A petition for the extension of time in which the surviving spouse may file an Election to Take Against the Will shall include the requirements for a petition under Pa. O.C. Rule 12.3(a) and the facts relied upon to justify an extension of time in which to file the election.

(b) The petitioner shall file the petition with the Clerk and thereafter give ten (10) days written notice of intention to request the extension to all persons adversely affected thereby who do not join the prayer of the petition.

(c) In the absence of objection, on the presentation of an appropriate motion and verified return of notice at the rule to show cause returnable day designated in the petition, an appropriate decree may be entered.

Rule 12.5.1. Appointment of Guardian for Minor. Consents Required.

(a) Consent of Parents or Person in Loco Parentis. Written consent of the parents or surviving parent of the minor to the appointment of a guardian of the estate or person is required. If both parents are deceased, such consent is required of the adult person with whom the minor resides or of the superintendent or other official in charge of the institution having custody of the minor. If such consent is not obtained, the petitioner shall set forth the reason and give such notice of the petition as the Court may direct.

(b) Consent of Guardian. Individual. When the proposed guardian is an individual, written consent to act as such shall contain the following:

(1) the individual's business, and domicile;

(2) a statement that the individual is a citizen of the United States, able to speak, read, and write the English language; and

(3) a statement that the individual is not the fiduciary or an officer or employee of the corporate fiduciary of an estate in which the minor has an interest nor the surety or an officer or an employee of the corporate surety of such a fiduciary; and

(4) a statement that the individual has no interest adverse to the minor.

(c) Consent of Guardian. Corporate. When the proposed guardian is a corporation authorized to act as fiduciary, its written consent to act as such shall contain a statement that it is not the fiduciary of an estate in which the minor has an interest nor the surety of such a fiduciary and that it has no interest adverse to the minor.

NOTE: The foregoing Rules relating to the appointment of a guardian of a minor’s estate are subject to the powers given to persons to appoint a guardian by Will, by inter vivos trust agreement, etc. (See Section 2519 of the P.E.F. Code.)

Rule 12.5.2. Guardians. Minors. Bond. Restricted Account.

(a) If funds are placed in a restricted account in accordance with the Probate, Estates and Fiduciaries Code, the decree of the Court may contain a further provision that if no withdrawals are made from the account prior to the minor reaching his majority, the institution may pay over the funds when the minor attains age eighteen (18) years, upon the joint requests of the guardian and the former minor without further Order of the Court.

(b) A guardian who has received assets in addition to the deposit or investment made in accordance with this Rule shall account as if the restricted account did not form part of the estate.

Rule 12.5.4. Minor's Estate. Allowances. Approval of Court.

(a) Mandatory Approval by the Court. No payments shall be made by the guardian of the estate unless approval by the Court is first obtained when payment is to be made from principal, or when special services have been performed by counsel and the guardian is in doubt as to the reasonableness of the fee.

(b) Contents of Petition. Allowances for Maintenance, Support, or Education. A petition for an allowance from a minors estate, for the maintenance, support, or education of the minor, the minor's spouse or children, shall be presented by the guardian of the estate and shall set forth:

(1) the manner of the guardian's appointment and the date thereof; and, where appropriate, the terms of the instrument creating the estate;

(2) the age and residence of the minor; whether his or her parents are living; the name of the person with whom he or she resides; and, if married, the name and age of his or her spouse and children;

(3) the value of the minor's estate, real and personal, and the net annual income;

(4) the circumstances of the minor, whether employed or attending school; if the minor's parents are living, the reason why the parents cannot support and educate the minor without resorting to the minor's estate;

(5) the date and amount of any previous allowances by the Court;

(6) a recommendation to the Court of the amount of the allowance the petitioner believes should be decreed; and

(7) if the petition is presented by someone other than the guardian of the estate, that demand was made upon the guardian to act, and the reason, if any, given for failure to do so.

(c) Contents of Petition. Joinder. Attached to the petition shall be the joinder of the minor, if over fourteen years of age, and of the parents or surviving parent; or, if both parents are deceased, the joinder of the adult person with whom the minor resides, or the superintendent or other official in charge of the institution having custody of the minor.

(d) Allowance for More than One Minor. A single petition may be used for an order of allowance for care, maintenance and education of more than one minor or for funeral expenses of a deceased child, spouse, or indigent parent where the minors are members of the same family, have the same guardian, and substantially the same reasons in support of the petition apply to all of the minors.

(e) Allowance from Sequestered Account. Whenever a sequestered deposit has been created for the benefit of a minor, whether or not a guardian has been named, allowances therefrom may be upon petition of anyone interested in the welfare of the minor. Such a petition shall conform as nearly as may be to the requirements of these Rules and shall, in addition, set forth the interest of the petitioner in the matter.

Rule 12.9.1. Public Sale of Real Property. Contents of Petition.

(a) Personal Representative. A petition by a personal representative to sell real property at public sale, under the P.E.F. Code, shall set forth in separate paragraphs

(1) name, residence, and date of death of the decedent; whether he or she died testate or intestate, and the date of grant of letters;

(2) that the personal representative is not otherwise authorized to sell by the P.E.F. Code, or that the personal representative 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) the total value of the personal estate and all of the real property, respectively, as shown in the inventory filed, including the value at which the real property to be sold was included therein;

(4) a full description of the real property to be sold, improvements thereon, by whom it is occupied;

(5) if the personal representative entered bond with the Clerk, the amount of such bond and the name of the surety;

(6) the names of all parties in interest, as heirs, devisees, legatees, or lienholders, who will be affected by the granting of the petition and the interest of each; whether any of them are minors, incompetents/ incapacitated persons, or deceased, and if so, the names and the record of the appointment of their fiduciaries;

(7) the liens and charges, if any, of record against the property to be sold;

(8) the terms of the proposed sale; and

(9) any additional facts which may aid the Court to determine that the sale is desirable for proper administration and distribution of the estate.

(b) Trustee- A Petition by a trustee to sell real property at public sale under the P.E.F. Code shall set forth in separate paragraphs:

(1) a statement, in substance, of the provisions of the instrument creating the trust, Particularly the powers, if any, therein given to the trustee in respect of real property;

(2) a copy of the instrument creating the trust, in the form of an exhibit, or if too lengthy, the relevant portions;

(3) the total value of the personal property and the real property, respectively, forming the corpus of the trust;

(4) the amount of the bond, if any, filed;

(5) the names of all parties interested as beneficiaries, including life tenants and remaindermen, who will be affected by the granting of the petition, whether any of them are minors, incompetents/incapacitated Persons, or deceased, and if so, the names and the record of appointment of their fiduciaries;

(6) a full description of the real property proposed to be sold, the improvements thereon, by whom it is occupied;

(7) the reason the sale of the real property involved is necessary or desirable for the proper administration of the trust estate;

(8) the liens and charges, if any of record against the real Property to be sold;

(9) that the trustee is not otherwise authorized to sell by the P.E.F. 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

(10) the terms of the proposed sale.

