Administration Proceeding Checklist

There are all sorts of forms executors, beneficiaries, and probate court clerks have to fill out and correspond with during probate and estate settlement, including affidavits, letters, petitions, summons, orders, and notices.

Administration Proceeding Checklist is a commonly used form within New York. Here’s an overview of what the form is and means, including a breakdown of the situations when (or why) you may need to use it:

Atticus Fast Facts About Administration Proceeding Checklist

Sometimes it’s tough to find a quick summary— here’s the important details you should know about Administration Proceeding Checklist:

• This form pertains to the State of New York

• The current version of this form was last revised on April 7, 2010

Government forms are not typically updated often, though when they are, it often happens rather quietly. While Atticus works hard to keep this information about New York’s Form Administration Proceeding Checklist up to date, certain details can change from time-to-time with little or no communication.

Step 1 - Download the correct New York form based on the name and ID if applicable

Double check that you have both the correct form name and the correct form ID. Some New York probate forms can look remarkably similar, so it’s best to double, even triple-check that you’re using the right one! Keep in mind that not all States have a standardized Form ID system for their probate forms.

Step 2 - Complete the Document

Fill out all relevant fields in Form Administration Proceeding Checklist, take a break, and then review. Probate and estate settlement processes in NY are long enough to begin with, and making a silly error can push your timeline even farther back. No thank you!

Note: If you don’t currently know all of the answers and are accessing Form Administration Proceeding Checklist online, be sure to avoid closing the browser tab and potentially losing all your progress (or use a platform like Atticus to help avoid making mistakes).

Step 3 - Have Form witnessed or notarized (if required)

Some States and situations require particular forms to be notarized. If you have been instructed to get the document notarized or see it in writing on the document, then make sure to hire a local notary. There are max notary fees in the United States that are defined and set by local law. Take a look at our full guide to notary fees to make sure you aren’t overpaying or getting ripped off.

Step 4 - Submit Administration Proceeding Checklist to the relevant office

This is most often the local probate court where the decedent (person who passed away) is domiciled (permanently resides) or the institution involved with this particular form (e.g. a bank). Some offices allow you to submit forms online, other’s don’t, and we while we generally recommend going in-person to expedite the process, sometimes that simply isn’t an option.

It’s also a generally good idea to establish a positive working relationship with any probate clerk (unfortunately there’s enough people & process out there making things more difficult and unnecessarily confusing for them), so a best practice is to simply ask the probate clerk proactively exactly how and where they’d prefer you to submit all forms.

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Different probate forms or processes can require different deadlines or response times for completing the appropriate form.

While some steps in the process are bound to specific deadlines (like petitioning for probate, having to submit an inventory of assets, or filing applicable notices to creditors and beneficiaries), many probate forms or processes are not tied to a specific deadline since the scope of work can vary based on situational factors or requirements involved.

Either way, there are a bunch of practical reasons why personal representatives should work to complete each step as thoroughly and quickly as possible when completing probate in New York.

5 reasons you should submit this form as quickly as possible:

1. The sooner you begin, the faster New York can allow heirs and beneficiaries to get their share of assets subject to probate. Acting promptly can also decrease the costs & overall mental fatigue through an otherwise burdensome process.
   
   Helpful Context: What’s the Difference Between Probate and Non-Probate Assets?

2. In general, creditors of an estate usually have around 3-6 months from the time you file notice to creditors to file any claims for debt against the deceased’s assets. If they don’t, then that debt is forfeited (and more importantly, the executor won’t be held personally responsible). So doing this sooner means you have a better idea of who is owed what and ensures you won’t get a surprise collector months later.

3. Not filing a will within 30 days (on average) could mean that the probate process proceeds according to intestate laws (laws that govern what happens to someone's stuff without a will) or is subject to unnecessary supervision by the probate court. And if you aren't directly related to the deceased (a.k.a. next of kin), this could also mean you lose your inheritance.

4. It’s important to file any necessary state tax returns on behalf of the deceased or estate by the following tax season in New York. If you don’t, you could owe penalties and interest. This also includes any necessary federal tax returns such as Forms 1040, 1041, or even a Form 706 estate tax return.

5. If a house in the State of New York is left empty (or abandoned) for a while, insurance can get dicey. For example, if the house burns down and no one has been there for a year, an insurance company may get out of paying your claim.

If you’re not using Atticus to get specific forms, deadlines, and timelines for New York probate, then try and stay as organized as possible, pay close attention to the dates mentioned in any correspondence you have with the State’s government officials, call the local New York probate clerk or court for exact answers regarding Form Administration Proceeding Checklist, and when in doubt— consult a qualified trust & estates lawyer for that area.

Administration Proceeding Checklist is one of the many probate court forms available for download through Atticus.

It may also be available through some New York probate court sites, such as . In order to access the latest version, be updated with any revisions, and get full instructions on how to complete each form, check out the Atticus Probate & Estate Settlement software or consider hiring a qualified legal expert locally within New York.

