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THE COURTS

Title 252—ALLEGHENY COUNTY RULES

ALLEGHENY COUNTY

Rules of the Orphans' Court Division of the Court of Common Pleas

[46 Pa.B. 4078]
[Saturday, July 30, 2016]

 The following Rules of the Orphans' Court Division of the Court of Common Pleas of Allegheny County were adopted June 9, 2016, effective September 1, 2016, as last amended December 6, 2000.

JEFFREY A. MANNING, 
President Judge

LAWRENCE J. O'TOOLE, 
Administrative Judge

Foreword

 This substantial revision of the local rules for practice in the Orphans' Court Division is the first since 2000. This version is in response to a substantially revised and more comprehensive set of Supreme Court Orphans' Court Rules, approved by the Supreme Court on December 1, 2015, to be effective September 1, 2016. This revision is the product of a committee of the Allegheny County Bar Association, consisting of John F. Meck, Esquire, Chair, Charles J. Avalli, Esquire, Thomas J. Dempsey, Jr., Esquire, Lisa M. Dougan, Esquire, Aubrey H. Glover, Esquire, Todd T. Jordan, Esquire and Paul W. Stefano, Esquire. The new rules, together with the Supreme Court Orphans' Court Rules are intended to be a comprehensive guide for practice in this division.

Lawrence J. O'Toole, Administrative Judge
Kathleen A. Durkin, Judge
Frank J. Lucchino, Senior Judge
John A. Zottola, Judge

ALLEGHENY COUNTY ORPHANS' COURT DIVISION RULES

Explanatory Comment: Explanatory Comments are not part of the Rules, but may be used in construing the Rules. See Explanatory Comment to Pa.O.C. Rule 1.2.

 All prior administrative orders and notices are null and void. ''Register of Wills'' or ''Register'' is defined in Pa.O.C. Rule 1.3 to mean ''the Register of Wills or its equivalent'' so as to include the Department of Court Records-Wills/Orphans' Court Division in Allegheny County.

CHAPTER I. PRELIMINARY RULES

ORPHANS' COURT DIVISION RULE 1.1

Rule 1.1. Short Title and Citation.

 These Rules shall be known as the Allegheny County Orphans' Court Rules, shall be referred to individually herein as ''Rule,'' and cited as ''Allegheny O.C. Rule ______ ''.

Explanatory Comment: These Rules shall be read in conjunction with the Pennsylvania Orphans' Court Rules as adopted by the Supreme Court.

ORPHANS' COURT DIVISION RULE 1.7

Rule 1.7. Entry and Withdrawal of Counsel; Agreements.

 Sec. 1. Appearance.

 Every attorney presenting any paper to the court or to the clerk shall include on the cover sheet the attorney's name, law firm, office address, and telephone number in Pennsylvania and the attorney's identification number issued by the court Administrator of Pennsylvania. Each such endorsement shall constitute an appearance. An appearance may also be entered by praecipe.

 Sec. 2. Withdrawal of Attorney Appearance.

 Leave to withdraw an appearance where there is no co-counsel who will continue representing the party or where there is not simultaneous entry of appearance by other counsel will not be granted unless, after consideration of all relevant factors, the court determines that the withdrawal will not unduly prejudice any party or unduly delay the litigation.

 Sec. 3. Agreements.

 No agreements between attorneys (and/or pro se litigants) to vary procedure will be considered valid or binding unless made in writing or of record in open court.

Explanatory Comment: Common examples of such an agreement are waiving the 10 day notice of presentation required by Section 1(c) of Rule 3.1 or an agreement with respect to discovery.

ORPHANS' COURT DIVISION RULE 1.8

Rule 1.8. Forms; Cover Sheet.

 Every legal paper filed with the court shall contain a cover sheet in the following form:

IN THE COURT OF COMMON PLEAS OF ALLEGHENY COUNTY, PENNSYLVANIA

IN RE: Estate, Trust, Minor, etc. ORPHAN'S COURT DIVISION
No.
NAME OF PLEADING
Filed on Behalf of:
Counsel of Record:
Attorney's Name
PA I.D. No.
Attorney's firm, if any
Firm I.D.
Address
Phone number
Email (optional)

CHAPTER II. ACCOUNTS, OBJECTIONS AND DISTRIBUTIONS

ORPHANS' COURT DIVISION RULE 2.1

Rule 2.1. Form of Account.

 Sec. 1. Form.

 Accounts of all fiduciaries presented for confirmation and audit, whether joint or separate, shall be prepared in any form approved by the Supreme Court or in the forms A to E of this Rule and shall be designated by consecutive numbers starting with First and shall be further designated as Interim or Final. An Account which is not in a form consistent with these Rules shall not be confirmed nisi and shall not be scheduled for audit.

 Accounts filed after confirmation nisi of an Account shall be designated Supplemental. No Account will be confirmed absolute before the disposition of all previously filed unaudited and unconfirmed Accounts unless the Account includes all matters embraced in such prior Accounts.

 Sec. 2. Copy of Inventory.

 Accounts filed by executors, administrators, and guardians under this Rule shall have attached thereto a copy of the inventory (and any supplemental inventory) certified by counsel to be a true and correct copy of the inventory filed.

 Sec. 3. Request for Distribution.

 There shall be a request for distribution signed by the accountant at the end of the Account requesting that adjudication be determined by the court in accordance with the petition for adjudication.

ORPHANS' COURT DIVISION RULE 2.4

Rule 2.4. Petition for Adjudication; Supplements/Additions.

 Sec. 1. Petition.

 The petition for adjudication shall be prima facie evidence of the allegations therein and, unless objected to by an interested party or by the court, or changed or altered by the evidence offered at the audit or subsequently with leave of court, shall be conclusive for the entry of a decree of confirmation and distribution.

 Sec. 2. Supplements.

 Receipts or disbursements received or made after filing the Account and petition for adjudication may be accounted for in a supplemental account, which shall be signed and verified by the accountant and filed with the clerk, with notice in the same manner as required by Pa.O.C. Rule 2.5(a) to (g) with respect to an Account.

Explanatory Comment: Prior local practice was to include in or attach to the petition for Adjudication any supplemental accounting of transactions after the period covered by the Account. The petition for Adjudication must now be filed at the same time as the Account, pursuant to Pa.O.C. Rule 2.4(a). Under Section 2 of Rule 2.4, any supplemental accounting will have to be filed separately, at least 20 days in advance of the audit hearing, with notice in the same manner as for the Account.

 Sec. 3. Additional Assets.

 If additional assets are discovered after audit and confirmation absolute of an account, then a signed and verified petition for the distribution of the after-discovered assets may be filed without an inventory or a formal accounting, provided that it appears in such petition that any inheritance or estate tax due on account thereof has been paid, that there are no known unpaid creditors of the estate and provided that the appropriate notice of presentation has been given. Notice shall be given in the same manner as required by Pa.O.C. Rule 2.5(a) to (g) with respect to an Account.

 Sec. 4. Minor's Estate.

 In addition to the matters required by Sec. 1 above, the petition submitted by a guardian of the estate of a person who is still a minor shall set forth the name, address and relationship of the person who assisted the minor in the examination of the account. For any petition for distribution which is filed because a minor has reached the age of majority, the petitioner shall attach a certified copy of the minor's birth record, or such other evidence of age as the court shall require.

ORPHANS' COURT DIVISION RULE 2.5

Rule 2.5. Notice of Account Filing.

 Notice shall be given to each co-fiduciary who does not join in the statement of the account, and proof thereof shall be attached to the petition for adjudication.

ORPHANS' COURT DIVISION RULE 2.6

Rule 2.6. Filing with the Clerk; Audits.

 Sec. 1 Filing with the Clerk.

 The following Accounts may be filed before four months have elapsed from the date of the first complete advertisement of the grant of letters:

 (a) An Account of an administrator pendente lite;

 (b) An Account filed pursuant to Sec. 3531 of the PEF Code, dealing with small estates;

 (c) An Account directed to be filed by the court.