(c) Guardian. Incapacitated Person's Estate. A petition by a guardian of an incapacitated person's estate to sell real Property at public sale under the P.E.F. Code shall set forth in separate paragraphs:

(1) the name, age, marital status and domicile of the incapacitated person; the date of appointment of the guardian and by what court; and the amount of bond filed;

(2) the total value of the Personal estate and all of the real property, respectively, as shown in the inventory filed;

(3) a full description of the real property proposed to be sold, the improvements thereon, by whom occupied;

(4) the names of the parties in interest as heirs and/or next of kin;

(5) why the sale of the real Property involved is necessary or desirable for the administration of the incapacitated person's estate;

(6) the liens and charges, if any, of record against the property to be sold; and

(7) the terms of the proposed sale.

(d) Guardian. Minor's Estate- A petition by a guardian of a minor's estate to sell real property at public sale under the P.E.F. Code shall set forth in separate paragraphs:

(1) the name, age, and domicile of the minor; the date of appointment of the guardian and the amount of the bond filed;

(2) the total value of the personal estate and all of the real property, respectively, as shown in the inventory, if filed, otherwise the value of each as received by the guardian and how and from whom received;

(3) a full description of the real property proposed to be sold, the improvements thereon, by whom occupied, and how title was acquired by the minor;

(4) the name and relationship of the person with whom the minor lives;

(5) where the proposed sale is of an undivided interest, whether the owners of the other undivided interests join in the proposed sale;

(6) why the sale of the real property involved is necessary or desirable for the administration or distribution of the minor's estate and whether the proposed sale is for the best interest of the minors estate;

(7) the lien and charges, if any, of record against the real property to be sold; and

(8) the terms of the proposed sale.

Rule 12.9.2. Notice of Public Sale of Real Property.

(a) Public notice of any proposed sale under Order of Court shall be given by advertisement one (1) time in at least one newspaper of general circulation published in the County of Carbon and in the legal publication designated by these Rules, and shall be placed under a general heading as follows:

COURT OF COMMON PLEAS OF CARBON COUNTY

ORPHANS' COURT DIVISION

PUBLIC SALE OF REAL ESTATE

IN PURSUANCE OF AN ORDER OF THE ORPHANS' COURT DIVISION, THE REAL ESTATE INDICATED BELOW WILL BE OFFERED FOR SALE AT THE TIME AND PLACE STATED. THE TERMS AND CONDITIONS OF SALE ARE OF RECORD IN THE OFFICE OF THE CLERK OF THE ORPHANS' COURT AT THE CARBON COUNTY COURTHOUSE, JIM THORPE, PENNSYLVANIA, WHERE THEY MAY BE EXAMINED BY THE PARTIES INTERESTED.

(b) the advertisement shall give the name of the decedent, trust beneficiary, minor, or incapacitated person, the municipality in which he or she resided, the place in which lies the real estate to be offered for sale, an abridged description of the real estate (including, where possible, the street and house number, and block and lot number), the improvements thereon erected, the place, date, and time of sale, the name and title of the personal representative directed to make the sale, and the name of the attorney representing the fiduciary.

(c) At least ten (10) days written notice shall be given to all non-joining parties interested (1) as heirs, devisees, legatees, or lien holders, where the property to be sold is that of a decedents estate; or (2) as heirs and/or the next of kin, where the property to be sold is that of an incapacitated person; or (3) as beneficiaries, including life tenant and remaindermen, of the trust estate where the sale is to be by a trustee; or (4) as the parents or other person maintaining the minor where the property to be sold is that of a minor; or (5) as claimants.

The written notice herein provided for shall be by personal service or by any form of mail requiring a receipt signed by the person to be notified, mailed to the last known address of the person to be notified.

Rule 12.9.3. Public Sale of Real Property. Return of Sale.

All returns of sale of real estate sold at public sale shall be in writing and sworn to and shall include:

(a) proofs of publication of the notice required by Carbon Co. O.C.R. 12.9.2.(a);

(b) when and to whom written notice was given under Carbon Co. O.C.R. 12.9.2.(c); and

(c) the name of the purchaser and the purchase price.

Rule 12.9.4. Public Sale of Real Property. Decree.

Upon return of sale under Carbon Co. O.C.R. 12.9.3, the Court may enter a Decree of Confirmation Nisi and fix the amount of security or additional security which the personal representative, trustee, or guardian shall be required to enter or the Court may excuse the fiduciary from entering additional security; and the Decree of Confirmation Nisi so entered is FINAL unless exceptions are filed within ten (10) days of the date signed.

Rule 12.10.1. Private Sale of Real Property.

A petition of a fiduciary to sell real property at private sale shall also conform as closely as practicable to the requirements of Carbon Co. O.C.R. 12.9 with regard to a petition to sell real property at public sale by the same fiduciary and shall also be supported by the affidavits required under Pa.O.C. Rule 12.10(b).

Rule 12.10.2. Private Sale of Real Property. Public Notice of Sale. Form of Notice.

Public notice of any proposed private sale under Order of Court shall be given by advertisement one (1) time in at least one newspaper of general circulation published in the County of Carbon and in the legal publication designated by these Rules; unless excused by Order of Court, notice shall also be given by personal service or registered mail to the last known address of all nonjoining interested parties as specified in Carbon Co. O.C..R. 12.9.2(c); and shall be in the following form:

COURT OF COMMON PLEAS OF CARBON COUNTY

ORPHANS' COURT DIVISION

PRIVATE SALE OF REAL ESTATE

In the matter of the Estate of (deceased - a minor - incapacitated person). To the heirs, legatees, devisees, next of kin, and all other persons interested in said estate:

Notice is hereby given that

(personal representative - trustee - guardian) has filed in the office of the Clerk of the said Court a petition praying for an order of sale of the real estate of said (decedent - minor -incapacitated person) situate

at private sale to for the sum of $ for the purposes in the petition set forth. If no exceptions are filed thereto or objections are made to granting the same, the Court will be asked to take action upon the petition on the day of , , at .m., in Courtroom No. , the Carbon County Courthouse, Jim Thorpe, Pennsylvania.

Attorney for Petitioner

Rule 12.10.4. Confirmation of Sale.

If no exceptions are filed or objections made, the Court may enter a decree:

(1) fixing the amount of security or additional security which the personal representative, trustee, or guardian shall be required to enter or excusing the fiduciary from entering additional security; and

(2) confirming the sale absolutely effective immediately or as of the time the required security or additional security, if any, is approved and filed.

