probate - cdn.ymaws.com

1 Published September 2014 Revised August 2015

PROBATE

This chapter contains information that will assist the clerk in performing the duties of his or her job relevant to most probate actions. If the information does not specifically provide direction to the clerk to perform something or do something, then it is intended for explanation, clarification, or reference only. If the information provides direction such as “the clerk shall, the clerk must, or the clerk will,” then it is a duty that you must perform, or must not perform, according to Iowa Code (the most recent publication) or best practice of court procedure as determined by the Clerk’s Manual Committee as approved by State Court Administration (hereafter referred to as Best Practice). You will see “DUTY” placed by information that represents a duty to perform or not perform. GENERAL INSTRUCTIONS THAT APPLY TO ALL PROBATE, CONSERVATORSHIP, GUARDIANSHIP, AND TRUST CASES: 1. When an instruction states that the clerk shall docket and/or enter a court order/judicial officer’s order

the clerk shall also assess the order fee. (Link to Fees and Costs in Probate) 2. When the instructions state a specific code (case type, financial, closing, subtype, etc.), the clerk shall

only use that specific code. If no specific code (case type, financial, closing, subtype, etc.), is stated in the instructions, the clerk shall refer to the codes in the ICIS instructions or the Fee Schedules. (Link to ICIS Instructions and Probate Fee Schedule)

Probate includes all matters and proceedings pertaining to administration of estates, guardianships, conservatorships and trusts. All petitions, reports, and applications for orders in probate must be in writing, verified, acknowledged or certified, and self-explanatory. If the petition, report, or application is certified, substantially the following language shall be used: “I certify under penalty of perjury and pursuant to the laws of the state of Iowa that the preceding is true and correct.” [Iowa Code § 633.35] A. General Definitions Relevant to Probate B. Jurisdiction of the Probate Court C. Appointment of Attorney under Chapter 633 D. Probate Powers of the Clerk E. Estates 1. Procedure for Opening an Estate - Testate

Petition

Letter of Appointment

Certificate of Admission of Will to Probate 2. Opening an Estate without a Will (Intestate) 3. Necessary Filings after Estate Opened

Claims in Probate

Medical Assistance Claims

Report and Inventory

Election of Surviving Spouse 4. Procedure for Closing an Estate 5. Reopening An Estate 6. Actions to set Aside or Contest a Will 7. Declaratory Judgment 8. Removal of Executor or Other Similar Action F. Miscellaneous Probate Filings 1. Request for Notice 2. Disclaimer 3. Felonious Death 4. Estates of Absentees 5. Presumption of Death

https://www.legis.iowa.gov/DOCS/ACO/IC/LINC/Section.633.35.pdf


6. Missing Heir/Inability to Distribute Estate Assets/Unclaimed Property 7. Fiduciary Bond 8. Inheritance Tax Appraisers G. Small Estate – Chapter 635 H. Clearance for Inheritance Tax (CIT) I. Distribution of Property by Affidavit (Small Estate Affidavit) J. Safekeeping of Wills K. Will Only (After Death of Testator) L. Transcripts M. Change of Title – Certification N. Probate Reports and Delinquencies O. Ancillary Administration P. Probate of Will without Administration Q. Conservatorships 1. Petition to Open Conservatorship 2. Appointment of Conservator on Voluntary Petition 3. Appointment of Conservator 4. Actions to Set Aside or Contest a Conservatorship 5. Declaratory Judgment 6. Removal of Conservator or Other Similar Action 7. Procedure in Lieu of Conservatorship for a Minor (Custodianship) 8. Conservatorships for Absentees 9. Standby Conservatorships 10. Foreign Conservatorships 11. Duties and Powers of Conservator 12. Claims 13. Conservator’s Inventory and Reports 14. Payment of Court Costs in Conservatorship 15. Termination of Conservatorship 16. Reopening a Conservatorship R. Guardianship 1. Opening Procedures 2. Appointment of Guardian on Voluntary Petition 3. Temporary Guardianship 4. Appointment of Guardian on Standby Basis 5. Appointment of Guardian 6. Actions to Set Aside or Contest Guardianship 7. Declaratory Judgment 8. Removal of Guardian or Other Similar Action 9. Rights of Ward Under Guardianship 10. Guardian’s Reports 11. Fees and Costs 12. Re-opening a Guardianship 13. Emergency Order for Protective Services 14. Transfer of Guardianship of a Child in Need of Assistance from Juvenile Court to Probate Court 14. Proceeding in More than One State 16. Transfer of Guardianship or Conservatorship from Another State S. Joint Conservatorship/Guardianships T. Trusts U. Change of Venue in Probate Court V. Fees and Costs in Probate W. Interpreters X. Appeal of Probate Case


ICIS Instructions for Probate Delinquency Tables by Type Probate Event Codes Methods for Re-Opening all Probate Case Types CPW 150 Report of Delinquency Instructions Troubleshooting

A. General Definitions Relevant to Probate 1. Administrator - Any person appointed by the court to administer an intestate estate. 2. Ancillary Administration - Administration of an estate in another jurisdiction where a decedent had

property, but where the decedent did not live. 3. Attorney of Record - The attorney named in the permanent record or file of a case that bears the

ultimate responsibility for the handling of the case on behalf of the party he or she represents. 4. Bequeath - To give personal property by will to another. As used in the Code, bequeath includes the

word “devise,” a verb which normally means to give realty by will to another. 5. Bequest - A gift by will of personal property; a legacy. As used in the Code, it includes the word

“devise,” a noun which normally means a gift of realty under a will. 6. Cash Bond - A type of appearance bond in which the defendant deposits money with the court for his

or her appearance instead of having sureties sign his or her bond. 7. Certified Copy - A copy of a document with a certificate attesting that the copy is a true and correct

copy of a document on file. 8. Codicil - A supplement or an addition to a will; it may explain, modify, add to, subtract from, qualify,

alter, restrain, or revoke provisions in a will. 9. Conservator - A person appointed by the court to have the custody and control of the property of a

ward under the provisions of the Iowa Code. 10. Costs of Administration - In probate matters includes court costs, fiduciary’s fees, attorney fees, all

appraiser’s fees, premiums on corporate surety bonds, statutory allowance for support of surviving spouse and children, cost of continuation of abstracts of title, recording fees, transfer fees, transfer taxes, agents’ fees allowed by order of court in connection with the administration of the estate. Court costs shall include expenses of selling property.

11. Decedent - A deceased person. 12. Delinquency - A case in which the required reporting is past due based on a chronology by case type.

A record is maintained in ICIS that tracks timeliness of reporting. 13. Escheat - The right of the state to take property to which no one else has a valid claim. 14. Estate - The interest which one has in real or personal property; most commonly used in probate

matters to describe the real and personal property of a decedent, a ward, or a trust.


15. Executor - A person named in a will to carry out its terms that is to execute the will; under the Iowa Code, any person appointed by the court to administer the estate of a testate decedent.

16. Fiduciary - Person having a legal relationship of trust and confidence to another and having a duty to

act primarily for the other's benefit. In Probate: Includes a personal representative, guardian, conservator, and trustee

17. Guardian - A person who has the legal duty and power to take care of the person who because of

some disability, usually age or incompetence, is considered incapable of administering his/her own affairs.

18. Guardian Ad Litem - A person appointed by the court during the course of a litigation, in which an

infant or person mentally incompetent is a party, to represent and protect the interests of the infant or incompetent.

19. Heir - Any person, except the surviving spouse, who is entitled to property of a decedent under the

statutes of intestate succession. 20. Incompetent - Any person who has been adjudicated by a court to be incapable of managing his/her

property, or caring for his/her own person, or both. 21. Intestate - Dying without having made a valid will. 22. Letters - Includes letters testamentary, letters of administration, letters of guardianship, letters of

conservatorship, and letters of trusteeship. Most commonly used in probate matters. 23. Oath - Any form of affirmation by which a person signifies that he/she is bound in conscience to

perform an act faithfully and truthfully. 24. Personal Representative - Includes executor and administrator. 25. Probate - The act or process of proving the validity of a will. 26. Probate Court - The court in Iowa which handles matters of probate; that is, wills, estates, etc. 27. Temporary Administrator - Any person appointed by the court to care for an estate pending the

probating of a proposed will, or to handle any special matter designated by the court. 28. Temporary Ward - The acquiring of temporary jurisdiction over a child for whom a petition has been

accepted after adjudication. Parental rights and responsibilities are not terminated. 29. Testate - An estate established when a person dies having made a will. 30. Transcript - A certified record of probate proceedings. 31. Trustee - The person or persons appointed as trustee by the instrument creating the trust, or the

person or persons appointed by the court to administer the trust. 32. Trusts - In probate court includes only: Testamentary trusts; express trusts where jurisdiction is

specifically conferred on the court by the trust instrument; express trusts where the jurisdiction of the court is invoked by the trustee, beneficiary or any interested party for a limited purpose, or otherwise; and trusts which are established by a judgment or decree of court which results in administration of the


trust by the court, and the court entering the judgment or decree establishing such trust orders the administration of the trust transferred to the probate court.

33. Will - A written instrument executed with the formalities of law, whereby a person makes a disposition

of his/her property to take effect after his/her death; includes a codicil; it also includes a testamentary instrument that merely appoints an executor, and a testamentary instrument that merely revokes or revives another will.

B. Jurisdiction of the Probate Court 1. The district court shall have jurisdiction under the trust code, chapter 633A, or elsewhere, in probate of:

a. Estates of decedents and absentees -- The probate and contest of wills; the appointment of personal representatives; the granting of letters of testamentary and of administration; the administration, settlement and distribution of estates of decedents and absentees, whether such estates consist of real or personal property or both.

b. Construction of wills -- The construction of wills during the administration of the estate, whether

said construction be incident to such administration, or as a separate proceeding.

c. Conservatorships and guardianships -- The appointment of conservators and guardians; the granting of letters of conservatorship and guardianship; the administration, settlement and closing of conservatorships and guardianships.

d. Trusts and trustees

i. The ongoing administration and supervision, including but not limited to the appointment

of trustees, the granting of letters of trusteeship, trust administration, and trust settlement and closing, of the following trusts: continuous court supervision.

1) A trust established by court decree that is subject to continuous court supervision.

ii. Proceedings concerning the internal affairs of a trust and of actions and proceedings to

determine the existence of a trust, actions and proceedings by or against creditors or debtors of a trust, and other actions and proceedings involving a trust and third persons. Such jurisdiction may be invoked by any interested party at any time. [Iowa Code § 633A.6101(1)]

2. Declaratory Judgments

a. During the administration of an estate, the district court sitting in probate shall have full, legal and equitable powers to make declaratory judgments in all matters involved in the administration of the estate, including those pertaining to the title of real estate, the determination of heirship, and the distribution of the estate.

b. It shall have full, legal and equitable powers to enter final orders and decrees in all probate

matters to effectuate its jurisdiction and to carry out its orders, judgments and decrees. [Iowa Code § 633.11]

3. County of jurisdiction. The court of each county shall have original and exclusive jurisdiction to

administer the estates of all persons who are residents of the county, or who were residents at the time of their death, and all nonresidents of the state who have property, or who die leaving property in the county subject to administration, or whose property is afterwards brought into the county; to appoint

https://www.legis.iowa.gov/DOCS/ACO/IC/LINC/Section.633A.6101.pdf



conservators for nonresidents having property in the county; and to appoint conservators and guardians of residents of the county. [Iowa Code § 633.12]

4. Extent of jurisdiction

a. The court of the county in which a will is probated, or in which administration, conservatorship or guardianship is granted, shall have jurisdiction coextensive with the state in the settlement of the estate, and in the sale and distribution thereof.

b. A district judge or a district associate judge has statewide jurisdiction to enter orders in probate

matters not requiring notice and hearing, although the judge is not a judge of or present in the district in which the probate matter is pending. The orders shall be made in conformity with the rules of the district in which the probate matter is pending. [Iowa Code § 633.13]

5. Concurrent jurisdiction. When a case is originally within the jurisdiction of the courts of two or more

counties, the one which first takes cognizance thereof by the commencement of the proceedings shall retain the same throughout. [Iowa Code § 633.14]

6. Control of probate records. The court shall have jurisdiction and supervision of the probate records of

the clerk, and may direct the destruction of records it deems to be old, obsolete or unnecessary. [Iowa Code § 633.16]

C. Appointment of Attorney under Chapter 633 1. At or before the hearing in any proceedings under this probate code, where all the parties interested in

the estate are required to be notified thereof, the court, in its discretion, may appoint some competent attorney to represent any interested person who has been served with notice and who is otherwise unrepresented. The appointment of an attorney shall be in lieu of appointment of a guardian ad litem provided for in the rules of civil procedure. [Iowa Code § 633.118]

2. Any attorney so appointed under Iowa Code section 633.118 shall be paid for services out of the

estate, as a part of the costs of administration, a fee to be fixed by the court and upon distribution of the estate, the fee may be charged to the party represented by the attorney. [Iowa Code § 633.120]

D. Probate Powers of the Clerk

The clerk shall have and may exercise within the county all the powers and jurisdiction of the court and of the judge thereof, in the following matters:

1. The appointment of personal representatives who are residents of the state, guardians and

conservators for minors, the fixing and determining of the amount of the bond, or waiving the same when permitted by law or by will, and the approval of any and all bonds given by fiduciaries in the discharge of their duties.

2. The examination and approval of all intermediate and interlocutory accounts and reports of fiduciaries. 3. The admission of wills of decedents to probate, when not contested, and the making of necessary

orders in relation thereto, including orders for the issuance of commissions to take depositions. Proof may be made before the clerk in the same manner as is made in open court.

4. The making of all necessary orders in relation to the personal effects of a deceased person, where no

objection is filed, and perform all other acts within the clerk’s jurisdiction, as provided in this probate code.









5. The approval, when notice has been waived by all persons interested, of petitions and reports, or joint

petitions and reports, in respect to the sale, mortgage, pledge, lease or exchange of property pursuant to Iowa Code section 633.386 - 633.400.

6. The entering of routine scheduling orders in probate matters as established by the chief judge in each

judicial district. [Iowa Code § 633.22]

E. Estates

1. Procedure for Opening an Estate (Testate) Testate – Person dies having executed a will a. Petition: After the death of the testator any interested person may file a verified petition in the

district court of the proper county for any of the following reasons: i. To have the will and any codicil(s), if any, admitted to probate. ii. For the appointment of an executor. iii. To request a hearing before the will is submitted to probate. iv. To request a hearing before the appointment of the executor. v. For the production of the purported will of the decedent to be filed by the person believed

by the petitioner to be in possession of the will. vi. Petitions for any of these reasons specified above may be combined. [Iowa Code § 633.290, amended by HR 591 (2013)]

1) DUTY. If a petition is filed requesting only that the court admit the will to probate and have an executor appointed, the clerk shall process the petition as is the current practice. No filing fee shall be collected. (Best Practice)

2) DUTY. However, if the petition requests either separately or in combination any of

the following:

a hearing before the will is admitted to probate,

a hearing before an executor is appointed, or

a hearing for the production of the decedent’s purported will.

The clerk shall docket as case type (ES) and subtype other (TO). The clerk shall then give the case to a judge to be set for hearing. After the hearing if the judge orders that the will be admitted, the clerk shall adjust the subtype based on the appropriate type of probate case or follow the order if not admitted.

The clerk shall also collect the filing fee for filing and docketing a petition if the petition includes a request for a, b, or c above. [Iowa Code § 602.8105(1)(a)]

b. Probate shall not be granted after five (5) years from the death of the decedent.







i. Probate of a will, with or without present administration, original administration of an intestate estate, or ancillary administration of an estate, shall not be granted after (5) five years from the death of the decedent, whether the decedent died within or without this state, unless a petition for probate or administration is filed prior to the expiration of the five (5) year period. [Iowa Code § 633.331]

ii. This does not apply to the probate of a will of a decedent who died prior to January 1,

1964. [Iowa Code § 633.331]

iii. If a petition to probate a will is filed and the decedent died more than five (5) years, the clerk shall accept the filing and may bring it to the attention of the judge.

c. Documents to accompany petition.

i. The Will 1) In non-EDMS the original, signed Will is filed in paper.

2) In EDMS, the Will shall be scanned and e-filed with the petition. The filer may also deliver the original, signed, non-electronic Will with the clerk. If so deposited, the clerk shall retain the original will in a secure location. The original will shall not be scanned by the clerk as the will is required to be e-filed with the petition initiating the opening of the probate case. (Administrative Directive 2013-2)

ii. The petition shall be accompanied by the testimony, oral or written, by one or more of

the subscribing witnesses to the will. If the testimony is in writing, it shall be substantially in the following form executed and sworn to before or after the death of the decedent. [Iowa Code § 663.295, amended by SF2169 (2014)] (Link to sample Testimony of Subscribing Witness)

Note: DUTY. If oral or written testimony of a subscribing witness to a Will is required, the clerk shall not pay any witness fees. (Best Practice) (Link to Fees in Civil Chapter)

iii. Or, the will is self-proving. An attested will may be made self-proved at the time of its

execution or at any subsequent date, by the acknowledgement thereof by the testator and the affidavits of at least two (2) competent witnesses, and notarized by a person authorized to do so under Chapter 9E of the Iowa Code. [Iowa Code § 633.279]

iv. Or, if the witness(es) to the will are deceased or unavailable and the will is not self-

proving, by affidavit of two credible disinterested witnesses that the signature to the will is in the handwriting of the person whose will it purports to be, and that the signatures of the witnesses are in the handwriting of such witnesses, or it may be proved by other sufficient evidence of the execution of such will. [Iowa Code § 633.297]

d. The clerk or the court shall sign the order opening the estate and appointing a fiduciary. [Iowa Code §§ 633.298, 633.299] (Link to Definition of Fiduciary) The clerk may open the

estate and appoint a fiduciary, if the following requirements are present. i. The petition filed for opening an estate requests to have the will admitted to probate and

appointment of the executor. [Iowa Code § 633.290, amended by HR591 (2013)] ii. The Will clearly names at least one fiduciary that is a resident of the state of Iowa. [Iowa Code §§ 633.63, 633.64]



http://thejudicialinsider/Administrative%20Directives/2013-2%20clerk%20of%20court%20procedures%20re%20depositing%20of%20wills.pdf


http://coolice.legis.iowa.gov/Cool-ICE/default.asp?Category=billinfo&Service=Billbook&frame=1&GA=85&hbill=SF2169

http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/Testimony%20of%20Subscribing%20Witness%20on%20Probate%20of%20Will.pdf

http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/Testimony%20of%20Subscribing%20Witness%20on%20Probate%20of%20Will.pdf

http://thejudicialinsider/ClerksManual/Clerks%20Manual/Civil/CIVIL.docx#Fees









iii. The fiduciary is not an attorney.

iv. There is no bond specified in the will.

v. If the fiduciary is the first choice named in the will and codicil, if any, or second choice

named in the will with a death certificate or declination from the first choice. (Best Practice)

e. DUTY. If there is no named fiduciary that is a resident of the state of Iowa, then the clerk has

no authority to appoint the person and it must be presented to a district court judge, who may appoint the nonresident or may appoint the nonresident and a co-executor, who resides in the State of Iowa. [Iowa Code § 633.64]

f. If i-v apply, the fiduciary needs to qualify by filing a bond, if ordered, and oath of office. [Iowa Code §§ 633.168 & 663.169]

g. Letter of Appointment (Link to Instructional Memo -- Letters of Appointment) NEW PRACTICE

i. DUTY. Upon the filing of an oath of office, or certification and a bond, if any is required,

the clerk shall issue letters of appointment under the seal of the court, giving the fiduciary powers authorized by law. [Iowa Code § 633.178]

ii. DUTY. The clerk, in EDMS counties and non-EDMS counties, shall issue the letters of

appointment to the appropriate attorney, fiduciary, etc. by using the Letters of Appointment document template form. (Link to sample Letters of Appointment -- Template Notice ID SWLEAP)

Note: DUTY. The clerk shall not accept letters from an attorney but shall issue the template form SWLEAP. This instruction applies to both EDMS counties and non-EDMS counties. (Best Practice)

iii. DUTY. If there are multiple fiduciaries, the clerk shall not issue any letter until all

fiduciaries are qualified (oath, etc.) and when the letters of appointment document is issued it should contain all the fiduciaries in the one letter. Do not issue separate letters with different fiduciaries except when the case is a combined guardianship/ conservatorship and the guardian and conservator are not the same. Then the clerk shall issue separate letters when each fiduciary is qualified (oath, etc).

iv. DUTY. In EDMS counties:

1) There will be no fee collected for issuing the letters of appointment document.

