Arizona Adult Guardianship / Conservatorship Petition Package

ARIZONA ADULT GUARDIANSHIP / CONSERVATORSHIP PETITION PACKAGE

Petition for Appointment of Permanent Guardian and / or Conservator for an Incapacitated / Protected Adult

Statutory Framework: A.R.S. § 14-5301 et seq. (Guardianship); § 14-5401 et seq. (Conservatorship); Arizona Rules of Probate Procedure 17-30.

Court of Jurisdiction: Superior Court of Arizona — Probate Division — in the county where the alleged incapacitated person ("AIP") / proposed protected person resides.

Standard of Proof: Clear and convincing evidence (A.R.S. § 14-5304).

2019 Reform: SB 1038 strengthened due process protections, required consideration of less-restrictive alternatives, expanded reporting requirements, and reinforced the role of court investigators and counsel.

PART 1 — PRE-PETITION CHECKLIST

☐ Confirm Arizona venue: county of AIP's residence.

☐ Loss of driving privilege upon guardianship — to retain, request expressly in petition and obtain physician's statement.

☐ Loss of voting right upon guardianship — to retain (limited guardianship only), request expressly; Court must find by clear and convincing evidence that AIP retains sufficient understanding to vote.

☐ Identify less-restrictive alternatives BEFORE filing (required by SB 1038 — A.R.S. § 14-5301.01 — and Arizona Rules of Probate Procedure):
☐ Durable power of attorney (financial — A.R.S. § 14-5501)
☐ Health care power of attorney (A.R.S. § 36-3221)
☐ Mental health care power of attorney (A.R.S. § 36-3281)
☐ Living will / advance directive
☐ Representative payee
☐ Supported decision-making
☐ Trust
☐ Joint account / authorized signer
☐ Limited guardianship / conservatorship (preferred over full)

☐ Determine type of appointment sought (general guardianship vs. limited; conservatorship vs. single-transaction protective order).

☐ Identify all persons entitled to notice (A.R.S. § 14-1401; § 14-5309; § 14-5405).

☐ Engage a physician, psychologist, or registered nurse to prepare medical / psychological report (A.R.S. § 14-5303(C)).

☐ Complete required Maricopa County / county-specific forms (Petition; Affidavit of Person to Be Appointed; Motion to Appoint Attorney, Medical Professional, and Investigator).

☐ Determine proposed bond amount (A.R.S. § 14-5411).

☐ Prepare proposed Order Appointing Attorney, Physician / Psychologist / RN, and Court Investigator.

PART 2 — PROBATE INFORMATION FORM

PART 3 — VERIFIED PETITION FOR APPOINTMENT OF PERMANENT GUARDIAN AND / OR CONSERVATOR

IN THE SUPERIOR COURT OF THE STATE OF ARIZONA
IN AND FOR THE COUNTY OF [____________________]
Case No.: [____________________]

VERIFIED PETITION FOR APPOINTMENT OF PERMANENT GUARDIAN AND / OR CONSERVATOR

(A.R.S. §§ 14-5303, 14-5404, 14-5407)

Petitioner, being first duly sworn, states:

1. Petitioner Identification and Interest. Name: [____________________]. Relationship to AIP: [____________________]. Interest in the action: [____________________].

2. Alleged Incapacitated / Proposed Protected Person. Name: [____________________]. Age: [____]. Date of birth: [__/__/____]. Residence and address: [____________________________________]. Marital status: [____________________].

3. Proposed Guardian / Conservator (with priority for appointment, if any — A.R.S. § 14-5311 / § 14-5410):
(a) Name: [____________________________________]
(b) Address / phone: [____________________________________]
(c) Relationship to AIP: [____________________]
(d) Priority basis: [____________________]

4. Existing Conservator (if any) — name and address: [____________________________________]

5. Nearest Relatives Known to Petitioner (A.R.S. § 14-5309 — spouse, adult children, parents, adult siblings):

6. General Statement of Property (A.R.S. § 14-5404(B)(6)):
(a) Real property: $[____________]
(b) Personal property / cash / accounts: $[____________]
(c) Compensation, insurance, pension, allowance, anticipated entitlements: $[____________]
(d) Total estimated value: $[____________]

7. Reason Why Appointment Is Necessary. [____________________________________]

8. Type of Guardianship / Conservatorship Requested.
☐ General guardianship — Petitioner states why limited guardianship is NOT appropriate: [____________________]
☐ Limited guardianship — specific powers requested: [____________________]
☐ General conservatorship
☐ Limited conservatorship — specific authority requested: [____________________]
☐ Single transaction protective order (A.R.S. § 14-5408)

9. Pre-Existing Order Regarding Legal Decision-Making. If a legal decision-making, parenting time, or visitation order was previously entered regarding the AIP, court and case number: [____________________]. Copy of most recent order attached.

10. Physical Incapacity Only? Is appointment necessary solely due to physical incapacity? ☐ Yes ☐ No.

11. Health Care Power of Attorney. Is AIP principal under HCPOA? ☐ Yes ☐ No. If yes, copy attached.

12. Durable POA Nominating Guardian. Is AIP principal under durable POA nominating a guardian? ☐ Yes ☐ No. If yes, copy attached.

