Ky. Cir. Ct. Clerks' Manual PROBATE

76 PROBATE

KRS 395

District Court Process Map

Probate is the process of settling and administering estates, guardianships,

curatorships, trusts, and name changes.

 Administration of Decedent Estates

 Dispense with Administration

 Guardian or Conservator for Minor

 Trust Estate

 Miscellaneous Probate Appointments

 Transfer of Fiduciary Account

 Name Change

 Power of Attorney

76.1 Administration of Decedent Estates

76.1.1 Filing Fees

1. Upon receipt of a petition for probate (AOC Form 805), collect the filing Quick Reference

fees as set forth in the Accounting Manual and give a receipt. Collect filing fee

AOC form 805

NOTE: For later appointments in the same estate, there is no additional

filing fee providing no final settlement has been filed.

2. If the petition is accompanied with an Affidavit for Probate Fee

Exemption, see Probate Fee Exemption below.

76.1.2 Petition

1. Apply the FILED stamp; add date and your initials to the petition. File, date, initial

2. Check your index for a previously assigned case number. If a case

number exists, use the same number and file folder. If the number is not

in the computer, generate the next case number for probate P cases or

use the next pre-numbered file folder.

Note: If competing petition is received, use the same case number and

file folder.

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3. If no previous case exists, open a case using case type PB. For

Case type PB

instructions on opening the case, see the Case Add section of the

KyCourts Manual. The case will be styled: ESTATE OF: (Decedent’s

Name.)

Note: For PBOTH Probate/Estate–Other: Cases that include the

establishment of guardianships, conservatorships, and trusteeships, and

the administration of estates of deceased persons who died testate or

intestate, including the settling of legal disputes concerning wills. Use

this case type for probate/estate cases of unknown specificity, when

probate/estate cases are not attributable to one of the other previously

defined probate/estate case types, or when all Probate/Estate cases are

reported as a single case type.

4. Check the file folder in the front of your probate drawer for any

previously filed creditor's claims or request/demand for notice under

KRS 395.012.

5. Transfer any documents to the probate file by completing a document

screen. Use the filing date shown on the creditor’s claim or

request/demand for notice.

6. Serve all persons who have filed a request/demand for notice with any

orders entered regarding the estate.

NOTE: Process a Petition for Probate of Non Resident/Foreign Will in

the same manner using AOC Form 805. The application of a nonresident

shall include the designation of a resident of the county where

administration is pending as his agent for the service of process in any

action against him as personal representative or personally, provided

that such personal action must have accrued in the administration of the

estate. KRS 395.015.

When the will of a nonresident has been proved out of the state, an

authenticated copy and the certificate of probate may be offered for

probate in this state. KRS 394.150.

76.1.3 Financial Disclosure

 A written financial disclosure of the property of the decedent, to the extent Quick Reference

known, shall be filed separately at the time of the filing of the petition. KRS File, date, initial

395.015

1. Upon receipt of a financial disclosure AOC 808, Financial Disclosure,

apply the FILED stamp; add the date and your initials.

2. File by completing a document screen using the appropriate document

type.

3. Place the written financial disclosure in an envelope and add the date

and your initials. Seal the envelope and place the sealed envelope in the

case file.

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4. The financial disclosure statement is confidential and can only be

provided to the personal representative, his or her attorney, heirs and Quick Reference

beneficiaries, the Department of Revenue, and as ordered by the Court.

KRS 395.015.

5. If you receive a request to view the financial disclosure, attach the

request to the file and deliver to the judge for further instruction/orders.

6. Upon receipt of an order, apply the ENTERED stamp; add the date and Enter, date, initial

your initials.

7. Enter the Order on a document screen using the appropriate document

type.

NOE

8. Serve notice of entry and make an entry on the document screen

showing the manner and date of service of the notice of entry of the

Order and distribute the order according to the distribution list.

NOTE: If other documentation containing financial information is filed

into the record these documents should be sealed in an envelope and

placed in the file. These documents are not to be opened by anyone

except on written court order. If it is unclear whether documents should

be sealed, consult with your judge.

76.1.4 Creditor Claims Prior to Administration

 Any person having a financial or property interest in a decedent’s estate

may file claims or a demand for notice with the court at any time after

the death of the decedent.

• Upon receipt of a claim from a creditor filed against an estate

before the start of administration, or a request/demand for notice

under KRS 395.012, apply the FILED stamp; add date and your

initials. File alphabetically by decedent's last name in the Creditor’s File, date, initial

Claims folder placed in the front of the probate file drawer. Make an

entry of the filing of the creditors claim on the manual docket sheet

attached to the inside of the folder. Return claim to creditor 10

years after filing if no probate case has been opened.

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76.1.5 Probate Fee Exemption

 The estate of a person whose spouse or surviving children are eligible Quick Reference

for state death gratuity death benefits (including law enforcement,

firefighters, military and emergency services personnel whose death

occurred as a direct result of an act in the line of duty) is exempt from

all probate fees and may file an Affidavit for Probate Fee Exemption.

AOC Form 860

KRS 61.315(8); 64.012; 172.180. If you receive AOC Form 860,

Affidavit for Probate Fee Exemption, along with a Petition for Probate

of Will and Appointment of Executor or Administrator, take the file, AOC Form 860.1

along with AOC Form 860.1, Probate Fee Exemption Order, to the

judge for signature allowing the party to file without fees including;

but not limited to, those established by the Supreme Court of Fees set by

Kentucky pursuant to KRS 23A.200 and 24A.170, or imposed under newspaper

KRS24A.185, 64.012, and 172.180. This includes advertising fees. publishing notices

76.1.6 Bond

1. Upon receipt of AOC Form 825, Fiduciary Bond, review the terms of the AOC Form 825

fiduciary bond and if they vary from those contained in the order

appointing, take the proposed bond with the court file to your judge for

review and approval.

2. If the terms of the fiduciary bond are consistent with the order

appointing collect the fiduciary's bond filing fee as set forth in the Collect filing fee

Accounting Manual and give a receipt. KRS 64.005.

3. Hand-deliver or mail a copy to the fiduciary.

File, date, initial

4. Apply the FILED stamp to the bond; add date and your initials.

Document type BF

5. A File on a document screen using document type BF.

76.1.7 Order Probating/Appointing

1. Upon receipt of the Order Probating the Will and Appointing Executor or Enter, date, initial

Order Appointing Fiduciary, apply the ENTERED stamp; add date and

your initials. AOC Form 805.1, Order Probating Will; or Probating Will AOC Form 805.1

and Appointing Executor/Administrator. Document type:

2. Complete a document screen, using document type OWF if the will is OWF

probated and executor appointed. Use document type OPW if only the OPW

will is probated.

NOE

3. Give notice of entry by mail or hand-delivery to the fiduciary and any

person/entity who has filed a demand for notice.

4. Send a copy of the Petition, Financial Disclosure statement, and Order

Probating the Will and Appointing the Executor or Order Appointing

Fiduciary to the Department of Revenue Inheritance and Estate Tax Area.

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NOTE: The Financial Disclosure statement is confidential and placed

under seal when filed; however, the clerk shall be required to forward a

copy of the document to the Department of Revenue. KRS 395.015(9). Quick Reference

The sealed envelope of a document should be opened to forward a copy

to the Department of Revenue. Once completed the envelope should be

resealed.

5. Make a notation of this mailing in the memo field of the document

screen where the order is filed.

Document type:

6. Close the case at the time of appointment of the fiduciary by completing OTH

the disposition date, disposition type OTH, and judge at disposition fields

on the case screen. Do not reopen the case when a settlement is filed.

NOTE: If requested, attest a copy of the Order of Appointment and give

to the fiduciary. Prepare certified copies of the appointment, if

requested, and collect the certification and copy fees as set forth in the

Accounting Manual.