2) (Link to Generating Letters of Appointment in EDMS Sharepoint)

3) The event code LEAP will automatically docket and the template will file to ICIS

when approved.

If a raised seal is requested, the clerk shall apply it over the electronic seal without fee.

If the requestor of the letters document will not accept an electronic signature, the clerk can place a hand written signature above the electronic signature




http://thejudicialinsider/ClerksManual/Instructional%20Directives/Letters%20of%20Appointment%20-%20Change%20in%20Practice.pdf


http://thejudicialinsider/ClerksManual/Clerk%20of%20Court%20Forms/Letters%20of%20Appointment.pdf

http://thejudicialinsider/ICIS/EDMS/Clerk%20Resources/Clerks%20Training%20Information/01%20Tips_Tricks/EDMS_GeneratingLettersofAppointment_RG.pdf


4) If a letters document, subsequent to the original letters is requested with a

current date, the clerk shall issue the subsequent letters document with the current date. This can be accomplished by using the Letters of Appointment (Link to sample Letters of Appointment -- Template Notice ID SWLEAP) and complete the date the original letters document was issued and the date the duplicate of the original letters are issued.

The clerk shall not docket any subsequent letters document.


If the requestor of the letters document will not accept an electronic signature, the clerk can place a hand written signature above electronic signature.

The clerk shall not certify a copy of any new or existing original letters document as this practice is not consistent with the Iowa Code.

5) Do not issue a new letter unless there is a court order to do so due to a change

in fiduciary or circumstances. When the clerk issues a new letter in this situation, it shall be docketed as LEAP. (Best Practice)

v. DUTY. The clerk in non-EDMS counties shall: 1) Not collect a fee for issuing the letters of appointment document.

2) The clerk will print out the letters of appointment document and provide to the fiduciary.


If the requestor of the letters document will not accept an electronic signature, the clerk can place a hand written signature above the electronic signature.

It is recommended that the clerk not retain the original of the letters document in the file unless it is a local practice in your county.

The clerk shall not certify a copy of any new or existing original letters document as this practice is not consistent with the Iowa Code.

3) The clerk shall docket the issued letters of appointment document with event

code LEAP.

4) If a letters document, subsequent to the original letters is requested with a current date, the clerk shall issue the subsequent letters document with a current date. This can be accomplished by using the Letters of Appointment (Link to sample Letters of Appointment – Template Notice ID SWLEAP) and complete the date the original letters document was issued and the date the duplicate of the original letters are issued.

The clerk shall not docket any subsequent letters of appointment document.




The clerk shall not keep a copy of this subsequently issued letters of appointment document.

If a raised seal is required, the clerk shall apply it over the electronic seal without fee.

If the requestor of the letters document will not accept an electronic signature, the clerk can place a hand written signature above the electronic signature.

5) Do not issue a new letter unless there is a court order to do so due to a change in fiduciary or circumstances. When the clerk issues a new letter in this situation, it shall be docketed as LEAP. (Best Practice)

vi. DUTY. Do not issue any letters of appointment document once the estate is closed.

(Best Practice)

vii. DUTY. As this is a change in practice, the following are some transitional instructions that clerks shall follow:

1) The old practice is to retain an “original" Letters of appointment document

(usually with certification language) in the file.

The clerk shall not use this original letters of appointment document when a copy is requested.

When a request is made to the clerk for an additional letters of appointment document, the clerk shall issue another letters of appointment document as instructed in iv (4) in EDMS counties or v (4) in non-EDMS counties.

2) Under our old practice, costs for issuing and certifying any letters of appointment

document have been set up in ICIS but may remain unpaid. Where this cost remains unpaid, the clerk shall continue to accept payments. (Best Practice)

h. Certificate of Admission of Will to Probate DUTY. The clerk shall

i. When a will has been admitted to probate the clerk shall complete a “Certificate of Admission of Will to Probate.” [Iowa Code § 633.300] (Link to sample Certificate of Admission of Will to Probate – Template Notice ID SWCOAW)

ii. The certificate shall be signed by the clerk and attested by the seal of the court; and,

when so certified, it, or the transcript of the record properly authenticated, may be read in evidence in all courts without further proof. [Iowa Code § 633.300]

iii. The clerk shall assess the certification and seal fee for issuing the Certificate of

Admission of Will to Probate. (Link to Fees and Costs in Probate)

iv. The clerk shall docket the Certificate of Admission of Will to Probate as COAW and put the original in the court file.


http://thejudicialinsider/ClerksManual/Clerk%20of%20Court%20Forms/Certificate%20of%20Admission%20of%20Will%20of%20Probate.pdf




v. DUTY. In EDMS, the clerk shall file the template and docket as COAW. The $10 fee will be automatically applied to the case.

(Best Practice)

i. DUTY. The clerk shall retain the original will

i. In non-EDMS counties, in a separate file provided for that purpose until the time for contest has expired, and then place it with the files of the estate. [Iowa Code § 633.301]

1) The clerk shall also place and keep a true copy (certified and sealed as

described in (h) above) in the file containing the proceedings of the estate. [Iowa Code § 633.302]

2) A fee of $10.00 will be taxed as costs for a certificate and seal fee for this true

copy. [Iowa Code § 633.31(2)(f)]

3) The clerk will also charge a fee of $.50 per page for a copy of the will and certificate. [Iowa Code § 633.31(2)(h)]

ii. In EDMS counties, the filer shall scan the original will and the original is kept by the filer.

[Iowa Ct. R. 16.411] The filer has the option of delivering the original will to the clerk’s office. The clerk shall place the original will in a secure place.

(Administrative Directive 2013-2) Note: DUTY. The clerk shall retain the original document for a period no less than two (2)

years or until the conclusion of the case or the conclusion of an appeal, or the conclusion of the estate, whichever is later. [Iowa Ct. R. 16.411]

j. DUTY. When the will is admitted into probate, the clerk shall provide a certified copy to the

fiduciary. [Iowa Code § 633.301] The clerk is not required to provide a certified copy to any other parties (i.e., the attorney) unless requested. (Best Practice)

i. Since this requires the clerk to certify and seal the document, a $10 fee will be taxed as

costs for each copy provided. [Iowa Code § 633.31(2)(f)]

ii. The clerk will also charge a fee of $.50 per page for the copy of the will and certificate of probate. [Iowa Code § 633.31(2)(h)]

2. Opening an Estate without a Will (Intestate)

a. A surviving spouse, the heirs of a decedent, creditors, and other person showing good grounds may petition the court to open the estate of a decedent and appoint an administrator. [Iowa Code § 633.227]

b. The proceedings in an intestate estate are the same as those in a testate estate with the

following exceptions:

i. There is no will in this type of estate to present to the clerk; however, the petition will show the name of the surviving spouse, if any, and the heirs of the decedent. [Iowa Code § 633.229]

ii. It also will show an estimated value of the personal property of the estate plus the

estimated gross annual income of the estate during the period of administration.





https://www.legis.iowa.gov/law/courtRules/courtRulesListings









[Iowa Code § 633.229]

c. The clerk may appoint an administrator of the estate, if a resident of Iowa. Based on the value of the personal property and the annual gross income of the estate, the clerk may determine the amount of bond the administrator must post. [Iowa Code § 633.170]

i. As a best practice, the clerk shall have the judge appoint an administrator and determine

the bond amount. (Best Practice)

ii. Upon the application of the heirs of the estate, the court, not the clerk, may waive this bond requirement. [Iowa Code § 633.170]

d. DUTY. Upon receipt of the judge’s order, the clerk will issue a letter of appointment:

i. Upon approval of the bond, if one is required. (Link to Fiduciary Bonds) (Link to General Instructions in Civil Chapter)

ii. The oath has been filed.

iii. In EDMS counties, the bond continues to be a paper process. (Best Practice)

a. DUTY. The clerk shall docket the surety bond and place it in the appropriate file in non-EDMS

counties.

b. DUTY. In EDMS counties, the clerk may scan the original of the surety bond and attach to the appropriate file. The original shall be placed in a separate file or notebook for further reference, if needed. The clerk shall also docket the surety bond. (Best Practice)

g. Notices of this appointment must be published once each week for two consecutive weeks in a

newspaper of general circulation. [Iowa Code § 633.230]

h. The remaining procedures are the same as those in a Testate Estate. (Link to Estates)

3. Necessary Filings after Estate Opened

a. Proof of Publication

i. As soon as the letters of appointment are issued, the fiduciary shall cause to be published once each week for two consecutive weeks in a daily or weekly newspaper of general circulation published in the county in which the estate is ending. The notice shall comply as provided in Iowa Code sections 633.304 (testate with administration), 633.305 (testate without administration) and 633.230 (intestate).

ii. Proof of publication shall be made by affidavit of the publisher and filed with the clerk of

court. [Iowa Code §§ 633.46, 633.47]

iii. The affidavit will indicate the dates the notice was published.

iv. DUTY. The clerk shall show the date of the second publication date and use it as the action date when docketing the affidavit. (Best Practice)

v. DUTY. The clerk shall use SECP (Second Publication) as the event code. (Best

Practice)




http://thejudicialinsider/ClerksManual/Clerks%20Manual/Civil/CIVIL.pdf








vi. The costs of serving any notice given by the fiduciary shall be paid directly by the estate.

[Iowa Code § 633.46] DUTY. No court costs shall be set up for the publication. These costs are paid out of the estate, not through the clerk’s office as a refundable amount. (Best Practice)

b. Claims in Probate

i. Claims may be filed with the clerk by creditors with the later occurrence of:

1) Four (4) months after the date of the second publication of the notice to creditors; or

2) As to each claimant whose identity is reasonably ascertainable, one (1) month

after service of notice by ordinary mail to the claimant’s last known address. [Iowa Code § 633.410]

ii. If the fiduciary is a creditor of the decedent and wants to file a claim, the court shall

appoint a temporary fiduciary to represent the estate in the matter of allowing or disallowing the claim. [Iowa Code § 633.431]

iii. General requirements of the claim form:

1) It must be in writing.

2) It must be filed in duplicate with the clerk. In EDMS counties, filing in duplicate is

not required. 3) It must state the name and address of the claimant. 4) It must describe the nature and amount of the claim, is ascertainable.

5) It must be accompanied by the affidavit of the claimant or someone for the claimant, stating that the amount is justly due, or if not yet due, when it will or may become due and that no payments have been made on the amount due that are not credited and that there are no offsets on the amount, to the knowledge of the affiant.

[Iowa Code § 633.418] NOTE: Clerk may provide the party a “Claim in Probate” form. (Link to Claim in Probate in public forms on sharepoint)

iv. DUTY. The claim must be notarized. However, the clerk shall not refuse the filing if it is not notarized. When a claim is filed the clerk will:

1) Not charge a filing fee.

2) If two (2) copies are not provided, the clerk will provide the claimant a copy of the claim and charge $.50 per page. If mailed, the claimant needs to provide a self-addressed stamped envelope for return of the copy to the claimant.

3) An electronic notification will be sent to the attorney for the estate.





http://thejudicialinsider/ClerksManual/Public%20Forms/Claim%20in%20Probate.pdf


4) The clerk shall provide the fiduciary or the fiduciary’s attorney of record a copy of the claim. [Iowa Code § 633.418]

(Best Practice)

v. DUTY. If an attorney files an appearance on behalf of a private (non-governmental) claimant, the clerk shall index the claimant as NANP and the attorney as ATNP.

vi. The fiduciary or the fiduciary’s attorney will review claims and determine whether

allowable and based on order of payment under Iowa Code section 633.426.

vii. Assistance to Creditors: DUTY. When creditors call the Clerk’s office, direct them to our website www.iowacourts.gov so they may do their own research and check the whole state of Iowa. (Best Practice)

viii. Clerks should also consider filing a claim on an open probate estate if there is money

due to the state of Iowa owed by the decedent in any type of case except criminal. (Link to Claim in Probate – Template Notice ID SWCIP)

1) DUTY. If it has been your practice to file a claim where the decedent has

criminal debt, under Iowa law this is not allowed. Please discontinue this practice. Criminal prosecution abates upon the death of the defendant. [Maghee v. State, 773, N.W.2d 228, 231 n.2 (Iowa 2009)] The state may not continue a criminal proceeding after the defendant dies to recover a fine from his or her estate. [State v. Kriechbaum, 219 Iowa 457, 458-61, 258 N.W. 110, 110-112 (1934)] In a criminal context, punishment cannot be imposed upon a dead man, nor can penalties be imposed as against his estate. [Pacific Mutual Life Ins. Co. v Haslip, 499 U.S. 111 S.Ct. 1032, 1044 (1991)]

2) The clerk may also search for heirs and if money is due to the state of Iowa (civil

or criminal) and file an execution as a representative of the state of Iowa. NEW PRACTICE

ix. Claims that are paid by the fiduciary must be released by the creditor.

1) The creditor needs to file a release on each claim. (Link to sample Release of Claim in Probate – Template Notice ID SWRCIP)

2) DUTY. The clerk shall docket the release as RSAT (Release and Satisfaction)

and change the open event status to CLOS. (Best Practice) x. A claim may be disallowed by the fiduciary. [Iowa Code § 633.439]

1) A written notice of disallowance of the claim must be filed. [Iowa Code § 633.439]

2) The notice of disallowance must be given by certified mail to the claimant at the

address stated in the claim and to the claimant’s attorney of record, if any. [Iowa Code § 633.439]

a) The notice of disallowance shall advise the claimant that the claim has

been disallowed and will be barred unless the claimant files within twenty (20) days after the date of mailing the notice a request for a hearing on the claim with the clerk of court. [Iowa Code § 633.440]



http://www.iowacourts.gov/

http://thejudicialinsider/ClerksManual/Clerk%20of%20Court%20Forms/Claim%20in%20Probate.pdf

http://thejudicialinsider/ClerksManual/Miscellaneous%20Documents/773%20NW2d%20228.pdf

http://thejudicialinsider/ClerksManual/Miscellaneous%20Documents/219%20Iowa%20457.pdf

http://thejudicialinsider/ClerksManual/Miscellaneous%20Documents/219%20Iowa%20457.pdf

http://thejudicialinsider/ClerksManual/Miscellaneous%20Documents/111%20US%20SupCt%201032%20--%2089-1279.pdf

http://thejudicialinsider/ClerksManual/Miscellaneous%20Documents/111%20US%20SupCt%201032%20--%2089-1279.pdf

http://thejudicialinsider/ClerksManual/Clerk%20of%20Court%20Forms/Release%20of%20Claim%20in%20Probate.pdf






b) The request for hearing must be mailed to the fiduciary and the fiduciary’s

attorney, if any by certified mail. [Iowa Code § 633.440] c) Proof of service of the disallowance must be made by affidavit, and shall

the date and place of mailing, and filed with the clerk of court. [Iowa Code § 633.441]

3) If no request for hearing on the claim is filed within twenty (20) days from the

date of the mailing of the disallowance of claim to the creditor, the claim will be disallowed and forever barred. [Iowa Code § 633.442]

4) If a request for hearing is filed by claimant, claimant shall mail a copy to the

fiduciary and attorney of record. [Iowa Code § 633.443]

a) Within twenty (20) days from the filing of the request for hearing upon a claim, the fiduciary shall move or plead to the claim in the same manner as though the claim were a petition filed in an ordinary action. [Iowa Code § 633.444]

b) All provisions of law and rules of civil procedure applicable to motions,

pleadings and trial of ordinary actions shall apply. [Iowa Code § 633.444] c) Transfer to small claims. If the amount of the disallowed claim is under

$5,000, the claim shall be transferred from probate to small claims upon court order. [Iowa Code § 631.8(3)] To process the transfer to small claims follow the instructions in the Small Claims Chapter. (Link to Small Claims Chapter)

xi. DUTY. After hearing, the Clerk shall enter the order for adjudicating the claim and follow

the instructions of the order. (Best Practice) Some examples of what the order may instruct:

1) Fiduciary agrees to pay the claim.

2) Judgment entered for x dollars and interest at x amount, against the estate, in

favor of the claimant. 3) Claimant agrees to dismiss the claim. [Iowa Code § 633.448]

xi. For any judgment rendered against a claimant, an execution may issue in the same manner as judgments in civil cases. [Iowa Code § 633.448] DUTY. The clerk shall use the General Execution for Probate form. (Link to Execution in Civil Chapter) (Link to sample General Execution_Probate – Template Notice ID SWPGEN)

c. Medical Assistance Claims – Necessary Filings

i. This involves a claim for Title XIX medical assistance payments made to the decedent during his/her life time.

ii. On admission of a will to probate, the executor shall, in accordance with Iowa Code

section 633.410, provide by electronic transmission on a form approved by the department of human services to the entity designated by the department of human










http://thejudicialinsider/ClerksManual/Clerk%20of%20Court%20Forms/General%20Execution_Probate.pdf



services, a notice of admission of the will to probate and of the appointment of the executor, which shall include a notice to file claims with the clerk or to provide electronic notification to the executor that the department has no claim within six (6) months of sending this notice, or thereafter be forever barred. [Iowa Code §§ 633.231, 633.304A]

iii. The notice shall be in substantially the form provided in Iowa Code sections 633.231 and 633.304A.

iv. The clerk will receive an affidavit of notice with a copy of an electronic transmission form or a copy of the e-mail from DHS to the attorney attached.

1) DUTY. The clerk shall not accept any of the above unless it is in proper pleading

form. Any pleadings or other document filed after the case is initiated must name the court and contain a case caption that includes the parties and the case number. [Iowa R. Civ. P. 1.411]

2) The clerk shall docket as SRMA. (Best Practice)

v. Medical Assistance Claims filed on Behalf of Department of Human Services (Link to How to Index Iowa Estate Recovery and Iowa Medicaid Program Filings)

1) DUTY. If the clerk receives a claim from Iowa Estate Recovery, the clerk shall

index the claimant as ESTATEREC with a role code of Interested Party (INTP). When Iowa Estate Recovery is indexed, the attorney for that organization can file an appearance and can accurately indicate that they are representing Iowa Estate Recovery. (Best Practice)

2) DUTY. If the clerk receives a claim from Iowa Medicaid Trust Program, the clerk

shall index the claimant as MCAIDTRST with a role code of Interested Party (INTP). When Iowa Medicaid Trust Program is indexed, the attorney for that organization can file an appearance and can accurately indicate that they are representing Iowa Medicaid Trust Program. (Best Practice)

3) When the attorney for the organization files a withdrawal (OTOT- Other Event,

the clerk shall change the status to WD (Withdrawn) in the Litigant Screen and inactivate the MCAIDTRUST or ESTATEREC pin, whichever is appropriate (Best Practice)

d. Report and Inventory (Docket event RPIN)

i. A report and inventory of the property of the decedent shall be filed in all cases by the fiduciary with the clerk of court within ninety (90) days after the fiduciary qualifies (or from letters of appointment), unless a longer time is granted by the court. [Iowa Code §§ 633.361, 633.362]

ii. The report and inventory shall be verified or affirmed under penalty of perjury.

[Iowa Code § 633.361]

iii. The report and inventory is usually filed on an Iowa State Bar Association form. (Link to Report and Inventory (ISBA) new form & Report and Inventory (ISBA) old form) However, some attorneys prepare their own form.


https://www.legis.iowa.gov/DOCS/ACO/IC/LINC/Section.633.304A.pdf







http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/Report%20and%20Inventory%20(ISBA)%20new%20form.pdf

http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/Report%20and%20Inventory%20(ISBA)%20old%20form.pdf


iv. The report and inventory lists personal information on the decedent, lists beneficiaries under the will, heirs at law, transferees and surviving joint tenants. It also lists the estimated value of all real estate, stocks, bonds, assets, and estimated values of Iowa inheritance and federal estate tax. [Iowa Code § 633.361]

v. Amended or supplemental report and inventory. (Docket ININ)

1) Whenever any additional information or property not mentioned in the initial report and inventory comes to the knowledge of the fiduciary, a supplemental or amended report and inventory shall be filed. [Iowa Code § 633.364]

2) The supplemental report and inventory must be filed within 30 days after such

discovery. [Iowa Code § 633.361]

vi. DUTY. At the time the report and inventory of the estate is filed, the clerk shall review the amount of bond, and report any insufficiency to the court. [Iowa Code § 633.179] (Link to Fiduciary Bonds) This also applies to any amended report and inventory that may be filed. (Best Practice)

vii. Gross Assets of the Estate (Administrative Directive 2014-1)

1) DUTY. The value of the estate for purposes of determining fees under Iowa Code section 633.31(2)(k) shall be based on the Gross Assets of the Estate found on the Questionnaire and Recapitulation portion of the Report and Inventory Form revised October 2013 and on the Total (Iowa gross estate on the January 1999 and Revised May 2014 ). (Link to Report and Inventory (ISBA) new form & Report and Inventory (ISBA) old form)

2) DUTY. For any of the forms referred to above, the clerk shall calculate the court

fees under 633.31(2)(k) on the largest amount listed on the Questionnaire and Recapitulation portion of the Report and Inventory form.

