Texas Adult Guardianship Application + Letters of Guardianship Package

TEXAS ADULT GUARDIANSHIP APPLICATION + LETTERS OF GUARDIANSHIP PACKAGE

PART 0 — PRE-APPLICATION CHECKLIST

0.1 Less Restrictive Alternatives (REQUIRED — Tex. Estates Code § 1101.101(a)(1)(D)–(E); HB 39 (2015))

The Court must find by clear and convincing evidence that alternatives to guardianship and supports and services have been considered and determined not to be feasible. Document:

☐ Existing Statutory Durable Power of Attorney (Tex. Estates Code Ch. 752) reviewed — agent's authority, scope, current validity
☐ Medical Power of Attorney (Tex. Health & Safety Code Ch. 166) reviewed
☐ Directive to Physicians / Advance Directive reviewed
☐ Declaration for Mental Health Treatment (Tex. Civ. Prac. & Rem. Code Ch. 137) reviewed
☐ Supported Decision-Making Agreement (Tex. Estates Code Ch. 1357) considered/attempted
☐ Representative Payee (Social Security / VA) considered
☐ Joint bank accounts or multiple-party accounts considered
☐ Trusts (revocable, supplemental needs, Medicaid-compliant) considered
☐ Special Needs Trust / Pooled SNT considered
☐ Designation of Guardian Before Need Arises (Tex. Estates Code § 1104.202) reviewed
☐ Person's capacity to execute new advance planning documents medically evaluated — INSUFFICIENT

0.2 Documents to Obtain Before Filing

☐ Physician's Certificate of Medical Examination (PCME) — examination within 120 days before application filed (Tex. Estates Code § 1101.103); from physician licensed in Texas, psychologist with IDD expertise, or APRN under physician supervision (per HB 3009 (2023))
☐ Proposed ward's social history
☐ Inventory of assets (real / personal / income / public benefits)
☐ List of relatives (spouse, parents, adult children, adult siblings)
☐ Criminal background check on proposed guardian (Tex. Estates Code § 1104.402)
☐ Guardianship Certification through Judicial Branch Certification Commission (if non-family, paid guardian — Tex. Gov't Code Ch. 155)
☐ Confirmation no disqualifying conviction or relationship (Tex. Estates Code § 1104.351 et seq.)

0.3 Procedural Diligence

☐ Filing fee or affidavit of indigency
☐ Service of Citation on Proposed Ward must be personal, by sheriff/constable (Tex. Estates Code § 1051.103)
☐ Hearing may not be held until the Monday following expiration of 10 days after service AND after attorney ad litem appointed
☐ Notice by registered/certified mail to spouse, parents, adult children, adult siblings (Tex. Estates Code § 1051.104)
☐ Court Investigator inquiry anticipated (statutory probate counties — Tex. Estates Code § 1054.151)
☐ Court Visitor visit anticipated (Tex. Estates Code § 1054.102)
☐ Mediation order anticipated if contested (Tex. Gov't Code § 154.021; many counties have local rules)

PART 1 — APPLICATION FOR APPOINTMENT OF PERMANENT GUARDIAN OF THE PERSON AND/OR ESTATE

IN THE [PROBATE / COUNTY] COURT [NUMBER ____] OF
[__________] COUNTY, TEXAS

1. APPLICANT

Applicant [FULL NAME], an interested person residing at [________________________________], applies under Tex. Estates Code § 1101.001 for the appointment of a permanent guardian for the Proposed Ward. Applicant's relationship to Proposed Ward: [________________________________].

2. PROPOSED WARD (Tex. Estates Code § 1101.001(b))

3. NATURE AND DEGREE OF INCAPACITY (Tex. Estates Code § 1101.001(b)(4))

The Proposed Ward is an incapacitated person because:

☐ The Proposed Ward is an adult who, because of a physical or mental condition, is substantially unable to provide food, clothing, or shelter for himself or herself, to care for the person's own physical health, or to manage the person's own financial affairs.

