North Carolina Form AOC-E-206, Application For Letters Of Guardianship Of The Estate; Limited Guardianship Of The Estate; Guardianship Of The Person; Limited Guardianship Of The Person; General Guardianship; Limited General Guardianship, is the sworn application a person files with the Clerk of Superior Court to be appointed guardian for an adult who has already been adjudicated incompetent under Chapter 35A. Anyone seeking to serve as guardian of the estate, guardian of the person, general guardian, or any limited version of those roles must file the current AOC-E-206 in the county where the ward resides, along with the adult guardianship packet the AOC publishes.
This article walks each line of the form in plain English, anchors every step in the controlling statute, and uses three real-world scenarios so first-time filers do not lose their petition to a clerical rejection. According to North Carolina Judicial Branch case data, more than 6,000 adult guardianship cases are opened each year, and clerks routinely reject AOC-E-206 packets that miss the bond block, omit the assets-and-liabilities side, or list the wrong county under G.S. 35A-1211.
- 📋 How every box on Side One and Side Two of AOC-E-206 should look when typed in black ink
- 🧾 The exact documents and ID numbers to gather before you open the PDF
- 👥 Three full filled-out scenarios for a spouse, an adult child, and a corporate fiduciary
- ⚖️ The statutes, deadlines, and bond rules that decide whether the clerk grants letters
- 🚫 The ten clerical mistakes that most often send the form back across the counter
What the Form Is and Who Must File It
AOC-E-206 is the Application For Letters Of Guardianship For An Incompetent Person, and it is the document the Clerk of Superior Court relies on to issue Letters of Guardianship under G.S. 35A-1221. The form is filed after the ward has been adjudicated incompetent through a separate special proceeding, so AOC-E-206 is not the petition that starts the case. It is the application that finishes the case by naming the actual fiduciary.
The applicant is usually a spouse, adult child, parent, sibling, friend, public guardian, or licensed corporate fiduciary, and the applicant must be at least 18 years old, of sound mind, and not adjudicated incompetent. A nonresident may serve only after appointing a North Carolina process agent under G.S. 28A-4-2, which the clerk verifies before signing the letters. Corporate guardians must be authorized to do trust business in North Carolina, and the clerk will check the secretary of state’s records before signing.
The form supports six different appointments in one PDF, and the applicant chooses among Guardian of the Estate, Limited Guardian of the Estate, Guardian of the Person, Limited Guardian of the Person, General Guardian, or Limited General Guardian. Choosing the wrong box changes the bond requirement, the inventory deadlines, and the future accounting obligations under G.S. 35A-1251 and G.S. 35A-1261. Filers who tick more than one role without authority from the order of adjudication will see the application held until an amended order is entered.
The form is filed exclusively at the Clerk of Superior Court’s estates division in the county where the ward resides or is an inpatient. Mecklenburg, Wake, Guilford, Buncombe, and Durham counties each maintain their own filing windows and intake screening, and several require a same-day cashier’s check for the bond premium. The clerk acts as judge of probate for these matters, so there is no judge involvement unless an appeal is filed under G.S. 1-301.3.
Before You Start: Documents and Information You Need
Pull every document on this checklist before you open the form, because the AOC-E-206 demands sworn answers and an itemized assets-and-liabilities side that you cannot guess at. Filing without these papers is the most common reason the clerk asks the applicant to come back another day. Each item below carries a direct consequence if it is missing.
- Order on Adjudication of Incompetence (AOC-SP-202). Without it, the clerk has no jurisdiction to appoint anyone, and the application is returned untouched.
- Ward’s full legal name, current address, date of birth, and last four digits of the Social Security number. Mismatched data triggers a hold while the clerk cross-checks with DHHS guardianship records.
- Applicant’s government-issued photo ID and current physical address. P.O. boxes alone are rejected, because the clerk needs a service address under Rule 5.
- List of every asset titled in the ward’s name. Bank balances, brokerage statements, vehicle titles, deeds, and life-insurance face values feed the assets block on Side Two and drive the bond amount under G.S. 35A-1230.