3) DUTY. The clerk shall not subtract or add any amount to the filed Report and

Inventory Form. 4) DUTY. The clerk shall use financial code P400 and the appropriate fee amount

as established in Iowa Code section 633.31(2)(k) effective for probate filings on May 27, 2009 and thereafter. (Link to Probate Fee Schedule)

(Best Practice)

c. Election of Surviving Spouse

i. When a married person domiciled in Iowa at the time of death dies, the surviving spouse shall have the right to take an elective share under the provisions of Iowa Code sections 633.237 – 633.246. [Iowa Code § 633.236]

ii. DUTY. The clerk shall docket the notice of election of surviving spouse as EOST (if taking under the will or EOSA (if not taking under the will). If it is difficult to determine what type of election is being filed, the clerk shall use the docket event code OTOT and refer it to the referee or probate judge for a determination. (Best Practice)

4. Procedure for Closing an Estate a. Disposition of an Estate





http://thejudicialinsider/Administrative%20Directives/2014-1%20calculation%20probate%20court%20costs.pdf




http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/Report%20and%20Inventory%20(ISBA)%20old%20form.pdf







i. Each personal representative is required to file a final report with the requirements set

forth in Iowa Code section 633.477. DUTY. The clerk shall docket the final report. (Best Practice)

ii. A personal representative shall not be discharged from further duty or responsibility

upon final settlement until notice of the final report or of an application for discharge has been served upon all persons interested, in accordance with Iowa Code section 633.40, unless notice is waived. [Iowa Code § 633.478]

1) A notice of filing of final report and/or application for discharge may be filed. DUTY. The

clerk shall docket the notice. (Best Practice) (Link to Event Codes)

2) An affidavit of mailing may accompany the notice of filing of final report and/or application for discharge. DUTY. The clerk shall docket the notice of mailing. (Best Practice)

b. Referee in Probate

i. A clerk may be appointed by the district court to serve as a referee in probate. [Iowa Code § 633.20(2), Iowa Ct. R. 7.5]

ii. DUTY. The clerk appointed as referee shall use the Report of Referee form provided in the Iowa Rules of Court. [Iowa Ct. R. 7.4, 7.5 (1) (c)] [Iowa Ct. R. 7.11 – Form 1]

iii. The clerk may complete the Referee Report. (Link to fillable Report of Referee)

iv. DUTY. The clerk shall assess referee fees as provided in Iowa Code section 633.21. [Iowa Ct. R. 7.5(2)(a)] Referee fees shall be taxed and collected by the clerk as other costs, and such fees shall be in addition to all other fees charged and collected by the clerk in probate matters as required by Iowa Code section 633.31. [Iowa Ct. R. 7.5 (2)(b)] Set up the referee fees as appropriate under local rules with financial code PC00. (Best Practice)

c. No final report shall be approved until the Report of the Referee is presented to the court. [Iowa Ct. R. 7.5(1)(c)]

d. DUTY. Fees and costs in an estate must be paid prior to closing the estate. [Iowa Ct. R. 7.11, Form 1, #13]

i. If the order indicates that the case shall be closed even though the court costs are not paid, the clerk should speak with a judge about this.

ii. If the judge elects to still close the estate, the clerk must follow the order without payment of costs.

iii. It is suggested that you work with the judges in your county to develop a process for collecting these court fees.

e. Classification of debts and charges. In any estate in which the assets are, or appear to be, insufficient to pay in full all debts and charges of the estate, the personal representative shall classify the debts and charges as follows:

i. Court costs.

ii. Other costs of administration









http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/Report%20of%20Referee.pdf








iii. Reasonable funeral and burial expenses.

iv. All debts and taxes having preference under the laws of the United States.

v. Reasonable and necessary medical and hospital expenses of the last illness of the decedent, including compensation of persons attending at the decedent’s last illness.

vi. All taxes having preferences under the laws of this state. vii. Any debt for medical assistance paid pursuant to Iowa Code section 249A.53(2).

viii. All debts owing to employees for labor performed during the ninety (90) days next preceding the death of the decedent.

ix. All unpaid support payments as defined in Iowa Code section 598.1(9) and all additional

unpaid awards and judgments against the decedent in any dissolution, separate maintenance, uniform support, or paternity action to the extent that the support, awards, and judgments have accrued at the time of the death of the decedent.

x. All other claims allowed. [Iowa Code § 633.425] f. Discharge of Estate and Personal Representative with Order

i. Upon final settlement of an estate, an order shall be entered discharging the personal representative from further duties and responsibilities. [Iowa Code § 633.479] The order acknowledges that the final report has been filed and approved, with any exceptions.

ii. DUTY. The clerk shall docket the order with event code ORCP. (Best Practice)

iv. The order approving the final report shall constitute a waiver of the omission from the

final report of any of the recitals required in Iowa Code section 633.477

[Iowa Code § 633.479]

g. Discharge of Estate without Order (After Final Report Filed)

i. An order approving the final report and discharging the personal representative shall not be required if all distributees:

1) Entitled to notice are adults, under no legal disability,

2) Have signed waivers of notice of the discharge of the personal representative as provided in Iowa Code section 633.478.

3) Have signed statements of consent agreeing that the prayer of the final report

shall constitute an order approving the final report and discharging the personal representative,

4) The statements of consent are dated not more than thirty (30) days prior to the

date of the final report, and

5) If compliance with payment of personal income taxes [Iowa Code § 422.27] and inheritance taxes [Iowa Code § 450.58] have been fulfilled and receipts, sworn statements, and certificates, as any of these that are required, are on file. [Iowa Code § 633.479]












ii. If the requirements in (vii 1a-c) above are met, the final report shall be considered as granted and shall have the same force and effect as an order of discharge of the personal representative and an order approving the final report. [Iowa Code § 633.479]

iii. DUTY. If a request is made to discharge under this section, the clerk shall send to a judge for approval (orally or in writing). The clerk shall comply with the judge’s determination, enter disposition, if appropriate using the clerk’s pin when all costs are paid. (Best Practice)

. 5. Reopening an Estate

a. Whenever a final report has been approved and a final accounting has been settled in the absence of any person adversely affected and without notice to the person, the hearing on such report and accounting may be reopened at any time within five (5) years from the entry of the order approving the same.

i. Upon application of the person adversely affected, the court will set a hearing and

provide prescribe the method in which the personal representative and distributes will be served with notification of the application and hearing.

ii. The court may require a new accounting, or a redistribution from the distributees.

iii. In no event, however, shall any distributee be liable to account for more than the property distributed to that distributee.

iv. If any property of the estate shall have passed into the hands of good faith purchasers

for value, the rights of such purchasers shall not, in any way, be affected. [Iowa Code § 633.488]

b. Upon the petition of any interested person, the court may, with such notice as it may prescribe, order an estate reopened if other property be discovered, any necessary act remains unperformed, or for any other proper cause appearing to the court. [Iowa Code § 633.489]

i. The court may reappoint the personal representative, or appoint another personal

representative, to administer any additional property or to perform other such acts as may be deemed necessary. [Iowa Code § 633.489]

ii. The provisions of law as to original administration shall apply, insofar as applicable, to

accomplish the purpose for which the estate is reopened, but a claim which is already barred can, in no event, be asserted in the reopened administration. [Iowa Code § 633.489]

e. DUTY. When an application or petition to reopen an estate is filed, the clerk shall:

i. Docket the application/petition in the original case. (Link to Docket Event Codes)

ii. When a new report and inventory is filed, assess the appropriate inventory fees under 633.31(2)(k) for any new assets.

iii. When the judge issues an order, the clerk shall docket the order, assess the appropriate

order fee and distribute the order to the parties of record or as ordered by the court.







Note: In order to make the CPW150 Delinquency Report work properly, the clerk shall follow the appropriate re-opening procedures. (Link to Methods for Re-Opening all Probate Case Types)

v. If ordered, the clerk shall issue a new letter of appointment.

(Link to Letters of Appointment) (Best Practice)

6. Actions to Set Aside or Contest of Will

a. Any interested person may petition to set aside the probate of a will by filing a written petition in the probate proceedings. The petition for such purpose shall state the grounds therefore. [Iowa Code §§ 633.308 & 633.311]

i. DUTY. The petition shall be filed in the existing probate case. [Iowa Code § 633.308]

(Link to Commencement of Civil Action in Civil Chapter) ii. DUTY. The filing party shall be given a role code of “Interested Party.” (Best Practice)

iii. DUTY. Whether filed as a motion or application or petition, it shall be considered a petition for the purpose of collecting the filing fee for filing and docketing of a civil petition under Iowa Code section 602.8105(1)(a). (Link to Fees in Civil Chapter)

b. An action to contest or set aside the probate of a will must be commenced in the court in which

the will was admitted to probate within the later to occur of four (4) months from the date of second publication of notice of admission of the will to probate or one (1) month following the mailing of notice to all heirs of the decedent and devisees under the will whose identities are reasonably ascertainable, as such persons’ last known addresses. [Iowa Code § 633.309]

c. Nothing herein contained shall prevent any interested person from filing objections to probate of

a proposed will prior to probate thereof. If such objections are filed prior to the admission of the will to probate, the will shall not be admitted to probate pending trial and determination as to whether or not said instrument is the last will of the decedent. [Iowa Code § 633.310]

d. An action objecting to the probate of a proffered will, or to set aside a will, is triable in the

probate court as an action at law, and the rules of civil procedure governing law actions, including demand for jury trial, shall be applicable thereto. [Iowa Code § 633.311]

e. The court shall tax the costs in an action to contest or set aside a will. No costs shall be taxed

against a losing party who has been joined in the action but who does not appear. [Iowa Code § 633.314]

i. DUTY. The clerk shall assess costs as ordered by the judge. (Best Practice)

ii. DUTY. Costs shall include fees assessed in any civil case and the applicable fees as listed under Iowa Code section 633.31(2). (Link to Fees in Civil Chapter) (Best Practice)

7. Declaratory Judgment

a. The executor or any person named as a beneficiary in a will may bring an action for a declaratory judgment to have such will declared to be the last will of the decedent. [Iowa Code § 633.320]














b. In such action, all known interested persons, including heirs of the decedent and persons named as beneficiaries in said instrument and other known instruments purporting to be wills of the decedent, shall be joined as parties. [Iowa Code § 633.320]

c. During the administration of an estate, the district court sitting in probate shall have full, legal

and equitable powers to make declaratory judgments in all matters involved in the administration of the estate, including those pertaining to the title of real estate, the determination of heirship, and the distribution of the estate. It shall have full, legal and equitable powers to enter final orders and decrees in all probate matters to effectuate its jurisdiction and to carry out its orders, judgments and decrees. [Iowa Court Rule 633.11]

d. DUTY. When a Declaratory Judgment is filed, the clerk shall process as follows:

i. If there is no existing/pending probate case or the probate case has been closed, the clerk shall process the Declaratory Judgment as a new civil case (CV-Other), and collect the filing fee for filing and docketing a petition under Iowa Code section 602.8105(1)(a). (Link to Fees in Civil Chapter)

ii. If there is an existing/pending case, the clerk shall process the Declaratory Judgment in

the existing case without collecting a fee. (Best Practice)

e. DUTY. When the judgment is entered by the court, the clerk shall docket the judgment order, distribute to the appropriate parties and assess any costs as directed in the order. (Best Practice)

i. The court shall tax the costs in the declaratory judgment. No costs shall be taxed

against a losing party who has been joined in the action but who does not appear. [Iowa Code § 633.314]

ii. DUTY. The clerk shall assess costs as ordered by the judge. (Best Practice).

iii. DUTY. Costs shall include fees assessed in any civil case and the order fees under Iowa Code section 633.31(2)(e). (Best Practice) (Link to Fees in Civil Chapter)

8. Removal of Executor or Other Similar Action

a. DUTY. If an individual, other than the fiduciary or the ward, files a petition, motion, or application to remove an executor or other similar action such filing shall be considered a petition for the purpose of collecting the filing fee for filing and docketing of a civil petition under Iowa Code section 602.8105(1)(a). (Link to Fees in Civil Chapter)

b. DUTY. The petition shall be filed in the existing probate case. [Iowa Code § 633.308]

(Link to Commencement of Civil Action in Civil Chapter) c. DUTY. The filing party shall be given a role code of “Interested Party.”

d. Costs shall include fees assessed in any civil case and the applicable fees as listed under Iowa Code section 633.31(2)(c-j). (Link to Fees in Civil Chapter) DUTY. The clerk shall assess costs as ordered by the judge.

(Best Practice)

F. Miscellaneous Probate Filings


https://www.legis.iowa.gov/DOCS/ACO/CR/LINC/chapter.633.pdf












1. Requests for Notice

a. Any time after the issuance of letters, any person interested in the estate may file with the clerk a written request, in triplicate, for notice of the time and place of all hearings in such estate for which notice is required by law, by rule of court, or by an order in such estate.

Note: For EDMS counties, the filer will only submit one filing. The attorney will be notified through EDMS. However, the clerk may need to notify the personal representative(s) in paper if the representative is not a registered filer.

b. The request for notice shall state the name and post-office address of such person and the

name and post-office address of the attorney, if any, for the party requesting the notice.

c. DUTY. The clerk shall docket the request, and transmit the duplicates to the personal representative of the estate of the decedent and to the personal representative’s attorney of record, if any.

d. Thereafter, the personal representative shall, unless otherwise ordered by the court, serve, by

ordinary mail, upon such person, or the person’s attorney, if any, a notice of each hearing. [Iowa Code § 633.42]

2. Disclaimer a. Refusal to accept an interest or power over property. [Iowa Code § 633E.2(3)]

b. In the case of an interest created under the law of intestate succession or an interest created by will, other than an interest in a testamentary trust, the following shall apply:

i. A disclaimer must be delivered to the personal representative of the decedent’s estate.

[Iowa Code § 633E.12(3)(a)]

ii. If no personal representative is then serving, a disclaimer must be filed with a court having jurisdiction to appoint the personal representative. [Iowa Code § 633E.12]

c. DUTY. If an estate is pending when the disclaimer is filed, the clerk shall docket the disclaimer

in the estate. If no estate is pending when the disclaimer is filed, the clerk shall use case type estate (ES) and subtype (TO) and close the case. (Best Practice)

d. A copy of an instrument of disclaimer, regardless of its subject, may be filed with the clerk of

court of the county in which proceedings for administration have been commenced, if applicable. [Iowa Code § 633E.12(13)(b)]

3. Felonious Death (Link to Criminal Chapter when completed) 4. Estates of Absentees

a. Administration may be had upon the estate of an absentee. A petition must be filed in the clerk’s office alleging:

i. Whether the absentee was a resident or a nonresident of this state, and the absentee’s address at the absentee’s last known domicile; that the absentee has, without known cause, left the absentee’s usual place of residence, and concealed the absentee’s whereabouts from the absentee’s family, for a period of five (5) years.


https://www.legis.iowa.gov/DOCS/ACO/IC/LINC/Section.633E.2.pdf





ii. That the said absentee has property in this state (describing it with reasonable certainty), all or part of which is situated in the county in which the petition is filed.

iii. The names of the persons, so far as known to the petitioner, who would be entitled to

share in the estate of the absentee if the absentee were dead.

iv. In the case of a nonresident, whether administration upon the estate has been granted in the state of last known domicile.

v. Facts showing that the petitioner is a party who would be entitled to administer the

estate of the said absentee in case the absentee were known to be dead. [Iowa Code § 633.510]

b. DUTY. If the petition and proposed order is presented to the clerk, open as ES, subtype TE

(Estate). (Best Practice)

c. DUTY. The clerk shall charge a filing fee for filing a petition under Iowa Code section 602.8105(1)(a). (Link to Fees and Costs in Probate)

d. Notice and Service of Notice

i. Upon filing of such petition, the court shall, by an order, prescribe the notice and the return day, which shall be addressed to and served upon such absentee and the alleged distributes of the absentee’s estate. [Iowa Code § 633.511]

ii. Notice shall be by publication in the county in which the petition is filed, once each week

for three consecutive weeks, in a newspaper designated by the court, and upon the alleged distributes of the estate of said absentee by ordinary mail addressed to them at their last known address. [Iowa Code § 633.512]

iii. Proof of publication and service of such notice shall be filed with the clerk on or before

the day set for hearing. [Iowa Code § 633.513]

e. Hearing and Order

i. If the absentee fails to appear for hearing, the court shall appoint a disinterested person as guardian ad litem to appear for the absentee and all distributes not appearing, and the hearing shall be continued for twenty (20) days. [Iowa Code § 633.514]

ii. If satisfied with the allegations of the petition, the court shall enter an order establishing

the death of the absentee as a matter of law. [Iowa Code § 633.514] DUTY. The clerk shall docket the order and distribute to the parties as directed by the judge. (Best Practice)

iii. Upon entry of the order, administration of the estate of the absentee, whether testate or intestate, shall proceed from this point in the usual manner. (Link to Testate Estate Procedures & Intestate Estate Procedures)

5. Presumption of Death

a. Soldier or sailor: A written finding of presumed death, made by the secretary of defense, or other officer or employee of the United States authorized to make a finding, pursuant to the federal Missing Persons Act or a duly certified copy of the finding, shall be received by any









court, office, or other place in this state, as evidence of the death of the person found to be dead, and of the date, circumstances, and place of disappearance. [Iowa Code § 633.517(1)]

b. Missing soldier or sailor: An official written report or record, or a duly certified copy that a person

is missing, missing in action, interned in a neutral country, or beleaguered, besieged, or captured by an enemy, or is dead, or is alive, made by any officer or employee of the United States authorized by the Act referred to in (a) above, or by any other law of the United States, to make such a report or record, shall be received in any court, office or other place in this state as evidence that such person is missing, missing in action, interned in a neutral country, or beleaguered, besieged, or captured by an enemy, or is dead, or is alive, as the case may be. [Iowa Code § 633.517(2)]

c. Non-Military Individual

i. If a petition is presented by an interested person to the court alleging that a designated

person has disappeared and after a diligent search cannot be found, and if it appears to the satisfaction of the judge or magistrate that the circumstances surrounding the disappearance provide reasonable grounds to belief that the person has suffered death from accidental or other violent means, the judge shall summon and impanel a jury of six qualified persons to inquire into the facts surrounding and the presumption to be raised from the disappearance. [Iowa Code § 633.518]

ii. If no one submits a petition within forty (40) days of the reported disappearance, a judge

may submit the petition from personal knowledge of the case. [Iowa Code § 633.518] iii. The judge will enter an order that the individual is presumed or not presumed dead.

[Iowa Code § 633.519]

d. DUTY. The clerk shall enter the case type of ES (Estate) and subtype as TO. (Best Practice)

e. DUTY. The clerk shall docket any order related to presumption of death or missing soldier/sailor. (Best Practice)

6. Missing Heir/Inability to Distribute Estate Assets/Unclaimed Property

a. Any fiduciary having in the fiduciary’s possession or under the fiduciary’s control any funds, money or securities due or to become due to any other person to whom payment or delivery cannot be made as shown by the report of the fiduciary on file, may, upon order of the court, deposit such property with the clerk and take the receipt of the clerk. [Iowa Code § 633.109]

b. DUTY. The clerk shall issue the receipt of property which shall specifically state from whom the

property was derived, the description of the property, and the name of the person entitled to the property. [Iowa Code § 633.110]

c. DUTY. The Clerk will deposit into the trust account the missing heir funds received as provided

above. The clerk shall distribute the funds under the following:

i. If an heir comes to claim their money, they must have proof of identity with a photo ID, such as a current driver’s license BEFORE the money can be released.

ii. Local practice or preference of the Clerk of Court may require a court order for the

money to be released. (Best Practice)









d. DUTY. When funds due a named heir or beneficiary who cannot be found are deposited with the clerk of district court pursuant to 633.109 (inability to distribute estate funds), the money will be placed in trust and held for two (2) years at which time it will be reported to the state treasurer for publication in the Iowa Treasure Hunt. [See Iowa Code §§ 556.8 & 556.11-14]

7. Fiduciary Bond

a. Bond. When ordered, every fiduciary shall execute and file with the Clerk a bond with sufficient surety or sureties. [Iowa Code § 633.169]

b. Amount of Bond

i. The court or the clerk shall fix the bond amount equal to the value of the personal property of the estate, plus the estimated gross annual income of the estate during the period of administration. [Iowa Code § 633.170(1)] DUTY. However as a best practice the clerk shall not set the bond.

ii. DUTY. The clerk shall not increase or decrease a bond. [Iowa Code § 633.170(2)] (Best Practice)

c. Approval of Surety Bond by Clerk upon Filing

i. The bond shall not be deemed sufficient until it has been examined and approved by the clerk who shall endorse the approval thereon. If the bond is not approved, the fiduciary shall secure and file a bond with satisfactory surety or sureties. [Iowa Code § 633.171]

ii. DUTY. The clerk shall endorse approval on the bond instrument by affixing a signature, seal, and date of approval. The clerk shall continue this process in paper even in EDMS counties.