 Sec. 2. Attendance at Audits.

 An accountant is not required to attend the audit if the petition for adjudication has been verified by the accountant. Claimants, objectants and all other interested parties, either personally or through their counsel, shall attend audits at the time fixed therefor to address their claims, objections or other positions.

 Sec. 3. Continuance.

 Unless otherwise ordered by the court, if a case on an audit list is continued, it shall be placed upon the next audit list by the clerk.

 Sec. 4. Audit; Confirmation; Distribution; Suspension.

 (a) Accounts confirmed nisi and any supplements thereto offered at the audit will be examined and audited by the court. After audit, the accounts will be confirmed absolutely as stated or as modified and re-stated in accordance with evidence presented at audit or at a subsequent hearing, and balances for distribution decreed to the parties or suspended as circumstances may require.

 (b) A decree of distribution may suspend distribution of any part of any fiduciary estate. In order to lift such a suspension, a petition for that purpose must be filed and a copy shall be delivered to the Motions Coordinator at least one day in advance of presentation, setting forth all receipts and disbursements since the entry of that decree. A proposed decree of distribution shall be attached to the petition.

 Sec. 5. Receipts for Distributions.

 Receipts for distribution, if obtained, may be filed with the clerk.

 Sec. 6. Schedules of Distribution.

 Schedules of Distribution shall not be used.

Explanatory Comment: Schedules of Distribution are currently utilized in Philadelphia and surrounding counties following the entry of a Decree of Distribution. Two questions on the Petitions of Adjudication (Forms OC-01 to OC-04 of the Pa.O.C. Rules) ask:

 Is the court being asked to direct the filing of a Schedule of Distribution?

 As to real estate only?

 In Allegheny County those questions should be answered no. Allegheny County will still use a Schedule B for awarding real estate per Sec. 2 of Rule 2.9.

ORPHANS' COURT DIVISION RULE 2.7

Rule 2.7. Objections to Accounts.

 In addition to written objections, an oral motion may be made at audit for a continuance to file written objections.

ORPHANS' COURT DIVISION RULE 2.9

Rule 2.9. Confirmation of Accounts; Awards.

 Sec. 1. Confirmation Nisi; Audit List.

 All accounts filed with the clerk will be confirmed nisi not less than thirty days after the time of filing. An audit list will be made up of all accounts confirmed nisi. The audit list will be called beginning on the second Monday following confirmation nisi, and shall continue thereafter each day until all of the accounts have been audited.

 Sec. 2. Distribution in Kind Under 20 Pa.C.S. Secs. 3534 and 3536.

 (a) In every estate in which real estate remains for distribution, the decree of distribution shall consist of two schedules:

 Schedule A—Distribution of personalty.

 Schedule B—Distribution of real estate.

 Schedule B shall contain a legal description and shall be submitted to the court at the audit of the account.

 (b) If the heirs, devisees, or legatees elect in writing to take real estate not specifically devised, then it shall be allotted and decreed to them in accordance with their written election or agreement.

 (c) If the heirs, devisees, or legatees do not elect in writing to take unconverted real estate in kind, or if they are unable to agree as to the division thereof, any interested party, including the personal representative of the estate, by petition presented at or prior to the audit of the account, may request the court to divide, partition, and allot the real estate. When so requested by petition to divide, partition, and allot unconverted real estate, the court shall fix a procedure for the disposition of such petition.

ORPHANS' COURT DIVISION RULE 2.12

Rule 2.12. Small Estates Petitions.

 Any petition for settlement of a small estate as authorized by 20 Pa.C.S. § 3102 shall set forth the following:

 Sec. 1. Personalty Only.

 When the estate of the decedent consists of personalty only, the petition shall set forth the following:

 (a) The name, date of death and domicile of the decedent; whether the decedent died testate or intestate; if testate, whether the will was probated; whether letters have been granted, and if so, on what date and to whom;

 (b) The items of personal property owned by decedent and their values at the date of death;

 (c) The names of all beneficiaries under the will, if any, as well as the names of decedent's next of kin if not named as beneficiaries under the will;

 (d) The names of the surviving spouse and next of kin if decedent died intestate as to any personalty;

 (e) The names of any persons entitled to distribution who are not sui juris, with the names of their trustees or guardians and a reference to their appointment;

 (f) When a family exemption is claimed:

 (1) by whom the exemption is claimed;

 (2) the name of the surviving spouse, if any, whether the family relationship was maintained, and whether the spouse has forfeited his or her rights;

 (3) if children of the decedent are claiming the exemption, then the names of all children and whether such children were members of the same household as the decedent at death, indicating any who are not sui juris, or if there are no such children, the names of the parent or parents of the decedent who were members of the same household as decedent at death;

 (4) a description of the property claimed and the gross value thereof;

 (5) whether there is any objection to the claim, and if so, by whom;

 (g) An itemized list of unpaid administrative expenses, preferred debts, and taxes, including those due to the Commonwealth;

 (h) An itemized list of all claims and whether or not admitted;

 (i) The names of all next of kin and legatees under the will, if any, not joining in the petition.

 Exhibits shall be attached in the following order:

 (1) A copy of the will, if any;

 (2) The joinder of all next of kin, legatees, creditors, sureties on any administrator's bond, and any interested party in the decedent's estate, who consent to the granting of the petition;

 (3) A receipt or statement from the agent of the Commonwealth showing that the Pennsylvania inheritance tax has been paid in full, or such agent's consent to the granting of the petition; and

 (4) An itemized list of all disbursements made prior to filing the petition, specifying the date, amount, payee and purpose of each disbursement.

 Sec. 2. Realty.

 When the estate of the decedent consists of personalty and realty or realty only, then in addition to the information required by Section 1 of this Rule, the petition shall set forth the following:

 (a) The date of the first complete advertisement of the letters, and the amount of bond, if any; and

 (b) The names of all devisees under the will, if any.

 In addition to the exhibits required by Section 1 of this Rule, the petitioner shall attach proof of advertising as an exhibit to the petition.

CHAPTER III. PETITION PRACTICE AND PLEADING

ORPHANS' COURT DIVISION RULE 3.1

Rule 3.1. Petitions Generally; Parties in Military Service.

 Sec. 1. Petitions; Motions.

 (a) All petitions and motions must first be filed with the clerk. Motions (and consent petitions under Section 1(e)) must then be presented at 9:30 a.m. or at such other time as may be fixed by Order of court.

 (b) Ten (10) days' notice of presentation of any motion is required absent an emergency or consent by the opposing party to a shorter notice of presentation.

 (c) All motions shall include a notice of presentation and certificate of service.

 (d) If the sole relief requested by a petition is the issuance of a citation or rule, a notice to plead pursuant to Pa.O.C. Rule 3.5(b)(1) is not required.

 (e) Where a party can satisfy Pa.O.C. Rule 3.5(c) (Consents/Statements of No Objection; Joinders), then neither a citation nor rule is required. In such a case, the petition shall be presented in the same manner as a motion, and compliance with Sections 1(b) and (c) of this Rule is not required.

 (f) A copy of all motions (and consent petitions under Section 1(e)) shall be delivered to the Motions Coordinator at least one business day in advance of presentation.

 (g) Where a judge has been actively involved in the matter which is the subject of a motion or a consent petition under Section 1(e) of this Rule, counsel shall present the motion or consent petition to such judge.

 Sec. 2. Costs.

 Except for cause shown, no order shall be docketed until all filing costs have been paid.

Explanatory Comment: Section 2 reflects current practice. The Rule has been clarified to provide that no order shall be docketed until all filing costs have been paid. No citation, rule or certificate can be issued until the predicate order has been docketed.

 Sec. 3 Parties in Military Service.

 When any interested party in any proceeding in this court is in the military service of the United States, the procedure shall conform to the provisions of the Servicemembers Civil Relief Act, as amended, 50 U.S.C.A. 3901 et seq.

ORPHANS' COURT DIVISION RULE 3.5

Rule 3.5. Mode of Proceeding on Petition; Return Date; Preliminary Orders.