- List of every liability the ward owes. Mortgages, medical bills, credit-card balances, and tax debts must be itemized so the clerk can calculate net personalty.
- Estimated annual income. Social Security, VA benefits, pensions, rental income, and IRA distributions are added to the principal to set bond.
- Names and addresses of next of kin. The application requires every interested person, and missing a sibling can void the appointment.
- Receipt of AOC-SP-850, Responsibilities of Guardians. The pamphlet, available at nccourts.gov, must be acknowledged on the form itself.
- Bond information from a licensed surety. A signed bond quote prevents a same-day rejection at the clerk’s window.
Where to Get the Form and How to Access It
The current AOC-E-206 lives on the North Carolina Judicial Branch website inside the estates forms library, and the official PDF download is the only version a clerk will accept. Older revisions still float around third-party sites such as USLegalForms, but those copies often miss the AOC-SP-850 acknowledgement language added in the most recent revision and will be returned by intake staff. Always confirm the revision date printed in the bottom-left corner of Side One before you start typing.
The form is a fillable PDF, so the applicant can type directly into Adobe Acrobat or Adobe Reader and then print on plain white letter-size paper. The clerk requires black ink only, single-sided printing, and no staples through the signature block. Several counties accept e-filing through the North Carolina File & Serve portal, but most estates divisions still want a wet-signed paper original at the counter.
If you do not have a computer, the clerk’s office gives a paper copy on request, and many county law libraries (Wake, Mecklenburg, Forsyth, New Hanover) keep blank forms behind the reference desk. The UNC School of Government’s guardianship paperwork guide lists every related estate form so applicants can grab AOC-E-206 alongside the inventory, the oath (AOC-E-400), and the renunciation (AOC-E-200) in one trip. Take three printed copies — one for the clerk, one for the file you keep, and one for the bond agent.
The clerk also expects you to bring the AOC-SP-850 pamphlet either as a printed copy or as an acknowledgement that you have read it online. Filers who skip that pamphlet get a same-day rejection because the application contains a sworn line saying you received it. Reading it before you fill out the form also prevents bond-amount surprises.
Step-by-Step: How to Fill Out AOC-E-206 Line by Line
The form has two sides. Side One holds the caption, the type-of-guardianship boxes, applicant data, ward data, next-of-kin information, and the verification. Side Two holds the assets-and-liabilities schedule, the income block, the AOC-SP-850 acknowledgement, the consent of the ward’s spouse and adult next of kin (when used), and the clerk’s order. Every box must be typed or printed in black ink under the form’s standing rule, and unused boxes get a single dash to show they were not skipped.
Caption Block: County, File Number, and “In The Matter Of”
The caption sits at the top of Side One and asks for the County of filing, the File No. assigned to the incompetency case, and the ward’s name after “In The Matter Of The Estate Of.” This block tells the clerk which incompetency file the application belongs to, so the appointment is recorded against the right ward. The file number is the same number that appears on the AOC-SP-202 order.
To answer it, type the county in all capital letters (WAKE), then copy the file number exactly as it reads on the incompetency order (24 SP 1457), and then write the ward’s full legal name as it appears on the order. Do not abbreviate the county and do not invent a file number for a case the clerk has not yet docketed. The file number is the spine of the entire estate file.
For example, Maria Lopez writes WAKE under County, 24 SP 1457 under File No., and ROBERTO LOPEZ in the matter line because Roberto is her adjudicated father.
A common edge case is a ward who has changed names since the incompetency order. The form follows the order, not the new ID, so use the name on AOC-SP-202 and add the new name in the next-of-kin notes if needed.
The most frequent mistake is writing the applicant’s county of residence instead of the ward’s county. The clerk has no jurisdiction outside the ward’s county, and the application is dismissed without prejudice.
A persistent misconception is that the file number from the incompetency case ends when the adjudication is signed. It does not. AOC-E-206 lives inside the same SP file forever.