1) The surety bond original shall be kept by the clerk per the Business Advisory

Committee (BAC) and placed in a separate file or notebook as it will be needed when for collection of the bond. The original paper surety bond can be destroyed one (1) year after disposition of the bond.

2) The clerk shall scan the original of the surety bond into the appropriate electronic

file. (Best Practice) (Link to Guidelines for Accepting Cash/Surety Bonds in Civil Chapter)

iii. The clerk shall collect the bond approval fee. [Iowa Code § 633.31(2)(d)]

(Link to Fees and Costs in Probate)

d. The original of the surety bond must be filed before letters of appointment can be issued under Iowa Code section 633.178. (Best Practice) (Link to Letters of Appointment)

e. DUTY. When an inventory of the estate is filed, the clerk shall review the amount of bond and report to the court any insufficiency. [Iowa Code § 633.179]

f. DUTY. If the gross value of the estate set forth in the initial or any subsequent amended inventory exceeds the set bond amount the Clerk shall forward the file to a judge for further action. (Best Practice)

g. Release (exoneration of the bond) would be by court order to whom the bond was issues, unless ordered differently by the court. DUTY. The clerk shall release the bond as outlined in the court order. (Best Practice)







http://thejudicialinsider/ClerksManual/Clerks%20Manual/Civil/CIVIL.docx#GuidelinesForAcceptingCashSuretyBonds





8. Inheritance Tax Appraisers

a. Appointment of Appraisers 450.24. The chief judge of each judicial district will appoint three (3) residents of each county in the district for a period of four (4) years.

b. Commission to appraisers

i. DUTY. When an appraisal of real estate is requested by the department of revenue, as

provided in Iowa Code section 450.37 or is otherwise required by this chapter, the clerk shall issue a commission to the three (3) inheritance tax appraisers described above, who shall fix a time and place for appraisement. [Iowa Code § 450.27] (Link to Commission to Inheritance Tax Appraisers)

1) The clerk will need to attach the request from the department of revenue to the

Commission form to inform the appraiser of the property to be appraised.

2) The clerk shall docket that the Commission has been issued in the existing probate case.

(Best Practice)

ii. If the only interest that is subject to tax is a remainder or deferred interest upon which the tax is not payable until the determination of a prior estate or interest for life or term of years, the clerk shall not issue the commission until the determination of the prior estate, except at the request of the department of revenue when the parties in interest seek to remove an inheritance tax lien. [Iowa Code § 450.27]

c. The appraiser is required to include in the notice of appraisement that the director of revenue or

any person interested in the estate or property appraised may, within sixty (60) days after filing of the appraisement with the clerk of court, file objections to the appraisement. [Iowa Code § 405.28]

i. DUTY. The clerk shall complete the Notice of Filing the Appraisement and provide to

the appraiser for service. (Link to Commission to Inheritance Tax Appraisers) (Best Practice)

ii. The notice of appraisement must be served by certified mail and such notice is deemed

completed when the notice is deposited in the mail and postmarked for delivery.

iii. DUTY. The appraisers shall return the completed commission form, including the appropriate schedules, appraiser fees, and costs. Once the commission form is filed with the clerk of court the clerk shall:

1) Affix the appropriate signatures and send a certified copy to the director of the

department of revenue.

2) Send a regular copy to the attorney of record of the estate, if any, to the personal representative of the estate, and to each person known to be interested in the estate or property appraised. [Iowa Code § 450.29]

d. DUTY. The clerk shall assess the fee for issuing commission to appraisers under Iowa Code

section 633.31(2)(j) to the estate. (Link to Fees and Costs in Probate) The clerk shall also: i. Assess the fees charged by the appraisers from the Commission form to the estate.



http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/commission%20to%20inheritance%20tax%20appraisers.pdf



http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/commission%20to%20inheritance%20tax%20appraisers.pdf




ii. Assess the certification and seal cost under Iowa Code section 633.31(2)(f). (Best Practice)

G. Small Estate – Chapter 635 1. Small estate administration is applicable when the gross value of the probate assets of a decedent

subject to the jurisdiction of this state does not exceed one hundred thousand dollars ($100,000), and upon the petition as provided in #2 below of an authorized petitioner in accordance with Iowa Code Iowa Code sections 633.227, 633.338 or 633.290(1)(a) or (b). The provisions of a regular estate (Link to Estates) apply except as provided below. [Iowa Code § 635.1, amended by HF591(2013)]

2. A petition for administration of a small estate must contain the following: a. The name, domicile and date of death of the decedent.

b. The name and address of the surviving spouse, and the name and relationship of each beneficiary in a testate estate or known heirs in an intestate estate.

c. Whether the decedent died intestate or testate, and, if testate, the date the will was executed.

d. A statement that the probate property of the decedent subject to the jurisdiction of this state

does not have an aggregate gross value of more than one hundred thousand dollars ($100,000) and the approximate amount of personal property and income for the purposes of setting bond.

e. The name and address of the proposed personal representative. [Iowa Code § 635.2]

3. The clerk shall collect a filing a fee for filing and docketing the petition for small estate.

[Iowa Code § 633.31(2)(l)] (Link to Fees and Costs in Probate) 4. DUTY. The clerk shall review the petition for the requirements listed in (2) above. When the filed

petition meets the guidelines set forth in (2) above and if the personal representative named in the petition is qualified to serve, either under 633.63 or upon court order pursuant to 633.64, (Link to 2 above) the clerk shall issue letters of appointment for administration to the proposed personal representative named in the petition. (Link to Letters of Appointment) [Iowa Code § 635.1]

a. Iowa Code § 635.1 states that “the provisions of chapter 633 apply to an estate probated under

chapter 635.

b. DUTY. Therefore, the clerk shall require an oath prior to issuing the Letters of Appointment. [Iowa Code § 633.168]

5. Report and Inventory and conversion based on value.

a. The personal representative is required to file a report and inventory, including all probate and non-probate assets. [Iowa Code § 633.361] (Link to Report and Inventory)

b. Small estate should be designated on the form. (Link to Report and Inventory)

c. If the administration of an estate is converted to or from a small estate, the proceeding shall be

considered one proceeding. [Iowa Code § 633.330]






http://coolice.legis.iowa.gov/Cool-ICE/default.asp?Category=billinfo&Service=Billbook&frame=1&GA=85&hbill=HF591











d. If the report and inventory shows a gross value of probate assets subject to the jurisdiction of this state exceeding the amount permitted in a small estate ($100,000), the estate shall be administered as provided in Chapter 633. (Link to Estates)

e. Court fees under 633.31(k) shall not be assessed in a small estate.

f. If the report and inventory of an estate administered as provided in Chapter 633 indicates the

gross value of the probate assets subject to the jurisdiction of the state do not exceed the amount permitted under Iowa Code section 635.1, the estate shall be administered as a small estate upon the filing of a statement by the personal representative that the estate is a small estate.

g. Other interested parties may convert proceedings from a small estate to regular estate or from a

regular estate to a small estate only upon good cause shown with approval from the court. 6. DUTY. If the gross assets of the estate on the report and inventory are over $100,000, the clerk shall

refer the small estate to the court. If the judge orders the estate to be filed as a regular estate, change the subtype to TE and administer as a regular estate case. Fees under 633.31(k) shall be assessed based on the inventory and report form. The filing fee for the small estate shall not be returned. (Best Practice) (Link to Estates)

7. Closing Statement

a. The personal representative shall file with the court a closing statement and proof of service within twelve (12) months of the date of issuance of letters of appointment. [Iowa Code § 635.8(1)]

b. If a closing statement is not filed within twelve (12) months of the date of issuance of the letters

of appointment, an interlocutory report shall be filed every six (6) months until the closing statement has been filed unless excused by the court for good cause shown. [Iowa Code § 635.8(4)]

c. Final settlement is required within three (3) years pursuant to Iowa Code section 633.473.

[Iowa Code § 635.8(4)]

d. A closing statement filed in a small estate administration has the same effect as final settlement of the estate under chapter 633. [Iowa Code § 635.8 (4)]

e. The closing statement shall be verified or affirmed under penalty of perjury, stating all of the

following:

i. To the best knowledge of the personal representative, the gross value of the probate assets subject to the jurisdiction of this state does not exceed $100,000.

ii. The estate has been fully administered and will be disbursed and distributed to persons

entitled to the estate if no objection is filed to the closing statement after the requisite time period has expired as provided in 8(d) below.

iii. A description of the disbursement and distribution of the estate including an accurate

description of all the real estate of which the decedent died seized, stating the nature and extent of the interest in the real estate and its disposition.







iv. A copy of the closing statement and an opportunity to object and request a hearing has been sent by proper notice, as provided in Iowa Code section 633.40 to all interested parties.

v. The personal representative has complied with all statutory requirements pertaining to

taxes, including whether federal estate tax was paid or a return was filed, whether Iowa inheritance tax was paid or a return was filed, whether the decedent’s final personal income taxes were filed, whether fiduciary income tax returns for the estate were filed, and whether a lien continues to exist for any federal or state tax. [Iowa Code § 635.8 (1)(a-e)]

8. Closing the Small Estate

a. If no actions or proceedings involving the estate are pending in court thirty (30) days after notice of the closing statement is filed, the estate shall close and the personal representative shall be discharged after distribution upon the earlier of either of the following:

b. The filing of a statement of disbursement of assets with the clerk by the personal representative.

c. An additional thirty days have passed after notice of the closing statement is filed.

[Iowa Code § 635.2(a-b)]

d. DUTY. Clerk shall close the small estate upon the filing of a statement of distribution of assets as described above or after the expiration of sixty (60) days after notice of closing statement if there are no objections.

i. Use the ICIS tickler or the work in progress option in EDMS sixty (60) days out after the

closing statement has been filed to review the file for closure.

ii. Do not close the estate unless a closing statement has been filed.

iii. If the clerk has any concerns about whether the requirements have been met for closing the small estate, refer to a judge for an order to close the small estate.

(Best Practice)

e. Claims in small estate administration. Creditors having claims against the estate must file them with the clerk within the applicable time periods as in a regular estate. The notices have the same force and effect as in a regular estate. (Link to Claims Procedures)

H. Clearance for Inheritance Tax (CIT)

1. An action requesting clearance on any potential inheritance tax may be filed for a deceased individual.

2. DUTY. A filing fee of $15 must be collected before opening the action. [Iowa Code § 633.31(2)(a)]

3. The following documents must be presented when opening the action.

a. A Report and Inventory itemizing any real estate. [Iowa Code §§ 450.22, 633.361]

b. Either an inheritance tax clearance or Personal Representative Statement. [Iowa Code §§ 450.22, 450.58(2), 450.58(4), 633.35]

4. If the personal representative statement/affidavit is filed pursuant to Iowa Code section 450.22(4), it must contain a legal description(s) of property in the county filed. DUTY. The legal descriptions do not need to be indexed to lis pendens and no fee will be charged.













5. A copy of the Last Will and Testament may be given as evidence but is not required to be filed. 6. DUTY. When all the documents in 3 above are filed, the clerk will manually close the case using a

“Clerk as Judge” PIN in the ICIS Application to enter in the disposition screen. An order to close is not required. (Best Practice)

7. DUTY. If requested, the clerk will not certify a Change of Title if the real estate is passing in joint

tenancy (does not have to be a surviving spouse). (Best Practice) An affidavit may be presented to the County Recorder without involvement of the clerk as prescribed in Iowa Code section 558.66 (3)(b). the clerk shall charge the fee for certifying and sealing the Change of Title, and any copy costs. [Iowa Code § 633.31(2)(i)] (Link to Change of Title) (Link to Fees and Costs in Probate)

I. Distribution of Property by Affidavit (Small Estate Affidavit)

1. When the gross value of a decedent’s personal property that would otherwise be distributed by will or intestate succession is or has been, at any time since the decedent’s death, twenty-five thousand dollars ($25,000) or less and there is no real property or the real property passes to persons exempted from inheritance tax as joint tenants with right of survivorship, and if forty (40) days have elapsed since the death of the decedent, a successor, as defined Iowa Code section 633.356(2), may by furnishing an affidavit without obtaining letters of appointment, do any of the following with respect to one or more items of such personal property

a. Receive any item of tangible personal property of the decedent.

b. Have any evidence of a debt, obligation, interest, right, security, or chose in action belonging to the decedent transferred.

c. Collect the proceeds from any life insurance policy or any other item of property for which a

beneficiary has not been designated. [Iowa Code § 633.356(1), amended by SF2169 (2014)] 2. The affidavit is required to state certain items, one of which is “that the attached copy of the decedent’s

will is the last will of the decedent and has been admitted to probate or otherwise delivered to the office of the clerk of the district court.” [Iowa Code § 633.356(1), amended by SF2169 (2014)] (Administrative Directive 2013-2) (Link to instructional memo “Will Only for Small Estate Affidavit” dated October 3, 2013)

3. DUTY. If a “Will Only” is delivered, deposited, or e-filed with the clerk of court, it shall be file-stamped

and maintained in a searchable form. That searchable format may be to enter the event into ICIS. (Best Practice) (Administrative Directive 2013-2) (Link to instructional memo “Will Only for Small Estate Affidavit” dated October 3, 2013)

4. If an affidavit, executed under this section for a deceased distributee of an estate being administered in

this state, is filed with the clerk of the district court in which the estate is being administered, the court shall direct the personal representative to pay the money or deliver the property to or for the benefit of each successor to the extent the court determines that the deceased distributee would have been entitled to money or property of the estate. [Iowa Code § 633.356(8)(a), amended by SF2169 (2014)] DUTY. The clerk shall docket the affidavit as FOOT.

5. DUTY. The Iowa Code does not require that this affidavit be filed with the clerk of court unless an

estate has been opened for administration with the court as stated in #4 above. The TA subtype has been marked as DNU. If there is no estate opened for administration, the clerk shall refer an individual with such filing to the County Recorder’s office for filing. (Best Practice) NEW PRACTICE









http://thejudicialinsider/ClerksManual/Instructional%20Directives/Will%20Only%20for%20Small%20Estate%20Affidavit.pdf







J. Safekeeping of Wills 1. Iowa Code § 633.286 provides that, while living, a testator or a person on behalf of a testator, may

deposit a will with the clerk for safekeeping.

a. DUTY. The clerk shall maintain a file for the safekeeping of these wills. The deposited wills shall be maintained in a secure location. [Iowa Code § 633.286]

b. DUTY. To allow for searchability of these wills, it is recommended that the clerk maintain a

database or electronic spreadsheet listing of them. (Administrative Directive 2013-2) (Link to instructional memo “Will Only for Small Estate Affidavit” dated October 3, 2013)

i. The electronic database may be ICIS. If the database used is ICIS, the clerk shall

initiate a new case for each Will and enter into ICIS as a Will for Safekeeping, case type ES and subtype TK.

ii. The database shall be searchable by the public. The case shall have a security level of

0. The Will shall not be scanned until such time as the clerk has been made aware of the death of the depositor.

(Best Practice) 2. DUTY. The clerk will not collect a filing fee for this action. (Best Practice) 3. Each Will, for a living testator, must be deposited in the following manner a. Enclosed in a sealed wrapper or envelope. [Iowa Code § 633.287]

b. Any subsequent Codicils should be filed in similar fashion, but together with the original will deposited for safekeeping. [Iowa Code § 633.287]

c. The testator shall cause the document to be completed by providing the clerk with the following

information: i. Name, Social Security number, date of birth, and address of testator.

ii. Name, Social Security number, date of birth, and address of depositor (if different from testator).

iii. Name, Social Security number, date of birth, and address of the name of the person to be notified upon death of the testator. The clerk may use the Deposit of Will for Safekeeping Form to collect the required information. (Link to Confidential Social Security and Deposit of Will for Safekeeping)

(Best Practice) 4. DUTY. The clerk shall endorse on the sealed wrapper the following: a. Date of deposit. b. Name of the Testator. c. Name of the Depositor (if any).







http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/Confidential%20SS%20and%20Deposit%20of%20Will%20for%20Safekeeping.pdf



d. Name of person to be notified upon death of testator (if provided). [Iowa Code § 633.287]

e. In non-EDMS counties, the clerk may attach the Deposit of Will for Safekeeping Form to the

envelope in which the Will is deposited. (Link to Confidential Social Security and Deposit of Will for Safekeeping)

f. In EDMS counties, the clerk may scan the Deposit of Will for Safekeeping Form into the ICIS

case where the Will is stored. The clerk shall keep the Will in the envelope in which it is deposited. (Link to Confidential Social Security and Deposit of Will for Safekeeping)

5. DUTY. The clerk shall hold the Will until disposed of during the lifetime of the testator or after death of

the testator. [Iowa Code § 633.287] (Administrative Directive 2014-2) 6. Delivery by Clerk

a. During lifetime. The will can only be delivered to the testator, or to a person authorized by the testator duly acknowledged in writing. [Iowa Code § 633.288] DUTY. The clerk may have the requestor complete “Acknowledgement of Delivery of Will for Living Testator.” (Link to Acknowledgement of Delivery of Will for Living Testator) The clerk shall store the written acknowledgement. (Best Practice)

b. After death of testator. DUTY. If the Clerk is made aware of the death of the testator, the clerk

shall notify the person listed on the wrapper of the will, and if a petition to probate the will is not filed within thirty (30) days, it shall become publicly opened and the court shall make such order as it deems appropriate for the disposition of the will. [Iowa Code § 633.289]

7. DUTY. When a request is made for the return of a Will in Safekeeping, the clerk may have the

requestor complete the “Acknowledgement of Request for Delivery of Will for Living Testator” form. (Link to Acknowledgement of Delivery of Will for Living Testator)

K. Will Only (After Death of Testator) 1. Iowa Code §§ 633.285 and 633.286 provide that, when deceased, a person having custody of the

testator’s will shall deliver it to the court. Depositing a will in this situation occurs when there is no petition to open a probate case. This is commonly known among clerks as a “Will Only.”

a. If the Will Only is presented to the clerk in paper, the “Notice of Deposit of Decedent’s Original

Will With The Clerk of Court” may be used. (Link to sample Notice of Deposit of Decedent’s Original Will with the Clerk of Court)

b. DUTY. The clerk shall initiate a new case for each Will and enter into ICIS as a Will Only. Use

case type ES and subtype TW. (Best Practice)

c. DUTY. In EDMS counties, the filer may e-file or deliver the paper original to the clerk who shall scan and file as a “Will Only” in ICIS as instructed in (b) above.

i. Iowa Court Rule 16.411 does not apply and the will is not required to be e-filed.

ii. If the Will is delivered to the clerk in paper, once the clerk has scanned and filed the Will

into EDMS, the clerk shall maintain the paper original of the Will in a separate file. (Best Practice) (Administrative Directive 2013-2) (Link to Instructional memo “Will Only for Small Estate Affidavit” dated October 3, 2013)






http://thejudicialinsider/Administrative%20Directives/2014-2%20retention%20of%20wills%20for%20safekeeping.pdf


http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/Acknowledgment%20of%20Delivery%20of%20Will%20for%20Living%20Testator.pdf


http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/Acknowledgment%20of%20Delivery%20of%20Will%20for%20Living%20Testator.pdf



http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/Notice%20of%20Deposit%20of%20Decedents%20Original%20Will.pdf

http://thejudicialinsider/ClerksManual/Clerks%20Manual/Probate/Notice%20of%20Deposit%20of%20Decedents%20Original%20Will.pdf






d. The clerk shall close the case and if a petition is filed, reopen it. (Best Practice) 2. DUTY. There is no requirement for the clerk to create a certified copy of the will for storage in a

separate file as provided in Iowa Code section 633.301 unless the will is probated. (Best Practice) (Link to Claims in Probate)

3. DUTY. If a petition to probate the will is not filed within thirty (30) days, it shall become publicly opened and the court shall make such order as it deems appropriate for the disposition of the will. The clerk shall notify the executor named therein and such other persons as the court shall designate of such action. [Iowa Code § 633.289] a. The clerk shall keep the will confidential for 30 days from the date of death and if a petition to probate the will is not filed, it becomes a public document. b. The case shall have a security level of 0.

c. In EDMS, the Will shall be at a document security level 5 for thirty (30) days after death and then moved to a security level 0. The clerk shall tickle the case for 30 days.

d. If the clerk is not made aware of the date of death, the clerk shall keep the Will confidential for

thirty (30) days from the date the Will is received. (Best Practice)

4. DUTY. If the proper venue is in another court, the clerk, upon request, shall transmit such will to such court, but before such transmission, the clerk shall make a true copy thereof and retain the same in the clerk’s files. The clerk shall keep a certified copy of the will and mail the original paper copy to the clerk in the county where venue is proper. [Iowa Code § 633.289]

L. Transcripts

1. Whenever it shall appear that the testator died seized of real estate located in a county of this state other than that in which probate is granted, a complete transcript, properly authenticated, of the record entry of the order of court admitting the will to probate, and, if a copy of such will is not contained therein, a certified copy of such will shall be attached thereto, and the same shall be filed by the clerk in the office of the clerk of the district court in such other county, who shall cause the same to be entered in the probate docket, and said transcript shall be recorded in full in the book kept for the recording of wills in such county. When so recorded, such record may be read in evidence in all courts without further proof. [Iowa Code § 633.306]

2. DUTY. The cost of such transcript and of the recording thereof shall be taxed against the estate of the decedent unless administration thereof is closed, in which event it shall be paid by the owner of the real estate involved. [Iowa Code § 633.307]

3. Outgoing Transcripts:

a. DUTY. Upon request the clerk will make a transcript of an estate that has been probated in the clerk’s county to be sent to another county in the state. (Best Practice)

b. DUTY. The transcript must be certified under the seal of the clerk and make a complete listing of the court file in the transcript, unless directed otherwise by the requestor. (Best Practice) (Link to sample Clerk’s Certificate – Template Notice ID SWCRTF (No notice) or Transcript of Judgment – Template Notice ID SWTRPD)






http://thejudicialinsider/ClerksManual/Clerk%20of%20Court%20Forms/Clerks%20Certificate.pdf

http://thejudicialinsider/ClerksManual/Clerk%20of%20Court%20Forms/Transcript%20of%20Judgment.pdf


c. DUTY. The clerk shall charge a fee for making the certification of this transcript along with the appropriate per page copy fee. [Iowa Code § 633.31 (2)(f)] (Link to Fees and Costs in Probate)

d. DUTY. If the transcript is going out of state for ancillary administration or for some other purpose, then the transcript must have a judge and clerk certification attached. This may be referred to as an exemplified or authenticated copy. An out of state transcript will be processed in paper, even in an EDMS county.