Rule 12.11.1. Mortgage of Real Property.

A petition to mortgage real property by a personal representative, trustee, or guardian shall conform as closely as practicable to the requirements of Carbon Co. O.C.R. 12.10.1 with regard to a petition to sell real property at private sale by the same fiduciary.

Rule 12.11.2. Pledge, Lease, or Exchange of Real Property.

The practice and procedure governing petitions by a personal representative, trustee, or guardian to pledge, lease, or exchange, or to grant an option for the pledge, lease, or exchange of property under the P.E.F. Code, shall be governed by Carbon Co. O.C.R. 12.10.1, governing the private sale of real property by such fiduciary.

Rule 12.12.1. Inalienable Property. Public Sale.

(a) A petition to sell real property at public sale under Chapter 83 of the P.E.F. Code shall, in addition to other requirements of the statute and Supreme Court Orphans' Court Rules, 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, as applicable;

(2) If presented by a guardian, the method, date and record of appointment, if any, or if none, identity of the petitioner stating the relationship of the petitioner to the person owning the property;

(3) A full description of the real property, its improvements, by whom it is occupied, its rental income, if any, and the liens and charges to which it is subject;

(4) The interest of the petitioner, if any;

(5) A recital and history of the trust, if any; the relevant provisions of the Will or deed pertaining to the real property to be sold; the interest of a minor, if any; and the names of other parties interested in the real estate and the nature of their interest;

(6) If for the benefit of a minor, the age of the minor, the names of the minor's next of kin and that notice has been given to them of the presentation of the petition;

(7) The names of all parties in interest, their addresses, the nature and extent of their interests, stating which, if any, are minors or incapacitated persons, and giving the names and record of appointment of their guardians, if any,

(8) That the purpose of the proceeding is to obtain a decree stating that the title transferred to the purchaser will be indefeasible by any person ascertained or unascertained, or by any class of persons mentioned in the petition or decree having a present or expectant interest in the premises, and unprejudiced by any error in the proceedings of the court;

(9) Sufficient facts to enable the court to determine whether the proposed sale will be to the interest and advantage of the parties, and whether the proposed sale may be made without prejudice to any trust, charity, or purpose for which the real property is held, and without violation of any laws which may confer an immunity or exemption from sale or alienation; and

(10) The names of any parties who do not voluntarily appear.

(b) The petitioner shall attach as exhibits the consents to the sale signed by those parties in interest who consent, and the notice which was given to those parties who do not consent or voluntarily appear.

(c) If all parties having an interest do not voluntarily appear as petitioners or respondents, petitioner shall request issuance of a rule to show cause directed to all parties who have not appeared.

(d) The practice and procedure with respect to notice, confirmation and entry of security shall conform to the appropriate provisions of the P.E.F. Code and Carbon Co. O.C.R. 12.9.2, 12.9.3 and 12.9.4.

Rule 12.12.3. Inalienable Property. Private Sale.

(a) A petition to sell real property at private sale under Chapter 83 of the P.E.F. Code, shall set forth in separate paragraphs:

(1) The information required under Carbon Co. O.C.R. 12.12.1(a) and (b), to the extent applicable;

(2) The name and address of the proposed purchaser, the price to be paid; the terms of the proposed sale; and that the price offered is better than can be obtained at a public sale; and

(3) When the proposed sale is of an undivided interest, that the other parties in interest desire the sale to be made and are willing to join in the deed.

(b) In addition to the exhibits referred to in Carbon Co. O.C.R. 12.12.1(b), the petition shall have attached affidavits of two (2) real estate appraisers setting forth the information required by Pa.O.C.R. 12.10(b).

(c) If all parties having an interest do not voluntarily appear as petitioners or respondents, petitioners shall request issuance of a rule to show cause directed to all parties who have not appeared.

(d) The court, in the decree approving or confirming the sale, will fix the amount of security which the fiduciary shall be required to enter.

Rule 12.12.4. Inalienable Property. Mortgage.

(a) Contents of Petition. A petition by a fiduciary to mortgage real property, under Chapter 83 of the P.E.F. Code, shall conform as closely as practicable to the requirements of Carbon Co. O.C.R. 12.9 with regard to a petition to sell real property at public sale by the same fiduciary; shall set forth the amount and terms of the proposed loan; and shall provide sufficient facts to enable the Court to determine whether the proposed loan should be approved.

(b) Exhibits. Security. The exhibits required by Carbon Co. O.C.R. 12.12.3.(b) shall be attached to the petition, with the proviso regarding consents, that if all parties having an interest do not voluntarily appear as petitioners or respondents, a rule to show cause will be granted directed to all parties who have not appeared, as provided by the P.E.F. Code. Security shall be fixed as provided by Rule 12.12.3(d).

RULE 14 – GUARDIANSHIP OF INCAPACITATED PERSONS

Rule 14.1. Form of Preliminary Decree.

(a) Form of Preliminary Decree. Each Petition for Adjudication of Incapacity shall have attached thereto a Preliminary Decree for Guardianship substantially in the following form:

IN THE COURT OF COMMON PLEAS OF CARBON COUNTY, PENNSYLVANIA

ORPHANS’ COURT DIVISION

IN RE: , No.

An Alleged Incapacitated Person

PRELIMINARY DECREE FOR GUARDIANSHIP

AND NOW, this day of ,, to judicially resolve Petitioner's request for the appointment of guardianship, the Court hereby:

ORDERS and DECREES the following:

1. That a Hearing be held on the attached Petition on the day of _____ , at_____ _____.M. in Courtroom No., Carbon County Courthouse, Jim Thorpe, Pennsylvania.

2. The Court directs the issuance of an appropriate citation with Rule to Show Cause why the above-captioned individual should not be adjudged an Incapacitated Person and why the Court should not appoint appropriate guardians.

3. Petitioner shall request a guardianship of the following nature: a limited guardianship of the person, a plenary guardianship of the estate.

4. Petitioner shall cause to be served (by personal service) the Rule to show cause and Petition with attached Notice upon the alleged incapacitated person at least twenty (20) days prior to the Court hearing. The contents and terms of the Petition and the Notice shall be explained to the maximum extent possible language and terms the alleged incapacitated person is most likely to understand. An affidavit of service shall be filed before the hearing and offered as an exhibit at the beginning of the Court hearing.

5. At least 20 days notice of the Petition and Hearing shall be given by personal service or certified mail to all persons who are sui juris and would be entitled to share in the estate of the alleged incapacitated person's estate if he/she died intestate at the time of finding incompetency. Notice to possible interstate heirs in foreign nations shall be directed by special Order of Court upon petition of the petitioner. Copy of existing wills shall be provided to the court by petitioner and beneficiaries or devisee shall receive notice as hereinbefore provided.