Specific facts demonstrating incapacity:

[________________________________]
[________________________________]
[________________________________]

4. TYPE OF GUARDIANSHIP REQUESTED

☐ Guardian of the Person only
☐ Guardian of the Estate only
☐ Guardian of the Person and Estate
☐ Limited guardianship (specify retained rights/powers): [____________]
☐ Plenary (full) guardianship

5. NAME AND ADDRESS OF PROPOSED GUARDIAN

6. APPLICANT'S RELATIONSHIP AND INTEREST (Tex. Estates Code § 1101.001(b)(6))

[________________________________]

7. LESS RESTRICTIVE ALTERNATIVES AND SUPPORTS AND SERVICES (Tex. Estates Code § 1101.101(a)(1)(D)–(E); § 1002.0015)

Applicant alleges that the following alternatives and supports/services have been considered and are not feasible:

8. ESTATE OF PROPOSED WARD (Tex. Estates Code § 1101.001(b)(9))

9. RELATIVES ENTITLED TO NOTICE (Tex. Estates Code § 1051.103 — spouse & parents by personal citation; § 1051.104 — adult children & siblings by applicant's notice)

10. PROPOSED WARD'S CURRENT CARE

[________________________________]
[________________________________]

11. RIGHTS SOUGHT TO BE REMOVED OR LIMITED (Tex. Estates Code § 1101.001(b)(4))

12. PRAYER

Applicant prays the Court:

☐ Appoint an attorney ad litem to represent the Proposed Ward (Tex. Estates Code § 1054.001)
☐ Direct issuance of citation and notices
☐ Appoint a Court Investigator or Court Visitor as appropriate
☐ Direct examination by a physician if PCME not yet filed
☐ Set hearing on or after the Monday following 10 days after service
☐ Adjudge Proposed Ward an Incapacitated Person
☐ Find that alternatives and supports/services are not feasible
☐ Appoint [NAME] as Permanent Guardian of the ☐ Person ☐ Estate ☐ Both
☐ Set bond
☐ Order issuance of Letters of Guardianship upon qualification

VERIFICATION

STATE OF TEXAS )
COUNTY OF [__________] )

Before me, the undersigned notary, on this day personally appeared [APPLICANT NAME], who being by me duly sworn, deposed and stated under oath that he/she has read the foregoing Application and that the facts stated therein are within his/her personal knowledge and are true and correct.

[____________________________]
Applicant

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

[____________________________]
Notary Public, State of Texas

PART 2 — PHYSICIAN'S CERTIFICATE OF MEDICAL EXAMINATION (PCME) (Tex. Estates Code § 1101.103)

PHYSICIAN'S CERTIFICATE OF MEDICAL EXAMINATION

Medical Findings

1. Diagnosis (DSM-5 / ICD-10): [________________________________]
2. Nature of incapacity: ☐ Physical ☐ Mental ☐ Both
3. Onset and prognosis: [________________________________]
4. Specific functional limitations:
   - Unable to provide food / clothing / shelter: ☐ Yes ☐ No
   - Unable to care for physical health: ☐ Yes ☐ No
   - Unable to manage financial affairs: ☐ Yes ☐ No
   - Unable to operate motor vehicle: ☐ Yes ☐ No
   - Unable to make medical decisions: ☐ Yes ☐ No
   - Unable to vote / understand voting: ☐ Yes ☐ No
   - Unable to marry: ☐ Yes ☐ No
5. Medications and treatment: [________________________________]
6. Recommendations for supports and services: [________________________________]
7. Capacity to attend hearing? ☐ Yes ☐ No. If no, reason: [____________]
8. Specific descriptions / examples supporting findings: [________________________________]

I certify under penalty of perjury that the foregoing is true and correct, that I have personally examined the patient on the date stated, and that I am authorized under Texas law to execute this Certificate.

[____________________________]
Physician / Qualified Examiner

Date: [__/__/____]

PART 3 — NOTICE TO PROPOSED WARD (Tex. Estates Code § 1051.102, § 1051.103)

TO: [NAME OF PROPOSED WARD]

You are notified that the attached Application for Appointment of Permanent Guardian has been filed against you. THIS PROCEEDING MAY RESULT IN THE LOSS OF SIGNIFICANT LEGAL RIGHTS.

YOUR RIGHTS (Tex. Estates Code §§ 1101.051, 1054.001):

• You have the right to be present at the hearing unless the Court finds you cannot or should not attend.
• The Court has appointed (or will appoint) an attorney ad litem at no cost to you to represent your interests.
• You may retain your own attorney at your expense.
• You have the right to a jury trial.
• You have the right to present evidence and cross-examine witnesses.
• You have the right to oppose the application and to ask for less restrictive alternatives.
• The Applicant must prove your incapacity by clear and convincing evidence.
• If you are placed under guardianship, you do not necessarily lose all rights — limited guardianship is preferred.