The clerk shall

i. Prepare the authenticated certificate of transcript. (Best Practice) (Link to sample Authenticated Certificate of Transcript -- Template Notice ID SWCTJC)

ii. DUTY. The clerk shall charge two (2) certification fees. (Best Practice)

e. DUTY. The clerk will provide the certified copy of the transcript to the requestor for delivery to the appropriate county. The original documents shall be kept in the file. (Best Practice)

f. DUTY. The clerk shall as TRPD – Transcript Prepared by Clerk. (Best Practice) (Link to Transcript Process in EDMS Sharepoint)

2. Incoming Transcripts

a. The clerk may receive a transcript of an estate from another county asking that the matter be filed and indexed in their office.

b. This occurs when a decedent, who was domiciled and probated in another county in the state, owned real estate in the county of the receiving clerk.

c. The filing party is responsible for delivering by mail, in person or electronically the transcript to the appropriate county.

d. DUTY. The receiving clerk shall collect the appropriate fee for filing and indexing a transcript under Iowa Code section 633.31(2)(c). The fee will be automatically applied when the transcript is e-filed in EDMS. (Link to Fees and Costs in Probate) (Best Practice)

(Link to Transcript Process in EDMS Sharepoint)

L. M. Change of Title – Certification

1. DUTY. The clerk shall only certify a Change of Title when ordered by the court. (Iowa Code § 633.480) (Also see Bills Impacting Clerks – 2003 Legislative Session -- HF694, sections 54-57) If ordered by the court, the clerk shall:

a. Verify that the real estate description set forth in the order or final report matches the form presented for certification. If the descriptions do not match, the Clerk shall return the title instrument back to the requesting party without certification.

b. Charge the fee for certifying and sealing a Change of Title under Iowa Code section 633.31(2)(i), and any copy costs. (Link to Fees and Costs in Probate) This fee shall be taxed as costs if the matter is open, however if the matter is closed, the clerk shall collect the fee at the time of the title request.

c. Upon certification of the title instrument, the clerk may file a copy of the Change of Title in the court file. The docket notation shall indicate that the Change of Title was certified by the Clerk.


http://thejudicialinsider/ClerksManual/Clerk%20of%20Court%20Forms/Authenticated%20Cert%20of%20Transcript%20by%20Judge%20and%20Clerk.pdf

http://thejudicialinsider/ICIS/EDMS/Clerk%20Resources/Clerks%20Training%20Information/09%20Transcript%20Process/TranscriptProcess_RG.pdf


http://thejudicialinsider/ICIS/EDMS/Clerk%20Resources/Clerks%20Training%20Information/09%20Transcript%20Process/TranscriptProcess_RG.pdf


http://thejudicialinsider/ClerksManual/Legislation%20Affecting%20Clerks/2003%20-%20Bills%20Impacting%20Clerks%20of%20Court.pdf



d. The Clerk shall not assist in the drafting of the title instrument. This is to be completed by the filer.

e. The filing party is to present the certified title instrument to the County Recorder. The clerk shall not accept this responsibility.

(Best Practice) NEW PRACTICE

2. The instructions in M1 above applies to all probate actions, including the CIT in joint tenancy. (Iowa Code § 633.480) (Also see Bills Impacting Clerks – 2003 Legislative Session -- HF694, sections 54-57) (Link to Clearance for Inheritance Tax)

N. Probate Reports and Delinquencies

1. The Clerk is responsible for tracking and making reports on all delinquent inventories and reports on June 1 and December 1 of each year. [Iowa Code § 633.32(1)] This includes:

a. Initial Reports of Guardianship (60 days from appointment of fiduciary)

b. Inventory Report of Conservatorship (60 days from appointment of fiduciary)

c. Inventory Report of Estate (90 days from appointment of fiduciary)

d. Annual Report (Guardianship/Conservatorship/Trust) (1 year and 90 days from appointment of fiduciary and thereafter from the closing date of the last reporting period)

e. Biennial Report (Guardianship/Conservatorship/Trust) (2 years from appointment of fiduciary and thereafter from the closing date of the last reporting period)

f. Triennial Report (Guardianship/Conservatorship/Trust) (3 years from appointment of fiduciary and thereafter from the closing date of the last reporting period)

g. Five Year Report (Guardianship/Conservatorship/Trust) (5 years from appointment of fiduciary and thereafter from the closing date of the last reporting period)

h. Interlocutory Report of Estate (Regular estate is 18 months from the date of the second publication if no Final Report filed. Small estate 12 months from the letters of appointment when the interlocutory report is due).

i. Final Report of Estate (3 years from the date of Second Publication)

j. Small Estate Closing Statement (1 year from appointment of fiduciary)

k. Order Closing Probate (6 months from the date of filing the Final Report) [Iowa Code §§ 633.361, 633.669, 633.670, 633.671] (Link to Delinquency Tables by Type)

2. DUTY. The clerk shall identify the report and assign any correlating event code on the docket. (Link to Docket Event Codes)

3. Probate Reporting Waivers

a. An order that indefinitely waives reporting must be docketed as an OFPW (only for guardianships, conservatorships and trusts) ; otherwise it will be marked for a delinquency.

b. Order for biennial probate waiver – OFBW

c. Order for triennial probate waiver – OFTW


http://thejudicialinsider/ClerksManual/Legislation%20Affecting%20Clerks/2003%20-%20Bills%20Impacting%20Clerks%20of%20Court.pdf







d. Order for five year probate waiver – OFFW

4. DUTY. The clerk shall send notice of the initial delinquency to all fiduciaries and the designated probate attorney(s). Each delinquency has a period of 60 days to cure. The June 1 delinquencies must be cured by August 1 and the December 1 delinquencies must be cured by February 1. [Iowa Code § 633.32(1)]

a. Delinquent filings may be cured by filing the delinquent report [Iowa Code § 633.32(1)] or by obtaining an order granting an extension.

b. An order granting a probate waiver does not necessarily cure a current delinquency. The waiver cannot be used in place of an extension or relief from delinquency order unless the language of the order specifically states otherwise.

5. DUTY. After the period to cure the delinquent filing has passed, the Clerk shall make a report to the presiding judge of all delinquent inventories and reports pending estate, trust, guardianship or conservatorship. [Iowa Code § 633.32 (2-3)]

a. This report shall also be sent to the district court administrator, the chief judge of the district and the state court administrator. [Iowa Court Rules 7.6(1) & (2)]

b. The report can be found on the Master Copy of each delinquency issued using the ICIS2 CPW150 Report. (Best Practice)

6. DUTY. If the delinquency is not cured, the clerk shall docket a copy of the notice with the completed report (which is located at the bottom of the notice) and file in the court file. (Best Practice) (Link to ICIS Instructions for Running Delinquencies)

7. If the clerk needs to manually do delinquencies use “Notice of Delinquency.” (Link to sample Notice of Delinquency – Template Notice ID SWDELQ)

O. Ancillary Administration 1. (Link to Definition of Ancillary Administration) 2. Admission of wills of nonresidents

a. A will of a nonresident of this state, not probated in any other state or county, may be admitted to probate in any county of this state where either real or personal property of the deceased nonresident is located. [Iowa Code § 633.495]

b. Foreign probated wills: A will probated in another state or country shall be admitted to probate in

this state upon the production of a copy of the original record of probate, authenticated by the certificate of the clerk of the court or judge of the court where the probate record was made. [Iowa Code § 633.496]

c. Appointment of foreign administrator: Ancillary administration may be taken of the estate of a

deceased intestate nonresident where a fiduciary has qualified under the laws of the nonresident state. [Iowa Code § 633.500]

i. The nonresident administrator may make application to be appointed as administrator in

the state of Iowa, unless another has already been appointed, and a resident administrator must be appointed to serve with the nonresident administrator. [Iowa Code § 633.501]





http://thejudicialinsider/ClerksManual/Clerk%20of%20Court%20Forms/Notice%20of%20Delinquency.pdf






1) The application for appointment shall contain the name and address of the nonresident administrator and the resident administrator, if any, or cause for the nonresident administrator to act as the sole administrator of the estate, and

2) Be accompanied by certificate of the clerk of court of original jurisdiction

certifying that the estate is under administration in that county and a certification of the original letters or other authorization authorizing the nonresident administrator to act in the nonresident state. [Iowa Code §§ 633.501 & 633.502]

ii. However the court may, for good cause shown, appoint the nonresident administrator to

act alone without the appointment of a resident administrator. [Iowa Code §§ 633.500, 633.502, 633.503]

d. It is recommended that an order admitting or approving petition for ancillary administration be

signed by a judge. 3. DUTY. The procedures from this point forward are exactly the same as those in a testate or intestate

estate. (Link to Testate Estate Procedures & Intestate Estate Procedures) (Best Practice) 4. The fees outlined in Iowa Code section 633.31 apply to the testate, intestate, and ancillary estate

cases. (Link to Fees and Costs in Probate)

P. Probate of Will without Administration [Iowa Code § 633.305]

1. If the petition does not request the appointment of an executor, it may be admitted to probate without administration.

2. The Petition for Probate should be accompanied with a Petition to Admit the Will without Administration.

a. DUTY. The clerk shall docket the petition as PFWO (Petition filed Will without Administration).

b. DUTY. The clerk shall collect a filing fee for filing a will without administration. [Iowa Code § 633.31(2)(b)] Also charge a fee for any order issued. (Link to Fees and Costs in Probate)

(Best Practice) 3. Documents to accompany petition:

a. The petition shall be accompanied by the testimony, oral or written, or one or more of the subscribing witnesses to the will. If the testimony is it writing, it shall be substantially in the following form executed and sworn to after the death of the decedent. [Iowa Code § 663.295]

b. Or, the will is self-proving. An attested will may be made self-proved at the time of its execution

or at any subsequent date, by the acknowledgement thereof by the testator and the affidavits of at least two (2) competent witnesses, and notarized by a person authorized to do so under Chapter 9E of the Iowa Code. [Iowa Code § 633.279]

c. Or, if the witness(es) to the will are deceased or unavailable and the will is not self-proving, by

affidavit of two credible disinterested witnesses that the signature to the will is in the handwriting of the person whose will it purports to be, and that the signatures of the witnesses are in the handwriting of such witnesses, or it may be proved by other sufficient evidence of the execution of such will. [Iowa Code § 633.297]













4. DUTY. The clerk is not required to issue any letters of appointment or to verify any oath of office. The clerk may sign the order opening the estate if the will is self-proving and the accompanying petition attests that no administration is being sought. (Best Practice)

5. DUTY. When a will has been admitted to probate the clerk shall complete a certificate of probate of will

(Link to sample Certificate of Admission of Will to Probate – Template Notice ID SWCOAW) showing that the will has been approved. [Iowa Code § 633.300] (Link to Certificate of Will to Probate)

a. The certificate shall be signed by the clerk and attested by the seal of the court; and, when so

certified, it, or the transcript of the record properly authenticated, may be read in evidence in all courts without further proof. [Iowa Code § 633.300]

b. The clerk shall assess the fee for a certification and seal under Iowa Code section 633.31(2)(f)

for the certification procedure. (Best Practice) 6. DUTY. In non-EDMS counties, the clerk shall retain the original will in a separate file provided for that

purpose until the time for contest has expired, and then place it with the files of the estate. [Iowa Code § 633.301]

a. The clerk shall also place and keep a true copy (certified and sealed as described in 5(a) above

in the file containing the proceedings of the estate. [Iowa Code § 633.302]

b. A fee of $10 will be taxed as costs for a certificate and seal fee for this true copy. [Iowa Code § 633.31(2)(f)]

c. The clerk will also charge a fee of $.50 per page for a copy of the will and certificate.

[Iowa Code § 633.31(2)(h)]

d. In EDMS counties, the filer shall scan the original will and the original is kept by the filer. [Iowa Ct. R. 16.411] The filer has the option of delivering the original will to the clerk’s office.

The clerk shall place the original will in a secure place. (Administrative Directive 2013-2) 7. DUTY. When the will is admitted into probate, if requested, the clerk shall provide a certified copy as

provided in 5 (a) above to the fiduciary. [Iowa Code § 633.301]

a. Since this requires the clerk to certify and seal the document, a $10 fee will be collected in advance for each copy provided. [Iowa Code § 633.31(2)(f)]

b. The clerk will also collect in advance a fee of $.50 per page for the copy of the will and

certificate of probate. [Iowa Code § 633.31(2)(h)] 8. Timeliness of Probate Fillings for Wills Without Administration

a. DUTY. The ICIS Delinquency Report (CPW150) will not issue delinquencies on this case subtype, therefore the clerk shall close the case immediately upon opening. However, if costs are due refer to a judicial officer. (Best Practice)

b. DUTY. In the closing process the clerk may manually use a “Clerk as Judge” PIN in the ICIS

Application to enter in the disposition screen. An order to close is not required. (Best Practice)

c. DUTY. If any contests are filed after closing the case in (a) above, reopen the case. 9. Inventory Filing - Optional















a. Inventories may be given as evidence in all probate proceedings, but shall not be conclusive,

and other evidence may be introduced to vary the effect thereof. [Iowa Code § 633.367]

b. DUTY. If an inventory and report is presented and it indicates that it is a CIT inventory, the clerk shall collect an additional filing fee under Iowa Code section 633.31(2)(a) for filing a short form probate under 450.22 & 450.44

i. Docket event CITI (Probate CIT Inventory)

ii. The clerk shall not assess probate fees pursuant to 633.31(2)(k).

(Best Practice)

Q. Conservatorships 1. Petition to Open Conservatorship

a. Any person may file with the clerk a petition for the appointment of a conservator. The petition shall state any relevant information as listed in Iowa Code section 633.566.

Note: Ward is in the singular and conservatorship information stated under 633.566. DUTY. The clerk shall refuse the filing if it includes multiple individuals in one petition. (Best Practice)

b. DUTY. The Clerk shall make a note in the comment in docketing whether or not the petition is

voluntary or involuntary. [Iowa Code § 633.27A] (Best Practice)

c. DUTY. The clerk shall docket the petition as PFPR (Petition in Probate - Reg Estate, Conservatorship or Trust). (Best Practice)

d. DUTY. The clerk shall NOT collect a filing fee in any type of conservatorship. (Best Practice)

2. Appointment of Conservator on Voluntary Petition

a. A voluntary conservatorship is commenced by the filing of a verified petition by the proposed ward.

i. The ward must be 14 years of age or older for a voluntary conservatorship.

ii. The court will make a determination whether the conservatorship is in the best interest of the applicant.

[Iowa Code § 633.634]

b. However, if an involuntary petition is pending, the court shall be governed by Iowa Code section 633.635.

3. Appointment of Conservator

a. DUTY. If the judge has signed an order appointing the conservator, the Clerk shall issue Letters of Appointment (Link to Letters of Appointment) provided the oath and bond, if ordered, have been provided and approved. [Iowa Code § 633.22(1)] (Link to Fiduciary Bonds)

b. Appointment of Temporary Conservator










i. The court may appoint a temporary conservator. [Iowa Code § 633.573]

ii. DUTY. The clerk shall make any necessary notation on the Letters of Appointment as to the nature of the appointment. [Iowa Code § 633.22(1)] (Best Practice)

c. DUTY. The clerk shall notify the conservator in writing of the reporting requirements outlined in

Iowa Code section 633.670(2). (Link to sample Notice of Responsibilities as Guardian or Conservator Pursuant to 633.669(4) & 633.670(2) – Template Notice ID SWRESP)

i. The clerk shall docket the notice at NOOT.

ii. The clerk shall provide these instructions to the conservative with the letters of appointment.

(Best Practice)

g. 4. Actions to Set Aside or Contest a Conservatorship

a. Any interested party may file a petition to set aside or contest a conservatorship.

b. DUTY. The petition shall be filed in the existing probate case. (Best Practice) (Link to Commencement of Civil Action in Civil Chapter)

c. DUTY. The filing party shall be given a role code of “Interested Party”. (Best Practice)

d. DUTY. Whether filed as a motion or application or petition, it shall be considered a petition for

the purpose of collecting the filing fee for filing and docketing of a civil petition under Iowa Code section 602.8105(1)(a). (Best Practice) (Link to Fees in Civil Chapter)

e. DUTY. When the judicial officer enters an order, the clerk shall:

i. Assess costs as ordered by the judge.

ii. Costs shall include fees assessed in any civil case and the applicable fees as listed

under Iowa Code section 633.31(2). (Link to Fees in Civil Chapter) (Best Practice)

5. Declaratory Judgment (Link to Declaratory Judgment in Civil Chapter) a. DUTY. When a Declaratory Judgment is filed, the clerk shall process as follows:

i. If there is no existing/pending probate case or the probate case has been closed, the clerk shall process the Declaratory Judgment as a new civil case (CV-Other), and collect the filing fee for filing and docketing a petition under Iowa Code section 602.8105(1)(a). (Link to Fees in Civil Chapter)

ii. If there is an existing/pending case, the clerk shall docket and process the Declaratory Judgment in the existing case without collecting a fee.

(Best Practice)

b. DUTY. When the judgment is entered by the court, the clerk shall docket the judgment order, distribute to the appropriate parties and assess any costs as directed in the order.

(Best Practice) c. When the judicial officer enters an order, the clerk shall:




http://thejudicialinsider/ClerksManual/Clerk%20of%20Court%20Forms/Notice%20of%20Responsibilities%20and%20Guardian%20and%20or%20Conservator.pdf










ii. Costs shall include fees assessed in any civil case and the applicable fees as listed

under Iowa Code section 633.31(2). (Link to Fees in Civil Chapter) (Best Practice)

6. Removal of Conservator or Other Similar Action

a. DUTY. If an individual, other than the fiduciary or the ward, files a petition, motion, or application to remove a conservator or other similar action such filing shall be considered a petition for the purpose of collecting the filing fee for filing and docketing of a civil petition under Iowa Code section 602.8105(1)(a). (Link to Fees in Civil Chapter)


(Link to Commencement of Civil Action in Civil Chapter)

c. DUTY. The filing party shall be given a role code of “Interested Party.”


