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PA Bulletin, Doc. No. 13-1303

THE COURTS

DELAWARE COUNTY

Bail Bonds Posted by Corporate Surety

[43 Pa.B. 4067]
[Saturday, July 20, 2013]

 And Now, this 28th day of June, 2013, It is hereby Ordered and Decreed that the existing Rule 4007(e) is rescinded and shall be entirely replaced by New Rule 531(e) in accordance with the following language effective September 1, 2013.

Rescinded Rule 4007(e). Corporate Surety.

 Every surety company duly authorized to do business in Pennsylvania may become surety on any bond or obligation required to be filed in this court; provided that a currently effective certificate issued to it by the Insurance Department of the Commonwealth of Pennsylvania, evidencing such right, shall be on file with the Office of Judicial Support and provided that no bond shall be executed by any surety company after May 1 of any year unless such a certificate issued after March 31 of the same year shall have been filed with the Office of Judicial Support, and further provided that, with the exception of bonds filed by insurance companies in motor vehicle misdemeanors, any surety company shall be required to post the sum of $25,000 as security with the Office of Judicial Support.

New Rule 531(e). Corporate Surety.

 Pennsylvania Rule of Criminal Procedure 528(D)(5) recognizes the surety bond of a surety company authorized to do business in the Commonwealth of Pennsylvania as an acceptable form of security to satisfy the full amount of the monetary condition of a defendant's release on bail. Rule 531 of the Pennsylvania Rules of Criminal Procedure permits, by local rule of Court, additional requirement to be imposed on surety companies approved by the Court. This Regulation sets forth the additional requirement imposed by this Judicial District on corporate sureties and their agents.

 1. Applicability. This Regulation applies to any corporate surety and its agents seeking to post a bond in satisfaction of the full amount of the monetary condition of a defendant's release on bail.

 2. Definitions. For purposes of this Regulation:

 A ''Corporate Surety'' is any corporation, limited liability corporation or partnership which engages in the business of providing bail, providing or soliciting bail undertakings, or providing or soliciting indemnity or court indemnity to others on bail undertakings.

 3. Requirements for Approval. To become qualified to act as a corporate surety, or agent thereof, with respect to the posting of bail bonds in the Thirty Second Judicial District of Pennsylvania, a corporate surety and its agents must:

 a) Present satisfactory proof that the corporate surety is licensed by the Pennsylvania Department of Insurance to do business in the Commonwealth of Pennsylvania and registered with the Department of State.

 b) Present satisfactory proof of the agency relationship between the corporate surety and its agent(s). The execution of any bail bond by such agent(s) shall be a valid and binding obligation of the corporate surety;

 c) Present satisfactory proof that any agent designated to act on behalf of the corporate surety is duly licensed by the Pennsylvania Department of Insurance;

 d) Present satisfactory proof that the corporate surety maintains an office in Delaware County from which its business is conducted, pursuant to 42 Pa.C.S. § 5744, and where service of notices may be made. Every corporate surety shall keep at its office in Delaware County the usual and customary records pertaining to transactions authorized by its license and/or the license of any of its agents, including, but not limited to, such records of bail bonds executed or countersigned by the corporate surety to enable the court to obtain all necessary information concerning such bail bonds for at least 3 years after the liability of the surety has been terminated. Such records must be open at all times to examination, inspection, and copying by the court or its representative, and the court may at any time require the corporate surety to furnish it, in such manner or form as the court requires, any information concerning the bail bond business of the corporate surety;

 e) Certify that neither the corporate surety, nor its employees or agents, have been convicted of any criminal offense. The certification must be based on a criminal history search conducted by the Pennsylvania State Police for each employee or agent, and a copy of the search results must be attached to the list of employees or agents and certification submitted with the petition required by Section 5 of this Regulation. The on-line quick search/background check is not acceptable. Conviction of a corporate surety, or any of its employees or agents, will render the corporate surety ineligible to conduct business in the 32nd Judicial District.

