PETITION FOR APPOINTMENT OF GUARDIAN

(North Carolina – Clerk of Superior Court, Special Proceedings Division)

[// GUIDANCE: This template is intentionally expansive to accommodate both adult‐incompetency and minor guardianship proceedings under N.C. Gen. Stat. ch. 35A. Delete any provisions that are inapplicable to the facts of your matter before filing.]

TABLE OF CONTENTS

1. Document Header
2. Definitions
3. Operative Provisions (Allegations & Requested Relief)
4. Representations & Warranties of Petitioner
5. Covenants & Restrictions of Proposed Guardian
6. Default & Remedies (Post-Appointment)
7. Risk Allocation (Bond & Indemnification)
8. Dispute Resolution & Protective Orders
9. General Provisions
10. Execution Block (Verification, Notarization & Certificate of Service)

1. DOCUMENT HEADER

State of North Carolina
County of [COUNTY]
In the General Court of Justice
Superior Court Division – Before the Clerk
File No.: [____]
In the Matter of:

PETITION FOR ADJUDICATION OF INCOMPETENCE AND FOR APPOINTMENT OF [GUARDIAN OF THE PERSON / GUARDIAN OF THE ESTATE / GENERAL GUARDIAN]

Effective Date: Upon filing and acceptance by the Clerk of Superior Court, or as otherwise ordered.

2. DEFINITIONS

“Bond” – The surety bond required of a guardian of the estate under N.C. Gen. Stat. ch. 35A and set by the Clerk, intended to cap liability for the guardian’s financial management.
“Clerk” – The Clerk of Superior Court (Special Proceedings Division) for the above-captioned county.
“Guardian” – The individual or entity ultimately appointed by the Clerk to act in a fiduciary capacity for the Ward.
“Petitioner” – The person initiating this proceeding.
“Ward” – The Respondent, once adjudicated incompetent or otherwise subject to guardianship.

[// GUIDANCE: Add, delete, or modify definitions to mirror the terminology used throughout your pleading.]

3. OPERATIVE PROVISIONS (ALLEGATIONS & REQUESTED RELIEF)

3.1 Jurisdiction & Venue
(a) The Ward has resided in [COUNTY], North Carolina for at least six (6) consecutive months immediately preceding this filing.
(b) Venue is proper before the Clerk pursuant to state guardianship law.

3.2 Standing & Relationship
(a) Petitioner is the Ward’s [relationship—e.g., adult child / parent / spouse] and is over eighteen (18) years of age.
(b) Petitioner has personal knowledge of the Ward’s condition and assets.

3.3 Allegations of Incompetence / Need for Guardianship
(a) The Ward is [describe: minor under 18 / person alleged to be incompetent due to medical condition, etc.].
(b) Specific facts demonstrating incapacity:
i. [FACT 1]
ii. [FACT 2]
iii. [FACT 3]

3.4 Assets & Liabilities (Estate Guardianship Only)
(a) Estimated Personal Property: $[_].
(b) Estimated Real Property: $[_].
(c) Estimated Annual Income: $[____].

3.5 Requested Relief
Petitioner respectfully requests:
(a) An adjudication that the Ward is incompetent/needs a guardian;
(b) Appointment of [NAME] as [guardian type];
(c) Setting of Bond in the amount of $[____];
(d) Issuance of Letters of [GUARDIANSHIP TYPE]; and
(e) Such other and further relief as the Court deems just.

4. REPRESENTATIONS & WARRANTIES OF PETITIONER

4.1 Accuracy of Information. Petitioner represents that all factual statements herein are true to the best of Petitioner’s knowledge, information, and belief.

4.2 Good Faith Filing. Petitioner warrants that this Petition is filed in good faith and not for purpose of harassment or delay.

4.3 Disclosure of Conflicts. Petitioner discloses the following potential conflicts of interest with the Ward or Ward’s estate: [NONE / EXPLAIN].

[// GUIDANCE: Consider attaching medical exhibits or affidavits to substantiate incompetence.]

5. COVENANTS & RESTRICTIONS OF PROPOSED GUARDIAN

Upon appointment, the Guardian shall:

5.1 Fiduciary Standard. Act as a fiduciary in the Ward’s best interests, exercising the degree of care an ordinarily prudent person would.