(Best Practice) 7. Procedure in Lieu of Conservatorship for a Minor (Custodianship)

a. Custodianships apply to minors receiving money or property not exceeding the value of twenty-five thousand dollars ($25,000).

i. If a custodian has not been nominated under Iowa Code section 565B.3, or all persons

so nominated as custodian die before the transfer or are unable, decline, or are ineligible to serve, or in the case of an intestate estate, a transfer under this section may be made to an adult member of the minor’s family or to a trust company unless the property exceeds twenty-five thousand dollars ($25,000) in value. [Iowa Code §§ 565B.7(3), 633.108]

ii. Receipt by the custodian, when presented to the court or filed with the report of

distribution of the fiduciary, shall have the same force and effect as though the payment had been made to a duly appointed and qualified conservator for the minor. [Iowa Code § 633.108]

iii. DUTY. The clerk has no responsibility with regard to a custodianship. (Best Practice)

b. If a minor receives more than $25,000, a conservatorship must be opened. [Iowa Code § 565B.6(3)(c)]

8. Conservatorships for Absentees

a. An absentee conservatorship involves property in this state with an owner that has disappeared or their whereabouts unknown. [Iowa Code § 633.580]

b. Any person may petition the court to consider this type of action. The petition must state the

information given in Iowa Code section 633.580.








https://www.legis.iowa.gov/DOCS/ACO/IC/LINC/Section.565B.3.pdf








c. DUTY. The clerk shall docket the petition. (Best Practice)

d. DUTY. The Clerk shall NOT collect a filing fee in any type of conservatorship. (Best Practice)

e. The court may order the appointment of the absentee conservator if the allegations in the

petition are proved. [Iowa Code § 633.584] DUTY. The clerk shall docket the order and provide a copy of the order to the appropriate parties. (Best Practice)

9. Standby Conservatorships

a. Any competent adult may execute a verified petition for the voluntary appointment of a conservator. The petition shall be activated upon the occurrence of an event specified or the existence of a described condition of the mental or physical health of the petitioner. [Iowa Code § 633.591]

b. A person having physical and legal custody of a minor may execute a verified petition stating

the relevant information as listed in Iowa Code section 633.566. [Iowa Code § 633.581A]

c. The petition may nominate the person to serve as conservator and request appointment be made without bond, or with bond of a certain stated amount. [Iowa Code § 633.592]

d. DUTY. The petition may be deposited with the Clerk of the county in which the party resides.

[Iowa Code § 633.593]

i. The clerk shall docket the petition.

ii. The clerk shall not collect a filing fee. (Best Practice)

e. At any time after the deposit with the clerk, and before its revocation, it may be brought for

hearing by the filing of a verified statement to the effect that the occurrence of the event or condition provided for in the petition has come to pass. [Iowa Code § 633.593]

10. Foreign Conservatorships

a. A foreign conservator may upon application be appointed as conservator of the property in this state, along with a resident conservator. However for good cause shown, the court may appoint the foreign conservator to act alone without the appointment of a resident conservator.

[Iowa Code § 633.603] b. The application shall include the name and address of the nonresident ward, and of the

nonresident conservator or guardian, and the name and address of the resident conservator to be appointed. It shall be accompanied by a certified copy of the original letters or other authority conferring the power upon the foreign conservator or guardian to act as such. The application shall also state the cause for the appointment of the foreign conservator to act as sole conservator, if such be the case. [Iowa Code § 633.604]

c. The foreign conservator or guardian shall file with the clerk (in the county where property is

located) a certified copy of the bond, duly authenticated by the court granting the letters of appointment. A receipt of the property shall also be executed/filed with the clerk.

[Iowa Code § 633.6036]












d. Upon filing of the bond the court shall order the personal property of the ward delivered to the conservator or guardian. [Iowa Code § 633.607]

e. DUTY. The Clerk shall docket the application, the bond and the receipt and notify the court

which granted the letters of conservatorship, the amount of property delivered to the fiduciary and the date of delivery thereof. [Iowa Code § 633.608]

f. DUTY. The clerk shall not charge a filing fee. (Best Practice)

11. Duties and Powers of Conservator

a. Disposal of will by conservator. When an instrument purporting to be the will of the ward comes into the hands of a conservator, the conservator shall immediately deliver it to the court. [Iowa Code § 633.643]

b. Upon receiving an instrument purporting to be the will of a living ward under the provisions of

Iowa Code section 633.643, the court may open said will and read it. The court with or without notice, as it may determine, may enter such orders in the conservatorship as it deems advisable for the proper administration of the conservatorship in light of the expressed testamentary intent of the ward.

c. An instrument purporting to be the will of a ward coming into the hands of the court under the provisions

of Iowa Code section 633.643, shall thereafter be resealed by the court and be deposited with the clerk

to be held by said clerk as provided in Iowa Code sections 633.286 - 633.289 [Iowa Code § 633.654]

(Link to Safekeeping of Wills)

d. DUTY. The clerk shall reference the probate number on the wrapper of any deposited will.

(Best Practice)

e. DUTY. The clerk shall relate the Will in Safekeeping with the conservatorship by using the related cases application in ICIS. The clerk will make record on the conservatorship docket that the Will in Safekeeping was deposited by using docket event WILP (Will Prior to Death). (Best Practice)

12. Claims

a. Claims shall be filed in duplicate with the clerk stating the amount due; accompanied by an affidavit. [Iowa Code § 633.654] (Link to Claims in Probate)

b. DUTY. The duplicate of the claim shall be mailed by the clerk to the conservator or the

conservator’s attorney of record. [Iowa Code § 633.654]

c. DUTY. In EDMS notification will be as required under Iowa Ct. R. 16.317, service of documents subsequent to original notice.

13. Conservator’s Inventory and Reports

a. A conservator shall file an inventory within sixty (60) days of the date of the first letters of

appointment.

i. The inventory shall include all property of the ward that has come into the conservator’s possession or which the conservator has knowledge.













ii. If any additional property comes into the conservator’s possession, a supplemental

inventory shall be filed within thirty (30) days. [Iowa Code § 633.670(1)(a)]

b. DUTY. The clerk shall assess fees on the value of the reported inventory pursuant to the schedule set forth in Iowa Code section 633.31(2)(k). [Iowa Op. Atty. Gen. 80-9-9, 1980 WL 26056 (Iowa A.G.) and Iowa Op. Atty. Gen. 87-1-14, 1987 WL 119633 (Iowa A.G.)]

(Link to Probate Fees Schedule) (Link to Report and Inventory)

i. These fees shall also be assessed on any supplemental inventory. [Iowa Op. Atty. Gen. 80-9-9, 1980 WL 26056 (Iowa A.G.) and Iowa Op. Atty. Gen. 87-1-14, 1987 WL 119633 (Iowa A.G.)]

iii. These fees shall not be assessed when the annual report accountings are filed.

However, the fee for a judicial officer issuing an order shall be assessed. (Link to Fees and Costs in Probate) (Best Practice)

iii. These fees shall not be assessed when a conservatorship has merely commenced a

lawsuit or is being sued and the assets of the estate are indeterminate. [Iowa Code § 633.31(k)(1)] [Iowa Op. Atty. Gen. 87-1-14, 1987 WL 119633 (Iowa A.G.)]

c. DUTY. If the conservatorship is refereed, the referee fees shall be assessed by local rule.

[Iowa Codes § 633.21 and Iowa Ct. R. 7.5(2)] (Link to Report of Referee)

d. Written and verified reports and accountings are required as listed below. [Iowa Code § 633.670(1)(b)(1-5)]

i. Annually, within ninety (90) days of the close of the reporting period, unless the court

otherwise orders on good cause shown.

ii. Within thirty (30) days following the date of removal.

iii. Upon filing resignation and before the resignation is accepted by the court.

iv. Within sixty (60) days following the date of termination.

v. At other times as the court may order. [Iowa Code § 633.670(1)(b)(1-5)]

e. DUTY. The clerk shall identify the report and assign any correlating event code on the docket. (Link to Docket Event Codes) f. DUTY. Additionally, the clerk shall make note of the reporting end date in the action date field.

(Best Practice) g. The clerk shall make a report to the presiding judge of all delinquent inventories and reports due

in any pending estate, trust, guardianship or conservatorship. [Iowa Code § 633.332(2-3)] (Link to Probate Reports and Delinquencies & ICIS Instructions on Delinquencies) (Best Practice)

h. Reports of conservators shall be reviewed and approved by a district court judge or referee so

the judge can issue an order. [Iowa Code § 633.370(3)] Note: The best practice is to have the report reviewed and approved by a judicial officer, not a referee.



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14. Payment of Court Costs in Conservatorships

a. DUTY. The clerk shall assess and/or collect the fees and costs in a conservatorship as provided in this chapter. (Link to Fees and Costs in Probate) (Best Practice)

b. No order shall be entered approving an annual report of a conservator until the costs are paid.

i. The court may, upon application, enter an order waiving payment of the court costs if the

ward is indigent.

ii. However, if the conservatorship subsequently becomes financially capable of paying any waived costs, the conservator shall immediately pay the costs. [Iowa Code § 633.672]

c. DUTY. If the judicial officer enters an order and the court costs have not been paid, the clerk

shall go ahead and docket the order. (Best Practice) 15. Termination of Conservatorship a. A conservatorship shall terminate under the following circumstances: i. If the ward is a minor and reaches full age. ii. The death of the ward.

iii. The determination by the court that the ward is no longer impaired beyond decision making.

iv. The determination by the court that the conservatorship is no longer necessary for any

other reason. [Iowa Code § 633.675]

b. At any time that the assets of the ward’s estate do not exceed the amount of the charges and claims against it, the court may direct the conservator to proceed to terminate the conservatorship. [Iowa Code § 633.676]

c. Upon termination, the conservator shall pay the costs of administration and render a full and

complete accounting to the ward or the ward’s personal representative, and to the court. A hearing will be held unless a receipt and waiver is filed. [Iowa Code § 633.677]

d. Upon termination, all assets shall be delivered under direction of the court, to the person or

persons receiving them. [Iowa Code § 633.678]

e. At any time after the appointment of a guardian or conservator, the ward may apply to the court by petition, alleging that the person is no longer a proper subject thereof, and asking that the guardianship or conservatorship be terminated. [Iowa Code § 633.679]

f. If a petition to terminate a guardianship or conservatorship is denied, no other petition shall be

filed for at least (6) six months. [Iowa Code § 633.680]

g. If the assets of a minor ward are exhausted or are less than twenty five thousand, the court may terminate the conservatorship. The order may direct any remaining property be paid to a custodian under the Uniform Transfer to Minors Act. [Iowa Code § 633.681]










h. Upon settlement of the final accounting of a conservator, and upon determining that the property of the ward has been delivered to the person or persons lawfully entitled thereto, the court shall discharge the conservator and release (exonerate) the surety on the conservator’s bond. [Iowa Code § 633.682]

i. DUTY. When the judicial officer enters the order to discharge conservator and the court costs have been paid, the clerk shall enter the disposition and close the conservatorship case. (Link to Docket Event Codes) (Best Practice)

j. Release (exoneration of the bond) would be by court order to whom the bond was issues, unless ordered differently by the court. DUTY. The clerk shall release the bond as outlined in the court order. (Best Practice)

16. Reopening a Conservatorship An application or petition to reopen an estate must be filed. DUTY. The clerk shall: a. Docket the application/petition in the original case. (Link to Docket Event Codes)

b. When a new report and inventory is filed, assess the appropriate inventory fees under 633.31(2)(k) for any new assets.

c. When the judge issues an order, the clerk shall docket the order, assess the appropriate order

fee and distribute the order to the parties of record or as ordered by the court. Note: In order to make the CPW150 Delinquency Report work properly, the clerk shall follow the

appropriate re-opening procedures. (Link to Methods for Re-Opening all Probate Case Types)

d. If ordered, the clerk shall issue a new letter of appointment. (Link to Letters of Appointment) (Best Practice)

R. Guardianship

1. Opening Procedures

a. Any person may file with the clerk a verified petition for the appointment of a guardian. The petition shall state the information contained in Iowa Code section 633.552

b. DUTY. Upon the filing of a verified petition, the clerk shall open a guardianship case and clearly

indicate on the docket whether or not the proceeding is voluntary or involuntary. [Iowa Code § 633.27A]

Note: Ward is in the singular and guardianship information stated under 633.552 is in the singular. DUTY. The clerk shall refuse the filing if it includes multiple individuals in one petition. (Best Practice)

c. Attorney representation of Ward

i. In a proceeding for the appointment of a guardian:

1) If the proposed ward is an adult and is not the petitioner, the proposed ward is entitled to representation. Upon the filing of the petition, the court shall appoint an attorney to represent the proposed ward, set a hearing on the petition, and provide for notice of the appointment of counsel and the date of hearing.






2) If the proposed ward is either a minor or adult under a standby petition, the court shall determine whether, under the circumstances of the case, the proposed ward is entitled to representation. The determination regarding representation may be made with or without notice to the proposed ward, as the court deems necessary. If the court determines that the proposed ward is entitled to representation, the court shall appoint an attorney to represent the proposed ward. After making the determination regarding representation, the court shall set a hearing on the petition, and provide for notice on the determination regarding representation and the date of hearing.

3) The court may appoint an attorney for representation of the ward or minor prior to

the service of the original notice upon the ward.

4) The court may reconsider the determination regarding representation upon application by any interested person.

5) The court may discharge the attorney appointed by the court if it appears upon

the application of the proposed ward or any other interested person that the ward has privately retained an attorney who has filed an appearance on behalf of the proposed ward.

ii. If the court determines that it would be in the ward’s best interest to have legal

representation with respect to the proceedings in a guardianship, the court may appoint an attorney to represent the ward at the expense of the ward or the ward’s estate, or if the ward is indigent the cost of the court appointed attorney shall be assessed against the county in which the proceedings are held. [Iowa Code § 633.561]

c. Notice

i. If the proposed ward is an adult, notice of the filing of the petition shall be served upon

the proposed ward in the manner of an original notice and the content of the notice is governed by the Iowa Rules of Civil Procedure. [Iowa R. Civ. P. 1.302, 1.305]

ii. If the proposed ward is a minor or if the proposed ward is an adult under a standby

petition and the court determines, pursuant to Iowa Code section 633.561(1), that the proposed ward is entitled to representation, notice in the manner of original notice, or another form of notice ordered by the court, given to the attorney appointed to represent the ward is notice to the proposed ward. [Iowa Code § 633.554]

iii. In all other cases, notice of the filing of such petition shall be served upon the proposed

ward in the manner of an original notice and the Rules of Civil Procedure governing original notices shall also govern such notice as to content. [Iowa Code § 633.554

2. Appointment of Guardian on Voluntary Petition

a. A voluntary guardianship is commenced by the filing of a verified petition by the proposed ward. i. The ward must be 14 years of age or older for a voluntary guardianship.

ii. The court will make a determination whether the guardianship is in the best interest of the applicant.

[Iowa Code § 633.557]









b. However, if an involuntary petition is pending, the court shall be governed by Iowa Code section 633.635.

3. Temporary Guardianship

a. A temporary guardian may be appointed, but only after a hearing on such notice, and subject to such conditions as the court may prescribe. [Iowa Code § 633.558]

b. The parents of a minor, or either of them, if qualified and suitable, shall be preferred over all

others for appointment as guardian. [Iowa Code § 633.559]

c. Preference shall then be given to any person, if qualified and suitable, nominated as guardian for a minor child by a Will executed by the parent having custody of a minor child, and any qualified and suitable person requested by a minor 14 years of age or older. [Iowa Code § 633.559]

d. Subject to the preferences in (b) and (c) above, the court shall appoint as guardian a qualified

and suitable person who is willing to serve in that capacity. [Iowa Code § 633.559] 4. Appointment of Guardian on Standby Basis

a. A petition for the appointment of a guardian on a standby basis may be filed by any person under the same procedure and requirements as provided in Iowa Code sections 633.591 & 633.597, for appointment of standby conservator (Link to Standby Conservatorship) insofar as applicable. [Iowa Code § 633.560]

b. Standby basis means that the petition will be acted upon by the court only upon the occurrence

of an event specified or the existence of a described condition of the mental or physical health of the petitioner, pursuant to Iowa Code section 633.591A.

5. Appointment of Guardian

a. If the allegations of the petition as to the status of the proposed ward and the necessity for the appointment of a guardian are proved, the court may appoint a guardian. [Iowa Code § 633.556(1)]

b. If the court appoints a guardian based upon mental incapacity of the proposed ward because

the proposed ward is a person described in Iowa Code section 222.2(5) as intellectually disabled (children and adults who as a result of inadequately developed intelligence are significantly impaired in ability to learn or to adapt to the demands of society). [Iowa Code §§ 633.556(1), 4.1(9A]

c. The court shall make a separate determination as to the ward’s competency to vote. The court

shall find a ward incompetent to vote only upon determining that the person lacks sufficient mental capacity to comprehend and exercise the right to vote. [Iowa Code § 633.556(1)] DUTY. The clerk shall complete the “Notice of Finding of Mental Incompetence to Vote” and send to the Secretary of State and the County Auditor. [Iowa Code §§ 48A.30(1)(e) & 602.8102(15)] (Link to Mental Incompetence to Vote) make fillable form (Best Practice)

d. Upon the filing of the order appointing guardian and appropriate Court Officer’s Oath, the Clerk

shall issue Letters of Appointment. [Iowa Code § 633.178] (Link to sample Letters of Appointment – Template Notice ID SWLEAP)

















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e. DUTY. The clerk shall notify the guardian in writing of the reporting requirements and shall provide information and assistance to the guardian in filing the reports. [Iowa Code § 633.669(4)] (Link to sample Notice of Responsibilities and Guardian and/or Conservator – Template Notice ID SWRESP)

i. The clerk shall docket the notice at NOOT. ii. The clerk shall provide these instructions to the guardian with the letters of appointment. (Best Practice)

8.7.. 6. Actions to Set Aside or Contest a Guardianship

a. Any interested party may file a petition to set aside or contest a guardianship.

b. DUTY. The petition shall be filed in the existing probate case. (Best Practice)


c. DUTY. The filing party shall be given a role code of “Interested Party.” (Best Practice)

d. DUTY. Whether filed as a motion or application or petition, it shall be considered a petition for the purpose of collecting the filing fee for filing and docketing of a civil petition under Iowa Code section 602.8105(1)(a). (Best Practice) (Link to Fees in Civil Chapter)

e. DUTY. When the judicial officer enters an order, the clerk shall:


ii. Costs shall include fees assessed in any civil case and the applicable fees as listed under Iowa Code section 633.31(2). (Link to Fees in Civil Chapter)

(Best Practice) 7. Declaratory Judgment (Link to Declaratory Judgment in Civil Chapter) a. DUTY. When a Declaratory Judgment is filed, the clerk shall process as follows:

1) If there is no existing/pending guardianship case or the guardianship case has been closed, the clerk shall process the Declaratory Judgment as a new civil case (CV-Other), and collect the filing fee for filing and docketing a petition under Iowa Code section 602.8105(1)(a). (Link to Fees and Costs in Probate)

2) If there is an existing/pending case, the clerk shall docket and process the Declaratory Judgment in the existing case without collecting a fee.