Type Of Guardianship Boxes
Six checkboxes appear directly under the caption — Guardian of the Estate, Limited Guardian of the Estate, Guardian of the Person, Limited Guardian of the Person, General Guardian, and Limited General Guardian. The applicant ticks the box that matches the order on adjudication, because the clerk cannot grant authority the order does not give. Each box carries different bond, inventory, and accounting duties under G.S. 35A-1241 through 35A-1245.
To answer it, draw a heavy black X inside the matching box and leave the others blank. If you mark Limited, attach a copy of the limiting order so the clerk knows which powers are restricted. Do not select two boxes unless the order names a true general guardian.
For example, David Chen checks General Guardianship because the AOC-SP-202 names him both Guardian of the Estate and Guardian of the Person for his mother.
A common edge case is a co-guardian arrangement. The form allows two applicants to share one role, and each signs Side Two, but the role itself remains a single checkbox.
The most frequent mistake is checking Guardian of the Estate when the order says Limited Guardian of the Estate. The clerk will refuse to sign letters that exceed the order, and the bond may also be miscalculated.
A misconception is that “general guardian” is the default. It is not. The clerk decides the type at adjudication, and the applicant simply mirrors that finding.
Applicant 1 and Applicant 2 Identifying Information
Two applicant blocks appear on Side One asking for Name And Street Address, PO Box, City, State And Zip, Telephone No., and County Of Residence. These boxes establish that the applicant is qualified to serve and reachable for service of process. They also support the bond underwriting decision, because sureties pull the applicant’s credit using this address.
To answer it, print the full legal name as it appears on the applicant’s driver’s license, then a complete street address, then a separate P.O. Box if mail is delivered there, then a 10-digit phone number with the area code, and then the county of residence in all caps. Out-of-state applicants must include a North Carolina process agent’s address either here or on a separate sheet attached to the application.
For example, Maria Lopez prints MARIA LOPEZ, 318 OAK STREET, RALEIGH, NC 27604, (919) 555-1234, WAKE in Applicant 1 and writes N/A across Applicant 2 because she is filing alone.
A common edge case is a corporate applicant such as a bank trust department. The block accepts the corporate name, the registered agent address, and the trust officer’s direct number.
The most frequent mistake is using only a P.O. Box in the address line. The clerk needs a physical service address under Rule 5, and a P.O. Box alone causes a deficiency notice.
A misconception is that the applicant’s address can be the ward’s facility address. It cannot. The applicant’s address must be where the applicant actually lives.
Applicant’s Relationship Or Interest In Proceeding
This single line asks why the applicant is qualified to serve, and the clerk uses it to apply the priority list in G.S. 35A-1213. Family members usually have priority over friends, and a nominee in the ward’s durable power of attorney has priority over both unless good cause exists.
To answer it, type a short phrase such as daughter, spouse, son-in-law, long-time friend, or corporate fiduciary nominated by ward in DPOA dated 06/12/2018. Do not write “concerned citizen” if you are actually the niece, because the clerk will press for the precise relationship.
For example, David Chen writes son on this line because he is the ward’s biological adult child.
A common edge case is a stepchild who was never legally adopted. The form accepts stepson but the clerk may still ask whether biological children have renounced.
The most frequent mistake is leaving this box blank. A blank relationship line causes the clerk to assume there is no priority and to reopen the consideration of competing applicants.
A misconception is that being named in the will controls. It does not, because guardianship and probate use different priority lists.
Ward’s Identifying Information
The ward block asks for Name And Address Of Ward, Date Of Birth, Age, and the last four digits of the Social Security No. This information lets the clerk match the application to the correct incompetency file and lets the bonding company set the right premium based on the ward’s age. The ward’s address controls venue under G.S. 35A-1103.
To answer it, copy the name exactly as it appears on the AOC-SP-202 order, then list the current physical address (the nursing home, group home, or family home where the ward lives), then write the date of birth in MM/DD/YYYY format, then the current age in whole years, and then the last four digits of the SSN. Do not write the full nine-digit SSN, because the form is a public record and the AOC redaction rule limits SSN exposure.
