New York Guardianship Checklist — Core Documents to Prepare for Filing

Showing up at the clerk's window with a half-complete filing packet is one of the fastest ways to lose weeks on your guardianship case. The clerk sends you home, you scramble for the missing piece, and your next slot on the calendar pushes out. This checklist covers the core documents and forms — organized by when you need them — while your local court may require additional items.

The exact packet depends on whether you are filing in Family Court or Surrogate's Court, and whether the parents consent. The core documents overlap heavily.

Documents You Gather Before Filing

These are the identity, relationship, and residency records that prove who you are, who the child is, and why the case belongs in your county.

• Child's certified birth certificate — establishes the child's age, legal parentage, and birth jurisdiction
• Your government-issued photo ID — driver's license or passport
• Death certificates — if one or both parents are deceased, you need certified copies
• Paternity acknowledgment or order of filiation — for unmarried parents, this establishes legal fatherhood
• Existing court orders — certified copies of any prior custody, visitation, divorce, or protective orders involving the child, from New York or any other state
• Proof the child lives with you — school enrollment records, pediatric records, utility bills, or a landlord's letter showing the child resides at your address
• Translations — any foreign-language record needs a sworn English translation with a translator's affidavit

Court Forms for Family Court

Family Court charges $0 in filing fees for custody and guardianship petitions.

• Form 6-1 — Petition for Appointment as Guardian of a Person or Permanent Guardian (the main petition form for FCA § 661 guardianship)
• Form 6-2 — Oath and Designation (you swear to fulfill your duties and designate an agent for service)
• Form 6-3 — Consent or Preference of a Minor Over Age 14 (required if the child is 14 or older; the child signs stating their preference)
• Form 6-4 — Waiver of Process/Consent (each consenting parent signs this to waive formal service)
• Form OCFS-3909 — Statewide Central Register Database Check (background check for child abuse/maltreatment records; goes to the Office of Children and Family Services)
• Custody petition (Form CUC-1) — if you are filing for nonparent custody under FCA Article 6 instead of guardianship
• UCCJEA affidavit — required in all custody and guardianship cases; discloses every state the child has lived in during the past five years and any other pending custody proceedings

If you need address confidentiality because of safety concerns, file the Address Confidentiality Affirmation (General Form 21) at the time of filing or within 10 days.

Court Forms for Surrogate's Court

Surrogate's Court charges $20 for a guardianship-of-the-person petition under SCPA Section 2402.

• Form G-2A — Petition for Appointment of Guardian of Person Only
• Form G-2B — Petition for Appointment of Guardian of Person and Property (if the child has assets or an inheritance)
• Form G-1 — Guardianship Citation (the court issues this for service on respondents)
• Form G-3 — Affidavit of Proposed Guardian (your sworn statement of qualifications)
• CSMD forms — for standby guardianship under SCPA Section 1726

Fee waivers are available in Surrogate's Court under CPLR Article 11 for petitioners who cannot afford the filing fee. You file an ex parte motion with a financial affidavit.

Documents You Need After Filing

Once the petition is filed and you have a court date, you shift to service and hearing preparation.

• Affidavit of service — after someone over 18 (not you) personally serves each respondent who must receive notice, they must complete and notarize this form, then file it with the court before your first appearance
• Application for alternative service — if a parent cannot be found after diligent searching, you file this with proof of your search efforts (postal records, last-known employer, correctional database searches) so the court can authorize service by publication or substituted service
• Background-check status — SCR and DCJS fingerprinting results are submitted directly to the court clerk. Ask the clerk how to confirm completion; do not assume you will receive a clearance letter to bring.

What to Bring to Your Hearing

Pack a hearing binder with originals and copies:

• Filed petition with the court's docket stamp
• Proof of service on every respondent
• Any background-check receipts or notices the court has asked you to bring; results are submitted directly to the court clerk
• Certified birth certificate and death certificates
• Proof of residency (the same documents from your filing, plus anything more recent)
• School report cards, medical records, or other evidence of the child's life in your care
• A written summary of the child's living situation, daily routine, and your caregiving history — judges appreciate concise timelines

After the judge signs the guardianship order, request multiple certified copies of Letters of Guardianship from the clerk. Schools, doctors, insurance companies, and benefits offices may ask for a copy.

Where This List Falls Short

Every county in New York adds its own wrinkles. Some clerks require a local court information sheet. NYC boroughs route certain cases through intake units that want additional documentation. Rural counties may have specific scheduling forms.

The New York Guardianship and Custody Court Process Guide includes a printable document-readiness checklist, a service-of-process log, and a hearing binder organizer built around the requirements of New York Family Court and Surrogate's Court — so you can prepare your packet before filing.

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