Short Answer

North Carolina does not require a specific medical document to prove incompetence. The petitioner must present clear, cogent, and convincing evidence that the adult cannot manage affairs or make/communicate important decisions. The clerk of superior court may consider medical records, provider testimony, and lay witnesses, and may order a multidisciplinary evaluation (MDE) if needed. Incompetency and guardianship are often heard together, but they are legally separate phases.

Understanding the Problem

You want to know what medical proof North Carolina courts need to declare someone incompetent so a guardian can be appointed. As the daughter (petitioner), you would ask the Clerk of Superior Court to declare your father incompetent and then appoint a guardian. You are unsure whether to file the incompetency and guardianship together or separately.

Apply the Law

In North Carolina, an adult is legally incompetent if they lack sufficient capacity to manage their affairs or to make or communicate important decisions. The proceeding is filed and heard before the Clerk of Superior Court. The petitioner must prove incompetence by clear, cogent, and convincing evidence. There is no automatic requirement to file a doctor’s letter with the petition; the clerk may accept a range of competent evidence and can order a multidisciplinary evaluation (MDE) to assess the respondent’s abilities. After adjudication, the court addresses guardianship, which may be limited or general.

Key Requirements

• High proof standard: Show, by clear, cogent, and convincing evidence, that the adult cannot manage affairs or make/communicate important decisions.
• Acceptable evidence: Medical records, provider testimony, cognitive testing, and credible lay testimony; no single document is mandated.
• MDE option: The court may order a multidisciplinary evaluation to assist in determining disability or shaping the guardianship plan.
• Two-phase process: First, adjudication of incompetence; second, appointment of a guardian. These may be heard together, but they are distinct legal steps.
• Forum and notice: Filed with the Clerk of Superior Court; the sheriff personally serves the respondent, and next of kin receive mailed notice.

What the Statutes Say

• North Carolina Gen. Stat. § 35A-1111 (Multidisciplinary evaluation) – Allows the court to order an MDE to assess disability or plan guardianship.
• North Carolina Gen. Stat. § 35A-1112 (Hearing; standard of proof) – Requires clear, cogent, and convincing evidence to adjudicate incompetence.
• North Carolina Gen. Stat. § 35A-1106 (Petition contents) – Lists what the verified petition must include, including facts tending to show incompetence.
• North Carolina Gen. Stat. § 35A-1212 (Evidence for appointment) – Directs the clerk to receive evidence on the scope of guardianship and who should serve.

Analysis

Apply the Rule to the Facts: As the daughter, you can initiate the case and meet the high proof standard with a mix of medical and non-medical evidence showing your father cannot manage finances or make/communicate important decisions. You are not required to attach a doctor’s letter to file, but supporting medical records or provider testimony help. If proof is disputed or incomplete, you can ask the court to order an MDE. You may file incompetency and guardianship together so the clerk can hear both phases in one setting.

Process & Timing

1. Who files: The daughter (petitioner). Where: Clerk of Superior Court in the county where the father resides in North Carolina. What: File AOC-SP-200 (Petition for Adjudication of Incompetence and Application for Appointment of Guardian) and AOC-SP-201 (Notice of Hearing). You may request an MDE using AOC-SP-901M. When: The clerk sets a prompt hearing date; the sheriff personally serves the respondent; next of kin must be mailed notice within five days of filing.
2. At the hearing, present medical records, provider and lay testimony, and any MDE results. The clerk decides incompetency under the clear, cogent, and convincing standard. If adjudicated incompetent, the clerk moves to the appointment phase and may continue it to gather more information if needed.
3. Final step and outcome: The clerk enters AOC-SP-202 (Order on Petition for Adjudication of Incompetence). If incompetency is found, the clerk enters AOC-E-406 (Order on Application for Appointment of Guardian) and issues Letters after the guardian qualifies.

Exceptions & Pitfalls

• No automatic doctor’s letter: You can file without medical records; if you need records, seek a court order to obtain and protect them.
• Jury trial right: Only the respondent can request a jury on incompetency; be prepared for contested proof.
• Service traps: The respondent must be personally served by the sheriff; improper service can derail the hearing.
• Emergency needs: For immediate risks, consider an interim guardian; the standard to obtain interim relief is lower than for final adjudication.
• Scope matters: The court prefers limited guardianship when appropriate; tailor evidence to the specific rights the respondent can or cannot manage.

Talk to a Guardianship Attorney

If you’re preparing to prove incompetency and seek guardianship, our firm can help you plan the evidence, request an MDE, and navigate the hearing. Call us today to discuss your options and timelines.

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.