Pennsylvania Adult Guardianship Petition + Decree and Letters of Guardianship Package

PENNSYLVANIA ADULT GUARDIANSHIP PETITION + DECREE AND LETTERS OF GUARDIANSHIP PACKAGE

PART 0 — PRE-PETITION CHECKLIST

0.1 Pathway Selection

☐ Plenary Guardian of the Person (20 Pa.C.S. § 5512.1(c)(1)) — totally incapacitated
☐ Plenary Guardian of the Estate (20 Pa.C.S. § 5512.1(e)) — totally incapacitated as to property
☐ Limited Guardian of the Person (20 Pa.C.S. § 5512.1(a), (d)) — partially incapacitated; preferred when supported by evidence
☐ Limited Guardian of the Estate (20 Pa.C.S. § 5512.1(e)) — partially incapacitated as to property
☐ Emergency Guardian (20 Pa.C.S. § 5513) — 72 hours for person, up to 30 days for estate
☐ Standby / Successor Guardian (20 Pa.C.S. § 5512.2) — successor planning

0.2 Less Restrictive Alternatives (Pa.R.O.C.P. 14.2(a)(14); 20 Pa.C.S. § 5512.1(a)(3); Act 61)

☐ Durable Power of Attorney (20 Pa.C.S. § 5601 et seq.) reviewed
☐ Health Care Power of Attorney (20 Pa.C.S. § 5421 et seq.) reviewed
☐ Health Care Representative (20 Pa.C.S. § 5451 et seq.) reviewed
☐ Living Will / Advance Health Care Directive (20 Pa.C.S. § 5441 et seq.) reviewed
☐ Mental Health Advance Directive (20 Pa.C.S. § 5821 et seq.) reviewed
☐ Mental Health Care Agent (20 Pa.C.S. § 5831 et seq.) reviewed
☐ Trust (revocable, special needs, pooled) considered
☐ Representative Payee for federal benefits considered
☐ Supported Decision-Making considered
☐ Joint accounts / multi-party accounts considered
☐ Capacity to execute new advance directives medically evaluated — INSUFFICIENT

0.3 Pre-Filing Diligence

☐ Expert evaluation arranged (20 Pa.C.S. § 5518.1) — by physician or licensed psychologist
☐ Functional limitations specifically documented
☐ Counsel selected for AIP if AIP unrepresented (mandatory under Act 61)
☐ Proposed Guardian's eligibility reviewed (20 Pa.C.S. § 5511(f))
☐ Certification (Pa.R.O.C.P. 14.6(c)) obtained if Proposed Guardian seeking 3rd active guardianship
☐ Pennsylvania State Police criminal record check (PATCH) — Pa.R.O.C.P. 14.2(c)(2)
☐ List of relatives sui juris entitled to intestate share
☐ Notice plan: Citation served with Petition; explained to AIP in language AIP most likely understands
☐ Filing fee or IFP petition

PART 1 — PETITION FOR ADJUDICATION OF INCAPACITY AND APPOINTMENT OF GUARDIAN (Pa.R.O.C.P. 14.2)

IN THE COURT OF COMMON PLEAS OF [____________________________] COUNTY, PENNSYLVANIA
ORPHANS' COURT DIVISION

1. PETITIONER

Petitioner [FULL NAME], residing at [________________________________], avers the following relationship to the Alleged Incapacitated Person ("AIP"): [________________________________].

2. ALLEGED INCAPACITATED PERSON (AIP) (Pa.R.O.C.P. 14.2(a)(1)-(2))

3. SPOUSE, PARENTS, AND PRESUMPTIVE INTESTATE HEIRS (Pa.R.O.C.P. 14.2(a)(3))

4. AIP'S CURRENT REPRESENTATION (Pa.R.O.C.P. 14.2(a)(15); 20 Pa.C.S. § 5511(a.1)(1) — Act 61)

☐ AIP is represented by counsel: [NAME], Esq., [________________________________]
☐ AIP is NOT currently represented; Petitioner requests Court appoint counsel under Pa.R.O.C.P. 14.5

5. NATURE AND EXTENT OF INCAPACITY (Pa.R.O.C.P. 14.2(a)(7); 20 Pa.C.S. § 5501)

The AIP's ability to receive and evaluate information effectively and communicate decisions is impaired to such a significant extent that AIP is partially or totally unable to manage financial resources or to meet essential requirements for physical health and safety. Specific facts:

[________________________________]
[________________________________]
[________________________________]

6. SPECIFIC AREAS OF INCAPACITY (Pa.R.O.C.P. 14.2(a)(8))

7. NATURE AND EXTENT OF AIP'S MENTAL AND PHYSICAL CONDITION (Pa.R.O.C.P. 14.2(a)(9))

[________________________________]

8. ESTATE AND INCOME (Pa.R.O.C.P. 14.2(a)(10))

9. SERVICES BEING PROVIDED TO AIP (Pa.R.O.C.P. 14.2(a)(11))

[________________________________]

10. RECOMMENDED GUARDIAN AND POWERS (Pa.R.O.C.P. 14.2(a)(12))

Powers sought:

Person (20 Pa.C.S. § 5521(a)):
☐ Determine residence
☐ Consent to medical / dental / mental health treatment
☐ Arrange social services, training, education
☐ Authorize release of confidential information
☐ Other: [____________]

Estate (20 Pa.C.S. § 5521(b)):
☐ Marshal, manage, protect property
☐ Pay debts and bills
☐ Manage accounts
☐ File taxes
☐ Apply for public benefits
☐ Sell real estate (with court approval)
☐ Other: [____________]

11. PRIOR LEGAL OR ADVANCE DIRECTIVES (Pa.R.O.C.P. 14.2(a)(13))

12. LESS RESTRICTIVE ALTERNATIVES CONSIDERED (Pa.R.O.C.P. 14.2(a)(14); 20 Pa.C.S. § 5512.1(a)(3); Act 61)

13. PRAYER

Petitioner prays the Court:

☐ Schedule a hearing on this Petition
☐ Issue a Citation to be served with this Petition (Pa.R.O.C.P. 14.2(g))
☐ Appoint counsel for the AIP under Pa.R.O.C.P. 14.5 if AIP is not represented
☐ Receive expert testimony under 20 Pa.C.S. § 5518.1
☐ Adjudicate AIP as a partially or totally Incapacitated Person
☐ Appoint [NAME] as Limited / Plenary Guardian of the ☐ Person ☐ Estate ☐ Both
☐ Set bond as required
☐ Schedule review hearing within one year if there may be a change in capacity (20 Pa.C.S. § 5514; Act 61)
☐ Grant such further relief as is just

VERIFICATION (Pa.R.O.C.P. 1.5)

I verify that the statements made in the foregoing Petition are true and correct. I understand that false statements herein are made subject to the penalties of 18 Pa.C.S. § 4904 (unsworn falsification to authorities).

Dated: [__/__/____] [____________________________]
Petitioner

PART 2 — CITATION WITH NOTICE (Pa.R.O.C.P. 14.2(g) / Form G-01)

CITATION WITH NOTICE OF GUARDIANSHIP PROCEEDING (Form G-01)

TO: [NAME OF ALLEGED INCAPACITATED PERSON]

A Petition has been filed in the Orphans' Court Division asking the Court to declare you incapacitated and to appoint a guardian to make decisions for you. THIS CASE MAY RESULT IN A LOSS OF YOUR LEGAL RIGHTS.

YOUR RIGHTS:

• You have the right to attend the hearing and to be heard. The hearing must be held in your presence unless the Court is satisfied your presence will be detrimental.
• You have the right to be represented by a lawyer. The Court will appoint a lawyer for you at no cost to you if you cannot afford one (mandatory under Act 61 of 2023).
• You have the right to present evidence and cross-examine witnesses.
• You have the right to request a jury trial.
• You have the right to an independent evaluation of your capacity (20 Pa.C.S. § 5511(d)).
• The petitioner must prove your incapacity by clear and convincing evidence (20 Pa.C.S. § 5511(a)).
• If you are found partially or totally incapacitated, the Court will impose only those restrictions necessary; less restrictive alternatives must be considered.

HEARING:

You must appear at the hearing. If you do not appear, the Court may proceed without you.

This Citation has been explained to you in language you are most likely to understand.

PART 3 — NOTICE TO INTERESTED PARTIES (Pa.R.O.C.P. 14.2(g))

Citation with Notice and copies of Petition served on:

PART 4 — EXPERT EVALUATION / TESTIMONY (20 Pa.C.S. § 5518.1)

EVALUATION OF [NAME OF AIP] — by [NAME OF EXPERT], ☐ M.D. ☐ Licensed Psychologist

I have personally evaluated the AIP and the foregoing statements are true to a reasonable degree of professional certainty.

