Surrogate Rules (does not contain formatted court forms) (Alta. Reg. 130/1995)

Alta. Reg. 130/1995

Alberta — Regulations

© Published by Alberta King’s Printer Alberta King’s Printer Suite 700, Park Plaza 10611 - 98 Avenue Edmonton, AB T5K 2P7 Phone: 780-427-4952 E-mail: kings-printer@gov.ab.ca Shop on-line at kings-printer.alberta.ca Province of Alberta Office Consolidation Alberta Regulation 130/1995 With amendments up to and including Alberta Regulation 80/2026 Current as of June 1, 2026 JUDICATURE ACT SURROGATE RULES

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Note All persons making use of this consolidation are reminded that it has no legislative sanction, that amendments have been embodied for convenience of reference only. The official Statutes and Regulations should be consulted for all purposes of interpreting and applying the law.

(Consolidated up to 80/2026) ALBERTA REGULATION 130/95 Judicature Act SURROGATE RULES Table of Contents 1

Definitions 2 Rules of Court 4 Application for directions 5 Notice to attend or produce 6 Venue 8 Additional information

Part 1 Non-contentious Matters 9 . 1 Personal representative’s notic e when acting without a grant Division 1 Application for Grant 1 0 Grants 1 2 Limited grant 1 3 Required forms 13.1 Application forms and documents Will 1 4 Void gift 1 5 Wills and codicils 1 6 Proof of signi ng formalities 1 7 Proving signing of will 1 8 Will not in English or French 1 9 Witnesses dead 2 0 Dated will 2 1 Minor testator 2 2 Other documents 2 3 Formal proof of will 2 4 Lost will 2 5 Alterations, etc.

AR 130/95 SURROGATE RULES 2 Notice Required 2 6 Notice of application 26.1 Notice of grant Bonds 2 8 Bonds 2 9 Dispensation from bond 3 0 Application re bond or other security 3 1 Powers of court Personal Representatives 3 2 Renunciation 3 3 Nominations 3 4 Grant of double probate 3 5 Grant of re-sealed probate or re-sealed administration 3 6 Ancillary grant 3 7 Unadministered property Claimants 3 8 Notice to claimants 3 9 Notice by claimant 4 0 Verification of claims 4 1 Valuation of security 4 2 Contested claims 4 3 Claims not yet payable Duties of the Clerk 4 4 Fees 44.1 Waiver of fees 4 5 Applications 4 6 Grants 4 7 Retention of documents 4 8 Copies of documents 4 9 Clerk ’s certificate Division 2 Administration of Minors’ Property 49.1 Definition of tr usteeship order 5 0 Application for trusteeship order 5 1 Documents to be served 5 2 Security 5 3 Dispensing with security

AR 130/95 SURROGATE RULES 3 5 4 Application of rules Division 3 Making, Altering or Revoking of a Will by a Minor 54.1 Application under Wills and Succession Act

Part 2 Contentious Matters Division 1 General 5 5 Application 5 6 Parties 5 7 Persons interested in the estate 5 8 Commencement of action 58.1 Reply and demand for notice 5 9 Documents to be served 6 0 Service 6 1 N o t i c e 6 2 Representation 6 3 Proceedings in chambers 6 4 Procedure at hearing 6 5 Standing 6 6 Trial of an issue 6 7 Time limit 6 8 Production of testam entary documents 6 9 Security for costs 7 0 Time for completion Division 1.1 Applications under Various Acts 70.1 Applications under various Acts 70.2 Powers of the court 70.3 Parties, etc. 70.4 Service 70.5 N o t i c e 70.6 Rules that apply to service of documents 70.7 Proceedings in chambers 70.8 Witness fees 70.9 Disclosure of financial information in family maintenance and support applications

AR 130/95 SURROGATE RULES 4 Division 2 Proceedings on Caveats 7 1 Caveat against issue of grant 7 2 Warning to caveator 7 3 Objection to grant 7 4 Frivolous or vexatious caveat Division 3 Formal Proof of a Will 7 5 Applications 7 6 Original will lost or destroyed 7 7 Required documents 7 8 Persons interested in the estate 7 9 Action commenced by a pers on interested in the estate 8 0 Special applications 8 1 Order requiring formal probate 8 2 Parties 8 3 T r i a l 8 4 Hearing in chambers 8 5 Evidence 8 6 Order of decisions 8 7 Order of proceedings 8 8 Other proceedings 8 9 Witness fees 9 0 Powers of the court 9 1 Order final 9 2 Appeal 9 3 Return and revocation of informal grant Division 4 Proof of Death 9 4 Proof of death Division 5 Claims on an Estate 9 5 Contested claim 9 6 Application to court

AR 130/95 SURROGATE RULES 5

Part 3 Accounting Division 1 General 9 7 Requirement for an accounting 9 8 Contents of financial statements 9 9 Acceptable documentation Division 2 Releases 100 R e l e a s e s 101 Effect of release 102 Bond Division 3 Dispensing with Formal Passing of Accounts 103 Dispensing with passing accounts 104 Proceeding without notice 105 Court order 106 Objection Division 4 Passing Accounts 107 Required forms 108 Application by person interested in estate 109 Reply 110 Withdrawal 111 Objection 112 Consent to an accounting 113 Powers of court 114 Notice of objection 115 Examination of accounts by professional accounting firm 116 Access to records 117 Report

Part 3.1 Electronic System 117.1

Definitions 117.2 Application 117.3 Use of electronic system 117.4 Policies, procedures, standards and guidelines 117.5 Certification

Rule 1 AR 130/95 SURROGATE RULES 6 117.6 Electronic documents 117.7 Service

Part 5 Transitional, Repeal and Commencement

Schedule 1 - Legal and Perso nal Representative Compensation

Schedule 2 - Court Fees

Schedule 2.1 – Forms — Grants and Minors’ Property Act Applications

Schedule 3 – Forms — Conten tious Matters and Accounting

Definitions 1 In these Rules, (

a) repealed AR 44/2015 s2; (b) “beneficiaries” i ncludes persons who receive gifts of any kind under a will and heirs on intestacy; (c) “claimants” includes creditors; (d) “contentious matter” means (

i) proceedings respecting caveats, (ii) formal proof of a will, (iii) proceedings in which the right to obtain or retain a grant is in dispute, or (iv) any other matter in dispute that arises in the administration of an estate to which these Rules apply; (e) “file” means file with the c lerk at the judicial centre at which an application must be made; (f) “financial statement” means a formal financial report or statement required to be prepared by a personal representative under

Part 3; (g) “form” means a form in

Schedule 2.1 or 3; (h) “formal proof of a will” m eans proof of a will in solemn form; (i) “minor”, except in rule 54.1, includes an unborn child;

Rule 2 AR 130/95 SURROGATE RULES 7 (j) “person” includes an organization or society; (k) “person interested in an estate” means a person referred t o in rule 57; (l) “personal representative” means an executor of a will or an administrator or trustee of an estate to which these Rules apply, and includes a person named as an executor or trustee in a will before a grant is issued; (l.1) “recorded mail” means re corded mail as defined in the Alberta Rules of Court (AR 124/2010); (m) “residuary beneficiary” mea ns a person receiving a part or all of the residue of the estate; (n) “sign” with reference to a document means the execution of the document whether by signing or by some other means; (o) “will” includes any testamentary disposition.

AR 130/95 s1;53/2001;165/2010;10/2012;44/2015;243/2021 Rules of Court 2(1) The Alberta Rules of Court (AR 124/2010) apply, with any appropriate modifications, to an application to the court if a matter is not dealt with under these Rules.

(2) The court may vary any rule in any case where the court decides it is appropriate to do so.

(3) Subrule (2) does not apply if the rule imposes a duty on the court.

(4) If provision for a procedure or matter is not made in these Rules or is not included in and cannot be analogized to the Alberta Rules of Court (AR 124/2010), the court may make any order concerning it that is necessary or appropriate in the circumstances. AR 130/95 s2;165/2010;139/2023 3 Repealed AR 53/2001 s3. Application for directions 4(1) A personal representative or a person interested in an estate may apply in Form C 1 to the court for directions at any time.

(2) On an application for directions, the court may consider

Rule 5 AR 130/95 SURROGATE RULES 8 (

a) practice, procedural or other issues or questions and ways to resolve them, and (

b) any other matter that may aid in the resolution or facilit ate the resolution of a claim, application or proceeding or otherwise fairly or justly resolve the matter for which direction is sought. AR 130/95 s4;10/2012 Notice to attend or produce 5(1) The court may issue (

a) a notice to compel attendan ce or to compel the production of any relevant documents, or (

b) a notice of future applications.

(2) The court may (

a) issue a notice to classes of persons interested in the estate generally rather than to individuals by name, and (

b) state the method of service to be used for the notice. Venue 6(1) An application for a grant must be filed at the judicial centre that is closest by road to the location where the deceased resided on the date of death unless the court permits otherwise.

(2) If the deceased resided outside Alberta immediately before dying, an application for a grant may be filed at the judicial centre that is closest by road to a location in Alberta where the deceased had property on the date of death. AR 130/95 s6;165/2010 7 Repealed AR 165/2010 s5. Additional information 8 On any application to which these Rules apply, the court may require the applicant to give any additional information that the court decides is necessary. 9 Repealed AR 243/2021 s3.

Rule 9.1 AR 130/95 SURROGATE RULES 9

Part 1 Non-contentious Matters Personal representative’s notice when acting without a grant 9.1(1) A personal representative’s notice under

section 10(1)(

a) of the Estate Administration Act to a beneficiary may be in Form NGA 1 and must include at least the following: (

a) the deceased’s name, place o f residence and date of death; (

b) the personal representative’s name and contact information; (

c) the date of the deceased’s will; (

d) a description of the gift le ft by the will to the beneficiary or, in the case of a partial intestacy, a reference to the applicable provision of the Wills and Succession Act or the Intestate Succession Act, RSA 2000 cI-10; (

e) a statement that all gifts are subject to prior payment of all debts and other claims against the estate; (

f) if the beneficiary is a resi duary beneficiary, a copy of the will.

(2) A personal representative’s notice under

section 10(1)(

b) of the Estate Administration Act to a family member or to an attorney, a trustee, the Public Trustee or a guardian on behalf of a family member may be in Form NGA 2 and must include at least the following: (

a) the deceased’s name, place o f residence and date of death; (

b) the personal representative’s name and contact information; (

c) the date of the deceased’s will; (

d) a statement that the family member may be entitled to make a claim for maintenance and support under the Wills and Succession Act or the Dependants Relief Act, RSA 2000 cD-10.5, because the will does not give the family member all the property in the deceased’s estate, and that the court may change the distribution of the estate to provide the family member with maintenance and support if the court is satisfied that the circumstances warrant it; (

e) a copy of the will.

Rule 9.1 AR 130/95 SURROGATE RULES 10

(3) A personal representative’s notice under

section 10(1)(

c) of the Estate Administration Act to a spouse or under

section 10(1)(c.1) of that Act to an adult interdependent partner may be in Form NGA 3 and must include at least the following: (

a) the deceased’s name, place o f residence and date of death; (

b) the personal representative’s name and contact information; (

c) the date of the deceased’s will; (

d) a statement that the spouse or adult interdependent partner may be entitled to make a claim under the Family Property Act because the will does not give the spouse or adult interdependent partner all the property in the deceased’s estate; (

e) a copy of the will.

(4) A personal representative’s notice under

section 10(1)(

d) of the Estate Administration Act to the Public Trustee or another person may be in Form NGA 4 and must include at least the following: (

a) the name of the person who is interested in the estate; (

b) an identification of whether the notice is provided to the recipient as (

i) an attorney under an enduring power of attorney for the person who is interested in the estate, (ii) a trustee of a represented adult who is interested in the estate, (iii) the Public Trustee because the person who is interested in the estate was a minor on the date of the deceased’s death or is a missing person as defined in the Public Trustee Act, or (iv) a guardian of a minor who is interested in the estate; (

c) the information that subrule (1)(

a) to (

e) requires for a notice to a beneficiary, which may be included in the document that contains the information required by clauses (

a) and (

b) or set out in a separate document; (

d) a copy of the will.

