Rule 607 Service of Inventory

This rule addresses service of an inventory in a trust case. Rule 112 addresses other requirements for inventories. APPENDIX A. ESTATES OF DECEDENTS DYING PRIOR TO JANUARY 1, 1981 Estates of decedents dying prior to January 1, 1981 are governed by D.C. Code §§ 18-501 to -514 (1973) and not current law governing administration of decedents’ estates. Statutory references in the rules in this appendix are to statutory provisions of the 1973 edition of the D.C. Code. The rules in Chapter 1 govern to the extent that they are not inconsistent with the relevant statutory provisions and the rules in this appendix. Rule A-1. Petition for Probate and Administration

(a) CONTENTS. A petition for probate of a will and for letters testamentary or for letters of administration must be in typewriting, double spaced, and must be verified by the petitioner. The petitioner must set forth:

(1) the residence, citizenship and freedom from legal disability of the proposed executor or administrator;

(2) by what right the petitioner makes application; and, if the application is not for the petitioner’s appointment, by what right the proposed executor or administrator may be appointed;

(3) the date of death of the decedent;

(4) the decedent’s last domicile;

(5) whether the decedent died testate or intestate;

(6) the name, address and relationship to the decedent of each heir at law and next of kin and whether any of them is under any legal disability, the name and address of the guardian, conservator, committee or custodian of any such person who is under a legal disability, and, if any such heir at law and next of kin is an infant, the date of birth, and the name of the custodian of any who is under 16 years of age;

(7) the character, location and estimated value of the decedent’s real and personal estate (including any real estate situation in the District of Columbia and owned jointly by the decedent with another);

(8) the debts of the decedent;

(9) the estimated amount of the cost of the decedent’s funeral and related expenses; and

(10) the estimated amount, if any, of District of Columbia inheritance and estate taxes.

(b) SPECIAL UNDERTAKING. No special undertaking may be granted unless prayed for in the petition.

(c) NOTICE TO LEGATEES. No order granting probate may be entered, in the absence of consent or waiver of notice, until proof, as provided herein, has been filed with the court to the effect that there has been mailed postpaid to each legatee and devisee, at the last known address of each legatee and devisee a notice showing the title of the court, the name of the testator, the amount or nature of the legacy or devise and the name and address of the petitioner or the petitioner’s attorney. The proof of service of said notice must be by affidavit of the petitioner or the petitioner’s attorney containing the substance of said notice or attaching a copy thereof. If any legatee or devisee is known by the affiant to be under any legal disability, the notice must be directed to said person in care of the guardian, conservator, committee or custodian of said person. If any legatee or devisee is unknown or if the address of said person is unknown, the aforesaid affidavit must recite that fact and the efforts made to ascertain same and the mailing of said notice to said person will not be required. Rule A-2. Notice of Petition for Probate In the absence of consent or waivers of notice, notice of the filing of a petition for probate must, in accordance with D.C. Code §§ 18-501 to -503, be directed to the heirs at law and next of kin of the decedent in the following manner:

(a) NOTICE BY CITATION.

(1) When any heir at law and next of kin is a resident of the District of Columbia, the Register of Wills, on request of the petitioner or the petitioner’s attorney must issue a citation directed to such heir at law and next of kin in accordance with D.C. Code § 18-501(b).

(2) When any heir at law and next of kin is a nonresident of the District of Columbia or is a resident of the District of Columbia as to whom citation has been returned “not to be found,” notice may be given to such person in accordance with D.C. Code § 18-502(a) or in accordance with Rule A-2(b).

(b) NOTICE BY PUBLICATION. When it is alleged in the petition for probate or other affidavit that any heir at law and next of kin is unknown, is a non-resident of the District of Columbia, or is a resident of the District of Columbia as to whom citation has been returned “not to be found,” notice may be effected with respect to such person, on written request of petitioner or the petitioner’s attorney, by publication in accordance with D.C. Code §§ 18-502(b) and -503(a).

(c) MAILING AND PROOF. No order granting probate may be entered unless petitioner or the petitioner’s attorney has filed an affidavit showing:

(1) that at least 20 days before the expiration of the period stated in the publication affiant mailed, postpaid, a copy of said notice directed to each person named therein, at such person’s last known address; or that if said mailing was less than 20 days before the expiration of the period stated in the publication, the person named therein was notified that any objections to the granting of said order must be filed within 20 days from the date of said mailing; or that affiant has been unable to ascertain the address of any person named therein after diligent effort; and

(2) that, if unknown heirs at law and next of kin are mentioned in said notice, the affiant has not learned of the existence of any heirs at law and next of kin who were unknown at the time of such publication. Rule A-3. Notice of Petition for Administration Upon the filing of a petition for letters of administration, the court may direct the issuance of a citation to any heir at law and next of kin, if within the District of Columbia, to appear on a day named and show cause why such letters should not be granted, and if it appears that any heir at law and next of kin cannot be found within the District of Columbia, or is unknown, the court may direct notice to said person by publication as provided in these rules, or otherwise. Rule A-4. Collectors: Certain Persons Not to Be Appointed Neither the party filing a complaint to contest the validity of a will nor said party’s attorney may be appointed collector of an estate pending the trial of the proceedings, except:

(a) with the approval of the court and the written consent of all the defendants named in the complaint; or

(b) whereby reason of peculiar circumstances, it is deemed appropriate by the court. Rule A-5. Proceedings in Contested Estate Cases

(a) COMMENCEMENT OF ACTION. An action to (i) contest the validity of a will in accordance with D.C. Code § 18-513, (ii) contest a petition for the appointment of an administrator or executor or to remove an administrator or executor who has been appointed, (iii) institute a plenary proceeding in accordance with D.C. Code § 18-512, or (iv) construe a will prior to approval of the personal representative’s final account, may be commenced by any party in interest by filing a verified complaint with the Register of Wills. Except as hereinafter provided the proceedings are governed by the Superior Court Rules of Civil Procedure.

(b) SUMMONS. The Register of Wills must issue a summons upon the request of the plaintiff in the action. In an action brought in accordance with this rule, the summons must be directed to each heir at law and next of kin of the deceased, to the proponents of the will and to all legatees and devisees named in wills of the decedent filed in the Office of the Register of Wills.

(c) SUBSTITUTED PERSONAL SERVICE; PUBLICATION. If any party summoned is a nonresident of the District of Columbia, or is a resident of the District of Columbia as to whom the summons has been returned “not to be found,” or is an unknown heir at law and next of kin of the decedent, service may be made upon said party by publication once a week for 3 successive weeks in accordance with D.C. Code §§ 13-339 and -340. Substituted personal service may be made on a nonresident party out of the District of Columbia in accordance with D.C. Code § 13-337.

(d) SCHEDULING AND SETTLEMENT CONFERENCE. Within 120 days after a complaint has been filed, the court must conduct an initial scheduling and settlement conference. Rule A-6. Registration and Appraisal of Securities

(a) REGISTRATION. Unless the will of a decedent provides otherwise, the personal representative of a decedent’s estate must, as soon as practicable after qualification, register all securities owned by the decedent (except, in the discretion of the personal representative, securities registered in the name of the decedent) in the name of the personal representative, as such, and must bring all securities under the control of the personal representative. If the personal representative or the custodial agent of the personal representative is a bank chartered under the laws of the United States or the District of Columbia, the securities may be registered in the name of its nominee or kept in bearer form, but such registration does not relieve the personal representative of responsibility for the safekeeping of the securities. This rule is applicable to the administrations of all decedents’ estates commenced in this court on or after August 1, 1973, except those proceedings instituted in accordance with D.C. Code § 20-304.

(b) EXCEPTION. For good cause, and upon such terms and conditions as it may direct, the court may permit a personal representative to hold securities otherwise than as required by Rule A-6(a).

(c) APPRAISAL. Within 2 months after qualification, or such longer time as the court allows, the personal representative of a decedent’s estate must furnish to the court-appointed appraisers a written listing of all securities owned by the decedent, together with a statement that the personal representative has complied with Rule A-6(a) or has obtained or applied for an order in accordance with Rule A-6(b). The appraisers must thereafter value said securities as of the date of the decedent’s death in accordance with principles set forth in the Federal Estate Tax Regulations governing the valuation of securities for federal estate tax purposes. Rule A-7. Sale of Personal Property Sales of personal property under order of the Probate Division must be upon such terms and conditions as may be prescribed in the order of sale. Rule A-8. Proceedings for the Sale of Real Property

(a) PETITION. A proceeding for the sale of real property of a decedent for the payment of charges or legacies, as set forth in D.C. Code § 20-1106, is commenced by the filing of a petition which must set forth (i) the real property sought to be sold; (ii) the estimated value of the personal property; (iii) the amount of the charges and legacies, if any; (iv) the insufficiency of the personal property to satisfy said charges and legacies; and, (v) where applicable, the name and address of each heir at law and next of kin, legatee, and devisee.

