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Probate Clerk's Manual

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PERMANENCY HEARING REPORT

PERMANENCY HEARING DATE CERTAIN:

Judge / Referee

Court

Part

IN THE MATTER OF:

Child’s Name

Date of Birth

Sex

Person ID (PID)

Docket Number

Docket Number(s) (under which child was freed, if different)

Mother

Father

DATE OF REPORT PREPARATION:

All information must be current and represent an update of events and circumstances since the child was freed for adoption or the previous Permanency Hearing

Case Name

Law Guardian

Case ID

Attorney for DSS/ACS

Local Case #

Agency with Planning Responsibility

Case Manager & Phone

Caseworker & Phone

SECTION I. PERMANENCY PLAN SUMMARY

Child’s Name

Current Permanency Planning Goal (PPG)



PPG/Date Established

Anticipated PPG



Date by which it is expected that the current or anticipated PPG will be accomplished:

SECTION II. PERMANENCY PLANNING

1. If there is a plan for continuing placement for the child, describe the reason placement continues to be necessary and in accordance with the best interests and safety of the child.

2. If there is a plan for trial or final discharge in the next six months, specify the anticipated date and explain why such discharge is safe and appropriate.

3. If the permanency plan includes trial or final discharge from foster care, describe the Discharge Plan for the child.

Living Arrangement (include location):

Educational/Vocational Plan:

Health Coverage:

Follow-up Health/Mental Health Treatment Plan:

Other:

SECTION III. REASONABLE EFFORTS TO FINALIZE PERMANENCY

4a. Describe the child-specific recruitment efforts that have been made and the outcome of these efforts.

4b. What further recruitment efforts are anticipated in the next six months?

5a. If the child is age 14 or older and voluntarily withheld consent to his/her adoption, describe the facts and circumstances related to the child’s decision.

5b. Describe efforts that have been made to counsel the child about adoption.

6a. If the child is free and placed in a pre-adoptive home, describe reasonable efforts and barriers to finalizing the adoption.

6b. What additional services/assistance is anticipated in the next six months to facilitate finalizing the adoption?

7. If applicable, has the child’s case been transferred to an adoption unit?

8. Adoption milestones

Intent to Adopt Signed

Date Signed

Adoptive Home Study Complete

Date Completed

Adoptive Placement Agreement Signed

Date Signed

Criminal History Record Check

Date Completed

SCR Data Base Check

Date Completed

Interstate Compact on Placement of Children

Date Completed

Documents secured for finalizing adoption: check all that apply

Birth Parents




Child



Adoptive Parent(s)






Attorney



9. Putative Father Registry request, if applicable.

Was a Putative Father Registry request made?

Date of request:

10. Will an adoption subsidy application be submitted for the child?

If No, explain why not.

If Yes, check the status of the Adoption Subsidy Application:












Date submitted:

OR Not Applicable

Date review initiated:

Date submitted to OCFS NYSAS:

Date rejected/returned:

Date of resubmission to OCFS NYSAS:

Date of approval:

Date of denial:

Date of appeal:

Date of decision:

Decision:

Delay in final subsidy approval and actions to overcome delay:

Why was the subsidy denied?

For approved subsidy, check the applicable category and level of rate:

11. Have the adoptive parent(s) retained an attorney?

12. Has the adoption petition been filed?

If Yes, Date of filing: Docketed Scheduled for hearing on:

13a. If the permanency goal is Guardianship or Placement with a Fit and Willing Relative, describe reasonable efforts made and services provided.

13b. What services are anticipated in the next six months?

14a. If the permanency goal is Another Planned Permanent Living Arrangement, provide the compelling reason.

14b. Describe how this arrangement provides significant connection to an adult and the efforts made to finalize the plan.

14c. What services are anticipated in the next six months?

15. Is the child AWOL?

If yes, describe efforts to locate the child.

SECTION IV. CHILD’S FREEING FOR ADOPTION AND PLACEMENT(S)

16. Child’s Name / Means of Freeing / Parent / Date / Appeal Pending / Date Child was Completely Freed for Adoption

Child’s Name

Means of Freeing

Parent

Date

Appeal Pending

Date Child was Completely Freed for Adoption

# of Changes in Placement Since Freeing or Previous Permanency Hearing

Child Currently Placed





17. Provide current information regarding the placement of the child.

18. Is the child placed out of state?

If Yes, explain why it is appropriate, necessary and in the best interests of the child?

SECTION V. VISITING

19. Describe the current visiting plan.

Describe any anticipated modifications to the visiting plan in the next six months, and the reasons therefor.

SECTION VI. SERVICES PROVIDED TO CHILD

20. Describe all services offered and/or provided to the child since child was freed for adoption or the last permanency hearing and the outcomes or progress the child has made.