(5) A notice referred to in this rule must be given in a manner that is likely to bring it to the attention of the intended recipient. AR 44/2015 s3;156/2019

Rule 10 AR 130/95 SURROGATE RULES 11 Division 1 Application for Grant Grants 10(1) The following grants may be applied for under this Part: (

a) grants that are unlimited and unrestricted, including (

i) a grant of probate; (ii) a grant of administration with will annexed; (iii) a grant of administration; (iv) a supplemental grant; (

v) a grant of double probate; (

b) grants that are limited to part of the deceased’s property, including (

i) a grant of administration of unadministered property; (ii) a grant of re-sealed proba te with respect to property in Alberta; (iii) a grant of re-sealed administration with respect to property in Alberta; (iv) a grant of administratio n limited to specific property; (

v) a grant of administration of property not included in another grant; (vi) an ancillary grant; (

c) grants that are for a limited time, including (

i) a grant of administration until a will is found; (ii) a grant of administ ration during the minority, absence or mental incompetence of the personal representative; (

d) grants that are for a limited purpose only, including (

i) a grant of administration when the validity of a will is in question; (ii) a grant of administration for the purpose of litigation;

Rule 12 AR 130/95 SURROGATE RULES 12 (iii) a grant of administratio n for the preservation of property; (iv) a grant of administra tion limited to a specified matter.

(2) The court may issue any grant that is not referred to in subrule (1) that the court considers proper in the circumstances.

(3) Unless the court, on application, orders otherwise, a grant of administration must not be given to more than 3 persons at the same time.

(4) A grant may be issued in Form GA6 or in any other form that is appropriate to the nature of the grant. AR 130/95 s10;132/2000;44/2015;243/2021;139/2023 11 Repealed AR 44/2015 s5. Limited grant 12(1) If the grant applied for is limited in any manner, the limitation must appear clearly on the application.

(2) If the grant given is limited in any manner, the limitation must appear clearly on the grant. Required forms 13(1) An applicant for a grant must file Form GA1 and, if the circumstances require, the following additional forms: (

a) Form GA8; (

b) Form GA9; (

c) F o r m G A 1 0 ; (

d) Form GA11; (

e) F o r m G A 1 3 ; (

f) Form GA14.

(2) Any forms required to be filed under subrule (1) must be filed before a notice of application is served.

(3) An applicant for a grant must file Form GA2, in addition to any applicable forms referred to in subrule (1), if

Rule 13 AR 130/95 SURROGATE RULES 13 (

a) a personal representative is required under rule 28(1) to provide a bond or other security, (

b) a personal representative is applying under rule 29(1) to dispense with a requirement to provide a bond or other security, for approval of security other than a bond or to reduce the amount of a bond or other security, (

c) a personal representative is applying for (

i) a grant of re-sealed probate or administration with respect to property in Alberta, or (ii) an ancillary grant, o r (

d) the court requires the ap plicant to file Form GA2.

(4) An applicant must file any forms or documents not referred to in subrules (1) and (3) that the court or the circumstances of the estate require.

(5) If a will or a person authorized by a will appoints a person to hold property in trust, each trustee of each trust must provide an affidavit of trustee in Form GA20 to the personal representative.

(6) If a person referred to in subrule (5) does not wish to or cannot act as a trustee in respect of the property in trust, the person must (

a) renounce in Form GA18 and provide that form to the personal representative, or (

b) renounce by a method approved by the court.

(7) The personal representative must not make a distribution to a trustee of any property that is subject to a trust under a will until after (

a) the trustee provides an affi davit of trustee in Form GA20 to the personal representative, and (

b) all persons who, under the will, have a right to trusteeship that is prior or equal to the right of the trustee referred to in clause (

a) have renounced their rights to act as trustee (

i) in Form GA18 and have provided that form to the personal representative, or (ii) by a method approved by the court.

Rule 13.1 AR 130/95 SURROGATE RULES 14

(8) The court, at any time, may dispense with a renunciation required under subrule (6) or (7)(b). AR 130/95 s13;132/2000;251/2001;101/2010;10/2012; 44/2015;37/2020;243/2021 Application forms and documents 13.1 An application for a grant is not invalidated nor is there any contravention of these Rules if there is a deviation from or an addition to or omission from a form prescribed for the purposes of the application or a document prepared in place of a prescribed form that (

a) does not adversely affect the substance of the information required to be provided or that the court requires to be provided, and (

b) is not intended to mislead. AR 243/2021 s5 Will Void gift 14 Subject to the reinstatement of a gift by the court under

section 40 of the Wills and Succession Act, an application made with respect to a will must indicate that a gift is void if the will provides for a gift to a beneficiary who (

a) is a witness to the will, (

b) is an individual who signed the will on behalf of the testator under

section 19(1) of the Wills and Succession Act, (

c) is an interpreter who pro vided translation services in respect of the making of the will, or (

d) is, within the meaning of

section 21(3) of the Wills and Succession Act, the spouse or adult interdependent partner of an individual described in clause (a), (

b) or (c). AR 130/95 s14;201/2003;107/2004;10/2012 Wills and codicils 15 Subject to

section 45 of the Alberta Evidence Act, the original will and any original codicils must be attached to an application for a grant. AR 130/95 s15;44/2015;243/2021

Rule 16 AR 130/95 SURROGATE RULES 15 Proof of signing formalities 16(1) A witness to a will must prove that the signing formalities were observed by providing an affidavit in Form GA8 and the original will must be an exhibit to the affidavit.

(2) An affidavit sworn by a witness to a will at the time that a will is signed is acceptable as proof that the formalities were observed, unless there is an apparent change in the will that the witness has not satisfactorily explained in the affidavit.

(3) An affidavit referred to in subrule (2) may be in a form other than Form GA8 if (

a) it was sworn before the com ing into force of this rule, and (

b) it is in a form that was re quired or permitted under these Rules at the time the affidavit was sworn.

(4) If a will is a holograph will or if a witness to a will cannot be found, a person other than the applicant, unless otherwise ordered by the court, must prove the deceased’s handwriting by filing an affidavit in Form GA9, and the original will must be an exhibit to the affidavit.

(5) The person before whom the affidavit referred to in subrule (2) or (4) is sworn must mark the will, and any codicil, in such a way that the will is identified for the purposes of the affidavit.

(6) The following may be used to mark a will for identification under this rule: This is exhibit A referred to in the affidavit of (deponent’s name). Sworn before me on ________ ______________________ (A Commissioner for Oaths in and for Alberta)

(7) Any marking on a will must be made below the signatures on either the front or back of the last page of the will and must not obliterate or damage the original will.

(8) The court may require any further identification of a will the court considers necessary if the will is written on more than one piece of paper and not all pieces are identified by the signature or initials of the deceased and the witnesses. AR 130/95 s16;135/96;53/2001;37/2020;243/2021;139/2023

Rule 17 AR 130/95 SURROGATE RULES 16 Proving signing of will 17 If the deceased at the time a will was made (

a) was blind, (

b) was illiterate, (

c) did not (

i) fully understand English, where the will is written in English, or (ii) fully understand French, where the will is written in French, (

d) indicated an intention to g ive effect to the will with a mark, or (

e) indicated an intention to give effect to the will by havin g another person sign at the deceased’s direction, the applicant must satisfy the court that the deceased and the witnesses were present when the will was signed, that the will was fully explained to the deceased and that the deceased appeared to the witnesses to fully understand the will. AR 130/95 s17;139/2023 Will not in English or French 18 If a will is written in a language other than English or French, the applicant must give an affidavit in Form GA10 verifying the will’s translation into English or French.

AR 130/95 s18;243/2021;139/2023 Witnesses dead 19 If both witnesses to a will are dead or neither witness can give an affidavit for any reason, the applicant may establish proof that the formalities required for a will to be valid were observed by an affidavit (

a) in Form GA9 attesting to the authenticity of the signature of the deceased, or (

b) from any person (

i) who did not sign as a witness, (ii) who was present during the signing of the will, and (iii) who can attest to the circumstances. AR 130/95 s19;44/2015;243/2021

Rule 20 AR 130/95 SURROGATE RULES 17 Dated will 20(1) If there is no indication on a will of the date on which the will was signed or reference to the date is imperfect, one of the attesting witnesses must give evidence of the date on which the will was signed.

(2) If subrule (1) cannot be complied with, the court may require the applicant (

a) to give evidence of the s igning of the will between 2 stated dates, and (

b) to give evidence that a sea rch for a later will has been made and none was found. Minor testator 21 If the deceased was under 18 years of age at the time the will was made, the applicant must prove that the deceased at that time (

a) had a spouse or adult interdependent partner, (

b) was a member of (

i) a regular force as defined in the National Defence Act (Canada), or (ii) another component of the Canadian Forces and was, at the time of making the will, placed on active service under the National Defence Act (Canada), (

c) was authorized to make, alte r or revoke a will by an order of the court under

section 36 of the Wills and Succession Act, or (

d) in respect of a will made bef ore the coming into force of the Wills and Succession Act, was a person described in

section 9(1)(

c) or (3) of the Wills Act. AR 130/95 s21;10/2012 Other documents 22(1) If a document is incorporated by reference into a will, the applicant must file the original document with the court with the application.

(2) If a document referred to in subrule (1) is not given with an application, the applicant must explain to the satisfaction of the court why it is not. AR 130/95 s22;243/2021

Rule 23 AR 130/95 SURROGATE RULES 18 Formal proof of will 23 The court may require formal proof of a will under

Part 2 or any other proof satisfactory to the court, if (

a) no witness is available to swear the necessary affidavit, (

b) the appearance of the will indicates an attempt to cancel it by burning, tearing or any other act of destruction, (

c) words in the will that m ight be important have been erased or obliterated, or (

d) in the opinion of the court, circumstances require formal proof of the will. Lost will 24 If an original will is lost or destroyed but a copy or other evidence of it exists, the court may admit the copy or other evidence to probate if (

a) the will is proved formally under Division 3 of

Part 2, or (

b) in the opinion of the court, the will can be adequately identified under this Part. Alterations, etc. 25 If the court directs that any alterations, interlineations, erasures or obliterations should be omitted from a will, the clerk must omit them from the copy of the will attached to the grant. Notice Required Notice of application 26(1) An applicant must serve a notice of an application for a grant (

a) in Form GA3 on each person listed in Form GA1, other than the Public Trustee, who requires notification, and (

b) in Form GA4 on the Public Trustee, if the circumstances require.

(1.1) The notice of application must be accompanied by the application in Form GA1, as filed, and an inventory in Form GA2 when served on each (

a) residuary beneficiary,

Rule 26.1 AR 130/95 SURROGATE RULES 19 (

b) beneficiary on intestacy, and (

c) person required to be served under

section 11 of the Estate Administration Act.

(1.2) Where

section 12(1)(

a) to (

d) of the Estate Administration Act requires the applicant to serve notice on an attorney, a trustee, the Public Trustee or a guardian, the applicant must serve the attorney, trustee, Public Trustee or guardian with the applicable forms referred to in subrules (1) and (1.1).

(2) Repealed AR 243/2021 s11.

(3) A person may be served under this rule by (

a) leaving the document with the person, (

b) sending the document by recorded mail addressed to the person, or (

c) giving the document to a lawyer who is authorized to accept and who, in writing, accepts service on behalf of the person.

(3.1) Despite subrule (3), where a person, in writing, acknowledges receipt of the document, the person is served under this rule.

(3.2) Service is effected under subrule (3.1) on the day the person, in writing, acknowledges receipt of the document.

(4) Where a notice of application is required to be served on a person under this rule, an affidavit of service must be filed in Form GA5 within 30 days after the date on which service is effected.

(5) If the applicant does not file proof of service on a person as required by subrule (4), the court may issue a grant only if it is satisfied with the reason given by the applicant for not filing the proof of service as required.

(6) Service under this rule is valid despite a later amendment to the application that is made at the direction of the court. AR 130/95 s26;135/96;132/2000;165/2010;10/2012; 37/2020;243/2021;139/2023 Notice of grant 26.1(1) Where the court issues a grant, the applicant must serve a notice of grant issuing in Form GA7 within 30 days after the grant is issued on each person listed in Form GA1 who requires notification.

Rule 28 AR 130/95 SURROGATE RULES 20

(2) No affidavit of service is required where a notice of grant issuing is served. AR 243/2021 s12 27 Repealed AR 243/2021 s13. Bonds Bonds 28(1) Subject to subrule (2), a personal representative who is not a resident of Alberta must provide a bond or other security approved by the court.

(2) A personal representative is not required to provide a bond or other security if (

a) the personal representativ e is resident in Alberta, or (

b) there are 2 or more personal representatives and one of them is resident in Alberta.

