How to Fill Out and File the Iowa Guardianship Annual Report

The Iowa guardianship annual report is Rule 7.11—Form 4, the “Guardian’s Annual Report for Protected Person,” and every court-appointed adult guardian must complete it, sign it under oath, and file it within thirty days of the close of the reporting period set in the appointment order.¹ The court cannot waive this requirement, so skipping a year is not an option.²

Where to Download Form 4

Get the fillable PDF from the Iowa Judicial Branch Document Library: iowacourts.gov → Document Library → Guardianship. The file is labeled “Rule 7.11—Form 4: Guardian’s Annual Report for Protected Person.”³ While you are there, download Rule 7.11—Form 1 (“Protected Information Disclosure”), the companion form for Social Security numbers, account numbers, and similar identifiers that must stay off the annual report.

If you are an individual (non-attorney) guardian, Iowa Court Rule 7.11(1) requires you to use the official forms. You cannot substitute your own format.²

Records to Gather Before You Start

Iowa Code § 633.669 sets the categories the report must cover.⁴ Pull these together before you open the form:

Summaries of the protected person’s physical, dental, and mental health during the reporting period, including medication changes and new diagnoses.
Current address and the date of any move during the period.
Bank statements, billing records, and benefit statements to support expense estimates across nineteen specific categories.
Employer, school, or vocational-program name; the protected person’s duties; and any services received.
A log of your visits, phone calls, and activities on the protected person’s behalf, along with how you helped them stay in contact with family and participate in social activities.
Whether the protected person has a living will or healthcare power of attorney, the agent’s contact information, and where the originals are kept.

Filling Out the Seventeen Sections

Form 4 has seventeen numbered sections.¹ Most are straightforward with the records above in hand. A few deserve extra care.

Reporting Period and Identifying Information (Sections 1–3)

Enter the exact start and end dates of the reporting period. Your appointment order sets when the period closes, so check that order if you are unsure. Section 2 asks for your name and your relationship to the protected person (spouse, adult child, parent, adult sibling, or other). Section 3 covers the protected person’s age, highest education level, and the status of any living will or healthcare power of attorney.

Continuation of Guardianship (Section 4)

Judges focus on this section. State whether you recommend continuing or terminating the guardianship. If the protected person has gained enough independence that a less restrictive arrangement would serve them better, say so. Iowa Code § 633.669 requires the report to reflect the protected person’s preferences and values to the extent you know them.⁴ You also indicate whether you are able and willing to continue, and note any help you need from the court.

Residence and Guardian Interaction (Section 5)

Give the current address, the date of any move during the period, and a description of your contact: phone calls, in-person visits, accompaniment to appointments, and activities performed on the protected person’s behalf. If the protected person does not live with you, this log matters more because the court needs to see active involvement.⁵

Expenses (Section 6)

The form breaks living expenses into nineteen categories (housing, food, clothing, medical costs, transportation, personal spending, and so on). For each, estimate the expense for the upcoming reporting period, identify who pays (the protected person’s own funds, a benefit program, family, or other source), and explain how the cost will be covered. This is not a full financial accounting; that belongs to the conservator’s report if one is appointed. The court needs to see that expenses are reasonable and covered.

Health (Section 7)

Summarize physical, dental, and mental health status during the reporting period. Note any medical concerns, treatments received, and your plan for the coming year. Be specific. “Quarterly visits with Dr. Smith for diabetes management” gives the court more to work with than “receiving medical care.” If health declined, explain what happened and what you did.

Education, Employment, and Vocational Services (Section 8)

If the protected person attends school, describe the program and any special education services. For employment, list the employer, the duties, and the employer’s contact information. For vocational assistance, identify the service and provider. If none apply, say so rather than leaving it blank.

Social Activities and Family Contact (Sections 10–11)

Describe how you helped the protected person take part in social activities and keep in touch with family and other significant people. Iowa Code § 633.635 makes facilitating these relationships a guardian’s duty.⁵ Document what contact occurred and what you arranged for the next period.