(b) PROCESS. Except as to parties who have filed consents therein, process must issue in proceedings under this rule in accordance with D.C. Code §§ 13-337 to -340.

(c) REFERENCE TO AUDITOR-MASTER. After service of process has been completed and the time for answer has expired, the proceedings must be referred to the Auditor-Master for a report in accordance with D.C. Code § 20-1106. The procedure prescribed by Civil Rule 53(f) for the filing of objections to the report of the Auditor- Master may be waived in writing if such waiver is signed by all persons who have received notice of the filing of the report.

(d) SALE WITHOUT REFERENCE TO AUDITOR-MASTER. When all parties described in Rule A-8(a) have filed with the court their consents to the sale, the court may order the sale of all or part of said real property without reference to the Auditor- Master if it is satisfied that the personal property of the decedent is insufficient to meet all charges or legacies and that all or part of the decedent’s real property must be sold to pay charges or legacies. If a person having an interest in said real property is under a legal disability, the court may accept the consent of a fiduciary duly appointed for said person’s estate or may appoint a guardian ad litem having the right to file a consent on behalf of that person.

(e) MANNER OF SALE. A sale authorized pursuant to this rule must be made in accordance with Rule B-10. Rule A-9. Accounts of Administrators, Executors and Collectors

(a) NOTICE OF FILING. No account may be approved by the court, in the absence of a consent or waiver of notice, until the personal representative or the personal representative’s attorney has furnished notice to each person whose interest may be affected by the attorneys’ fees and personal representatives’ commissions claimed in said account. Such notice must state the amounts of such fees and commissions so claimed and the date said account will be presented for approval to the court. Said notice must be given after the filing of said account. It must be served upon each such person or sent by certified mail to each such person’s last known address. Said notice must be served upon residents of the District of Columbia at least 5 days prior to the date said account is to be presented to the court for approval and upon nonresidents at least 20 days prior to such date; 3 additional days is required in the event of mailing said notice.

(b) PROOF OF NOTICE. Proof of service must be by an affidavit or declaration which sets forth the name and address of each person to whom notice was given, and, if mailed, the date of mailing. The affidavit or declaration must be supported by a specimen copy of the notice prescribed by Rule A-9(a) and, in the case of mailing, the certified letter receipt.

(c) TAX CERTIFICATE. Except in cases in which a return is not required to be filed by the personal representative, no final account may be approved by the court until the personal representative has filed with the Register of Wills a certificate of the District of Columbia Department of Tax and Revenue certifying that the District of Columbia inheritance and estate tax liability of the estate has been satisfied or fully provided for.

(d) ACCOUNT; APPROVAL WITHOUT FORMAL AUDIT. An account of a personal representative may be approved without formal audit if all persons whose interests will be diminished by the disbursements shown (distributees, legatees or creditors) are under no legal disability, acknowledge receipt of a copy of the account, and consent to and approve such account in all respects, as stated, and further consent to and approve the attorneys’ fees and commissions of the personal representative as claimed in such account. The form of such consent may be as follows: CONSENT I, the undersigned distributee, legatee or creditor affected by the disbursements shown in the personal representative’s account, hereby:

(1) acknowledge receipt of a copy of the account;

(2) consent to and approve the account in all respects as stated;

(3) consent to and approve the personal representative’s commission claimed in the account;

(4) consent to and approve the attorneys’ fees claimed in the account; and

(5) request approval of the account at the earliest possible date. IN TESTIMONY WHEREOF, I have signed my name and affixed my seal this ......... day of ............, 20..... .........................(SEAL) WITNESS: ................... In addition, the attorney for the estate must submit a certificate to the court showing that the funeral bill has been paid, and that all approved claims and all known debts of decedent have been paid. There must also be filed the usual certificate of payment of taxes from the District of Columbia Department of Finance and Revenue and vouchers evidencing payment of all disbursements claimed in the account. Upon compliance with the foregoing requirements, the Register of Wills may, in the exercise of the Register of Wills’s discretion, submit the account to the court for approval without formal audit. After approval by the court, receipts acknowledging final distribution must be filed promptly.

(e) ANCILLARY ACCOUNTS. The provisions of Rule A-9(d) also apply to approval of accounts in ancillary proceedings, without formal audit, except that the consent therein required may be executed only by the domiciliary personal representative, if the domiciliary personal representative is not one and the same as the ancillary personal representative. In absence of such consent, or if the 2 personal representatives are one and the same, notice of presentation of the ancillary personal representative’s account and commission and attorney’s fees must be given in accordance with Rule A-9(b).

(f) FEES AND COMMISSIONS. Prior to the court approval of a 1st or subsequent account, wherein a total attorney’s fee or commission of the personal representative exceeds the sum of $7,500 in the 1st account or combined accounts, the party or parties whose fee or commission exceeds the sum of $7,500 must file a complete statement of services rendered to the estate. In cases where fees or commissions of less than $7,500 are requested, a statement of services may be required in the discretion of the court.

(g) REOPENING. If an account is approved by the court without notice to interested parties required by Rule A-9(a), such account may be reopened upon objections thereto filed by any interested party within 3 months after it is so approved. Rule A-10. Exhibition of Assets

(a) VERIFICATION OF ASSETS. If financial accounts are reported in an account, a separate form maintained by the Register of Wills must be filed with the account including complete account numbers. At the time of audit of an account the fiduciary must:

(1) exhibit all checking account bank statements and cancelled checks or vouchers evidencing cash transactions during the accounting period;

(2) exhibit all passbooks, ledger sheets, statements or similar documents issued by a bank, trust company, savings and loan association, brokerage firm, or similar institution, reflecting the assets of the estate on deposit or on account therein, and evidencing the transactions in such assets during the accounting period;

(3) file written verification by the depository of cash balances on deposit therein and of all other assets carried in the account as of closing date of the accounting period where otherwise not verified in accordance with Rule A-10(a)(1)-(2); and

(4) exhibit certificates or other statement of account of a custodian other than the personal representative evidencing ownership of all securities held for future accounting. In those fiduciary cases in which a bank is acting as fiduciary, in lieu of exhibiting certificates, the bank may submit an affidavit executed by an officer of the bank, other than the officer signing the account, verifying the correctness of the securities and cash accounts held for future accounting and the bank’s custody thereof.

(b) REPORT. When an interim account indicates that the fiduciary holds any undistributed assets, there must be appended thereto a report, stating with detailed particularity each such asset and its inventoried value. Rule A-11. Assignments When a party who claims to have a right to share as an heir or legatee of a deceased person assigns all or part of such right, the assignee must promptly file the assignment in the administration proceeding. Any further proceedings to protect or enforce the assignment, or any claim based thereon, must be prosecuted or presented in the name of the assignee and not in the name of the assignor. Said assignment must be sworn to or acknowledged before an official authorized to administer oaths. Unless approved by order of this court, counsel for the assignee must not appear for or represent the assignor. Rule A-12. Compensation to Attorneys and Fiduciaries Claims for attorneys’ fees and fiduciary commissions in proceedings governed by these rules must be made and allowed in accordance with D.C. Code § 20-1705 and in accordance with such of the provisions of Rule A-9(f) as may be applicable. Rule A-13. Definitions Unless otherwise specifically stated in these rules or unless the context otherwise requires, the following definitions govern Rules A-1 through A-12:

(a) The term “Register of Wills” means and includes the Register of Wills or any deputy designated by the Register of Wills.

(b) Any word may be read in the singular or plural and as masculine, feminine or neuter gender as may be applicable or permissible in the particular context.

(c) The word “person” means and includes an individual, partnership, association, company or corporation.

(d) The term “personal representative” means and includes “executor,” “administrator” or “collector.”

(e) The present tense includes the future as well as the present. APPENDIX B. ESTATES OF DECEDENTS DYING ON OR AFTER JANUARY 1, 1981 THROUGH JUNE 30, 1995 Estates of decedents dying on or after January 1, 1981 and before July 1, 1995 are generally governed by the provisions of the District of Columbia Probate Reform Act of 1980, which can be found in the 1981 edition of the D.C. Code. D.C. Code citations in this appendix note where the 1981 version may control. (Any D.C. Code citations without a year refer to current law.) However, the statutory history of each section of Title 20 of the D.C. Code should be reviewed to determine whether the section was changed by any subsequent legislation, including the Probate Reform Act of 1994, and the applicability date of the changes. The rules in Chapter 1 govern to the extent that they are not inconsistent with the relevant statutory provisions and the rules in this appendix. Rule B-1. Petition for Probate The petition for probate must be typed and filed in compliance with D.C. Code §§ 20-304 and -352 on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form. When the form provides alternatives, the inappropriate alternatives must be deleted. Rule B-2. Notice; Filing Requirements and Procedures

(a) STANDARD PROBATE.