6. Petitioner shall notify the Court, in writing, at least seven (7) days prior to the Court hearing if counsel has NOT been retained by or on behalf of the alleged incapacitated person. This notice shall also contain all pertinent information which indicates whether or not counsel should be appointed to represent the alleged incapacitated person.

7. The alleged incapacitated person shall be present at the Court hearing unless it is established that his/her physical or mental condition would be harmed by his/her presence, or it is impossible for him/her to be present because of his/her absence from the Commonwealth.

BY THE COURT:

(b) Form of Rule to show cause. Every Petition for Adjudication of Incompetency shall have attached to the Preliminary Decree provided in subsection (a) of this rule a Rule to Show Cause or Citation in the form prescribed by Pa. O.C.R. No. 14.5.

Rule 14.2. Adjudication of Incapacity and Appointment of a Guardian of the Person and/or Estate of an Incapacitated Person.

Concurrent to the filing of a petition to adjudicate an incapacity, the moving party/attorney shall complete the individual information on a Notification of Mental Health Commitment Form SP-4-131 and file it with the Orphan’s Court Division.

Effective March 1, 2001

Revision effective March 1, 2007

Rule 14.3. Accounts of Guardians.

On or before the first day of March of each year, every guardian of the estate of an incapacitated or incompetent person shall file with the Clerk of the Orphans’ Court an account of such guardian’s administration of the estate during the preceding calendar year, said account to be substantially in the following form:

IN THE COURT OF COMMON PLEAS OF CARBON COUNTY,

PENNSYLVANIA

ORPHANS' COURT DIVISION

IN RE: : NO.

PERIODIC REPORT

FROM , TO ,

OF THE GUARDIAN OF THE ESTATE

1) I am the limited/plenary (circle one) guardian of the estate of my ward, named above, and my address, including zip code is:

My telephone number at work is ( ) and my telephone number at home is ( )

2) I was appointed guardian by Order of Court dated which was/was not (circle one) modified by Court Order(s) dated

3) My initial Inventory was filed on and listed a total estate value of $

The Inventory listed a total monthly income of $ comprised of the following:

4) At the beginning date of this reporting period, my initial balance on hand was $ .

5) During this reporting period, the following reflects all sources of income (other than social security) received by me for my ward: (Add additional pages if needed)

Date Received Source of Income Amount

TOTAL -

6) During this reporting period, the following reflects all payments I have made for my ward: (Add additional pages if needed):

Date To Whom Paid Reason for Payment Amount

TOTAL -

7) The present principal assets of my ward are:

Description of Asset Present Value

8) The Present amount and Source of income for my ward are:

Source of Income Amount of Income

(Indicate whether monthly, quarterly, annually)

9) The regular monthly expenses of my ward which I pay are:

To Whom Paid Amount

(annually)

10) I have/have not (circle one) petitioned the Court for permission to invade principal to meet the needs of my ward.

(If applicable) The following expenses of my ward have been paid from principal:

To Whom Paid Purpose Amount

11) I have/have not (circle one) paid myself compensation for services I rendered as guardian.

The amount I paid myself totaled $ and was calculated at the following rate: $ per week/month (circle one).

12) Circle the correct response and complete, if appropriate.

There will be no need for extraordinary expenditures on behalf of my ward in the next twelve (12) months.

There will be a need for extraordinary expenditures on behalf of my ward in the next twelve (12) months because:

13) Circle the correct response and complete, if appropriate.

A. My ward receives monthly social security benefits directly.

B. I am the designated payee to receive my ward's social security benefits.

The designated payee of my ward's social security benefits is

Whose address is

and is/is not (circle one) related to my ward as (insert relationship).

I certify under the penalties of perjury that the information contained in this report is true and correct to the best of my knowledge, information and belief. I further certify that I have sent a copy of this report to all those parties in interest listed in the original Petition to declare my ward incapacitated and that I have added a notice to those parties in the form below.

Date:

Signature of Guardian

N O T I C E

Enclosed is a copy of my periodic Report as Guardian of the Estate. If you have any questions regarding this report, please contact me. If you have any Objections to it, you are advised to prepare your Objections, in writing, make reference to the name of the incapacitated person and the court file number, and, within thirty (30) days of receiving this Notice, mail or deliver the Objections to me at the address listed in my Report and to the

Orphans' Court Auditor

Office of the Register of Wills

County Courthouse

Jim Thorpe, PA 18229

Guardian of the Estate

Rule 14.4. Annual Report of Guardian of Person of Incapacitated Person

The annual report of the guardian of the person of an incompetent or incapacitated person required by 20 PA.C.S.A. §5521(c) shall be in the following form:

[Caption}

GUARDIAN OF THE PERSON – ANNUAL REPORT

(20 PA.C.S.A. §5521(c)

1. Current address of the incapacitated person.

2. Describe the type of facility where the incapacitated person presently lives and the type of living arrangements.

3. Do you contemplate a change of placement in the near future? If yes, state where and the reason.

4. Describe any major medical or mental problems of the incapacitated person.

5. Describe what social and recreational activities that are enjoyed by the incapacitate person.

6. What medical and psychological services are provided to the incapacitated person?

7. Describe any hospitalizations or medical treatment since the date of your appointment as guardian or since the date of your last report.

8. How often do you visit the incapacitated person?

9. On the average, how long are your visits?

10. Who else visits the incapacitated person and how frequently?

11. Are there any needs that are not being provided for? If yes, state what and why.

12. Should the guardianship continue, be terminated, or modified? If yes, please specify the reasons for your opinion.

Date:

Signature of Guardian

Effective February 8, 2000

RULE 15 - ADOPTIONS

Rule 15.1. Local Rules.

The practice and procedure with respect to adoptions shall be as provided by Act of Assembly and to the extent not inconsistent therewith shall conform with the pertinent provisions of these Rules or special order of the Orphans' Court, or, in the absence thereof, with the provisions of Pa.O.C.R. 15.

Rule 15.1.1. Local Practice and Procedure.

Practice and procedure with respect to all proceedings under the Adoption Act, 23 Pa.C.S.A §§2101-2910, shall be as provided by this local Rule 15, and, also, in accordance with the provisions of Pa.O.C.R. 15, to the extent the latter is not inconsistent with the provisions of the current Adoption Act, 23 Pa.C.S.A. §§2101-2910 (the "Adoption Act").

Rule 15.1.2. Exhibits.

Appended to all petitions for voluntary relinquishment, involuntary termination and adoption shall be the following:

(a) A birth certificate or certificate of registration of birth of the subject child which contains the child's name, sex, date of birth and parents' names.