 Sec. 1. Petition for Citation.

 (a) A petition requesting the issuance of a citation to a party who is not yet subject to the personal jurisdiction of the court shall be prepared in the manner prescribed by Pa.O.C. Rules 3.3 and 3.4 and filed in the manner set forth in Rule 3.1.

Explanatory Comment: The court may sua sponte correct a request for issuance of a citation and order the issuance of a rule if the court already has personal jurisdiction over a respondent.

 (b) The preliminary order directing the issuance of a citation shall be in the form set forth in Sec. 4(a) of this Rule.

 (c) Upon entry of a preliminary order directing the issuance of a citation, the following procedure shall be followed:

 (i) The clerk shall prepare a citation.

 (ii) The petitioner is required to pick up the citation from the clerk.

 (iii) The petitioner shall serve the petition and citation in a manner consistent with Pa.O.C. Rule 3.5(a)(2) and Pa.O.C. Rule 4.2.

 (iv) If a response is not filed on or before the return date set forth in the citation, all averments of fact in the petition shall be deemed admitted and the court may enter an order granting the relief requested by the petition.

 (v) If an answer is timely filed and there are no disputed issues of material facts, the court may decide the petition based on the petition and answer.

 Sec. 2. Petition for Rule.

 (a) A petition requesting the issuance of a rule to a party who is already subject to the personal jurisdiction of the court shall be prepared in the form prescribed by Pa.O.C. Rules 3.3 and 3.4 and filed in the manner set forth in Rule 3.1.

Explanatory Comment: The court may direct the issuance of a rule if the court believes that a notice petition under Pa.O.C. Rule 3.5(b) is not appropriate.

 (b) The preliminary order directing the issuance of a rule shall be in the form set forth in Sec. 4(b) of this Rule.

 (c) Upon entry of a preliminary order directing the issuance of a rule, the following procedure shall be followed:

 (i) The clerk shall prepare a rule.

 (ii) The petitioner is required to pick up the rule from the clerk.

 (iii) The petitioner shall serve the petition and rule in a manner consistent with Pa.O.C. Rule 4.3

 (iv) If a response is not filed on or before the return date set forth in the rule, all averments of fact in the petition shall be deemed admitted and the court may enter an order granting the relief requested by the petition.

 (v) If an answer is timely filed and there are no disputed issues of material facts, the court may decide the petition based on the petition and answer.

 Sec. 3. Return Date.

 (a) The return date for a citation under Rule 3.5, Sec. 1 or a rule under Rule 3.5, Sec. 2 shall be the date set by the court in the preliminary order. Any response due on the return date shall be considered timely filed if it is filed with the clerk on or before the close of business on the return date or on or before any applicable electronic filing deadline for that date.

 Sec. 4. Form of Orders Issuing Citation and Rule.

 (a) Preliminary Order directing the issuance of a Citation

PRELIMINARY ORDER

 AND NOW, this ______ day of ______ , 20____ , upon consideration of the foregoing Petition, it is hereby ORDERED that a Citation shall be issued to respondent(s), _________________ , to show cause why the Petitioner is not entitled to the following relief [specify the relief requested in the Petition]: ______

 The Respondent(s) shall file a response to the Petition on or before ______ , 20____ .

 A conference shall be held on ______ , 20____ at ______ __.m. prevailing time in courtroom ______ , 437 Grant Street, 17th Floor, Pittsburgh, Pennsylvania.

 The issue(s) raised by the Petition and any response thereto may be disposed of by the court at the conference or the court may set a schedule for such further proceedings as may be necessary.

 (b) Preliminary Order directing the issuance of a Rule

PRELIMINARY ORDER

 AND NOW, this ______ day of ______ , 20____ , upon consideration of the foregoing Petition, it is hereby ORDERED that a Rule shall be issued to respondent(s) _________________ to show cause why the Petitioner is not entitled to the following relief [specify the relief requested in the Petition]: ______

 The Respondent(s) shall file a response to the Petition on or before ______ , 20____ .

 A conference shall be held on ______ , 20____ at ______ __.m. prevailing time in courtroom ______ , 437 Grant Street, 17th Floor, Pittsburgh, Pennsylvania.

 The issue(s) raised by the Petition any response thereto may be disposed of by the court at the conference or the court may set a schedule for such further proceedings as may be necessary.

CHAPTER V. GOVERNING SPECIFIC TYPES OF PETITIONS

ORPHANS' COURT DIVISION RULE 5.8

Rule 5.8. Discharge of Fiduciary and Surety; Resignation.

 When a fiduciary has not completed the administration of the estate, the fiduciary's petition for leave to resign and be discharged shall set forth:

 (a) The nature of the fiduciary capacity;

 (b) The date and a reference to the record of the fiduciary's appointment and the names of the fiduciary's sureties, if any;

 (c) The kind and value of property remaining in the estate;

 (d) Whether an Account has been or will be filed; and

 (e) The reason for the fiduciary's resignation.

 The prayer shall be (i) for the acceptance of the resignation and an order directing payment and transfer of the remainder of the property in the fiduciary's hands to the fiduciary's successor; and (ii) for the discharge of the fiduciary and the fiduciary's sureties, if any, upon confirmation of the fiduciary's account.

 The court, with or without notice to the parties and with or without a hearing, may accept the fiduciary's resignation and direct the fiduciary to make payment and transfer of the assets of the estate to the fiduciary's successor and may require the fiduciary to state and file an account.

 The proposed successor fiduciary and the representatives of persons not sui juris, if appointed, and any other interested party, may examine the assets of the estate and any Account filed, and, when necessary, file objections. Upon consideration thereof and after audit and confirmation of the account, if filed, and proof that all taxes assessed have been paid or that provision has been made for their payment, the court will decree a discharge of the accounting fiduciary and the fiduciary's sureties, if any, upon payment and transfer of the assets remaining in the hands of the fiduciary to the fiduciary's successor or as otherwise directed by the court.

ORPHANS' COURT DIVISION RULE 5.10

Rule 5.10. Public Sale of Real Property.

 In addition to the requirements of Pa.O.C. Rule 5.10, any petition for the public sale of real property shall set forth the following:

 Sec. 1. Real Property.

 (a) the name, residence and date of death of the decedent; whether the decedent died testate or intestate; the name and date of appointment of the personal representative; and the amount of bond given by the personal representative, if any;

 (b) a description adequate to describe the real property involved, with the improvements thereon, how acquired by the decedent or trust, its rental income or value, its value shown by the inventory, and, if the Pennsylvania transfer inheritance tax appraisement has been filed, its value as shown therein;

 (c) the names of all interested parties as heirs, devisees, legatees, or lienholders who will be affected by the granting of the petition, the interest of each, an indication of whether any of such are not sui juris, together with the names of their fiduciaries, if any:

 (d) the names of the interested parties consenting to the transaction;

 (e) the reasons why the sale or other requested disposition of the real property is desirable for the proper administration and distribution of the estate or trust; and

 (f) the mortgages, if any, to be discharged by sale with the consent of the mortgagees if they are not to be paid in full.

 Sec. 2. Exhibits.

 Exhibits to such petitions shall be attached in the following order:

 (a) a copy of the will, if any, or the trust;

 (b) a printout showing the current assessed value of the real property;

 (c) the joinder of parties who consent to the transaction; and

 (d) a copy of the inventory;

 Sec. 3. Notice.

 If the property is located in Allegheny County, then public notice of a proposed public sale shall be given by advertisement once a week for three successive weeks in the daily editions of the Pittsburgh Legal Journal and in one newspaper of general circulation published in Allegheny County. If the property is not located in Allegheny County, then such public notice shall be given in the legal periodical, if any, of that county and in one newspaper of general circulation published in such county. In either case, public notice shall include the posting of at least five notices of the proposed sale, exchange or option on and in the immediate vicinity of the premises to be sold.

 Sec. 4. Bid Process.