(1) Form of Notice. The notice required for standard probate must be on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form.

(2) Filing of Notice. Any person entitled to request standard probate must present to the Register of Wills an original of the form in Rule B-2(a)(1). The Register of Wills must forthwith forward copies thereof to the designated newspapers in accordance with D.C. Code § 20-323.

(3) Within 14 days from the date of first publication, the person seeking standard probate must mail a copy of the notice to all interested persons by certified or registered mail, return receipt requested, with delivery restricted to the addressee only.

(4) The person seeking standard probate or such person’s representative must file proofs of publication and a verified statement evidencing that a copy of the notice was timely mailed to all interested persons. If, after diligent effort, the person seeking standard probate has been unable to ascertain the address of any interested person, that fact must be made known in the verified statement filed. If unknown heirs at law are interested persons, the current status of their identity and/or whereabouts must be alleged in the verified statement.

(5) In lieu of the notice prescribed by this rule, proof of actual notice or personal service will suffice.

(b) NOTICE OF APPOINTMENT (ABBREVIATED AND STANDARD PROBATE).

(1) The petitioner must file, at the time of filing the petition for probate, an original of the notice of appointment on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form, signed by each person seeking appointment and completed to the extent possible (excluding the date of first publication and the deadline for filing objections and claims). Upon appointment of the personal representative, the Register of Wills must complete the publication form and forward copies to the designated newspapers for publication.

(2) No later than 20 days after appointment, the personal representative must send by certified or registered mail to all heirs and legatees copies of the text of the Notice of Appointment, Notice to Creditors and Notice to Unknown Heirs, and the general information statement on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form, unless the Notice of Appointment has already been given. The personal representative must file with the Register of Wills at the time of filing the inventory and appraisal proofs of publication and a certification specifying the date of mailing and the persons to whom mailed.

(3) When discovery of a new or later will necessitates republication under D.C. Code § 20-704(c) (1981), the personal representative must file with the Register of Wills a notice of appointment or reappointment, typed or electronically printed on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form. The Register of Wills must promptly forward copies of the completed form to the designated newspapers for publication. Rule B-3. Bond

(a) NOMINAL BOND. If the will of the decedent excuses the filing of a bond, or if all interested persons file written waivers to the filing of a bond, the personal representative must, nevertheless, file a nominal bond pursuant to D.C. Code § 20-502 (1981) at the time of the filing of the petition for probate, on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form.

(b) GENERAL BOND. If the will of the decedent does not excuse the filing of a bond, and if all interested persons do not file written waivers to the filing of a bond pursuant to D.C. Code § 20-502 (1981), a bond must be filed at the time of the filing of the petition for probate, on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form. Rule B-4. Special Administrators All the powers and duties applicable to personal representatives are applicable to special administrators, except as otherwise provided by statute or court rule. Rule B-5. Proceedings in Contested Estate Cases

(a) TYPE OF PROCEEDING.

(1) When Required. The following actions are commenced by filing a verified complaint:

(A) an action to contest the validity of a will in accordance with D.C. Code § 20-305 (1981); or

(B) an action for payment of a claim that was denied in whole or in part in accordance with D.C. Code § 20-908.

(2) By Court Order. Unless a statute provides otherwise, on request of an interested person or on its own initiative, the court may order that a petition be treated as a complaint commencing a contested proceeding or that a complaint be filed.

(b) APPLYING CIVIL RULES.

(1) In General. Except as modified in Rule B-5(b)(2)-(3) or as otherwise ordered by the court, the Superior Court Rules of Civil Procedure apply to a contested proceeding commenced by a complaint under Rule B-5(a)(1) or (2).

(2) Summons. Together with the complaint, the plaintiff must complete and file a summons for each defendant on the form maintained by the Register of Wills. On filing of the complaint and summons, the clerk must issue the summons and an initial order to be served with the complaint in accordance with the civil rules.

(3) Initial Scheduling and Settlement Conference. The court must schedule an initial scheduling and settlement conference to be held within 120 days after the complaint is filed.

(c) REQUIRED DEFENDANTS.

(1) Complaint to Contest Validity of Will. In a complaint to contest the validity of a will, the defendants must include:

(A) all interested persons, excluding creditors; and

(B) all persons needed for just adjudication under Civil Rule 19.

(2) Any Other Complaint. In any other complaint, the defendants must include:

(A) the personal representative; and

(B) any other persons needed for just adjudication under Civil Rule 19.

(d) NOTICE TO CREDITORS. In a proceeding to contest the validity of a will, the plaintiff must give notice under D.C. Code § 20-103 (1981) to creditors who are interested persons and must prove service of the notice by certificate of service. A plenary proceeding provided for in D.C. Code § 16-3105 is a process that existed largely for decedent’s estate administration pursuant to now-repealed statutes, and it is no longer used in current practice. Relief formerly requested in a plenary proceeding may be requested in a petition, which, if appropriate, may be treated as a complaint commencing a contested proceeding. Rule B-6. Distributions to Minors

(a) PETITIONS. In all cases where the personal representative is required to distribute estate assets to a minor for whom no guardian has been appointed, or to a minor in accordance with the provisions of a decedent’s will, where the will provides for distribution to a person other than the court-appointed guardian, the personal representative must request authority from the court by verified petition which sets forth the following information:

(1) The name, residence and date of birth of each minor for whom authority to distribute is sought, as well as the basis for the minor’s entitlement to share in the estate.

(2) The total value of the estate assets to be distributed to each minor.

(3) The method of distribution proposed. State if under D.C. Code § 20-1106(a)(2) or

(b) (1981), and the basis for electing this method.

(4) If authority is requested under D.C. Code § 20-1106(b)(1), (4), or (5) (1981), to distribute to a custodian on behalf of a minor, provide:

(A) the name, place of residence and relationship to the minor of the person proposed as custodian;

(B) the consent of the minor if the minor is 14 years of age or older, to the appointment of the proposed custodian; and (C)the consent of the proposed custodian to act as custodian and hold the assets on behalf of the minor.

(5) If authority is requested under D.C. Code § 20-1106(b)(3) (1981) to distribute estate assets under the Uniform Transfers to Minors Act, in addition to Rule B-6(a)(1) - (4), provide facts to show:

(A) the transfer is in the best interests of the minor (D.C. Code § 21-306(c)(1));

(B) the transfer is not prohibited by or inconsistent with the provisions of the will (D.C. Code § 21-306(c)(2)); and (C)the personal representative will effect the transfer in accordance with D.C. Code § 21-309, and in particular, where the custodial property is money, by payment or delivery to the broker or the financial institution for credit in the custodial account.

(6) If authority is requested under D.C. Code § 20-1106(b)(2) (1981), to establish a restricted account, provide the name and location of the financial institution.

(b) RECEIPT. The personal representative must file within 30 days after the entry of the court order approving the distribution of estate assets on behalf of a minor, proof of the distribution approved by the court as follows:

(1) if distribution is made under D.C. Code § 20-1106(a)(2) or (b)(1), (3), (4), or (5) (1981), a receipt signed by the custodian, and in the case of a financial institution or broker, documentation evidencing the transaction; or