(1) Whenever a birth certificate has been filed with the Clerk in a companion proceeding, reference to the companion case term and number shall be sufficient.

(2) A notice of birth registration is not an acceptable substitute for a certified copy of a birth certificate or a certification of registration of birth.

(b) When required by the Court, certified copies of marriage licenses regarding the biological parent or parents of the subject child and the proposed adoptive parents, as proof of the following:

(1) The marital status of the biological mother at the birth of the subject child and for one year prior thereto.

(2) The marriage of the proposed adoptive parents to each other.

Rule 15.2.1. Voluntary Relinquishment to Agency.

(a) Petition.

A Petition under Section 2501 of the Adoption Act to relinquish parental rights and duties with respect to a child who has been in the care of an Agency shall be in a form approved by the court, and shall include the following allegations:

(1) The name, address, age, racial background and religious affiliation of each petitioner.

(2) The information required in subparagraph (1) as to any parent who is not a petitioner, or the reason why such information is unavailable.

(3) The marital status of the mother as of the time of the birth of the child and during one year prior thereto, and, if the mother was married, the name of her husband or husbands, and her maiden name.

(4) The name, age, date of birth, racial background, sex and religious affiliation of the child.

(5) The name and address of the Agency having care of the child.

(6) The date when the child was placed with the Agency and the circumstances surrounding the placement.

(7) When the child's parents are not married to each other, whether they intend to marry each other.

(8) The reason for seeking relinquishment.

(9) That each petitioner understands the petition, has considered the alternatives, and has executed the petition voluntarily to promote what the petitioner believes to be in the petitioner's and the child's best interests.

(10) Whether either natural parent of the child is entitled to the benefits of the Soldiers' and Sailors' Civil Relief Act of 1940, as amended (50 U.S.C.A. §501, et. seq.).

(b) Exhibits.

The petition shall have attached to it the following exhibits, in addition to those specified in Rule 15.1.2:

(1) The joinder of a parent who is not a petitioner, if obtainable.

(2) If the other parent is deceased, a certified copy of the death certificate.

(3) The joinder of the Agency having care of the child and its consent to accept custody of the child until such time as the child is adopted. The joinder of the Agency shall be executed and acknowledged by an official authorized to do so, and proof of such authority shall be kept on file with the court (see Rule 15.8.1, infra.).

(4) A proposed decree in a form approved by the court.

(c) Disposition of Petition.

(1) The petition shall be filed with the Clerk, who shall place the matter on the next available hearing list, unless otherwise directed by the court.

(2) Absent exceptional circumstances, or unless the other parent is deceased, the court will not entertain a petition by one parent where the rights of the other parent have not been previously terminated or cannot be terminated at the hearing.

(3) Information concerning any proposed adoption of the child who is the subject of the petition shall be made available to the court at the hearing.

(d) Notice and Hearing.

(1) If a parent has not relinquished his or her rights and duties in and to the child, or joined in the other parent's petition hereunder, then notice of the hearing, together with a copy of the petition, shall be served upon the non-petitioning/non-joining parent.

(2) Unless excused by the court, at or prior to the hearing, each petitioner and each person whose consent or joinder is attached to the petition shall be examined under oath at the hearing.

Rule 15.3.1. Voluntary Relinquishment to Adult Intending to Adopt Child.

(a) Petition.

A Petition under Section 2502 of the Adoption Act to relinquish parental rights with respect to a child who has been in the exclusive care of an adult or adults who have filed a report of Intention to Adopt shall be in a form approved by the Court, and shall include the allegations required under subparagraphs (1), (2), (3), (4), (7), (8), (9), and (10) of Rule 15.2.1.(a), and

(1) The date when the Report of Intention to Adopt was filed.

(2) The date when the child was placed with the adult or adults and the circumstances surrounding the placement.

(b) Exhibits.

The petition shall have attached to it the following exhibits, in addition to those specified in Rule 15.1.2:

(1) The joinder of a parent who is not a petitioner, if obtainable.

(2) If the other parent is deceased, a certified copy of the death certificate.

(3) The separate consent of the adult or adults to accept custody of the child.

(4) A proposed decree in a form approved by the Court.

(c) Disposition of the Petition.

(1) The petition shall be filed with the Clerk, who shall place the matter on the next available hearing list, unless otherwise directed by the Court.

(2) Absent exceptional circumstances, or unless the other parent is deceased, the Court will not entertain a petition by one parent where the rights of the other parent have not been previously terminated or cannot be terminated at the hearing.

(3) Absent exceptional circumstances, a petition for voluntary relinquishment to an adult intending to adopt will not be entertained by the Court unless a petition for adoption under Section 2701 of the Adoption Act with respect to the subject child has also been filed.

(d) Notice and Hearing.

(1) If a parent has not relinquished his or her right in the child or joined in the petition hereunder, then notice of the hearing on a parent's petition to voluntarily relinquish rights, together with a copy of the petition, shall be served upon such non-petitioning/non-joining parent.

(2) Each petitioner and each person whose joinder or consent is attached to the petition shall be examined under oath at the hearing unless excused by the court.

Rule 15.3.2. Alternative Procedure for Relinquishment.

(a) Petition to Confirm Consent.

A petition under Section 2504(a) of the Adoption Act shall be in a form approved by the court, and shall include the following allegations:

(1) The name, address and standing of the petitioner or petitioners, and the date on which the report of intention to adopt and/or the petition for adoption was filed.

(2) The name, age, address and current marital status of the natural parent or parents.

(3) The name, sex, date of birth and the child proposed to be adopted, and the date on which the child was placed with the proposed adoptive parents.

(4) The date on which the petition or petitions for voluntary relinquishment were filed.

(5) The date of the execution of the consent or consents to the adoption by the natural parent or parents.

(6) That a period of forty (40) days has elapsed since the execution of the consent to the adoption and that the consenting parent has not filed or proceeded with a petition for voluntary relinquishment of parental rights as provided for in Sections 2501 and 2502 of the Adoption Act.

(7) Whether either natural parent of the child is entitled to the benefits of the Soldiers and Sailors' Civil Relief Act of 1940, as amended (50 U.S.C.A. §501, et seq.).

(b) Exhibits to Petition to Confirm Consent.

The petition shall have attached to it the following exhibits, in addition to those specified in Carbon Co. O.C.R. 15.1.2:

(1) The original consent of the natural parent in the form prescribed by Section 2711(d)(l) and (2) of the Adoption Act.

(2) A proposed decree in a form approved by the court.