5.2 Statutory Reporting.
(a) Guardian of the Estate: File an initial inventory within ninety (90) days and annual accounts thereafter.
(b) Guardian of the Person: File an annual status report outlining the Ward’s condition and living arrangements.

5.3 Notice of Material Change. Provide written notice to the Clerk and interested parties within ten (10) days of any material change in the Ward’s residence, health, or assets.

5.4 Compliance with Bond. Maintain the bond in full force and effect at all times; promptly renew or increase bond if ordered.

6. DEFAULT & REMEDIES (POST-APPOINTMENT)

6.1 Events of Default
(a) Failure to file timely inventory or annual accounts.
(b) Mismanagement or misappropriation of estate assets.
(c) Breach of fiduciary duty or violation of court order.

6.2 Remedies
(a) Suspension or removal of Guardian.
(b) Surcharge for losses attributable to breach.
(c) Forfeiture of bond to satisfy damages.
(d) Referral for civil or criminal sanctions as permitted by law.

7. RISK ALLOCATION (BOND & INDEMNIFICATION)

7.1 Bond Requirement. The Guardian shall post a corporate surety bond in the amount set forth in Section 3.5(c), conditioned as required by N.C. Gen. Stat. ch. 35A. The bond serves as the primary cap on the Guardian’s financial liability to the Ward’s estate.

7.2 Indemnification by Estate. To the fullest extent allowed by law, the Guardian shall be indemnified from the Ward’s estate for liabilities and reasonable expenses incurred in good-faith performance of fiduciary duties, except to the extent arising from gross negligence, willful misconduct, or breach of fiduciary duty.

[// GUIDANCE: Courts commonly refuse broad indemnities that undermine fiduciary accountability. Retain only if consistent with local practice.]

8. DISPUTE RESOLUTION & PROTECTIVE ORDERS

8.1 Governing Law. This proceeding is governed exclusively by North Carolina guardianship law (N.C. Gen. Stat. ch. 35A).

8.2 Forum Selection. Exclusive jurisdiction lies with the Clerk of Superior Court for [COUNTY], North Carolina; no arbitration is available.

8.3 Jury Waiver. Guardianship matters before the Clerk are non-jury; the parties acknowledge the same.

8.4 Injunctive / Protective Relief. The Clerk may issue temporary protective orders as necessary to safeguard the Ward pending adjudication.

9. GENERAL PROVISIONS

9.1 Amendments. This Petition may be amended only with leave of Court.

9.2 Severability. If any provision is deemed unenforceable, remaining provisions shall continue in full force to the extent practicable.

9.3 Entire Petition. This instrument, together with all attached exhibits and schedules, constitutes the full petition before the Court.

9.4 Electronic Filing & Signatures. Permitted to the extent authorized by the North Carolina Administrative Office of the Courts and local rules.

10. EXECUTION BLOCK

Respectfully submitted this ___ day of _, 20.

[PETITIONER NAME], Petitioner
Address: [____]
Telephone: [__]
Email: [____]

VERIFICATION

State of North Carolina )
County of [COUNTY] )

I, [PETITIONER NAME], being duly sworn, depose and say that I have read the foregoing Petition and that the facts stated therein are true to the best of my knowledge, information, and belief.

[PETITIONER NAME]

Sworn to and subscribed before me this ___ day of _, 20.

Notary Public
My Commission Expires: ____

CERTIFICATE OF SERVICE

I certify that a copy of this Petition and all attachments was served on each interested party listed below by [method] on the ___ day of _, 20.

[PETITIONER NAME]

[// GUIDANCE:
1. Attach the following typical exhibits, renaming as needed:
• Exhibit A – Medical Evaluation (Adults) / Birth Certificate (Minors)
• Exhibit B – Proposed Guardian’s Consent & Affidavit
• Exhibit C – Preliminary Inventory of Assets (if estate guardianship)
2. Always confirm current filing fees, citation forms, and local rule supplements with the Clerk’s office before submission.
3. If multiple petitioners or proposed co-guardians, duplicate execution and verification blocks accordingly.]