(2) if distribution is made under D.C. Code § 20-1106(b)(2) (1981), documentation evidencing the establishment of a restricted account. The court may extend the time for filing a receipt upon the showing of good cause. Subsection (a)(3). Where the personal representative petitions for authority to distribute estate assets to a minor under D.C. Code § 20-1106(a)(2) or (b) (1981), the fiduciary must be aware of the following characteristics unique to each method of distribution in order to set forth the basis for the selection of the method proposed, i.e., court-supervised vs. unsupervised arrangement, custodial distribution vs. non-custodial distribution, and accessible assets vs. non-accessible assets: Distributions of money or property with a value of $ 1,000 or less (D.C. Code § 20-1106(b)(1) (1981)) and distributions of tangibles (D.C. Code § 20-1106(b)(4) (1981)). Distributions may be made to a custodian of the minor designated by the court, and if tangibles are valued in excess of $1,000, the court may impose such conditions as it deems appropriate. The arrangement is unsupervised. If the tangible personal property is of significant value, distribution under the Uniform Transfers to Minors Act (see below) should be considered. It will provide more safeguards, as the custodian will be subject to statutory fiduciary standards of care. Distribution of money to a restricted bank account (D.C. Code § 20-1106(b)(2) (1981)). The court must approve the bank, the account is held in the name of the minor, there is no ongoing supervision of the arrangements, and the money may be withdrawn only upon court approval. Restricted accounts appear appropriate for small sums of money where there may be no need to invade the principal to meet the needs of the child. It is advisable if the restricted account is the selected method of distribution (i) to arrange for the bank statements to be forwarded to the minor in whose name the account is established, regardless of age, so that the minor will remain informed, and to the parent of the minor or the custodian of the minor; and (ii) to consult the financial institution to verify that restricted accounts are permissible. Distributions under the Uniform Transfers to Minors Act (D.C. Code § 20-1106(b)(3) (1981)). The estate assets are held by a court-designated custodian on behalf of the minor in an unsupervised arrangement. Expenditures and investments may be made without court authority on behalf of the minor. The designated custodian under this act is accountable as a fiduciary under D.C. Code §§ 21-312 and -313. In this regard, care in the selection of the custodian is important because of the foregoing standards imposed. Distributions of real estate to a custodian designated by the court (D.C. Code § 20-1106(b)(5) (1981)). Distribution is made in the name of the minor to a custodian designated by the court. Although it is an unsupervised arrangement, the property may be sold only with court approval. Court-appointed guardians (D.C. Code § 21-106). This is a supervised arrangement where the guardian serves under bond and files annual accountings. Court costs are assessed based on the estate value, and the guardian is responsible for annual bond premiums. The guardian must petition for authority to expend and invest estate assets on behalf of the minor. If small sums of money are involved, the guardianship of the estate of the minor may not be cost effective because of bond premium costs and the need to file petitions for court authority to make expenditures. Restricted accounts may be preferable. If significant assets are involved, one may wish to consider whether the minor’s interest would be better served by the selection of a financial institution as the guardian, as opposed to an individual, in light of bond premium costs, since a financial institution may not be required to execute a bond if authorized under D.C. law to act as a fiduciary. Rule B-7. Inventory and Appraisals

(a) USE OF APPRAISERS. Unless the personal representative is excused from filing an inventory pursuant to D.C. Code § 20-731 (1981), the Register of Wills, upon the granting of letters of administration, must issue a directive to the personal representative, requiring the personal representative to make an appointment with the standing appraisers or arrange for the use of special appraisers in preparation for the filing of an inventory.

(b) VALUATION OF REAL ESTATE. The personal representative may inventory real property at the value placed thereon by the District of Columbia Department of Tax and Revenue for purposes of assessment and taxation for the fiscal year in which the decedent died. If the personal representative determines that any real property should be independently appraised, the fair market value must be determined by an appraiser who is selected by the personal representative and who is licensed by the District of Columbia.

(c) VALUATION OF SECURITIES. Appraisal of securities must be made as of the date of decedent’s death in accordance with principles set forth in federal estate tax regulations governing the valuation of securities for federal estate tax purposes.

(d) SPECIAL APPRAISERS. The personal representative must select qualified special appraisers to appraise a decedent’s interests in joint ventures, partnerships, business enterprises, cooperative apartments, coins and stamps and any other assets as to which the Register of Wills has informed the personal representative that the standing appraisers do not ordinarily appraise. In addition, the court may approve the use of qualified special appraisers to appraise any other assets that the standing appraisers do not ordinarily appraise, for which they cannot provide an expeditious appraisal or for other good cause shown.

(e) INVENTORY FORM. The inventory must be typed or electronically printed on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form. The inventory must comply with the general Probate Division rule governing privacy requirements and must be accompanied by the form for reporting complete account numbers required by that rule.

(f) NOTICE OF FILING. The notice prescribed by D.C. Code § 20-711(b) (1981), which may be mailed or delivered to all interested persons in lieu of a copy of the inventory, must be on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form. Rule B-8. Claims Against Estate

(a) PETITION. Petitions for payment of claims prescribed by D.C. Code § 20-909(a)

(1981) must be on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form.

(b) RESPONSE TO PETITION. The personal representative must file and serve the claimant with a response to the petition no later than 14 days after the petition was mailed or delivered. Rule B-9. Action on Claims

(a) NOTICE OF ACTION. Notice of action taken by the personal representative, pursuant to D.C. Code § 20-908(a), must be on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form.

(b) SERVICE OF NOTICE OF ACTION. Notice given pursuant to D.C. Code § 20-908(a) and this rule must be signed by the personal representative, and will be deemed to have been mailed or delivered by the personal representative if mailed or delivered either by the personal representative or an agent of the personal representative. Rule B-10. Sale of Estate Assets

(a) PERSONAL PROPERTY. Sales of personal property when made pursuant to an order of court must be upon such terms and conditions as may be prescribed in the order.

(b) REAL PROPERTY IN THE DISTRICT OF COLUMBIA. When acting upon real property in accordance with D.C. Code § 20-742(b) (1981), the personal representative must file a petition explaining the type of transaction (such as sale, lease, or other) and certifying that the bond has been expanded by an amount equal to the fair market value of the real estate as appraised, or that the bond has been waived. Upon the filing of the petition, the court must enter an order confirming the bond. Unless the bond is waived, the personal representative must obtain and file with the Register of Wills an appraisal report by an appraiser who is selected by the personal representative and who is licensed by the District of Columbia.

(c) SALE OF REAL PROPERTY FOR PURPOSES OF DISTRIBUTION. Sales of real property made pursuant to D.C. Code § 20-1105 must conform to Rule B-10(b). If the petition referenced in section (b) is filed accompanied by written consents of all interested persons, the court will immediately act on the petition, otherwise the petition will be held by the Register of Wills until expiration of the time for response. Rule B-11. Accounts of Personal Representative

(a) REQUIREMENT TO ACCOUNT.

(1) Preparation. D.C. Code § 20-721 (1981) requires a personal representative to prepare verified written accounts of the administration of the estate.

(2) Filing. Unless excused pursuant to D.C. Code § 20-731 (1981), all personal representatives must file accounts in accordance with the provisions of D.C. Code §§ 20-721 to -724 (1981).

(b) FORM OF ACCOUNT. The first accounting period of the estate must begin at the date of death of the decedent. All accounts must be typed or electronically printed on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form. The accounts must comply with Rule 109 governing privacy requirements and must be accompanied by the form for reporting complete account numbers required by that rule.

(c) TAX CERTIFICATION. All final accounts in estates of decedents dying after March 31, 1987 must contain a certification in a form prescribed by the court that the personal representative is or is not required to file a federal estate tax return and, if a federal estate tax return is required, a further certification that the District of Columbia estate transfer tax, including applicable interest, has been paid in full or that no such tax is due. The Uniform Fiduciary Accounting Principles and accompanying commentaries and illustrations recommended by the Committee on National Fiduciary Accounting Standards in collaboration with the National Center for State Courts are approved as an elaboration of the requirements of this rule. Reference may be made to them for determination of the adequacy of a particular account. The Model Account Formats attached thereto together with the certification applicable to final accounts of estates of decedents dying after March 31, 1987 are deemed consistent with the prescribed forms. Rule B-12. Waiver of Filing Inventories and Accounts by All Personal Representatives

(a) FORM OF WAIVER. A waiver of filing inventories and accounts by all personal representatives pursuant to D.C. Code § 20-731 (1981) must be on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form.

(b) INTERPRETATION OF “HEIR OR LEGATEE.” For purposes of D.C. Code § 20-731(a) (1981), an “heir or legatee” refers to intestate or testate cases, as appropriate. Waivers by heirs are not required in a testate case. Rule B-13. Notice of Filing of Account

(a) FORM OF NOTICE. The notice prescribed by D.C. Code § 20-721 (1981), which may be mailed or delivered to all interested persons in lieu of a copy of an account, must be on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form.

(b) TIME OF FILING OF ACCOUNT. If the personal representative gives notice to interested persons of the filing of an account, the account may not be filed earlier than 7 days preceding the last date set forth in the notice for the filing of such account.

(c) DISTRICT OF COLUMBIA ESTATE TRANSFER TAX FINDING. The court may make the District of Columbia estate transfer tax finding required by District of Columbia law with respect to the estates of decedents dying after March 31, 1987, as follows:

(1) upon the filing of a certificate of the District of Columbia government that the District of Columbia estate transfer tax has been fully discharged or provided for, or that no such tax is due; or

(2) upon certification by the personal representative that the personal representative is not required to file a federal estate tax return. Rule B-14. Waiver of Formal Audit of Account

(a) FORM OF WAIVER. A waiver of a formal audit of an account by an heir or legatee pursuant to D.C. Code § 20-732(a) (1981) must be on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form.

(b) INTERPRETATION OF “HEIR OR LEGATEE.” For purposes of D.C. Code § 20-732(a) (1981), an “heir or legatee” refers to intestate or testate cases, as appropriate. Waivers by heirs are not required in a testate case.