 f) Post with the Office of Judicial Support as security the minimum sum of $50,000 in United States currency or unencumbered securities of the United States Government, which will entitle the corporate surety to post bond in the aggregate sum of $500,000 or post $75,000 in US currency or unencumbered securities of the US Government, which will entitle the corporate surety to post bond in the amount of $1,000,000, and by further posting the sum required for each individual bond or undertaking with the bail authority. Provided, however, that the corporate surety must post additional security with the Office of Judicial Support in the event the corporate surety intends to post bond in excess of $1,000,000. The additional security to be posted with the Office of Judicial Support must be in units of $50,000 which will entitle the corporate surety to post bond in the additional sum of $1,000,000 per unit. No interest will be paid on any deposits;

 g) Provide a financial statement certified by a Certified Public Accountant which verifies that the corporate surety has sufficient assets to satisfy all bail obligations undertaken by or on behalf of the corporate surety in the Delaware County and in other jurisdictions in which the corporate surety conducts business. A current certified statement must be filed with the petition required in Section 5 of this Regulations;

 h) Certify that only the corporate surety, which is approved by the President Judge of the Delaware County Court of Common Pleas, or his designee, upon petition as provided in this Regulation, may post bail for criminal defendant, in the name exactly as it appears on the surety's license, and not in the name of any agent or other business entity;

 i) Certify full compliance with the training and education requirements set forth in Section 7 of this Regulation;

 j) Upon approval of the petition required in Section 5 of this Regulation, register with Delaware County and pay to the Office of Judicial Support an initial registration fee of $400 plus any applicable filing fee, or such amount as may be established from time to time by the 32nd Judicial District, and County Council;

 k) Certify that neither the corporate surety nor any agent or employee of such surety, will represent itself, directly or indirectly, as an employee or agent of the Commonwealth of Pennsylvania or Delaware County. The employees and agents of the corporate surety must not wear clothing or present badges or any other form of law enforcement credentials that create the impression of employment of the Commonwealth of Pennsylvania, Delaware County or any of its units, including the Pretrial Services Unit or the Warrant Unit of Delaware County;

 l) Each applicant or licensee shall provide to the District Attorney such information as may be required concerning its business practices or business methods, or proposed business practices or methods, as a Corporate Surety. The Solicitor of Delaware County shall also be served with a copy of this information.

 m) Certify that the corporate surety, its agents and employees are in compliance with all applicable laws, regulations, rules of court and procedures and that neither the corporate surety nor any of its agents or employees are under suspension or revocation in any jurisdiction.

 4. Standards of Conduct. To remain qualified to post bond in Delaware County, the corporate surety and its agents must:

 a) Maintain compliance with the requirements specified in Section 3 of this Regulation;

 b) Provide quarterly statements certified by the corporate surety that it is in compliance with the security posting requirements specified in Section 3 of this regulation;

 c) Provide, on a quarterly basis, or as often as requested by the Common Pleas Court President Judge, or his designee, a financial statement certified by a Certified Public Accountant which verifies that the corporate surety has sufficient assets to satisfy all bail obligations undertaken by the corporate surety and all agents acting on its behalf in Delaware County and in other jurisdictions in which the corporate surety conducts business;

 d) Satisfy in full any judgment entered against a defendant, or the corporate surety, for a defendant's violation of a bail bond, within thirty (30) days of the issuance of the judgment. In the event the corporate surety fails to satisfy such judgment, the judgment will be satisfied from the funds posted with the Office of Judicial Support pursuant to Section 3 of this Regulation. In that event, the corporate surety will be prohibited from posting additional bail until such time as all judgments entered against the corporate surety are satisfied in full;

 e) Immediately notify, in writing, the Common Pleas President Judge, or his designee, and the Office of Judicial Support, if the corporate surety, or any of its employees or agents, has been charged with any criminal offense, or if its license or the license of any of its agents has been revoked, suspended or not renewed in the Commonwealth of Pennsylvania or any other jurisdiction;

 f) Certify continued full compliance with the training and education requirements set forth in Section 7 of this Regulation;

 g) Annually renew their registration with Delaware County, provide all certifications required by this Regulation and pay to the Office of Judicial Support an annual renewal registration fee of $200, on or before the anniversary date of the initial authorization to post bail, or such amount as may be established from time to time by the 32nd Judicial District and County Council.