76.1.8 Will Certification

1. Make a copy of the original will and affix a certification that it is a copy of

Quick Reference

the original will.

Copy will

2. Apply the FILED stamp; add date and your initials.

3. File by completing a document screen, using document type WI. File, date, initial

Document type WI

4. Take the original will and a certified copy of the court order to the

county clerk for recording. The petitioner is responsible for the recording Record will

fee. KRS 64.012; CR 79.05(2). Follow your local protocol regarding

collection of the county clerk’s recording fee through your office or

directing the petitioner to directly pay the county clerk.

NOTE: If a request is made for a copy of the will, provide a copy of the

will in your file. If a certified copy of the original will is requested, direct

them to the county clerk's office.

76.1.9 Publication of Appointments

1. The clerk shall advertise at least monthly all fiduciary appointments

made since the last publication. KRS 424.340. One notice is sufficient. Quick Reference

Advertise all new

NOTE: Fee for publishing the notice of the appointment of a fiduciary is

fiduciary

set by the newspaper which publishes the notice. The expense of

appointments

advertising shall be taxed as costs. KRS 424.160(1)(4).

2. Make a notation of the advertising of the appointment in the memo field

of the document screen where the order of appointment is filed. You are

not required to keep a copy of the publication in each case file.

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3. At the beginning of each month, start a new list of appointments of

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fiduciaries to be advertised. Add to your list as appointments are made

Keep a list of all

during the month. At the end of the month, the list is complete and

new fiduciaries

ready for publication. The list must contain:

(1) The name and address of the person whose estate is being

administered;

(2) The name and address of the fiduciary;

(3) The date of appointment;

(4) The date by which creditors must file their claims (six [6] months

after the appointment of the fiduciary), KRS 395.190;

(5) The name and address of the attorney representing the fiduciary, if

any. KRS 424.340.

4. If an advertisement is required by law to be published in a newspaper,

the publication shall be made in a newspaper that meets the following

requirements:

(1) The newspaper must be published (maintain its principal office) in

the area;

(2) The newspaper must have been issued at least once a week for the

preceding two (2) years unless it is the only publication in the area;

(3) Must have a bona fide circulation in the publication area (circulated

generally and with a price of at least 50 percent of its published price

and paid for by at least half of those who receive it);

(4) Must have a name and be four (4) or more pages without a cover

and contain at least 25 percent news content in more than half its

issues for each year. It must also be the type of newspaper to which

the general public relies on for current events;

(5) If there is more than one newspaper in the county meeting these

requirements, the one with the largest circulation must be used for

advertisement;

(6) If there is no qualified newspaper in the county, the advertisement

may be published in the qualified newspaper having the greatest

circulation in an adjoining Kentucky county.

The publication may be made, alternatively, in a digital newspaper that:

a. Maintains an active news gathering office in the publication area;

b. Has been actively publishing for at least one (1) year, and is updated

on at least a weekly basis;

c. Has as its primary purpose reporting on matters of import to the

public, and contains regular reporting regarding local and

community issues in the publication area;

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d. Is easily accessible to the public through common Internet search

engines or other Internet search means;

e. Contains conspicuous links or headings on its landing page that

direct members of the public to public notices; and

f. Distributes, or has ownership interest in another entity that

distributes, newspapers printed in Kentucky, and is capable of

circulating printed newspapers throughout the publication area.

An advertisement is deemed to be published on the date that it is

posted on the website of the digital newspaper. Any requirements

related to the physical dimensions, typesetting, font, or other

aspects particular to a printed newspaper are not applicable where

the advertisement is made in a digital newspaper that qualifies

under this subsection.

76.1.10 Tickler System

Create a tickler system for the filing of the inventory and settlement by Quick Reference

completing a scheduled events screen for the date the inventory and Event type

settlement is due to be filed. Use event type IN for Inventory and STL for *Inventory- IN

settlement. *Settlement- STL

NOTE: An inventory should be filed no later than ninety (90) days from the

date of qualifying. A settlement should be filed two years from the date of

the appointment. See Inventory and Settlement of Decedent’s Estate below.

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76.1.11 Inventory for Decedent’s Estate

1. Upon receipt of any inventory, apply the FILED stamp; add the date File, date, initial

and your initials.

2. Complete a document screen using document type INV. Document type INV

3. Send a copy of the inventory to the Department of Revenue Inheritance Department of

and Estate Tax Area. Revenue

Inheritance and

NOTE: The inventory is confidential and placed under seal when filed Estate Tax Area,

(see below); however, the clerk is required to forward a copy of the Station 61, 501

document to the Department of Revenue. KRS 395.250(1)(b). High Street,

4. Make a notation of the mailing in the memo field. Frankfort, KY

40601

NOTE: If the inventory is filed in advance of the due date, unschedule the

scheduled event (DELSCH) utilizing the Counter Screen as instructed in

the KyCourts Manual.

5. Place the Inventory in an envelope; and add the date and your initials.

Seal the envelope and place the sealed envelope in the case file.

6. These documents are not to be opened by anyone except on written

court order. KRS 395.250.

If you receive a request to view the inventory; attach the request to the file

and deliver to the judge. Enter, date, initial

1. Upon receipt of an order, apply the ENTERED stamp; add the date and

your initials.

2. Enter the order on a document screen using the appropriate document

type.

3. Serve notice of entry and make an entry on the document screen

showing the manner and date of service of the notice of entry of the

order and distribute the order according to the distribution.

76.1.12 Delinquent Inventories

1. On a monthly basis, print a calendar of the delinquent inventories and

deliver the calendar to the judge. KRS 395.255. Print delinquent

calendar

NOTE: Per Tickler System, using a tickler and scheduling an event for the

date the inventory is due allows a delinquent inventory to be addressed

by the judge with the docket associated with the tickler/scheduled

event.

2. Upon receipt of an order to notice the fiduciary of the past due

inventory, apply the ENTERED stamp; add the date and your initials. Document type NFF

NOE

3. Complete a document screen using document type NFF. Give

notice of entry as directed by the court.

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4. If directed by the court, schedule a hearing by completing a scheduled

events screen. Give notice as directed.

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76.1.13 Settlement for Decedents’ Estates

 Settlements for decedents’ estates must be made by fiduciaries. KRS

395.610.

 Types of Settlement:

o Final – May be filed no sooner than six (6) months after the fiduciary’s

appointment. KRS 395.190.

o Periodic – Due two (2) years after the appointment and annually

thereafter, unless otherwise ordered by the court, until final settlement

is entered. KRS 395.610(1).

o Proposed – May be filed prior to filing a periodic or final settlement and

prior to a distribution of assets. KRS 395.617.

o Informal – May be filed no sooner than six (6) months after the

appointment, and only when the fiduciary is the sole beneficiary or

when all other beneficiaries have waived formal settlement. No notice

or advertisement is required with an informal settlement. KRS 395.605.

Sealing Settlements

NOTE: Informal Settlements are not required to be placed under seal.

Any final, periodic, or proposed settlement ordered or filed shall be

confidential and shall be placed under seal when filed. KRS 395.250 (6).

1. Place the Settlement in an envelope and add the date and your initials.

Seal the envelope and place the sealed envelope in the case file.

2. The documents are not to be opened by anyone except on written court

order.

3. If you receive a request to view the settlement; attach the request to

the file and deliver to the judge.

4. Upon receipt of an order, apply the ENTERED stamp; add the date and

your initials. Enter, date, initial

5. Enter the order on a document screen using the appropriate document

type.

6. Serve notice of entry and make an entry on the document screen

showing the manner and date of service of the notice of entry of the

order and distribute the order according to the distribution.

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For Final, Periodic, or Proposed Settlements

1. Upon receipt of a settlement, apply the FILED stamp; add date and Quick Reference

your initials.

File, date, initial

NOTE: Final Settlement - Collect advertisement fee at time of filing.