(c) EFFECT OF A RECEIPT. A receipt signed by an heir or legatee acknowledging payment in full of his or her interest in the estate will be deemed to be a waiver for purposes of D.C. Code § 20-732(a) (1981).

(d) WAIVER OF RIGHT TO FILE OBJECTIONS. An heir or legatee may waive the right to a formal audit under D.C. Code § 20-732(a) (1981) and the right to file an objection to the account within 30 days of its filing as provided in Rule B-14(a). An heir or legatee who waives these rights may nevertheless demand a formal audit within 20 days of approval of the final account. Rule B-15. Audit of Accounts

(a) COMPLETE COURT AUDIT. Unless waivers have been filed with the account pursuant to D.C. Code § 20-732 (1981), the personal representative, at the time of filing the account, must:

(1) exhibit all checking account bank statements and cancelled checks or vouchers evidencing cash or electronic transactions during the accounting period;

(2) exhibit all passbooks, ledger sheets, statements, or similar documents issued by a bank, trust company, savings and loan association, brokerage firm or similar institution, reflecting the assets of the estate on deposit or on account therein, and evidencing the transactions in such assets during the accounting period;

(3) where not otherwise ascertained in accordance with Rule B-15(a)(1), (2), and (4), file a written statement by each depository of cash balances on deposit therein and of all other assets (except tangibles) carried in the account as of closing date of the accounting period;

(4) exhibit certificates or other statements of account of a custodian other than the personal representative evidencing ownership of all securities held for future accounting; in those fiduciary cases in which a bank is acting as fiduciary. In lieu of exhibiting certificates, the bank may submit an affidavit executed by an officer of the bank, other than the officer signing the account, verifying the correctness of the securities and cash accounts held for future accounting and the bank’s custody thereof; and

(5) if the account is a final account in the estate of a decedent dying before April 1, 1987, file a certificate of satisfaction of payment of District of Columbia inheritance and/or estate taxes.

(b) CURSORY REVIEW OF ACCOUNT. If the account is to be reviewed pursuant to D.C. Code § 20-732 (1981), the personal representative must, at the time of filing the account:

(1) note on the face of the account a request for cursory review;

(2) file with the account waivers or receipts as provided in Rule B-14;

(3) file vouchers or cancelled checks for all funeral expenses and each other disbursement in excess of $1,000 claimed in the account;

(4) if the account is final, file a statement that all claims filed with the court or otherwise presented to the personal representative have been paid or rejected;

(5) if the account is a final account in the estate of a decedent dying before April 1, 1987, file a certificate of satisfaction of payment of District of Columbia inheritance and/or estate taxes;

(6) if the pending account reflects a proposed disbursement of estate funds for compensation to the personal representative or the attorney for the personal representative, comply with the requirements of Rule B-19 governing requests for compensation; and

(7) submit a check in payment of outstanding court costs.

(c) RECOMMENDATION OF THE REGISTER OF WILLS. If the Register of Wills is satisfied that there has been submitted with a pending account for which cursory review is requested the requirements set forth in Rule B-15(b), and all applicable time periods have expired, the Register of Wills must, forthwith, submit such account to the court for its approval. Rule B-16. Accounts of Special Administrator Special administrators must account to the court in the same manner as personal representatives, and such accounts must be subject to a formal and complete audit. Rule B-17. Assignment of Rights When a party who claims to have a right to share as an heir or legatee of a deceased person assigns all or part of such right in a probate proceeding, the assignee must promptly file the assignment in the probate proceeding. Any further proceedings to protect or enforce the assignment, or any claim based thereon, must be prosecuted or presented in the name of the assignee and not in the name of the assignor. The assignment must be verified. Unless approved by order of this court, counsel for the assignee must not appear for or represent the assignor. Rule B-18. Termination of Appointment A petition for termination of the appointment of the personal representative pursuant to D.C. Code § 20-1301 (1981), along with a proposed order, must be filed on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form. The petition must have attached to it all receipts not previously filed evidencing proper distribution of assets of the estate. Rule B-19. Request for Compensation

(a) A request for compensation as required by D.C. Code § 20-751 (1981) must be by typewritten verified documentation, executed by the personal representative and the attorney for the personal representative, and be in the following format: SUPERIOR COURT OF THE DISTRICT OF COLUMBIA Probate Division Estate of: ) ) Administration No. ....................... ) ) Deceased. ) REQUEST FOR COMPENSATION FOR SERVICES Value of: Tangible personal property ........................ Intangible personal property ...................... Real property in the District of Columbia ........................... Estate Income ..................................... .........., personal representative of the captioned estate, requests compensation for services as personal representative in the amount of $ ....., and compensation for ...................., attorney for the personal representative, in the amount of $ ....., in accordance with D.C. Code § 20-751 (1981).

(1) That the consents of all interested persons have (have not) been filed.

(2) That the relationship between the compensation sought and the nature of the work performed is reasonable and that the fees sought by the personal representative and by the attorney for the personal representative represent ..... /% and ..... /%, respectively, for a total of ..... /% of the estate’s assets and income. [NOTE]: Usually, the compensation sought will be considered reasonable if the aggregate amounts requested by the personal representative and by the attorney for the personal representative are reasonable or if the number of hours spent and the hourly compensation rate are reasonable.

(3) That the time spent by the personal representative to date is ......... hours, and it is anticipated that an additional ......... hours will be required to complete the estate administration.

(A) The personal representative’s usual hourly compensation for work of this nature is $ .......... Please provide a brief explanation of how this rate was determined:

(B) The personal representative does not have a usual hourly compensation for work of this nature. [NOTE]: In lieu of stating hours spent and hourly rates, a trust company may file a copy of its current fee schedule. [NOTE]: If a personal representative is not an attorney or a trust company, he or she may not have an hourly rate for rendering estate administration services. If this should be the case, the personal representative should so state in the request for compensation. See Rule B-19(a)(3)(B). If an hourly rate is given for such services, a brief explanation should be furnished as to how the rate was determined. It would be useful, in any event, for the personal representative to state the number of hours spent to date and the number of additional hours anticipated to be spent. If the personal representative deems it relevant, he or she should indicate any professional or personal relationship he or she had with the deceased, and his or her usual occupation and earnings.

(4) That the time spent by the attorney for the personal representative (or the attorney’s firm) is ....... hours and it is anticipated that an additional ....... hours will be required to complete the estate administration.

(A) The attorney’s usual hourly compensation for work of this nature is $ ..........

(B) An hourly rate of compensation is not furnished because: [NOTE]: If a flat fee is charged, explain the basis therefor. If a flat fee is stated in unequivocal terms, the attorney should state any limitations on the services to be performed (e.g., that there are no more than x number of hours to be expended).

(5) That the attorney for the personal representative as soon as feasible gave to the personal representative an estimate of the fees and any change in fees for work to be performed with respect to the administration of the estate. [NOTE]: The usual and ordinary work to be performed by an attorney in the administration of the estate is set forth in The Role and Function of the Estate Attorney, 12 A.B.A., Real Property, Probate and Trust Journal, 12:223 (Spring, 1977).

(6) That all of the results required to be achieved in order to complete the estate administration have been or will be accomplished and that the administration of the estate involved the following: [NOTE]: A brief summary of the work involved in the administration of the estate should be provided.* If under any other provision of this rule additional documentation is required to describe more fully the work performed or the results achieved, such additional documentation should be included here. * For example: “The personal representative diligently marshalled the assets of the estate, invested the same and collected the income therefrom, paid all just debts, claims, and expenses of administration, established and maintained books and records of assets received and disbursements made, caused to be completed final Federal and District of Columbia tax returns, filed necessary inventories and appraisals, and [state number] Accounts (including the Final Account), caused to have prepared and filed the Federal Estate Tax Return, the District of Columbia inheritance or estate transfer tax return, as applicable, and the District and Federal fiduciary income tax returns, and will, following the approval of the Final Account, complete distribution of assets in accordance with the decedent’s Last Will. The personal representative will also, at the end of the final fiduciary income tax year, cause to be prepared and filed the final Federal and District of Columbia fiduciary income tax returns for the estate.”

(7) That all time limitations imposed by the provisions of the Act or by the rules, including any timely requested extensions thereof, were met. [NOTE]: If all time limitations were not met, state the date the compliance was due, the actual date for compliance and the reasons for the delay.