 h) Each applicant or licensee shall provide to the District Attorney such information as may be required concerning its business practices or business methods, or proposed business practices or methods, as a Corporate Surety. The Solicitor of Delaware County shall also be served with a copy of this information.

 i) Fully comply with all laws, regulations, rules of court and procedures as may be established from time to time.

 5. Prohibited Conduct. A corporate surety and its agents may not engage in prohibited conduct, which includes the violation of any applicable statute, rule, order or regulation, or the commission of any of the following acts by corporate sureties and/or their agents:

 a) Having a license as a corporate surety, or agent thereof, revoked in this or any other state:

 b) Being involved in any transaction which shows unfitness to act in a fiduciary capacity or a failure to maintain the standards of fairness and honesty required of a fiduciary;

 c) Having any judgment entered which would reduce the surety's net worth below the minimum required for licensure;

 d) Being convicted of any criminal offense;

 e) Failing to promptly advise the President Judge of any change in circumstances which would materially affect any of the statements, information or certifications required by this Regulation;

 f) Using an unregistered agent to post bail or provide any bail undertaking on behalf of the corporate surety;

 g) Using an individual or entity not contracted and appointed by the corporate surety to post bail or provide bail undertaking on behalf of the corporate surety;

 h) Signing, executing or issuing bonds by a person or entity which is not registered as an agent of the corporate surety and/or for which there is no satisfactory proof of an agency relationship with the corporate surety:

 i) Executing a bond without the appropriate counter signature by a licensed and/or authorized agent at time of issue:

 j) Failing to account for or pay any premiums held in a fiduciary capacity;

 k) Misstating or misrepresenting any material fact in the initial petition required by this Regulation, or in any of the statements, information or certifications required by this Regulation;

 l) Failing to preserve, and to retain separately, any collateral obtained as security on any bond;

 m) Failing to return collateral taken as security on any bond to the depositor of such collateral, or the depositor's designee, within ten (10) business days of having been notified of the exoneration of the bond and upon payment of all fees owed to the corporate surety, whichever is later;

 n) Offering or providing any consideration or gratuity to any person employed by, or incarcerated in, a jail facility, any person who has the power to arrest or to hold any person in custody, or to any officer of court and attorneys to obtain or secure business;

 o) Failing to deliver to the defendant, and any person providing collateral on the defendant's behalf, prior to the time the defendant is released from jail, a one-page disclosure form which, at a minimum, must include:

 i. The amount of the bail;

 ii. The amount of the surety's fee, including bail bond premium, preparation fees, and credit transaction fees;

 iii. The collateral that will be held by the surety;

 iv. The defendant's obligations to the surety and the court;

 v. The conditions upon which the bond may be revoked;

 vi. Any additional charges or interest that may accrue:

 vii. Any co-signors or indemnitors that will be required; and

 viii. The conditions under which the bond may be exonerated and the collateral returned;

 p) Failing to provide the Delaware County Bail Agency office the fully executed one-page disclosure form required by Section 9(O) of this Regulation at the time bond is posted;

 q) Using a bail enforcement agent who has failed to comply with any of the requirements of this Regulation;

 r) Advising, requiring or suggesting that, as a condition of posting a bail bond by a corporate surety, a defendant engage the services of a particular law firm or attorney;

 s) Preparing or issuing a fraudulent or forged bail bond, power of attorney or other document;

 t) Signing, executing, issuing or posting bail bonds by an unlicensed person;

 u) Knowingly violating, advising, encouraging, aiding, abetting, or assisting the violation of any applicable statute, court order, rule or regulation;

 v) Soliciting or procuring sexual favors as a condition of obtaining, maintaining or exonerating a bail bond, regardless of the identity of the person who performs such favors; and

 w) Providing legal advice or a legal opinion in any form.

