PETITION FOR APPOINTMENT OF GUARDIAN
Of the Person and/or Estate of [ALLEGED INCAPACITATED PERSON NAME]
In the Orphans’ Court Division, Court of Common Pleas of [COUNTY], Pennsylvania
Filed pursuant to 20 Pa. Cons. Stat. § 5501 et seq. and Pa. O.C. Rule 14.2
[// GUIDANCE: This template is drafted for an adult alleged incapacitated person. Modify for minor guardianships or limited‐scope guardianships as required.]
TABLE OF CONTENTS
- Document Header.............................................................................2
- Definitions.............................................................................................3
- Jurisdiction & Venue.............................................................................4
- Operative Allegations & Requested Relief........................................5
- Representations & Warranties of Petitioner....................................8
- Covenants & Restrictions Applicable to Proposed Guardian...........9
- Risk Allocation, Bond, & Indemnification......................................11
- Default, Removal, & Remedies........................................................13
- Dispute Resolution & Governing Law.............................................15
- General Provisions...........................................................................16
- Verification........................................................................................17
- Execution Block................................................................................18
- Exhibits & Schedules (List).............................................................19
1. DOCUMENT HEADER
1.1 Parties.
(a) “Petitioner”: [PETITIONER FULL LEGAL NAME], an adult individual residing at [ADDRESS], who is [relationship, if any] to the Alleged Incapacitated Person (“AIP”).
(b) “Alleged Incapacitated Person” or “AIP”: [ALLEGED INCAPACITATED PERSON FULL LEGAL NAME], date of birth [MM/DD/YYYY], currently residing at [ADDRESS OR FACILITY].
(c) “Proposed Guardian”: [PROPOSED GUARDIAN FULL LEGAL NAME], [individual/corporate fiduciary] with principal address at [ADDRESS].
1.2 Effective Date. This Petition is deemed filed on the date stamped by the Clerk of the Orphans’ Court of [COUNTY] (“Effective Date”).
1.3 Recitals.
(a) Petitioner seeks appointment of a [plenary/limited] guardian of the person, estate, or both, for the AIP under 20 Pa. Cons. Stat. § 5511.
(b) No less restrictive alternative adequately protects the AIP’s health, safety, and financial interests.
(c) The Court has jurisdiction and venue is proper as the AIP resides in [COUNTY].
2. DEFINITIONS
For purposes of this Petition, capitalized terms have the meanings set forth below; undefined capitalized terms carry their ordinary legal meaning.
“AIP” – the Alleged Incapacitated Person identified in Section 1.1(b).
“Guardian” – the person or entity ultimately appointed by the Court with legal authority over the person and/or estate of the AIP.
“Guardianship Estate” – all real and personal property, tangible or intangible, owned or controlled by the AIP.
“Least Restrictive Alternative” – a course of action that allows the AIP to retain the greatest possible autonomy consistent with protection of the AIP’s person or estate.
“Reporting Requirements” – the initial inventory, annual reports, and guardianship plans mandated under 20 Pa. Cons. Stat. §§ 5521 & 5521.1 and Pa. O.C. Rule 14.8.
3. JURISDICTION & VENUE
3.1 Subject-Matter Jurisdiction. The Orphans’ Court Division of the Court of Common Pleas has exclusive jurisdiction over guardianships of incapacitated persons under 20 Pa. Cons. Stat. § 711(12).
3.2 Personal Jurisdiction. The Court has personal jurisdiction over the AIP and Proposed Guardian because each resides or is present in Pennsylvania and has received or will receive proper notice pursuant to Pa. O.C. Rule 14.5.
3.3 Venue. Venue is proper in [COUNTY] pursuant to 20 Pa. Cons. Stat. § 5511(a), as the AIP’s “domicile” and “place of residence” are within this county.
4. OPERATIVE ALLEGATIONS & REQUESTED RELIEF
4.1 Allegations of Incapacity.
(a) Nature of Incapacity. The AIP suffers from [diagnosis], resulting in impaired capacity to [manage finances/make medical decisions/perform activities of daily living].