 On or before the return day of a public sale, the proofs of publication and of posting of notice shall be filed. On such return day, the court will then open the sales to competitive sealed bidding or may permit competitive oral bidding in an open court or the court may refer the matter to the clerk and fix the time and place during the same day when the clerk will offer the property at auction and make immediate return thereto to the court. The successful bidder shall forthwith deposit cash or its equivalent with the personal representative in a sum not less than ten percent of the amount of the bid; the balance shall be paid as directed by the court.

 Sec. 5. Additional Security.

 On or after the return day of a sale or other transaction hereunder, the court shall fix the amount of the security or additional security which the personal representative shall be required to enter. If, however, the facts warrant and a stipulation is entered by the surety on any existing security accepting liability for the proceeds of the sale or other transaction, the court may excuse the personal representative from entering security or additional security. The surety on any additional bond, except for cause shown, shall be the same as on the original bond. The bond shall be presented to the court for approval.

 Sec. 6. Similar Petitions.

 Petitions of guardians under Secs. 5152 and 5155 of the PEF Code, and petitions of guardians under Secs. 5521 and 5522 of the PEF Code, shall conform so far as possible to the provisions of this rule.

 Sec. 7. Personal Property.

 When a sale of personal property requires the approval of the court, then the petition for such approval shall conform so far as possible to the provisions of this rule.

ORPHANS' COURT DIVISION RULE 5.11

Rule 5.11. Private Sale of Real Property or Options Therefor.

 In addition to the requirements of Pa.O.C. Rule 5.11, the requirements of local Rule 5.10 sections 1 and 2 shall be included on the petition for a private sale of real property or options therefor.

 The court may require additional security in accordance with local Rule 5.10 Section 5.

ORPHANS' COURT DIVISION RULE 5.12

Rule 5.12. Mortgage or Lease of Real Property.

 In addition to the requirements of Pa.O.C. Rule 5.12, the requirements of local Rule 5.10 sections 1 and 2 shall be included in the petition and a copy of the proposed mortgage or lease shall be attached as an exhibit.

ORPHANS' COURT DIVISION RULE 5.16

Rule 5.16. Sale of Real Estate; Additional Security or Waiver Thereof.

 Sec. 1. Additional Security.

 In the case of a personal representative who has been required to give bond, the petition for an order requiring additional security or excusing such personal representative from entering additional security under 20 Pa.C.S. § 3351, shall set forth the following:

 (a) the name, residence, and date of death of decedent; whether the decedent died testate or intestate; the name of the personal representative and the date of appointment;

 (b) the amount of the bond filed with the Register and the name of the surety thereon;

 (c) a description adequate to identify the real estate to be sold and the improvements thereon;

 (d) the name and address of the purchaser and the price to be paid;

 (e) the names of all interested parties and whether or not they are sui juris.

 When an order excusing the entry of additional security is requested, or when security previously entered is to be used to secure in whole or in part the proceeds of the sale referred to in the petition, there shall be attached to the petition a stipulation signed by the surety on the existing bond accepting liability for the proceeds of the real estate to be sold.

 Sec. 2. Exhibits.

 Exhibits to such petitions shall be attached in the following order:

 (a) a copy of the will, if any;

 (b) a copy of the inventory, if filed;

 (c) a copy of the agreement of sale; and

 (d) consents, if any, of the interested parties.

 Sec. 3. Surety.

 Except for cause shown, the surety on the bond of the personal representative at the time of appointment shall be surety on any additional bond.

 Sec. 4. Form of Additional Bond When Required.

 When an additional bond is required, or a personal representative is excused from entering additional security, an order of court in substantially the following form shall be annexed to the petition:

 And now, this ______ day of ______ , 20____ , upon consideration of the annexed petition and on motion of ______ , it is ordered, adjudged, and decreed that _________________ ,              (Personal Representative)
of the estate of _________________ , deceased, enter in the office of the Register of Wills additional security in the amount of $______ , with ______ as surety and, upon the entry of the same, the said_________________ , is authorized to receive  (Personal Representative)
the proceeds of the sale of the real estate known as _________________ , Pennsylvania as the
(Number, Street and Municipality)
same is more fully described in the petition.

ORPHANS' COURT DIVISION RULE 5.17

Rule 5.17. Compromise or Settlement of Wrongful Death or 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

 (h) a reference to an attached exhibit which shall contain a statement of counsel's professional opinion regarding the desirability of the settlement and reasons therefor, including a discussion with specific references to the factual circumstances as to both the liability and damages aspects of the case; a description of the services rendered; a description and the amount of reimbursable expenses requested, and the amount of fees requested, which for a minor or incapacitated person, except in extraordinary circumstances, shall not exceed 33-1/3% of the present value of a structured settlement or 33-1/3% of the gross recovery of any other settlement; and

 (i) that notice of the presentation of the petition has been given to all interested parties 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; and

 (d) the exhibit described in Section 1(h) of this Rule.

 Sec. 3. Hearing.

 When the averments of the petition require it, the court upon its own motion or upon the request of any interested parties, will set a date for hearing.

 Sec. 4. Distribution.

 Distribution of the amount received in compromise or settlement of a wrongful death action shall be made in accordance with 42 Pa.C.S. § 8301. Distribution of the amount received in compromise or settlement of a survival action shall be made in accordance with the will of the decedent or pursuant to the intestacy statute.

 Sec. 5. Settlement of Action Filed.

 For approval of incapacitated person's claim where any action has been instituted, see Allegheny County Civil and Family Division Rule 2206.

ORPHANS' COURT DIVISION RULE 5.18

Rule 5.18. Petition to Settle Claims for Minors.

 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 also state whether a surety bond was previously filed by the guardian and the amount thereof. 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. Annuity Contracts

 Where the terms of settlement of a minor's claim include an annuity contract, the annuity contract shall provide that the policy will not be transferred or assigned to another company without the prior approval of the Orphans' Court Division of this court.

 Sec. 4. 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 5.19

Rule 5.19. Petition to Settle Claims for Incapacitated Persons.

 Sec. 1. Contents of Petition.

 Where no action has been instituted, a petition by the guardian of the estate of an incapacitated person for authority to settle a claim for damages proposed to be paid to the estate of an incapacitated person shall be verified by the guardian of the estate of the incapacitated person, 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 also state whether surety bond was previously filed by the Guardian and the amount thereof. 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 incapacitated person, 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. Annuity Contracts.

 (a) Where the terms of settlement of an incapacitated person's claim include an annuity contract, the annuity contract shall provide that the policy will not be transferred or assigned to another company without the prior approval of the Orphans' Court Division of this court.

 (b) A copy of this local rule shall be served upon the company issuing the annuity contract and proof of service thereof shall be filed with the Department of court Records, Wills/Orphans' Court Division.

 Sec. 3. Settlement of Filed Action.

 For approval of an incapacitated person's claim where an action has been instituted, see Allegheny County Civil and Family Division Rule 2064.

ORPHANS' COURT DIVISION RULE 5.20

Rule 5.20. Minors; Allowances for Support and Education.

 A petition for allowance pursuant to 20 Pa.C.S. Section 5164 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, or information to substantiate the allowance for support, care or maintenance 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 5.21

Rule 5.21. Corporations Serving as Fiduciaries.

 Sec. 1. Petitions.

 Subject to the provisions of Section 6 of this Rule, 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 (see Pa.C.S. § 160(c));

 (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 providing:

 (f) the passage of a resolution by the board of directors of the petitioner

 (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 5.22

Rule 5.22. 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, with a minimum paid-in capital of $1,000,000, 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;

 providing:

 (i) the passage of a resolution by the board of directors of the petitioner

 (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.

CHAPTER IX. AUDITORS AND MASTERS

ORPHANS' COURT DIVISION RULE 9.1

Rule 9.1. Notice of Hearings.

 Unless otherwise directed in the order appointing the auditor or master, 20 days' notice shall be given of a hearing to the interested parties.

ORPHANS' COURT DIVISION RULE 9.6

Rule 9.6. Notice of Filing Report.

