[30 Pa.B. 6549]
[Continued from previous Web Page]
ORPHANS' COURT DIVISION RULE 12.16C Rule 12.16C. Minors; Allowances.
A petition for allowance pursuant to Section 5164 of the PEF Code, shall set forth:
(a) the name, address and age of the minor, the person with whom the minor resides, and the date of appointment and qualification of the minor's guardian;
(b) the names and addresses of the minor's living parents, their incomes and whether their incomes are sufficient to support and maintain their children;
(c) the present net value and kind of the minor's estate, whether real or personal, the net income therefrom during the six months preceding the petition, and any other information respecting principal and income which may be of advantage to the Court in fixing the amount to be authorized for the specific purpose;
(d) whether any person has made any provision by will or otherwise for the education and support of the minor and, if so, a copy thereof;
(e) all previous allowances by decree;
(f) the school or institution which it is proposed the minor shall attend and how the desired allowance shall be paid; and
(g) a recommendation to the Court of an amount that should be allowed.
ORPHANS' COURT DIVISION RULE 12.16D Rule 12.16D. Termination of Trusts.
A petition for the termination of a trust in whole or in part, and for the transfer of personal property and conveyance of real estate held in trust, to the appropriate persons shall set forth the following:
(a) the name and residence of the testator or settlor, the terms of the trust, and any known reason, not expressed in the deed, trust instrument or will, why the trust was created;
(b) the names and address of all parties who are or possibly may be parties in interest, whether they are sui juris, and if they are not sui juris, the names of their fiduciaries, if any;
(c) a description of all property impressed with the trust and whether it has been affected by an election or any other act or proceeding which would necessitate the termination of the trust;
(d) the names of all parties who have consented to the termination, and the names of all parties who have not consented to the termination; and
(e) the reason why the trust should be terminated and the absence of any reason for its continuance.
ORPHANS' COURT DIVISION RULE 12.16E Rule 12.16E. Change of Situs of Trust.
Sec. 1. Petitions. An application for transfer of situs of any testamentary or inter vivos trust shall be by petition of a trustee or any party in interest. The petition shall set forth the following:
(a) the name of the decedent or settlor and the date of the establishment of the trust estate;
(b) the names and addresses of all fiduciaries;
(c) the names and addresses of all parties in interest and whether they are sui juris and join in the prayer of the petition;
(d) a statement whether all taxes due the Commonwealth and its political subdivisions have been paid or provided for;
(e) a brief statement of the reasons why the change of situs is necessary or desirable;
(f) the name and address of a successor trustee or trustees, if appropriate, and the court which will have jurisdiction over the trust;
(g) the place where the trust instrument is recorded; and
(h) a statement of what actions will be taken in the other jurisdiction causing the appropriate court located therein to accept jurisdiction of the trust.
Sec. 2. Exhibits. Exhibits shall be attached in the following order:
(a) a copy of the instrument and all amendments thereto which created the trust;
(b) joinder of all parties who consent;
(c) acceptance of successor trustee or trustees;
(d) if the successor trustee is a corporation, a certificate of the appropriate official that the proposed trustee is authorized to transact trust business and the most recent statement of condition, including trust assets being administered;
(e) a copy of the order of the court in the new situs accepting jurisdiction over the trust.
ORPHANS' COURT DIVISION RULE 12.16F Rule 12.16F. Compromise or Settlement of Survival Actions.
Sec. 1. Petitions.
Whenever a personal representative, who has a right of action to recover damages under the Survival Statutes and who has not brought suit, wishes to compromise or settle such a claim, whether or not any claim has been made for damages under the Wrongful Death Statute, the personal representative shall present his petition to the Orphans' Court Division for approval of the compromise or settlement. The petition shall contain the following averments:
(a) the name, age, state of health, residence and date of death of the decedent and whether the decedent died testate or intestate;
(b) the name of the personal representative, the date of the personal representative's appointment, that letters were granted and duly advertised, and the amount of bond, if any;
(c) the occupation of the decedent at the time of the decedent's death, the salary and average earnings, the name of the decedent's employer and address if the decedent was not self-employed;
(d) the names of all heirs or next of kin (noting those dependent upon the decedent) and whether they are sui juris, together with the names of their guardians, if any;
(e) the names and addresses of all creditors who have or had claims against the estate, whether or not they have been paid, and, if paid, by whom;
(f) a brief recital of the facts constituting the cause of action;
(g) a statement of reason for the proposed compromise or settlement, the amount thereof, including the amount of counsel fees and legal expenses, and the proposed apportionment between the survival action and the wrongful death action, if any; and
(i) that notice of the presentation of the petition has been given to all parties in interest who do not join.