(8) The personal representative herewith certifies that on the ....... day of ..............., 20....., a copy of this request, the appended notice to interested persons, and copies of all accompanying statements were sent by certified (or registered) mail, return receipt requested, to all interested persons. Respectfully submitted, ............................ Personal Representative VERIFICATION BY PERSONAL REPRESENTATIVE ......................, personal representative of the estate of ......................, deceased, do solemnly declare and affirm under penalty of law that the contents of the foregoing document with respect to services performed by the personal representative are true and correct to the best of the personal representative’s knowledge, information, and belief. ............................ Personal Representative VERIFICATION BY ATTORNEY FOR PERSONAL REPRESENTATIVE ......................, attorney for the personal representative of the estate of ....................., deceased, do solemnly declare and affirm under penalty of law that the contents of the foregoing document with respect to the services rendered by me or by my firm are true and correct to the best of my knowledge, information, and belief. ............................ Attorney for Personal Representative ............................ Bar Number Address and Telephone No. ............................ ............................ NOTICE TO INTERESTED PERSONS You are hereby notified that you may file written objections with the Register of Wills and serve a copy thereof on the personal representative and the personal representative’s attorney within 20 days of the mailing to you of this Notice of Request for Compensation for Services. Reasons for your objections should be stated. If you execute a Consent to the Request for Compensation for Services, you will waive your statutory right to file objections thereto.

(b) Consents to the request for compensation must be substantially in accordance with the following format: SUPERIOR COURT OF THE DISTRICT OF COLUMBIA Probate Division Estate of: ) ) Administration No. ....................... ) ) Deceased. ) CONSENT BY INTERESTED PERSON TO REQUEST FOR COMPENSATION FOR SERVICES AND WAIVER I, ...................., am entitled to receive a share of the above estate. I have received a copy of the REQUEST FOR COMPENSATION FOR SERVICES. I am aware that compensation is being requested by the personal representative in the amount of $ ........, and by the attorney for the personal representative in the amount of $ ........, for a total of $ ........ I am aware that the total of the estate’s assets and income amount to $ ....... I am aware that compensation requests are generally carefully reviewed by the court in the absence of a Consent and Waiver signed by each interested person. I am aware that this Consent and Waiver will be filed with the Register of Wills and that, if a Consent and Waiver is filed on behalf of every other interested person, the court may approve the compensation requested, based solely on the request as filed. I am aware that I have the statutory right to file with the Register of Wills written objections to the compensation request within 20 days of the mailing of the Notice thereof to me and that my execution of this Consent and Waiver constitutes a waiver of that right. I hereby consent and agree to the payment of the amounts requested and I hereby waive my statutory right to file objections to the Request for Compensation. ............................ Signature Dated:......................

(c) The court may act upon the request for compensation based solely upon the documentation required by Rule B-19(a)(1) - (8) and by either Rule B-19(c)(1) or (2) if:

(1) a consent and waiver in the form set forth in Rule B-19(b) is signed by each interested person and filed; or

(2) no objections to the request for compensation are filed and the total compensation requested is reasonable.

(d) If a personal representative or the attorney for the personal representative claims expenses of litigation pursuant to D.C. Code § 20-752, the claiming party must demonstrate the necessity of the litigation. If the attorney is someone other than the attorney handling the estate administration, the reason for his or her retention as litigation counsel (for example, special expertise, situs of the litigation, and the like) should be set forth.

(e) Additional verified documentation to show the reasonableness of the compensation sought must be filed if:

(1) any interested person files an objection to the request for compensation; or

(2) for any other reason the court requests such documentation. Such additional documentation must describe any special services performed or any special circumstances encountered. [NOTE]: Unusual or complicating factors, such as a will contest, disputes among interested persons, difficulties in locating assets, operating or disposing of a closely held business, and tax audits, should be described in detail. Information should also be provided with respect to the retention of any agents such as accountants, investment advisors, or other attorneys, including the reason for the retention, the tasks they performed, the amounts they were paid, and the basis for their compensation (flat fee, hourly rate, etc.).

(f) Any personal representative or attorney for the personal representative who is unwilling to join in or unable to obtain the joint execution of a request for compensation by all parties may submit a separate request for compensation. The separate request must contain all of the documentation required by Rule B-19(a), including the verification and notice to interested persons, and additional documentation required by Rule B-19(e) if applicable. The separate request also must set forth the efforts made to seek joint participation and, to the extent known, the reasons for nonparticipation in a joint request by all personal representatives and their attorneys. Each attorney for a personal representative shall be an interested person for purposes of Rule B-19(f).

(g) The court has the authority to award a fee consistent with its assessment of the services rendered, based on the request for compensation as filed. The court may at any time request such additional information as it may determine to aid it in assessing appropriate compensation in any case. APPENDIX C. CONSERVATORS OF ADULTS APPOINTED IN A PROCEEDING INITIATED PURSUANT TO D.C. CODE § 21-1501, ET SEQ. (REPEALED) The rules in Appendix C apply to conservatorships governed by now-repealed D.C. Code §§ 21-1501 to -1507. Statutory references in this appendix are to those statutory provisions. The rules in Chapter 1 govern to the extent that they are not inconsistent with the relevant statutory provisions and the rules in this appendix. Rule C-1. Qualification of Conservator Except for good cause only a person residing within the area of the subpoena power of the court or any bank or trust institution authorized to service in a fiduciary capacity, or a member of the bar authorized to practice law before this court may be appointed by the court as conservator of another. Rule C-2. Bond

(a) REQUIREMENT AND AMOUNT. A conservator for the property and estate of an adult must execute a bond with surety approved by the court, conditioned for the faithful performance of such trust, before taking control of any assets of the adult. The penalty of the bond must be in the amount equal to the amount of the personal property, the annual income therefrom and the yearly rents to be derived from the real estate of such estate. Should it become necessary to sell real estate of the estate, the conservator must execute an additional bond in the amount required by the court before accepting the proceeds of the sale.

(b) No bond is required from a financial institution, as defined in Section 2(a)(18) of the 21st Century Financial Modernization Act of 2000, effective June 9, 2001 (D.C. Code § 26-551.02(18)), or a national bank as provided in 12 U.S.C § 92a(f). Rule C-3. Property of the Protected individual No conservator appointed by this court may, without prior court approval, remove or maintain outside the District of Columbia any personal assets held in a fiduciary capacity, except securities held in book entry form or in the custody of a broker, mutual fund, other corporate fiduciary, or of the U.S. Treasury. Rule C-4. Expenditures and Sales

(a) EXPENDITURES. All expenditures from an estate by a conservator, except court costs and those provided by statute, must be made only upon prior authorization of the court.

(b) SALE OF PROPERTY. A conservator must not sell or otherwise dispose of estate property or encumber it without prior order of the court.

(c) EXPENDITURES AND SALES FOR INVESTMENT. A conservator must obtain a court order for all expenditures and sales for investment; however, the conservator may apply for approval by the court of an investment plan or program in accordance with Rule 119. If approved by the court, the investment plan may be carried out without the necessity of court approval of specific transactions; provided the transactions comply with the approved plan or program.

(d) FAILURE TO COMPLY. Failure to comply with the provisions of this rule constitute an irregularity or default. Such failure may result in personal liability and/or removal from office. A petition for approval of proposed expenditures or for approval of a proposed sale or other disposition of estate property may be submitted to the court at any time and may request authority continuing beyond a specific accounting or annual period. Reference should be made to Rule 119 for guidance on the reinvestment of the proceeds of sale of property. Excluding investment in federally insured bank accounts and United States Treasury obligations, a court order should be obtained to authorize such reinvestment if the proceeds are subject to court supervision and such investment is not authorized by the terms of the governing instrument or by statute. Reference should be made to Rule 114 governing irregularity and default for the consequences of any failure to secure prior court authorization for any expenditures of funds, sale of property or the reinvestment of funds, sale of property or the reinvestment of property. Rule C-5. Court Sales of Real and Personal Property

(a) SALE OF REAL PROPERTY. Unless otherwise herein provided, a sale of real estate or any interest in land under an order of this court is governed by the provisions of 28 U.S.C. § 2001 in the same manner as if such provisions were, by the terms thereof, applicable to proceedings in this court.

(b) PUBLIC SALE: PROCEDURE. Except when the order of court otherwise provides, the officer making a public sale must proceed in the manner following:

(1) Publication. The officer must give previous notice of the sale by publication once a week for 4 weeks in a daily newspaper of general circulation in the District of Columbia. The notice must describe the property substantially as in the order and must state the time, place, manner and terms of sale and the deposit required.

(2) Terms of Sale. The terms must be 1/3 of the purchase money in cash and the balance in two equal installments, payable on or before one and 2 years from date of settlement of sale, represented by the promissory notes of the purchaser with interest at 6% per annum, payable semi-annually, secured by deed of trust on the property, or all cash at the option of the purchaser.

(3) Place; Presence of Officer. The sale must be held upon the premises, and the officer making the sale must be present and personally receive the deposit. If there is more than one officer, the presence of one will be sufficient.