(c) Petition for Termination of Parental Rights of Non-Consenting Putative Father

A petition under Section 2504(c) of the Adoption Act shall be in a form approved by the court, and shall include the following allegations:

(1) The name, address and standing of the petitioner or petitioners, and the dates on which the report of intention to adopt and/or the petition for adoption was filed.

(2) The name, age, address and marital status of the biological parents as of the birth of the child and during one year prior thereto.

(3) The name, sex, date of birth of the proposed adoptee and the date on which the child was placed with the proposed adoptive parents.

(4) That the biological mother of the adoptee was unmarried at the child's birth.

(5) That the putative father has refused to execute a written consent to the adoption of the proposed adoptee and has not filed an acknowledgment of paternity.

(6) Whether the putative father is entitled to the benefits of the Soldiers' and Sailors' Civil Relief Act of 1940, as amended (50 U.S.C.A. §501, et seq.).

(d) Exhibits to Petition for Termination of Parental Rights of Non-Consenting Putative Father

The petition shall have attached to it the following exhibits, in addition to those specified in Carbon Co. O.C.R. 15.1.2:

(1) A birth certificate of the proposed adoptee which indicates that no acknowledgment or claim of paternity has been filed.

(2) A proposed decree in a form approved by the Court.

(e) Disposition of Petitions Under Section 2504.

(1) The petition shall be filed with the Clerk, who shall place the matter on the next available hearing list, unless otherwise directed by the court.

(2) Absent exceptional circumstances, the Court will not entertain a petition to confirm the consent of only one biological parent, unless the other parent is the petitioner or the spouse of a petitioner in an adoption pending in this court; or the other parent is a putative father who (i) has refused to executive a consent, and has not filed an acknowledgment of paternity, or (ii) is deceased.

(3) Absent exceptional circumstances, a petition to confirm consent will not be entertained by the court unless petition for adoption under Section 2701 of the Adoption Act has been filed with this court.

(f) Notice and Hearing.

(1) Notice of the hearing on the petition to confirm consent, in the form prescribed by Section 2513(b) of the Adoption Act, together with a copy of the petition omitting all references to the proposed adoptive parents, shall be served upon the natural parent or parents whose consent is sought to be confirmed, the other parent, a putative father whose rights are sought to be terminated, and to the parents or guardian of a consenting parent who has not reached 18 years of age.

(2) Each petitioner shall be examined under oath at the hearing.

Rule 15.4.1. Involuntary Termination of Parental Rights.

(a) Petition.

A petition for involuntary termination of parental rights under sections 2511 and 2512 of the Adoption Act shall be in the form set forth in Carbon Co. O.C.R. 15.4.2.

(b) Exhibits.

The petition shall have attached to it the following exhibits, in addition to those specified in Carbon Co. O.C.R. 15.1.2:

(1) The joinder of the agency having care of the child and its consent to accept custody of the child until such time as the child is adopted. The joinder shall satisfy the requirements of Carbon Co. O.C.R. 15.2.1(b)(3).

(2) A proposed decree nisi in the form set forth in Carbon Co. O.C.R. 15.4.3.

(c) Disposition of Petition.

(1) The petition shall be filed with the Clerk and a copy thereof shall be served upon the respondent. This shall be in addition to the notice of hearing required by Rule 15.4.1(e).

(2) At the time when the petition is filed with the Clerk, the matter shall be placed on the next available hearing list by the Clerk. However, the matter shall not be heard before the time for filing responsive pleadings has elapsed (O.C. Rule 3.2.2). Notice thereof shall be given as required by Carbon Co. O.C.R. 15.4.1(e).

(3) Absent exceptional circumstances, or unless the other parent is deceased, the court will not entertain a petition for involuntary termination of parental rights filed by an agency or an adult intending to adopt where the parental rights of the other parent have not been previously terminated, or cannot be terminated at the hearing.

(4) If the court is satisfied that, after reasonable investigation, the identity of a natural parent is unknown, no notice under this Rule will be necessary with respect to such parent.

(5) To establish a "reasonable investigation" a "Petition for Leave to Forego Involuntary Termination Proceedings Regarding the Unknown Parent of (name of child)" shall be presented to the Motions Judge and shall contain the following allegations:

(i) the circumstances surrounding the conception of the child including the approximate date and location;

(ii) all of the information regarding the unknown parent that is known by the other natural parent or petitioner; and

(iii) the efforts made by the identified natural parent or petitioner, by anyone acting on behalf of the identified parent, by petitioning adoptive parents and/or anyone acting on their behalf, to attempt to identify, locate, or contact the unknown natural parent based on the information provided in subsections (i) and (ii) above; or

(iv) the reasons why any of the above information cannot be provided.

(6) if a natural parent is not the petitioner there shall be attached to the petition as an exhibit:

(i) the consent and joinder of the identified natural parent;

(ii) a certified copy of the death certificate of the identified natural parent; or

(iii) the affidavit of the identified natural parent that the allegations in the petition are true and correct and that the identity and whereabouts of the other natural parent are unknown to the affiant.

(7) If the requirements of subparagraph (6) above cannot be satisfied, the petition shall contain an allegation explaining the reasons therefor.

(d) Representation for Minors.

(1) Counsel.

When a petition for involuntary termination is being contested by one or both parents, counsel for the petitioners shall file with the petition or present, to the Motions Judge, prior to the scheduled hearing, a motion for the appointment of counsel to represent the minor child or children, together with a proposed order in a form approved by the court.

(2) Guardian Ad Litem.

When the termination of the parental rights of a minor parent is sought, the court, if it finds that the minor parent is not adequately represented, may appoint a guardian ad litem to represent the interests of the minor parent.

(e) Notice and Hearing.

(1) Notice of the hearing on the petition for involuntary termination of parental rights, in the form and manner prescribed by Section 2513 of the Adoption Act, shall be served upon the following persons:

(i) the parent or parents whose rights are sought to be terminated; and

(ii) the parent or parents and the guardian ad litem, if any, of a natural parent who is under the age of 18 years.

(2) Each petitioner shall be examined under oath at the hearing unless excused by the court.

(3) The notice of hearing required in this Rule shall be in addition to the requirement of service of the petition in accordance with Carbon Co. O.C..R. 15.4.1(c)(1).

(f) Decrees of Termination of Parental Rights; Form.

When a petition for involuntary termination of parental rights is uncontested by the respondent, the court, after hearing, shall issue an order setting forth its findings regarding the grounds for involuntary termination of parental rights and either granting or denying the termination. All such decrees of termination of parental rights in uncontested matters shall be final orders.

Rule 15.4.2. Form of Petition for Involuntary Termination.