Describe any additional services for the child anticipated in the next six months.

21. If the child is age 14 or older, describe the Independent Living Skills Services provided to the child and the skills attained.

Describe any additional Independent Living Skills Services anticipated for the child in the next six months.

SECTION VII. OTHER SERVICES

22. Describe any other services and assistance that have been provided to the prospective adoptive parent(s) to expedite the adoption of the child.

Describe the plan for post-adoption services.

SECTION VIII. CHILD’S HEALTH AND WELL-BEING

23. If applicable, note the following for the child:

Significant Chronic Conditions: None

Significant Developmental Delay: None

Mental Health Diagnoses: None

Serious Injuries/Hospitalization: None

Current Medication: None

24. Describe any other significant information about the child’s current health and well-being not included above.

Date of Last Physical

Date of Last Mental Health Appointment, if applicable

Date of Last Dental Appointment

Date of Last Vision Screening

Date of Last Hearing Screening

Immunizations Up-To-Date

25. Describe any follow-up treatment or recommendations for the child, as a result of the above appointments/screensings.

SECTION IX. CHILD’S EDUCATION

26. Provide information on the child’s current grade level or program, academic progress and achievements, and any other relevant educational information.

27. Describe the steps the agency will take during the next six months to enable prompt delivery of appropriate educational and/or vocational services.

28a. If the child is under age 3, check which criteria the child meets.




Referred for EI Referral Date Receiving EI Services Not Eligible

Describe the steps taken to refer the child to Early Intervention Services.

28b. If the child is eligible for Pre-Kindergarten, check the appropriate boxes.

If Pre-kindergarten is available and the child is NOT enrolled, describe steps taken to enroll the child.

28c. If the child is age three or older and is suspected of having a disability or has been found eligible for Special Education, describe the status of the referral and IEP recommendations.

28d. If the child is school age, describe the steps taken to enroll the child in or continue in a program leading to a high school diploma.

28e. If the child is over age 16/17 and has elected not to participate in a high school diploma program, describe steps taken to assist with employment or vocational program.

VERIFICATION

STATE OF NEW YORK, COUNTY OF

Being duly sworn, deposes and says:

that I am employed at , as a caseworker;

that I have the foregoing permanency report and know the contents thereof;

that the information is true and complete to my own knowledge, or believed to be true based on information derived from official records and/or reports kept in the regular course of business...

that this report is a true and complete copy of the report that was mailed to the parties 14 days prior to the date certain of the permanency hearing.

Name:

Title:

Sworn to before me this

day of

Notary Public

Commissioner of Deeds

Enter text✕

What the Probate Clerk's Manual Is and Who Uses It

The Probate Clerk's Manual is an administrative reference used by probate office staff to standardize intake, review, and processing of estate-related filings. It documents required forms, filing sequences, notice templates, fee schedules, signature and witness rules, and steps for forwarding matters to the presiding judge or probate register. The manual centralizes procedures for both paper and electronic submissions to improve consistency across cases, reduce processing errors, and provide a single source of truth for clerks, court administrators, and external filers.

Why a Clear Manual Matters for Probate Processing

A concise Probate Clerk's Manual reduces administrative delays, lowers error rates, and preserves legal compliance by documenting filing protocols, notarization and witness standards, retention rules, and routing steps for estate matters across jurisdictions.

Why a Clear Manual Matters for Probate Processing

Primary Users and Stakeholders

Typical users rely on the manual to process filings, ensure legal sufficiency, and communicate requirements to the public.

  • Probate clerks and court staff who intake petitions, track deadlines, and manage files for the register of wills.
  • Estate attorneys and fiduciaries who need uniform filing expectations and checklist items to avoid rejections.
  • External filers and public users who require instructions on supporting documents, fees, and submission methods.

The manual functions as an operational handbook for staff and a public-facing guide for attorneys and estate representatives.

Core Sections to Include in a Professional Manual

Organize the manual into discrete sections that mirror the life cycle of a probate matter and the clerk's workflow.

Case Index

Centralized case numbering, docket codes, and a consistent file-naming convention to locate records quickly and reconcile related pleadings and orders.

Filing Checklist

Step-by-step intake checklist per petition type that lists required attachments, proof of service, fee amounts, and signature or notarization expectations.

Fee Schedule

A current fee table showing filing fees, certified copy costs, notary fees where relevant, and fee-waiver eligibility procedures for pro se filers.

Forms Library

Approved court forms, sample notices, template affidavits, and instructions for completing the common documents used in probate administration.

Workflow Map

Visual routing for intake, assignment, review, calendaring hearings, issuing letters testamentary, and final accounting procedures.

