Guardianship Proceeding Checklist
Person and/or Property

(see Surrogate's Court Form G-2, rev. 4/98)

Fill in All Areas On All Pages - Also Mark When Not Applicable When Necessary

Check All Forms To Make Sure Venue Is Correct - Appropriate County Is Listed


Does the Court have jurisdiction over the subject infant [see SCPA §1702]?    
NOTE: The infant must be domiciled in the county, have sojourned in the county immediately preceding the application for guardianship, or if a non-domiciliary of the state, must have property situate in the county.
Is the captioned name the same as the birth certificate and Paragraph 2 of petition?    
1. Is the petitioner a proper party? [see SCPA §1703]    
Is the petitioner ... the infant, if over fourteen (14) years of age    
a parent    
a person with whom the infant resides    
the public administrator or chief fiscal officer (where no one else is available to act as guardian of the property; would not act as guardian of the person)    
any other person representing the interest of the infant    
Are all A/K/A's listed?    
2. Is the name of the infant in Paragraph 2 the same as that listed on the birth certificate?     
Birth Certificate from official registrar (not hospital) to be filed with petition [see NYCRR §207.15(a)]    
Are all A/K/A's listed?    
3. Check that names and addresses of both natural parents are listed.

[see SCPA §1704(2)]

If one or both are deceased their names must still be shown and death noted. (Court may require copy of death certificate)    
If the name of the father is not shown on petition or birth certificate, determine if a proceeding has been brought to establish paternity. (Court may require copy of filiation order) [see page 5 - Comments & Court Notes]    
NOTE: If it is claimed that the identity of the father is unknown, the Court may require an affidavit showing diligent efforts to identify him.
3. cont. NOTE: If the natural mother was married at the time of infant's birth, there is a rebuttable presumption that her husband is the father of the infant and is a necessary party unless a filiation order has established otherwise. [see DRL §24(1)]
4. List names/addresses of adults with whom infant resides if other than parent or name of agency having custody of infant.    
5. If both parents are deceased, check that names and addresses of adult domiciliary distributees are listed. [see SCPA §1704(2)]    
6. Check that names and addresses of persons having care and custody of infant, and all other persons to whom process must issue are listed. [see SCPA §1705]     
Waiver of process, renunciation and consent to letters of guardianship may be submitted from an adult competent person who has a prior or equal right to letters of guardianship. [see SCPA §401(4)]    
A citation must issue for all interested parties who have not waived.    
NOTE: If there are persons under disability listed under Paragraph 6 of the petition, a guardian ad litem will have to be appointed and a citation issued. [see SCPA §402 & §403]
NOTE: If you are claiming an abandonment you must attach an affidavit of facts; if you are claiming divorce you may be required to submit a copy of the decree. The Court may require information about additional relatives who reside outside of the county. [see SCPA §1705(3)].
7. Confirm that box checked reflects relief requested. ONE BOX MUST BE CHECKED    
8. Confirm that box checked reflects relief requested. ONE BOX MUST BE CHECKED    
9. Check that full and complete reasons for guardianship appointment are given. The Court may require reasons why the person nominated would be a suitable guardian. If either living parent is not nominated, the Court may require detailed reasons why that parent(s) should not be appointed guardian. [see SCPA 1704(7)]    
NOTE: If additional information is required the Court may request that Official Form G-6, Affidavit of Proposed Guardian of the Person, be completed by petitioner.
10. List all personal property, real property, annual income and sources of such property/income as referred to in petition [see SCPA §1704(4)] that will be put into the guardianship account. This will be verified when the guardian files annual accounts. DO NOT INCLUDE ANY MONIES RECEIVED AS SOCIAL SECURITY BENEFITS.    
NOTE: This information will be used to compare and verify the guardian's report on the first annual inventory and account.
11a. Verify that the infant has never had a guardian appointed by will or deed or any acting guardian in socage, or a guardian appointed pursuant to Social Services Law §384 or §384-b.    
11b. Verify that custody of the infant has never been surrendered by any person and that no court order has ever awarded custody of the infant.    
NOTE: Check that applicable copies of surrenders, court orders or divorce decrees have been submitted.
12. Verify whether petitioner indicated knowledge of self, infant or nominated guardian being the subject of or another person indicated in a child abuse report; or has been subject of or a respondent in a child protective proceeding which resulted in a court order finding that the child is an abused or neglected child [see SCPA §1704(6)].    
NOTE: If knowledge of a report is indicated, verify that an affidavit explaining circumstances in detail is included.
13. Check that Request for Information Guardianship form has been submitted with petition and includes all persons over the age of 18 in the household.    
NOTE: Some Courts may require submission of form DCJS-6, Fingerprint Card, for each proposed guardian in order to conduct a criminal record search.
14. This paragraph states that there are no other persons interested in this proceeding other than those already mentioned.     
15. This paragraph states that no prior application for guardianship of the subject infant has been made in any court.    
Under WHEREFORE Clause: has all relief requested been checked and completed?    
If petitioner is seeking guardianship of property, list name of financial institution under (b).    
Is a bond required under SCPA §801(b)?     
Is petition dated, signed, verified, properly notarized (including proper jurat and expiration date of notary's commission)?    
Is oath and designation signed by proposed fiduciary?    
Does it set forth proposed fiduciary's physical(street) address?    
Is proposed fiduciary a Bank? If yes, submit corporate consent and designation [see SCPA §708(4)]    
Is attorney's name, address and phone number listed? (Or if self-represented, add none.)    
Has Part 130 Certification been completed?    
If NOT, has a separate attorney certification as to Part 130 signing requirements been included?    
Has Joinder and Statement of Preference of Infant Over 14 been included? [see SCPA §1706(1)]    
Is the joinder dated, signed, verified, properly notarized (including proper jurat and expiration date of notary's commission)?    
If forms are computer generated, has a certification pursuant to Court Rules §207.4 been attached?




