Procedure for Appointing a Guardian for an Adult

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Definition of incapacity

Incapacity is a judge's decision, not a doctor's decision, although medical information is important to help the judge decide whether a person is legally incapacitated. Incapacity is measured by the respondent's functional limitations and it means that the respondent's ability to:

  • receive and evaluate information; or
  • make and communicate decisions; or
  • provide for necessities such as food, shelter, clothing, health care, or safety

is impaired to the extent that s/he lacks the ability, even with appropriate technological assistance, to meet the essential requirements for financial protection or physical health, safety, or self-care.

To prove that the respondent is incapacitated, the petitioner must prove these things by clear and convincing evidence.

 

Procedure for appointing a guardian

  • Summary of Guardianship Proceedings - PDF

This is a general description of the most common procedures, but some procedures may vary from court to court. And the judge may require procedures not described here based on the circumstances of a case.

Petition to appoint a guardian

Any adult may file the petition. The petitioner may request that s/he or someone else be appointed guardian. The petitioner must file the petition in the county in which the respondent resides or is present.

Are you filing in Utah County?
If yes, you must file your papers with the Provo Courthouse. Deliver your papers to the courthouse or email them to ProvoFiling@utcourts.gov. 

There is a filing fee, but the fee can be waived. For more information, see our pages on Filing Procedures, Fees, and Fee Waiver.

Service of the petition and notice of hearing

Who must be served and how they must be served are governed by Utah Code Section 75-5-309 and Section 75-1-401. The petitioner must serve the petition and notice of the hearing on:

  • the respondent;
  • the respondent's spouse, parents, and adult children;
  • the respondent's closest adult relative if respondent's spouse, parents, and adult children cannot be found;
  • the respondent's guardian, conservator, caregiver and custodian;
  • the person nominated as guardian by the respondent or by the respondent's parent, spouse, or caregiver;
  • the respondent's heathcare decision making agent;
  • the respondent's agent under a power of attorney;
  • Adult Protective Services if APS has received a referral concerning the welfare of the respondent, or of the guardian or proposed guardian; and
  • any other interested person.

The respondent must be personally served in a manner permitted by URCP 4. The respondent's spouse and parents must be personally served in a manner permitted by URCP 4 if they can be found within the state. The others listed may be served by first class mail or other method permitted by URCP 5. Proof of service must be filed with the court. For more information and forms, see our page on Serving Papers.

If the person to be served cannot be found, they can be served by alternative means. For more information and forms, see our page on Alternative Service.

Objecting to the petition

Any person served with notice of a guardianship petition may object. This can be done by filing a written objection before the hearing, or raising the objection at the hearing orally. An oral objection must be followed up with a written objection within 7 days. An objection form is available in the Forms section below.

If an oral objection is made but there is no written objection within 7 days the petitioner can ask the court to proceed with the original petition by filing a Request to Submit for Decision.

If a party files an objection in a guardianship, conservatorship or other probate case, the parties must attend mediation to try to resolve the issues before the case can move forward. Code of Judicial Administration Rule 6-506. See the Alternative Dispute Resolution in Probate Cases web page for more information.

If an objection is filed in a guardianship, conservatorship or other probate case, the parties must share certain information with each other. See the Initial Disclosures web page for more information about the requirements.

Lawyer for the respondent

Utah law requires that the respondent be represented by a lawyer except in limited circumstances. The respondent's lawyer represents the respondent in the traditional sense as an advocate for the respondent.

If the respondent has not chosen a lawyer, the court must appoint one. The court may need to continue the hearing until the respondent has a lawyer. The respondent will usually have to pay for the lawyer unless the petition is without merit or if the respondent and the respondent's parents are indigent. Some lawyers have volunteered to represent respondents in guardianship proceedings through the Guardianship Signature Program. The petitioner or respondent may request a lawyer under this program. To request a lawyer under this program, complete a Request to Appoint an Attorney to Represent the Respondent and an Order, found in the Forms section below.

According to Utah Code Section 75-5-303(5)(d), the court may waive the requirement of a lawyer for the respondent if:

  • the respondent is the biological or adopted child of the petitioner;
  • the value of the respondent’s entire estate does not exceed $20,000 as established by the petitioner’s affidavit in accordance with Utah Code Section 75-3-1201;
  • the respondent appears in court with the petitioner;
  • the respondent is given the opportunity to communicate, to the extent possible, his or her acceptance of the appointment of petitioner,
  • the court has tried to appoint an attorney for 60 days, but no attorney from the court's list of attorneys who have volunteered to represent respondents is able to provide counsel,
  • the court is satisfied that counsel is not necessary to protect the respondent's interests, and
  • the court appoints a visitor as described in Utah Code Section 75-5-303(4).

The Petitioner's Affidavit of the Value of Respondent's Estate is available in the Forms section

Examination of the respondent

The court may direct that the respondent be examined by a physician. The petitioner, respondent or any interested person may request that the respondent be examined.

Court visitor

Utah law requires the respondent to attend the hearing. If it is proposed that the respondent be excused from attending the hearing, the court must appoint a court visitor to investigate the ability of the respondent to appear unless there is clear and convincing evidence from a physician that the respondent has fourth stage Alzheimer's disease, extended coma, or an intellectual disability with an intelligence quotient score under 25.

Also, Utah law requires the respondent to have an attorney unless specific requirements of Utah Code Section 75-5-303(5)(d) are met. One of these requirements is to appoint a court visitor.