(3) If a non-resident personal representative must provide a bond, the bond must be from an insurer licensed under the Insurance Act to undertake fidelity insurance as defined in

section 1(1)(

h) of the Classes of Insurance Regulation (AR 144/2011).

(4) A bond or other security must be for an amount equal to (

a) the gross value of the d eceased’s property in Alberta, less (

b) if the court so orders, any amount distributable to the personal representative as a beneficiary. AR 130/95 s28;7/2005;44/2015 Dispensation from bond 29(1) A non-resident personal representative may apply in Form GA1 (

a) to dispense with a requirement under rule 28(1) to provide a bond or other security, (

b) for approval of security other than a bond, or (

c) to reduce the amount of a bond or other security.

Rule 30 AR 130/95 SURROGATE RULES 21

(2) An applicant under this rule may file a beneficiary’s consent to dispensing with a bond or other security in Form GA14 in support of the application. AR 130/95 s29;44/2015;243/2021 Application re bond or other security 30(1) Any person interested in an estate may apply to the court for an order that a bond or other security be required from a resident personal representative despite rule 28(2) if the personal representative is not named as executor in the will.

(2) Any person interested in an estate may apply to the court for an order requiring a non-resident personal representative to provide a bond or other security despite rule 28(2), whether or not an application is made under rule 29. AR 130/95 s30;44/2015 Powers of court 31(1) The court, on an application under rule 29 or 30, may, before or after issuing a grant but only after considering the interests of the beneficiaries and claimants of the estate, (

a) require a bond or other security; (

b) reduce the amount of a bond or other security; (

c) dispense with the requirements for a bond or other security; (

d) impose conditions on the applicant or any other person interested in the estate; (

e) require more information; (

f) do any other thing that the circumstances require.

(2) The court must not require a lawyer representing an applicant to undertake to retain control of the property in the estate as a condition of dispensing with a bond or other security. AR 130/95 s31;44/2015 Personal Representatives Renunciation 32(1) If a will exists and a personal representative named in the will does not wish to or cannot apply for a grant, the personal representative must renounce in Form GA11 or by a method approved by the court.

Rule 33 AR 130/95 SURROGATE RULES 22

(2) Before a grant of administration may be issued to an applicant, all those who rank higher or equal to the applicant under

section 13(1)(

b) of the Estate Administration Act must renounce their rights to apply for a grant in Form GA11 or by a method approved by the court.

(3) The court, at any time, may dispense with a renunciation required by subrule (1) or (2).

(4) Renunciation under this rule does not by itself prevent a personal representative named in a will from applying for a grant. AR 130/95 s32;44/2015;243/2021 Nominations 33(1) A person entitled to a grant and entitled under

section 13(4) of the Estate Administration Act to nominate a person to administer an estate may nominate, in Form GA13, a person to be the personal representative for the purpose of applying for a grant.

(2) A person expressly authorized in a will to appoint a personal representative may nominate, in Form GA13, a person to be the personal representative for the purpose of applying for a grant of administration or probate. AR 130/95 s33;132/2000;306/2009;44/2015;243/2021;139/2023 Grant of double probate 34(1) If all the personal representatives named in a will do not apply for a grant at the same time, the personal representatives who do not apply (

a) must reserve their righ t to apply later by filing Form GA12 at the time the initial grant is applied for, and (

b) may apply for a grant of double probate by filing Form GA1 at any time after filing Form GA12.

(2) A personal representative to whom subrule (1) applies who does not comply with subrule (1)(

a) may not apply for a grant of double probate.

(3) An alternate personal representative named in a will may apply for a grant of double probate if it is necessary for the alternate personal representative to complete the administration of the estate.

(4) The original grant of probate must be surrendered with an application under this rule. AR 130/95 s34;107/2004;243/2021

Rule 35 AR 130/95 SURROGATE RULES 23 Grant of re-sealed probate or re-sealed administration 35(1) An applicant may apply in accordance with rule 13(1) and (3) for an order resealing a foreign grant, as defined in

section 18(1)(

a) of the Estate Administration Act.

(2) An application under subrule (1) must show only the property and debts of the deceased in Alberta.

(3) Repealed AR 44/2015 s15. AR 130/95 s35;251/2001;44/2015;243/2021 Ancillary grant 36 An applicant may apply in accordance with rule 13(1) and (3) for an ancillary grant under

section 19(1) of the Estate Administration Act. AR 130/95 s36;251/2001;44/2015;243/2021 Unadministered property 37(1) If a deceased was the personal representative of an intestate person, another person may apply for a grant of administration of the unadministered property of the intestate person.

(2) If a deceased was the personal representative of a testate person and the deceased did not appoint a personal representative for the deceased’s estate, another person may apply for a grant of administration with will annexed of the unadministered property of the testate person.

(3) If the personal representative of a testate person resigns and there is no alternate personal representative named in the will, another person may apply for a grant of administration with will annexed of the unadministered property of the testate person.

(4) An applicant under subrule (1), (2) or (3) (

a) subject to subrule (5), must file the same documents as those filed in the original application for a grant, and (

b) must file an affidavit atte sting to the details of the original grant and to the death or resignation of the personal representative.

(5) An application under subrule (1), (2) or (3) must show only the description and value of the unadministered property on the date of the application.

(6) The original grant must be surrendered with an application under subrule (1), (2) or (3). AR 130/95 s37;107/2004

Rule 38 AR 130/95 SURROGATE RULES 24 Claimants Notice to claimants 38(1) In this rule, “newspaper” means a newspaper published or circulated in printed or electronic form.

(1.1) If a personal representative publishes a notice to claimants, the personal representative (

a) must do so in accordance with this rule, (

b) may use Form GA15, and (

c) may file proof of publication in Form GA16.

(2) A notice to claimants must be published in a newspaper (

a) that is published or circu lated in the area where the deceased usually lived, or (

b) if the deceased did not usu ally live in Alberta, that is published or circulated in the area where a significant amount of the deceased’s property is situated.

(3) A notice to claimants must be published, (

a) in the case of an estate w ith a gross value of $100 000 or less, at least once, or (

b) in the case of an estate w ith a gross value of more than $100 000, at least twice with 5 days or more between the publications. AR 130/95 s38;135/96;165/2010;44/2015;243/2021;139/2023 Notice by claimant 39(1) A claimant must notify a personal representative of the claim not more than 1 month after the date on which the last notice is published under rule 38.

(2) A claimant who does not comply with subrule (1) may make a claim against an estate only with the prior consent of the court. AR 130/95 s39;165/2010;139/2023 Verification of claims 40 If a personal representative has notice of a claim against the estate, the personal representative may require the claimant to verify the claim using a statutory declaration in Form GA17. AR 130/95 s40;251/2001;10/2012;44/2015;243/2021

Rule 41 AR 130/95 SURROGATE RULES 25 Valuation of security 41(1) If security is held by a claimant wholly or partly to secure a claim against the estate and (

a) the claimant does not giv e a value to the security, or (

b) a dispute arises between t he claimant and the personal representative regarding the value of the security, the personal representative may, by filing an application in Form C1 and an affidavit in Form C2, apply to the court for an order under this rule.

(2) A personal representative must give at least 5 days’ notice of an application under subrule (1) to the claimant.

(3) On an application by the personal representative, the court may (

a) require the claimant to file a statutory declaration specifying the value of the security with the personal representative within the time limited by the order, and (

b) declare that the r ights of the claimant against the estate in respect of the claim or the part of it that is secured are barred if the claimant does not comply with the order under clause (a).

(4) If a claim is secured, the personal representative may (

a) consent to the claimant’s r anking with other claimants for the amount of the claim after the value of the security specified in the declaration is deducted, or (

b) require an assignment of th e security to the estate at the value specified in the declaration of the claimant.

(5) If an assignment is required under subrule (4), the difference between the value at which the security is assigned to the estate and the amount of the gross claim of the claimant is the amount for which the claimant ranks with other claimants.

(6) If the personal representative requires an assignment of a security under subrule (4), the claimant must assign the security to the estate after the claimant has received (

a) payment of the value of t he security as specified in the declaration, and (

b) interest to the date of payment if the indebtedness bears interest.

Rule 42 AR 130/95 SURROGATE RULES 26

(7) Nothing in this Part prejudices any of the rights or remedies of a secured claimant before the personal representative has given notice that an assignment of the security is required and payment is tendered in respect of that security.

(8) If the claim of a claimant is based on a negotiable instrument that is not mature or exigible and on which the deceased is indirectly or secondarily liable, the claim is secured for the purposes of this Part, and the claimant must give the value of the liability of the person primarily liable on the instrument as the claimant’s security for repayment of the claim.

(9) If, after the instrument referred to in subrule (8) matures, the liability is not paid by the person primarily liable, the claimant may amend and revalue the claim. AR 130/95 s41;165/2010;44/2015 Contested claims 42

Part 2, Division 5 applies if a personal representative does not agree to all or part of a claim by a claimant against an estate. Claims not yet payable 43(1) Rules 40, 41 and 42 apply to a claim that is not payable at the time a grant is issued in respect of the estate and for which, for that reason, an action for the recovery of the claim cannot be brought.

(2) If a claim to which subrule (1) applies is established, the claimant may take proceedings to enforce payment of it only with the consent of the court. Duties of the Clerk Fees 44 The clerk may charge fees in accordance with

Schedule 2 for the performance of duties and services by the clerk under these Rules. Waiver of fees 44.1 The clerk may waive the fee payable by an individual under

Schedule 2, in whole or in part, in accordance with guidelines, if any, established or adopted by the Minister of Justice for persons unable to pay fees. AR 76/2015 s2;216/2022

Rule 45 AR 130/95 SURROGATE RULES 27 Applications 45(1) The clerk must (

a) number and date every appli cation for a grant when it is filed, (

b) record the information in the appropriate court records, (

c) present all applications t o the court for its order and direction, and (

d) send any rejection notice in Form GA19 to the applicant.

(2) When application is made for a grant, the clerk shall promptly search the court records to determine whether (

a) any other application has been filed or a grant has issued in respect of the same estate or minor, (

b) a caveat has been filed in r espect of the same estate or minor and has not expired or been withdrawn or discharged, or (

c) a will of the same deceased was, during the life of the deceased, deposited with a clerk of the surrogate court before June 19, 1995 or a clerk of the district court before July 12, 1967.

(3) Unless the court, on application, orders otherwise, no grant shall be issued until the clerk has completed a search under subrule (2) and confirmed that (

a) no other application referre d to in subrule (2)(

a) has been filed, (

b) no grant referred to in subrule (2)(

a) has issued, (

c) no caveat referred to in subr ule (2)(

b) has been filed, and (

d) no will referred t o in subrule (2)(

c) has been deposited. AR 130/95 s45;44/2015;243/2021 Grants 46 The clerk must (

a) repealed AR 139/2023 s11; (

b) issue all grants, using the court seal on request;

Rule 47 AR 130/95 SURROGATE RULES 28 (

c) record all grants and copies of wills in the appropriate court records. AR 130/95 s46; 165/2010;139/2023 Retention of documents 47 The clerk must retain a sealed duplicate of all grants issued. Copies of documents 48 Unless the court requires otherwise, the clerk, on payment of the required fee, must give copies of all documents filed in the court to any person who asks for them. Clerk’s certificate 49 The clerk may issue a certificate in Form GA21 that a grant or other document is in force. AR 130/95 s49;243/2021 Division 2 Administration of Minors’ Property Definition of trusteeship order 49.1 In this Division, “trusteeship order” means an order under

section 10 of the Minors’ Property Act appointing one or more persons as trustee of a minor’s property. AR 37/2020 s6;243/2021 Application for trusteeship order 50 An application for an order under

section 10 of the Minors’ Property Act appointing one or more persons as trustee of a minor’s property may be commenced by filing the following documents with the court: (

a) an application in Form MP1; (

b) an affidavit in Form MP2; (

c) if the minor is 14 years of age or older, the minor’s consent in Form MP3, unless the court, under

section 14(3) of the Minors’ Property Act, allows the application to be made without the minor’s consent; (

d) if the minor has a parent or guardian who is not an applicant, an affidavit of service in Form GA5 regarding service of the documents required to be served under rule 51(1) on the parent or guardian, unless the court, under

Rule 51 AR 130/95 SURROGATE RULES 29 rule 51(2), dispenses with the requirement to serve the parent or guardian; (

e) an affidavit of service in Form GA5 regarding service of the documents required to be served under rule 51(3) on the Public Trustee. AR 130/95 s50;37/2020;243/2021 Documents to be served 51(1) An applicant for a trusteeship order must serve each parent or guardian of the minor, other than an applicant, with the following documents: (

a) a notice to the parent or guardian in Form MP4; (

b) copies of the documents required to be filed under rule 50(a), (

b) and (c); (

c) a draft order in Form MP7 that is clearly marked as a draft.