 Unless otherwise directed in the order appointing the auditor or master, notice of the filing of the report or of the intention to file the report shall be given to the interested parties.

ORPHANS' COURT DIVISION RULE 9.7

Rule 9.7. Confirmation of Report.

 Sec. 1. Objections.

 Objections to the report of a master or auditor may be filed by the parties within twenty (20) days after receiving notice of the filing of the report. Copies of the Objections shall be served upon all other parties and a courtesy copy shall be provided to the Judge who appointed the Master or Auditor. Objections shall be set forth precisely and without discussion. Any matters not covered by Objections are deemed to be waived.

 Sec. 2. Cross Objections.

 If a party files timely Objections, then any other party to the action may file Cross Objections within twenty (20) days after the filing of Objections.

 Sec. 3. Master/Auditor Fees.

 The Master/Auditor shall, after prior notice to all parties, petition the court to award the fees of the Master of Auditor. The petition shall state that the Master/Auditor has filed a report, given notice to counsel of the filing thereof and the Master/Auditor has no further duties to perform. The petition shall include a detailed list of services provided and the amount for which the Master/Auditor considers to be reasonable compensation.

 Sec. 4. Briefing and Argument.

 Within thirty (30) days of receipt of the filing of the Objections, the court shall schedule a briefing and argument schedule with regard to the Objections. After briefing and/or argument, the court shall enter such Order or Decree as may be appropriate with regard to the matter addressed by the Auditor/Master.

Explanatory Comment: The objection procedure provided for in the rule is exclusive to Chapter IX. Auditors and Masters and has no relevance to Rule 2.7 Objection to Account.

CHAPTER XIV. GUARDIANSHIPS OF INCAPACITATED PERSONS

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.

 (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) 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 and an Account covering 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.

 (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.

 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; dependents, if any;

 (d) the names and addresses of the incapacitated person's

 (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 5.10, 5.11 and 5.12.

 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.

TABLE OF APPENDICES

Appendix A:  Rescinded
Appendix B-1: Preliminary Order awarding a Citation for Permanent Guardianship under Rule 14, Sec. 2(a)
Appendix B-2: Preliminary Order awarding a Citation for Emergency and Permanent Guardian under Rule 14, Sections 2(a) and 6(a)
Appendix C: Final Order appointing Permanent Limited Guardian under Rule 14, Sec. 5(b)
Appendix D: Final Order appointing Permanent Plenary Guardian under Rule 14, Sec. 5(b)
Appendix E: Order appointing Emergency Limited Guardian under Rule 14, Sec. 6(b)
Appendix F: Order appointing Emergency Plenary Guardian Under Rule 14, Sec. 6(d)
Appendix G-01: Rescinded
Appendix G-02: Rescinded
Appendix G-03: Rescinded
Appendix H: Statement of Rights
Appendix I: State Police Gun Control Notification
Appendix J-1: Consent of Guardian of Person
Appendix J-2: Consent of Guardian of Estate
Appendix K: Notification of Retention or Lack of Counsel under Rule 14 Section (3)
Appendix L: Petition and Orders for Electroconvulsive Therapy for a Person under Civil Commitment

Appendix B-1: Preliminary Order awarding a Citation for Permanent Guardianship under Rule 14, Sec. 2(a)

IN THE COURT OF COMMON PLEAS OF ALLEGHENY COUNTY, PENNSYLVANIA ORPHANS' COURT DIVISION

_________________
IN RE: )
)
) No.
*1
)

an alleged incapacitated person )

PRELIMINARY ORDER OF COURT

(Non-Emergency Guardian)

 AND NOW, this ____ day of ______ , the foregoing Petition having been presented in open Court, and upon consideration thereof, and upon motion of * ______ , Esquire, counsel for the Petitioner, it is ORDERED and DECREED that a Citation be awarded directed to * ______ , to show cause why *he/she should not be adjudged an incapacitated person and a plenary guardian of *his/her person and estate be appointed, returnable the ____ day of ______ , at ____ o'clock __.m. prevailing time, at which time and place a hearing on the Petition for Appointment of a Plenary Guardian of the person and of the Estate of the Alleged Incapacitated Person will be held in the Orphans' Court Division of the Court of Common Pleas of Allegheny County, 17th Floor, Frick Building, 437 Grant Street, Pittsburgh, Pennsylvania 15219.

 At least twenty (20) days written notice of the hearing shall be given to * ______ , the alleged incapacitated person, by serving *him/her personally with a Citation and this Order of Court and a copy of the foregoing Petition together with an explanation of the content and terms of the Petition; at least twenty (20) days written notice of the Petition and hearing shall also be given to the next of kin and other parties in interest named in the Petition either personally or by registered or certified mail.

                                      BY THE COURT:

_________________ J.

Appendix B-2: Preliminary Order awarding a Citation for Emergency and Permanent Guardian under
Rule 14, Sections 2(a) and 6(a)

IN THE COURT OF COMMON PLEAS OF ALLEGHENY COUNTY, PENNSYLVANIA ORPHANS' COURT DIVISION

_________________
IN RE: )
)
) No.
*2
)

an alleged incapacitated person )

PRELIMINARY ORDER OF COURT

(Emergency and Permanent Guardian)

 AND NOW, this ____ day of ______ , the foregoing Petition having been presented in open Court, upon consideration thereof and on motion of * ______ , counsel for petitioner, it is ORDERED and DECREED that a Citation be awarded, directed to * ______ , to show cause why *he/she should not be adjudged an incapacitated person and a *plenary/limited guardian of *his/her person and estate be appointed. The citation shall be returnable and an emergency and permanent hearing on the Petition and any answer thereto shall be held on the following dates and times:

Emergency Guardianship Permanent Guardianship
Return Date: Return Date:
Hearing Date: Hearing Date:
Hearing Time: Hearing Time:

 Courtroom:

 The alleged incapacitated person shall be given notice of the hearing on appointment of an emergency guardian of *his/her person and estate by serving *him/her personally with the Citation, this Order of Court and a copy of the foregoing Petition prior to the time of such emergency hearing.

OR

 The court finds that service of notice of the hearing on appointment of an emergency guardian upon the alleged incapacitated person is not feasible under the circumstances and is, therefore, waived pursuant to 20 Pa.C.S. § 5513.

 Any Answer or other response to the Petition shall be filed at the Office of the Register of Wills of Allegheny County sitting as Clerk of the Orphans' Court, First Floor, City-County Building, Pittsburgh, Pennsylvania 15219. Hearings shall be held at the Orphans' Court Division of the Court of Common Pleas of Allegheny County, 17th Floor, Frick Building, 437 Grant Street, Pittsburgh, Pennsylvania 15219.

 The Court finds that strict compliance with 20 Pa.C.S. § 5511(E) and Rule 14, Section 1 of the Allegheny County Orphans' Court Division Rules (both relating to contents of the Petition) are not feasible under the circumstances and are waived for the purpose of the hearing on appointment of an emergency guardian of the alleged incapacitated person.

 The Court further finds that strict compliance with 20 Pa.C.S. § 5511(A) (relating to notification concerning the right to counsel and the appointment of counsel for the alleged incapacitated person) are not feasible under the circumstances and are waived for the purpose of the hearing on appointment of an emergency guardian of the alleged incapacitated person.

 At least twenty (20) days written notice of the hearing on appointment of a permanent guardian shall be given to * ______ , the alleged incapacitated person, by serving *him/her personally with a copy of the Petition, the citation and this Order of Court, together with an explanation of their contents. At least twenty (20) days written notice of the petition and hearing on the appointment of a permanent guardian shall be given to the next of kin and other parties in interest named in the petition, either personally or by registered or certified mail.