For example, Aisha Williams writes MARGARET WILLIAMS, 412 PINEHURST CARE CENTER, DURHAM, NC 27707, 04/22/1948, 78, XXXX-XX-4321 in this block for her mother.
A common edge case is a ward who lives in two places, such as part-time at home and part-time in a facility. Use the long-term residence the order names, and add a parenthetical for the secondary address.
The most frequent mistake is writing the full SSN. The clerk will redact it, but the original copy you served on the ward is now a problem.
A misconception is that the age can be approximate. It cannot, because the bond underwriter uses the age and DOB to price the surety bond.
Names And Addresses Of Next Of Kin
This block lists every spouse, adult child, parent, sibling, and “other person known to have an interest” in the proceeding. The list controls who must receive notice under Rule 5, and a missed person can later void the appointment.
To answer it, list each person’s full name, current address, and relationship to the ward in the rows provided. Use the back of the form or a separate sheet if more than four rows are needed. Each entry needs a complete mailing address — no “address unknown” without a sworn diligent-search affidavit.
For example, David Chen lists EMILY CHEN-PARK, 88 ELM STREET, CARY, NC 27513, daughter of ward and MICHAEL CHEN, 14 MAIN ROAD, APEX, NC 27502, son of ward in the next-of-kin block.
A common edge case is an estranged or missing relative. The clerk accepts a sworn statement of diligent search before allowing service by publication.
The most frequent mistake is listing only those relatives who agree with the appointment. Hiding a hostile sibling will undo the letters when the omission surfaces later.
A misconception is that minor children of the ward are listed here. They are not — only adult next of kin go in this block.
Verification And Signature
At the bottom of Side One, the applicant signs under oath that the answers are true to the best of the applicant’s knowledge, and a notary or deputy clerk acknowledges the signature. The clerk relies on this oath to grant letters under G.S. 35A-1226, and a false statement is a Class 1 misdemeanor.
To answer it, sign in black ink in front of the notary, fill in the date in MM/DD/YYYY format, and let the notary complete the venue, the date of expiration, and the seal. Do not sign at home and bring the form in — the deputy clerk has to watch the signature.
For example, Maria Lopez signs Maria Lopez on the applicant line and the deputy clerk in Wake County stamps and dates the seal block on the same day.
A common edge case is two co-applicants who sign the same form. Both must sign in the notary’s presence, even if they sign on different days, and each signature gets its own jurat.
The most frequent mistake is pre-signing before reaching the clerk. Pre-signed verifications are stricken, and the form has to be redone.
A misconception is that a remote online notary is acceptable. North Carolina now allows electronic notarization, but estates clerks usually still want a live signature for AOC-E-206.
Side Two Box 1: Assets Of The Estate
Side Two opens with an itemized Assets schedule asking for cash on hand, bank deposits, stocks and bonds, vehicles, real property, and any other personal property. The dollars on this schedule decide the bond amount under G.S. 35A-1230, so accuracy is critical.
To answer it, list each asset on its own line with a clear description and the value as of the application date. Use bank statement balances dated no more than 30 days before filing, Kelley Blue Book values for vehicles, and tax-card values for real property unless an appraisal exists.
For example, Aisha Williams lists Wells Fargo checking #3349 — $4,820, Wells Fargo savings #7712 — $18,400, 2014 Toyota Camry VIN 4T1 — $7,500, and Real property at 412 Pinehurst Lane (Durham PIN 0832-12-3456) — $185,000 on the asset side.
A common edge case is real property the ward owns jointly with a spouse. List it but note the joint tenancy, because the bond is calculated only on the ward’s share.
The most frequent mistake is forgetting an out-of-state account. The bond is recalculated and the surety charges a midterm premium that the guardian pays personally.
A misconception is that retirement accounts are excluded. They are included for bond purposes when the ward has the unilateral right to withdraw.
Side Two Box 2: Liabilities Of The Estate
The liabilities block lists every debt the ward owes — mortgages, medical bills, credit cards, taxes, and any judgment liens. Liabilities lower the net personalty used to calculate bond, but only when properly itemized.