The prayer of the petition shall be for approval of the compromise or settlement.
Sec. 2. Exhibits.
The following exhibits shall be attached to the petition:
(a) a copy of the will, if any;
(b) an affidavit of service of notice;
(c) the joinder of all parties who consent.
Sec. 3. Hearing.
When the averments of the petition require it, the Court upon its own motion or upon the request of any party in interest, will set a date for hearing.
Sec. 4. Distribution.
Distribution of the amount received in compromise or settlement of a survival action shall be made in accordance with Rule 6 or Rule 12.16A of these Rules.
ORPHANS' COURT DIVISION RULE 12.16G Rule 12.16G. Petition to Settle Claims.
Sec. 1. Contents of Petition.
Where no action has been instituted, a petition by a guardian of a minor (as the term ''guardian'' is defined under Pa. R.C.P. 2026) for authority to settle a claim for damages proposed to be paid to the estate of a minor shall be verified by the guardian of the minor, shall contain a statement of the nature of the evidence relied upon to show liability, the elements of damage, the injuries sustained, and the list of expenses incurred or to be incurred. The petition shall be accompanied by the following exhibits:
(a) A statement by counsel as to such counsel's professional opinion regarding the desirability of the settlement and reasons therefor, a description of the services rendered, a description and the amount of reimbursable expenses requested, and the amount of fees requested, which, except in extraordinary circumstances, shall not exceed 33-1/3 percent of the present value of a structured settlement or 33-1/3 percent of the gross recovery of any other settlement;
(b) A statement by the attending physician as to the injuries sustained by the minor, treatment administered and the prognosis; and
(c) In property damage claims, a statement by the party who made the repairs or appraised the loss.
Sec. 2. Deposit of Funds by Order of Court.
All petitions under this Rule where the proceeds of settlement are to be deposited in a savings account or in a certificate of deposit, shall have attached to the petition an order including the following:
It is hereby ordered and decreed that the amount of $ ____ shall be deposited in the name of ____ , a minor, by counsel of record in a savings account or certificate of deposit in a federally insured bank, savings and loan association or credit union. The savings account or certificate of deposit shall be marked ''NOT TO BE WITHDRAWN UNTIL THE MINOR REACHES THE AGE OF MAJORITY OR BY FURTHER ORDER OF COURT.''
Sec. 3. Settlement of Filed Action.
For approval of a minor's claim where an action has been instituted, see Allegheny County Civil and Family Division Rule 2039.
ORPHANS' COURT DIVISION RULE 12.16H Rule 12.16H. Corporations Serving as Fiduciaries.
Sec. 1. Petitions.