While Atticus automatically provides the latest forms, be sure to choose the correct version of Form Administration Proceeding Checklist f using any other site or resource in order to avoid having to re-complete the form process and/or make another trip to the New York probate court office.

Administration Proceeding Checklist is a .pdf, so opening it should be as simple as clicking “View Form” from within the Atticus app or by clicking the appropriate link found on any New York-provided government platform. Once you’ve opened the form, you should be able to directly edit the form before saving or printing.

Here’s the text, verbatim, that is found on New York Form Administration Proceeding Checklist. You can use this to get an idea of the context of the form and what type of information is needed.

A-CHKLST release 4/7/2010 PAGE 1 This Checklist is provided for your convenience while completing the petition and the checklist should not be returned to the Court. Administration Proceeding Checklist (see Surrogate’s Court Form A-1, rev. 12/98) Check All Forms To Make Sure Venue Is Correct - Appropriate County Is Listed Fill In All Areas On All Pages of Petition - Also Mark When Not Applicable Where Necessary PET ¶ #DESCRIPTIONYESNO Is the captioned name exactly the same as it appears on the Death Certificate? If A/K/A’s, are they listed in the caption and also under ¶2 of petition? Has the type of Letters been checked? 1.Is the petitioner eligible to act and qualify pursuant to SCPA §1001? (a) surviving adult spouse of decedent (b) adult child (c) adult grandchild (d) parent (e) brother or sister (f) any other person who is a distributee and who is eligible to qualify (g) others as set forth in SCPA §1001(3) to (9) Check citizenship NOTE: A Non-domiciliary alien is ineligible to act as a sole fiduciary [see SCPA §707] Has the interest of the petitioner been checked and specified? Is the proposed administrator an attorney? If so, has a statement been provided pursuant to 22NYCRR 207.16(e)? NOTE: Latter will need an accounting [see 22NYCRR 207.52] 2.Does the information under ¶2 of the Petition agree with the death certificate? (certified copy of death certificate must be filed with petition) (a) if address on petition does not agree with death certificate, has an explanatory affidavit been filed [see SCPA §206-208] (b) if decedent was a non-domiciliary of the State, has an explanatory affidavit and a request for non-domiciliary treatment been filed setting forth the following: (1) statement that no original probate or administration proceeding has been or will be filed in any jurisdiction (2) statement that the decedent left estate assets in this jurisdiction PET ¶ #DESCRIPTIONYESNO A-CHKLST release 4/7/2010 PAGE 2 2. cont. (3) statement listing the distributees in the domiciliary jurisdiction or that they are the same as under New York State Law 3.Has everything been answered? (a) & (b) is all property in decedent’s name alone? do not include: jointly held property with right of survivorship; property held in trust for another; assets that have a named beneficiary (c) estimated rent for 18 months has to be included; this amount needs to be considered in determining whether a bond is required and if so, the amount of the bond (d) if there is a pending or contemplated cause of action on behalf of the decedent, has all information requested in petition been provided? (e) has it been checked, if so, is information provided under ¶7 of Petition? 4.This paragraph states that a diligent search has been made to find a will. 5.Were the court’s records searched for a will for safekeeping or an estate/file previously opened? [See SCPA §2507 and §2508] 6. NOTE: Distributee: Any person entitled to take or share in property under EPTL §4-1.1 and 4-1.2. (SUBMIT A FAMILY TREE IF REQUIRED BY THE COURT.) Has the number of survivors been listed? Has “NO” been inserted in all prior classes? Has an “ X ” been inserted in all subsequent classes? NOTE: If alleged that the decedent was survived by no distributee or only one distributee or where the relationship of distributees to the decedent is grandparents, aunts, uncles, first cousins or first cousins once removed, has an Affidavit of Heirship been submitted - see Court Rules 207.16(c). NOTE: If there are any deceased distributees, provide a copy of the death certificate or provide the date of death. 7a.Are all distributees or other necessary parties who are of full age and under no disability listed with required information? [see Court Rules §207.16(b)] Renunciation and Waiver: Renunciation of letters of administration and waiver of process may be submitted from any adult, competent person who has a prior or equal right to letters of administration and must consent to the granting of all relief in the “wherefore clause” of the petition. Waivers must be signed and acknowledged. If letters of administration are to be granted to a designee, the name of such designee must be inserted. (Form A-8 to be used by individuals and Form A-9 from a Corporation [example: funeral director and creditors]). PET ¶ #DESCRIPTIONYESNO A-CHKLST release 4/7/2010 PAGE 3 7a. cont. If non-marital or adopted-out person, has Schedule A and/or B been attached to Petition? Notice of Application for Letters of Administration: This notice (Form A-3) must be given to all those listed in the petition who have a right to letters inferior to that of the nominated administrator, or persons who share in the decedent’s estate as distributees, but are not eligible to receive letters. If any of these have waived, notice to them is not required. An original affidavit of mailing must accompany the filed notice. NOTE: ALL INTERESTED PARTIES MUST CONSENT THAT BOND BE DISPENSED WITH OR FILING OF BOND WILL BE REQUIRED. 