(2) The court may dispense with the requirement to serve a parent or guardian with any or all of the documents and notice referred to in subrule (1) where the court is of the opinion that it is in the minor's best interest to do so.

(3) An applicant for a trusteeship order must serve the following documents on the Public Trustee: (

a) a notice to the Public Trustee in Form MP5; (

b) copies of the documents required to be filed under rule 50(a), (

b) and (c); (

c) a draft order in Form MP7 that is clearly marked as a draft.

(4) The court must not determine an application for a trusteeship order until after (

a) each parent and guardian re quired to be served under this rule has filed a response to the application or a period of (i) 10 days, if the parent or guardian is a resident of Alberta, or (ii) one month, if the parent or guardian is not a resident of Alberta,

Rule 51 AR 130/95 SURROGATE RULES 30 has elapsed following service on the parent or guardian without the parent or guardian having filed a response to the application, and (

b) the Public Trustee has filed a response under subrule (6).

(5) A parent or guardian required to be served under this rule may respond by filing a notice in Form MP6 stating whether the parent or guardian (

a) does not object to the application and is not requesting a hearing, or (

b) objects to the application and is requesting a hearing.

(6) If a response filed by a parent or guardian or the Public Trustee requests a hearing, the applicant shall set the matter for a hearing and serve notice of the hearing on all persons required to be served under these rules.

(7) Where the court makes a trusteeship order, the applicant must serve a copy of the order on (

a) the minor, if the minor was 14 years of age or older on th e day the trusteeship order was made, and (

b) each parent and guardian re quired to be served under this rule, and (

c) the Public Trustee.

(8) Where this rule requires service of a document on the Public Trustee, the document must be served by recorded mail addressed to the Public Trustee.

(9) Where this rule requires service of a document on any person other than the Public Trustee, the document may be served by (

a) leaving the document with the person, (

b) sending the document by recorded mail addressed to the person, or (

c) giving the document to a lawyer who is authorized to accept and who, in writing, accepts service on behalf of the person.

(10) Service under subrule (9)(

a) is effected on the day the document is left with the person.

Rule 52 AR 130/95 SURROGATE RULES 31

(11) Service under subrule (9)(

b) is effected on the day an acknowledgment of receipt is signed by the person to whom the document is addressed.

(12) Service under this rule is valid despite a later amendment to the application that is made at the direction of the court. AR 130/95 s51;37/2020;243/2021;139/2023 Security 52(1) An applicant under this Division must provide a bond or other security that is satisfactory to the court unless the trustee, or one of the trustees, is a trust corporation referred to in

section 11(3) of the Minors’ Property Act or the court dispenses with this requirement under subrule (4).

(2) The bond or other security must be in an amount equal to the estimated value of the property to which the order relates unless the court orders otherwise.

(3) Where the court requires a bond under subrule (1), the bond must be from an insurer licensed under the Insurance Act to undertake fidelity insurance as defined in

section 1(1)(

h) of the Classes of Insurance Regulation (AR 144/2011).

(4) The court may dispense with the requirement for a bond or other security where the court is of the opinion that it is in the minor’s best interests to do so, having regard to other safeguards that are or will be in place. AR 130/95 s52;7/2005;44/2015;37/2020 Dispensing with security 53 An applicant may apply to dispense with the requirement for a bond or other security by filing an affidavit respecting the matters referred to in rule 52(4). AR 130/95 s53;7/2005;37/2020 Application of rules 54(1) Rules 55 to 74 and the forms referred to in those rules apply, with the necessary modifications, to an application for a trusteeship order and to the administration of the trust property.

(2) Part 3, except rule 97(2), applies to a trustee under a trusteeship order. AR 130/95 s54;37/2020

Rule 54.1 AR 130/95 SURROGATE RULES 32 Division 3 Making, Altering or Revoking of a Will by a Minor Application under Wills and Succession Act 54.1(1) In this rule, “minor” means an individual referred to in

section 36(1) of the Wills and Succession Act.

(2) An application for the purposes of

section 36 of the Wills and Succession Act must be made by filing Form C 14, and an accompanying affidavit in Form C 2, with the court.

(3) The form and affidavit referred to in subrule (2) must be served at least 5 days before the hearing of the application, unless the court permits a shorter period for service, on the Public Trustee, the parents of the minor, the guardians of the minor and the trustee of the estate of the minor, if any, and anyone else as directed by the court.

(4) The court may dispense with service of the documents referred to in subrule (2) on any person. AR 10/2012 s10;139/2023

Part 2 Contentious Matters Division 1 General Application 55(1) An application to the court may be made under this Part respecting any contentious matter.

(2) If applying a rule in this Division would lead to a conflict respecting the application of a rule in any other Division in this Part, the rule in the other Division applies and the rule in this Division does not. Parties 56(1) If a personal representative is not joined as an applicant in an application under this Part, that personal representative must be shown as a respondent in documents filed with the court.

(2) The respondents in an application under this Part must be grouped in accordance with the classes set out in rule 57 in any documents filed with the court.

Rule 57 AR 130/95 SURROGATE RULES 33 Persons interested in the estate 57 Subject to rule 78, the classes of persons who may be interested in a particular estate are the following: (

a) personal representatives; (

b) residuary beneficiaries; (

c) life tenants; (

d) specific beneficiaries who have not received their entitlement under the will; (

e) heirs on intestacy; (

f) trustees of represen ted adults under the Adult Guardianship and Trusteeship Act; (

g) attorneys appointed under the Powers of Attorney Act; (

h) minors; (

i) missing persons; (

j) repealed AR 110/2001 s2; (

k) unpaid claimants; (

l) bonding companies; (

m) a group of persons with identical interests ordered to be a class by the court; (

n) family members as defined in

section 72(

b) of the Wills and Succession Act; (

o) any person who has filed a Form C 1 for a matter relating to the estate. AR 130/95 s57;110/2001;10/2010;10/2012 Commencement of action 58 A person may commence an application under this Part by filing (

a) an application in Form C1, and (

b) an affidavit in Form C2. AR 130/95 s58;10/2012

Rule 58.1 AR 130/95 SURROGATE RULES 34 Reply and demand for notice 58.1(1) For the purposes of Divisions 1.1 and 3, where an application has been filed under rule 58 or 70.1, any person required under rule 57 to be served with the application may file a reply in Form C 2.1, accompanied with an affidavit in Form C 2, if evidence is submitted, or a demand for notice in Form C 2.2.

(2) A demand for notice may be filed and served at any time before the resolution of the matter.

(3) A reply and accompanying affidavit, if any, must be filed and served 5 days or more before the returnable date stated in the application or as directed by the court. AR 10/2012 s13 Documents to be served 59(1) An applicant must serve copies of the documents required to be filed under these Rules or the Alberta Rules of Court (AR 124/2010) on the persons listed in rule 57 who are interested in the estate, if any.

(2) If a missing person as defined in the Public Trustee Act is a person interested in an estate, the applicant must serve the Public Trustee with notice of the application. AR 130/95 s59;110/2001;165/2010;10/2012 Service 60(1) Service may be made on a person (

a) personally or by record ed mail in the case of a commencement document, (

b) by ordinary mail delivery or electronic transmission in th e case of documents other than commencement documents, (

c) if documents filed in the matter give an address for service, at that address, or (

d) by serving a lawyer who is authorized to accept service on behalf of a person.

(2) Proof in Form GA5 that a person has been served must be filed with the court. AR 130/95 s60;110/2001;165/2010;243/2021 Notice 61 Notice of an application must be given

Rule 62 AR 130/95 SURROGATE RULES 35 (

a) to the personal representative, one month or more before the hearing; (

b) to the Public Trustee, 10 days or more before the hearing; (

c) to other persons interested in the estate, if they are residents of Alberta, 10 days or more before the hearing; (

d) to other persons interested in the estate, if they are not residents of Alberta, one month or more before the hearing. AR 130/95 s61;165/2010 Representation 62(1) At any time during the proceedings, the court may (

a) decide that certain parties form a class with identical interests whether or not they are also in a class referred to in rule 57, (

b) require that all the

partie s in a class be represented by the same lawyer, (

c) determine which parties ma y cross-examine witnesses and make representations to the court, (

d) require 2 or more persons to be represented by different lawyers if they are represented by the same lawyer, or (

e) appoint a lawyer to represent an unrepresented person.

(2) One or more of the persons in a class may appoint a particular lawyer to represent them if they do not accept the lawyer appointed by the others in the class to represent the class.

(3) The costs of a lawyer appointed under subrule (2) may be paid from the estate only if the court specifically orders that the costs are to be paid from the estate. Proceedings in chambers 63 All proceedings to which this Part applies must be before a justice in chambers unless the court or these Rules require otherwise. AR 130/95 s63;53/2001 Procedure at hearing 64(1) The court, on hearing an application, may (

a) receive evidence by affidavit or orally;

Rule 65 AR 130/95 SURROGATE RULES 36 (

b) dispose of the issues arisi ng out of the application as it considers appropriate; (b.1) direct a person to file a reply, accompanied with an affidavit, if evidence is to be submitted, or a demand for notice; (

c) direct a trial of issues ari sing out of the application; (

d) grant any relief to which the applicant is entitled becaus e of a breach of trust, wilful default or other misconduct of a respondent; (

e) direct that notice of the cou rt’s judgment or order be given to a particular person; (

f) dispense with service of notice on any person if, in the opinion of the court, service is impractical; (

g) subject to subrule (2), dispense with service of an order and order that a person is bound by the court’s order as if the person had received notice of it; (

h) order costs to be paid from the estate or by any person who is a party to the application; (

i) make any order that the court considers necessary in the circumstances.

(2) If service on a person is dispensed with under subrule (1) and an order is obtained by fraud or non-disclosure of material facts, that person is not bound by the order. AR 130/95 s64;165/2010;10/2012 Standing 65 A person served with notice of an order may (

a) apply to vary, discharge or add to the order within 20 day s after being served, and (

b) attend any proceedings i n respect of the order. AR 130/95 s65;165/2010 Trial of an issue 66 If the court orders the trial of an issue, the court must order the procedure to be followed and the terms and conditions under which the trial is to take place.

Rule 67 AR 130/95 SURROGATE RULES 37 Time limit 67(1) An applicant must not apply for an order requiring a personal representative to accept or refuse probate until at least 2 months after the date of the death of the testator.

(2) Despite subrule (1), an applicant may apply for an order requiring a personal representative to accept or refuse probate during the period referred to in subrule (1) if, in the opinion of the court, the circumstances warrant the granting of the order. AR 130/95 s67;165/2010 Production of testamentary documents 68 If an applicant applies for an order requiring the production of a testamentary document or a document that is alleged to be a testamentary document, the court may require a person by affidavit or by an appearance before the court, (

a) to explain why the document should not be produced and deposited with the clerk, (

b) to explain why the document cannot be produced, (

c) to give a statement that no testamentary document is or has been in the person’s possession or control, or (

d) to give any information the person has that is relevant to discovering the document’s present location. AR 130/95 s68;10/2012 Security for costs 69 The court may order security for costs to be posted by any party at any stage of the proceedings under this Division. Time for completion 70 The court may set a time or times within which matters or proceedings respecting an estate under this Part must be completed. Division 1.1 Applications under Various Acts Applications under various Acts 70.1(1) An application for the purposes of

section 37, 38, 39(1), 40(1), any provision of

Part 5 or

section 109 of the Wills and Succession Act must be commenced by filing Form C 1 accompanied with an affidavit in Form C 2.

Rule 70.2 AR 130/95 SURROGATE RULES 38

(2) An application for the purposes of

section 80.1 of the Family Law Act may be commenced by filing Form C 1 accompanied with an affidavit in Form C 2.

(3) Rule 75(3) and (4) apply to applications referred to in subrule (1).