[____________________________]
Expert

Date: [__/__/____]

PART 5 — APPOINTMENT OF COUNSEL FOR AIP (Pa.R.O.C.P. 14.5; Act 61 of 2023) — MANDATORY

ORDER APPOINTING COUNSEL FOR ALLEGED INCAPACITATED PERSON

The Court APPOINTS [NAME OF ATTORNEY], Esq., as Counsel for [NAME OF AIP].

Counsel shall:

☐ Personally meet with the AIP within reasonable time
☐ Inform AIP of the nature of the proceeding and the AIP's rights
☐ Determine and represent the AIP's expressed wishes (Pa.R.P.C. 1.14)
☐ Investigate the allegations and any potential defenses
☐ Attend hearing and represent AIP zealously
☐ Be compensated from AIP's estate or from county funds if AIP is indigent

Dated: [__/__/____] [____________________________]
Judge of the Orphans' Court

PART 6 — LESS RESTRICTIVE ALTERNATIVE ANALYSIS (20 Pa.C.S. § 5512.1(a)(3); Act 61)

Court findings required: that less restrictive alternatives are insufficient to meet AIP's needs.

[________________________________]
[________________________________]

PART 7 — BOND (20 Pa.C.S. § 5121, § 5522)

Bond requested in the amount of $[____________].

Calculation: Value of personal property of Estate plus probable income for one year (20 Pa.C.S. § 5121).

Waiver / reduction requested because:

☐ Corporate fiduciary (20 Pa.C.S. § 5121(b))
☐ Guardian of Person only with no Estate powers
☐ Liquid assets to be placed in restricted account requiring court order

PART 8 — DECREE ADJUDICATING INCAPACITY AND APPOINTING GUARDIAN (20 Pa.C.S. § 5512.1)

DECREE OF ADJUDICATION OF INCAPACITY AND APPOINTMENT OF GUARDIAN

A hearing was held on [__/__/____]. The Court considered the Petition, expert testimony required by 20 Pa.C.S. § 5518.1, counsel's representations, evidence presented, and the testimony of witnesses, and FINDS by clear and convincing evidence:

1. [NAME] is ☐ totally incapacitated ☐ partially incapacitated.
2. Specific factual findings on incapacity:
   - [________________________________]
3. The following less restrictive alternatives have been considered and are insufficient:
   - [________________________________]
4. [NAME OF GUARDIAN] is qualified and not disqualified, and shall serve as ☐ Plenary ☐ Limited Guardian of the ☐ Person ☐ Estate ☐ Both.
5. If individual seeking third active guardianship, certification under Pa.R.O.C.P. 14.6(c) has been completed.
6. PA State Police criminal record check filed.

IT IS ORDERED, ADJUDGED, AND DECREED:

• [NAME OF AIP] is adjudicated to be a ☐ Partially ☐ Totally Incapacitated Person.
• [NAME] is appointed ☐ Limited ☐ Plenary Guardian of the ☐ Person ☐ Estate ☐ Both.
• The Guardian's powers are limited to those set forth on Exhibit A attached.
• The AIP retains the rights specifically set forth on Exhibit B attached (limited guardianship).
• Bond is fixed at $[____________] (or waived).
• Letters of Guardianship shall issue upon filing of any required bond and oath/acknowledgment.
• Guardian of the Estate shall file Inventory within 90 days (20 Pa.C.S. § 5142).
• Guardian shall file Annual Report (20 Pa.C.S. § 5521(c)(1)).
• Guardian of the Estate shall file Account on termination or as required (20 Pa.C.S. § 5533).
• Review hearing scheduled for [__/__/____] (within one year if there may be a change in capacity — Act 61; 20 Pa.C.S. § 5514).
• Guardian shall complete required Guardian Training (where applicable).

Dated: [__/__/____] [____________________________]
Judge of the Orphans' Court

PART 9 — OATH / ACKNOWLEDGMENT OF GUARDIAN

I, [NAME], having been appointed Guardian of the ☐ Person ☐ Estate ☐ Both of [NAME OF INCAPACITATED PERSON] by Decree of this Court dated [__/__/____], hereby acknowledge my appointment and affirm that I will faithfully perform the duties of guardian according to law, including the duty to assert the rights and best interests of the IP, to respect the expressed wishes and preferences of the IP to the greatest possible extent (20 Pa.C.S. § 5521(a)), and to encourage the IP's participation in decisions to the extent able.