Subject to the provisions of Section 6 of this Rule 12.16E, a petition of a corporation organized under the laws of the Commonwealth or of the United States having fiduciary powers, doing business for one year or longer and desiring to exercise fiduciary powers, shall set forth the following:
(a) the corporate name, the location of its business, the statutory authority for its existence, the date and purpose of its incorporation, any changes therein and the number of years it has been in operation;
(b) the names and addresses of its executive officers and directors and the stock in the petitioner held by each;
(c) the interest, direct or indirect, which the petitioner has in the capital stock of any other corporation organized for the conduct of a similar business; and the name of any corporation or group of allied persons or both holding or controlling a majority of the stock of the petitioner;
(d) if the petitioner is a national banking association, the grant of fiduciary powers to it by the Comptroller of the Currency;
(e) that the petitioner will make a deposit of the sum of $500 with the Clerk on presentation of the petition, to be used so far as necessary to pay the fees of the Examiner of Fiduciaries and will make any further deposit in excess thereof that may be ordered by the Court; and
(f) the passage of a resolution by the board of directors of the petitioner providing:
(i) that it will submit to a preliminary examination of all its books, assets and liabilities, and, if approved, will submit to all other examinations directed by the Court and will pay all costs and expenses of examination fixed by the Court;
(ii) that fiduciary funds and investments under the control of the Court will not be mingled with assets owned by the petitioner or other assets in which it has any interest except as fiduciary,
(iii) that investments made by the petitioner as fiduciary shall be so designated that the estate or trust to which such investments belong shall be clearly shown;
(iv) that uninvested capital trust funds and income to be invested shall be segregated and designated as directed by applicable state and federal law;
(v) that it will submit to the Court in January and July of each year a statement duly verified showing its financial condition at the close of business on December 31st and June 30th of each year in the form required by the Examiner of Fiduciaries;
(vi) that it accept the provisions of the Acts of Assembly relating to corporate fiduciaries now or hereafter in existence, and of all orders and rules of court relating to the petitioner;
(vii) that the petitioner will not become surety on any bond, except as otherwise allowed by law;
(viii) that designated officers will execute any and all petitions, writings and obligations necessary in the exercise of fiduciary powers and that their names and any changes therein will be filed of record with the Examiner of Fiduciaries:
(ix) that its counsel of record shall be the agent of the petitioner to receive all notices issuing from the Court; and
(x) that the gross amount loaned by it to all its officers and directors and to the firms or houses in which they may be interested, directly or indirectly, shall not exceed the amount allowed by applicable state and federal law.
(g) whether the petitioner has applied to any other court in Pennsylvania for approval to exercise fiduciary powers, and the results of any such applications.
Sec. 2. Exhibits.
Exhibits shall be attached in the following order:
(a) a certified copy of its charter, amendments and renewals;
(b) the approval of the State Banking Department or a certified copy of the certificate from the Comptroller of the Currency granting it the right to exercise fiduciary powers;
(c) a certified copy of the resolution of the petitioner embodying the allegations of Section 1(f), of this Rule;
(d) a current financial statement of the petitioner showing its total assets and liabilities in the form required by the Secretary of Banking or the Comptroller of the Currency; and
(e) the certificate of approval, or order for authority to exercise fiduciary powers by the Court of Common Pleas of the county where the corporate petitioner's principal office is located as well as all certificates of approval or orders for authority to exercise fiduciary powers which have been issued by any other court of any other county in Pennsylvania.
Sec. 3. Officer's Oath to Petition--Records for Examiner.
The petition shall be sworn to by an officer of the petitioner authorized by resolution. When the petition is presented to the Court, counsel shall deliver to the Examiner:
(a) a certified copy of the last report of the petitioner's examination by the Secretary of Banking or the Comptroller of the Currency; and
(b) a copy of the petitioner's by-laws.
Sec. 4. Preliminary Order.
Upon presentation of the petition, a preliminary order will be made in the following form:
And now, this ____ day of _____ , 20 __ , the within petition having been presented in open Court, upon consideration thereof it is ordered, adjudged and decreed that the petition be referred to ______ , Examiner of Fiduciaries, who is directed to make a report thereon to the Court.
Sec. 5. Final Order.
After examination and report by the Examiner and consideration by the Court, a final order of approval may be made in the following form:
And now, this ____ day of _____ , 20 __ , it appearing to the Court that the petition of ______ , a corporation, for authority to exercise fiduciary powers, was presented in open Court and referred to _____ , Examiner, who has filed a report, and it further appearing from such petition and report that the petitioner has complied with the applicable laws and the rules of this Court, and has subjected itself to all orders and rules of this Court hereafter to be made, upon motion of ______ , counsel for petitioner, it is ordered, adjudged and decreed that ______ be and is hereby authorized to act as fiduciary, when designated, chosen or appointed according to law.
Sec. 6. Suspension of Rule with Respect to Certain Corporations or Entities
The application of this Rule shall be suspended with respect to corporations or entities desiring to exercise fiduciary powers in Allegheny County, Pennsylvania, if such corporation or entity is one of the following:
(a) a national bank authorized to exercise fiduciary powers pursuant to 12 U.S.C. 92(a) and to perform fiduciary services in this Commonwealth;
(b) a bank, a bank and trust company, a trust company or to the extent provided under the Pennsylvania Banking Code of 1965, a savings bank which is authorized to perform fiduciary services under Section 106 of the Pennsylvania Banking Code of 1965;
(c) a federal savings bank which is authorized to exercise trust powers by the Office of Thrift Supervision pursuant to 12 U.S.C. § 1464(n); or
(d) a bank, a bank and trust company, a trust company or savings bank which is regulated by the Office of Thrift Supervision, chartered under laws of another state or territory of the United States and satisfies the requirements of Section 106(b) of the Pennsylvania Banking Code of 1965.