A visitor is a special appointee of the court with no personal interest in the proceedings. The petitioner, respondent or any interested person may request that a visitor be appointed. The court may appoint a visitor on its own initiative.

For more information about court visitors and volunteering to serve as a court visitor, see our page on Court Visitor Program.

Mediation

If someone objects, the court might require the parties to mediate their dispute before proceeding to trial. For more information, see our page on Alternative Dispute Resolution In Probate.

Hearing

The court will set a date for a hearing when the petition is filed. This hearing is not a trial with testimony by witnesses, although the judge may ask questions. The judge will consider:

  • whether the petitioner has the necessary claims and proof;
  • whether proper notice of the petition and hearing has been given;
  • whether the respondent is present or has been excused from attending the hearing;
  • whether there is a need to appoint a court visitor;
  • whether there is a need to appoint a lawyer to represent the respondent;
  • whether the necessary documents have been filed;
  • whether the proposed guardian is willing to serve;
  • whether the proposed guardian is required to take the guardianship test and file the declaration of completion of testing; and
  • whether there are any objections.

Unless someone objects to the petition, the judge will appoint the guardian at the hearing. If there is an objection, the case will be referred to mediation or set for trial at which the petitioner will have to prove the claims made in the petition.

For more information about how to present yourself at the hearing, see our page on Going to Court.

Evidence of incapacity

The petitioner must prove that the respondent is incapacitated by clear and convincing evidence. That means the evidence must leave no serious doubt that the respondent's ability to:

  • receive and evaluate information; or
  • make and communicate decisions; or
  • provide for necessities such as food, shelter, clothing, health care, or safety

is impaired to the extent that s/he lacks the ability, even with appropriate technological assistance, to meet the essential requirements for financial protection or physical health, safety, or self-care.

Even if no one objects to the appointment of the guardian, the petitioner must prove incapacity by clear and convincing evidence. The petitioner should include with the petition (or file before the hearing) affidavits or statements showing clear and convincing evidence of incapacity. Examples include statements of any witnesses who are familiar with the respondent and/or evaluations by respondent's physician.

The judge may ask the petitioner to proffer clear and convincing evidence that the respondent is incapacitated. Proffering evidence means that the party can tell the judge in narrative form the facts showing incapacity. If someone objects and the case goes to trial, the petitioner will have to present testimony or other clear and convincing evidence of incapacity.

Evidence of need for authority

The petitioner must also present evidence about what authority the guardian should have. For a description of what authority the guardian might need, see the section on Guardian's authority. The petitioner must present evidence that the guardian's authority to make decisions in specific areas is necessary or desirable as a means of providing continuing care and supervision for the respondent. The court's order will limit the guardian's authority to these areas.

If the petitioner is seeking plenary or full authority, the petitioner must prove that no alternative exists and that nothing less than a full guardianship is adequate.

The petitioner must also present evidence about what authority the guardian should have. For a description of what authority the guardian might need, see the section on Guardian's authority. The petitioner must present evidence that the guardian's authority to make decisions in specific areas is necessary or desirable as a means of providing continuing care and supervision for the respondent. The court's order will limit the guardian's authority to these areas.

If the petitioner is seeking plenary or full authority, the petitioner must prove that no alternative exists and that nothing less than a full guardianship is adequate.

The protected person retains decision making authority not given to the guardian. See our page on The Protected Person’s Rights.

Pre-appointment test

Utah Code of Judicial Administration 6-501 requires that, before a person can be appointed as guardian, the person must take a test about their authority and responsibilities and file a Certificate of Completion with the court. 

The test is not meant to screen anyone out of their role as guardian; it is meant to reinforce some of the responsibilities of the office. It is permitted to complete the test before appointment and file the form with the petition.

For more information and forms, see our page on Guardianship and Conservatorship Pre-appointment Tests.

Order and letter of guardianship

If the court is satisfied that the respondent is incapacitated and that the appointment is necessary or desirable as a means of providing continuing care and supervision of the respondent, the court will appoint a guardian. The guardian's authority will be limited unless nothing less than a full guardianship is adequate. The court's order will include the guardian's authority, and the letter of guardianship will conform to the order.

The letter shows the guardian's authority to make decisions for the protected person. The guardian will need to provide a copy of the letter to third parties, for example, the protected person's healthcare provider. The guardian should have the court certify at least one copy of the letter. Additional certified copies are available upon request and payment of the required fee.

Serving as a Guardian

There is information for guardians on the Guardianship and Conservatorship Home Page.

Reporting Requirements

Court-appointed guardians and conservators must file an initial inventory within 90 days after being appointed. Each year the guardian and conservator must file status reports and financial accountings unless the court changes the reporting period and/or the frequency of the reports. If you are the parent of the protected person or appointed as a co-guardian with a parent of the protected person, you do not have to file the reports.

See our page on Reports Required from the Guardian and Conservator.

 

Forms

Some forms may not apply in all cases.

Forms to appoint a guardian for an adult

  • Use OCAP, the Online Court Assistance Program to prepare all the documents needed to ask for a guardianship of an adult.

Forms to appoint an attorney to represent the respondent

  • Checklist - PDF | Word
  • 1215XX
  • 1216XX

Forms to assign a court visitor

  • 1217XX

Forms to appoint an examiner

  • Checklist - PDF | Word
  • 1218XX
  • 1219XX
  • 1208XX
    • Instructions to the Evaluator - PDF | Word

Forms to object to the petition

Going to trial

  • 1251GE
  • 1260GE

 

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