North Carolina Probate Form AOC-E-406

Order On Application For Appointment Of Guardian

Everything you need to know about North Carolina Form AOC-E-406, including helpful tips, fast facts & deadlines, how to fill it out, where to submit it and other related NC probate forms.

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About Order On Application For Appointment Of Guardian

There are all sorts of forms executors, beneficiaries, and probate court clerks have to fill out and correspond with during probate and estate settlement, including affidavits, letters, petitions, summons, orders, and notices.

Order On Application For Appointment Of Guardian is a commonly used form within North Carolina. Here’s an overview of what the form is and means, including a breakdown of the situations when (or why) you may need to use it:

Atticus Fast Facts About Order On Application For Appointment Of Guardian

Sometimes it’s tough to find a quick summary— here’s the important details you should know about Order On Application For Appointment Of Guardian:

  • This form pertains to the State of North Carolina

  • The current version of this form was last revised on April 1, 2016

  • The relevant probate statute or North Carolina laws related to this form include: 35A-1213, 35A-1214, 35A-1215, 35A-1226

Government forms are not typically updated often, though when they are, it often happens rather quietly. While Atticus works hard to keep this information about North Carolina’s Form AOC-E-406 - Order On Application For Appointment Of Guardian up to date, certain details can change from time-to-time with little or no communication.

How to file Form AOC-E-406

Step 1 - Download the correct North Carolina form based on the name and ID if applicable

Double check that you have both the correct form name and the correct form ID. Some North Carolina probate forms can look remarkably similar, so it’s best to double, even triple-check that you’re using the right one! Keep in mind that not all States have a standardized Form ID system for their probate forms.

Step 2 - Complete the Document

Fill out all relevant fields in Form AOC-E-406, take a break, and then review. Probate and estate settlement processes in NC are long enough to begin with, and making a silly error can push your timeline even farther back. No thank you!

Note: If you don’t currently know all of the answers and are accessing Form AOC-E-406 online, be sure to avoid closing the browser tab and potentially losing all your progress (or use a platform like Atticus to help avoid making mistakes).

Step 3 - Have Form AOC-E-406 witnessed or notarized (if required)

Some States and situations require particular forms to be notarized. If you have been instructed to get the document notarized or see it in writing on the document, then make sure to hire a local notary. There are max notary fees in the United States that are defined and set by local law. Take a look at our full guide to notary fees to make sure you aren’t overpaying or getting ripped off.

Step 4 - Submit Order On Application For Appointment Of Guardian to the relevant office

This is most often the local probate court where the decedent (person who passed away) is domiciled (permanently resides) or the institution involved with this particular form (e.g. a bank). Some offices allow you to submit forms online, other’s don’t, and we while we generally recommend going in-person to expedite the process, sometimes that simply isn’t an option.

It’s also a generally good idea to establish a positive working relationship with any probate clerk (unfortunately there’s enough people & process out there making things more difficult and unnecessarily confusing for them), so a best practice is to simply ask the probate clerk proactively exactly how and where they’d prefer you to submit all forms.

Need help getting in touch with a local probate court or identifying a domicile probate jurisdiction?

👉 Find and Contact your Local Probate Court

👉 What is a Domicile Jurisdiction?

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When Order On Application For Appointment Of Guardian is due

Different probate forms or processes can require different deadlines or response times for completing the appropriate form.

While some steps in the process are bound to specific deadlines (like petitioning for probate, having to submit an inventory of assets, or filing applicable notices to creditors and beneficiaries), many probate forms or processes are not tied to a specific deadline since the scope of work can vary based on situational factors or requirements involved.

Either way, there are a bunch of practical reasons why personal representatives should work to complete each step as thoroughly and quickly as possible when completing probate in North Carolina.

5 reasons you should submit AOC-E-406 as quickly as possible:

  1. The sooner you begin, the faster North Carolina can allow heirs and beneficiaries to get their share of assets subject to probate. Acting promptly can also decrease the costs & overall mental fatigue through an otherwise burdensome process.

    Helpful Context: What’s the Difference Between Probate and Non-Probate Assets?

  2. In general, creditors of an estate usually have around 3-6 months from the time you file notice to creditors to file any claims for debt against the deceased’s assets. If they don’t, then that debt is forfeited (and more importantly, the executor won’t be held personally responsible). So doing this sooner means you have a better idea of who is owed what and ensures you won’t get a surprise collector months later.

  3. Not filing a will within 30 days (on average) could mean that the probate process proceeds according to intestate laws (laws that govern what happens to someone's stuff without a will) or is subject to unnecessary supervision by the probate court. And if you aren't directly related to the deceased (a.k.a. next of kin), this could also mean you lose your inheritance.