2. Place the settlement in an envelope and add the date and your initials.

Seal the envelope and place the sealed envelope in the case file.

3. Complete a document screen using the appropriate document type for

your settlement as follows:

o Final – SETF * Final – SETF

o Periodic – SETP * Periodic – SETP

* Proposed – SETPR

o Proposed – SETPR

NOTE: If the settlement is filed in advance of the due date, unschedule

(DELSCH) the tickler/scheduled event following instructions in Counter

Screen section of the KyCourts Manual.

EXCEPTION: If a final settlement has been filed in conformity with a

proposed settlement in advance of the due date, do not schedule a

hearing. KRS 395.620.

4. Deliver the settlement to the judge and when an order is received, apply Enter, date, initial

the ENTERED stamp, add the date and your initials.

5. Complete a document screen using document type OAS. Document type OAS

6. Give notice of entry by mailing or hand delivering a copy of the order to NOE

the fiduciary or attorney and any person/entity who has filed a demand

for notice.

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For Informal Settlements Only

NOTE: Informal Settlements are not required to be placed under seal. AOC Form 850

Document types AFF

1. Upon receipt of AOC Form 850 (Informal Final Settlement: Affidavit and

& SETI

Motion), file a document screen using document type AFF & SETI.

NOTE: If there is not a sole beneficiary - AOC Form 851 (Affidavit of AOC Form 851

Waiver of Formal Settlement) will be filed in conjunction with AOC Form

Document type WFS

850. File a document screen using document type WFS.

Deliver to judge

2. Deliver file to Judge.

3. When an Order, AOC Form 850.1, is signed and returned to you, apply Enter, date, initial

the ENTERED stamp to the informal settlement order; add the date and

your initials. File a document screen using document type OAS and Document type OAS

memo "Informal." NOE

4. Give notice of entry by mailing or hand-delivering a copy of the order to

the fiduciary or attorney and any person/entity who has filed a demand

for notice. Print delinquent

calendar

76.1.14 Delinquent Settlements

1. On a monthly basis, print a calendar of the delinquent settlements and

deliver the calendar to the judge. KRS 395.635.

NOTE: Per Tickler System, using a tickler and scheduling an event for the

date the settlement is due allows a delinquent settlement to be

addressed by the judge with the docket associated with the Enter, date, initial

tickler/scheduled event.

2. Upon receipt of an order to notice the fiduciary of the past due

Document type NFF

settlement. If an order is received, apply the ENTERED stamp; add date

and your initials.

3. Complete a document screen using document type NFF.

4. If directed by the court, schedule a hearing by completing a scheduled

events screen. Give notice as directed.

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76.1.15 Publication of Settlement Hearing

1. Publish notice of the hearing in a local newspaper at least 10 days prior Quick Reference

to the hearing. Publish notice of

hearing

EXCEPTION: Unless the court allows the fiduciary to send notices in lieu

of publication, or the court orders no publication or mailing of notice by

the fiduciary when the estate $2,500.00 or less, and the assets of the

trust or estate are held in an account that can only be assessed by court

order. KRS 395.625.

2. Make a notation of the advertisement in the memo field of the Memo

document screen where the settlement is filed. The notice must contain: advertisement

(1) The name of the estate;

(2) The date and time of the hearing;

(3) That exceptions to the settlement must be filed prior to the hearing. Enter, date, initial

3. Upon receipt of a settlement order, apply the ENTERED stamp; add

date and your initials. Document type

OAS

4. Complete a document screen using document type OAS.

NOE

5. Give notice of entry by mailing or hand delivering a copy of the order to

the fiduciary or attorney and any person/entity who has filed a demand

for notice.

NOTE: A party in a district court probate (decedent's estate) case may

file a complaint regarding a district court PROPOSED SETTLEMENT within

30 days from entry of the district court order approving the settlement.

If you receive such a complaint, refer the individual to circuit court.

76.1.16 Sale of Real Estate by Fiduciary

When a motion is filed by a fiduciary for permission to sell real property, it

must be served in the same manner as an initiating document (complaint),

but do not issue a summons. KRS 389A.010; CR 4.01.

PROBATE

When the motion is filed:

Quick Reference

1. Apply the FILED stamp to the motion; add the date and your initials. File, date, initial

2. Complete a scheduled events screen using event type MH and a motion Event type MH

screen using motion type SOP. Motion type SOP

3. Unless waived in writing, written notice of the hearing must be given to

all persons having a vested or contingent interest in the property, as

identified by the fiduciary, at least thirty (30) days prior to the hearing. Notice of hearing

At the direction of the fiduciary, give notice of this hearing by printing a

Court Notice and serve the notice with the motion attached.

4. The fiduciary will direct the method of service of process. Collect fees as

set forth in the Accounting Manual per the selected service method.

5. Upon receipt of an order for Sale of Real Estate apply the ENTERED Enter, date, initial

stamp to the order; add the date and your initials.

6. Enter the order on a document screen using document code OS and Document type OS

include a brief description.

7. Serve notice of entry of the order on every party not in default or who NOE

has not waived notice. Enter the method of service and notice of entry

date on the document screen where the order is entered.

NOTE: An aggrieved party may no later than thirty (30) days from the

date of the order, institute an adversary proceeding in circuit court

pursuant to KRS 24A.120(2) in respect to any order affecting the right of

the fiduciary to sell or mortgage.

76.1.17 Renouncing a Will

When a spouse dies testate (with a will), the surviving spouse may renounce the

Quick Reference

will and release what is given to him or her by the will, if any, and receive his or

her share of the estate under KRS 392.020 as if no will had been made. The

relinquishment and certificate shall be filed within six (6) months after the

admission of the will to probate, provided there is no action contesting the will

is brought. KRS 392.080.

1. Upon receipt of a notarized relinquishment of a will, apply the FILED File, date, initial

stamp to the statement; add the date and your initials.

2. File the statement on a document screen in the existing probate action in Document code

district court using document code MIS and include a brief description. MIS

3. If you receive a motion requesting a hearing, schedule a hearing before

the district judge.

NOTE: The petitioner is responsible for filing the statement of

relinquishment with the county clerk of the county where the will of the

deceased spouse was admitted to probate. The petitioner is responsible

for the county clerk’s recording fee. KRS 392.080.

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76.1.18 Contested Will

 If a will is contested, an original action is filed in circuit court. KRS Quick Reference

394.240.

 Any person aggrieved by the action of the district court in admitting a will

to record or rejecting it may bring an original action in the circuit court of

the same county to contest the action of the district court. Such action

shall be brought within two (2) years after the decision of the district Case type OTH

court.

 Open using case type OTH. See Civil Actions.

76.1.19 Transfer of Probate File

District Court Enter, date, initial

1. Apply the ENTERED stamp to the order; add date and your initials. Document type

2. File a document screen in the district court case using document type OTRN

OTRN. NOE

3. Give notice of entry by mail or hand delivery.

4. If the probate file has not already been closed in district court, close the Disposition type

case by completing the disposition date, disposition type TRF and TRF

judge at disposition fields on the case screen. Transfer the contents

of the case file and the case history to circuit court.

Circuit Court

File, date, initial

1. Upon receipt of the file in circuit court, apply the FILED stamp to the

district court case history; add the date and your initials and file on a Document type

document screen as a single item using document type DCF. DCF

2. Upon receipt of a signed judgment or order, apply the ENTERED stamp

to the order; add date and your initials and complete a document Enter, date, initial

screen. NOE

3. Give notice of entry. Complete the notice of entry method and date on

the document screen. Disposition type

4. Close the case by completing the disposition date, disposition type OTH OTH

and judge at disposition fields on the case screen.

5. If the probate case is transferred, return the district court (probate) case

to district court together with a copy of the circuit court’s final

judgment or order.