To answer it, list each creditor, the account number’s last four digits, and the dollar balance as of the most recent statement. Sum the liabilities at the bottom of the block, and attach extra pages if needed.
For example, David Chen lists Duke Health — $4,200, Capital One ending 8821 — $1,640, and 2024 property taxes Wake County — $2,108 under liabilities.
A common edge case is a debt in collection. List it at the disputed amount and note “in dispute” so the clerk understands why the figure may shift.
The most frequent mistake is omitting recurring nursing-home charges. The clerk needs the monthly figure to estimate the next 12 months’ burn rate and to size the bond accordingly.
A misconception is that liabilities cancel out the bond. They reduce the calculation but cannot bring the bond to zero when there is real personalty.
Side Two Box 3: Income Of The Estate
The income block lists Social Security, VA benefits, pensions, rental income, IRA distributions, and any other recurring receipts. Income drives the bond formula because guardians collect this money on the ward’s behalf.
To answer it, write the source, the gross monthly amount, and any deductions known at the time of filing. Total the gross monthly income at the bottom and multiply by 12 for the annual estimate the clerk uses.
For example, Maria Lopez writes Social Security retirement — $1,920/month, VA pension — $480/month, and rental income 21 Maple Avenue — $1,100/month under income.
A common edge case is income paid directly to a representative payee. Note that fact so the clerk understands the funds may not flow through the guardianship account.
The most frequent mistake is showing net income instead of gross. Bond is calculated on gross because deductions can change quickly.
A misconception is that one-time gifts are income. They are not — only recurring receipts go here.
AOC-SP-850 Acknowledgement
A short sworn line confirms the applicant has received AOC-SP-850, Responsibilities Of Guardians In North Carolina. The clerk relies on this to enforce the duties later if the guardian misbehaves.
To answer it, initial the line and date it after you have actually read the pamphlet. The pamphlet is two pages and takes about ten minutes to read carefully.
For example, Aisha Williams initials AW 11/14/2026 on the acknowledgement line.
A common edge case is a co-applicant pair. Both must initial, because each is independently bound by the duties.
The most frequent mistake is initialing without reading. The duties are real, and a guardian who later violates them cannot claim ignorance.
A misconception is that the pamphlet is optional. It is not — the application includes a sworn acknowledgement and the clerk verifies it on intake.
Bond Information Block
The clerk completes a bond block based on the assets, liabilities, and income, but the applicant supplies the carrier name, bond number, and premium to the bond agent before filing. Bond is mandatory for guardians of the estate and general guardians under G.S. 35A-1230, and waiver requires sworn consent from every adult next of kin.
To answer it, attach the surety’s signed bond form (AOC-E-401) along with AOC-E-206. The clerk transcribes the surety name, bond number, and amount into the order on Side Two.
For example, David Chen attaches a $250,000 bond from Western Surety Bond #71-1842566, with a first-year premium of $1,250 paid at the clerk’s window.
A common edge case is a personal surety. North Carolina allows two solvent personal sureties instead of a corporate bond, but the clerk must approve the personal sureties’ net worth statements.
The most frequent mistake is showing up without a bond. Without it, the clerk cannot sign letters, and the entire trip is wasted.
A misconception is that guardians of the person need a bond. They generally do not, because they hold no money — only personal-decision authority.
Three Filled-Out Examples Using Real Scenarios
The following three named scenarios show how AOC-E-206 looks in real life from caption to verification. Each table lists the form section in the left column and what the named filer enters in the right column. Treat them as templates — your facts will differ, but the structure stays the same.