(4) For the purpose of establishing whether an application referred to in subrule (1) was made within 6 months after the grant, the relevant date is the date of filing of the Form C 1 under that subrule. AR 10/2012 s17 Powers of the court 70.2 For greater certainty, on an application under this Division the powers of the court include those set out in rules 62, 64, 66, 68, 69, 70, 77(4) and 90. AR 10/2012 s17 Parties, etc. 70.3 Rules 56, 83, 85, 88 and 91 apply to applications under this Division. AR 10/2012 s17 Service 70.4 Subject to

section 91 of the Wills and Succession Act, service of an application under this Division must be made on the persons listed in rule 57 who are interested in the estate and the application, if any, or as otherwise directed by the court. AR 10/2012 s17 Notice 70.5 Notice of an application under this Division must be given to the persons required to be served under rule 70.4 in accordance with rule 61. AR 10/2012 s17 Rules that apply to service of documents 70.6 Rules 59 and 60 apply to the service of documents under this Division. AR 10/2012 s17 Proceedings in chambers 70.7 Rule 63 applies to an application under this Division. AR 10/2012 s17

Rule 70.8 AR 130/95 SURROGATE RULES 39 Witness fees 70.8 Any person who appears as a witness at a hearing under this Division (

a) is entitled to an allowance in accordance with

Schedule B, Division 3 of the Alberta Rules of Court (AR 124/2010), and (

b) may be given a preparatio n allowance and any additional allowances in amounts specified by the court. AR 10/2012 s17 Disclosure of financial information in family maintenance and support applications 70.9(1) Subject to subrule (3), a family member who receives a request under

section 95(2)(

a) of the Wills and Succession Act must provide the family member, personal representative or other person making the request with the following financial information: (

a) an affidavit respecting the family member’s income, assets and liabilities, including (

i) assets held jointly, (ii) any property or benef it that the family member expects or claims by reason of the deceased’s death to receive under the Family Property Act, the Dower Act,

Part 5, Division 2 of the Wills and Succession Act or otherwise, and (iii) any interest in an es tate, whether vested or contingent; (

b) a copy of every personal income tax return filed by the family member for each of the 3 most recent taxation years or, if a tax return has not been filed for the previous year, a copy of the family member’s T4, T4A and all other relevant tax slips and statements disclosing any and all sources of income for the previous year; (

c) a copy of every notice of assessment or reassessment issued to the family member for each of the 3 most recent taxation years, or a copy of the Canada Revenue Agency printout of the last 3 years’ income tax returns; (

d) if the family member is an employee, a copy of each of the family member’s 3 most recent statements of earnings indicating total earnings paid in the year to date, including overtime or, where such a statement is not provided by the

Rule 70.9 AR 130/95 SURROGATE RULES 40 employer, a letter from the employer setting out that information and the rate of annual salary or remuneration; (

e) if the family member rece ives income from employment insurance, social assistance, a pension, workers’ compensation, disability payments, dividends or any other source, the most recent statement of income indicating the total amount of income from the applicable source during the current year or, if such a statement is not provided, a letter from the appropriate authority stating the required information; (

f) if the family member is a s tudent, a statement indicating the total amount of student funding received during the current academic year, including loans, grants, bursaries, scholarships and living allowances; (

g) if the family member is self-employed in an unincorporated business, (

i) particulars of every payment issued to the family member during the 6 most recent weeks from any business or corporation in which the family member has an interest or to which the family member has rendered a service, (ii) the financial statements of the family member’s businesses or professional practices for the 3 most recent taxation years, and (iii) a statement showing a breakdown of all salaries, wages, management fees or other payments or benefits paid to the family member or to individuals or corporations with whom the family member does not deal at arm’s length for the 3 most recent taxation years; (

h) if the family member is a partner in a partnership, confirmation of the family member’s income and draw from, and capital in, the partnership for its 3 most recent taxation years; (

i) if the family member has an interest of 1% or more in a privately held corporation, (

i) the financial statements of the corporation and any subsidiaries of it for its 3 most recent taxation years, (ii) a statement showing a breakdown of all salaries, wages, management fees and other payments or benefits paid to the family member, or to individuals

Rule 70.9 AR 130/95 SURROGATE RULES 41 or corporations with whom the corporation, and every related corporation, does not deal at arm’s length for the 3 most recent taxation years, and (iii) a record showing the fa mily member’s shareholder’s loan transactions for the past 12 months; (

j) if the family member is a b eneficiary under a trust, a copy of the trust settlement agreement and copies of the trust’s 3 most recent financial statements; (

k) copies of all bank account st atements solely or jointly in the family member’s name for the past 6 months; (

l) copies of credit card stat ements for all credit cards solely or jointly in the family member’s name for the past 3 months; (

m) copies of the most recent statements for all RRSPs, TFSAs, RRIFs, insurance policies, pensions, term deposit certificates, guaranteed investment certificates, stock accounts, stock options, including deferred compensation units, and other investments or holdings in the family member’s name or in which the family member has an interest; (

n) copies of any family property agreement, minutes of settlement, judgments or orders the family member had with the deceased relating to the division of property, spousal support or child support obligations; (

o) the family member’s monthly budget of expenses.

(2) Subject to subrule (3), a personal representative of a deceased’s estate who receives a request under

section 95(2)(

b) of the Wills and Succession Act must provide the family member or other person making the request with the following financial information if it is or may reasonably be expected to be in the possession of the personal representative: (

a) an inventory of property and debts in Form GA2; (

b) a description and appraisal or valuation of any property owned by the deceased or in which the deceased had an interest at the time of death; (

c) a list of all bank accounts or other property held jointly by the deceased at the time of death; (

d) a list, including a state ment of value, of all RRSPs, TFSAs, RRIFs, insurance policies, pensions, term deposit

Rule 71 AR 130/95 SURROGATE RULES 42 certificates, guaranteed investment certificates, stock accounts, stock options, including deferred compensation units, and other investments or holdings in the deceased’s name at the time of death, and the names of any designated beneficiaries in relation to them; (

e) if the deceased at the time of death was the beneficiary of a trust or held a power of appointment over property, a description of the property, its value and the disposition of the property; (

f) copies of any family prope rty agreement and any minutes of settlement, judgments or orders the deceased had relating to the division of property or spousal support or child support obligations; (

g) a copy of all terminal tax returns for the deceased’s esta te; (

h) a description of any other p roperty in which the deceased had an interest at the time of death.

(3) No document is required to be disclosed under subrule (1) or (2) unless the document is relevant and material to the determination of maintenance and support in the application.

(4) A person who has been requested to provide financial information under

section 95 of the Wills and Succession Act must do so within (

a) one month if the person resides in Canada, or (b) 2 months if the person re sides in a country other than Canada.

(5) An application under

section 95(4) or (5) of the Wills and Succession Act may be made by filing and serving Forms C 1 and C 2 in accordance with rules 60 and 61 on the person who was requested to provide the financial information. AR 10/2012 s17;156/2019;37/2020;243/2021 Division 2 Proceedings on Caveats Caveat against issue of grant 71(1) A person may file a caveat under

section 46 of the Estate Administration Act in Form C3 against the issue or resealing of a grant.

(2) The clerk must send a copy of any caveat filed with respect to an estate to the applicant for a grant in respect of that estate.

Rule 72 AR 130/95 SURROGATE RULES 43

(3) If a caveat expires or is withdrawn or discharged, an application for a grant becomes a non-contentious matter and must be continued under

Part 1. AR 130/95 s71;44/2015 Warning to caveator 72 An applicant for a grant may file and serve on a caveator a warning in Form C4. Objection to grant 73(1) A caveator may file a notice of objection in Form C9 to a grant being issued under

Part 1 and serve it on the applicant within 10 days after the caveator is served with the warning.

(2) Despite subrule (1), a caveator may apply to the court for an order extending the time within which the caveator must file and serve a notice of objection.

(3) If a caveator files and serves a notice of objection within the time allowed, the application must be continued under Division 3.

(4) If a caveator does not file and serve a notice of objection within the time allowed, the clerk must discharge the caveat and the application for a grant must be continued under

Part 1. AR 130/95 s73;165/2010;44/2015;139/2023 Frivolous or vexatious caveat 74(1) Despite rule 73, if a caveator files and serves a notice of objection to an informal grant, the applicant may apply for an order that the caveat is frivolous or vexatious and that the caveat be discharged.

(2) If the court determines that a caveat is frivolous or vexatious, the court may order that the caveat be discharged and award costs against the caveator.

(3) If the court determines that a caveat is not frivolous or vexatious, the application for a grant must be continued under Division 3.

(4) If the court determines that a caveat is not frivolous or vexatious but that it should be discharged in the circumstances of the estate, the court may order that the caveat be discharged. AR 130/95 s74;44/2015

Rule 75 AR 130/95 SURROGATE RULES 44 Division 3 Formal Proof of a Will Applications 75(1) A personal representative or a person interested in the estate may apply to the court (

a) to obtain formal proof of a will, whether or not an application for a grant has been made under

Part 1; (

b) to set aside a gr ant issued under

Part 1 and require formal proof of the will; (

c) to prevent the issue of a g rant under

Part 1 and require formal proof of a will; (

d) to obtain an order that t he deceased died intestate; (

e) to request the appointment of a personal representative; (

f) to request the appointment of a personal representative other than the one appointed by a grant issued under

Part 1; (

g) to restrain a personal representative from exercising any powers during an application under this subrule; (

h) to appoint a special persona l representative to conduct an application under this subrule.

(2) The court may order a person to apply for an order under subrule (1).

(3) An application under subrule (1) operates to stay proceedings under an application under

Part 1.

(4) If an application under subrule (1) is filed, a personal representative appointed by a grant issued under

Part 1 must not distribute any of the property of the estate unless (

a) the court approves the distribution, or (

b) all persons interested in the estate consent to the distribution.

(5) Subject to subrule (4), if an application is filed to appoint a personal representative under this Part and to restrain a personal representative appointed by a grant issued under

Part 1 from acting, the personal representative appointed by the grant issued under

Part 1 must not exercise any of the powers of a personal

Rule 76 AR 130/95 SURROGATE RULES 45 representative during the application for formal proof of the will without the consent of the court. Original will lost or destroyed 76 If an original will is lost or destroyed, a person interested in the estate must apply for an order under rule 75 unless (

a) the applicant shows to the satisfaction of the court that

section 40 of the Alberta Evidence Act applies, or (

b) the court orders otherwise. AR 130/95 s76;251/2001 Required documents 77(1) A person may commence an application under this Division by filing the following and serving them on the persons interested in the estate: (

a) if the application is made by a personal representative, (

i) Form C5; (ii) Form C6; (iii) Form C8; (

b) if the application is made by a person interested in the estate, a notice of objection in Form C9; (

c) if the applicatio n is ordered by the court, direction by the court that the will be formally proved.

(2) If a court file has already been opened for the estate, the clerk must record all of the documents under subrule (1) in the existing file.

(3) If there is no court file, the documents under subrule (1)(

a) and (

b) are commencement documents and the clerk must open a court file.

(4) If an application under this Division is not contested or opposed, the court may make an order under this Division based on the documents filed without requiring more. AR 130/95 s77;165/2010 Persons interested in the estate 78 Despite rule 57, the classes of persons interested in an estate who may apply for an order under rule 75 are the following:

Rule 79 AR 130/95 SURROGATE RULES 46 (

a) surviving spouse or surviving adult interdependent partner; (

b) adult children; (

c) Public Trustee or any other person representing minors; (

d) trustees of represen ted adults under the Adult Guardianship and Trusteeship Act; (

e) attorneys appointed under the Powers of Attorney Act; (

f) Public Trustee when rep resenting missing persons; (

g) heirs on intestacy; (

h) personal representatives and beneficiaries in any will in respect of which an application is made under these Rules; (

i) personal representatives appointed under a prior grant issued in respect of the will; (

j) the alleged deceased if the fact of death is an issue. AR 130/95 s78;110/2001;201/2003;10/2010 Action commenced by a person interested in the estate 79(1) If a person interested in an estate files an application under this Division, a personal representative named in the will may (

a) file the documents referred to in rule 77(1)(a); (

b) renounce all right to be the personal representative of th e estate if the personal representative has not intermeddled in the estate; (

c) apply to be discharged; (

d) apply for an order that the application is frivolous or vexatious.

(2) An application under this Division or under

Part 1 is not by itself intermeddling in the estate. Special applications 80(1) If a personal representative renounces all rights or does not respond to a notice of objection in Form C9, a person interested in the estate may apply to the court for directions on how to proceed.

Rule 81 AR 130/95 SURROGATE RULES 47

(2) The court may appoint a personal representative to administer the estate and conduct proceedings under this Division until a grant is issued. Order requiring formal probate 81(1) The court may require formal proof of a will with respect to which an application is made under

Part 1 whether before or after a grant is issued.