HEARING:

PART 4 — NOTICE TO INTERESTED PARTIES (Tex. Estates Code § 1051.104)

Notice must be sent by a qualified delivery method (with return receipt or other proof of delivery requiring recipient signature — Tex. Estates Code § 1051.052), to:

The proposed ward's spouse and parents are served with citation by personal service (§ 1051.103); the persons listed above are notified by the applicant under § 1051.104(a). The applicant must file proof of delivery and an affidavit of notice with the court before the court may act (§ 1051.104(b), § 1051.106).

PART 5 — ORDER APPOINTING ATTORNEY AD LITEM (Tex. Estates Code § 1054.001)

ORDER APPOINTING ATTORNEY AD LITEM

The Court hereby APPOINTS [NAME OF ATTORNEY], State Bar No. [____________], as Attorney Ad Litem for the Proposed Ward, [NAME].

The Attorney Ad Litem shall:

☐ Personally interview the Proposed Ward within reasonable time before hearing
☐ Discuss with the Proposed Ward the law and the proceeding
☐ Represent the Proposed Ward's expressed wishes (not best interests, except as to capacity to retain counsel)
☐ Investigate and review the PCME and other records
☐ Cross-examine witnesses at hearing
☐ Argue for least restrictive alternative

Compensation: from the Estate of the Proposed Ward, or from county funds if indigent (Tex. Estates Code Ch. 1155).

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

PART 6 — COURT INVESTIGATOR / COURT VISITOR REPORT REQUEST

6.1 Court Investigator (Tex. Estates Code § 1054.151)

The Court Investigator shall:

☐ Investigate the circumstances alleged in the application
☐ Review applicable medical / financial records
☐ Interview Proposed Ward, applicant, proposed guardian, and family
☐ Determine whether less restrictive alternatives or supports/services are feasible
☐ Submit written report to the Court within statutory time

6.2 Court Visitor Program (Tex. Estates Code § 1054.102 et seq.)

The Court Visitor shall:

☐ Visit the Proposed Ward in his/her residence
☐ Report on living conditions
☐ Report on appropriateness of proposed guardian
☐ Recommend on type and scope of guardianship

PART 7 — LESS RESTRICTIVE ALTERNATIVE ANALYSIS

See Section 7 of Application. Detailed narrative attached as Exhibit A:

[________________________________]
[________________________________]

Court findings required under Tex. Estates Code § 1101.101(a)(1)(D)–(E): "alternatives to guardianship that would avoid the need for the appointment of a guardian have been considered and determined not to be feasible" (subsection (D)); and "supports and services available to the proposed ward that would avoid the need for the appointment of a guardian have been considered and determined not to be feasible" (subsection (E)).

PART 8 — BOND (Tex. Estates Code § 1105)

Bond requested in the amount of $[____________].

Calculation: equal to the estimated value of all personal property of the Estate plus the revenue anticipated during the succeeding twelve (12) months from interest, dividends, collectible claims, and rentals (excluding federal social security payments) (Tex. Estates Code § 1105.154). The court sets the amount sufficient to protect the guardianship and its creditors (§ 1105.152).

Waiver / reduction requested because:

☐ Corporate fiduciary (Tex. Estates Code § 1105.101)
☐ Guardian of the Person only with no estate powers
☐ Liquid assets to be placed in court registry or restricted account
☐ Other [____________]

PART 9 — ORDER APPOINTING PERMANENT GUARDIAN (Tex. Estates Code § 1101.151)

ORDER APPOINTING PERMANENT GUARDIAN OF THE PERSON AND/OR ESTATE

On [__/__/____], the Application came on for hearing. The Court considered the Application, PCME, attorney ad litem's submissions, Court Investigator/Visitor reports, the evidence, and the testimony of witnesses, and FINDS by clear and convincing evidence (Tex. Estates Code § 1101.101):

1. The Proposed Ward is an Incapacitated Person.
2. It is in the best interest of the Proposed Ward to have the Court appoint a guardian.
3. The rights of the Proposed Ward or the Ward's property will be protected by the appointment of a guardian.
4. Alternatives to guardianship and supports/services have been considered and determined not to be feasible.
5. The Court has dismissed the application for ☐ no incapacity / ☐ alternatives feasible / ☐ N/A.

By preponderance of evidence:

6. The Court has venue over the proceeding.
7. The person to be appointed guardian is eligible and entitled to be appointed (Tex. Estates Code § 1104).
8. Notice and citation have been given as required.