Scenario 1: Maria Lopez, daughter and sole guardian of the estate for her father Roberto
| Form Section | What Maria Enters |
|---|---|
| County | WAKE |
| File No. | 24 SP 1457 |
| In The Matter Of | ROBERTO LOPEZ |
| Type Of Guardianship | Guardian Of The Estate |
| Applicant 1 Name & Address | MARIA LOPEZ, 318 OAK STREET, RALEIGH, NC 27604 |
| Applicant’s Relationship | daughter |
| Ward’s Name & Address | ROBERTO LOPEZ, 318 OAK STREET, RALEIGH, NC 27604 |
| Ward’s DOB / Age / SSN | 03/14/1942 / 84 / XXXX-XX-7890 |
| Next Of Kin | Carlos Lopez (son), 22 Pine Road, Cary NC 27513 |
| Assets | BB&T checking $6,200; Vanguard IRA $94,500; 2010 Honda Civic $4,000 |
| Liabilities | Duke Energy $312; Wake County taxes $1,840 |
| Income | Social Security $1,920/month; VA pension $480/month |
| Bond | $130,000 — Travelers Bond #41-7720 |
Scenario 2: David Chen, son and general guardian for his mother Linda
| Form Section | What David Enters |
|---|---|
| County | MECKLENBURG |
| File No. | 25 SP 0902 |
| In The Matter Of | LINDA CHEN |
| Type Of Guardianship | General Guardianship |
| Applicant 1 Name & Address | DAVID CHEN, 75 LAKE FOREST DRIVE, CHARLOTTE, NC 28210 |
| Applicant’s Relationship | son |
| Ward’s Name & Address | LINDA CHEN, 410 ARBORETUM CARE, MATTHEWS, NC 28105 |
| Ward’s DOB / Age / SSN | 09/02/1949 / 76 / XXXX-XX-2210 |
| Next Of Kin | Emily Chen-Park (daughter), 88 Elm Street, Cary NC 27513 |
| Assets | Truist checking $12,000; Fidelity brokerage $410,000; home at 410 Pinehaven Ln $385,000 |
| Liabilities | Atrium Health $4,200; Capital One $1,640; property taxes $2,108 |
| Income | Social Security $2,300/month; pension Bank of America $1,150/month |
| Bond | $650,000 — Western Surety Bond #71-1842566 |
Scenario 3: Carolina Trust Company, corporate fiduciary serving as Guardian of the Estate for John Whitfield
| Form Section | What Carolina Trust Enters |
|---|---|
| County | GUILFORD |
| File No. | 26 SP 0117 |
| In The Matter Of | JOHN A. WHITFIELD |
| Type Of Guardianship | Guardian Of The Estate |
| Applicant 1 Name & Address | CAROLINA TRUST COMPANY, 200 N. ELM STREET, GREENSBORO, NC 27401 |
| Applicant’s Relationship | corporate fiduciary nominated by ward in DPOA dated 06/12/2018 |
| Ward’s Name & Address | JOHN A. WHITFIELD, 18 OAKMONT ROAD, GREENSBORO, NC 27408 |
| Ward’s DOB / Age / SSN | 11/05/1955 / 70 / XXXX-XX-5544 |
| Next Of Kin | Susan Whitfield (spouse), same address; Mark Whitfield (son), 9 Birch Lane, Asheville NC 28801 |
| Assets | Truist checking $24,400; Schwab brokerage $1,820,000; rental at 14 Magnolia Ave $260,000 |
| Liabilities | medical $850; HOA dues $400; 2025 federal taxes due $14,200 |
| Income | Social Security $3,200/month; rental $1,400/month; IRA RMD $4,800/month |
| Bond | $2,200,000 — Liberty Mutual Bond #018-3322-77 |
How to File the Completed Form
The completed AOC-E-206 is filed at the Estates Division of the Clerk of Superior Court in the county where the ward resides. Most counties take the form in person, a few accept mail-in filings, and a growing number permit upload through the North Carolina File & Serve portal. Each channel has its own fee handling, processing time, and proof-of-filing.
- In person. The clerk’s window is open weekdays from roughly 8:30 a.m. to 5:00 p.m., and the filer hands the original AOC-E-206, the bond, the oath (AOC-E-400), and a check for $120 under G.S. 7A-307. The clerk file-stamps the original, returns a stamped copy as proof, and issues the letters within minutes when the bond is in order.