(Best Practice)

b. DUTY. When the judgment is entered by the court, the clerk shall docket the judgment order, distribute to the appropriate parties and assess any costs as directed in the order. (Best Practice)

c. When the judicial officer enters an order, the clerk shall:


ii. Costs shall include fees assessed in any civil case and the applicable fees as listed under Iowa Code section 633.31(2). (Link to Fees in Civil Chapter)












(Best Practice) 8. Removal of Guardian or Other Similar Action

a. DUTY. If an individual, other than the fiduciary or the ward, files a petition, motion, or application to remove a guardian or other similar action such filing shall be considered a petition for the purpose of collecting the filing fee for filing and docketing of a civil petition under Iowa Code section 602.8105(1)(a). (Link to Fees in Civil Chapter)





(Best Practice) 9. Rights of Ward Under Guardianship a. An adult ward under a guardianship has the right of communication, visitation, or interaction with other persons upon the consent of the adult ward, subject to Iowa Code section 633.635 (1)(f) and 633.635(2)(2). If the adult ward is unable to give express consent to such communication, visitation, or interaction with a person due to physical or mental condition, consent of an adult ward may be presumed by a guardian or a court based on an adult ward’s prior relationship with such person. [Iowa Code section 633.637A added by S.F. 306 (2015)] b. The petition/application/motion for visitation of an adult ward will be filed in the existing guardianship or guardianship/conservatorship. This filing shall be considered a petition for the purpose of collecting the filing fee for filing and docketing of a civil petition under Iowa Code section 602.8105(1)(a). (Link to Fees in Civil Chapter)


d. Costs shall include fees assessed in any civil case and the applicable fees as listed under Iowa Code section 633.31(2)(c-j). (Link to Fees in Civil Chapter)

e. The clerk shall assess costs as ordered by the judge. (Best Practice)

10. Guardian’s Reports

a. A guardian appointed under Chapter 633 shall file with the court the following written verified reports:

i. An initial report will be filed by the guardian within sixty (60) days of the guardian’s

appointment.

ii. An annual report, within ninety (90) days of the close of the reporting period, and thereafter unless the court otherwise orders for good cause.








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iii. A final report shall be filed within thirty (30) days of the termination of the guardianship under Iowa Code section 633.675 unless that time is extended by the court. [Iowa Code § 633.669] [Iowa Ct. Rules 7.11, Form 2 Initial/Annual/Final Report of Guardian and Order]

b. DUTY. The clerk shall identify the report and assign any correlating event code on the docket. (Link to Docket Event Codes) c. DUTY. Additionally, the clerk shall make note of the reporting end date in the action date field.

(Best Practice) d. DUTY. The clerk shall make a report to the presiding judge of all delinquent inventories and

reports due in any pending estate, trust, guardianship or conservatorship. [Iowa Code § 633.32 (2-3)] (Link to Probate Reports and Delinquencies & ICIS Instructions on Delinquencies)

(Best Practice)

e. Reports of guardians shall be reviewed and approved by a district court judge or referee so the judge can issue an order. [Iowa Code § 633.669(5)]

Note: The best practice is to have the report reviewed and approved by a judicial officer, not a referee.

f. Reports shall, if requested, be served on the attorney appointed to represent the ward in the

guardianship proceeding and all other parties appearing in the proceeding. [Iowa Code § 633.669(6)]

11. Fees and Costs

a. The clerk shall not collect a fee for filing the petition for guardianship. However, the clerk shall collect other fees under 633.31(2)(c-j) which will generally be the fee for an order and is usually taxed as a cost to the case. (Link to Fees and Costs in Probate) NEW PRACTICE

b. Except as otherwise provided in Iowa Code section 633.673, in proceedings to establish a

guardianship, the costs, including the guardian’s fees, the attorney fees for the guardian, and expert witness fees shall be assessed against the ward or the ward’s estate unless the proceeding is dismissed either voluntarily or involuntarily, in which case fees and costs may be assessed against the petitioner for good cause shown. [Iowa Code §§ 633.551(5) & 633.673]

c. The court may, upon application, enter an order waiving payment of the court costs in indigent

cases. However, if the ward or ward’s estate becomes financially capable of paying any waived costs, the costs shall be paid immediately. [Iowa Code § 633.673]

12. Re-opening a Guardianship

An application or petition to reopen a guardianship must be filed. DUTY. The clerk shall:

a. Docket the application/petition in the original case. (Link to Docket Event Codes)

b. When the judge issues an order, the clerk shall docket the order, assess the appropriate order fee and mail the order to the parties of record or as ordered by the court.














c. If ordered, the clerk shall issue a new letter of appointment. (Link to Letters of Appointment) (Best Practice)

13. Emergency Order for Protective Services [Iowa Code § 235B.19]

a. If the Department of Human Services determines that a dependent adult is suffering from

dependent adult abuse which presents an immediate danger to the health or safety of the dependent adult or which results in irreparable harm to the physical or financial resources or property of the dependent adult, and that dependent adult lacks capacity to consent to receive protective services and that no consent can be obtained, the department may petition the court with probate jurisdiction in the county in which the dependent adult resides for an emergency order authorizing protective services. The petition shall be verified and shall include all of the following:

i. The name, date of birth, and address of the dependent adult who needs protective

services. ii. The nature of the dependent adult abuse. iii. The services required.

b. Upon finding probable cause, the court may order removal of the dependent adult to safer surroundings, order provision of medical services, or order other available services as necessary. The Court may also order the appointment of a temporary guardian or temporary conservator without notice to the dependent adult or the dependent adult’s attorney for various reasons as set out in Iowa Code section 235B.19(4)(a)(1-4).

c. An order of appointment of a temporary guardian or temporary conservator entered by the court

shall expire as prescribed by the court but within a period of not more than thirty days unless extended by the court for good cause.

d. A hearing shall be held on the petition of appointment of a temporary guardian or temporary

conservator within a period of not more than thirty days unless extended by the court for good cause.

e. If the department does not proceed with a hearing on the petition, the court, on the motion of

any party or on its own motion, may dismiss the petition.

f. If emergency protective order may be issued by the court with expiration guidelines as set out in Iowa Code section 235B.19(5).

g. Upon finding of probable cause to believe that dependent abuse has occurred and is either

ongoing or is likely to reoccur, the court may issue additional orders as may be appropriate to third person enjoining them from specific conduct as set out in Iowa Code section 235B.19(7)(a-j).

h. DUTY. Since the probate court has jurisdiction in this type of matter, the clerk shall open the

case under the probate case type (GCPR), using subtype “GO-Other”. The case title should include the wording “Emergency Protective Services”.

i. If the Emergency Protective Services action turns into a guardian and/or

conservatorship, the subtype would be changed as appropriate, as well as the case title.






ii. Court costs are generally waived; however a court order is required before such waiver. Court order is also required to seal documents or exhibits. In the rare instance that costs are not waived, the court shall assess to the filer.

(Best Practice) 14. Transfer of Guardianship of a Child in Need of Assistance from Juvenile Court to Probate Court

(Link to Juvenile Chapter) (Link to EDMS Instructions when completed) 15. Proceedings in More than One State

a. Except for a petition for the appointment of a guardian in an emergency or issuance of a protective order limited to property located in this state under Iowa Code section 633.710, if a petition for the appointment of a guardian or issuance of a protective order is filed in this state and in another state and neither petition has been dismissed or withdrawn, the following rules apply:

i. If the court in this state has jurisdiction under Iowa Code section 633.709, it may

proceed with the case unless a court in another state acquires jurisdiction under provisions similar to Iowa Code section 633.709 before the appointment or issuance of the order. [Iowa Code § 633.715(1)]

ii. If the court in this state does not have jurisdiction under Iowa Code section 633.709,

whether at the time the petition is filed or at any time before the appointment or issuance of the order, the court shall stay the proceeding and communicate with the court in the other state. [Iowa Code § 633.715(2)]

iii. If the court in the other state has jurisdiction, the court in this state shall dismiss the

petition unless the court in the other state determines that the court in this state is a more appropriate forum. [Iowa Code § 633.715(2)]

iv. DUTY. The clerk shall docket and file any petitions, motions, or orders and follow the

instructions of the judge in the order. (Best Practice)

b. Transfer of Guardianship or Conservatorship to another State

i. A guardian or conservator appointed in this state may petition the court to transfer the guardianship or conservatorship to another state. [Iowa Code § 633.716(1)]

ii. Notice of a petition shall be given to the persons that would be entitled to notice of a

petition in this state for the appointment of a guardian or conservator. [Iowa Code § 633.716(2)]

iii. On the court’s own motion or on request of the guardian or conservator, the

incapacitated or protected person, or other person required to be notified of the petition, the court shall hold a hearing on the filed petition. [Iowa Code § 633.716(3)]

iv. The court shall issue an order provisionally granting a petition to transfer a guardianship

and shall direct the guardian to petition for guardianship in the other state if the court is satisfied that the guardianship will be accepted by the court in the other state and the court finds all of the following:

1) The incapacitated person is typically present in or is reasonably expected to

move permanently to the other state.

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2) An objection to the transfer has not been made or, if an objection has been

made, the objector has not established that the transfer would be contrary to the interests of the incapacitated person.

3) Plans for care and services for the incapacitated person in the other state are

reasonable and sufficient. [Iowa Code § 633.716(4)]

v. The court shall issue a provisional order granting a petition to transfer a conservatorship

and shall direct the conservator to petition for conservatorship in the other state if the court is satisfied that the conservatorship will be accepted by the court of the other state and the court finds all of the following:

1) The protected person is physically present in or is reasonably expected to move

permanently to the other state, or the protected person has a significant connection to the other state considering the factors in Iowa Code section 633.707.

2) An objection to the transfer has not been made or, if an objection has been

made, the objector has not established that the transfer would be contrary to the interests of the protected person.

3) Adequate arrangements will be made for management of the protected person’s

property. [Iowa Code § 633.716(5)]

vi. The court shall issue a final order confirming the transfer and terminating the

guardianship or conservatorship upon its receipt of all of the following:

1) A provisional order accepting the proceeding from the court to which the proceeding is to be transferred which is issued under provisions similar to Iowa Code section 633.717.

2) The documents required to terminate a guardianship or conservatorship in this

state. [Iowa Code § 633.716(6)]

vii. DUTY. The clerk shall docket all filings and orders and close the guardianship/

conservatorship as indicated by the judge’s order. 16. Transfer of Guardianship or Conservatorship from another State

a. To confirm transfer of a guardianship or conservatorship transferred to this state under provisions similar to Iowa Code section 633.716, the guardian or conservator must petition the court in this state to accept the guardianship or conservatorship. The petition must include a certified copy of the other state’s provisional order of transfer. [Iowa Code § 633.717(1)]

b. Notice of a filed petition must be given to those persons that would be entitled to notice if the

petitioner were to petition for the appointment of a guardian or issuance of a protective order in both the transferring state and this state. The notice must be given in the same manner as notice is required to be given in this state. [Iowa Code § 633.717(2)]










c. On the court’s own motion or on request of the guardian or conservator, the incapacitated or protected person, or other person required to be notified of the proceeding, the court shall hold a hearing on the filed petition. [Iowa Code § 633.717(3)]

d. The court shall issue an order provisionally granting the filed petition unless any of the following

applies:

i. An objection is made and the objector establishes that transfer of the proceeding would be contrary to the interests of the incapacitated or protected person.

ii. The guardian or conservator is ineligible for appointment in this state. [Iowa Code § 633.717(4)]

e. The court shall issue a final order accepting the proceeding and appointing the guardian or

conservator as guardian or conservator in this state upon its receipt from the court from which the proceeding is being transferred of a final order issued under provisions similar to Iowa Code section 633.716 transferring the proceeding to this state. [Iowa Code § 633.717(5)]

f. Not later than ninety (90) days after issuance of a final order accepting transfer of a

guardianship or conservatorship, the court shall determine whether the guardianship or conservatorship needs to be modified to conform to the laws of this state. [Iowa Code § 633.717(6)]

g. Subject to (d) and (f), in granting a petition under this Iowa Code section 633.717, the court shall

recognize a guardianship or conservatorship order from the other state, including the determination of the incapacitated or protected person’s incapacity and the appointment of the guardian or conservator. [Iowa Code § 633.717(7)]

h. The denial by a court of this state of a petition to accept a guardianship or conservatorship

transferred from another state does not affect the ability of the guardian or conservator to seek appointment as guardian or conservator in this state under Iowa Code sections 633.551, 633.552, or 633.566, if the court has jurisdiction to make an appointment other than by reason of the provisional order of transfer. [Iowa Code § 633.717(8)]

i. The clerk shall docket and file the petition and assess other probate costs under Iowa Code

section 633.31(2). (Link to Fees and Costs in Probate) DUTY. The clerk shall follow the instructions of the judge’s order. (Best Practice)

S. Joint Conservatorship/Guardianship 1. The petitions for the appointment of a guardian and a conservator may be combined and the cause

tried in the same manner as a petition for the appointment of a conservator. [Iowa Code § 633.627] 2. The administration of a combined petition for a guardianship/conservatorship under Iowa Code section

633.627 shall be treated as one proceeding, with one docket number from the date of the filing of the petition. The separate reporting requirements for conservatorships and guardianships shall continue to apply in a combined petition. [Iowa Code § 633.27A, Amended by HF 159 (2015)]

Note: Ward is in the singular and guardian/conservatorship information stated under 633.27A and 633.627 is in the singular. DUTY. The clerk shall refuse the filing if it includes multiple individuals in one petition. (Best Practice)
















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Note: Business Advisory Committee for EDMS in consultation with the probate bar is determining whether a change should be made to the code to reflect the current paper practice that the combined petition is one case, not separate proceedings.

a. DUTY. The clerk shall continue current practice in your county as to how attorneys are filing

this type of petition. (Best Practice)

b. DUTY. If two petitions are being filed, the clerk shall open two separate cases. The guardian case shall be docketed as case type (GV) and the conservatorship case shall be docketed as case type GC. The clerk shall relate the cases. (Best Practice)

c. DUTY. If only one petition is filed and the clerk is not treating them as separate cases with

separate docket numbers, the clerk shall docket as case type GC. (Best Practice) 2. DUTY. The Clerk shall make a note in the comment in docketing whether or not the petition is

voluntary or involuntary. [Iowa Code § 633.27A] (Best Practice) 3. The same person may be appointed to serve as both guardian and conservator.

[Iowa Code §§ 633.627, 633.628] 4. When the guardian appointed for the person is not the conservator of the property of the person, no

bond shall be required of the guardian, unless the court for good cause finds it proper to require one. [Iowa Code § 633.174]

5. DUTY. Follow specific guidelines and procedures under Conservatorship and Guardianship for reports,

costs and fees and other administrative processes. (Link to Conservatorships & Guardianship) (Best Practice)

T. Trusts 1. Trust means an express trust, charitable or non-charitable, with additions thereto, wherever and

however created, including a trust created or determined by a judgment or decree under which the trust is to be administered in the manner of an express trust. [Iowa Code § 633A.1102(18)]

2. Testamentary Trust. A trust created by a will.

a. The probate court has jurisdiction of trusts and trustees and the ongoing administration and supervision, including but not limited to the appointment of trustees, the granting of letters of trusteeship, trust administration, and trust settlement and closing, of the following trusts:

b. A trust that was in existence on July 1, 2005, and that is subject to continuous court supervision.

c. A trust established by court decree that is subject to continuous court supervision. [Iowa Code § 633A.6101(1)]

i. DUTY. A trust may be opened by the filing of a petition requesting the court to supervise

the trust. The clerk shall docket the trust and assign a case number using the TRPR case type.

ii. DUTY. By order of the court closing an estate and establishing a trust.

1) The clerk shall docket the order closing the estate and close the estate.

(Link to Docket Event Codes)








2) When a petition to open a trust is filed, the clerk shall docket the trust and assign

a case number using the TRPR case type. This is a separate action and must be opened as a new case. Do not open in the existing estate. (Best Practice)

3) The clerk shall not collect a filing fee. (Best Practice)

d. Unless a trust is under the continuous supervision of the court, under Iowa Code section

633.10(4), the trust shall not be subject to the jurisdiction of the probate court and the court shall not issue letters of appointment. [Iowa Code § 633A.6101(2)] DUTY. If a trust is under court supervision, letters of appointment must be issued. (Link to Letters of Appointment)

e. The inventory fees under Iowa Code section 633.31(2)(k) shall not be charged on any property

transferred to a testamentary trust from an estate that has been administered in this state and for which court costs have been assessed and paid. [Iowa Code § 633.31(3)] DUTY. The clerk is not required to search for an estate outside of the county. However if the attorney indicates that the estate has been filed in another Iowa county, ask the attorney to provide documentation of this. (Best Practice)

f. DUTY. The clerk shall collect the fees for court orders issued on the trust.

(Link to Fees and Costs in Probate) [Iowa Code § 633.31(2)(k)] g. Intermediate Report of Trustees

i. Unless specifically relieved from so doing by the instrument creating the trust or by order of the court, the trustee shall make a written report under oath to the court once each year within ninety (90) days of the close of the reporting period, and more often if required by the court. [Iowa Code § 633.752]

ii. The report shall state:

1) The period covered by the report.

2) All changes in beneficiaries since the last previous report.

3) Any changes in investments since the last previous report, including a list of all assets, and recommendations of the trustee for the retention or disposition of any property held by the trustee.

4) A detailed accounting for all cash receipts and disbursements, and for all

property of the trust, unless such accounting shall be waived in writing by all beneficiaries. [Iowa Code § 633.752]

iii. DUTY. The clerk shall file the report and collect a fee for filing the report if allowed by

local rules. (Link to Docket Event Codes) (Best Practice) h. Final Report of Trustee

i. Upon the partial or total termination of a trust, or upon the transfer of the trusteeship due to resignation, removal, dissolution, or other disqualification of the trustee of any trust pending in court, the trustee shall make a final report to the court, showing for the period since the filing of the last report the facts required for an intermediate report; provided, however, that unless specifically required by the court to do so, the trustee shall not in








any event, be required to report such facts for any period of time as to which the trustee has, under any of the provisions of Iowa Code section 633.752, been expressly relieved from reporting. [Iowa Code § 633.753]

ii. The final report of the trustee shall include the following:

1) The name and last known address of each beneficiary.

2) A statement as to those beneficiaries who are known to be minors or under any other legal disability.

3) Distributions made or to be made to each beneficiary at the time of such

termination. [Iowa Code § 633.7533]

iii. DUTY. The clerk shall file the report and collect a fee for filing the report if allowed by

local rules. (Link to Docket Event Codes) (Best Practice)

i. Release or Discharge of Trust

i. Upon joint application by all the trustees administering a trust in 2(a) above, and following notice to the beneficiaries under Iowa Code section 633.40, the court shall release the trust from further jurisdiction unless a beneficiary objects. [Iowa Code § 633.10(4)(d)]

ii. The court whose decree created the trust may release the trust from continuous court

supervision following notice to the beneficiary under Iowa Code section 633.40. [Iowa Code § 633.10(4)(d)]

iii. Notice of application for discharge.

1) No final report of a trustee of a trust pending in court shall be approved, and no such trustee shall be discharged from further duty or responsibility upon final settlement, until notice of the trustee’s application for discharge shall have been served upon all persons interested, in accordance with Iowa Code section 633.40, unless notice is waived. [Iowa Code § 633.754]

2) An order prescribing notice may be made before or after the filing of the final

report. [Iowa Code § 633.754]

3) Discharge: Upon final settlement of a trust, an order shall be entered discharging the trustee from further duties and responsibilities. The order approving the final report shall constitute a waiver of the omission from the final report of any of the recitals required in Iowa Code section 633.753. [Iowa Code § 633.755]

iv. DUTY. The clerk shall docket the discharge order as (ORCP) and follow any other

instructions in the order. (Best Practice)

v. DUTY. When released from the court’s supervision, the clerk shall not issue any further letters. (Best Practice)

j. An application or petition to reopen a trust must be filed. DUTY. The clerk shall:














i. Docket the application/petition in the original case. (Link to Docket Event Codes)

ii. When a new report and inventory is filed and the property in the trust has not been transferred from an estate that has been administered in this state, the clerk shall assess the appropriate inventory fees under Iowa Code section 633.31(2)(k) for any new assets. [Iowa Code § 633.31(3)]

iii. When the judge issues an order, the clerk shall docket the order, assess the appropriate

order fee and distribute the order to the parties of record or as ordered by the court.


iv. If ordered, the clerk shall issue a new letter of appointment.

(Link to Letters of Appointment) (Best Practice)

4. Other Types of Trusts

a. DUTY. When a petition is filed to open a type of trust that is not under the court’s continual supervision, the clerk shall collect a filing fee for filing and docketing a petition. (Link to Fees in Civil Chapter) [Iowa Code § 602.8105(1)(a)]

b. DUTY. The clerk shall docket the petition as event code PFPR (Regular Est, Conservatorship, Trusts) (Best Practice)

c. DUTY. The clerk shall follow the court’s direction in the court order. (Best Practice)

d. DUTY. If appropriate, the clerk shall assess order costs per 633.31(2) and report fees costs per local rule. (Best Practice)

e. DUTY. If the report and inventory is filed by the court or otherwise, the clerk shall assess the

fees under Iowa Code section 633.31(2)(k). (Best Practice)

f. If a trust falls outside the jurisdiction of the court because it would not be under the continual supervision of the court, then it is governed by 633A. However, the judicial officer may determine that the trust should be under its jurisdiction pursuant to Iowa Code Chapter 633, then letters will be issued and a report and inventory ordered by the court. DUTY. The clerk shall comply with any instructions as ordered by the court. (Best Practice)

g. The trust will remain open until the court orders it be closed.