(2) An order referred to in subrule (1) must give the reasons for requiring formal proof of the will.

(3) If an order is made under subrule (1), the personal representative or applicant, as the case may be, must file the documents required under rule 77(1)(a). Parties 82 If a personal representative renounces or fails to respond to a notice of objection in Form C9, the person filing the notice of objection is the applicant in any application to the court for further directions. Trial 83(1) The hearing in an application for formal proof of a will under this Division must be in the form of a trial before the court and must not be held in chambers, (

a) if several witnesses are n ecessary in the opinion of the court, or (

b) if the court orders a trial.

(2) If the hearing is a trial, the applicant must apply to the court in chambers for directions on the procedure to be followed at the trial.

(3) The court on application under subrule (2) may (

a) set the procedure to be fo llowed at the trial, including (

i) giving directions on pre- trial disclosure of documents and questioning, (ii) ordering the production of documents, (iii) stating the parties and their roles, (iv) ordering the representation of parties, or

Rule 84 AR 130/95 SURROGATE RULES 48 (

v) dispensing with pre-trial procedures and sending the matter straight to trial, o r (

b) despite subrule (1), order a hearing in chambers on affidavit or oral evidence or both respecting certain issues. AR 130/95 s85;107/2004;165/2010 Hearing in chambers 84(1) Despite rule 83, the hearing of an application for formal proof of a will under this Division must be in chambers if the only issue is proof of the death of the testator or proving the signing of the will or both.

(2) In subrule (1), “proving the signing of the will” means (

a) proving the fact of the testator’s signature and handwriting, (

b) proving the fact of the witnesses’ signatures, presence an d qualifications, or (

c) proving that the signing of the will complied with the Wills and Succession Act. AR 130/95 s83;107/2004;10/2012 Evidence 85(1) Evidence at a hearing in chambers referred to in rule 84 may be given by affidavit or orally or both.

(2) Any person who took instructions for the preparation of the will is compellable as a witness and subject to pre-trial disclosure and production of documents and oral questioning respecting (

a) the circumstances of that person’s involvement in the preparation of the will and of any lawyer’s retainer, (

b) the instructions given by the testator, (

c) the preparation of the will or the circumstances of its signing, or (

d) any steps taken to ascertain or record by any means the testator’s capacity or the witness’s or lawyer’s opinion concerning that capacity. AR 130/95 s84;132/2000;107/2004;165/2010

Rule 86 AR 130/95 SURROGATE RULES 49 Order of decisions 86 The court must do the following on an application for formal proof of a will: (

a) if several wills of the d eceased are in issue, consider each will in turn in the order in which they were made, beginning with the most recent; (

b) as soon as the court adm its to probate one or more wills that dispose of all of the property of the deceased, consider no further wills; (

c) if the wills admitted to pro bate do not dispose of all of the property of the deceased, consider whether an intestacy exists; (

d) if a will is opposed and an application for a declaration of intestacy is made, decide whether the will should be admitted to probate. Order of proceedings 87 In an application for formal proof of a will under this Division, (

a) the proponent of the will must be heard first and must present evidence concerning the proof of death, proof of the signing of the will and the capacity of the deceased, and (

b) the contestant must be heard next. Other proceedings 88 An application for formal proof of a will may be combined with another application to the court concerning the same estate. Witness fees 89 Any person who appears as a witness at a hearing under this Division (

a) is entitled to an allowance in accordance with

Schedule B, Division 3 of the Alberta Rules of Court (AR 124/2010), and (

b) may be given a preparatio n allowance and any additional allowances in amounts specified by the court. AR 130/95 s89;165/2010

Rule 90 AR 130/95 SURROGATE RULES 50 Powers of the court 90 On an application under this Division the court may (

a) determine the fact of death; (

b) determine whether the deceas ed died testate or intestate; (

c) determine which will of the deceased, if any, to admit to probate; (

d) determine the heirs of a deceased on intestacy; (

e) terminate any grant issued under

Part 1 appointing a personal representative; (

f) terminate the appointment of a personal representative who was appointed to make an application for formal proof of a will; (

g) issue any grant referred to in rule 10; (

h) direct the payment of costs, including penalizing any person who required formal proof of the will if it became clear during the proceedings that (

i) the application was frivolous or vexatious, (ii) the person caused undue delay, or (iii) the person had no substantial basis for requiring the scrutiny of the court; (

i) determine any other ma tter that the court considers relevant or that is incidental to the application. Order final 91(1) Subject to subrule (2), in the absence of fraud and even if a will is discovered after the court makes a decision under rule 86, a grant issued under rule 90 based on that decision is binding on all persons.

(2) A person referred to in rule 78 who was not served with notice of proceedings under this Division may apply for an order under this Division in respect of a testamentary instrument that has not been considered by the court in a prior application under this Division.

Rule 92 AR 130/95 SURROGATE RULES 51 Appeal 92 Despite rule 91, an appeal lies to the Court of Appeal from the whole or any part of an order under this Division. Return and revocation of informal grant 93(1) If an application is made under rule 75 for formal proof of a will, a personal representative who has been appointed by a grant issued under

Part 1 must return the grant to the court unless the court orders otherwise.

(2) If a personal representative does not return a grant, the court may issue an order requiring delivery of the grant to the clerk.

(3) If the court revokes a grant after proceedings for formal proof of a will are concluded, the clerk must endorse the following on the grant: Revoked by Order of M Justice on (Clerk of the Court) (seal) AR 130/95 s93;53/2001 Division 4 Proof of Death Proof of death 94(1) The court may permit a person to swear to the death of another person if there is no direct evidence of the death but there is evidence from which the death can be presumed.

(2) An application for permission to swear to the death of a person may be made (

a) in Forms C1 and C2, and (

b) without notice or on the notice the court orders.

(3) The court may declare that the death of a person is proven or presumed if the court is satisfied with the evidence and the form of the evidence presented to the court.

(4) A declaration of presumption of death made by the court must contain particulars of the following information to the extent that those particulars have been established to the satisfaction of the court: (

a) the full name of the person presumed dead, including the person’s maiden or married name, where applicable;

Rule 95 AR 130/95 SURROGATE RULES 52 (

b) the sex of the person presumed dead; (

c) the place where the death is presumed to have occurred; (

d) the date on which the death is presumed to have occurred. AR 130/95 s94;209/2007 Division 5 Claims on an Estate Contested claim 95 If a personal representative does not agree with all or part of the claim of a claimant against the estate, the personal representative must serve the claimant with a notice of contestation in Form C11. Application to court 96(1) A claimant whose claim is contested may apply to the court for an order allowing the claim and setting the amount by filing a notice of claim with affidavit in Form C12 and serving it on the personal representative.

(2) A claimant must make an application under subrule (1) within 2 months of receiving the notice of contestation under rule 95.

(3) The court may waive the time limit in subrule (2) if (

a) the claimant applies to the court for an extension of time within the 2 months, and (

b) the application is heard w ithin 5 months after receiving the notice of contestation under rule 95. AR 130/95 s96;165/2010

Part 3 Accounting Division 1 General Requirement for an accounting 97(1) A personal representative must give an accounting of the administration of the estate at regular intervals (

a) by preparing financial statements showing the property and money received and the property distributed and the

Rule 98 AR 130/95 SURROGATE RULES 53 money paid out respecting the administration of the estate, and (

b) by giving the financial statements to the beneficiaries.

(2) Unless the court orders a longer or shorter period, a personal representative must give an accounting of the administration of the estate every 2 years after the date of death or the date of the end of the latest period for which an accounting is given.

(3) The court may require, or a person interested in the estate may apply to the court for an order requiring, the personal representative to give an accounting of the administration of the estate at any time.

(4) A beneficiary of only a specific gift under a will (

a) is entitled to an accounting that is in respect of only that gift, and (

b) who has received that gift may not apply for an order under subrule (3). Contents of financial statements 98(1) The financial statements respecting an estate must include the following: (

a) an inventory of property and debts at the beginning and end of the accounting period; (

b) a statement of all propert y and money received during the accounting period showing whether it is capital or income; (

c) a statement of all property distributed and money paid out during the accounting period showing whether it is capital or income; (

d) a statement of all changes to property made and all debts of the estate paid or incurred by the personal representative during the accounting period; (

e) a statement of all expenses incurred or paid during the accounting period; (

f) in the case of a final passi ng of accounts, a statement of anticipated receipts and disbursements; (

g) a reconciliation, where n ecessary, showing the items required to balance the opening net value of the estate with the closing net value of the estate;

Rule 99 AR 130/95 SURROGATE RULES 54 (

h) a distribution schedule, including interim distributions a nd the proposed final distribution, if appropriate; (

i) a proposed compensation

schedule for the personal representative showing the basis on which it is calculated and its allocation to income or capital.

(2) The financial statements may be separate or combined as long as they can be followed clearly.

(3) The financial statements may be in any format, and each entry may be numbered consecutively.

(4) If the will or other trust instrument specifies separate capital and income interests, the financial statements must distinguish entries respecting capital from entries respecting income.

(5) The court, at any time, may require further financial statements or more particulars with respect to the financial statements presented. AR 130/95 s98;132/2000 Acceptable documentation 99 The following documentation is sufficient to confirm ownership by the estate of the property referred to: (

a) in the case of publicly t raded securities and commercial paper, (

i) a certificate, or (ii) a letter from a deal er registered under the Securities Act, a bank or a trust corporation, whether registered under the Loan and Trust Corporations Act or not, carrying on business in any jurisdiction in Canada stating that the dealer, bank or trust corporation is holding securities for the estate, either by having them in its possession, through a securities depository or by some other means that is in accordance with current practice in the industry; (

b) in the case of pr ivate company shares, (

i) a certificate, or (ii) a letter from a duly authorized officer of the company or from the company’s lawyer confirming the holding;

Rule 100 AR 130/95 SURROGATE RULES 55 (

c) in the case of bank balan ces, cash, term deposits, treasury bills, annuities, pensions, retirement plans, royalty trusts, and similar property, (

i) a certificate or sta tement of account, or (ii) a letter from a financial institution stating that the financial institution is holding property for the estate, either by having it in its possession, through a securities depository, or by some other means that is in accordance with current practice in the industry; (

d) in the case of household goods and personal effects, (

i) a letter or bill of lading from any depository where the goods or effects are stored, or (ii) an inventory, the accuracy of which is attested to by the personal representative, indicating possession of the goods or effects on behalf of the estate; (

e) in the case of real property, a current certified copy of the certificate of title. Division 2 Releases Releases 100(1) A personal representative may, on the presentation of accounts to the residuary beneficiaries, obtain releases in Form ACC 12 from the residuary beneficiaries.

(2) The releases obtained under subrule (1) need not be filed. Effect of release 101 A personal representative may rely on a release for confirmation that, in the opinion of the residuary beneficiary giving the release, (

a) the accounting in respect o f the estate presented to the beneficiary is satisfactory; (

b) the personal representative may be compensated as set out in the statement of compensation included in the financial statements; (

c) the personal representative may distribute the estate in accordance with the statement of distribution included in the financial statements.

Rule 102 AR 130/95 SURROGATE RULES 56 Bond 102 Releases obtained under rule 100 do not constitute the cancellation of a bond. Division 3 Dispensing with Formal Passing of Accounts Dispensing with passing accounts 103(1) A personal representative may apply for an order dispensing with the formal passing of the accounts and passing the accounts informally by filing the following and serving copies on the persons interested in the estate who have not given releases: (

a) Form ACC 10; (

b) Form ACC 11; (

c) the financial statements; (

d) repealed AR 306/2009 s4.

(2) A personal representative need not serve a beneficiary from whom the personal representative has received a signed release under rule 100. AR 130/95 s103;306/2009 Proceeding without notice 104 If no notice of objection is filed by a person interested in the estate or if all residuary beneficiaries have signed releases, an application under rule 103 may proceed without notice to any other person. Court order 105 Even if all the residuary beneficiaries have signed releases, the court (

a) must be satisfied with a ll the required documentation respecting the estate whether or not all the residuary beneficiaries have signed releases; (

b) may make the order applied for; (

c) may do anything it may do under rule 113.

Rule 106 AR 130/95 SURROGATE RULES 57 Objection 106(1) If any person interested in the estate objects to an application under this Division, that person must file and serve a notice of objection in Form ACC 3 in accordance with rule 114.