                                      BY THE COURT:

_________________ J.

Appendix C: Final Order appointing Permanent Limited Guardian under Local Rule 14, Sec. 5(b)

IN THE COURT OF COMMON PLEAS OF ALLEGHENY COUNTY, PENNSYLVANIA ORPHANS' COURT DIVISION

_________________
IN RE: )
)
) No.
*3
)

an alleged incapacitated person )

ORDER OF COURT DETERMINING PARTIAL INCAPACITY AND APPOINTING PERMANENT LIMITED GUARDIAN OF PERSON AND ESTATE

 AND NOW, this ____ day of ______ , a hearing in this case having been held on * ______ , and it appearing to the Court that ______ , was served with a Citation and Notice of the hearing on ______ , and was present at the hearing (or) the Court finds that the physical or mental condition of * ______ would be harmed by *his/her presence at the hearing, and further finds from the testimony:

 1. That * ______ suffers from ______ , a condition or disability which partially impairs *his/her capacity to receive and evaluate information effectively and to make and communicate decisions concerning *his/her management of financial affairs or to meet essential requirements for *his/her physical health and safety.

 2. That there are insufficient supports available to assist * ______ in overcoming such limitations and that there exists no less restrictive alternative mechanism for decision making than the appointment of a limited Guardian.

 3. That based on the partial incapacity of * ______ , to receive and evaluate information effectively and to make or communicate decisions, a Limited Guardian of the Person and a Limited Guardian of the Estate are required on a permanent basis.

 NOW, THEREFORE, based on the clear and convincing evidence supporting the foregoing findings, it is ORDERED, ADJUDGED and DECREED that * ______ be and is hereby adjudged a partially incapacitated person.

 * ______ is appointed Limited Permanent Guardian of the Person of * ______ and ______ is appointed Limited Permanent Guardian of the Estate of * ______ .

 The Limited Guardian of the Person shall have full authority to consent to the general care, maintenance and custody of * ______ , except as follows: ___________________________

 The Limited Guardian of the Person shall assure that * ______ receives appropriate services and shall assist *him/her in developing self reliance and independence.

 The Limited Guardian of the Estate shall have the authority to marshall all of * ______'s income and assets except that * ______ , the incapacitated person, shall retain the following power and authority to act on *his/her own behalf: _____________________________________ .

 If there is a safe deposit box in the name of the incapacitated person alone or in the names of the incapacitated person and another or others, said safe deposit box shall not be entered by the Guardian except in the presence of a representative of the financial institution where the box is located or in the presence of a representative of the Orphans' Court Division. The representative present at the time of entry shall make or cause to be made a record of the incapacitated person's property, and said record shall be filed with the Clerk of the Orphans' Court Division. None of the incapacitated person's property may be removed until after the aforesaid inventory is completed.

 If the safe deposit box is jointly owned, five (5) days notice of the proposed entry shall be given to the other owners by the Guardian.

 An Inventory must be filed within ninety (90) days. A report by the Guardian of the Person and Estate shall be filed within ____ days and annually thereafter.

 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 shall file a final accounting.

 A Surety Bond in the amount of      shall be presented for approval by the Guardian of the Estate within five (5) days of the date of this Order.

 * ______ , an incapacitated person, has the right to appeal this Order of Court by filing exceptions with the Clerk of the Orphans' Court Division within ten (10) days of the date of this Order or to petition this Court for a hearing to review or terminate the adjudication of incapacity and guardianship herein established. If * ______ was not present at this hearing on the adjudication of *his/her incapacity and the appointment of a guardian then Petitioner shall serve upon and read to * ______ the Statement of Rights attached to this Order and marked Exhibit A. Proof of service of the Statement of Rights shall be filed by the Guardian with the Clerk of the Orphans' Court within ten (10) days of the date of this Order.

                                      BY THE COURT:

_________________ J.

Appendix D: Final Order Appointing Permanent Plenary Guardian under Rule 14, Sec. 5(b)

IN THE COURT OF COMMON PLEAS OF ALLEGHENY COUNTY, PENNSYLVANIA ORPHANS' COURT DIVISION

_________________
IN RE: )
)
) No.
*4
)

an alleged incapacitated person )

ORDER OF COURT DETERMINING INCAPACITY AND APPOINTING PERMANENT PLENARY GUARDIAN OF PERSON AND/OR ESTATE

 AND NOW, this ____ day of ______ , a hearing in this case having been held on * ______ , and it appearing to the Court that * ______ , was served with a Citation and Notice of the hearing on * ______ , and was present at the hearing (or) the Court finds that the physical or mental condition of * ______ would be harmed by his/her presence at the hearing, and further finds from the testimony:

 1. That * ______ suffers from ______ , a condition or disability which totally impairs *his/her capacity to receive and evaluate information effectively and to make and communicate decisions concerning *his/her management of financial affairs or to meet essential requirements for his/her physical health and safety.

 2. That there are insufficient supports available to assist * ______ in overcoming such limitations and that there exists no less restrictive mechanism for decision making that the appointment of a Plenary Guardian.

 3. That based on the total incapacity of * ______ , to receive and evaluate information effectively and to make or communicate decisions, a Plenary Guardian of the Person and Plenary Guardian of the Estate are required on a permanent basis.

 NOW THEREFORE, based on the clear and convincing evidence supporting the foregoing findings, it is ORDERED, ADJUDGED and DECREED that * ______ be and hereby is adjudged a totally incapacitated person. * ______ is appointed Permanent Plenary Guardian of the Person of * ______ and * ______ is appointed Permanent Plenary Guardian of the Estate of * ______ .

 The Permanent Plenary Guardian of the Person shall have full authority to consent to the general care, maintenance and custody of * ______ without exception.

 The Permanent Plenary Guardian of the Person shall assure that * ______ receives appropriate services and shall assist him/her in developing self-reliance and independence.

 The Limited Guardian of the Estate shall have the authority to marshal all of * ______'s income and assets, pay his/her bills and manage *his/her financial affairs as fully as * ______ could do so *himself/herself if *he/she had not been adjudged incapacitated.

 If there is a safe deposit box in the name of the incapacitated person alone or in the names of the incapacitated person and another or others, said safe deposit box shall not be entered by the Guardian except in the presence of a representative of the financial institution where the box is located or in the presence of a representative of the Orphans' Court Division. The representative present at the time of entry shall make or cause to be made a record of the incapacitated person's property, and said record shall be filed with the Clerk of the Orphans' Court Division. None of the incapacitated person's property may be removed until after the aforesaid inventory is completed.

 If the safe deposit box is jointly owned, five (5) days notice of the proposed entry shall be given to the other owners by the Guardian.

 An Inventory must be filed within ninety (90) days. A report by the Guardian of the Person and Estate shall be filed within ____ days and annually thereafter in a form approved by the Orphans' Court Divisions.

 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 shall file a final accounting.

 A Surety Bond in the amount of     shall be presented for approval by the Guardian of the Estate within five (5) days of the date of this Order.

 * ______ , an incapacitated person, has the right to appeal this Order of Court by filing exceptions with the Clerk of the Orphans' Court Division within ten (10) days of the date of this Order or to petition this Court for a hearing to review or terminate the adjudication of incapacity and guardianship herein established.

 If * ______ was not present at the hearing on the adjudication of *his/her incapacity and appointment of a guardian then Petitioner shall serve upon and read to * ______ the Statement of Rights attached to this Order of Court and marked as Exhibit A. Proof of service of the Statement of Rights shall be filed by the Guardian with the Clerk of the Orphans' Court within ten (10) days of the date of this Order.

                                      BY THE COURT:

_________________ J.

Appendix E: Order Appointing Emergency Limited Guardian Under Rule 14, Section 6(b)

IN THE COURT OF COMMON PLEAS OF ALLEGHENY COUNTY, PENNSYLVANIA ORPHANS' COURT DIVISION

_________________
IN RE: )
)
) No.
*5
)

an alleged incapacitated person )

ORDER OF COURT DETERMINING INCAPACITY AND APPOINTING EMERGENCY LIMITED GUARDIAN OF PERSON AND/OR ESTATE

 AND NOW, this ____ day of ______ , a hearing in this case having been held on ______ , and it appearing to the Court that * ______ , was served with a Citation and Notice of the hearing on * ______ , and was present at the hearing (or) the Court finds that the physical or mental condition of * ______ would be harmed by *his/her presence at the hearing, and further finds from the testimony:

 1. That * ______ suffers from * ______ , a condition or disability which partially impairs his/her capacity to receive and evaluate information effectively and to make and communicate decisions concerning *his/her management of financial affairs or to meet essential requirements for *his/her physical health and safety.