(4) Report; Ratification. A verified report of the sale must be promptly made to the court. Thereupon on motion and notice the court may, in its discretion, ratify the same with or without further notice. If the sale be ratified, settlement must be made and the real estate conveyed by proper deed.

(5) Form of Order of Sale. The order of sale must not contain detailed directions as to the manner of proceeding, but must do so only by reference to this rule.

(6) Compensation of Auctioneer. The compensation of the auctioneer must be 1.5% of the first $10,000.00, plus 3/8 of 1% of any amount over $10,000.00 of the value of the equity in the property being sold. In the event that the property is unencumbered by indebtedness, the auctioneer’s compensation must be computed and paid at the same rate upon the entire sales price. In no case will the auctioneer’s compensation be less than $35.00 dollars unless the property is withdrawn after being offered for sale, in which event the auctioneer’s compensation will be $25.00 dollars.

(c) PRIVATE SALE: PROCEDURE.

(1) Order for Sale. A private sale may be ordered after hearing of which notice to all parties and affected persons is given by publication or otherwise as the court may direct, if the court finds the best interests of the estate will be conserved thereby.

(2) Appraisers. Before confirmation of a private sale the court must appoint 3 disinterested persons to appraise the property, or different groups of 3 appraisers each to appraise properties of different classes or situated in different locations. Such appraisers must be licensed by the District of Columbia.

(3) Minimum Sale Price. A private sale may not be confirmed at less than 2/3 of the appraised value.

(4) Order Nisi Increased Offer; Confirmation. At least 14 days before confirmation of a private sale the terms thereof must be published in such newspaper or newspapers of general circulation in the District of Columbia as the court may direct, and the sale must not then be confirmed if a bona fide offer has been made, under such conditions as the court may prescribe, which guarantees at least a 10% net increase over the price specified in such published offer.

(d) ACCOUNT; DISTRIBUTION OF PROCEEDS. Promptly after the settlement of a private or public sale made under this rule a full and detailed account must be filed and presented to the court and the proceeds distributed as the court has directed or may direct.

(e) COMPENSATION TO OFFICER MAKING SALE. The compensation of the trustee or officer making a sale hereunder must be 5% on the first $3,000.00, plus 2.5% on the next $10,000.00, plus 1% on any amount in excess of $13,000.00 of the value of the equity in the property being sold. In the event that the property is unencumbered by indebtedness, the compensation of the trustee or officer making the sale will be computed and paid at the same rate upon the entire sales price. The compensation may be increased or reduced by the court for special cause shown in writing.

(f) SALE OF PERSONAL PROPERTY. Unless otherwise herein provided, a sale of personal property under an order of this court is governed by 28 U.S.C. § 2004, in the same manner as if such provisions were, by the terms thereof, applicable to proceedings in this court. The officer making sale must account and distribute as provided by Rule C-5(d). The officer may be allowed compensation and expenses as determined by the court. Rule C-6. Inventories and Accounts

(a) REQUIREMENTS. The conservator must file an inventory and accounts. Any inventory and account must comply with Rule 109 and must be accompanied by the form for reporting complete account numbers required by that rule.

(b) INVENTORY AND APPRAISALS.

(1) Time for Fling and Form. The inventory must be filed by the conservator within 90 days after the conservator’s appointment. The inventory must be typed or electronically printed on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form, and must be verified in the manner described in Rule 103(c). The inventory must be filed with appraisals as provided in Rule C- 6(b)(2)-(3).

(2) Tangible Personal Property. Promptly upon qualification, the conservator must engage the services of a qualified appraiser to appraise all tangible personal property in the protected individual’s estate if, in the judgment of the conservator, the value of property exceeds $1,000.00. Without the payment of additional court fees and subject to availability, the standing court appraiser may be engaged for this purpose. If the conservator believes that the tangible personal property is valued at $1,000.00 or less, the conservator must submit with the inventory an affidavit or declaration setting forth the description and value of the property.

(3) Valuation of Real Estate. The conservator may inventory real property at the value set by the District of Columbia for purposes of assessment and taxation for the fiscal year in which the guardian was appointed. If the conservator determines that any real property should be independently appraised, the fair market value must be determined by an appraiser selected by the conservator who is licensed by the District of Columbia.

(4) No Assets. If, at the time of the appointment of the conservator, the protected individual has no assets that can be collected, the conservator must file an affidavit or declaration in lieu of the inventory stating that the conservator has collected no assets. The affidavit or declaration must be filed within 90 days after the conservator’s appointment.

(c) ACCOUNT.

(1) An account must be filed annually with the Register of Wills within 30 days after the anniversary date of the conservator’s appointment. The account must be verified in the manner described in Rule 103(c). The account must contain an itemized statement of all receipts and disbursements for the accounting period. The account must be typed or electronically printed on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form, and must list with detailed particularity:

(A) all real and personal assets of the estate and the value of each;

(B) a statement of all receipts and disbursements;

(C) any sale, transfer or other disposition of assets;

(D) any investment, or change in form of assets;

(E) the amount of the conservator’s bond; and

(F) the name of the surety.

(d) TERMINATION OF CONSERVATORSHIP; FINAL ACCOUNT. Upon the death of protected individual, the conservator must promptly file a notice of death. Upon termination by reason of the protected individual’s restoration of capacity or death, or in the event of the conservator’s death or incapacity, the conservator or the conservator’s personal representative must file a final account within 60 days from the date of the event, except that the account is not due earlier than the date specified for filing of the inventory.

(e) NOTICE OF ACCOUNT.

(1) Within 7 days before or after filing of the account, the conservator must give notice of the filing to the protected individual, any adult having care and custody of the protected individual, and any other party. The notice must be on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form, and must be served by first class mail.

(2) The conservator must attach to the account a certification that the notice has been provided in accordance with this rule.

(f) DOCUMENTS REQUIRED FOR AUDIT. At the time of filing an account, the conservator must:

(1) exhibit all checking account bank statements and canceled checks or vouchers evidencing cash or electronic transactions during the accounting period;

(2) exhibit all passbooks, ledger sheets, statements or similar documents issued by a bank, trust company, savings and loan association, brokerage firm, mutual fund, or similar institution, or the U.S. Treasury reflecting the assets of the estate on deposit or on account therein, evidencing the transactions in such assets during the accounting period;

(3) where not otherwise ascertained in accordance with Rule C-6(f)(1) - (2) or (4), file a written statement by each depository of cash balances on deposit therein and of all other assets (except tangibles) carried in the account as of closing date of the accounting period; and

(4) either:

(A) exhibit certificates or other statement of account of custodian other than the guardian (e.g., bank, broker, mutual fund, U.S. Treasury) evidencing ownership of all securities held for future accounting; or

(B) if a corporation is acting as conservator or the services of a depository have been authorized, the corporation or other depository may submit an affidavit or declaration executed by an officer of the corporation or depository, other than the officer signing the account, verifying the correctness of the securities and cash accounts held for future accounting and the corporation’s or depository’s custody of the securities and accounts.

(g) AUDIT AND EXAMINATION. Upon filing of an annual account, the Register of Wills must promptly audit the account, examine all securities (except as provided in Rule C- 6(f)(4)), check them with the account, and ascertain the correctness of all reported deposits. After determining that the account is complete and accurate in all respects, the Register of Wills must submit the account to the court for approval.

(h) OBJECTIONS TO ACCOUNT. The protected individual and any person entitled to receive notice of the filing of the account have 30 days from the date of the notice to file any objections to the account with the Register of Wills. Any objection must be served on the conservator and all persons entitled to receive the notice.

(i) STATEMENT OF DISTRIBUTION AND SETTLEMENT. Promptly after full distribution and settlement of an estate, the conservator must file with the Register of Wills receipts or canceled checks evidencing final distribution. Rule C-7. Conflict of Interests Whenever a conservator of the property and estate of an adult has occasion to sue or defend in behalf of the adult concerning a matter in which the conservator has a possible conflicting interest, the conservator must report the facts in writing to the court so that it may take appropriate action. Rule C-8. Proceedings in Contested Cases

(a) COMMENCEMENT OF ACTION. An action to (1) contest a petition for the appointment of a conservator, (2) to remove a conservator, (3) for instructions, or (4) any other action regarding the conservator may be commenced by any party in interest by filing a verified complaint with the Register of Wills. Except as otherwise provided, the procedure in such actions, including service of process, is governed by the civil rules.

(b) SUMMONS. The Register of Wills must issue a summons upon the request of the plaintiff in the action. In an action brought pursuant to this rule to contest a petition for the appointment of, or to remove, a conservator or for instructions, the summons must be directed to all interested persons and all indispensable parties under Civil Rule 19. In any other action against the estate, the summons must only be directed to the conservator and may be directed to others. In such actions against an estate in which the interested persons are not named parties, the conservator must notify the interested persons of the pendency of the actions and of the right to intervene. The notice must be provided by first class mail within 21 days after service of the action; and the conservator must file a certificate reflecting service of the notice at the time of filing a response.