or Rule #

Have the proper fees been included with petition?

$15.00 for filing petition 

$5.00 for each Certificate of Appointment.





Form Number

or Rule #

When Permitted Whenever the interests of an infant will be promoted by the appointment of a guardian of the person or of property or both; when infant will receive assets valued over $10,000.   1701
Forms Always Required .Petition for Guardianship

.Birth Certificate

.Request for Information Guardianship Form






Forms or Documents Sometimes Required .Guardianship Citation

.Waiver, Renunciation and Consent

.Joint Control Decree

.Bond Decree

.Affidavit of Guardian of the Person

.Guardian's Annual Account

.Guardianship Petition for Support

.Guardianship Support Order

.Petition to Close Guardianship Account (Infant)

.Decree Closing Guardianship Account

.Release and Settlement

.Petition to Close Guardianship Account

.Decree Closing Guardianship Account

.Affidavit of Service

.Affidavit of Due Diligence

.Affidavit of Service (Personal/Mail/Publication)


.Death Certificate of deceased spouse, distributee or parent 

.Copies of Divorce Decrees, Surrenders, Court Orders 

.Orders of Filiation 

.Fingerprint Card




























Proofs of Service of Citation must be filed with the Court at least two (2) working days before the return date. 

Some courts may conduct additional inquiries of Putative Father Registry. (Court submits inquiry form to Registry - NYS OCFS Form LDSS-2725,); some courts may also check if natural father has acknowledged being father in any other manner (possible sources of information may be Family Court, Department of Social Services, hospital of birth, local registrar and/or Department of Health ). 

Guardian Ad Litem will be appointed on or before the return day of process for all unknowns and persons under disability (SCPA §403). 

Documents signed by Power of Attorney (Provide certified copy of POA and comply with Section 13-2.3 EPTL and 207.48 Uniform Rules). 

Check to be certain all documents are properly acknowledged.


THIS MATERIAL IS PROVIDED FOR INFORMATIONAL/TRAINING PURPOSES ONLY. It is intended for use in conjunction with review of the applicable statute and rules of the Surrogate's Court and the Surrogate's Court Operations Manual.