Rule 6-501. Reporting requirements for guardians and
conservators.
Intent:
To establish the requirements sufficient to satisfy the Utah
Uniform Probate Code.
Applicability:
This rule applies to guardians and conservators with the following
exceptions:
This rule does not apply if the conservator or coguardian is the
parent of the ward.
Paragraph (1) does not apply to the guardian of a minor if the
guardianship is limited to the purpose of attending school.
Paragraph (1) does not apply to a conservator licensed under the
Title 7, Chapter 5, Trust Business, to a guardian licensed under
§75-5-311(1)(a), or to the Office of Public Guardian.
Paragraphs (6)(A), (6)(B) and (6)(C) do not apply to the guardian
of a minor if the guardianship is limited to the purpose of attending school. A
person interested in the minor may request a report under Utah Code Section
75-5-209.
Paragraph (6)(D) does not apply to the guardian of a minor if the
minor’s estate is deposited in an account requiring judicial approval for withdrawal
or if there is no estate. A person interested in the minor may request an
accounting under Utah Code Section 75-5-209.
Statement of the Rule:
(1) Examination and private
information record.
(1)(A) Before the court enters an order appointing a guardian or
conservator, the guardian or conservator shall file a verified statement
showing satisfactory completion of a court-approved examination on the
responsibilities of a guardian or conservator.
(1)(B) After the court enters the order of appointment, the
guardian or conservator shall file within 7 days a completed and verified
Private Information Record form provided by the Administrative Office of the
Courts. The guardian or conservator shall continue to keep the
court apprised of any changes to the guardian or conservator’s
contact information.
(2) Recordkeeping. The
guardian shall keep contemporaneous records of significant events in the life
of the ward and produce them if requested by the court. The conservator shall
keep contemporaneous receipts, vouchers or other evidence of income and
expenses and produce them if requested by the court. The guardian and
conservator shall maintain the records until the appointment is terminated and
then deliver them to the ward, if there is no successor, to the successor
guardian or conservator, or to the personal representative of the ward’s
estate.
(3) Definitions.
(3)(A) “Accounting” means the annual accounting required by Utah
Code Section 75-5-312 and Section 75-5-417 and the final accounting required by
Utah Code Section 75-5-419.
(3)(B) “Interested persons” means the ward, if he or she is of an
appropriate age and mental capacity to understand the proceedings, the ward’s
guardian and conservator, the ward’s spouse, adult children, parents and
siblings and anyone requesting notice under Utah Code Section 75-5-406. If no
person is an interested person, then interested person includes at least one of
the ward’s closest adult relatives, if any can be found.
(3)(C) “Inventory” means the inventory required by Utah Code
Section 75-5-418.
(3)(D) “Serve” means any manner of service permitted by Utah Rule
of Civil Procedure 5.
(3)(E) “Report” means the annual report on the status of the ward
required by Utah Code Section 75-5-209 and Section 75-5-312.
(3)(F) “Ward” means a minor or an incapacitated person for whom
the court appoints a guardian or a protected person for whom the court appoints
a conservator.
(4) Report forms. Subject
to the requirements of Paragraph (5):
(4)(A) forms substantially conforming to the forms produced by the
Utah court website are acceptable for content and format for the report and
accounting filed under the Utah Uniform Probate Code;
(4)(B) a corporate fiduciary may file its internal
report or accounting; and
(4)(C) if the ward's estate is limited to a federal or
state program requiring an annual accounting, the fiduciary may file a copy of
that accounting.
(5) Report information.
The report, inventory and accounting shall contain sufficient information to
put interested persons on notice of all significant events and transactions
during the reporting period. Compliance with Paragraph (4) is presumed
sufficient, but the court may direct that a report or accounting be prepared
with content and format as it deems necessary.
(6) Status reports.
(6)(A) The guardian shall file with the appointing court a report
on the status of the ward no later than 60 days after the anniversary of the
appointment. The guardian shall file the report with the court that appointed
the guardian unless that court orders a change in venue under Utah Code Section
75-5-313. The reporting period is yearly from the appointment date unless the
court changes the reporting period on motion of the guardian. The guardian may
not file the report before the close of the reporting period. For good cause
the court may extend the time for filing the report, but a late filing does not
change the reporting period.
(6)(B) The guardian shall serve a copy of the report on all
interested persons with notice that the person may object within 30 days after
the notice was served.
(6)(C) If an interested person objects, the person shall specify
in writing the entries to which the person objects and state the reasons for
the objection. The person shall file the objection with the court and serve a
copy on all interested persons. If an objection is filed, the judge shall
conduct a hearing. The judge may conduct a hearing even though no objection is
filed. If the judge finds that the report is in order, the judge shall approve
it.
(6)(D) If there is no conservator, the guardian shall file the
inventory and accounting required of a conservator.
(7) Inventory reports.
(7)(A) Within 90 days after the appointment, the conservator shall
file with the appointing court the inventory required by Utah Code Section
75-5-418. For good cause the court may extend the time for filing the
inventory.
(7)(B) The conservator shall serve a copy of the inventory on all
interested persons with notice that the person may object within 30 days after
the notice was served.
(7)(C) If an interested person objects, the person shall specify
in writing the entries to which the person objects and state the reasons for
the objection. The person shall file the objection with the court and serve a
copy on all interested persons. If an objection is filed, the judge shall
conduct a hearing. The judge may conduct a hearing even though no objection is
filed. If the judge finds that the inventory is in order, the judge shall
approve it.
(8) Accounting reports.
(8)(A) The conservator shall file with the appointing court an
accounting of the estate of the ward no later than 60 days after the
anniversary of the appointment. The conservator shall file the accounting with
the court that appointed the conservator unless that court orders a change in
venue under Utah Code Section 75-5-403. The reporting period is yearly from the
appointment date unless the court changes the reporting period on motion of the
conservator. The conservator may not file the accounting before the close of
the reporting period. For good cause the court may extend the time for filing
the accounting, but a late filing does not change the reporting period.
(8)(B) The conservator shall serve a copy of the accounting on all
interested persons with notice that the person may object within 30 days after
the notice was served.
(8)(C) If an interested person objects, the person shall specify
in writing the entries to which the person objects and state the reasons for
the objection. The person shall file the objection with the court and serve a
copy on all interested persons. If an objection is filed, the judge shall
conduct a hearing. The judge may conduct a hearing even though no objection is
filed. If the judge finds that the accounting is in order, the judge shall
approve it.
(9) Final accounting.
(9)(A) The conservator shall file with the court a final
accounting of the estate of the ward with the motion to terminate the
appointment.
(9)(B) The conservator shall serve a copy of the accounting on all
interested persons with notice that the person may object within 30 days after
the notice was served.
(9)(C) If an interested person objects, the person shall specify
in writing the entries to which the person objects and state the reasons for
the objection. The person shall file the objection with the court and serve a
copy on all interested persons. If an objection is filed, the judge shall
conduct a hearing. The judge may conduct a hearing even though no objection is
filed. If the judge finds that the accounting is in order, the judge shall
approve it.
Effective May 1, 2018