Such corporation or entity shall submit to the Orphans' Court a copy of its charter, and for corporations or entities described under subsection (d) above an approval letter from the Pennsylvania Department of Banking under Section 106.
Corporations or entities qualifying under any of the above requirements need not comply with the requirements of this Rule, but shall file annually with the Court a statement that they continue to be authorized to exercise fiduciary powers by their governing regulatory entity. In the event the corporation or entity has its authorization to exercise fiduciary powers revoked or suspended, the Court shall be immediately notified.
ORPHANS' COURT DIVISION RULE 12.16I Rule 12.16I. Surety Companies.
Sec. 1. Petitions.
A petition of a surety company, whether a stock company or a mutual company, having a capital and surplus of not less than $4,000,000.00, with a minimum paid-in capital of $1,000,000.00, to become surety on bonds of fiduciaries shall set forth in the following order:
(a) the corporate name, the location of its business, the statutory authority for its existence, the date and purpose of its incorporation, any changes therein, and the number of years it has been in operation;
(b) the amount, if any, of its capital stock, how paid, the number of shares issued and par value thereof;
(c) the amount of its capital and surplus;
(d) the names and addresses of its officers (excluding assistant officers), and directors and the ownership interest in the petitioner held by each;
(e) the interest, direct or indirect, which the petitioner has in the capital stock of any other corporation organized for conducting a similar business; and the name of any corporation or group of allied persons or both holding or controlling a majority of the stock of the petitioner;
(f) whether the petitioner has assumed or underwritten policies issued by any other company and in force at the date of its petition;
(g) the provision made to protect itself from excessive losses in the event of a catastrophe under employers' liability or workers' compensation contracts or otherwise;
(h) that on presentation of the petition, the petitioner will deposit a sum determined by the Court, to be used as far as necessary to pay the fees of an examiner and will make any further deposit in excess thereof that may be ordered by the Court;
(i) the passage of a resolution by the board of directors of the petitioner providing:
(1) that it will submit to a preliminary examination of its books, assets and liabilities and, if approved, will submit to all other examinations ordered by the Court and will pay all costs and expenses of examination fixed by the Court;
(2) that fiduciary property coming into its custody will not be taken out of the jurisdiction of the Court but will be managed and controlled by the company subject to orders of the court;
(3) that no suretyship will be accepted in any sum greater than allowed by any Act of Assembly of Pennsylvania;
(4) that it will submit to this Court not later than the first week of March of each year a statement duly verified showing its financial condition at the close of business on December 3lst preceding, in the form required by the Insurance Commissioner of the Commonwealth of Pennsylvania, together with a sworn or certified copy of the annual renewal certificate when issued by the Insurance Commissioner of Pennsylvania, permitting the transaction of its business within the Commonwealth;
(5) its acceptance of the provisions of the Acts of Assembly of Pennsylvania relating to surety companies now or hereafter in existence and to all final orders of court relating to the petitioner;
(6) that the names of its officers or agents authorized to execute petitions, writings, and obligations on its behalf, and any changes therein, will be filed of record in the Court with the Examiner of Fiduciaries; and
(7) that its counsel of record shall be the agent of the petitioner to receive all notices issuing from the Court.
Sec. 2. Exhibits.
Exhibits shall be attached in the following order:
(a) a certified copy of its charter with amendments and renewals;
(b) a certificate of authority to do business in Pennsylvania issued by the Insurance Commissioner;
(c) a certified copy of the resolution of the petitioner embodying the allegations of clauses (1), (2), (3), (4), (5), (6), and (7) of Sec. 1(i) of this rule;
(d) a financial statement of the petitioner showing its total assets and liabilities in the form required by the Insurance Commissioner of Pennsylvania; and
(e) a certified copy of the certificate appointing the Insurance Commissioner of Pennsylvania attorney in fact for the petitioner.