(2) If a notice of objection is filed, the court must hold a hearing under Division 4 on the matter. Division 4 Passing Accounts Required forms 107(1) A personal representative may apply for an order formally passing accounts by filing the following and serving copies on the persons interested in the estate who have not given releases (

a) Form ACC 1; (

b) Form ACC 2; (

c) the financial statements; (

d) repealed AR 306/2009 s5; (

e) any notice of objection in Form ACC 3.

(2) The personal representative must serve the notice of hearing attached to Form ACC 1 one month or more before the hearing. AR 130/95 s107;306/2009;165/2010 Application by person interested in estate 108(1) A person interested in an estate may apply for an order requiring the formal passing of accounts by filing the following and serving copies on the personal representative: (

a) Form ACC 6; (

b) Form ACC 7.

(2) An applicant must serve the notice of hearing attached to Form ACC 6 one month or more before the hearing.

(3) In an application by a person interested in an estate that accounts be formally passed, the person interested in the estate is the applicant and the personal representative is one class of respondent. AR 130/95 s108;165/2010

Rule 109 AR 130/95 SURROGATE RULES 58 Reply 109(1) A personal representative who is served with notice under rule 108 must file and serve a reply in Form ACC 8 10 days or more before any scheduled hearing on the applicant and all persons interested in the estate who have not given releases.

(2) In a reply, the personal representative may (

a) give an accounting to the applicant and other parties if o ne has not been given before that time, (

b) object to the application th at accounts be formally passed, or (

c) consent to the applicatio n that accounts be formally passed. AR 130/95 s109;165/2010 Withdrawal 110 If a personal representative gives an accounting pursuant to rule 109(2)(

a) that satisfies the applicant, the applicant must withdraw the application by giving a letter to that effect to the clerk and serving a copy of the letter on any of those who were served with notice of the application. Objection 111 If the personal representative objects pursuant to rule 109(2)(

b) to an application for an order requiring the formal passing of accounts, the personal representative must file an affidavit in Form ACC 9 and serve it 10 days or more before the scheduled hearing on the applicant and the persons interested in the estate who have not given releases. AR 130/95 s111;165/2010 Consent to an accounting 112(1) If a personal representative consents under rule 109(2)(

c) to an application, the personal representative (

a) must adjourn any scheduled hearing and set a new date for a hearing in accordance with subrule (2), and (

b) must serve the documents in rule 107(1) and the notice of hearing within 2 months after serving a reply under rule 109 on the persons interested in the estate who have not given releases.

(2) The new date set under subrule (1) must occur on the earlier of

Rule 113 AR 130/95 SURROGATE RULES 59 (

a) a day that is within one month after the day on which the documents are served under subrule (1), and (

b) a day that is within 4 months after the personal representative is served under rule 108(1). AR 130/95 s112;165/2010 Powers of court 113(1) The court may (

a) set a date for a hearing and direct that notice of the hearing be served on the persons specified by the court within the periods specified despite the time limits for service in rules 107, 108 and 112; (

b) direct a formal passing of one or more or all entries; (

c) reject the application; (

d) dispense with a formal pa ssing and pass the accounts on an informal basis; (

e) make any other determination that the court considers appropriate.

(2) At a hearing to pass interim or final accounts, the court may (

a) pass the accounts; (

b) vary or amend the financial statements; (

c) set the compensation for th e personal representative and give any directions in that respect; (

d) decide any matters in dispute summarily; (

e) order the trial of any matte r in dispute, set the procedure the parties must follow and set time limits if it is appropriate; (

f) appoint a person to assist the court in determining any matters on which the court requires further clarification or explanation; (

g) direct the payment of debts or charges; (

h) confirm the beneficiaries a nd their several interests and direct distribution of the estate to them; (

i) direct the substitution for or the reduction or cancellation of any bond;

Rule 114 AR 130/95 SURROGATE RULES 60 (

j) direct payment to the Pub lic Trustee or any other trustee of any money to which a minor or missing person is entitled; (

k) allow and direct payment of costs; (

l) generally dispose of a ll matters incidental to the administration of the estate to a date to be stated in the order.

(3) If the court makes an order referred to in subrule (2)(f), the order must not include an examination of maintenance payments ordered by the Court of Justice or the Court of King’s Bench other than to determine whether or not the payments have been made.

(4) On a final passing of accounts, the court, in addition to the powers referred to in subrule (2), may (

a) discharge a personal representative who is an administrator; (

b) determine whether a pers onal representative who is an executor has fully and satisfactorily accounted to a date to be stated in the order; (

c) make any other order that the court considers appropriate. AR 130/95 s113;110/2001;218/2022;76/2023 Notice of objection 114(1) In any proceedings under Division 3 or this Division, if a person interested in the estate objects to financial statements or part of them, the person must file a notice of objection in Form ACC 3 with the court and serve a copy of it on the personal representative and all persons interested in the estate 10 days or more before the scheduled hearing.

(2) In a notice of objection, the objecting person (

a) must give particulars of the objection in Form ACC 3, (

b) if there is an objection to an entry in the financial statements, must indicate the entry objected to by its number, and (

c) if there is an objection to the manner in which the personal representative has administered the estate, must state the objection.

(3) A person who does not file and serve a notice of objection may only make representations at the scheduled hearing with the permission of the court.

Rule 115 AR 130/95 SURROGATE RULES 61

(4) If a person does not appear at the scheduled hearing and has not filed and served a notice of objection as required, that person is deemed to have consented to the administration of the estate as recorded in the financial statements. AR 130/95 s114;165/2010;37/2020 Examination of accounts by professional accounting firm 115(1) The court, at any time and whether at a hearing or not, may order one or more entries in the financial statements of a personal representative to be examined by a professional accounting firm as defined in the Chartered Professional Accountants Act.

(2) The court must determine the nature, scope and extent of the professional accounting firm’s examination.

(3) The terms of the professional accounting firm’s engagement may be in Form ACC 4.

(4) The professional accounting firm’s fees, disbursements and other charges are payable out of the residue of the estate unless otherwise ordered by the court. AR 130/95 s115;37/2020 Access to records 116 A personal representative and any other person having knowledge or possession of documents relating to the administration of an estate must make all records and other pertinent documents available to a professional accounting firm engaged under rule 115 and must co-operate fully with the professional accounting firm.

AR 130/95 s116;37/2020 Report 117(1) At the end of the examination, a professional accounting firm engaged under rule 115 must file a report in Form ACC 5.1 or Form ACC 5.2 and serve a copy of the report by ordinary mail on the personal representative and on the persons interested in the estate.

(2) The court may require the professional accounting firm to appear at any hearing and give any further explanations the court needs in order to pass the accounts. AR 130/95 s117;44/2015;37/2020

Part 3.1 Electronic System

Rule 117.1 AR 130/95 SURROGATE RULES 62

Definitions 117.1 In this Part, (a) “electronic” means elect ronic as defined in the Electronic Transactions Act; (b) “electronic system” means the system established by the Minister of Justice for the purposes of creating, issuing, filing, accessing, transmitting, storing, recording, providing, serving or submitting documents or information by electronic means in respect of matters under these Rules. AR 243/2021 s28;216/2022 Application 117.2(1) This Part applies where the electronic system is used for the creation, issuance, filing, access, transmittal, storage, recording, provision, service or submission of a document or information under these Rules.

(2) Subject to subrule (3), these Rules apply in respect of the electronic system and any matter under these Rules in respect of which the electronic system is used.

(3) Where there is a conflict or inconsistency between (

a) these Rules, other than this Part, and (

b) this Part or the policies, procedures, standards and guidelines established under rule 117.4, this Part or the policies, procedures, standards and guidelines established under rule 117.4 prevail to the extent of the conflict or inconsistency. AR 243/2021 s28 Use of electronic system 117.3(1) The court may use the electronic system in respect of matters under these Rules.

(2) The court may determine the matters under these Rules in respect of which the electronic system may be used.

(3) Where these Rules require or provide for the use of a prescribed form, the information collected by that form may be collected through the electronic system in a manner other than by using the prescribed form. AR 243/2021 s28

Rule 117.4 AR 130/95 SURROGATE RULES 63 Policies, procedures, standards and guidelines 117.4 The court may establish policies, procedures, standards and guidelines in respect of the electronic system. AR 243/2021 s28 Certification 117.5(1) An individual who would otherwise be required to swear an oath or make an affirmation must certify that the information provided by the individual through the electronic system is true.

(2) An individual who makes a certification under subrule (1) may be questioned under oath or affirmation with respect to the information that was certified. AR 243/2021 s28 Electronic documents 117.6(1) A document that is required to be provided, submitted or filed in its original form may be provided, submitted or filed in electronic format using the electronic system if the document relates to a matter under these Rules in respect of which the court has determined the electronic system may be used.

(2) A document provided, submitted or filed under subrule (1) must meet the policies, procedures, standards and guidelines established under rule 117.4.

(3) If a document provided, submitted or filed under subrule (1) is a will, codicil or document incorporated by reference into a will or codicil, the original will, codicil or document incorporated by reference must be filed with the court before a grant is issued. AR 243/2021 s28 Service 117.7 A document that is required to be served may be served using the electronic system if the document relates to a matter under these Rules in respect of which the court has determined the electronic system may be used. AR 243/2021 s28

Part 4 Repealed AR 10/2010 s4.

Part 5 Transitional, Repeal and Commencement 137 to 140 Repealed AR 132/2000 s10.

Schedule 1 AR 130/95 SURROGATE RULES 64

Schedule 1 Legal and Personal Representative Compensation

Definitions 1 For the purpose of this Schedule, (a) “core legal services” are th e legal services listed in Table 1 of

Part 2 normally rendered by a lawyer for the personal representatives in connection with the administration of an estate; (b) “non-core legal services” ar e legal services listed in

Part 2 Table 2 rendered by a lawyer for the personal representatives that are in addition to the core legal services required in the administration of an estate; (c) “personal representatives’ duties” are the tasks listed in the Table in

Part 1 normally required to be performed by a personal representative in the administration of an estate; (d) “time of distribution” means (

i) when the estate property is distributable to the beneficiaries immediately on the death of the deceased, the time when distribution to the beneficiaries is complete, (ii) the time when the transfer of a minor’s property to the minor’s trustees is complete, or (iii) when the estate property is not all distributable to the beneficiaries immediately on the death of the deceased because trusts delay the final distribution, the time when distribution of immediately distributable property to the beneficiaries is complete, and transfer of the trust property to the trustees is complete.

Part 1 Personal Representatives’ Compensation Determination 1(1) Personal representatives may receive fair and reasonable compensation for their responsibility in administering an estate by performing the personal representatives’ duties.

Schedule 1 AR 130/95 SURROGATE RULES 65

(2) Compensation paid to a personal representative is for all the services performed by the personal representative to complete the administration of the estate including distribution of the estate.

(3) A personal representative may receive compensation for the care and management of property in an estate only if (

a) there is no outright distribution of that estate property at the date of death, and (

b) the trust is not varied by agreement among the affected beneficiaries or by the court. Factors to be considered 2 The following factors are relevant when determining the compensation charged by or allowed to personal representatives: (

a) the gross value of the estate; (

b) the amount of revenue r eceipts and disbursements; (

c) the complexity of the work involved and whether any difficult or unusual questions were raised; (

d) the amount of skill, labour, responsibility, technological support and specialized knowledge required; (

e) the time expended; (

f) the number and complexity of tasks delegated to others; (

g) the number of personal representatives appointed in the will, if any. Additional compensation 3 Additional compensation may be allowed when personal representatives (

a) are called upon to perform additional roles in order to administer the estate, such as exercising the powers of a manager or director of a company or business, (

b) encounter unusual difficulties or situations, or (

c) must instruct on litigation. Compensation fixed in will 4 If the compensation payable to the personal representative is fixed in a will, no greater amount can be charged or allowed unless

Schedule 1 AR 130/95 SURROGATE RULES 66 the fixed amount is varied by agreement among the affected beneficiaries or by order of the court. Compensation to be shared 5 The compensation once determined must be shared among the personal representatives in proportions agreed to among the personal representatives or as ordered by the court. Pre-taking compensation 6(1) Personal representatives may be paid compensation before completing the administration of the estate if (

a) the will provides for it, (

b) all the affected benef iciaries agree to it, or (

c) the court orders it.

(2) If all or any part of the amount of compensation paid to a personal representative under subrule (1) is later reduced by the court, the personal representative must repay the disallowed amount immediately to the estate with interest at a rate and for a period set by the court. Lawyer performs personal representatives’ work 7 If a lawyer or other agent performs some or all of the duties of the personal representative, the amount payable to the personal representative must be reduced commensurately.

