PETITION FOR APPOINTMENT OF GUARDIAN
OF THE [PERSON] / [PROPERTY] / [PERSON AND PROPERTY]
SURROGATE’S COURT OF THE STATE OF NEW YORK
COUNTY OF [COUNTY]
In the Matter of the Application of
[PETITIONER FULL LEGAL NAME],
Petitioner,
For the Appointment of a Guardian of the
[Person / Property / Person and Property] of
[WARD FULL LEGAL NAME],
a [Minor / Alleged Incapacitated Person (“AIP”)]
Index No.: ____
[// GUIDANCE: Insert official court caption exactly as required by the chosen county’s Surrogate’s Court. Confirm current filing fees, cover sheet requirements, and e-filing protocols before submission.]
TABLE OF CONTENTS
- Document Header
- Definitions
- Operative Provisions
- Representations & Warranties
- Covenants & Restrictions
- Default & Remedies
- Risk Allocation
- Dispute Resolution
- General Provisions
- Execution Block
1. DOCUMENT HEADER
1.1 Effective Date. This Petition is made and verified as of ____ [DATE] (“Effective Date”).
1.2 Jurisdiction & Venue. Petitioner invokes the jurisdiction of the Surrogate’s Court of the State of New York, County of [COUNTY], pursuant to Article 17 of the Surrogate’s Court Procedure Act (“SCPA”) or Article 81 of the Mental Hygiene Law (“MHL”) [SELECT APPLICABLE STATUTE].
1.3 Parties.
(a) “Petitioner” – [PETITIONER NAME], an individual residing at [ADDRESS], age [AGE], relationship to Ward: [RELATIONSHIP].
(b) “Ward” – [WARD NAME], date of birth [DOB], currently residing at [ADDRESS OR FACILITY].
1.4 Recitals.
(a) Ward is a resident of [COUNTY], New York and is (i) under the age of 18 or (ii) an AIP who, by reason of [MENTAL/PHYSICAL CONDITION], is unable to manage his/her affairs.
(b) No previous guardian of the [Person / Property] has been appointed for the Ward, except as stated herein.
(c) The relief requested is necessary to promote the health, safety, and welfare of the Ward and to protect the Ward’s assets.
2. DEFINITIONS
For purposes of this Petition (capitalized terms appear throughout):
“Account” – Any annual or final accounting required under SCPA Art. 17 or MHL §81.31.
“Bond” – The fiduciary bond required under SCPA §1708 or as otherwise ordered by the Court.
“Court” – The Surrogate’s Court of the State of New York, County of [COUNTY].
“Guardian” – The individual(s) whom the Court appoints to act on behalf of the Ward.
“Letters” – Letters of Guardianship issued by the Court evidencing the Guardian’s authority.
“Ward” – The minor or AIP who is the subject of this proceeding.
3. OPERATIVE PROVISIONS
3.1 Relief Requested. Petitioner respectfully requests that the Court:
(a) Appoint [PETITIONER NAME] as Guardian of the [Person / Property / Person and Property] of the Ward;
(b) Issue permanent Letters authorizing the Guardian to exercise the powers enumerated below;
(c) Fix the required Bond in the penal sum of $[AMOUNT] pursuant to SCPA §1708, conditioned upon faithful discharge of fiduciary duties; and
(d) Grant such other and further relief as the Court deems just and proper.
3.2 Powers Sought.
(a) Person-related Powers – custody, consent to medical/dental treatment, educational decisions, and day-to-day care.
(b) Property-related Powers – marshal assets, invest funds prudent-investor standard, execute necessary instruments, pay Ward’s expenses, file taxes, and seek Court approval for extraordinary transactions.
[// GUIDANCE: Tailor the powers with precision; unnecessary or over-broad authority increases contest risk.]
3.3 Duration. Guardianship shall continue until (i) the Ward attains the age of majority, (ii) the Ward is declared competent, or (iii) the Court otherwise terminates the Letters.
3.4 Reporting Requirements. Guardian shall:
(a) File an initial inventory within 90 days of Letters issuance;
(b) File annual Account(s) on or before [MONTH DAY] of each year; and
(c) Seek prior Court approval for all extraordinary expenditures in excess of $[THRESHOLD].
4. REPRESENTATIONS & WARRANTIES
4.1 Eligibility. Petitioner is over 18 years of age, a U.S. citizen or lawful permanent resident, and not disqualified by felony conviction or adverse fiduciary finding.
4.2 Relationship Disclosure. Petitioner affirms the relationship to the Ward as [PARENT / RELATIVE / OTHER], and that no material conflict of interest exists.
4.3 Financial Responsibility. Petitioner possesses the ability and willingness to manage the Ward’s assets in accordance with New York fiduciary standards.
4.4 Accuracy of Information. All statements herein are true and complete to Petitioner’s knowledge, information, and belief.
