Principals & Responsible Agents

Chapter 14 of the Pennsylvania Orphan’s Court Rules, effective on June 1, 2019, established requirements for instances in which an organization is named as a guardian on a petition of incapacity. In this situation, rule 14.2 (b)(1) indicates that a petition of incapacity must specify the individual(s) acting as the principal and responsible agent on the case.

The courts are encouraged to record the individuals serving in these roles on any applicable petition of incapacity case action. In such cases, this also extends to the final order of adjudication case action.

Principals

One or more individuals that are ultimately accountable for an organization’s guardianship actions and for providing the authorization for a responsible agent to act on the organization’s behalf. The individuals who are eligible to assume this role are typically identified by the organization and there is no specific title or position that they must hold. The types of individuals identified, therefore, may include Owners, Presidents, Vice Presidents, Chief Executive Officers (CEOs), Chief Operating Officers (COOs), Executive Directors, Managers, Trust Officers, or others.

While creating a principal participant record is similar to any other, these records are also unique in that they are associated directly to the organization so they can be identified easily on any case where an organization is the guardian.

 

 

Responsible Agents

One or more individuals chosen to perform the day-to-day responsibilities of a guardian on behalf, or in support, of an organization that has been designated as a guardian of the person and/or estate. These individuals may or may not be an employee of that organization.

While creating a responsible agent participant record is similar to any other, these records are also unique in that they are associated directly to the organization so they can be identified easily on any case where an organization is the guardian.