13. Trust Interest. Does AIP have a present vested interest in any trust? ☐ Yes ☐ No. Name of trust and current trustee: [____________________]

14. Less Restrictive Alternatives Considered and Why Insufficient (SB 1038 reform): [____________________________________]

15. Retention of Voting Right (if limited guardianship): Petitioner [☐ requests ☐ does not request] that AIP retain the right to vote. Basis: [____________________]

16. Retention of Driving Privilege: Petitioner [☐ requests ☐ does not request] that AIP retain driving privileges. Physician's statement [☐ attached ☐ not attached].

WHEREFORE, Petitioner prays for entry of orders:
(a) Appointing an attorney to represent AIP;
(b) Appointing a physician, psychologist, or registered nurse to examine AIP and submit a written report under A.R.S. § 14-5303(C);
(c) Appointing a court investigator to interview AIP, visit AIP's residence, interview the proposed guardian, and submit a written report;
(d) Setting the matter for hearing;
(e) After hearing, adjudicating AIP an incapacitated person and / or in need of protection;
(f) Appointing [Proposed Guardian / Conservator];
(g) Setting bond;
(h) Issuing Letters; and
(i) Granting such other relief as is just.

VERIFICATION. I declare under penalty of perjury that the foregoing is true and correct to the best of my knowledge.

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

PART 4 — AFFIDAVIT OF PERSON TO BE APPOINTED

I, [____________________], the proposed [☐ guardian ☐ conservator], being duly sworn, depose and say:

1. I am [____] years old, reside at [____________________________________], and am [☐ a U.S. citizen ☐ legally present in the U.S.].

2. I am [related to / not related to] AIP as [____________________].

3. I have NOT been:
   ☐ Convicted of a felony involving fraud, dishonesty, or breach of fiduciary duty
   ☐ Adjudicated incapacitated
   ☐ Suspended or removed as fiduciary
   ☐ Filed for bankruptcy in the last seven years (if filed, explain): [____________________]

4. Criminal history disclosure: [____________________]

5. I am willing and qualified to serve, and I consent to jurisdiction of the Court (A.R.S. § 14-5308).

6. I understand my duties and have reviewed the Order to Fiduciary / training materials.

7. I am [☐ a licensed Arizona fiduciary ☐ not a licensed fiduciary; serving as family member]. (Compensated non-family fiduciaries generally must be licensed by Arizona Supreme Court Code of Judicial Administration § 7-202.)

Signed: [______________________________] Sworn before me this [____] day of [__________], 20[____].

[______________________________] Notary Public

PART 5 — MOTION FOR APPOINTMENT OF ATTORNEY, PHYSICIAN / PSYCHOLOGIST / RN, AND COURT INVESTIGATOR

Petitioner moves the Court to enter an Order appointing:

(a) Attorney for AIP (A.R.S. § 14-5303(C)). If AIP already has independent counsel, name and address: [____________________]. Otherwise, request appointment from Court's list.

(b) Medical Professional (A.R.S. § 14-5303(C)). The Court SHALL appoint a physician, psychologist, or registered nurse in guardianship cases (and may in conservatorship cases) to examine AIP and submit a written report. Preferred examiner (if AIP has established treatment relationship): [____________________].

(c) Court Investigator. The Court shall appoint from its list. Investigator's duties:
☐ Interview AIP
☐ Interview proposed guardian / conservator
☐ Visit AIP's current and proposed residence
☐ Submit written report to the Court

Proposed Order Appointing Attorney, Physician / Psychologist / RN, and Court Investigator is filed concurrently.

PART 6 — NOTICE OF HEARING (A.R.S. §§ 14-1401, 14-5309, 14-5405)

TO: [Name of AIP] and all interested parties

You are hereby notified that a Petition has been filed in [__________] County Superior Court, Case No. [__________], requesting appointment of a guardian and / or conservator for [Name of AIP].

A hearing has been set for [__/__/____] at [____] [☐ a.m. ☐ p.m.] in Courtroom [____] at [____________________________________].

RIGHTS OF AIP (A.R.S. § 14-5303)

1. Be present at the hearing and see / hear all evidence.
2. Be represented by counsel — the Court will appoint counsel if AIP does not have an attorney.
3. Present evidence and cross-examine witnesses, including the court-appointed examiner and investigator.
4. Trial by jury on request.
5. Closed hearing on request.
6. Independent evaluation at AIP's request.

Notice must be given at least 14 days before hearing (Ariz. R. Probate P. 9 and § 14-1401).