  4. It’s important to file any necessary state tax returns on behalf of the deceased or estate by the following tax season in North Carolina. If you don’t, you could owe penalties and interest. This also includes any necessary federal tax returns such as Forms 1040, 1041, or even a Form 706 estate tax return.

  5. If a house in the State of North Carolina is left empty (or abandoned) for a while, insurance can get dicey. For example, if the house burns down and no one has been there for a year, an insurance company may get out of paying your claim.

If you’re not using Atticus to get specific forms, deadlines, and timelines for North Carolina probate, then try and stay as organized as possible, pay close attention to the dates mentioned in any correspondence you have with the State’s government officials, call the local North Carolina probate clerk or court for exact answers regarding Form AOC-E-406, and when in doubt— consult a qualified trust & estates lawyer for that area.

How to Download, Open, and Edit Form AOC-E-406 Online

Order On Application For Appointment Of Guardian is one of the many probate court forms available for download through Atticus.

It may also be available through some North Carolina probate court sites, such as . In order to access the latest version, be updated with any revisions, and get full instructions on how to complete each form, check out the Atticus Probate & Estate Settlement software or consider hiring a qualified legal expert locally within North Carolina.

While Atticus automatically provides the latest forms, be sure to choose the correct version of Form AOC-E-406 - Order On Application For Appointment Of Guardian f using any other site or resource in order to avoid having to re-complete the form process and/or make another trip to the North Carolina probate court office.

Order On Application For Appointment Of Guardian is a .pdf, so opening it should be as simple as clicking “View Form” from within the Atticus app or by clicking the appropriate link found on any North Carolina-provided government platform. Once you’ve opened the form, you should be able to directly edit the form before saving or printing.

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Did you know?

  • Form AOC-E-406 - Order On Application For Appointment Of Guardian is a probate form in North Carolina.

  • North Carolina has multiple types of probate and the necessary forms depend on the unique aspects of each estate, such as type and value of assets, whether there was a valid will, who is serving as the personal representative or executor, and even whether or not they also live in North Carolina.

  • During probate, all personal representatives and executives in are required to submit a detailed inventory of assets that must separate non-probate assets from probate assets.

  • Probate in North Carolina, especially without guidance, can take years to finish and cost upwards of $14,000.

Frequently Asked Questions about Order On Application For Appointment Of Guardian

Probate is the government’s way of making sure that when a person dies, the right stuff goes to the right people (including the taxes the government wants).

All of that stuff is collectively known as someone’s “estate”, and it’s the job of the executor or personal representative to fill out all the forms and complete all the required steps to formally dissolve the estate. 

To get instant clarity on the entire probate process and get an idea of the steps, timeline, and best practices, read the Atticus Beginner’s Guide to Probate

The best place? Create an account in Atticus to start getting estate-specific advice. 

You may need a lawyer, you may not, and paying for one when you didn’t need it really hurts. Atticus makes sure you make  the best decisions (plus you can write it off as an executor expense).

We’ve also created a list of other probate services. Be sure to check it out!

An executor is named in someone’s will, and if the deceased didn’t have a will, then the spouse or other close family relative usually steps up to fulfill the role. If no one wants to do it, then a judge will appoint someone. 

The executor is responsible for the complete management of the probate process, including major responsibilities such as:

  • Creating an inventory of all probate assets.

  • Filling out all necessary forms

  • Paying off all estate debts and taxes

  • Submitting reports to the court and beneficiaries as requested

And much more. This process often stretches longer than a year. 

For an idea of what separates executors who succeed from those who make this way harder than it should be, visit our article, Executors of an Estate:
What they do & secrets to succeeding

The Exact Text on Form AOC-E-406

Here’s the text, verbatim, that is found on North Carolina Form AOC-E-406 - Order On Application For Appointment Of Guardian. You can use this to get an idea of the context of the form and what type of information is needed.