6. If the order admits a will to the record, file a copy of the will by applying File, date, initial

the FILED stamp; add date and your initials and certify it. Complete a Document type WI

document screen using document type WI.

PROBATE

Quick Reference

7. Take the original will and a certified copy of the court order to the Certified copy of

county clerk for recording. The petitioner is responsible for the will

recording fee. KRS 64.012; CR 79.05(2). Follow your local protocol

regarding collection of the county clerk’s recording fee through your

office or directing the petitioner to directly pay the county clerk.

76.2 Dispense with Administration

KRS 395.455; 391.030; 395.040

A surviving spouse, child, person who has paid preferred claims, or assignee may ask

the court to direct the transfer of estate assets without further court proceedings if

the value of the estate minus preferred claims is less than $30,000.

76.2.1 Filing Fees AOC Form 830

1. Upon receipt of AOC Form 830 Petition to Dispense with Administration, Collect filing fees

collect filing fees as set forth in the Accounting Manual and give a receipt

or follow the instructions for filing In Forma Pauperis. See Section 57. Do

not apply the FILED stamp or process the petition until the filing fees

are paid.

NOTE: If a case is initially opened as dispensed with administration and a

petition is later filed to administer the estate, you will need to collect the

difference in the filing fees.

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76.2.2 Petition

1. Check your index/KYCourts for a will of the decedent and a previously Quick Reference

assigned case number. If a previous case number for an estate exists

and that number is a computer-generated case number use the same

number and file folder. Probate P Cases

2. If the number is not in the computer or if a case number does not exist, Case type PB

generate the next probate P number or use the next pre-numbered file

folder open the case. For instructions on opening the case, see the Case

Add section of KyCourts Manual. Use case type PB.

3. If the petitioner is seeking to proceed In Forma Pauperis, the petition File, date, initial

must be accompanied by a Motion for Leave to Proceed In Forma

AOC Form 026

Pauperis and a supporting affidavit, or AOC Form 026. See Section 57

Motion for Leave to Proceed In Forma Pauperis for instructions on how

to process a Motion for Leave to Proceed In Forma Pauperis and the

tendered petition. DO NOT proceed with the following steps unless filing

fees have been paid, In Forma Pauperis has been granted, or the

petitioner is the Commonwealth. File, date, initial

4. File the petition to dispense (accompanied by an affidavit of the Document type

beneficiaries to waive administration, AOC Form 831, if applicable) by PDA

applying the FILED stamp; add date and your initials. AOC Form 830,

Petition To Dispense With Administration may be used. Use document

type PDA.

Note: Intestate – File the Petition to Dispense with Administration along File, date, initial

with the written Agreement (Affidavit) signed by all beneficiaries to

waive administration by applying the FILED stamp; add date and your

initials. AOC Form 830 may be used.

5. Upon receipt of a Financial Disclosure Statement, refer to Section 76.1.3.

6. Advise the judge if your records show that administration or letters

testamentary (appointment orders) have been granted prior to the

application for an order dispensing with administration. If administration

or letters testamentary (appointment orders) have been granted

previously, send a copy of the petition to the personal representative.

KRS 395.490.

PROBATE

7. Check the file folder in the front of your probate drawer for any

previously filed creditor's claims or request/demand for notice under Quick Reference

KRS 395.012. Transfer any documents to the estate's file by completing Check for

a document screen and serve this person/entity with any orders entered previously filed

regarding the estate. creditor’s claims

8. If the court orders the filing of a fiduciary bond, collect the bond filing Collect filing fee

fee as set forth in the Accounting Manual and give a receipt. KRS 64.005. AOC Form 825

AOC Form 825, Fiduciary Bond, may be used for this purpose.

9. Apply the FILED stamp to the bond; add date and your initials. File, date, initial

Document type BF

10. File on a document screen using document type BF.

11. After any ordered bond is posted, enter the Order Dispensing with Enter, date, initial

Administration, AOC 830.1, by applying the ENTERED stamp; add date

and your initials. Document type

12. Complete a document screen using document type ODA. Give notice of ODA

entry by mail or hand delivery to the fiduciary and any person/entity NOE

who has filed a demand for notice.

File, date, initial

13. Upon receipt of a will certification along with a petition to dispense,

make a copy of the original will and affix a certification that it is a copy of

the original will. File the copy of the will and complete a document Document type WI

screen using document type WI. Take the original will and a certified

copy of the court order to the county clerk for recording. Petitioner is

responsible for the recording fee. See Will Certification.

14. Close the case by completing the disposition date, disposition type OTH Disposition type

and judge at disposition fields on the case screen. OTH

76.2.3 Advertisement of Petition

It is the responsibility of the petitioner(s) to advertise the petition to dispense

with administration and appointment of fiduciary (trustee). KRS 395.470.

1. File the affidavit of the petitioner(s) indicating that the advertisement

File, date, initial

was made by applying the FILED stamp; add date and your initials.

Document type AFF

2. Complete a document screen using document type AFF.

76.2.4 Designation of Trustee

The order may contain a designation of a trustee who has the same right to sue

for and collect claims and demands as an administrator. This is not the same as

an appointment of a fiduciary.

PROBATE

76.3 Guardian or Conservator for Minor

 Persons under the age 18 may require the appointment of a guardian,

limited guardian, or conservator. Jurisdiction is in district court. KRS

387.020(1).

 Venue

o Resident Kentucky Minor:

If appointment for a guardian, limited guardian, or conservator is

required for a minor who is a Kentucky resident, it shall be made in

the county where the will of the minor's last surviving parent was

probated, if that will nominates a guardian, limited guardian, or

conservator pursuant to KRS 387.040, 387.020(2)(a). In all other

cases for the minor’s last surviving parent, the appointment shall be

made in the county where the minor resides. KRS 387.020(2)(b).

o Nonresident Kentucky Minor:

If appointment is required for a minor who is a nonresident, it shall

be made in the county where the real or personal property of the

minor is located. KRS 387.020(3). If the minor has real or personal

property in more than one (1) county, the appointment shall be

made in any of those counties. The county in which the proceedings

are initiated shall control. KRS 387.020(3).

PROBATE

76.3.1 Petition and Application for Appointment

Quick Reference

1. For instructions on opening the case, see the Case Add section of Probate P case

KyCourts Manual. Generate the next case number for probate P cases or Case type GCJUV or

use the next pre-numbered file folder using case type GCJUV - for CONSVJ

Appointment of a Guardian. Or CONSVJ - for the appointment of a

conservator.

NOTE: If a competing petition/application is received, use the same case

number and file folder.

2. Complete a document screen using document type PGM for appointment Document type

of guardian or PCM for appointment of a conservator. PGM or PCM

3. If the petitioner is seeking to proceed In Forma Pauperis, the petition

must be accompanied by a Motion for Leave to Proceed In Forma

Pauperis and a supporting affidavit, or AOC Form 026. See Section 57

Motion for Leave to Proceed In Forma Pauperis for instructions on how

to process a Motion for Leave to Proceed In Forma Pauperis and the

tendered petition. DO NOT proceed with the following steps unless filing

fees have been paid, In Forma Pauperis has been granted, or the

petitioner is the Commonwealth.

4. Upon receipt of a petition for appointment of guardian, limited guardian AOC Form 852

or conservator AOC Form 852, Petition for Appointment of

Guardian/Conservator for Minor, apply the FILED stamp; add date and File, date, initial

your initials. See Fees for Guardian/Conservator Appointment.

5. The petition must be accompanied by a verified application of the AOC Form 853

person/entity desiring appointment. KRS 387.025(1), AOC Form 853,

Application for Appointment as Guardian/Conservator for Minor. Apply

the FILED stamp; add the date and your initials. Document type

AAM

6. Complete a document screen, using document type AAM.

7. Schedule a hearing by completing a scheduled events screen using event

type OH. Notice of the hearing is given by the petitioner. KRS 395.016.