Schedule on accounting 8 If a personal representative is required to give the beneficiary of an estate an accounting in which compensation to the personal representative is shown, the personal representative must give the beneficiary a copy of this Part. Expenses 9 Personal representatives are entitled to reimbursement for expenses properly incurred by them in the administration of the estate, including the following: (

a) expenses reasonably incurred by the personal representatives in carrying out their duties; (

b) fees or commissions to ag ents, including lawyers, accountants, real estate agents, securities brokers, investment advisors, appraisers, auctioneers and other

Schedule 1 AR 130/95 SURROGATE RULES 67 professionals, engaged to perform estate administration services or to buy or sell estate property.

Table Personal Representatives’ Duties 1 Making arrangements for the disposition of the body and for funeral, memorial or other similar services. 2 Determining the names and addresses of those beneficially entitled to the estate property and notifying them of their interests. 3 Arranging with a bank, trust company or other financial institution for a list of the contents of a safety deposit box. 4 Determining the full nature and value of property and debts of the deceased as at the date of death and compiling a list, including the value of all land and buildings and a

summary of outstanding mortgages, leases and other encumbrances. 5 Examining existing insurance policies, advising insurance companies of the death and placing additional insurance, if necessary. 6 Protecting or securing the safety of any estate property. 7 Providing for the protection and supervision of vacant land and buildings. 8 Arranging for the proper management of the estate property, including continuing business operations, taking control of property and selling property. 9 Retaining a lawyer to advise on the administration of the estate, to apply for a grant from the court or to bring any matter before the court. 10 Applying for any pensions, annuities, death benefits, life insurance or other benefits payable to the estate. 11 Advising any joint tenancy beneficiaries of the death of the deceased. 12 Advising any designated beneficiaries of their interests under life insurance or other property passing outside the will. 13 Arranging for the payment of debts and expenses owed by the deceased and the estate.

Schedule 1 AR 130/95 SURROGATE RULES 68 14 Determining whether to advertise for claimants, checking all claims and making payments as funds become available. 15 Taking the steps necessary to finalize the amount payable if the legitimacy or amount of a debt is in issue. 16 Determining the income tax or other tax liability of the deceased and of the estate, filing the necessary returns, paying any tax owing and obtaining income tax or other tax clearance certificates before distributing the estate property. 17 Instructing a lawyer in any litigation. 18 Complying with the requirement for filing an acknowledgment of trustee(

s) before distributing any property to a trustee. 19 Preparing the personal representative’s financial statements, a proposed compensation

schedule and a proposed final distribution schedule. 20 Distributing the estate property in accordance with the will or intestate succession provisions.

Part 2 Lawyers’ Compensation Categories of service 1 A lawyer may charge fees for the following categories of legal services in the administration of estates: (

a) core legal services; (

b) non-core legal services. Personal representatives’ duties 2 A lawyer may charge fees for legal services that involve carrying out personal representatives’ duties. Agreement 3(1) The lawyer and the personal representatives must agree to the categories of service that the lawyer will perform and to an arrangement or amount for each category of fees, disbursements and other charges.

(2) The fees agreed to must cover, up to the time of distribution of the estate, (

a) all the core legal services or non-core legal services,

Schedule 1 AR 130/95 SURROGATE RULES 69 (

b) any personal representatives’ duties required to be performed by the lawyer, and (

c) any other services required to be performed by the lawyer. Lawyer as personal representative 4 When a lawyer is also appointed as the personal representative under a grant, the lawyer may charge additional fees for any core and non-core legal services performed by the lawyer as a lawyer. Factors to be considered 5 The following factors are relevant when determining the fees charged by or allowed to a lawyer: (

a) the complexity of the work involved and whether any difficult or novel questions were raised; (

b) the amount of skill, labour, responsibility and specialize d knowledge required; (

c) the lawyer’s experience in estate administration; (

d) the number and importance of documents prepared or perused; (

e) whether the lawyer performed services away from the lawyer’s usual place of business or in unusual circumstances; (

f) the value of the estate; (

g) the amount of work performed in connection with jointly held or designated assets; (

h) the results obtained; (

i) the time expended; (

j) whether or not the lawyer and the personal representative concluded an agreement and whether the agreement is reasonable in all the circumstances. Disbursements 6 Reasonable costs incurred by a lawyer as disbursements and other charges in performing services in any category are allowed in addition to any fees charged.

Schedule 1 AR 130/95 SURROGATE RULES 70 Statement of fees and disbursements to be in writing 7(1) A lawyer must present a written statement of fees, disbursements and other charges to the personal representative, showing the details of the services performed, together with a copy of this Part.

(2) If the personal representative is required to give the beneficiaries of an estate an accounting in which legal fees are shown, the personal representative must give them a copy of this Part. Taxing accounts 8(1) The lawyer or the personal representative may have the lawyer’s account reviewed by the review officer under the Alberta Rules of Court (AR 124/2010).

(2) The review officer or the court may review fees, disbursements and other charges and may increase or decrease any of them. Table 1 Core Legal Services 1 Receiving instructions from the personal representatives. 2 Giving the personal representatives information and advice on all matters in connection with the administration of the estate, including the following: (

a) the basis for the lawyer’s fees for the different categori es of legal services; (

b) the basis for the personal representatives’ compensation and preparation of the proposed compensation schedule; (

c) providing a copy of this

Schedule to the personal representatives. 3 Reviewing the will or the provisions of

Part 3 of the Wills and Succession Act with the personal representative. 4 Receiving information from personal representatives about the following: (

a) the deceased; (

b) the beneficiaries; (

c) the estate property;

Schedule 1 AR 130/95 SURROGATE RULES 71 (

d) the deceased’s debts; (

e) m i n o r s . 5 Obtaining details of all the property and debts of the deceased for the purposes of an application to the court, including the following: (

a) the full nature and value o f the property of the deceased as at the date of death including the value of all land and buildings and a

summary of outstanding mortgages, leases and any other encumbrances; (

b) any pensions, annuities, death benefits and any other benefits; (

c) any debts owed by the deceas ed as at the date of death; (

d) preparing all required documents for grant applications; (

e) preparing notices to all beneficiaries; (

f) arranging for surviving spouse or surviving adult interdependent partner to receive notices under

Part 5, Division 2 of the Wills and Succession Act and under the Family Property Act, if necessary; (

g) arranging for family membe rs to receive notices under

Part 5, Division 2 of the Wills and Succession Act, if necessary; (

h) attending on signing of application for grant, filing with the court, payment of fees and dealing with the clerk; (

i) advising the Public Trustee, if necessary; (

j) receiving the grant. 6 Preparing documents to advertise for claimants, arranging for advertising and obtaining affidavit of publication. 7 Preparing declarations of transmission and powers of attorney for stocks and bonds transferrable under the Alberta grant. 8 Preparing transmission and transfer documents for land transferrable under the Alberta grant. 9 Preparing all other documents required to transmit and transfer property transferrable under the Alberta grant. 10 Advising the personal representatives on any trusts required by the will.

Schedule 1 AR 130/95 SURROGATE RULES 72 11 Advising the personal representatives to prepare and file tax returns. 12 Confirming receipt of clearance certificates from Revenue Canada. 13 Submitting personal representatives’ financial statements for approval to the beneficiaries on an informal basis. 14 Preparing releases and acknowledgments of trustee(

s) and obtaining and filing them if so instructed by the personal representatives. 15 Generally advising the personal representatives on all matters referred to in this Table. Table 2 Non-core Legal Services 1 Acting as conveyancing lawyer on any sale of land. 2 Acting as lawyer on the sale of other property or businesses. 3 Preparing personal representatives’ financial statements for submission to residuary beneficiaries. 4 Preparing all documents and acting for the personal representatives in any court proceedings involving the estate, including but not limited to the following: (

a) formal proof of a will; (

b) formal passing of accounts; (

c) all other contentious matters. 5 Negotiating with any taxing authorities in Alberta or elsewhere with respect to the assessment and payment of any taxes or duties levied against the deceased, the estate or the beneficiaries and preparing all documents in connection with the negotiations. 6 Arranging to obtain a resealed or ancillary grant in another jurisdiction. 7 Preparing all documents and obtaining a resealed or ancillary grant in Alberta. 8 Preparing all documents and obtaining a grant of double probate.

Schedule 2 AR 130/95 SURROGATE RULES 73 9 Preparing all documents and obtaining a grant of trusteeship of minors’ estates. 10 Dealing with any claims by claimants. 11 Setting up any trusts required by the will and arranging for the reimbursement of the trustees for services rendered to the trusts. 12 Identifying property not forming part of the estate but passing by survivorship or passing directly to a named beneficiary outside the will, including (

a) preparing documentation to transfer land and other property held in joint tenancy to the surviving tenants; (

b) preparing documentation to pass property to designated beneficiaries outside the will. 13 Arranging for any other legal services not included in Table 1. 14 Generally advising the personal representative on all matters referred to in this Table. AR 130/95 Sched.1;201/2003;101/2010;165/2010;10/2012; 156/2019;139/2023

Schedule 2 Court Fees 1(1) For each application for a grant, excluding an application for a grant of double probate, supplemental grant, grant of administration of unadministered property or trusteeship, and including one certified copy of the document, where the net value of property in Alberta is (a) $10 000 or under $ 35 (

b) over $10 000 but not more than $25 000 $ 135 (

c) over $25 000 but not more than $125 000 $ 275 (

d) over $125 000 but not more than $250 000 $ 400 (

e) over $250 000 $ 525 (2),

(3) Repealed AR 71/2015 s2. 2 Except items referred to in

section 1, for documents that require the opening of a court file respecting an estate $ 300

Schedule 2.1 AR 130/95 SURROGATE RULES 74 3 For each application for trusteeship $ 300 4 For each application for a grant of double probate, supplemental grant or grant of administration of unadministered property $ 300 5 For each caveat filed $ 300 5.1 For an application in the course of an action or proceeding respecting an estate or trusteeship $100 6 For each certified copy of a document other than the initial certified copy $ 20 7 For each search $ 25 8 For a photostatic copy or faxed copy, per page $ 1 AR 130/95 Sched.2;132/2000;71/2015;243/2021; 94/2025;80/2026

Schedule 2.1 Forms — Grants and Minors’ Property Act Applications Form GA1 Grant Application Court Court of King’s Bench of Alberta (Surrogate Matter) Judicial Centre Estate Name Address for Service and Contact Information for Party Filing this Document __________________________________________________________

Part 1 — The Deceased 1.1 Information about the Deceased Please provide the following information about the Deceased: Full legal name Other names known by □ Not applicable Court File Number

Schedule 2.1 AR 130/95 SURROGATE RULES 75 Date of birth (mm/dd/yyyy) Date of death (mm/dd/yyyy) Was the Deceased habitually resident in Alberta? □ Yes □ No If the answer to the above question is “yes”, please enter the address of the Deceased’s habitual residence in Alberta below: If the answer to the above question is “no”, please answer the following questions: What was the province (or other jurisdiction) of the Deceased’s habitual residence? Did the Deceased own property in Alberta?

If the answer to the above question is “yes”, please enter the address(es) of the property in Alberta owned by the Deceased below: □ Yes □ No Did the Deceased leave a will? □ Yes □ No 1.2 Net value of the Deceased’s estate in Alberta Use the inventory (Form GA2) to calculate the net value of the Deceased’s estate in Alberta. Check the box below that corresponds to the net value of the Deceased’s estate in Alberta. If the inventory describes the value of any of the Deceased’s assets as “to be determined”, indicate this below by checking the box.

If part of the Deceased’s estate has already been administered under the authority of a prior grant, check the box below that corresponds to the net value of the Deceased’s unadministered property. This information is used to calculate the applicable Court fee for issuing the grant. Residuary beneficiaries and other interested parties will receive more detailed information about the Deceased’s estate in the inventory that will be served on them by the Applicant(s). □ $10,000 or under Check if applicable: □ The inventory (Form GA2) describes the values of one or more of t

Document details

Collection	Alberta — Regulations
Citation	Alta. Reg. 130/1995
Type	regulation
Volume / chapter	1995 130
Language	en
Format	pdf
Source	PROVINCIAL
Identifier	cb7c89f09d2e71db4637b2b2762709e834b8ef55

Source file is stored in the law ingest library (pdf).