(c) DISCOVERY. When a complaint is filed pursuant to this rule, the parties may proceed with discovery pursuant to the civil rules.

(d) SCHEDULING AND SETTLEMENT CONFERENCE. Within 120 days after a complaint has been filed, the court must conduct an initial scheduling and settlement conference.

(e) OTHER CONTESTED MATTERS. All other contested matters which are not initiated by complaint, including objections to reports or petitions filed with the court, must be treated as motions. The court may permit discovery upon a showing of good cause. Rule C-9. Compensation

(a) COMPENSATION FOR ORDINARY SERVICES. Compensation to a conservator for ordinary services is by commission which must not exceed 5% of amounts disbursed from the estate. Ordinary services are those normally performed by a fiduciary in administering such an estate and include, but are not limited to, the following:

(1) qualification as the conservator;

(2) collection of the protected individual’s assets and income;

(3) payment of the protected individual’s debts and costs of maintenance, as authorized or ratified by the court;

(4) general supervision of the protected individual’s investments and policy relating thereto, including safekeeping; and

(5) preparation and filing of all inventories, accounts, and reports to the court.

(b) TIME AND METHOD FOR CLAIMING COMPENSATION FOR ORDINARY SERVICES. A claim for commission for ordinary services may only be made in an annual account and, except as otherwise provided in these rules, no statement of services is required. The amount or percentage of commission claimed need only be reflected in the account itself.

(c) COMPENSATION FOR EXTRAORDINARY SERVICES. At the time of filing an annual account or at any other time upon the showing of good cause, a guardian may petition the court for compensation for extraordinary services rendered. Extraordinary services are in addition to those services set forth in Rule C-9(a). The petition must include the following:

(1) statement of jurisdiction and controlling court rule;

(2) statement of services rendered sufficiently complete on its face to establish that the requested payment is reasonable and, as appropriate, that the services are in fact extraordinary;

(3) the time devoted thereto, and the normal hourly rate of the conservator, if any;

(4) evidence of the necessity or purpose of the services;

(5) results achieved, including the benefit to the estate or protected individual, if any;

(6) statement of all prior allowances from the estate to the conservator or other fiduciary or counsel, to the extent known;

(7) the ability of the estate to meet future needs of the protected individual and to compensate fairly the conservator, and;

(8) statement that notice has been given and to whom given.

(d) TURNOVER COMMISSION. A turnover commission may be claimed in a conservator’s final account not exceeding 5% of the net assets to be turned over to a successor fiduciary or to the former protected individual, as the case may be. A turnover commission is in addition to the commission for ordinary services based on disbursements actually made during the accounting period. As a general rule, no statement of services is required in support of a claim for a turnover commission. The amount and percentage claimed need only be reflected in the final account. The exceptions to this general rule are as follows:

(1) The Conservator’s Death, Resignation or Incapacity. If services by the conservator are terminated by the conservator’s death, resignation, or incapacity, a statement of services must be filed in support of the turnover commission claimed. That statement must indicate what has been done by the conservator, what remains to be done by the successor conservator, and such other information as would justify the commission claimed.

(2) The Protected Individual’s Death or Restoration to Competency. If within 3 years of the conservator’s appointment, a conservatorship terminates because of the protected individual’s death or restoration to competency, and if the net assets to be turned over exceed $100,000.00, the conservator must either file a statement of services in support of the turnover commission claimed or apply for a waiver of the requirement for a statement of services by filing a written request with the court.

(e) COMPENSATION TO ATTORNEYS.

(1) Attorney Fees. At the time of the filing of an annual account or at any other time upon the showing of good cause, an attorney may petition for allowance of reasonable attorney’s fees for preparing pleadings filed with the court and for other necessary legal services rendered to the conservator in the administration of the estate, including, but not limited to, instructing and advising the conservator in regard to applicable laws so that the conservator may properly administer the estate for which he or she is responsible and reviewing and advising with respect to inventories, accounts and other reports to the court to assure that they comply with the requirements of the law. A petition for fees for legal services in connection with the qualification of the conservator may be submitted at any time, however. The petition for fees must be accompanied by a statement of services which must include those matters set forth with respect to a petition for compensation for extraordinary services.

(2) Performance of Conservator’s Ordinary Services; Assignment of Commission. If an attorney performs on behalf of a conservator any of the above ordinary services in administering the estate, the court may authorize the attorney to be compensated from the estate in the conservatorship proceeding only if a written assignment of the conservator’s commission, in whole or in part, is filed with the court. Assignment of commission as used in this rule refers to those instances in which an attorney has, pursuant to an agreement with the conservator, performed some or all of the services normally expected of the conservator in administering the estate and has obtained an assignment from or written consent of the conservator to receive part or all of the conservator’s commission as compensation for the attorney’s services.

(f) NOTICE OF AND CONSENTS TO PETITIONS FOR COMPENSATION FOR EXTRAORDINARY SERVICES OR FOR ATTORNEY FEES. Notice of the filing of a petition for compensation for extraordinary services by the conservator or for attorney’s fees (other than for ordinary commissions) and a copy of the petition must be given to the conservator (if appropriate) and to all other parties and affected persons as determined by the court by first class mail within 7 days before or after the filing. The petition must have attached to it a certification that copies and a notice of its filing have been provided in accordance with this rule.

(1) Form of Notice. The notice required must be on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form, and appended to the petition.

(2) Form of Consent. Consents to the petition must be on the form maintained by the Register of Wills or a form that is substantially similar in content and format to that form and, once filed, constitute a waiver of the right to object thereto.

(g) REFERENCE TO REGISTER OF WILLS OF PETITION FOR COMPENSATION FOR EXTRAORDINARY SERVICES OR FOR ATTORNEY FEES. All petitions for compensation to a fiduciary for extraordinary services and attorney’s fees must be referred to the Register of Wills for appropriate recommendations.

(h) DISCRETION RESERVED TO THE COURT. The court may, at any time, require a statement of services or any additional verified documentation in determining an appropriate commission in any particular case.

(i) OBJECTIONS TO PETITION FOR COMPENSATION. Parties and affected persons may file an objection to the petition for compensation for extraordinary services by the conservator or for attorney’s fees. The objection must be filed within 21 days after mailing of the petition and notice and must include specific statements of the grounds for contesting the petition. The objection must be mailed to the conservator and the conservator’s attorney. If an objection is not filed within the prescribed time, the court may treat the petition as conceded. A party or affected person may specifically request an oral hearing by writing “Oral Hearing Requested” at the bottom of the objection above the signature, but the court, in its discretion, may decide the matter without a hearing. No compensation will be awarded for supervision of a protected individual’s person. Generally, the preparation and filing of routine tax returns and accountings are considered to be ordinary services. If the services involved were in whole or in part extraordinary, compensation for such services may be claimed by petition pursuant to section (c) of this rule. If the conservator retains the services of a tax preparer, payment of the tax preparer’s fee may be made subject to the requirement that expenditures be made only upon prior authorization of the court. The court will be cautious in awarding turnover commissions claimed under subsection (d)(1) of this rule, by reason of the death, resignation or incapacity of a conservator. The court will take into account the fact that the protected individual’s funds will be disbursed again and will reserve a sufficient portion of the commission as is likely, under the facts and circumstances of the particular case, to compensate the successor conservator fairly. With respect to compensation for extraordinary services under this rule, the amount of commission for ordinary services will be taken into account, but not be the sole determining factor. Conservators serve as officers of the court. There can be no assurance in any given case that a conservator will receive compensation or commissions which the conservator considers adequate. Payments for attorney fees are independent of the conservator’s commission for ordinary and extraordinary services and are designed to compensate the attorney for legal services consistent with the value of the services rendered and ability of the estate to pay. The fact that the conservator is an attorney will not preclude the conservator from petitioning for attorney fees for legal services rendered. APPENDIX D. COMMUTATION OF DOWER Rule D-1. Commutation of Dower

(a) IN GENERAL. Unless otherwise agreed by the parties or adjudged for good cause, the dower of a healthy person in land sold by judgment of the court is equal to 1/3 of the value of that person’s life estate in the land, computed in accordance with the Probate Division rule governing computation of the allowance for a life estate.

(b) VALUATION DATE. For purposes of this rule, the valuation date is the first day of the month next preceding the month in which the initial pleading seeking commutation is filed. Dower existed in the District of Columbia until April 26, 2001, the effective date of the Omnibus Trusts and Estates Amendment Act of 2000, which abolished dower.