Contact Directory

Role-based contact points for judges, intake supervisors, IT/eFiling support, and county notaries with office hours and escalation steps.

Step-by-Step: Complete and Submit a Typical Intake Form

Follow these sequential steps to ensure a complete and legally sufficient submission at intake.

  • 01
    Gather Documents: Collect death certificate, will, IDs and creditor notices.
  • 02
    Complete Cover Sheet: Fill decedent, petitioner, and case fields precisely.
  • 03
    Verify Signatures: Confirm required signatures, witness counts, and notarization.
  • 04
    Submit to Clerk: Provide payment, file electronically or at counter, obtain stamped receipt.

How to Configure an Electronic Intake Workflow

Map these configuration elements when you set up an eFiling workflow or a digital form for probate intake.

Field Configuration
Authentication Method Email verification | SMS OTP | RON optional
Required Attachments Death certificate | Will | ID proof
Notification Timing Immediate email confirmation | Clerk review within 2 business days
Retention Setting Auto-archive to secure storage after case closure

Technical and File Format Requirements

Define accepted file types, integration endpoints, and minimum authentication for electronic submissions.

  • Supported Formats: PDF, PDF/A, DOCX, XLSX
  • Integrations: Microsoft 365, Google Workspace, NetSuite
  • Authentication: Email link, SMS code, or RON where permitted

Ensure the eFiling vendor supports audit trails, AES-256 at rest and TLS 1.2/1.3 in transit for secure handling.

Typical Electronic Filing Flow for a Probate Petition

A clear sequence reduces return rates and provides an auditable trail for each action taken on the filing.

  • Upload Package: Submit completed petition and attachments.
  • Auto-Validation: System checks required fields and file formats.
  • Clerk Review: Staff confirm sufficiency and accept or return.
  • Issue Docket: Clerk assigns case number and issues receipt.

Common Probate Deadlines to Track

Timelines vary by state; use the manual to calendar jurisdiction-specific deadlines and statutory notice periods.

Initial Petition Filing:

No uniform federal deadline; file as required by state probate statute.

Notice to Heirs and Creditors:

Many states require notice within 30–60 days; verify local rule.

Inventory and Appraisal:

Typically due within 90 days to one year depending on state.

Creditor Claim Period:

Varies; common statutory windows are 90 days to 6 months.

Final Accounting Deadline:

Set by court order; often several months after distribution starts.

Key Milestones from Filing to Closing

Track these sequential milestones to monitor case progress and trigger required clerk actions.

01

Petition Filed

Clerk accepts and assigns a docket number.

02

Notices Issued

Clerk mails or posts required notices to heirs and creditors.

03

Inventory Filed

Executor files asset inventory for court review.

04

Final Accounting

Court reviews distributions and closes the estate.

Common Preparation Errors to Avoid

  • Incomplete or inconsistent decedent names across documents that require amended petitions and delay processing.
  • Missing required attachments such as death certificate, original will, or proof of service that cause immediate returns.
  • Incorrect fee amounts or missing payment receipts that halt acceptance until corrected by filer.
  • Improperly executed signatures, absent witnesses, or missing notarizations that create evidentiary or jurisdictional problems.

Consequences of Incorrect or Late Submissions

Case Dismissal: May occur for fatal defects
Additional Fees: Rejection and re-filing charges
Distribution Delays: Estate settlement timelines extended
Fiduciary Liability: Executors may face personal exposure
Tax Penalties: IRS penalties for late returns
Lost Claims: Creditors or heirs may forfeit rights

How the Clerk's Manual Differs from Court Forms

Compare operational manual content with standardized court forms to avoid conflating guidance with filed pleadings.

Requirement Probate Clerk's Manual Court Form
Purpose internal guidance legal filing
Notarization varies often required
Witness Count procedural note controls validity
Electronic Submission references system setup formal filing method

Typical eSignature Vendor Comparison for Probate Filing Workflows

Select an eSignature provider that supports court security, audit trails, and required authentication; signNow is listed first for parity in comparison.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial 7-day free trial Varies Varies Varies Varies
Bulk Send Yes (Business Premium) Yes Yes Yes No
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes (BAA available) Yes Yes Varies Varies

Security and Compliance Checklist for Electronic Records

Encryption: TLS 1.2/1.3 in transit; AES-256 at rest
Audit Trail: Capture timestamps, IP, and action history for each signer
Access Control: Role-based permissions and SSO where available
Privacy: HIPAA BAA for health data; redact sensitive PII
Certifications: SOC 2 Type II and ISO 27001 where required
Digital Notarization: Support for RON if permitted by state law

Frequently Asked Questions — Practical Answers for Clerks and Filers

Answers to recurring questions that arise when implementing or following the Probate Clerk's Manual.


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