Sec. 3. Officer's Oath to Petition. Records for Examiner.
The petition shall be sworn to by an officer of the petitioner authorized by resolution to do so. When the petition is presented to the Court, counsel shall deliver to the Examiner:
(a) a copy of the last report of the petitioner made to the Insurance Commissioner of any state;
(b) a certified copy of the last report of examination by the Insurance Commissioner of any state; and
(c) a copy of the petitioner's by-laws.
Sec. 4. Preliminary Order.
Upon presentation of the petition a preliminary order will be made in the following form:
And now, _____ , 20 __ , the within petition having been presented in open court, upon consideration thereof it is ordered, adjudged, and decreed that the petition be referred to ______ , Examiner of Fiduciaries, who is directed to make a report thereon to the Court.
Sec. 5. Final Order.
After examination and report by the Examiner and consideration by the Court, a final order of approval may be made in the following form:
And now, this ____ day of _____ , 20 __ , it appearing to the Court that the petition of ______ , a corporation, for authority to become surety on bonds or undertakings, was presented in open Court and referred to ______ , Examiner, who has filed a report, and it further appearing from such petition and report that the petitioner has complied with the applicable laws and with the rules of this Court and has subjected itself to all orders and rules of this Court hereafter to be made, upon motion of ______ , counsel for petitioner, it is ordered, adjudged, and decreed that ______ be and is hereby authorized to become surety on bonds or undertakings permitted or required by law.
Sec. 6. Annual Examination Fee.
Every surety company, after approval by the Court, shall annually deposit with the Clerk a sum determined by the Court for the expenses of examination of the annual records required to be submitted under Sec. 1(i)(4) in addition to the expense of any other examination which may be required.
ORPHANS' COURT DIVISION RULE 14 Rule 14. Incapacitated Persons; Guardians.
Sec. 1. Petition Contents.
(a) A petition for the appointment of a guardian of the estate or person of an alleged incapacitated person shall set forth:
(1) the name, age, residence and post office address of the alleged incapacitated person;
(2) the names and addresses of the spouse, parents and presumptive adult heirs of the alleged incapacitated person;
(3) the name and address of the person or institution providing residential services to the alleged incapacitated person;
(4) the names and addresses of other service providers;
(5) the name and address of the person or entity whom petitioner asks to be appointed guardian;
(6) an averment that the proposed guardian has no interest adverse to the alleged incapacitated person;
(7) the reasons why guardianship is sought;
(8) a description of the functional limitations and physical and mental condition of the alleged incapacitated person;
(9) the steps taken to find less restrictive alternatives;
(10) the specific areas of incapacity over which it is requested that the guardian be assigned powers; and
(11) the qualifications of the proposed guardian.
(12) If a limited or plenary guardian of the estate is sought, the petition shall also include the gross value of the estate and the net income of the alleged incapacitated person from all sources to the extent known;
(13) the potential for conflict with regard to the issue of who will be appointed as guardian and with regard to the issue of capacity;
(14) the current status of the alleged incapacitated person (i.e. unconscious, unable to communicate due to a stroke, combative, etc.); and
(15) If an emergency guardian is sought, the petition shall also include an indication as to whether or not the condition of the alleged incapacitated person is one that will or will not be remedied within the first 72 hours.
(b) A consent, signed by the proposed guardian, shall be attached to the petition in which the proposed guardian shall agree to act as guardian of the person or the estate of the alleged incapacitated person if appointed by the Court and shall state that the proposed guardian has no interest adverse to that of the alleged incapacitated person and is not a fiduciary of any estate, trust or similar fund in which the alleged incapacitated person has an interest.
(c) The petition shall conclude with a prayer for the appointment of a guardian of the estate or person or both of the alleged incapacitated person and for the award of a citation directed to the alleged incapacitated person to show cause why he should not be adjudged an incapacitated person and why a guardian should not be appointed.
Sec. 2. Preliminary Order; Notice; Service.
(a) Upon presentation of a petition for the appointment of a guardian, the Court will enter a preliminary order awarding the citation prayed for. The form of the preliminary order shall be substantially as set out in the appendix to this Rule.