IT IS ORDERED:

• [NAME] is appointed Permanent Guardian of the ☐ Person ☐ Estate ☐ Both of [NAME OF WARD].
• Type: ☐ Plenary ☐ Limited (rights retained: [____________])
• Bond is set at $[____________] (or waived as ordered).
• Oath shall be filed (Tex. Estates Code § 1105.051).
• Letters of Guardianship shall issue upon qualification.
• Guardian of the Estate shall file Inventory, Appraisement, and List of Claims within 30 days (Tex. Estates Code § 1154).
• Guardian shall file Annual Account (Tex. Estates Code § 1163) and Annual Report on Person of Ward.

RIGHTS REMOVED: [________________________________]

RIGHTS RETAINED: [________________________________]

Dated: [__/__/____] [____________________________]
Judge Presiding

PART 10 — OATH OF GUARDIAN (Tex. Estates Code § 1105.051)

I, [NAME OF GUARDIAN], do solemnly swear that I will faithfully discharge the duties of Guardian of the ☐ Person ☐ Estate ☐ Both of [NAME OF WARD], an Incapacitated Person, according to law.

[____________________________]
Guardian

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

[____________________________]
Clerk / Notary

PART 11 — LETTERS OF GUARDIANSHIP (Tex. Estates Code § 1106.001)

THE STATE OF TEXAS — LETTERS OF GUARDIANSHIP

To: All to whom these presents shall come, GREETINGS:

KNOW YE that on [__/__/____], in the matter of the Guardianship of [NAME OF WARD], an Incapacitated Person, in Cause No. [____________] pending in the [Probate / County] Court [Number ____] of [__________] County, Texas:

[NAME OF GUARDIAN] was duly appointed Guardian of the ☐ Person ☐ Estate ☐ Both of [NAME OF WARD] and has duly qualified by filing the prescribed Oath and Bond, and is now authorized to act as such Guardian with all powers conferred by law and by the Order of this Court dated [__/__/____].

These Letters expire on [__/__/____] (one year and four months from issue) and must be renewed annually by filing an annual report and account (Tex. Estates Code § 1106.001(c)).

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

[____________________________]
County Clerk, [__________] County, Texas

[SEAL]

PART 12 — INVENTORY AND ANNUAL ACCOUNT / ANNUAL REPORT

12.1 Inventory, Appraisement, and List of Claims (Tex. Estates Code § 1154.051)

Guardian of the Estate must file within 30 days of qualification:

☐ Inventory of all property of the Ward's Estate
☐ Appraisement (court may appoint appraisers under Tex. Estates Code Ch. 1154)
☐ List of all known claims due or owing

12.2 Annual Account (Tex. Estates Code § 1163)

Guardian of the Estate must file within 60 days after the anniversary of qualification each year:

☐ Account of all receipts and disbursements
☐ Statement of all property remaining
☐ Statement of bond
☐ Statement of supports and services received by Ward (SB 1624 (2023))
☐ Guardian's opinion on whether Ward can be restored to capacity (SB 1624)

12.3 Annual Report on Person of Ward (Tex. Estates Code § 1163.101)

Guardian of the Person must file annually:

☐ Status of Ward's physical and mental condition
☐ Residence and care arrangements
☐ Medical / professional care
☐ Supports and services
☐ Visits with Ward
☐ Opinion on restoration potential

12.4 Restoration / Modification (Tex. Estates Code Ch. 1202)

Any time after first anniversary, Ward or interested person may seek restoration of rights or modification (SB 1624 (2023)).

PART 13 — TEMPORARY GUARDIANSHIP (Tex. Estates Code § 1251) — REFERENCE ONLY

If imminent danger to Proposed Ward's health or safety or to estate, separate Application for Temporary Guardianship may be filed. Maximum 60 days (§ 1251.151).

SOURCES AND REFERENCES

• Tex. Estates Code Title 3: https://statutes.capitol.texas.gov/Docs/ES/htm/ES.1101.htm
• HB 39 (2015) — Less Restrictive Alternatives / Supports & Services reform
• SB 1624 (2023) — Restoration and modification reforms
• Tex. Estates Code Ch. 1357 — Supported Decision-Making Agreement Act
• Disability Rights Texas — Changes to Guardianship Laws: https://disabilityrightstx.org
• Judicial Branch Certification Commission: https://www.txcourts.gov/jbcc

END OF PACKAGE