Guardianship Status Report Instructions Statuory Requirements




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Guardianship Status Report Instructions

Statuory Requirements
NC G.S. 35A-1242.  Status reports for incompetent wards.


  1. Any corporation or disinterested public agent that is guardian of the person for an incompetent person, within six months after being appointed, shall file an initial status report with the clerk and submit a copy of the initial status report to the designated agency, if there is one. Such guardian shall file a second status report with the clerk one year after being appointed and subsequent reports annually thereafter. The clerk any order any other guardian of the person to file status reports. If a guardian required by this section to file a status report is employed by the designated agency, the guardian shall file any required status report with the clerk and submit a copy of the status report to the designated agency.

(a1) Each status report shall include all the following:




  1. A report or summary of recent medical and dental examinations of the ward by one or more physicians and dentists. In instances when the guardian has made diligent but unsuccessful attempts to secure this information, the guardian shall include in the status report an explanation and documentation of all actions taken to attempt to secure this information.




  1. A report on the guardian’s performance of the duties set forth in this Chapter and in the clerk’s order appointing the guardian.




  1. A report on the ward’s residence, education, employment, and rehabilitation or habilitation.




  1. A report of the guardian’s efforts to restore competency.




  1. A report of the guardian’s efforts to seek alternatives to guardianship.




  1. If the guardian is a disinterested public agent or corporation, a report of the effort to identify alternative guardians.




  1. The guardian’s recommendations for implementing a more limited guardianship, preserving for the ward the opportunity to exercise rights that are within the ward’s comprehension and judgment.




  1. Any additional reports or information required by the clerk.

(a2) The guardian may include in each status report additional information pertaining to the ward’s best interests.




  1. Each status report shall be filed (i) under the guardian’s oath or affirmation that the report is complete and accurate so far as the guardian is informed and can determine or (ii) with the signature of a disinterested, competent witness to a statement by the guardian that the report is complete and accurate so far as the guardian is informed and can determine. Status reports filed with the signature of a disinterested competent witness shall include the full name, address, and telephone number of the witness.

(b1) The clerk shall make status reports submitted by corporations or disinterested public agents available to the Director, or the Director’s designee, of the Division of Aging and Adult Services within the Department of Health and Human Services. The Director, or the Director's designee shall review the status reports in connection with the Department’s regular program of oversight for these categories of guardians.


(c) A clerk or designated agency that receives a status report shall not make the status report available to anyone other than the guardian, the ward, the court, or State or local human services agencies providing services to the ward.
(d) The clerk, on the clerk’s own motion, or any interested party, may file a motion in the cause pursuant to G.S. 35A-1207 with the clerk in the county where the guardianship is filed to request modification of the order appointing the guardian or guardians for consideration of any matters contained in the status report.”
Contents of Status Reports
Complete name and address of ward and guardian

Type of Guardianship Check appropriate box as the Order of Appointment

Initial Status Check if six months from the date of appointment

Annual Status Check if twelve months from the date of appointment; or subsequent year from the date of appointment

Status report period Enter the month, day and year the status report covers.

(Ex: date of appointment 02/15/2014, initial status due on or before 08/15/2014:

Period covered 02-15-2014 to 08-15-2014; Annual due on or before 02/15/2015).
A. Medical Examination


  1. Date of exam - indicate all dates within the period covered, including dates of hospitalizations

  2. Name and address of examining physician(s) for all dates within the period covered

  3. Place of examination - physical location of medical visit for all dates within the period covered

  4. A report or summary of recent medical examinations or treatments of the ward by one or more physicians. (Guardian may attach a copy of examination report or summarize each visit).


B. Dental Examination

  1. Date of exam - indicate all dates within the period covered

  2. Name and address of examining dentist(s) for all dates within the period covered

  3. Place of examination - physical location of the dental visit for all dates within the period covered

  4. A report or summary of recent dental examinations or treatments of the ward by one or more dentist(s). (Guardian may attach a copy of examination report or summarize each visit)



Note: If a ward refuses to see a dentist for any reason it is not acceptable to write N/A. The Guardian must document efforts or attempts and/or request medical physician to do an oral (mouth/gum) exam. Document the medical physician findings.
In instances when the guardian has made diligent but unsuccessful attempts to secure

medical and dental information, the guardian shall include in the status report an

explanation and documentation of all actions taken to attempt to secure this information.

C. Mental Health Examination

1. Date of exam - indicate all dates within the period covered, including dates of hospitalizations

2. Name and address of examining mental health professionals for all dates within the period covered

3. Place of examination - the physical location of the visit for all dates within the period covered

4. A report or summary of recent mental health examinations or treatments of the ward by one or more physicians. (Guardian may attach a copy of examination report or summarize each visit).
Note: The status report does not define “recent” but a report is usually considered recent if it has been done during the period the status reports covers.

D. Report of Guardian on Performance of Duties

This is the guardian’s summary of how well you have been able to fulfill the duties outlined in the Order of Appointment or the difficulties and or obstacles the guardian has experienced in fulfilling

these duties.
E. Report of ward’s residence, education, employment, rehabilitation, or habilitation.

This is the guardian’s summary of your assessment, goals and plan of care; how the ward’s needs have been met. Includes documentation of ward’s progress and any difficulties or obstacles the guardian has experienced in fulfilling their role as surrogate decision- maker. This report should include information on the ward’s residence, education, employment (if applicable) and rehabilitation or habilitation services


F. Report of guardian’s efforts to seek least restrictive alternatives

  1. Restoration - document any and all efforts to restore competency

  2. Transfer - document efforts to identify alternative guardians. If the ward has involved family or friends, document all efforts to transfer guardianship. If transfer is not appropriate for the ward, document the reasons family and /or friends are not suitable to serve as guardian

  3. Limited - document the guardian’s recommendation for implementing a more limited guardianship, preserving for the ward the opportunity to exercise rights that are within the ward’s comprehension and judgment

  4. Alternatives - document the guardian’s efforts to seek alternatives to guardianship

G. Other reports

Any additional reports or information required by the clerk. This area is to address any other

reports or activities or additional information pertaining to the ward’s best interests. Report may

contain information from mental health treatment, group home staff, staff from treatment facilities or other professionals. Use this area to document any unusual circumstances that the clerk may need to be aware of .
Affirmation of reports

Each status report shall be filed under the guardian’s oath or affirmation that the report is complete

and accurate so far as the guardian is informed and can determine. A complete report should

include the guardian’s notarized signature and be forwarded to the clerk’s office and any others as ordered.



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