8. Distribute the copies of the application per the instructions on the

bottom of the petition and note distribution in the memo field of the Distribute copies

document screen.

(1) Minor (if age 14 or older),

(2) Each person/entity named in petition KRS 387.025(5).

NOTE: Do not serve notice of the hearing. Notice of hearing is given by

Do not serve notice

petitioner or petitioner’s attorney. KRS 395.016.

PROBATE

76.3.2 Fees for Guardian/Conservator Appointment

1. Collect filing fees as set forth in the Accounting Manual and give a Quick Reference

receipt or follow the instructions for filing In Forma Pauperis. See Section Collect fees

57. Collect publication

2. Collect a fee for publication of notice of the appointment of the fee

fiduciary. The amount of this fee is set by the newspaper which

publishes the notice. KRS 424.160(1), (4).

NOTE: In limited guardianship, advertisement is not required.

76.3.3 Bond of Guardian/Conservator

AOC Form 825

1. Upon receipt of AOC Form 825 (Fiduciary Bond), collect the bond filing

fee as set forth in the Accounting Manual and give a receipt. Collect fees

Oath to Fiduciaries: “Do you solemnly swear or affirm that you will

faithfully perform the duties of ________________ according to law?”

KRS. 62.030.

2. Apply the FILED stamp to the bond; add the date and your initials.

File, date, initial

3. Complete a document screen using document type BF. Document type BF

4. Attest a copy and give to the fiduciary. Give notice of the filing of the

Attest copy

bond by mailing or hand-delivering a copy of the minor (if age 14 or

older) and each person/entity named in the petition.

EXCEPTIONS:

If the district court directs that the assets of a ward’s estate be deposited

in a restricted account, the guardian or conservator shall be exempt from

giving surety on his or her bond.

Unless otherwise ordered by the court, no bond is required from a

limited guardian KRS 387.070(2) or guardian or conservator nominated

by the will of the minor's last surviving parent if said will requests no

surety. KRS 387.070(3).

5. The fiduciary bond surety may be corporate or personal. KRS 387.070,

395.130, 62.060. See Bonds and Sureties Chapter.

76.3.4 Order Appointing Guardian/Conservator

1. Upon receipt of AOC Form 854, (Order of Appointment of Quick Reference

Guardian/Conservator for Minor), apply the ENTERED stamp (after the AOC Form 854

fiduciary bond, if required, is posted); add date and your initials. Enter, date, initial

2. Complete a document screen using document type OAG for appointment

of guardian or OCON for appointment of conservator. *Guardian – OAG

*Conservator –

3. Give notice of entry by mailing or hand delivering a copy of the order to OCON

the minor (if age 14 or older) and each person or entity named in the

petition. NOE

PROBATE

76.3.5 Tickler System for Guardian/Conservator

1. Create a tickler system for the filing of the inventory and settlement by Quick Reference

completing a scheduled events screen using event type IN for inventory *Inventory – IN

and STL for settlement for the date the inventory and settlement is due *Settlement – STL

to be filed.

2. An inventory must be filed within 60 days of appointment. Schedule the Schedule inventory

settlement for one year after the date of the appointment. Schedule

settlement

76.3.6 Advertising Appointments

NOTE: Do not advertise Limited Guardianship. Quick Reference

1. The clerk shall advertise monthly all fiduciary appointments made since Advertise all

the last publication. One notice is sufficient. KRS 424.340. fiduciary

appointments

2. At the beginning of each month, start a new list of appointments of

fiduciaries to be advertised. Add to your list as appointments are made

during the month. At the end of the month, your list is complete and

ready for publication. Use column headings on your list to match those

items contained below regarding what the publication must contain:

(1) The name and address of the person whose estate is being

administered;

(2) The name and address of the fiduciary;

(3) The date of appointment;

(4) The date by which creditors must file their claims (6 months after

the appointment of the fiduciary), KRS 395.190;

(5) The name and address of the attorney representing the fiduciary,

if any. KRS 424.340.

3. The publication fee is collected from the petitioner when the petition is

filed. KRS 424.160(4).

4. Select a newspaper for the ads which meets the publication criteria as

set out in Publication of Appointments.

PROBATE

5. Make a notation of the advertising of the appointment in the memo field Quick Reference

of the document screen where the order of appointment is filed. Do not Do not keep copy

keep a copy of the publication in each case file. of publication in

each case file

6. The notice shall state that creditors must present their claims within six

(6) months after the appointment of the personal representative or be

forever barred.

76.3.7 Disposition

Close the case by completing the disposition date, disposition type, and judge at

disposition fields on the case screen. Do not reopen the case when a settlement

is filed.

76.3.8 Inventory for Minor

A guardian or conservator must file an inventory within 60 days of appointment.

KRS 387.100.

1. Apply the FILED stamp to the inventory; add date and your initials. File, date initial

Document type INV

2. Complete a document screen using document type INV.

3. If the inventory is filed in advance of the due date, delete the scheduled

event following instructions in Counter Screen section of KyCourts

Manual.

Deliver calendar of

delinquent

76.3.9 Delinquent Inventory settlements to

judge

1. On a monthly basis, print a calendar of the delinquent inventories and

present the calendar to the judge. KRS 395.255.

AOC Form 845

2. Upon receipt of AOC Form 845 Notice of Failure to File, apply the Enter, date, initial

ENTERED stamp; add the date and your initials.

3. Complete a document screen using document type NFF. Document type NFF

4. Give notice of entry as directed by the court. NOE

76.3.10 Settlement for Minor

Guardians and conservators must file settlements as outlined below.

One year after appointment and annually thereafter. KRS 387.175.

1. Apply the FILED stamp; add date and your initials. File, date, initial

2. Complete a document screen using document type SET. Document type SET

PROBATE

If the minor's estate is valued at $5,000 or less, one year after appointment Quick Reference

and every two years thereafter. KRS 387.175.

File, date, initial

1. Apply the FILED stamp; add date and your initials.

2. Complete a document screen using document type SET. Document type SET

Final Settlement upon termination of appointment KRS 387.175; 395.610(1).

1. Apply the FILED stamp; add date and your initials. File, date, initial

Document type

2. Complete a document screen using document type SETF. SETF

If the settlement is filed in advance of the due date:

Unschedule/delete the scheduled event (DELSH) following instructions in

Counter Screen section of KyCourts Manual.

76.3.11 Advertisement of Settlements

Final Settlement

1. Publish notice of the filing of the settlement in a local newspaper at least

10 days prior to the hearing, unless the court allows the fiduciary to send Publish notice

notices in lieu of publications or the court orders no publication or

mailing of notice by the fiduciary when the estate is less than $2500.00.

KRS 395.625. The notice must contain:

(1) Name of the estate;

(2) The date and time of the hearing;

(3) That exceptions of the settlement must be filed prior to the

hearing. Memo

advertisement

2. Make a notation of the advertisement in the memo field of the

details

document screen where the settlement is filed.

Periodic Settlements

Generally, newspaper advertisement of notices of the filing of annual accountings

(i.e., periodic settlements) are not required unless a hearing date has been set on

the written report of the settlement. The notice must contain:

• Name of the estate;

• The date and time of the hearing;

• That exceptions of the settlement must be filed prior to the hearing.

EXCEPTIONS:

o When the court allows the fiduciary to send written notice of the

hearing in lieu of advertising.

o If the value of the trust or estate is less than $2,500 and the assets

are held in an account only accessible via order of the court.

PROBATE

o Reports and settlements of guardians and conservators of mentally Quick Reference

disabled persons are not to be advertised.

o Guardians under the Uniform Veterans’ Guardianship Act.

o A hearing on a settlement (annual or final) filed in conformity with Memo

an approved proposed settlement made under KRS 395.617. advertisement

details

1. Make a notation of the advertisement in the memo field of the

document screen where the settlement is filed. Enter, file, initial

2. Upon receipt of a settlement order, apply the ENTERED stamp; add Document type

date and your initials. OAS

3. Complete a document screen using document type OAS.

Notice of entry

4. Give notice of entry by mailing or hand-delivering a copy of the order to

the fiduciary or attorney.