IN THE COURT OF COMMON PLEAS OF CARBON COUNTY,

PENNSYLVANIA

ORPHANS’ COURT DIVISION

IMPORTANT NOTICE

PETITION FOR INVOLUNTARY TERMINATION

OF PARENTAL RIGHTS

IN RE: No.

To: ,

the parents of

A petition has been filed asking the Court to put an end to all rights you have to your child [insert name of child]. A copy of the petition is attached.

The Court has set a hearing to consider ending your rights to your child. That hearing will be held in Courtroom No. in the Carbon County Courthouse, at Jim Thorpe, Pennsylvania, on , , at o'clock .m.

RIGHTS TO YOUR CHILD(REN) - You are warned that even if you fail to appear at the scheduled hearing, the hearing will go on without you and your rights to your child(ren) may be ended by the Court without your being present, which means that you will lose all rights to custody, visitation, communication with your child(ren). If termination is granted you will receive no notice of future legal proceedings concerning your child(ren).

LEGAL REPRESENTATION - You have a right to be represented at the hearing by a lawyer. You should take this paper to your lawyer at once. If you do not have a lawyer, go to or telephone the office set forth below to find out where you can get legal help.

LEGAL SERVICES OF NORTHEASTERN PENNSYLVANIA, INC.

122 Iron Street

Lehighton, PA 18235

(610) 377-5400

If you have contacted Legal Services and still have not been able to obtain a lawyer, you can still appear at the hearing to request the appointment of a lawyer. If you are indigent, the Court will appoint a lawyer to represent you.

RIGHTS IF YOU ARE INCARCERATED - If you cannot attend the hearing because you are or will be in jail, and want a lawyer, or want to appear at the hearing, you must write within ten (10) days of the receipt of this notice to:

PRESIDENT JUDGE

CARBON COUNTY COURTHOUSE

JIM THORPE, PA 18229

Name of Attorney:

Address:

IN THE COURT OF COMMON PLEAS OF CARBON COUNTY,

PENNSYLVANIA

ORPHANS’ COURT DIVISION

IN RE: ADOPTION OF : No.

PETITION FOR INVOLUNTARY TERMINATION

OF PARENTAL RIGHTS

(Section 2512 of the Adoption Act)

AND NOW, this day of , , comes the Petitioner(s), and sets forth the following facts:

1. Names of Petitioner(s)

2. Describe the relationship of the Petitioner(s) to the child:

3. Regarding the child(ren), provide the following information:

Religious

Name Age DOB Race Sex Affiliation

4. Regarding the parent(s) who are the subject of the Petition, provide the following:

Religious

Name Age DOB Race Sex Affiliation

5. Was the mother married at any time during one year prior to the birth of the child(ren)?

Yes No

If yes, provide the name of each husband and mother’s maiden name:

6. The Petitioner(s) is authorized to seek termination pursuant to Section 2512 of the Adoption Act on the basis that the petitioner(s) is/are (check the applicable status):

a parent who seeks termination with respect to the other parent;

an agency;

an individual having custody or standing in loco parentis to the child, who has filed a report of intention to adopt under Section 2531 of the Adoption Act;

an attorney representing a child or a guardian ad litem representing a child who has been adjudicated dependent under 42 Pa.C.S. § 6431(c) (relating to adjudication).

7. The grounds for termination of parental rights upon which the petitioner(s) rely are: (check applicable grounds)

the parent by conduct continuing for a period of at least (6) months immediately preceding the filing of the petition either has evidenced settled purpose of relinquishing parental claim to a child or has refused or failed to perform parental duties;

the repeated and continued incapacity, abuse, neglect or refusal of the parent has caused the child to be without essential parental care, control or subsistence necessary for his physical or mental well-being and the conditions and causes of the incapacity, abuse, neglect or refusal cannot or will not be remedied by the parent;

the parent is the presumptive but not the natural father of the child;

the child is in the custody of an agency, having been found under such circumstances that the identity or whereabouts of the parent is unknown and cannot be ascertained by diligent search and the parent does not claim the child within three months after the child is found;

the child has been removed from the care of the parent by the Court or under a voluntary agreement with an agency for a period of at least six months, the conditions which led to the removal or placement of the child continue to exist, the parent cannot or will not remedy those conditions within a reasonable period of time, the services or assistance reasonably available to the parent are not likely to remedy the conditions, which led to the removal or placement of the child within a reasonable period of time and termination of the parental rights would best serve the needs and welfare of the child;

in the case of a newborn child, the parent knows or has reason to know of the child’s birth, does not reside with the child, has not married the child’s other parent, has failed for a period of four months immediately preceding the filing of the petition to make reasonable efforts to maintain substantial and continuing contact with the child and has failed during the same four month period to provide substantial financial support for the child;

the parent is the father of a child who was conceived as a result of a rape;

the child has been removed from the care of the parent by the Court or under a voluntary agreement with an agency, twelve (12) months or more have elapsed from the date of removal or placement, the conditions which led to the removal or placement of the child continue to exist and termination of parental rights would best serve the needs and welfare of the child.

8. The facts which support each of the grounds checked above, and which establish that termination of parental rights would be in the best interests of the child, are set forth as follows (provide a statement of the facts underlying your petition, or a report from Children and Youth Services.)

9. If the petitioners) is not an agency, has a Petition for Adoption been filed or is adoption presently contemplated?

Yes No

Is/are the child(ren) placed in the care of the petitioners?

Yes No

If yes, give the date of placement:

10. The petitioner(s) will assume custody of the child(ren) if this petition is granted.

11. If the father of the child(ren) has not been identified, has a claim of paternity been filed?

Yes No

12. Is either parent entitled to benefits under the Soldiers’ and Sailors’ Civil Relief Act (50 U.S.C.A. §501, et seq)?

Yes No

13. The following exhibits are attached:

birth certificate(s) of child(ren)

consent of parent for petitioner under age eighteen (18)

statement of facts or report from Children and Youth Services

WHEREFORE, the Petitioner(s) request(s) that a hearing be scheduled and a rule to show cause issued to the respondent(s) directing them to appear before the Court at a day and time scheduled.

Attorney for Petitioner

VERIFICATION:

I,(We) verify that the statements made in this Petition are true and correct. I understand that statements herein are made subject to the penalties of 18 Pa.C.S. §4904 relating to unsworn falsification to authorities.

IN THE COURT OF COMMON PLEAS OF CARBON COUNTY,

PENNSYLVANIA

ORPHANS' COURT DIVISION

AFFIDAVIT OF SEARCH

(To be filed if parents' whereabouts are unknown)

IN RE: Adoption of : No.