7b.Same as 7a above but are persons under disability Are infants and persons under disability listed with required information? Are Schedules A, B, C and/or D attached? NOTE: FOR INFANTS (Attach copy of birth certificate if required by court) NOTE: IF THERE IS A COURT-APPOINTED GUARDIAN (FIDUCIARY) SUBMIT PROOF OF APPOINTMENT. NOTE: IF THERE ARE UNKNOWNS, the following proof has to be submitted: affidavit showing that diligent efforts have been made to locate unknown distributees or distributee whose whereabouts are unknown [see Court Rules §207.16(d)] “DILIGENT SEARCH” requires extensive research, e.g.: cemetery and marriage records; telephone books, conversation with other distributees, neighbors, etc.; records of varied Surrogate’s Courts; military records; Bureau of Immigration & Naturalization; Social Security Administration; Bureau of Vital Statistics; Department of Motor Vehicles; Bureau of the Census; City directories, Internet NOTE: PURSUANT TO SCPA §1003(4) Jurisdiction over unknown distributees or distributees whose whereabouts are not known need not be secured prior to the issuance of letters, but is required by publication of citation in the accounting proceeding. The Decree granting Administration must so state. 8.Make sure outstanding debts or funeral expenses are listed (attach copy of funeral bill if paid). If no outstanding expenses, so state. If outstanding expenses, use Form A-9. 9.Under WHEREFORE Clause: has all relief requested been checked and completed? Is petition dated, signed, verified, properly notarized (including proper jurat and expiration date of notary’s commission)? PET ¶ #DESCRIPTIONYESNO A-CHKLST release 4/7/2010 PAGE 4 9. cont. Is Combined Verification, Oath and Designation signed? does it set forth proposed fiduciary’s physical address? Is proposed fiduciary a bank? (submit a Consent and Designation) Is attorney’s name, address and phone number listed? Is Part 130 Certification completed by attorney or self-represented party? if NOT, has a separate certification as to Part 130 signing requirements been included? If forms are computer generated, has a certification pursuant to Court Rules §207.4 been attached? PARTIAL FEE SCHEDULE SCPA/EPTL§ or Rule # Have the proper fees been included with petition? Fees per schedule; $6.00 for each Certificate of Appointment. Filing fee is based upon the values of the estate owned individually by the decedent or payable to the Estate - see SCPA §2402(8) 0 but under 10,000$ 45.00 10,000 but under 20,00075.00 20,000 but under 50,000215.00 50,000 but under 100,000280.00 100,000 but under 250,000420.00 250,000 but under 500,000625.00 500,000 and over1,250.00 2402 COMMENTS AND COURT NOTES Form Number SCPA/EPTL§ or Rule # When Permitted Whenever decedent dies without a Will, OR Will filed with Court is not offered for Probate. 1001-1004 Forms Always Required •Petition for Administration •Oath and Designation •Death Certificate •Copy of paid funeral bill or Waiver from funeral director •Self-addressed stamped envelope (if court requires) A-1 A-1 A-9 1402 207.15(b) A-CHKLST release 4/7/2010 PAGE 5 COMMENTS AND COURT NOTES (continued) Form Number SCPA/EPTL§ or Rule # Forms or Documents Sometimes Required •Administration Citation •Waiver, Renunciation & Consent: Individual Corporation •Notice of Application for Letters Administration •Affidavit of Mailing Notice of Application •Notice to Consul General •Affidavit of Regularity •Attorney/Fiduciary Affidavit •Affidavit of Due Diligence for Publication •Affidavit of Service •Bond •Family Tree Chart •Affidavit of Sole Heirship •Death Certificate of deceased spouse, distributee •Obituary Notice (if court requires) A-2 A-8 A-9 A-3 A-4 A-5 A-7 A-10 FT-1 1003 1003(3) 1005 207.21 207.16(e) 207.16(c) 307 801-805 207.16(d) 207.16(c) 207.15(c) If the assets exceed $30,000 and one or more distributees refuse to consent that the Administrator serve without bond (or are unable to consent by reason of their being under disability) it may be necessary to obtain a fiduciary bond. See SCPA Article 8. Proofs of Service of Citation must be filed with the Court at least two (2) working days before the return date. Guardian Ad Litem will be appointed on or before the return day of process for all unknowns and persons under disability (SCPA §403). Letters will not be delivered until Notice of Application (if required) and Mailing Affidavit are filed. Review carefully instructions to paragraphs 6 and 7 of the Petition and be sure interested parties are listed in the correct places. Documents signed by Power of Attorney (Provide certified copy of POA and comply with Section 13-2.3 EPTL and 207.48 Uniform Rules). Check to be certain all documents are properly acknowledged. THIS MATERIAL IS PROVIDED FOR INFORMATIONAL/TRAINING PURPOSES ONLY. – It is intended for use in conjunction with review of the applicable statutes and rules of the Surrogate’s Court and the Surrogate’s Court Operations Manual.