76.3.12 Delinquent Settlement

Present delinquent

1. On a monthly basis, print a calendar of the delinquent settlements and settlements to

present the calendar to the judge. KRS 395.255. judge

2. Upon receipt of AOC Form 845 Notice of Failure to File, apply the AOC Form 845

ENTERED stamp; add the date and your initials. Enter, date, initial

3. Complete a document screen using document type NFF. Document type NFF

76.3.13 Sale of Real Estate by Guardian/Conservator

File, date, initial

1. Upon receipt of a motion filed by a Guardian/Conservator for permission

to sell real property, apply the FILED stamp; add the date and your

initials.

2. Complete a scheduled events screen using event type MH and add a Event type MH

motion screen using type SOP. The motion must be served in the same Motion type SOP

manner as an initiating document (complaint), but do not issue a Do not issue

summons. KRS 389A.010; CR 4.01. summons

3. Unless waived in writing, written notice of the hearing must be given to Notice of hearing

all persons having a vested or contingent interest in the property, as

identified by the guardian/conservator, at least thirty (30) days prior to

the hearing. At the direction of the guardian/conservator, give notice of

this hearing by printing a Court Notice and serve notice with the motion

attached. See Service of Process.

4. Upon receipt of an order for permission to sell real property; apply the Enter, date, initial

ENTERED stamp to the order; add the date and your initials.

5. Enter the order on a document screen including a brief description.

6. Serve notice of entry of the order on every party not in default or who NOE

has not waived notice. Enter the method of service (mail or personal

delivery) and notice of entry date on the document screen where the

order is entered.

PROBATE

76.4 Trust Estate

KRS 386B.2-050

 A trust is a relationship whereby property (real or personal, tangible or

intangible) is held by one party for the benefit of another.

 A statement/registration of trust creates a new case. Do not enter into

existing probate case if one exists.

76.4.1 Statement/Registration of Trust

Quick Reference

NOTE: There is no filing fee for registering a trust. A trust is registered by the No filing fee

filing of a statement that indicates the name and address of the trustee in which

the trustee identifies the type of trust:

• Testamentary Trust (created by will): by the name of the testator and

the date and place of domiciliary probate;

• Written Inter Vivos (Living) Trust: by the name of each settlor and the

original trustee and date of the trust instrument;

• Oral Trust: by identifying the settlor or other source of funds and

describing the time and manner of the trust's creation and the terms of

the trust, including the subject matter, beneficiaries, and time of

performance).

 Acknowledges the trusteeship and indicates whether the trust has been

registered elsewhere.

1. Upon receipt of a statement for registering a trust, apply the FILED File, date, initial

stamp; add date and your initials.

Probate P cases

2. For instructions on opening the case, see the Case Add section of the

KyCourts Manual. Generate the next case number for probate P cases or

Case type CONSVA

use the next pre-numbered file folder. Use case type CONSVA - and CONSVJ

CONSERVATORSHIP/TRUSTEESHIP ADLT and CONSVJ -

CONSERVATORSHIP/TRUSTEESHIP- JUVENILE. Do not issue

3. Do not issue a summons. summons

4. Complete a document entry for the statement using document type

Document type

ROT.

ROT

PROBATE

76.4.2 Administering/Petition Pertaining to a Trust

 Follow the procedures below for all petitions, including those to approve a Quick Reference

proposed modification or termination of a trust or to contest the validity of

a trust.

1. When a petition pertaining to a trust is received, collect filing fees as set Collect filing fees

forth in the Accounting Manual and give a receipt or follow the

instructions for filing In Forma Pauperis. See Section 57. Do not apply

the filed stamp or process the petition until the filing fees are paid.

2. For instructions on opening the case, see the Case Add section of the

KyCourts Manual.

3. Check your index for a previously assigned case number for registration

of trust. If a number exists and that number is a computer-generated

case number, use the same number and file folder. If the number is not

in the computer or a case number does not exist, generate the next case

Case type CONSVA

number CONSVA - CONSERVATORSHIP/TRUSTEESHIP ADLT and

and CONSVJ

CONSVJ - CONSERVATORSHIP/TRUSTEESHIP- JUVENILE.

4. If the petitioner is seeking to proceed In Forma Pauperis, the petition

must be accompanied by a Motion for Leave to Proceed In Forma

Pauperis and a supporting affidavit, or AOC Form 026. See Section 57

Motion for Leave to Proceed In Forma Pauperis for instructions on how

to process a Motion for Leave to Proceed In Forma Pauperis and the

tendered petition. DO NOT proceed with the following steps unless filing

fees have been paid, In Forma Pauperis has been granted, or the

petitioner is the Commonwealth.

5. Apply the FILED stamp to the petition; add date and your initials.

6. Do not issue a summons. Do not issue

summons

7. Provide the Trustee with a copy of the petition that has been stamped

FILED.

76.4.3 Appointment of a Guardian Ad Litem

KRS 386B.3-050

If the court determines it is necessary, the court may appoint a GAL for a

minor, incapacitated or unborn individual or a person whose identity or

location is unknown. A GAL may be appointed to represent several persons or

interest. For more information, see Guardian Ad Litem.

PROBATE

76.4.4 Hearing Notice

The petitioner (not the clerk) is responsible for providing notice of the time and

place of any hearing to any interested person or attorney. KRS 386B.1-070(4).

The petitioner will file proof of this notice with you.

File, date, initial

1. Apply the FILED stamp to the notice; add date and your initials.

Document type NH

2. Complete a document screen using document type NH.

Event type OH

3. Schedule the hearing by completing a scheduled events screen using

event type OH.

PROBATE

76.4.5 Bond for Trustee

Quick Reference

1. When a trustee appears to post a bond, (AOC Form 825, Fiduciary Bond)

AOC Form 825

may be used.

NOTE: Clerk must attest to the fiduciary/surety identity and signature

and administer the oath. KRS 395.140(2)

Oath to Fiduciaries: “Do you solemnly swear or affirm that you will

faithfully perform the duties of ________________ according to law?”

KRS. 62.030.

2. Collect the fiduciary's bond filing fee as set forth in the Accounting

Collect fees

Manual and give a receipt. KRS 64.005.

File, date, initial

3. Apply the FILED stamp to the bond; add date and your initials.

AOC Form 820

4. File on a document screen using document type BF. Document type BF

NOTE: The bond must be posted before the order of appointment of

fiduciary is entered. AOC Form 820.1

5. After the bond is posted, enter the Order Appointing the Trustee, AOC Enter, date, initial

820.1, by applying the ENTERED stamp; add date and your initials.

6. Complete a document screen using document type OAT. Document type

OAT

7. Give notice of entry by mail or hand delivery to the fiduciary.

Give notice of entry

8. Close the case at the time of appointment of the trustee by completing

Disposition type

the disposition date, disposition type OTH and judge at disposition fields

OTH

on the case screen. Do not reopen the case when a settlement is filed.

76.4.6 Settlement of Trust

All trustees, except for testamentary trustees, will make a final settlement at

the conclusion of the trust. KRS 395.610.w

1. When a settlement is received, apply the FILED stamp; add date and File, date, initial

your initials. Document type

2. Complete a document screen using document type SETF. Deliver to the SETF

judge.

3. When a signed order approving the settlement is received, apply the Enter, date, initial

ENTERED stamp; add date and your initials.

Document type

4. Complete a document screen using document type OAS. OAS

5. Give notice of entry by mailing or hand-delivering a copy of the order to Give notice of entry

the trustee or attorney.