 2. That there are insufficient supports available to assist * ______ in overcoming such limitations and that there exists no less restrictive alternative mechanism for decision making than the appointment of a Limited Guardian.

 3. That based on the partial in capacity of * ______ , to receive and evaluate information effectively and to make or communicate decisions, a Limited Guardian of the person and Limited Guardian of the Estate are required on a emergency basis.

 NOW THEREFORE, based on the clear and convincing evidence supporting the foregoing findings, it is ORDERED, ADJUDGED and DECREED that * ______ be and hereby is adjudged a partially incapacitated person.

 ______ is appointed Emergency Limited Guardian of the Person of * ______ and ______ is appointed Emergency Limited Guardian of the Estate of * ______ .

 The Emergency Limited Guardian of the Person shall have authority to consent to the general care, maintenance and custody of * ______ with the exception of: ___________________________ .

 The Emergency Limited Guardian of the person shall assure that * ______ receives appropriate services and shall assist *him/her in developing self-reliance and independence.

 The Emergency Limited Guardian of the Estate shall have the authority to marshal all of * ______'s income and assets except that * ______ , the incapacitated person, shall retain the following power and authority to act on *his/her own behalf:

 If there is a safe deposit box in the name of the incapacitated person alone or in the names of the incapacitated person and another or others, said safe deposit box shall not be entered by the Guardian except in the presence of a representative of the financial institution where the box is located or in the presence of a representative of the Orphans' Court Division. The representative present at the time of entry shall make or cause to be made a record of the incapacitated person's property, and said record shall be filed with the Clerk of the Orphans' Court Division. None of the incapacitated person's property may be removed until after the aforesaid inventory is completed.

 If the safe deposit box is jointly owned, five (5) days notice of the proposed entry shall be given to the other owners by the Guardian.

 The appointment of Emergency Limited Guardian of the Person and Estate shall remain in effect until further Order of Court.

 NO BOND REQUIRED ON EMERGENCY LIMITED GUARDIAN APPOINTMENT.

 The testimony from this hearing on the emergency adjudication of incapacity and guardianship herein established shall be preserved and perpetuated for the hearing on the permanent adjudication of incapacity and guardianship.

 ______ , an incapacitated person, has the right to appeal this Order of Court by filing exceptions with the Clerk of the Orphans' Court Division within ten (10) days of the date of this Order or to petition this Court for a hearing to review or terminate the adjudication of incapacity and guardianship herein established.

 If * ______ was not present at the hearing on the adjudication of *his/her incapacity and the appointment of a guardian then Petitioner shall serve upon and read to * ______ the Statement of Rights attached to this Order of Court and marked as Exhibit A. Proof of service of the Statement of Rights shall be filed by the Guardian with the Clerk of the Orphans' court within ten (10) days of the date of this Order.

                                      BY THE COURT:

_________________ J.

Appendix F: Order Appointment Emergency Plenary Guardian under Local Rule 14, Section 6(d)

IN THE COURT OF COMMON PLEAS OF ALLEGHENY COUNTY, PENNSYLVANIA ORPHANS' COURT DIVISION

_________________
IN RE: )
)
) No.   of
*6
)

an alleged incapacitated person.

ORDER OF COURT DETERMINING INCAPACITY AND APPOINTING EMERGENCY PLENARY GUARDIAN OF PERSON AND/OR ESTATE

 AND NOW, this ____ day of ______ , ______ , a hearing in this case having been held on * ______ , and it appearing to the Court that * ______ was served with a Citation and Notice of this hearing on * ______ , and was present at the hearing (or) the Court finds that the physical or mental condition of * ______ would be harmed by *his/her presence at the hearing, and further finds from the testimony:

 1. That * ______ suffers from * ______ , a condition or disability which totally impairs *his/her capacity to receive and evaluate information effectively and to make and communicate decisions concerning *his/her management of financial affairs or to meet essential requirements for *his/her physical health and safety.

 2. That there are insufficient supports available to assist * ______ in overcoming such limitation and that there exists no less restrictive alternative mechanism for decision making than the appointment of a Emergency Plenary Guardian.

 3. That based on the total incapacity of * ______ to receive and evaluate information effectively and to make or communicate decisions, a Plenary Guardian of the Person and a Plenary Guardian of the Estate are required on a Emergency basis.

 NOW THEREFORE, based on the clear and convincing evidence supporting the foregoing findings, it is ORDERED, ADJUDGED and DECREED that * ______ be and hereby is adjudged a totally incapacitated person.

 ______ is appointed Emergency Plenary Guardian of the Person of and ______ is appointed Emergency Plenary Guardian of the Estate of * ______ .

 The Emergency Plenary Guardian of the Person shall have authority to consent to the general care, maintenance and custody of * ______ without exception.

 The Emergency Plenary Guardian of the Person shall assure that * ______ receives appropriate services and shall assist *him/her in developing self-reliance and independence.

 The Emergency Plenary Guardian of the Estate shall have the authority to marshal all of * ______'s income and assets, pay *his/her bills and manage his/her financial affairs as fully as * ______ could do so *himself/herself if *he/she had not been adjudged incapacitated.

 If there is a safe deposit box in the name of the incapacitated person alone or in the names of the incapacitated person and another or others, said safe deposit box shall not be entered by the Guardian except in the presence of a representative of the financial institution where the box is located or in the presence of a representative of the Orphans' Court Division. The representative present at the time of entry shall make or cause to be made a record of the incapacitated person's property, and said record shall be filed with the Clerk of the Orphans' Court Division. None of the incapacitated person's property may be removed until after the aforesaid inventory is completed.

 If the safe deposit box is jointly owned, five (5) days notice of the proposed entry shall be given to the other owners by the Guardian.

 The appointment of the Emergency Plenary Guardian of the Person and Estate shall remain in effect until further Order of Court.

 NO BOND REQUIRED ON EMERGENCY PLENARY GUARDIAN APPOINTMENT.

 The testimony from this hearing on the emergency adjudication of incapacity and guardianship herein established shall be preserved and perpetuated for the hearing on the permanent adjudication of incapacity and guardianship.

 * ______ , an incapacitated person, has the right to appeal this Order of Court by filing exceptions with the Clerk of the Orphans' Court Division within ten (10) days of the date of this Order or to petition this Court for a hearing to review or terminate the adjudication of incapacity and guardianship herein established.

 If * ______ was not present at the hearing on the adjudication of *his/her incapacity and the appointment of a guardian then Petitioner shall serve upon and read to * ______ the Statement of Rights attached to this Order of Court and marked as Exhibit A. Proof of service of the Statement or Rights shall be filed by the Guardian with the Clerk of the Orphans' Court within ten (10) days of the date of this Order.

                                      BY THE COURT:

_________________ J.

Appendix H: Statement of Rights

STATEMENT OF RIGHTS

 AN ORDER HAS BEEN ENTERED BY A JUDGE OF THE COURT OF COMMON PLEAS OF ALLEGHENY COUNTY, ORPHANS' COURT DIVISION, WHEREBY YOU HAVE BEEN ADJUDICATED AN INCAPACITATED PERSON AND UNABLE TO CARE FOR YOURSELF AND/OR MANAGE YOUR PERSONAL AFFAIRS. YOU HAVE THE RIGHT TO FILE EXCEPTIONS TO THE COURT'S DECISION WITHIN TEN (10) DAYS OF THE DATE OF THE COURT'S ORDER. IF YOU FAIL TO FILE EXCEPTIONS, THE ORDER WILL BECOME FINAL. IN THE EVENT THAT YOU FILE EXCEPTIONS AND THEY ARE DENIED, YOU HAVE A RIGHT TO FILE AN APPEAL TO THE SUPERIOR COURT WITHIN THIRTY (30) DAYS OF THE DATE OF THE DENIAL OF THE EXCEPTIONS.

