Short Answer

In North Carolina, you start an adult guardianship case by filing a verified Petition for Adjudication of Incompetence and Application for Appointment of Guardian (AOC-SP-200) with the Clerk of Superior Court in the respondent’s county. The clerk issues a Notice of Hearing and appoints a guardian ad litem; the respondent must be personally served by the sheriff, and next of kin must be mailed notice within five days of filing. If a guardian is appointed, the selected person files an Application for Letters (AOC-E-206), posts any required bond (for estate guardians), takes an oath, and receives Letters of Appointment.

Understanding the Problem

You want to know exactly what paperwork you must file in North Carolina to begin a guardianship case, or to ask to be appointed in one. The decision point is: what documents must you file with the Clerk of Superior Court to start the process to (1) adjudicate an adult as incompetent and (2) request appointment of a guardian. You are in North Carolina and are also considering taking over an existing guardianship in your city.

Apply the Law

Under North Carolina law, an adult is adjudicated “incompetent” only after a court finds the person lacks capacity to manage affairs or make important decisions. The guardianship proceeding is filed and heard before the Clerk of Superior Court in the respondent’s county. A verified petition starts the case; the clerk issues hearing notice, appoints a guardian ad litem (GAL), and the respondent must be personally served by the sheriff. If incompetence is found, the clerk immediately proceeds to consider who should serve and in what type of guardianship (person, estate, or general). For a guardian of the estate or general guardian, a bond, oath, and Letters of Appointment are required before authority begins.

Key Requirements

• Verified Petition (AOC-SP-200): File a sworn petition that includes the respondent’s information, next of kin, assets/liabilities, and specific facts showing incompetence, and request the type of guardianship sought.
• Notice of Hearing and GAL: The clerk issues a Notice of Hearing (AOC-SP-201) and appoints a guardian ad litem to investigate and report.
• Service and Mailing: Personal service of the petition and notice on the respondent by the sheriff; mail copies to next of kin and any others the clerk designates within five days of filing (use AOC-SP-207 to certify mailing).
• Optional/Emergency Tools: If immediate protection is needed, request an interim guardian within AOC-SP-200 and, if appropriate, ask for a multidisciplinary evaluation (AOC-SP-901M). Some clerks request an SCRA affidavit (AOC-G-250).
• Appointment & Qualification: If appointed, file Application for Letters (AOC-E-206); if guardian of the estate or general guardian, post bond; take oath (AOC-E-400); receive Letters of Appointment (AOC-E-407/E-408).
• County Practices: Some counties encourage a capacity questionnaire (AOC-SP-208). Procedures and timelines vary by county.

What the Statutes Say

• North Carolina Gen. Stat. § 35A-1106 (Petition contents) – Lists the information a verified incompetency petition must contain.
• North Carolina Gen. Stat. § 35A-1109 (Notice and service) – Requires personal service on the respondent and mailing to next of kin.
• North Carolina Gen. Stat. § 35A-1114 (Interim guardians) – Allows emergency interim guardianship when immediate intervention is needed.
• North Carolina Gen. Stat. § 35A-1210 (Application for appointment) – Governs applications to be appointed guardian after adjudication.

Analysis

Apply the Rule to the Facts: Because you’re exploring how to become a guardian in North Carolina, you’ll begin with a verified AOC-SP-200 petition in the respondent’s county. Since you may want to take over an existing case, the usual step is to apply within that same file (rather than start a new petition) using AOC-E-206 and then qualify (bond if needed, oath, Letters). After filing a new petition, ensure the sheriff personally serves the respondent and that next of kin are mailed notice within five days.

Process & Timing

1. Who files: Any interested person or agency. Where: Clerk of Superior Court (Special Proceedings), in the respondent’s North Carolina county. What: Verified Petition for Adjudication of Incompetence and Application for Appointment of Guardian (AOC-SP-200) and proposed Notice of Hearing (AOC-SP-201). When: The clerk promptly issues notice and appoints a GAL; you must mail notice to next of kin within five days of filing.
2. The sheriff personally serves the respondent; the GAL investigates and reports. If needed, request an interim guardian and/or a multidisciplinary evaluation. The hearing is typically set on an expedited schedule, but timing varies by county.
3. If incompetence is adjudicated and you are selected, file Application for Letters (AOC-E-206). If guardian of the estate or general guardian, post bond as set by the clerk, take the oath (AOC-E-400), and receive Letters (AOC-E-407/E-408). Those Letters are your proof of authority.

Exceptions & Pitfalls

• Existing guardianship: Do not file a new incompetency petition. Apply in the existing file to be appointed successor (AOC-E-206) and be prepared to qualify.
• Venue mistakes: File in the respondent’s county of residence; filing elsewhere can delay or derail the case.
• Service traps: The respondent must be personally served by the sheriff; mailing alone is not enough. Keep proof of mailing (AOC-SP-207) for next of kin.
• Medical records: Helpful but not required to file. Protect privacy and file only what is necessary.
• Bond and inventory duties: Guardians of the estate must post bond before Letters issue and will have post-appointment duties (like filing an inventory and periodic accountings). Missing these steps delays authority or leads to compliance issues.
• Timing for minors nearing 18: A petition for a disabled minor approaching majority generally should not be filed until the child is within six months of age 18.
• Local add-ons: Some clerks request an SCRA affidavit or a capacity questionnaire. Check local practice so your filing isn’t delayed.

Talk to a Guardianship Attorney

If you’re dealing with the filings needed to start or step into a North Carolina guardianship, our firm has experienced attorneys who can help you understand your options and timelines. Call us today at [919-341-7055].

Disclaimer: This article provides general information about North Carolina law based on the single question stated above. It is not legal advice for your specific situation and does not create an attorney-client relationship. Laws, procedures, and local practice can change and may vary by county. If you have a deadline, act promptly and speak with a licensed North Carolina attorney.