PROBATE

76.4.7 Cy Pres/Charitable Trust

KRS 386B.130

The circuit court has exclusive jurisdiction over actions to identify a charitable

beneficiary of a trust. If you receive a charitable trust action process it as a

circuit civil action.

76.4.8 Sale of Real Estate by Trustee

Quick Reference

1. Upon receipt of a motion by a trustee for permission to sell real

property, apply the FILED stamp to the motion; add the date and your File, date, initial

initials.

Event type MH

2. Complete a scheduled events screen using event type MH and a motion Motion type SOP

screen using motion type SOP.

Do not issue

3. The motion must be served in the same manner as an initiating summons

document (complaint), but do not issue a summons. KRS 389A.010; CR

4.01.

4. Unless waived in writing, written notice of the hearing must be given to

all persons having a vested or contingent interest in the property, as Give notice of

identified by the trustee, at least thirty (30) days prior to the hearing. At hearing

the direction of the trustee, give notice of this hearing by printing a

Court Notice and serve the notice with the motion attached. For more

information, see Service of Process.

5. Upon receipt of a signed order for sale of real estate by trustee, apply Enter, date, initial

the ENTERED stamp to the order; add the date and your initials.

6. Enter the order on a document screen including a brief description. Enter order

7. Serve notice of entry of the order on every party not in default or who

Notice of entry

has not waived notice. Enter the method of service (mail or personal

delivery) and notice of entry date on the document screen where the

order is entered.

PROBATE

76.5 Miscellaneous Probate Appointments

KRS 395, KRS 387.290 et seq.

76.5.1 Curators of Convicts, Absent and Aged/Infirmed Persons

District Court Quick Reference

Upon receipt of an appointment of a curators of convicts, absent and

aged/infirm persons collect filing fees as set forth in the Accounting Manual

and give a receipt or follow the instructions for filing In Forma Pauperis. See

Collect filing fees

Section 57.

Curator of Convicts only: KRS 387.290.

CURATOR

1. In addition to the filing fee, collect certified mailing fees as set forth in

CONVICTS:

the Accounting Manual.

Collect certified

2. Collect publication fees for the publication of notice of the appointment

mailing fees

of the fiduciary.

3. Notify the convicted person by certified mail, return receipt requested,

Collect publication

that the petition has been filed; address this notice to the correctional

fees

facility where the person is incarcerated.

NOTE: All publication fees are set by the newspaper and are paid by the

Notice of petition

petitioner. KRS 424.340.

Curator for Absent Persons only: KRS 395.430.

1. In addition to the filing fee, collect mailing fees as set forth in the

Accounting Manual. CURATOR FOR

ABSENT PERSONS:

2. Notify the absent person by certified mail, return receipt requested, that

the petition has been filed; address this notice to his last known address Collect mailing fees

as shown in the petition.

Notify absent

3. Collect fees for publication of notice of the appointment of the fiduciary. person the petition

KRS 424.340. was filed

NOTE: All publication fees are set by the newspaper and are paid by the

Collect fees for

petitioner.

publication of

Curator for Aged or Infirm Person only: KRS 387.320. notices

A person who deems himself unfit by reason of advanced age or physical CURATOR FOR

disability and weakness to manage real or personal property or business may AGED OR

petition the district court to appoint a curator. No notice or public hearing is INFIRMED ONLY:

required.

No notice required

PROBATE

76.5.2 Petition for Curators of Convicts, Absent and

Aged/Infirmed Persons

1. Apply the FILED stamp to the petition; add the date and your initials Quick Reference

using case type OTH. For instructions on opening the case, see the Case File, date, initial

Add section of the KyCourts Manual. Generate the next case number for Case type OTH

probate P cases or use the next pre-numbered file folder. If a hearing is Probate P cases

scheduled, complete a scheduled events screen using event type OH. Event type OH

2. Usually summons is not issued in these cases; notice requirements vary Follow court order

from case to case. Follow any court orders as to notice. for notice

3. The fiduciary's bond must be approved by the court, and you must attest

it. Upon receipt of a fiduciary bond collect the bond fee as set forth in

the Accounting Manual and give a receipt. KRS 64.005.

NOTE: Clerk must attest to the fiduciary/surety identity and signature

and administer the oath. KRS 395.140(2)

Oath to Fiduciaries: “Do you solemnly swear or affirm that you will

faithfully perform the duties of ________________ according to law?”

KRS. 62.030.

4. Apply the FILED stamp to the bond; add the date and your initials and

File, date, initial

complete a document screen using document type BF.

Document type BF

NOTE: The bond must be posted before the order of appointment of

fiduciary is entered.

5. Upon entry of a posted bond, enter the order appointing fiduciary.

Enter, date, initial

6. Apply the ENTERED stamp; add the date and your initials and file on a

Document type

document screen using document type OFID.

OFID

7. Upon request, provide certified copies of the appointment. Collect a

certification fee and a copy fee as set forth in the Accounting Manual

and give a receipt.

8. Publish notice of appointment of fiduciaries in a local newspaper along

with other fiduciary appointments for the month. KRS 424.340. Publish notice of

NOTE: This is not required for appointment of curator for aged or infirm appointment

person. KRS 387.320.

9. Upon receipt of a settlement, apply the FILED stamp; add the date and File, date, initial

your initials.

10. File a document screen using document type SET. Publish notice of the

hearing unless the court allows the fiduciary to send notices in lieu of Document type SET

publication. KRS 395.625.

Memo

11. Make a notation of the advertisement in the memo field in the advertisement

document screen.

PROBATE

12. When a settlement order is received, apply the ENTERED stamp; add Quick Reference

the date and your initials and enter on a document screen. Enter, date, initial

13. Give notice of entry by mail or hand delivery to the fiduciary or attorney. Notice of entry

14. Close the case by completing the disposition date, disposition type OTH Disposition type

and judge at disposition fields on the case screen. OTH

76.6 Transfer of Fiduciary Account

 A bank or trust company may transfer fiduciary accounts to an affiliate bank

or trust company in the Commonwealth, providing written notice of the last

account status report is given to the recipient thirty (30) days prior to the

transfer. The bank's notice shall include the recipient's right to object to the

transfer. KRS 286.3-140.

1. Upon receipt of a notice to transfer fiduciary account apply the FILED

stamp; add the date and your initials.

File, date, initial

2. If there is an existing case, complete a document screen in using

Document Type:

document type NO - Notice Other and memo “Notice to Transfer

NO

Fiduciary Account.” If there is no existing case follow steps below in

Affidavit of Transfer (No Objection Received) or Affidavit of Transfer

(Objection to Transfer) as appropriate regarding adding the case.

76.6.1 Affidavit of Transfer (No Objection Received)

Within ten (10) days after a bank or trust company transfers an account, the

transferring agency must file an affidavit regarding the transfer.

Collect filing fees

1. Collect filing fees as set forth in the Accounting Manual and give a receipt

or follow the instructions for filing In Forma Pauperis. See Section 57. Do

not apply the FILED stamp or process the affidavit until the filing fees File, date, initial

are paid.

2. Use case type OTH. For instructions on opening the case, see the Case

Add section of the KyCourts Manual. Generate the next case number for

probate P cases or use the next pre-numbered file folder. Case Type OTH

3. If there is an existing case add the affidavit as a document using

document code AFF and memo affidavit of transfer.

Document type:

4. If the petitioner is seeking to proceed In Forma Pauperis, the affidavit AFF

must be accompanied by a Motion for Leave to Proceed In Forma

Pauperis and a supporting affidavit, or AOC Form 026. See Section 57

Motion for Leave to Proceed In Forma Pauperis for instructions on how Disposition type

to process a Motion for Leave to Proceed In Forma Pauperis and the OTH

tendered affidavit. DO NOT proceed with the following steps unless filing

fees have been paid, In Forma Pauperis has been granted, or the

petitioner is the Commonwealth.