PART 7 — PHYSICIAN / PSYCHOLOGIST / RN REPORT (A.R.S. § 14-5303(C))

EXAMINATION REPORT

1. Examiner. Name: [____________________]. License: [____________________]. Specialty: [____________________].
2. Date and place of examination: [__/__/____] at [____________________].
3. Existing treatment relationship? ☐ Yes ☐ No.
4. Diagnosis and prognosis: [____________________________________]
5. Description of AIP's specific cognitive, functional, and behavioral limitations: [____________________________________]
6. Medications: [____________________________________]
7. Opinion on incapacity — extent AIP lacks ability to make / communicate responsible decisions concerning person and / or estate: [____________________________________]
8. Specific domains where capacity exists / is lacking:

9. Recommendation regarding guardianship / conservatorship (least restrictive): [____________________________________]
10. Ability to attend hearing and method of participation: [____________________]

Signature of Examiner: [______________________________] Date: [__/__/____]

PART 8 — COURT INVESTIGATOR REPORT

The investigator shall:

☐ Interview AIP in person and explain the proceeding in a manner AIP can understand.
☐ Interview the proposed guardian / conservator.
☐ Visit AIP's current and proposed residence.
☐ Review the medical / psychological report.
☐ Investigate less-restrictive alternatives.
☐ Investigate suitability of proposed appointee.
☐ Submit written report addressing:
☐ Findings on incapacity / need for protection
☐ Suitability of proposed guardian / conservator
☐ Recommended powers (limited vs. general)
☐ Whether AIP should be present at hearing
☐ Whether independent counsel is adequate

PART 9 — LESS RESTRICTIVE ALTERNATIVE ANALYSIS (SB 1038 / A.R.S. § 14-5301.01)

PART 10 — BOND (A.R.S. § 14-5411)

Conservator bond is required in an amount equal to the aggregate value of the conservatorship estate plus one year's anticipated income, less the value of property held in restricted accounts, unless the Court orders otherwise.

☐ Bond amount: $[____________]
☐ Surety: [______________________________]
☐ Bond waived (basis): [______________________________]
☐ Restricted account(s) in lieu of / reducing bond: [______________________________]

PART 11 — ORDER OF APPOINTMENT

IN THE SUPERIOR COURT OF THE STATE OF ARIZONA, IN AND FOR THE COUNTY OF [____________________]
Case No.: [____________________]

This matter came before the Court on [__/__/____] upon the Verified Petition; the report of the court-appointed medical professional under A.R.S. § 14-5303(C); the report of the court investigator; the report and recommendations of counsel for AIP; and the evidence presented. The Court FINDS by CLEAR AND CONVINCING EVIDENCE:

(a) [Name] is an incapacitated person within the meaning of A.R.S. § 14-5101(3) / a person in need of protection under A.R.S. § 14-5401.
(b) The appointment is necessary as a means of providing continuing care and supervision and / or to manage the estate.
(c) The Court has considered less restrictive alternatives and finds that they are insufficient.
(d) The appointment is the least restrictive intervention necessary.

IT IS ORDERED:

1. [Name] is appointed [☐ guardian ☐ conservator ☐ both] of [Name of AIP].
2. The appointment is [☐ general / plenary ☐ limited, with the following specific powers: ____________________].
3. Bond is set at $[____________] with [☐ surety ☐ blocked accounts ☐ waiver].
4. AIP retains the following rights: [____________________].
5. AIP loses the right to [☐ drive ☐ vote ☐ marry ☐ make health care decisions ☐ contract ☐ other: ____________].
6. Annual report and / or accounting due (see Part 13).
7. Letters of [Guardianship / Conservatorship] shall issue upon qualification.

[______________________________] Judge / Commissioner Dated: [__/__/____]

PART 12 — LETTERS OF GUARDIANSHIP / CONSERVATORSHIP

Issued by the Clerk of the Superior Court of [__________] County certifying the authority of [Name] to act as [guardian / conservator] of [Name of AIP], pursuant to Order entered [__/__/____].

[______________________________] Clerk

PART 13 — INVENTORY AND ANNUAL ACCOUNTING / REPORTING

Conservator's Inventory (A.R.S. § 14-5418): Filed within 90 days of appointment. Includes:
☐ All assets at fair market value as of date of appointment
☐ Description and location of each asset
☐ Income sources

Conservator's Annual Account (A.R.S. § 14-5419): Filed annually on the anniversary date. Includes:
☐ Beginning balance
☐ Receipts (itemized)
☐ Disbursements (itemized)
☐ Investment activity
☐ Ending balance
☐ Supporting documentation (vouchers, bank statements)
☐ Bond review

Guardian's Annual Report (A.R.S. § 14-5310.01): Filed annually. Includes:
☐ Current residence
☐ Major medical / mental health treatment
☐ Major decisions
☐ Frequency and nature of contacts with ward
☐ Recommendation regarding continuation, modification, termination

Compensation (A.R.S. § 14-5314 / § 14-5651): Reasonable compensation subject to Court approval; non-family compensated fiduciaries must be licensed.

SOURCES AND REFERENCES

• A.R.S. Title 14, Chapter 5 — https://www.azleg.gov/arsDetail/?title=14
• Arizona Rules of Probate Procedure — https://www.azcourts.gov
• Arizona Supreme Court Administrative Order — Licensed Fiduciaries (Code of Judicial Administration § 7-202)
• Maricopa County Superior Court Probate Forms (PB10 series) — https://superiorcourt.maricopa.gov
• Pima County / Mohave County probate self-service forms
• SB 1038 (2019) — guardianship and conservatorship reform legislation