- By mail. Send the package to the estates division at the courthouse address listed on the county directory with a self-addressed stamped envelope and a check for $120. Processing runs 7 to 10 business days, and the proof-of-filing is the returned stamped copy.
- Through e-filing. Counties live on File & Serve charge the same $120 plus a small portal fee, and processing runs 2 to 5 business days. The proof-of-filing is the digital “filed” receipt e-mailed by the system.
The clerk accepts cashier’s checks, money orders, attorney trust checks, and credit cards in most counties. Personal checks are sometimes refused at first filing, so call ahead. Keep the stamped copy with your bond paperwork forever — the letters of guardianship reference the AOC-E-206 by date and time stamp.
After payment is processed, the clerk issues Letters of Guardianship (AOC-E-406), and these letters are the legal document the guardian shows banks, hospitals, and the Social Security Administration. Order at least three certified copies at $1.00 each, because every institution wants its own original.
What Happens After You File
Once the clerk signs the letters, the guardian is on the clock for several rolling deadlines. Within three months of qualification, a guardian of the estate or general guardian must file a 90-day Inventory (AOC-E-510) under G.S. 35A-1261, listing every asset and its date-of-qualification value. Missing this deadline triggers a deficiency notice and, if ignored, contempt and removal.
Each year on the qualification anniversary, the guardian must file an Annual Account (AOC-E-506) showing receipts, disbursements, gains, losses, and the closing balance. The account must balance to the penny, and every disbursement must be supported by a voucher under G.S. 35A-1264. Pierce Law Group’s field guidance explains how to assemble vouchers when the original receipts are gone.
The guardianship continues until the ward dies, regains capacity, or moves out of state, at which point the guardian files a Final Account (also AOC-E-506) within the deadlines set by G.S. 28A-21-2. The clerk may schedule audits at any time, and Mecklenburg, Wake, and Guilford each run dedicated guardian-audit units.
Bond renewals fall on the anniversary date as well. The guardian pays the renewal premium and files a continuation certificate so the bond stays active. A lapsed bond is grounds for immediate removal under G.S. 35A-1290.
Mistakes to Avoid When Filling Out the Form
- Filing in the wrong county. The clerk has no jurisdiction outside the ward’s county and dismisses without prejudice.
- Checking a guardianship type the order does not authorize. The clerk refuses to issue letters that exceed the order.
- Listing only a P.O. Box for the applicant. Service of process needs a physical address.
- Writing the full nine-digit SSN. The form is a public record and the redaction process delays issuance.
- Pre-signing the verification away from the notary. The clerk strikes any signature not witnessed.
- Skipping a hostile next-of-kin entry. The omission can void the appointment when discovered later.
- Using stale asset values older than 30 days. The bond underwriter rejects stale numbers and the clerk holds the file.
- Forgetting the AOC-SP-850 acknowledgement. The application is incomplete on its face.
- Showing up without a bond quote in writing. The clerk cannot finalize letters without a bound surety.
- Mismatched ward name between AOC-SP-202 and AOC-E-206. The clerk holds the file until the names match.
Do’s and Don’ts
- Do type in black ink only, because clerks scan in black-and-white and any other color disappears.
- Do list every adult next of kin, because hidden relatives create later voidability issues.
- Do read AOC-SP-850 before initialing, because the duties carry real liability.
- Do order at least three certified copies of the letters, because banks each demand an original.
- Do call the county estates division ahead of time, because each county has its own intake quirks.
- Do keep the stamped copy permanently, because the bond and accountings reference its date.
- Don’t sign before reaching the clerk, because the verification must be witnessed.
- Don’t guess at asset values, because under-bonding is a personal-liability trap.
- Don’t skip the bond when serving as guardian of the estate, because the clerk will refuse to issue letters.
- Don’t check more than one type-of-guardianship box without authority, because the clerk will reject the application.
- Don’t use an outdated PDF, because revision-date mismatches trigger deficiency notices.
- Don’t ignore the 90-day inventory deadline after letters issue, because contempt and removal follow quickly.