In The General Court Of Justice Superior Court Division Before The Clerk Name Of Respondent Name And Address Of Guardian Special Proceedings File No. Name And Address Of Guardian Date Of Application ORDER ON APPLICATION FOR APPOINTMENT OF GUARDIAN G.S. 35A-1213, -1214, -1215, -1226 IN THE MATTER OF THE ESTATE OF Of The Estate Of The Person General Guardian Of The Estate Of The Person General Guardian Incompetent Minor FINDINGS NOTE TO CLERK: Complete Findings Re: Limited Guardianship only if ordering limited guardianship, otherwise, proceed to the Conclusion. Based on the evidence presented, the Court makes the following specific findings of fact as to the nature of the ward’s capacity: A. Language and Communication Understands conversation and communicates personal needs. Needs assistance Has capacity to communicate important decisions. Needs assistance Other: B. Nutrition Makes decisions about when and what to eat. Needs assistance Knows which foods he/she is unable to tolerate. Needs assistance Can maintain proper diet. Needs assistance Can follow a prescribed diet if needed. Needs assistance Other: C. Personal Hygiene Understands the need to bathe and maintain personal hygiene. Needs assistance Understands the need to maintain dental care. Needs assistance Is able to maintain personal hygiene and dental care. Needs assistance Uses proper hygiene when toileting. Needs assistance Other: ADDITIONAL FINDINGS RE: LIMITED GUARDIANSHIP This matter is before the Court on an application for the appointment of a guardian for the respondent named above. This Court has subject matter jurisdiction over this proceeding and personal jurisdiction over the respondent, and this county is a proper venue. Upon due notice and hearing, or upon waiver of notice and hearing by all parties entitled thereto and upon their consent, the Court determines that a guardian must or should be appointed, and the Court further finds that each person appointed by this Order is entitled, and is not disqualified to serve as guardian, and that it is in the best interest of the respondent that the above named person(s) serve as guardian(s). File No. STATE OF NORTH CAROLINA County AOC-E-406, Rev. 4/16 © 2016 Administrative Office of the Courts D. Health Care Can make and communicate decisions regarding health treatment. Needs assistance Can take care of minor health problems. Needs assistance Can follow prescribed routines and take prescribed medicines. Needs assistance Can alert others and seek medical help for serious health problems. Needs assistance Has capacity to keep a sanitary living environment. Needs assistance Other: E. Personal Safety Has capacity to identify and avoid life-threatening behaviors. Needs assistance Is able to recognize and avoid hazards in home. Needs assistance Can handle or seek help in emergencies. Needs assistance Can recognize when others present a danger and avoid that danger. Needs assistance Other: F. Residential Has capacity to live alone. Needs assistance Has capacity to maintain private residence. Needs assistance Can recognize and communicate need for maintenance of private residence. Needs assistance Can make and communicate decisions about residential options. Needs assistance Other: G. Employment Can make and communicate choice in regard to employment. Needs assistance Demonstrates skills required to work. Needs assistance Can look for and find a job. Needs assistance Other: H. Independent Living Has capacity to appropriately relate to friends and family members. Needs assistance Has capacity to make decisions without undue influence from others. Needs assistance Has capacity to make decisions concerning social activities. Needs assistance Has capacity to determine degree of participation in religious activities. Needs assistance Can utilize familiar community resources. Needs assistance Can identify his or her address and return home or seek assistance. Needs assistance Other: I. Civil Can communicate wishes regarding legal documents or services. Needs assistance Can contact lawyer, police, advocates, etc. if being exploited or treated unfairly. Needs assistance Demonstrates willingness to vote and can acquire information accordingly. Needs assistance Has capacity to drive a car. Needs assistance Other: FINDINGS RE: LIMITED GUARDIANSHIP (Continued) AOC-E-406, Side Two, Rev. 4/16 © 2016 Administrative Office of the Courts IN THE MATTER OF FINDINGS RE: LIMITED GUARDIANSHIP (Continued) File No. Name Of Ward J. Financial Can spend small amounts of money. Needs assistance Can manage a weekly or monthly budget. Needs assistance Is able to seek out and apply for governmental benefits. Needs assistance Has capacity to pay routine bills. Needs assistance Is able to maintain checking account and/or ATM card. Needs assistance Is able to make and carry out major financial decisions. Needs assistance Other: Based on the above findings, the Court concludes that it is is not in the best interest of the respondent that he/she retain certain rights and privileges as set forth below. CONCLUSION It is ORDERED that: each person named above is appointed as guardian of the respondent or minor to serve in the capacity designated, and letters of appointment shall be issued to each such person when he/she properly qualifies to serve. It is further ordered that the ward shall retain the following legal rights and privileges: (check all that apply) Determine his/her degree of participation in interpersonal relationships and social, religious, and community activities. Additional Specifications: Make Assist in decisions regarding living arrangements. Additional Specifications: Make Assist in decisions regarding employment. Additional Specifications: Make Assist in decisions regarding health treatment. Additional Specifications: Take care of minor health problems. Additional Specifications: Contact service providers as needed. Additional Specifications: Handle amounts of money up to $ . Additional Specifications: Maintain personal property other than funds, stocks, bonds, sureties, etc. Additional Specifications: Enter into contracts regarding social, religious, and community activities. Additional Specifications: Enter into contracts regarding residential arrangements. Additional Specifications: Enter into contracts regarding health care, legal, and other services. Additional Specifications: Consult with guardian regarding financial decisions. Additional Specifications: Other: It is further ordered that the individual(s) named as guardian of the person shall file status reports. (NOTE: Pursuant to G.S. 35A-1242(a), any corporation or disinterested public agent that is guardian of the person for an incompetent person is required to submit status reports. ) ORDER SignatureDate Assistant CSC Clerk Of Superior Court AOC-E-406, Page Two, Rev. 4/16 © 2016 Administrative Office of the Courts

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