PROBATE

5. Apply the FILED stamp to the affidavit; add the date and your initials. Quick Reference

The affidavit will be the initiating document. File, date, initial

6. Do not issue a summons. Do not issue

7. Close the case by completing the disposition date (same as filing date), summons

disposition type OTH and judge at disposition (same as open judge) Case type OTH

fields on the case screen.

76.6.2 Affidavit of Transfer (Objection to Transfer)

1. If there is no existing case, collect filing fees as set forth in the

Accounting Manual and give a receipt or follow the instructions for filing Collect filing fees

In Forma Pauperis. See Section 57. Do not apply the FILED stamp or

process the affidavit until the filing fees are paid.

2. If there is no existing case, add the case using case type OTH. Refer to Case type OTH

the Case Add section of the Kycourts Manual for instructions on opening

the case.

3. Generate the next case number for probate P cases or use the next

prenumbered file folder. Probate P Case

4. If there is an existing case, file the Objection by completing a document

screen using document type OBJ and memo “Objection to Transfer of Document type OBJ

FIDUCIARY Account.”

5. If the petitioner is seeking to proceed in forma pauperis, the affidavit

must be accompanied by a Motion for Leave to Proceed In Forma

Pauperis and a supporting affidavit, or AOC Form 026. See Section 57

Motion for Leave to Proceed In Forma Pauperis for instructions on how

to process a Motion for Leave to Proceed In Forma Pauperis and the

tendered affidavit. DO NOT proceed with the following steps unless

filing fees have been paid, In Forma Pauperis has been granted, or the

petitioner is the Commonwealth.

6. Upon receipt of an Objection, apply the FILED stamp to the

Objection; add the date and your initials. The objection is the initiating File, date, initial

document. Issue summons if

7. If requested, issue a summons by completing by completing a summons requested

screen and schedule a hearing by completing a scheduled events screen Event type OH

using event type OH.

Enter, date, initial

8. When a signed order is received, apply the ENTERED stamp; add the

date and your initials.

NOE

9. Enter the order on a document screen and give Notice of Entry to all

parties or attorneys.

PROBATE

76.7 Name Change

KRS 401

76.7.1 Petition

1. Upon receipt of a petition for a name change, apply the FILED stamp to Quick Reference

the petition; add date and your initials. File, date, initial

2. Collect filing fees as set forth in the Accounting Manual and give a

receipt or follow the instructions for filing In Forma Pauperis. See Section Collect filing fees

57. Do not apply the FILED stamp or process the affidavit until the filing

fees are paid.

Document type

3. For instructions on opening the case, see the Case Add section of the PNC

KyCourts Manual. Use document type PNC. Generate the next case

number for district probate P cases or use the next pre-numbered file Probate P cases

folder.

NOTE: Open a new case for each new petition for name change on the

same petitioner. Cross reference the new case to any previous name

change “P” case. Do not issue

summons

4. Do not issue a summons. Use case type NC.

Case type NC

5. If the petitioner is seeking to proceed Iin Forma Pauperis, the petition

must be accompanied by a Motion for Leave to Proceed In Forma

Pauperis and a supporting affidavit, or AOC Form 026. See Section 57

Motion for Leave to Proceed In Forma Pauperis for instructions on how

to process a Motion for Leave to Proceed In Forma Pauperis and the

tendered petition. DO NOT proceed with the following steps unless filing

fees have been paid, In Forma Pauperis has been granted, or the

petitioner is the Commonwealth.

Schedule hearing

6. Schedule a hearing by completing a scheduled events screen and notify

the petitioner of the hearing date.

76.7.2 Petition of Name Change for Minor/Juvenile

When a petition for a name change is received on behalf of a minor/juvenile:

Quick Reference

1. Do not issue a Notice of hearing for a name change if the petition for

name change is signed by both biological parents. Issue summons

only to absent

2. Do generate a Notice of hearing for a name change for the absent biological parents

biological parent(s), by completing a summons screen using summons

type NC. CR 4.02, CR 4.04(1). The clerk is required under CR 4.01(1) to

issue a summons immediately upon the filing of a complaint/petition.

Serve the summons as directed by the plaintiff/petitioner. See Service of

Process.

PROBATE

3. A name change petition for a child may be filed in Family Court or Circuit Quick Reference

Court (of a county without a Family Court) when the Family or Circuit

Court has a case before it involving the family. When filed in an active CI There is no filing

fee when filed in an

or J case there is no filing fee for the name change petition. KRS

active CI or J case

401.020.

NOTE: Hearing on petition shall be scheduled no later than sixty (60)

days from the date of service. KRS. 401.020 (2).

76.7.3 Order of Name Change

1. Upon receipt of a signed order, apply the ENTERED stamp; add date Enter, date, initial

and your initials.

2. Complete a document screen using document type OCN. Document type

OCN

3. Give notice of entry by mailing or hand delivering a copy of the order to

the parties and attorneys, if any. Complete notice of entry method and Give notice of entry

date on the document screen.

4. If the name change is granted, send a certified copy of the order to the Send certified copy

county clerk's office for recording and instruct the petitioner to pay the of order to county

recording fee to the county clerk. KRS 64.012, 401.040. clerk

5. If the name change is granted, add in the party screen party types FKA Add party types

(formerly known as) and NKA (now known as) as stated on the Order of FKA and NKA

Name Change.

6. Close the case by completing the disposition date, disposition type OTH Disposition type

and judge at disposition fields on the case screen. OTH

NOTE: Correction to Birth Certificates should be filed as a Circuit Civil

action. Corrections to Marriage Certificates may be filed as a Circuit Civil

action. Effective June 27, 2025, and pursuant to KRS 402.235, a county

clerk where a marriage license was issued or recorded, upon receipt of

an affidavit executed by both parties to the marriage, may correct a

marriage application or marriage license that contains errors or omitted

information.

PROBATE

76.8 Power of Attorney

KRS 457.160

76.8.1 Petition Quick Reference

1. Upon receipt of a Petition to construe a power of attorney or review the Collect filing fee

agent’s conduct, collect the filing fees as set forth in the Accounting

Manual for a probate and give a receipt.

File, date, initial

2. Apply the FILED stamp to the petition; add the date and your initials.

For instructions on opening the case, see the Case Add section of

KyCourts Manual.

3. Assign to a division using the procedure in your local court rules.

Generate the next case number for district civil P cases or use the next Document type

pre-numbered file folder. COM

4. File on a document screen using document type COM. Do not issue

5. Do not issue a summons. summons

6. Have the judge assign a hearing date (or do this yourself if the judge has Calendar hearing

delegated this duty to you). Calendar the hearing by completing a

scheduled events screen.

7. Upon receipt of a signed order, apply the ENTERED stamp; add the date Enter, date, initial

and your initials.

8. Enter the order on the document screen. Serve notice of entry on the Notice of entry

parties. The method of service and date of service must be completed on

the document screen. See Notice of Entry. Close case

9. When the order closes the case, complete the disposition date, Disposition type

disposition type OTH (memo details) and judge at disposition fields on OTH

the case screen.

PROBATION AND PAROLE FEE – OUT OF COUNTY

77 PROBATION AND PAROLE FEE- OUT OF

COUNTY

KRS 439.315

Circuit Court

 The Corrections Cabinet is statutorily required to keep an account of all

payments made by a probationer or parolee. The responsibility of the clerk

is limited to receiving and receipting the payment of the parole or probation

fee.

 Do not open a case or assign a case number.

77.1 Fee/Receipt

When an individual appears in your office to pay a probation and parole

fee:

1. The defendant will indicate the amount of the fee to be paid. Take the

payment as directed by the defendant.

2. Prepare a receipt and distribute the copies as follows:

• defendant;

• Probation and Parole;

• Bookkeeping.

3. Refer questions your office may have concerning the collection of this

fee to Court Services.