Pros and Cons of Filing on Your Own vs. With Help
Choosing between pro se filing and using counsel comes down to the size of the estate, the family dynamics, and the filer’s comfort with sworn paperwork. Both routes get the same result legally — a signed letter of guardianship — but the path is very different.
Pros of filing on your own
- The filing itself costs only the $120 statutory fee, which keeps the upfront cost low.
- The applicant learns the file inside and out, which speeds future inventories and accounts.
- Family members trust a relative more than an outside attorney for many small estates.
- The clerk’s office is generally helpful at intake for pro se filers when the form is clean.
- The applicant controls the timing without waiting on counsel’s calendar.
Cons of filing on your own
- A single mis-checked box can cost weeks while the clerk issues a deficiency notice.
- Bond underwriting is unfamiliar territory and the wrong dollar figure delays the appointment.
- Hostile family members may exploit a pro se applicant’s filing mistakes to challenge priority.
- The applicant is personally liable for asset omissions even when the mistake was honest.
- Future annual accounts are harder for unrepresented guardians, and clerks audit them more closely.
FAQs
Do I file AOC-E-206 before or after the ward is adjudicated incompetent?
No. AOC-E-206 is filed after adjudication. The Clerk uses the order on AOC-SP-202 to decide what kind of guardianship the application can request.
Is there a filing fee for AOC-E-206?
Yes. The fee is $120 under G.S. 7A-307, paid by check, money order, or credit card at the time of filing in most counties.
Can a non-resident of North Carolina file AOC-E-206?
Yes. A non-resident can serve as guardian after appointing a North Carolina process agent and meeting the bond requirements set by G.S. 35A-1230.
Do I write the ward’s full Social Security number on the form?
No. The form asks only for the last four digits. Writing all nine creates a public-record exposure and slows the clerk’s review.
What goes on the “In The Matter Of The Estate Of” line in the caption?
Yes. That line takes the ward’s full legal name exactly as it appears on the AOC-SP-202 order, never the applicant’s name.
Should I check both Guardian of the Estate and Guardian of the Person?
No. Check those two only if the order on adjudication names a general guardian, in which case the General Guardianship box is the correct single choice.
Do I need a bond when serving only as Guardian of the Person?
No. Guardians of the person hold no money, so bond is generally not required, but the clerk may still ask for cause.
Can I sign the AOC-E-206 at home in front of my own notary?
No. The signature must be witnessed at the clerk’s office or by a North Carolina notary, and most clerks prefer to watch the signing themselves.
Do I list minor grandchildren of the ward in the next-of-kin block?
No. Only adult next of kin go in that block. Minors are addressed through a separate guardian ad litem.
Can I use a P.O. Box as my applicant address?
No. A street address is required for service. A P.O. Box may be added beside the street address, but never alone.
Do I have to read AOC-SP-850 before initialing the acknowledgement?
Yes. The acknowledgement is sworn, and the duties in the pamphlet bind you the moment letters issue.
Can I amend AOC-E-206 after the clerk signs the letters?
Yes. A motion in the cause may amend the appointment, but the original AOC-E-206 stays in the file as the historical application.
Where do I find the most current version of AOC-E-206?
Yes. The current version lives on the North Carolina Judicial Branch forms page, and the revision date in the bottom-left corner of Side One should match the website’s listing.
Is AOC-E-206 the same form used to open a minor’s guardianship?
No. Minors use AOC-E-208. AOC-E-206 is used only for adults already adjudicated incompetent.
Related reading
- How to Fill Out North Carolina Form AOC-E-204 (w/Examples) + FAQs
- How to Fill Out North Carolina Form AOC-E-201 (w/Examples) + FAQs
- How to Fill Out North Carolina Form AOC-E-202 (w/Examples) + FAQs
- How to Fill Out North Carolina Form AOC-E-505 (w/Examples) + FAQs
- How to Fill Out North Carolina Form L-09 (w/Examples) + FAQs
- How to Fill Out North Carolina Form L-12 (w/Examples) + FAQs
- How to Fill Out North Carolina Form AOC-CV-100 (w/Examples) + FAQs