(b) Written notice of the petition and hearing, to which shall be attached the citation and a copy of the petition and preliminary order, shall be provided to the alleged incapacitated person. The written notice shall be in large type and in simple language and shall indicate the purpose and seriousness of the proceeding, the rights that can be lost as a result thereof, the date, time and place of the hearing, and that the alleged incapacitated person has the right to request the appointment of counsel, to have counsel appointed if the Court deems it appropriate, and to have such counsel paid for if it cannot be afforded. The form of written notice shall be substantially as set out in the appendix to this Rule.
(c) Personal service of the written notice, petition, citation and preliminary order shall be made on the alleged incapacitated person and the contents and terms of the petition shall be explained to such person to the maximum extent possible in language and terms the individual is most likely to understand. Service shall be no less than 20 days in advance of the hearing. In addition, notice of the petition and hearing shall be given in such manner as the Court shall direct to all persons residing within the Commonwealth who are sui juris and would be entitled to share in the estate of the alleged incapacitated person if he died intestate at that time, to the person or institution providing residential services to the alleged incapacitated person and to such other parties as the Court may direct, including other service providers. An Affidavit of Service shall be filed on or before the day of hearing.
Sec. 3. Notice of Retention of Counsel.
(a) Counsel retained by the person alleged to be incapacitated in a petition under 20 Pa.C.S.A. § 5511(A) shall enter an appearance and shall provide a copy thereof to the petitioner at least seven (7) days prior to the date set for hearing as set out in the appendix to this Rule.
(b) If petitioner does not receive notice under Sec. 3(a) that counsel has entered an appearance on behalf of the alleged incapacitated person, petitioner shall notify the Court in writing at least seven (7) days prior to the date set for hearing that the alleged incapacitated person is not represented by counsel as set out in the appendix to this Rule.
Sec. 4. Hearing.
At the time fixed for the hearing on the petition, testimony shall be submitted in support of the petition (See 20 Pa.C.S.A. §§ 5512.1, 5518 and 5518.1). The alleged incapacitated person shall be present in court at such hearing unless (1) the Court is satisfied, upon the deposition or testimony of, or sworn statement by a physician or licensed psychologist, that his physical or mental condition would be harmed by his presence; or (2) it is impossible for him to be present because of his absence from the Commonwealth.
Sec. 5. Appointment of Guardian.
(a) Findings. In all cases, the Court, upon presentation of proper proof, shall consider and make specific findings of fact as required by 20 Pa.C.S.A. § 5512(A).
(b) Final Orders. The Court shall determine whether a plenary or limited guardian of the person or estate of the alleged incapacitated person is required. The forms of final orders for the appointment of plenary and limited guardians are set out in the appendix to this Rule.
Sec. 6. Emergency Guardians.
(a) Petition. A petition for the appointment of an emergency guardian of the person or estate of the alleged incapacitated person shall both set forth the information required in 20 Pa.C.S.A. § 5511(E) and Sec. 1 of this Rule and shall be subject to the provisions of 20 Pa.C.S.A. § 5511 (including those relating to notification concerning the right to counsel and the appointment of such counsel for the alleged incapacitated person), unless the Court directs in its order setting the time of the emergency hearing that the preparation and inclusion of such information is not feasible under the circumstances. Such emergency petitions must, however, contain facts and information sufficient to enable the Court to determine that: 1) the person allegedly lacks capacity; 2) is in need of the appointment of an emergency guardian; and 3) the failure to make such appointment will result in irreparable harm to the person or estate of the alleged incapacitated person.
(b) Citation. Upon presentation of an appropriate petition for the appointment of an emergency guardian of the person or estate of an alleged incapacitated person, the Court will enter an order awarding a citation, subject to the provisions of 20 Pa.C.S.A. § 5511(A), and will direct such notice as it shall determine to be feasible in the circumstances to persons appearing to be entitled to such notice. In addition to fixing a return day for the filing of a written answer to the petition (though such written answer shall not be mandatory), the order shall also fix a time and place for hearing on the petition. The citation, together with written notice of the Petition, to which shall be attached a copy of the petition and the order, shall be served personally upon the alleged incapacitated person prior to the hearing. The forms of orders for the setting of a hearing upon a petition for appointment of an emergency guardian of the person or the estate of an alleged incapacitated person shall be substantially as provided in the appendix to this Rule.