[____________________________]
Guardian

Date: [__/__/____]

Sworn / affirmed before me on [__/__/____].

[____________________________]
Notary / Clerk

PART 10 — LETTERS OF GUARDIANSHIP

COMMONWEALTH OF PENNSYLVANIA
COURT OF COMMON PLEAS — ORPHANS' COURT DIVISION
[__________] COUNTY

LETTERS OF GUARDIANSHIP

These Letters certify that on [__/__/____], by Decree of the Orphans' Court Division of the Court of Common Pleas of [__________] County, Pennsylvania, in the matter of [NAME OF INCAPACITATED PERSON], an Incapacitated Person (No. [____________]):

[NAME OF GUARDIAN] was appointed Limited / Plenary Guardian of the ☐ Person ☐ Estate ☐ Both of the said Incapacitated Person, with powers as set forth in the Decree dated [__/__/____].

Guardian has filed the prescribed Oath / Acknowledgment, and any required bond in the amount of $[____________], and is authorized to act in such capacity.

Witness my hand and seal of office on [__/__/____].

[____________________________]
Clerk of the Orphans' Court, [__________] County, Pennsylvania

[SEAL]

PART 11 — INVENTORY AND ANNUAL REPORTING

11.1 Inventory (20 Pa.C.S. § 5142)

Guardian of the Estate must file Inventory of property of IP within 90 days of appointment.

11.2 Annual Report — Guardian of the Person (20 Pa.C.S. § 5521(c)(1))

Filed annually with the Court:

☐ Current address and living arrangement
☐ Major health-related events
☐ Medical / professional services
☐ Social environment and quality of life
☐ Visitation
☐ Statement of IP's preferences expressed to Guardian
☐ Statement of decisions made
☐ Plan for upcoming year
☐ Guardian's recommendations regarding any change in capacity / less restrictive alternatives

11.3 Annual Report — Guardian of the Estate (20 Pa.C.S. § 5521(c)(1))

☐ Receipts and disbursements
☐ Statement of remaining assets
☐ Bond status
☐ Any unusual transactions
☐ Plan for upcoming year

11.4 Final Account (20 Pa.C.S. § 5533)

Filed at termination of guardianship, death of IP, or removal of guardian.

11.5 Review Hearing (20 Pa.C.S. § 5514; Act 61)

Required within one year if there may be a change in capacity, and at other times as the Court directs.

11.6 Restoration to Capacity (20 Pa.C.S. § 5524)

The IP, the guardian, or any interested person may petition for adjudication of restoration of capacity at any time.

PART 12 — EMERGENCY GUARDIAN (20 Pa.C.S. § 5513) — REFERENCE

Where imminent harm to person or estate:

☐ Verified petition with specific facts establishing emergency
☐ Emergency Guardian of Person: up to 72 hours, extendable to additional 20 days
☐ Emergency Guardian of Estate: up to 30 days
☐ Full guardianship proceeding under 20 Pa.C.S. § 5511 must then be initiated

PART 13 — CERTIFICATION REQUIREMENT FOR THIRD ACTIVE GUARDIANSHIP (20 Pa.C.S. § 5511(f)(2); Pa.R.O.C.P. 14.6(c); Act 61)

For Proposed Guardian seeking a third or subsequent active guardianship:

☐ Certification obtained through approved certification body (e.g., Center for Guardianship Certification)
☐ Education and employment history submitted
☐ Federal and PA criminal history submitted
☐ Documentation attached to Petition (Pa.R.O.C.P. 14.2(c)(2))

SOURCES AND REFERENCES

• 20 Pa.C.S. Ch. 55: https://www.legis.state.pa.us/cfdocs/legis/LI/consCheck.cfm?txtType=HTM&ttl=20&div=0&chpt=55
• Pa.R.O.C.P. Ch. 14: https://www.pacodeandbulletin.gov/
• Act 61 of 2023 (P.L. 446) — full text via Pennsylvania General Assembly
• Pa.R.O.C.P. Adoption Report (Dec. 18, 2024) — implementing Act 61
• Disability Rights Pennsylvania — Guardianship in PA (Chapter 10)
• Center for Guardianship Certification: https://www.guardianshipcert.org
• PA State Police PATCH: https://epatch.pa.gov

END OF PACKAGE