 IN ADDITION, YOU MAY PETITION THE COURT AT ANY FUTURE TIME TO MODIFY OR TO TERMINATE THE GUARDIANSHIP IF THERE IS A CHANCE IN YOUR CAPACITY OR IF YOUR GUARDIAN FAILS TO PERFORM HIS/HER DUTIES IN ACCORDANCE WITH THE COURT'S ORDER.

 IF YOU WISH TO APPEAL THE ORDER OR TO PETITION THE COURT TO MODIFY OR TERMINATE THE GUARDIANSHIP, YOU ARE ENTITLED TO BE REPRESENTED BY AN ATTORNEY. IF YOU DO NOT HAVE AN ATTORNEY, THE COURT MAY APPOINT ONE TO REPRESENT YOU. IF YOU CANNOT AFFORD AN ATTORNEY, THE SERVICES OF AN ATTORNEY WHOM THE COURT MAY APPOINT FOR YOU WILL BE PROVIDED AT NO COST TO YOU.

Appendix I: State Police Gun Control Notification

COMMONWEALTH OF PENNSYLVANIA

NOTIFICATION OF MENTAL HEALTH COMMITMENT

 The Uniform Firearms Act, 18 Pa.C.S. 6105(c)(4) specifies that it shall be unlawful for any person adjudicated as a incompetent or who has been involuntarily committed to a mental institution for inpatient care and treatment under Section 302, 303, 304 of the Mental Health Procedures Act of July 9, 1976 (P.L. 817, No. 143) to possess, use, manufacture, control, sell or transfer firearms. This would include adjudication of incapacity pursuant to 20 Pa.C.S.A. § 5501. Pursuant to the Pennsylvania Mental Health Procedures Act, Section 109, notification shall be transmitted to the Pennsylvania State Police by the judge, mental health review officer or county mental health and mental retardation administrator within SEVEN days of the adjudication, commitment or treatment by first class mail to the Pennsylvania State Police, Attention: Firearm Unit, 1800 Elmerton Avenue, Harrisburg, PA 17100. NOTE: The envelope shall be marked ''CONFIDENTIAL.''

Place an ''X'' on either Involuntary Commitment or Adjudicated Incompetent

INVOLUNTARY COMMITMENT ______   ADJUDICATED INCOMPETENT ______

Date of Involuntary Commitment or Adjudicated Incompetent 

INDIVIDUAL INFORMATION (INDIVIDUAL INVOLUNTARILY COMMITTED OR ADJUDICATED INCOMPETENT)

LAST NAME _________________ FIRST _________________ MIDDLE _________________

JR., ETC. ______ MAIDEN NAME ______ ALIAS ______

DATE OF BIRTH _________________ SOCIAL SECURITY NUMBER _________________

SEX ______ RACE ______ HEIGHT ______ WEIGHT ______ HAIR ______ EYES ______

ADDRESS _____________________________________

NOTIFICATION BY (Please print name, address, area code, and phone number of agency or county court.)

County Submitting Notification _____________________________________

County Mental Health and Mental Retardation Administrator ___________________________

County Mental Health Review Officer ___________________________

Physician Certifying Necessity of Involuntary Commitment ___________________________
(Required in accordance with Section 6105(c)(4) of the Uniform Firearms Act)

Hospital/Facility Providing Treatment/Address ___________________________

_______________________________________________

Judge _______________________________________________

SIGNATURE OF NOTIFYING OFFICIAL _________________ DATE _________________

Court Case Number _________________ Date of Court Order _________________

******************************************************************************************************************
NOTIFICATION OF PHYSICIAN'S DETERMINATION THAT NO SEVERE MENTAL DISABILITY EXISTS

 The physician shall provide signed confirmation of the determination of the lack of severe mental disability following the initial examination under Section 302(b) of the Mental Health Procedures Act and pursuant to the Uniform Firearms Act, Section 6111.1(g)(3). Notice shall be transmitted by the physician to the Pennsylvania State Police through the county mental health and mental retardation administrator or mental health review officer.

Name of Physician (Please print) _____________________________________

Appendix J-1: Consent of Guardian of Person

IN THE COURT OF COMMON PLEAS OF ALLEGHENY COUNTY, PENNSYLVANIA ORPHANS' COURT DIVISION

_________________
IN RE: )
)
) No. ____ of ______
*7
)

an alleged incapacitated person.

CONSENT OF PROPOSED GUARDIAN OF THE PERSON

 I, * ______ , do hereby consent to be appointed as the Guardian of the Person of * ______ , an alleged incapacitated person, if so appointed by the Court.

 I understand that if I am appointed as guardian, I will be serving for the benefit of * ______ , an alleged incapacitated person, and I affirm that I will act in *his/her best interest at all times.

 I further understanding that if I am appointed as guardian, I will be required to report to the Orphans' Court Division on my ward's personal affairs on at least an annual basis.

Dated: _________________              ___________________________
                                Proposed Guardian

Appendix J-2: Consent of Guardian of Estate

IN THE COURT OF COMMON PLEAS OF ALLEGHENY COUNTY, PENNSYLVANIA ORPHANS' COURT DIVISION

_________________
IN RE: )
)
) No. ____ of ______
*8
)

an alleged incapacitated person.

CONSENT OF PROPOSED GUARDIAN OF THE ESTATE

 I, * ______ , do hereby consent to be appointed as the Guardian of the Estate of * ______ , an alleged incapacitated person, if so appointed by the Court.

 I understand that if I am appointed as guardian, I will be serving for the benefit of * ______ , an alleged incapacitated person, and I affirm that I will act in *his/her best interest at all times.

 I further understand that if I am appointed as Guardian of the Estate, I am accepting fiduciary responsibility for the financial affairs of * ______ , an alleged incapacitated person, and will be required to report to the Orphans' Court Division with regard to those financial affairs on at least an annual basis.

Dated: _________________              ___________________________
                                Proposed Guardian

Appendix K: Notification of Retention of Lack of Counsel Under Rule 14, Section (3)

                               Date of Letter

 The Honorable _________________
Court of Common Pleas of Allegheny County
Orphans' Court Division Courtroom _____
1700 Frick Building
Pittsburgh, PA 15219

 Re: *9  ______ , an alleged incapacitated person
Docket Number: ______ of ______ 
Date of Hearing: _________________

 Dear Judge _________________ :

 With regard to the above-captioned matter, and in accordance with Allegheny County Local Orphans' Court Rule 14, Section 3(b), this letter is to inform you that to the best of my knowledge, information and belief, * ______ is not presently represented by counsel in his/her own right in regard to the above referenced proceedings.

OR

 With regard to the above-captioned matter, and in accordance with Allegheny County Local Orphans' Court Rule 14, Section 3(b), this letter is to inform you that to the best of my knowledge, information and belief, * ______ is presently represented by counsel in his/her own right in regard to the above referenced proceedings. An appearance has been entered on his/her behalf by * ______ whose address is * ______ and whose telephone number is * ______ .

                               Very truly yours,

                               * _________________
                                 Attorney for Petitioner

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_______

1  3 Sections marked by asterisk (*) must be completed by counsel before Court presentation.

2  3 Sections marked by asterisk (*) must be completed by counsel before Court presentation.

3  3 Sections marked by asterisk (*) must be completed by counsel before Court presentation.

4  3 Sections marked by asterisk (*) must be completed by counsel before Court presentation.

5  Sections marked by asterisk (*) must be completed by counsel before Court presentation

6  Sections marked by asterisk (*) must be completed by counsel before Court presentation.

7  Sections marked by asterisk (*) must be completed by counsel before Court presentation.

8  Sections marked by asterisk (*) must be completed by counsel before Court presentation.

9  Sections marked by asterisk (*) must be completed by counsel before Court presentation.



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