Guardian and Attorney Fees (Sections 13–14)

If you are requesting compensation, select “Fees are applied for” and attach a supporting affidavit showing your time and tasks. If you waive fees, check the waiver box. A similar section covers attorney fees if a lawyer helped prepare the report. The court sets attorney fees rather than approving a pre-negotiated amount.

Oath and Signature (Section 16)

The report is verified under oath. You sign a statement certifying under penalty of perjury that the information is accurate to the best of your knowledge. Inaccuracies can carry consequences beyond a rejected filing.

Keep Sensitive Information off Form 4

Form 4 instructs you not to include Social Security numbers, financial account numbers, or similar protected identifiers on the report itself.¹ Those go on Rule 7.11—Form 1 (Protected Information Disclosure), which is filed separately. Form 1 is classified as confidential under Rule 7.11(2), which keeps those identifiers out of the public court file.² Forgetting to separate them is a common cause of refiling, so handle both forms together.

When It’s Due

The form’s printed instructions set a thirty-day deadline from the close of the reporting period.¹ Iowa Code § 633.669 provides a statutory outer limit of sixty days from the close of the reporting period, unless the court sets a different deadline.⁴ Treat the thirty days as your working deadline. The court can extend it only for good cause.²

Your reporting period anniversary is in the original appointment order. If you can’t locate it, contact the clerk of court in the county where the guardianship was established.

How to File

Iowa courts accept electronic filing through the Iowa Judicial Branch eFile system at iowacourts.gov/efile.⁶ Upload Form 4, Form 1, and any attachments (such as a fee affidavit) through the portal, which also lets you track status and receive documents from the court. If you cannot file electronically, contact the clerk of court in the county where the guardianship is pending about paper options.

After filing, the statute requires you to serve notice and copies on the protected person, the protected person’s attorney (if appointed), any court visitor, and others as the court directs.⁴ Keep proof of service, such as a certificate of mailing or delivery confirmation, in your own records.

What the Court Does With the Report

The court reviews the report to decide whether the guardianship remains appropriate and whether the protected person’s needs are being met. Section 17 asks the court to approve the report and authorize you to carry out the activities and plans described in it. If the judge has concerns, such as unexplained health declines, inadequate contact, or unclear expense explanations, the court may schedule a hearing or request more information before approving.

A Section 4 recommendation to terminate or narrow the guardianship does not end it on its own. The court weighs that recommendation against evidence in your report and input from the protected person, their attorney, or family members, and then enters an order.

If You File Late or Not at All

Because the court cannot waive the report, consequences escalate quickly. Under Rule 7.8(4), if you fail to submit the report, the court may, after giving you notice and an opportunity to correct the problem, impose sanctions, including removing you as guardian.⁷

If the report remains delinquent sixty days after the clerk sends a notice of delinquency, the clerk must report the matter to the presiding judge, the chief judge of the judicial district, and the state court administrator. If an attorney involved also ignores the notice, the state court administrator forwards the attorney’s name to the Iowa Supreme Court Attorney Disciplinary Board, which can begin disciplinary proceedings.⁷ Clerks track delinquent filings and the escalation is built into the court rules.

If You Also Serve as Conservator

Form 4 does not satisfy a conservator’s filing obligation. If you serve as both guardian and conservator for the same person, you have two separate annual reports: Form 4 under Rule 7.11 for well-being, and Form 7 under Rule 7.12 for finances.² The conservator’s report is governed by Iowa Code § 633.670, with its own content and filing rules.⁸ Filing one does not satisfy the other, and the court cannot waive either.

1
Iowa Judicial Branch. Rule 7.11 Form 4 – Guardian’s Annual Report for Protected Person
2
Iowa Legislature. Iowa Court Rules Chapter 7 – Rules of Probate Procedure
3
Iowa Judicial Branch. Guardianship – Document Library
4
Iowa Legislature. Iowa Code 633.669 – Reporting Requirements – Assistance by Clerk
5
Iowa Legislature. Iowa Code 633.635 – Responsibilities of Guardian
6
Iowa Judicial Branch. eFile – Iowa Judicial Branch
7
Iowa Legislature. Iowa Court Rules – Court Order Chapters 7 and 8
8
Iowa Legislature. Iowa Code 633.670 – Reports by Conservators