(b) Supporting Evidence. A Physician/Clinical Psychologist’s Verification (“Exhibit A”) concludes with reasonable medical certainty that the AIP is incapacitated and in need of guardianship.
(c) Clear & Convincing Standard. Petitioner avers that the evidence will satisfy the “clear and convincing” evidentiary standard required by 20 Pa. Cons. Stat. § 5511(a).
4.2 Necessity of Guardianship & Least Restrictive Alternative.
(a) Less Restrictive Means Exhausted. Alternatives such as Powers of Attorney, Supported Decision-Making, and joint accounts have been considered and deemed inadequate.
(b) Scope Requested. Petitioner requests a [plenary/limited] guardianship of the [person/estate/both] to the minimum extent necessary.
4.3 Requested Judicial Findings and Orders. Petitioner respectfully requests that the Court:
(a) Adjudge the AIP incapacitated;
(b) Appoint [PROPOSED GUARDIAN NAME] as Guardian of the [person/estate/both];
(c) Direct the Guardian to file an Initial Inventory within 90 days and annual reports thereafter in accordance with Reporting Requirements;
(d) Set the Guardian’s bond at $[AMOUNT] with corporate surety in compliance with 20 Pa. Cons. Stat. § 5515;
(e) Issue any Protective Orders needed to safeguard the AIP pending final hearing;
(f) Waive Court costs and filing fees if indigency is established; and
(g) Grant such other relief as the Court deems just and equitable.
4.4 Hearing Date. Petitioner requests that the Court schedule a hearing not more than 30 days from the Effective Date, or as otherwise permitted under Pa. O.C. Rule 14.2(f).
[// GUIDANCE: If emergency relief (temporary guardianship) is required, add an “Emergency Petition” subsection referencing Pa. O.C. Rule 14.2(g).]
5. REPRESENTATIONS & WARRANTIES OF PETITIONER
5.1 Standing. Petitioner is an adult individual with standing under 20 Pa. Cons. Stat. § 5511(a) as [relationship or “any interested party”].
5.2 Accuracy of Information. Petitioner represents that all factual statements herein are true and correct to the best of Petitioner’s knowledge, information, and belief.
5.3 No Conflicts. Petitioner has no financial interest in the Guardianship Estate other than potential reimbursement of out-of-pocket costs, and no conflict of interest that would disqualify Petitioner.
5.4 Survival. The representations set forth in this Section survive submission of this Petition and remain continuing duties to the Court.
6. COVENANTS & RESTRICTIONS APPLICABLE TO PROPOSED GUARDIAN
6.1 Fiduciary Duty. The Proposed Guardian covenants to act in accordance with the fiduciary duties of loyalty, care, and impartiality imposed by Pennsylvania law.
6.2 Compliance with Statutes & Regulations. Guardian shall:
(a) File the required bond before letters of guardianship issue;
(b) Submit an Initial Inventory within 90 days of appointment and annual reports thereafter;
(c) Seek Court approval for expenditures outside ordinary course;
(d) Maintain separate, fiduciary money market or checking accounts for Guardianship Estate funds; and
(e) Obtain prior Court approval before relocating the AIP or selling real property.
6.3 Notice Obligations. Guardian shall provide at least 30 days’ written notice to interested parties and the Court of any intended:
(a) Major medical procedure;
(b) Change in residence; or
(c) Sale or encumbrance of real property.
6.4 Prohibited Acts. Without prior Court authorization, the Guardian shall not:
(a) Make gifts from the Guardianship Estate;
(b) Enter into self-dealing transactions;
(c) Execute a will or codicil on behalf of the AIP; or
(d) Delegate fiduciary responsibilities.
7. RISK ALLOCATION, BOND, & INDEMNIFICATION
7.1 Bond Requirement. Pursuant to 20 Pa. Cons. Stat. § 5515, Petitioner proposes that the Guardian post a bond in the penal sum of $[AMOUNT], conditioned upon faithful discharge of duties.