(c) Hearing. At the time fixed for hearing on the petition for appointment of an emergency guardian, testimony shall be submitted in support of the petition (See 20 Pa.C.S.A. §§ 5513 and 5518). The alleged incapacitated person shall be present at the hearing unless: 1) the Court is satisfied, upon the deposition, testimony or sworn statement by a physician or licensed psychologist, that his physical or mental condition would be harmed by his presence, or 2) it is impossible for him to be present because of his absence from the Commonwealth.
(d) Appointment of Emergency Guardian. Upon proper proof, the Court shall make a finding of incapacity and appoint an emergency guardian of the person or estate, or both, pursuant to 20 Pa.C.S.A. §§ 5512.1 and 5513 and, if the petition is for the appointment of an emergency guardian of the estate, will fix the amount of the surety bond, if any, to be filed by the guardian. The required bond must be submitted to the Court for approval and filed in the Clerk's office before the order of appointment will be released by the Court. The emergency guardian of an alleged incapacitated person shall have only and be subject to such powers, duties, and liabilities and serve for such time as the Court in its order of appointment shall direct. The forms of orders of appointment of an emergency guardian shall be substantially as provided in the appendix to this Rule.
Sec. 7. Inventory.
Within three months after the real or personal property of the incapacitated person comes into his possession or as otherwise ordered by the Court, a guardian of the estate of an incapacitated person shall verify by oath and file with the Clerk an inventory and appraisement of personalty and a statement of real estate, and a statement of any real or personal property which the guardian expects to acquire thereafter.
Sec. 8. Reports Required of Guardian.
(a) Each guardian of an incapacitated person shall file a report with the Court at least once within the first twelve (12) months of his appointment or such earlier time as may be set by the Court and at least annually thereafter.
(b) The annual report of a guardian of the estate of an incapacitated person shall include:
(1) Assets held by the guardian and the current value thereof.
(2) All receipts and disbursements of principal and income since the date of appointment of the guardian, or, if later, since the date of the last annual report. The report shall identify expenditures which have been made since the date of appointment or, if later, the date of the last annual report, pursuant to any order for an allowance under 20 Pa.C.S.A. § 5536, or otherwise for the housing, maintenance, support medical expenses, rehabilitation, education and other needs of the incapacitated person.
(3) The estimated annual income of the assets held by the guardian and from other sources.
(4) Subject to the foregoing, an annual report may be in the form prescribed for Accounts of Guardians of the Estates of Minors under Orphans' Court Rule 6.
(5) Notice of the filing of the annual report by the guardian of an estate shall be provided to the guardian's surety, the guardian of the person if someone other than the guardian of the estate, the incapacitated person and his or her counsel, if any, and such other interested parties as the Court may direct.
The form of the Report of a guardian of the estate shall be substantially as set out in the appendix to this Rule.
(c) Within sixty (60) days of the death of the incapacitated person or an adjudication of capacity and modification of existing orders, the guardian of the estate of such incapacitated person shall file a final report with the Court. The final report shall be in the form prescribed for accounts of guardians of the estates of minors under Rule 6 of this Court and shall cover the period from the date of the appointment of the guardian of the estate to the date of death of the incapacitated person or the adjudication of capacity. Such final report shall be filed as an account of the guardian in the office of the Clerk as provided by 20 Pa.C.S.A. § 5532 and the practice and procedure concerning the filing and audit of such account, reviews, distribution and rights of distributees shall conform to the practice and procedure governing the account of a guardian of a minor as set forth in 20 Pa.C.S.A. § 5533 and Rule 6 of this Court.
(d) The annual report of guardian of the person of an incapacitated person shall include:
(1) Current address, type of placement and living arrangements of the incapacitated person, e.g.: private home, personal care facility, hospital, institution, etc.
(2) Major medical or mental problems of the incapacitated person.
(3) A brief description of the social, medical, psychological and other support services the incapacitated person is receiving.
(4) The opinion of the guardian as to whether the guardianship should continue or be terminated or modified, and the reasons therefor.
(5) The number and length of times the guardian visited the incapacitated person in the past year.
The form of the report of a guardian of the person shall be substantially as set out in the appendix to this Rule.
