Court Opinion

ID: 9401363
Source: CourtListenerOpinion
Date Created: 2023-06-12 20:11:05.135449+00
Date Added: 2024-06-11T17:19:52.358575
License: Public Domain

Rule 14.8.   Guardianship Reporting, Monitoring, Review, and Compliance.

      (a)    Reporting. A guardian shall file the following reports with the clerk:

             (1)    An inventory by the guardian of the estate within 90 days of such
                    guardian's appointment;

             (2)    An annual report by the guardian of the estate of an incapacitated
                    person one year after appointment and annually thereafter;

             (3)    An annual report by the guardian of the person one year after
                    appointment and annually thereafter;

             (4)    A final report by the guardian of the person and the guardian of the
                    estate within 60 days of the death of the incapacitated person, an
                    adjudication of capacity, a change of guardian, or the expiration of
                    an order of limited duration; and

             (5)    A final report from the guardian of the person and the guardian of the
                    estate upon receipt of the provisional order from another state's court
                    accepting transfer of a guardianship.

[Note: See Pa.R.J.A. No. 510 governing the filing of inventories and annual reports
online using the Guardianship Tracking System.]

      (b)    Notice of Filing. If, pursuant to Rule 14.7(a)(1)(iv), the order appointing the
             guardian identifies the person or persons entitled to receive notice of the
             filing of any report set forth in [paragraph (a)] subdivision (a), the guardian
             shall serve a notice of filing within ten days after filing a report using the
             form provided in the Appendix to these Rules. Service shall be in
             accordance with Rule 4.3.

      (c)    Design of Forms. The Court Administrator of Pennsylvania, in consultation
             with the Orphans' Court Procedural Rules Committee and the Advisory
             Council on Elder Justice in the Courts, shall design and publish forms
             necessary for the reporting requirements set forth in [paragraph (a)]
             subdivision (a).

      (d)    Monitoring. The clerk or the court's designee shall monitor the
             guardianship docket to confirm the guardian's compliance with the reporting
             requirements set forth in [paragraph (a)] subdivision (a).

      (e)    Review. The court or its designee shall review the filed reports.
       (f)    Compliance. To ensure compliance with these reporting requirements:

              (1)    If any report is deemed incomplete or is more than 20 days
                     delinquent, then the clerk or the court's designee shall serve notice
                     on the guardian directing compliance within 20 days, with a copy of
                     the notice sent to the court and the guardian's counsel, if
                     represented.

              (2)    If the guardian fails to comply with the reporting requirements within
                     20 days of service of the notice, then the clerk or the court's designee
                     shall file and transmit a notice of deficiency to the adjudicating judge
                     and serve a notice of deficiency on those persons named in the
                     court's order pursuant to Rule 14.7(a)(1)(iv) as being entitled to
                     receive a notice of filing.

              (3)    The court may thereafter take such enforcement procedures as are
                     necessary to ensure compliance.

              (4)    After reasonable enforcement procedures by the court have
                     been unsuccessful, the court shall enter an order that:

                     (i)    includes an explanation of the actions taken by the court
                            to attempt enforcement of the filing requirements;

                     (ii)   includes clearly enumerated reasons why the guardian or
                            former guardian has not been compelled to comply with
                            any filing requirements; and either

                            (A)    directs that a successor guardian or designee of
                                   the court file the delinquent filing with the clerk and
                                   it shall be docketed as such by the clerk; or

                            (B)    directs the order issued by the court to be
                                   docketed by the clerk in lieu of the delinquent
                                   filing.

[Explanatory] Comment: See Pa.R.J.A. 510 governing the filing of inventories and
annual reports online using the Guardianship Tracking System.

       The reporting forms are available at http://www.pacourts.us/forms/for-the-
public/orphans-court-forms. This Rule is silent as to the manner of proceeding when
reports are deficient or warrant further investigation, or when the guardian is recalcitrant

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after being given notice by the clerk or the court's designee. In its discretion, the court
may order further documentation, conduct a review hearing, or take further action as may
be deemed necessary, including, but not limited to, removal of the guardian or contempt
proceedings. If those efforts are unsuccessful, the court shall proceed as set forth
in subdivision (f)(4).

       As used in subdivision (f)(4)(ii)(A), a “designee of the court” is an individual
who is: (1) knowledgeable about the incapacitated person and the contents of the
report; and (2) appointed by the court for the sole purpose of filing the delinquent
report that the guardian or successor guardian is unable or unwilling to file. An
attorney, accountant, or agent of the guardian or former guardian may have the
requisite knowledge to serve in this capacity.

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