7.2 Indemnification.
(a) Scope. The Guardian shall indemnify and hold harmless the AIP and the Guardianship Estate from losses arising from the Guardian’s breach of fiduciary duty, gross negligence, or willful misconduct.
(b) Source of Indemnity. Indemnification shall be first satisfied from the Guardian’s surety bond and thereafter from the Guardian’s personal assets.
7.3 Liability Cap. Except for acts of gross negligence, intentional misconduct, or breach of fiduciary duty, the Guardian’s liability shall not exceed the penal sum of the bond.
7.4 Insurance. Guardian shall maintain fiduciary liability insurance of not less than $[AMOUNT] per claim.
8. DEFAULT, REMOVAL, & REMEDIES
8.1 Events of Default. The following constitute defaults:
(a) Failure to file required reports;
(b) Misapplication or misappropriation of Guardianship Estate assets;
(c) Failure to maintain bond or insurance;
(d) Breach of fiduciary duties enumerated in Section 6.
8.2 Notice & Cure. Upon default, any interested party may serve written notice. Guardian shall have 15 days to cure, unless the Court orders otherwise.
8.3 Remedies. In addition to statutory remedies, the Court may:
(a) Suspend or remove the Guardian;
(b) Surcharge the Guardian;
(c) Call on the surety bond;
(d) Refer matters for criminal prosecution.
8.4 Attorneys’ Fees & Costs. The prevailing party in any surcharge or removal proceeding may recover reasonable attorneys’ fees from the non-prevailing party, subject to Court approval.
9. DISPUTE RESOLUTION & GOVERNING LAW
9.1 Governing Law. This proceeding is governed exclusively by the Pennsylvania Probate, Estates and Fiduciaries Code, 20 Pa. Cons. Stat. § 101 et seq., and applicable Pennsylvania procedural rules.
9.2 Forum. The Orphans’ Court Division of the Court of Common Pleas of [COUNTY], Pennsylvania, shall retain exclusive jurisdiction over all disputes, accountings, and enforcement actions arising from this guardianship.
9.3 Arbitration & Jury Trial. Arbitration is not available, and jury trial is waived by operation of law in Orphans’ Court proceedings.
9.4 Injunctive Relief. The Court may issue protective or injunctive orders necessary to safeguard the AIP pending final adjudication.
10. GENERAL PROVISIONS
10.1 Amendment & Waiver. Any amendment to guardianship authority must be obtained by petition to, and written order of, the Court.
10.2 Severability. If any provision herein is deemed unenforceable, the remaining provisions shall remain in full force to the extent consistent with statutory requirements.
10.3 Successors & Assigns. All guardianship powers and obligations run to any successor guardian duly appointed by the Court.
10.4 Integration. This Petition, together with all exhibits and any resulting Court order, constitutes the entire guardianship pleading concerning the AIP.
10.5 Electronic Signatures. Electronic filings and signatures are permitted where authorized by statewide or local e-filing rules.
11. VERIFICATION
I, [PETITIONER NAME], verify that the statements made in this Petition are true and correct to the best of my knowledge, information, and belief. I understand that false statements herein are made subject to the penalties of 18 Pa. Cons. Stat. § 4904 (unsworn falsification to authorities).
Date: __ 202 _____
[PETITIONER NAME]
12. EXECUTION BLOCK
Respectfully submitted,
[LAW FIRM NAME]
By: _________
[ATTORNEY NAME], Esq.
PA Attorney I.D. No. [BAR #]
[ADDRESS]
Tel: [PHONE] | Email: [EMAIL]
Counsel for Petitioner
13. EXHIBITS & SCHEDULES
A. Physician/Clinical Psychologist’s Verification
B. Proposed Guardian’s Consent to Serve
C. Criminal Background Check & Child Abuse Clearance (if applicable)
D. Proposed Order Appointing Guardian
E. Bond Form
F. Guardianship Plan (if limited guardianship)
G. List of Interested Parties & Proofs of Service
[// GUIDANCE: Attach or reference local county forms for Exhibit E (Bond) and Exhibit D (Proposed Order). Confirm formatting requirements with the Clerk’s office—many counties provide mandatory form orders.]