(e) Within sixty (60) days of the death of the incapacitated person or an adjudication of capacity and modification of existing orders, the guardian of the person shall file a final report with the Court, providing the address and type of placement of the incapacitated person as of the date of death or adjudication of capacity, number and length of times the guardian visited the incapacitated person since the last report, and the reason why the report is being filed. The form of the final report of the guardian of the person shall be substantially as set out in the appendix to this Rule.
Sec. 9. Petition for Allowance.
A petition under 20 Pa.C.S.A. § 5536 for an allowance from the incapacitated person's estate during incapacity, may be presented by the guardian or any interested party. The petition shall set forth:
(a) the name of the guardian and the date of the guardian's appointment; if the petitioner is not the guardian, the petitioner's relationship to the incapacitated person or the nature of the petitioner's interest;
(b) the nature and present value of the incapacitated person's estate and the net annual income therefrom;
(c) the address of the incapacitated person;
(d) the names and addresses of the incapacitated person's dependents, if any;
(e) a statement of all claims of the incapacitated person's creditors known to the petitioner;
(f) all previous allowances by decree; and
(g) a prayer for the allowance requested.
No order for an allowance out of an incapacitated person's estate shall be made without prior notice to the incapacitated person's guardian, if any.
Sec. 10. Sales, Mortgages, Leases, Exchanges and Options.
A petition for a sale, mortgage, lease, exchange or option of an incapacitated person's real or personal property shall comply with 20 Pa.C.S.A. §§ 3353, 5155, and 5521(B), and the applicable provisions of Rules 12.9, 12.10 and 12.11 of this Court.
Notice of a sale or other transaction under this section shall be given to all persons who are sui juris and would be entitled to share in the estate of the incapacitated person if the incapacitated person died intestate at the time the petition is presented.
Sec. 11. Small Estates.
(a) When the entire real and personal estate, wherever located, of a resident or non-resident alleged incapacitated person has a gross value of $25,000 or less, a petition to have him adjudged incapacitated shall be filed in the form prescribed in Sec. 1 of this Rule except that the appointment of a guardian of his estate shall not be requested. After the hearing on such a petition and upon presentation of the required evidence, the Court will make a finding of incapacity as to the alleged incapacitated person and may authorize the person or institution maintaining the person to receive and hold or dispose of the property of the person without the appointment of a guardian or the entry of security.
(b) Without the appointment of a guardian, any amount in cash of a resident or non-resident incapacitated person may be ordered by the Court to be deposited in one or more savings accounts in the name of the person in banks, building and loan associations or savings and loan associations insured by a federal government agency, provided that the amount deposited in any one such savings institution shall not exceed the amount to which accounts are thus insured. Every such order shall contain a provision that no withdrawal can be made from any such account except as authorized by order of Court.
Sec. 12. Foreign or Successor Guardian.
(a) A foreign guardian shall file an exemplification of the record of the foreign guardianship in the office of the Register of Wills and thereafter a petition with the Court requesting full faith and credit to be given to the foreign adjudication of incompetency. The Court will enter a preliminary order awarding a citation directed to the alleged incapacitated person and providing that at least twenty days' written notice of the proceeding be given to all persons appearing to be entitled to such notice. In addition to fixing a return day for the citation, the order shall also fix a time and place for hearing on the petition. The citation, together with a copy of the petition and order, shall be served personally on the alleged incapacitated person. Notice to other persons shall be given personally or by registered or certified mail. The forms of preliminary and final orders as approved by the Court are as provided in the appendix to these Rules.
(b) The Court, after such notice to parties in interest as it shall direct, may without a hearing appoint a succeeding guardian to fill a vacancy in the office of guardian or may appoint a co-guardian of the estate of an incapacitated person. Where the vacating guardian was a parent who is now deceased, any testamentary nominee of the parent shall be given preference by the court.
Sec. 13. Distribution of Principal (Estate Plan).
In all petitions brought under 20 Pa.C.S.A. § 5536(b), the Court will appoint a guardian ad litem to represent the interests of the incapacitated person at the hearing on the petition.
Alternate
In all petitions brought under 20 Pa.C.S.A. § 5536(b), petitioner shall (1) request the Court to appoint a guardian ad litem to represent the interests of the incapacitated person in the proceedings, or (2) assert facts and circumstances as to why such guardian need not be appointed.
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