U. Change of Venue in a Probate Court 1. The probate court may upon a written showing, supported by affidavit, transfer a proceeding to another

county in furtherance of justice. [Iowa Code § 633.49]

2. DUTY. The clerk of the court shall retain the original files and papers, but shall make a certified copy thereof and of all record entries pertaining to the proceedings. [Iowa Code § 633.50]

3. DUTY. The clerk of court shall at once file the same in the office of the clerk of the court to which the transfer has been made. [Iowa Code § 633.50]

4. (Link to Change of Venue in Civil Chapter)









5. (Link to Change of Venue Process in EDMS Sharepoint)

V. Fees and Costs in Probate

Unless specifically stated in a section of this chapter to collect/costs upon filing, the clerk shall assume that all probate fees/costs mentioned are assessed to the case and collected prior to closing the case or pursuant to local practice.

http://thejudicialinsider/ICIS/EDMS/Clerk%20Resources/Clerks%20Training%20Information/07%20Change%20of%20Venue/ChangeofVenue_RG.pdf


Probate Fees Iowa Code Chapter 633.31(2)(a-k)

Fee Collected For: Amount Fin Code IA Code

Authorization

Appraiser Fees:

MK10 Local Rule or Order

Authenticated Certificate

(clerk and judge – 2 seals)

$ 20 C500 633.31(2)(f)

Bond – Approving Bond or Surety $ 20 P100 633.31(2)(d)

Certificate and Seal $ 10 P230 633.31(2)(f)

Change of Title certificate

(only if ordered by the court)

$ 20 P920 633.31(2)(i)

Commission Appointing Appraisers

(include certificate & seal)

$ 2

$ 10

P300

P230

633.31(2)(j)

Conservatorship Probate Fee

(see below for calculator and/or

calculation of inventory fees)**

Based on Total

Assets of

Conservatorship

P400 633.31(2)(k)

(SF478)

Estate and Trust Probate Fees

(see below for calculator and/or

calculation of Inventory fees)

(Not charged on trust that is part of a will

where the will was probated in the county)

Based on Total

Assets of Estate

P400 633.31(2)(k)

633.31(3)

Filing Fees:

Short Form Probate (CIT)

Small Estate (Under $100,000)

Will without Administration

Any Civil Petition, Motion or Application

filed in a case under the jurisdiction of

the Probate Court

$ 15

$ 15

$ 15

$185

P720

P820

PB20

C160

450.22 & 450.44

602.8105(1)(a)

Guardian Ad Litem Fee (DO NOT SET UP

THIS FEE IN ICIS) NEW PRACTICE

Order/Rule – entering $ 10 P530 633.31(2)(e)

Publication Fees (DO NOT SET UP THIS

FEE IN ICIS) NEW PRACTICE

Referee Fees

(set by local rule or order)

*Local Rule/Order PC00–Payable

to the State

MK 10–Payable

to a 3rd party

Local Rule or Order

Transcript – filing and indexing $50 per case PA20 633.31(2)(c)


Transcript – making copies

(plus certificate and seal)

EDMS Binder Fee $10.00 per case (In

lieu of copy fee) NEW PRACTICE

50¢ per 100 words

$10

M810

P230

M810

633.31(2)(h)

633.31(2)(f)

Per SCA

*Note: Some fees in your county or district may differ based on local rules.


Probate Fee Schedule Pursuant to Iowa Code section 633.31 (2)(k) 1. Spreadsheet Fee Calculator (Based on Total Assets) (Probate Fee Calculator) 2. Table (Based on Total Assets)

From: Including: Fee:

$ Any negative $ 2,999.99 $ 5.00

$ 3,000.00 $ 4,999.99 $ 10.00

$ 5,000.00 $ 6,999.99 $ 15.00

$ 7,000.00 $ 9,999.99 $ 20.00

$ 10,000.00 $ 14,999.99 $ 25.00

$ 15,000.00 $ 37,500.00 $ 30.00

$ 37,500.01 $ 62,500.00 $ 80.00

$ 62,500.01 $ 87,500.00 $ 130.00

$ 87,500.01 $ 112,500.00 $ 180.00

$ 112,500.01 $ 137,500.00 $ 230.00

$ 137,500.01 $ 162,500.00 $ 280.00

$ 162,500.01 $ 187,500.00 $ 330.00

$ 187,500.01 $ 212,500.00 $ 380.00

$ 212,500.01 $ 237,500.00 $ 430.00

$ 237,500.01 $ 262,500.00 $ 480.00

$ 262,500.01 $ 287,500.00 $ 530.00

$ 287,500.01 $ 312,500.00 $ 580.00

$ 312,500.01 $ 337,500.00 $ 630.00

$ 337,500.01 $ 362,500.00 $ 680.00

$ 362,500.01 $ 387,500.00 $ 730.00

$ 387,500.01 $ 412,500.00 $ 780.00

$ 412,500.01 $ 437,500.00 $ 830.00

$ 437,500.01 $ 462,500.00 $ 880.00

$ 462,500.01 $ 487,500.00 $ 930.00

$ 487,500.01 $ 512,500.00 $ 980.00

$ 512,500.01 $ 537,500.00 $ 1,030.00

$ 537,500.01 $ 562,500.00 $ 1,080.00

$ 562,500.01 $ 587,500.00 $ 1,130.00

$ 587,500.01 $ 612,500.00 $ 1,180.00

$ 612,500.01 $ 637,500.00 $ 1,230.00

$ 637,500.01 $ 662,500.00 $ 1,280.00

$ 662,500.01 $ 687,500.00 $ 1,330.00

$ 687,500.01 $ 712,500.00 $ 1,380.00

$ 712,500.01 $ 737,500.00 $ 1,430.00

$ 737,500.01 $ 762,500.00 $ 1,480.00

$ 762,500.01 $ 787,500.00 $ 1,530.00

$ 787,500.01 $ 812,500.00 $ 1,580.00

$ 812,500.01 $ 837,500.00 $ 1,630.00

$ 837,500.01 $ 862,500.00 $ 1,680.00

$ 862,500.01 $ 887,500.00 $ 1,730.00

$ 887,500.01 $ 912,500.00 $ 1,780.00

$ 912,500.01 $ 937,500.00 $ 1,830.00

$ 937,500.01 $ 962,500.00 $ 1,880.00

$ 962,500.01 $ 987,500.00 $ 1,930.00

$ 987,500.01 $ 1,012,500.00 $ 1,980.00

http://thejudicialinsider/ClerksManual/Miscellaneous%20Documents/Probate/Probate%20Estate%20Calculator.xlsx


SHORTCUT CALCULATION FOR ESTATES VALUED OVER $1,000,000

First assess $2000 for every whole million dollars in estate value, then to determine total:

Subtract $20 if remaining balance of estate value is $12,500 or less.

Add $30 if remaining balance of estate value is $12,500.01 up to and including $37,500.

Add the corresponding amount from chart if remaining estate value is $37,500.01 or above.

W. Interpreters (Link to judicial branch website)

Assessment of Interpreter fee (Link to Instructions for Clerks on Docketing Court Interpreter Fees)

X. Appeal of Probate Case (Link to Appeal in Civil Chapter)

http://www.iowacourts.gov/Administration/Court_Interpreters/

http://thejudicialinsider/ClerksManual/Interpreter%20Information/Docketing%20Interpreter%20Fees%20(6-12-2015).pdf

http://thejudicialinsider/ClerksManual/Clerks%20Manual/Civil/CIVIL.pdf


ICIS INSTRUCTIONS FOR PROBATE

Delinquency Tables by Type (§633.32)

Guardianship/Conservatorship

START TIME CURE

LEAP 60 days RPIN or RPIL

LEAP 1 year (+90 days) 2 years 3 years 5 years

RPAN (1) RPBI (2) RPTR (3) RPFI (5)

OFTH (30 days) OFSX (60 days) OFNN (90 days)

OFSM (six months) OFYR (1 year)

RPFL 6 months ORCP

*In a combined Guardian/Conservatorship, attorneys will often file the Report and Inventory of Conservator and the

Initial Report of Guardian as one document. In this situation the Clerk should make a notation on the event comments

that this was a combined filing and remember to enter the docket event for the other report. This will avoid a

delinquency.

**An order waiving reports must be docketed as an OFPW; otherwise it will be marked for a delinquency.

***A regular Order for Extension (OFEX) will NOT cure a delinquency because it does not specify a number of days like

other extension event codes.

Trusts

START TIME CURE

LEAP 60 days RPIN

LEAP 1 year (+90 days) 2 years 3 years 5 years

RPAN (1) RPBI (2) RPTR (3) RPFI (5)

OFTH (30 days) OFSX (60 days) OFNN (90 days)

OFSM (six months) OFYR (1 year)

RPFL 6 months ORCP


Regular Estates

START TIME CURE

LEAP 90 days RPIN

SECP 18 months RPRY if no RPFL

SECP 3 years RPFL; nothing else will cure

RPFL 6 months ORCP

Small Estate (§635)

START TIME CURE

LEAP 90 days RPIN

LEAP 1 year RPRY/SECS

*An interlocutory report (RPRY) must be filed each 6 months thereafter until a closing statement (SECS) is filed.

Action Date Requirements

Action Date Mandatory: Annual Report (RPAN)

Biennial Report (RPBI)

Triennial Report (RPTR)

Five Year Report (RPFI)

Affidavit of Second Publishing (SECP)

Action Date Optional: All extension orders with a time value assigned

30, 60 and 90 day extensions (OFTH, OFSX, OFNN)

6 month and 1 year extensions (OFSM, OFYR)

Letters of Appointment (LEAP)

Report and Inventory (RPIN)

Initial Report (RPIL)

Final Report (RPFL)

**All event codes with optional entry of the action date normally use the “filed” date as the action date. However, using

the action date will OVERRIDE the filed date. If you choose to use this, be conscious of the effect it will have on the

delinquency report. In most instances there is no need to enter an action date for these events, and it is not recommended.


Probate Event Codes (Codes designated for delinquency reports are in bold italics)

AFOT Other Application

AFSR Application for Sealing Records

ANAN Answer

APAP Appearance

ATEF Application to Exceed Fees

BONP Bond Approval - Probate

CHTI Change of Title

CITI Probate CIT Inventory

CLAM Claim in Probate

COAW Certificate of Approval of Will

CTOT Other Citation (Delinquency)

DOAT Designation of Attorney

EOSA Election of Spouse-Against

EOST Election of Spouse-Take

ETCL Federal Estate Tax Closing Letter

EXHB Exhibit

FOCP Affidavit of Compensation

FOOT Other Affidavit

ININ Inventory Probate *(to be used for amended inventory)

ITXA Income Tax Acquittance

ITXC Inheritance Tax Clearance

LEAP Letters of Appointment

MFCV Motion for Change of Venue

MOOT Motion

MTDS Motion to Dismiss

NOAP Notice of Appeal

NOOT Notice-Other

OARP Order Approving Report

OATH Court Officer’s Oath

OAWP Order Admitting Will to Probate

ODHR Order for Hearing (Use for the Final Report hearing in an estate only)

ODPH Order for Probate Hearing (used for all probate hearings except an estate Final Report)

OFCN Order for Continuance

OFBW Order for Biennial Probate Waiver

OFEX Order for Probate Extension

OFFW Order for Five-Year Probate Waiver

OFNN Order for 90 Day Probate Extension

OFPW Order for Probate Waiver (waives required reporting)

OFSM Order for Six Month Extension

OFSX Order for 60 Day Probate Extension

OFTH Order for 30 Day Probate Extension

OFTW Order for Triennial Probate Waiver

OFYR Order for One-Year Extension


ORAD Order Admitting Will and Appointing Executor

ORAP Order Appointing

ORCP Order Closing Probate

OROT Other Order

OSAF Order Setting Attorney Fees (picked up by Ref. Report)

OTCV Order to Change Venue

OTOT Other Event (use sparingly)

OTSC Order to Show Cause

OTSR Order to Seal Records

PAPF Amended Petition Filed

PFGA Petition for Stand Alone Guardianship

PFLD Petition Filed

PFPR Petition in Probate – Reg Estate Conservatorship or Trust

PFSE Petition Filed – Small Estate

PFWO Petition Filed – Will W/O Administration

PROC Procedendo

PRST Personal Representative Statement (in place of a tax clearance on a CIT)

PTOT Other Petition

RAWA Receipt and Waiver

RPAM Amended Report

RPAN Annual Report

RPBI Biennial Report

RPFI Five-Year Report

RPFL Final Report

RPIL Initial Report

RPIN Inventory Report

RPOT Other Report (*to be used when manipulating the docket for delinquency purposes)

RPRF Referee Report

RPRY Probate Interlocutory Report

RPTR Triennial Report

RSAT Release and Satisfaction

SAOT Other Satisfaction

SECP Second Publication

SECS Small Estate Closing Statement

SPOT Other Subpoena

SRAF Affidavit of Mailing Notice Per 633.230 and 633.304

SRMA Affidavit of Mailing Notice to Department of Human Services Per 633.231 and 633.394

TOSW Testimony of Subscribing Witness

TRPD Transcript Prepared by Clerk

TRPR Probate Transcript (Filed)

WILL Last Will & Testament of Deceased

WILP Will Prior to Death (to be used for Safekeeping filings)

WOCL Withdrawal of Counsel


Methods for Re-Opening all Probate Case Types In order to make the CPW150 Delinquency Report work properly the following procedure needs to be followed:

1. Check to make sure the case was closed using the ORCP event code for “Order Closing Probate.”

2. When an order to reopen the case is filed, docket that as an OROT and immediately go to the case closing screen.

3. Re-open the case using the filed date of the order to re-open.

4. Go to the Case Info screen and set the status to “RO- REOPENED.”

5. **For Estates only** Locate the Final Report (RPFL) on the docket and in the action date field enter the re-opened

date. For Guardianships, Conservatorships, and Trusts see below.

The delinquency report will now search as follows:

On a reopened Estate, the report will look for the most recent Case Reopened Date, which is the date you reopened in the

case closing screen reflecting the filed date of the order and the new action date on the Final Report. Six months from this

date, the report will request a new Order Closing Probate “ORCP.”

If the due date is a past date (after taking 30, 60 & 90 day, 6 month and 1 year extensions into account), then it will be

added to the CPW150 Estate Report. ICIS will generate a notice for this.

On any other type of Probate (Trust, Guardianship, Conservatorship) it is essential to alter the original Final Report

(RPFL). There are two ways to do this: The first is to go back to the original RPFL and change the status to “Entered in

Error.” You would replace this with an RPOT (other report) and use the comments to explain that it was actually the

Final Report. The alternate way to do this is to go back to the original RPFL and change the status to “Select Event Status

Code,” and save it just as that. By not selecting a status, we trick the report to ignore this entry while keeping it on the

docket as originally entered.

Now, to set the action dates correctly, proceed back to the last annual report on the docket. *(If there are 2, 3 or 5 year

reports, proceed to the last one of those instead). Now, replace the existing action date with the new re-opened date. The

Delinquency program will now base its search criteria off of that date instead of the final report filed date.

CPW150 REPORT OF DELINQUENCY INSTRUCTIONS

Running the Report

Prior to June 1st/December 1

st, you will want to run the CPW150 Report of Delinquency. Be sure to run this report at

least a day or two in advance to see if your county lists look normal. This is a good time to check for docketing errors (i.e.

wrong event codes and action dates). To run the report for this purpose, DO NOT select any of the “*” items on the


report before submitting. These options are defaulted for you. You will receive four starred reports: Estates, Trusts,

Guardianships, and Conservatorships. Print these results for your review.

On June 1st/December 1

st, pull up the CPW150 report, only this time you will select Yes or No (Y/N) options next to the

“*.” Always use a CAPITAL letter. You will want to select (Y) next to “Report,” “Notice,” “Master Copy,” and “Docket

Notice.” If you are a small county, you may wish to manually docket the notices. If that is the case, leave “Docket

Notice” as (N). (Link to sample Notice of Delinquency -- Template Notice ID SWDELQ)

Once this is completed you will submit the report and wait for the results. Please understand that you may not get the

actual notices to print in your office or they will print with errors. If this happens, EMAIL the Help Desk using the

ICIS Discovery method and explain that you have run the report and need your notices to print. ICIS will direct the

request to a printer for you (be sure to give ICIS the printer id that you want notices directed to; i.e. 61L, 55K, etc…). DO

NOT RE-RUN THE REPORT!!! If you need to refresh your report results, remember to use the “Cache” option in

ICIS2 Reports. NEVER refresh using the “refresh” button in your web-browser. This will cause the report to create

multiple results, which can cause errors and duplicate docket entries.

Once the notices have begun to print, you will receive a Master Copy for your office and one copy to the fiduciary(s) and

attorney (if there is one). Some cases may have more than one delinquency, based on what is not timely filed in the

Probate case. You will need to separate these notices and mail the ones that have addresses on them. The master copy

will include both the attorney and fiduciary(s) names.

Once these notices have printed, print the starred results of the CPW150 report and check to see if the notices were also

docketed on the case in ICIS. If you do not send the notice, or if you feel it was created in error, you will need to “error

out” (X) the docketed delinquency notice to reflect this.

If your notices did print, but you are short one or two cases, you have the option of manually creating a delinquency

notice and master copy using the ICIS2 Noticing Screen. This is a good option to create a few notices instead of having

the Help Desk print off the entire list again. That can be a waste of paper and time. The notice codes can be found by

using your F4 search and typing “delinquency” as your search term and it will retrieve all four delinquency codes (estates,

trusts, guardianships, or conservatorships). The clerks may use the Notice of Delinquency template.

(Link to sample Notice of Delinquency – Template Notice ID SWDELQ)

Be sure to keep you master copies to reference what delinquencies have or have not been cured in the next 60 days. Think

of them as receipts for the notices you have mailed. When you run the Not Cured Delinquency Report (CPW170), be sure

to put the date you actually ran the CPW150 report. This will reflect what cases have not been cured, as they will be the

only ones on the list.

Additional Information on EDMS will be inserted when completed.

Troubleshooting

Small Estates

Small Estates (sub-type TS) may create questions for users running the report. Often times, these types of estates will

show up as “---” in the reason code of the report. ICIS does this because some of these notices are not designed to print,

but rather just show up on the report as a tool to assist clerks. There are actually three different types of delinquencies the

report will search for. Two of these will show up normally and will generate a notice. The other will show up as the “---”

and not generate a notice.




The inventory (RPIN) will work normally, and is delinquent if not filed 90 days after the LEAP. This will generate a

notice.

The next two items are a little trickier. If the LEAP is on file, and no Small Estate Closing Statement (SECS) is docketed

within 1 year, the report will be looking for an Interlocutory Report (RPRY). However, if this first scenario is true, and

the Affidavit of Second Publishing is docketed, the report will also require an RPRY 6 months after the SECP action date.

If both of these scenarios are true, the case will show up twice on the list, but only generate a notice for the first RPRY.

Additionally, if more than one LEAP is on the docket, the report will view the most recent entry and search 6 months out

for the RPRY if the SECS is not entered.

On your report, you may have the case listed twice; once with the “---” and the other listed with “NIR.” To simplify this,

just remember that if the “---” shows up in the reason code of your list, ICIS will NOT generate a notice on paper or on

the docket.

Trusts, Guardianships and Conservatorships

Please remember that the 90 day addition to the reporting time only pertains to annual reports (1 year + 90 days).

Biennial, Triennial, and Five year reports are based on the normal values of 2, 3, and 5 years.

If you feel a case has been picked up by the report in error, double check the event codes and action dates used for the

reporting. Common mistakes include typos on the years listed and incorrect waiver event codes.

Re-Opened Estates

When an estate is reopened in Probate, ICIS will ignore the original order closing on the docket and begin to look for a

new ORCP. Once it locates the original RPLF, the report will search for the reopened date and require an ORCP (Order

Closing Probate) six months from that date. The reopened date is the actual date set manually through the case closing

screen. Additionally, the status box in the Case Information screen must be set to “RO-REOPENED.” If this is a past

due date without any extensions the CPW150 report will add it to the list and request an order closing. This will generate

a delinquency notice.

Under this circumstance, estates can get a little tricky, especially when entering in new letters and reports. Once an estate

is reopened, or if you have any others you know of, keep a list and double check to see if they are in fact past the reporting

time before sending notices.

***If you have doubts about a notice, make sure it is delinquent by checking the docket. Never send a notice that you

believe to be incorrect.