 x) Shall not post bonds if the aggregate maximum amount of unsettled and outstanding bail forfeitures, as determined by the Office of Judicial Support, equals or exceeds the authorized amounts calculated as provided above. The Office of Judicial Support shall promptly notify the President Judge, or his designee, Director of Pre-Trial Bail, District Attorney and the applicable bondsman of any corporate surety having reached this maximum limit. Immediately upon notification, no further bonds by the corporate surety are authorized or acceptable for posting. When full financial settlement has been made of the outstanding bail forfeitures, the Office of Judicial Support shall notify the President Judge, or his designee, and the applicable bondsman that posting of bonds by the corporate surety may resume;

 y) Shall not represent or identify itself, directly or indirectly, as employees or agents of the Commonwealth of Pennsylvania or Delaware County. The employees and agents of the corporate surety must not wear clothing or present badges or any other form of law enforcement credentials that create the impression of employment by the Commonwealth of Pennsylvania, Delaware County or any of its units, including the Pretrial Services Unit or the Warrant Unit of Delaware County;

 6. Process to be Utilized in Seeking Approval as a Corporate Surety.

 Any corporate surety which is licensed by the Pennsylvania Department of Insurance may seek approval to post bail in Delaware County by filing a petition and paying the filing fee with the Office of Judicial Support. The petition must provide the information, documents and certifications set forth in Section 4 of this Regulation. Upon filing, the petition shall be assigned to the President Judge, or his designee for determination.

 7. Training and Continuing Education

 To register as a corporate surety desiring to post bail in Delaware County, the corporate surety must certify that all employees and agents who will write any bail on its behalf in Delaware County, not less than thirty (30) hours of education in subjects pertinent to the duties and responsibilities of corporate sureties, including, but not limited to, all laws and regulations relating thereto, the criminal justice system, rights of the accused, bail bond industry ethics, prohibited conduct and apprehension of bail fugitives. Additionally, a corporate surety desiring to post bail in Delaware County must certify that all employees and agents who will write any bail on its behalf in Delaware County have satisfactorily completed not less than eight (8) hours of continuing education in these subjects during the year preceding any renewal of its registration in Delaware County.

 8. Bail Piece Procedure. Whenever a bail piece is used pursuant to Pa.R.Crim.P. 536(B)(2) and the defendant is apprehended by or on behalf of the corporate surety or its agents, the defendant must be brought to the George W. Hill Correctional Facility or such other location as designated by a Common Pleas Judge of the 32nd Judicial District after the filing of a petition or presentation of a warrant.

 9. Review and Monitoring. In accordance with 42 Pa.C.S. § 5747, the District Attorney of Delaware County shall be served with a copy of any petition filed pursuant to this Joint General Court Regulation and shall have the continuing power to investigate the qualification, training, character, and integrity of any Corporate Surety that seeks leave of Court to post bail for criminal defendants as provided in this Regulation, as well as the business practices and business methods of any corporate surety and its Agents who have been approved to post bail as Corporate Surety of as an Agent for the Corporate Surety in Delaware County and may, as appropriate, request, for good cause, denial or revocation of permission to post bail for criminal defendants in Delaware County. The Solicitor of Delaware County shall also be served with a copy of the petition.

 Failure to comply with any provision of this rule may result in suspension and the freezing of the surety account.

By the Court

CHAD F. KENNEY, 
President Judge

[Pa.B. Doc. No. 13-1303. Filed for public inspection July 19, 2013, 9:00 a.m.]


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