5. COVENANTS & RESTRICTIONS
5.1 Fiduciary Standard. Guardian shall act in the Ward’s best interests with the care, diligence, and prudence of a reasonably prudent person dealing with the property of another (EPTL §11-1.1).
5.2 Non-Commingling. Guardian shall maintain Ward’s funds in segregated, Court-approved accounts titled “[WARD NAME], by [GUARDIAN NAME], Guardian.”
5.3 Notice Obligations. Guardian shall promptly notify the Court of any material change in the Ward’s residence, condition, or assets.
5.4 Court Oversight. Guardian shall seek prior Court approval for placement outside New York, sale of real property, or investment outside permissible classes.
6. DEFAULT & REMEDIES
6.1 Events of Default. Grounds for suspension or removal include:
(a) Failure to file timely Accounts;
(b) Misappropriation or mismanagement of assets;
(c) Breach of fiduciary duty or violation of Court order;
(d) Failure to maintain required Bond.
6.2 Remedies. Upon default, the Court may (i) suspend Letters, (ii) surcharge Guardian, (iii) enforce Bond, (iv) appoint a successor, and/or (v) impose contempt sanctions, together with costs and attorneys’ fees.
7. RISK ALLOCATION
7.1 Bond Requirement. Petitioner consents to posting a Bond in the amount fixed by the Court pursuant to SCPA §1708.
7.2 Indemnification. Subject to Court approval, Guardian shall be indemnified out of the Ward’s estate for reasonable expenses incurred in good-faith administration, except to the extent arising from willful misconduct or gross negligence.
[// GUIDANCE: Many counties require a corporate surety bond. Check local rules for alternatives (e.g., restricted bank accounts) if Petition seeks waiver or reduction.]
8. DISPUTE RESOLUTION
8.1 Governing Law. All matters shall be governed by the laws of the State of New York, including the SCPA, EPTL, CPLR, and related case law.
8.2 Exclusive Forum. The Surrogate’s Court, County of [COUNTY], shall have exclusive jurisdiction over any dispute, accounting, or application concerning the guardianship.
8.3 Arbitration & Jury Trial. Arbitration is not available; jury trials are not provided in Surrogate’s guardianship proceedings.
8.4 Protective Orders. The Court retains power to issue temporary restraining or protective orders to safeguard the Ward and estate.
9. GENERAL PROVISIONS
9.1 Amendment & Waiver. Any modification of the Guardian’s powers requires a written order of the Court. No informal waiver shall be effective.
9.2 Severability. If any provision herein is held invalid, the remaining provisions shall continue in full force to the extent consistent with the Court’s order.
9.3 Successors. A successor Guardian shall enjoy all powers and be bound by all obligations herein, subject to Court appointment.
9.4 Integration. This Petition, together with any Court-approved schedules and exhibits, constitutes the entire application for guardianship.
9.5 Electronic Signatures. Electronic filings and signatures are authorized where permitted by NYSCEF and local Surrogate’s Court rules.
10. EXECUTION BLOCK
VERIFICATION
State of New York )
County of [COUNTY] ) ss.:
I, [PETITIONER NAME], being duly sworn, depose and say: I am the Petitioner in the within proceeding; I have read the foregoing Petition and know the contents thereof; the same are true to my knowledge, except as to matters stated to be alleged on information and belief, and as to those matters I believe them to be true.
[PETITIONER NAME], Petitioner
Sworn to before me this ___ day of _, 20.
Notary Public
ATTORNEY SIGNATURE BLOCK
The undersigned attorney certifies that the foregoing Petition complies with 22 NYCRR Part 130 and contains no frivolous material.
[ATTORNEY NAME]
[LAW FIRM NAME]
[ADDRESS] | [PHONE] | [EMAIL]
Attorney for Petitioner
EXHIBITS & SCHEDULES (List for Filing)
A. Birth Certificate / Proof of Age of Ward
B. Physician’s Affidavit (if AIP)
C. Proposed Guardian’s Affidavit of Consent
D. Proposed Bond Form
E. Proposed Order & Letters of Guardianship
F. Account of Minor’s Assets (if any)
[// GUIDANCE: Verify local exhibit lettering. Some counties require a family tree affidavit or criminal background check results.]
IMPORTANT STATUTORY REFERENCES (Foundational Only)
• N.Y. Surrogate’s Court Procedure Act art. 17 (Guardians of Infants)
• N.Y. Surrogate’s Court Procedure Act § 1708 (Bond)
• N.Y. Mental Hygiene Law art. 81 (Guardians for Incapacitated Persons)
• N.Y. Estates, Powers & Trusts Law § 11-1.1 (Prudent Investor Standard)
[// GUIDANCE: Do not rely solely on these references; confirm any recent legislative amendments prior to filing.]
Prepared for professional use. Customize all bracketed fields, confirm current statutory citations, and review county-specific guardianship checklists before submission.