I hereby certify that I have made the following efforts to locate the parent(s):

1. Searched file for addresses (Children and Youth Services).

2. Contacted or searched (check those that are applicable):

Known relatives and friends

Phone Book

Post Office

Prisons, State and Local

Clerk of Courts

CHRI

3. Publication

I verify that the statements herein are true and correct and subject to the penalties of 18 Pa.C.S. §4904 relating to unsworn falsification to authorities.

Rule 15.4.3. Form of Decree Nisi and Final Decree

IN THE COURT OF COMMON PLEAS OF CARBON COUNTY,

PENNSYLVANIA

ORPHANS' COURT DIVISION

IN RE: Adoption of : No.

: Docket Page

: Filing Fee

(Adoptee's name as on birth certificate)

Attorney

DECREE NISI

(Involuntary Termination of Parental Rights)

AND, NOW, this day of , , after review of the record and after an evidentiary hearing following due notice, the Court makes the following findings and judicial determinations:

1. Petitioner(s) has/have established a legal basis for terminating the parental rights of , hereinafter referred to as Respondent(s).

2. The following subsection(s) of 23 Pa.C.S.A Section 2511 establish the basis for terminating the parental rights of Respondent(s).

Check the applicable subsections:

a. The parent(s) by conduct continuing for a period of at least six months immediately preceding the filing of the Petition either has evidenced a settled purpose of relinquishing parental claim to a child or has refused or failed to perform parental duties.

b. The repeated and continued incapacity, abuse, neglect or refusal of the parent(s) has caused the child to be without essential parental care, control or subsistence necessary for his physical or mental well-being, and the conditions and causes of the incapability, abuse, neglect or refusal cannot or will not be remedied by the parent(s).

c. The parent is the presumptive but not the natural father of the child.

d. The child is in the custody of an agency, having been found under such circumstances that the identity or whereabouts of the parent(s) is/are unknown and cannot be ascertained by diligent search, and the parent(s) does/do not claim the child within three months after the child is found.

e. The child has been removed from the care of the parent(s) by the Court or under a voluntary agreement with an agency for a period of at least six (6) months, the conditions which led to the removal or placement of the child continue to exist, the parent(s) cannot or will not remedy those conditions within a reasonable period of time, the service or assistance reasonably available to the parent(s) are not likely to remedy the condition which led to the removal or placement of the child within a reasonable period of time and termination of the parental rights would best serve the needs and welfare of the child.

f. In the case of a newborn child, the parent knows or has reason to know of the child's birth, does not reside with the child, has not married the child's other parent, has failed for a period of four months immediately preceding the filing of the Petition to make reasonable efforts to maintain substantial and continuing contact with the child and has failed during the same four-month period to provide substantial financial support for the child.

g. The parent is the father of a child who was conceived as a result of a rape.

3. The decision of the Court is based on the following findings of fact:

4. It is hereby Ordered, Adjudged and Decreed that the parental rights of the above-mentioned Respondent(s) to adoptee are forever terminated.

5. The adoption of ADOPTEE may continue without further notice to or consent of the above-mentioned Respondent(s).

6. The custody of ADOPTEE is hereby transferred to

a. the adopting parent(s)

b. an approved Agency and such Agency is hereby authorized to give consent to the adoption of ADOPTEE.

7. Unless exceptions are filed with the Clerk of the Orphans' Court within ten (10) days after the entry of this decree, the decree will be made final.

BY THE COURT:

IN THE COURT OF COMMON PLEAS OF CARBON COUNTY,

PENNSYLVANIA

ORPHANS’ COURT DIVISION

IN RE: ADOPTION OF : No.

FINAL DECREE

AND NOW, this day of , , whereas a Decree Nisi was entered in the within matter, and [no exceptions having been filed] or [exceptions having been filed thereto, and after hearing, the said exceptions are hereby dismissed], it is hereby ORDERED and DECREED that a final decree be entered and that all parental rights and duties of are terminated forever. The adoption of the said child may be decreed without further consent of or notice to the aforesaid parent.

In accordance with 23 Pa.C.S.A. §2905(d), said parent is advised of the continuing right to place and update personal and medical history information, whether or not the medical condition is in existence or discoverable at this time, on file with the Court and with the Department of Welfare.

BY THE COURT:

THE COURT OF COMMON PLEAS OF CARBON COUNTY, PENNSYLVANIA

ORPHANS’ COURT DIVISION

IN RE: ADOPTION OF : No.

NOTICE OF RIGHT OF APPEAL

A Final Decree has been entered in the above-captioned matter, permanently terminating your parental rights and obligations with regard to the following child or children:

The adoption of said child or children may proceed without your further consent or notice.

You are hereby advised of your right to take an appeal from the Final Decree. Pursuant to Pa.R.A.P. 903, notice of appeal must be filed within thirty (30) days after the entry of the Final Decree.

Rule 15.5(a)(1). Petition.

A petition for adoption under Section 401 of the Adoption Act shall require the payment of twenty-five $25.00 dollars upon the filing of the Petition to cover the cost of the transcript for preservation of the record.

Effective April 17, 2001

Rule 15.5(c). Adoption.

(c) Investigation

Intra-Family Adoptions. If no Report of Intention to Adopt is required by 23 Pa. C.S.A. § 2531, prior to hearing on the Petition for Adoption, Petitioner shall obtain and file with the Court with respect to each prospective adoptive parent and any individual over 18 years of age residing in the home (excluding a biological parent whose parental rights have not been previously terminated), the information described and identified in 23 Pa.C.S.A. §6344(b).

Effective March 1, 2012

Rule 15.8.1. Registration with the Court of Authorized Persons.

Any agency licensed by the Department of Public Welfare which proposes to accept custody of any child for purposes of relinquishment or adoption under these Rules, shall file with the Clerk a copy of the resolution, certified by the secretary of the agency, setting forth the names and titles of all persons authorized to act or testify on behalf of the Agency in any proceeding before the court.

[Pa.B. Doc. No. . Filed for public inspection

Effective February 8, 2000

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ACCOUNTS AND DISTRIBUTION

Signature on pleadings

3.4.1

AUDITORS AND MASTERS

AUDITS (see Accounts and Distribution, supra)

BRIEFS

Form of

1.2.3

BUSINESS OF COURTS

CHARITIES

Notice to the Attorney General, when required

5.5.1

DEPOSITORY OF THE COURT

Deposit of money or securities

1.2.5

EXAMINERS, OFFICIAL

Proof of service

7.1.2

Time for filing

7.1.2

FAMILY EXEMPTION

FAMILY SETTLEMENT AGREEMENT

Contents of

6.1.1

In lieu of audit and confirmation of account

6.1.1

Official examiner

9.1.2

FILING OF PAPERS

Adoption

GUARDIANS

INCAPACITATED PERSONS

REGISTER OF WILLS

Exceptions

7. 1.2