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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