Slack v. Truitt

791 A.2d 129, 368 Md. 2, 2002 Md. LEXIS 45

• Court: Court of Appeals of Maryland
• Decided: February 12, 2002
• Docket: 44, Sept. Term, 2001
• Status: Published

Opinions

RAKER, J.

This is an appeal concerning the probate of a purported will. The question we must decide is whether a will signed by the testator outside the presence of witnesses should have been admitted to probate despite the fact that one of the witnesses did not know it was a will and cannot recall seeing the testator’s signature on the instrument. The Orphans’ Court and the Circuit Court for Cecil County denied the admission of the will to probate. Both courts denied probate because the testator, Dale Slack, failed to acknowledge to the witnesses that the will was his own instrument. The Court of Special Appeals reversed. Truitt v. Slack, 137 Md.App. 360, 768 A.2d 715 (2001). We shall affirm the Court of Special Appeals.

On July 5, 1999, Dale Slack, testator, went to the house of his neighbor, Dorothy Morgan, and asked her to sign a one-page handwritten document. On the bottom left hand side of the page, following the words “Witnessed By,” Slack had reserved a space for -witnesses’ signatures. Slack did not tell Morgan that the document was a will, nor did he draw her attention to his signature. Morgan testified that the neighborhood had been having problems with development, and she thought Slack was asking her to sign a petition. Morgan also testified that she could not recall whether Slack had signed the document prior to asking her to sign it. When asked whether she saw Slack’s signature, Morgan stated, “I didn’t notice. I didn’t even look that long.” She explained: “I don’t recall seeing it. Like I said, I didn’t look at the paper that well. I just signed my name. That was it.”

Approximately five minutes after Ms. Morgan signed the will, Slack returned to Morgan’s house and asked Morgan’s daughter, Sandra Bradley, to sign it. As before, Slack did not disclose that the document was his will and did not draw Ms. Bradley’s attention to his signature. Nonetheless, Bradley, unlike her mother, was able to remember that Slack had signed the document before she affixed her signature.

Approximately two hours after seeking Morgan and Bradley’s signatures, Slack committed suicide. In the will signed by Morgan and Bradley, Slack had written, inter alia:

“To Michael Truitt who is the closest I’ve ever had to a son I leave all my fishing & camping gear and one third of all monetary holdings.

Terri Truitt is to receive all my rings & other jewlry sp? She will finaly [sic] get the rings if she wants them or not!”

Pursuant to Maryland Code § 5-104 (1957, 2001 Repl.Vol., 2001 Supp.) of the Estates and Trusts Article,¹ Clinton A. Slack, decedent’s brother, filed a petition in the Orphans’ Court for Cecil County claiming that he was entitled to priority of appointment as the personal representative of the decedent’s estate because he was the decedent’s next of kin. Several months later, Ms. Truitt filed a separate petition claiming that she was entitled to priority of appointment as personal representative because she was a beneficiary of the estate as well as a creditor. The Orphans’ Court appointed Clinton Slack as personal representative but, as noted above, the court did not admit the will to probate.

Truitt, pursuant to Maryland Rule 6-463,² noted a de novo appeal to the Circuit Court for Cecil County. The Circuit Court also declined to admit the will to probate. Truitt noted a timely appeal to the Court of Special Appeals, which reversed and held:

“On these facts, we will not presume that Slack ‘mediated a fraud against his own will.’ The ultimate question is whether Slack acknowledged the document as his own when he presented it to Morgan and Bradley. We conclude that he did by handing them a document in his handwriting and asking them with apparent authority to sign it. While the witnesses’ attestations were hurried and careless, they were sufficient under § 4-102.”

Truitt v. Slack, 137 Md.App. at 367, 768 A.2d at 719 (citations omitted).

This Court granted Clinton Slack’s petition for writ of certiorari, Slack v. Truitt, 364 Md. 534, 774 A.2d 408 (2001), to answer the following questions:

1. In a case in which a will is signed outside of the presence of the witnesses, must the testator either declare the document to be his will, or acknowledge his signature, to obtain a valid attestation pursuant to Estates & Trusts Article, § 4-102?

2. Whether a valid attestation requires that a witness sign a document as a witness?

Maryland Code (1957, 2001 Rep. Vol., 2001 Supp.) § 4-102 of the Estates and Trusts Article addresses the statutory requirements relating to the execution of wills in Maryland. The statute states, in pertinent part, as follows:

“Except as provided in §§ 4-103³ and 4-104⁴, every will shall be (1) in writing, (2) signed by the testator ... and (3) attested and signed by two or more credible witnesses in the presence of the testator.”

It is uncontested that Dale Slack handwrote his will and signed it. Likewise, there is no question that Morgan and Bradley, the witnesses, signed the will in Dale Slack’s presence. Therefore, the question before us is whether the will properly was attested, and, if not, whether it may nonetheless be admitted to probate.

This Court has recognized that a presumption of due execution attaches to a will that contains the testator’s signature and an attestation clause⁵ signed by the witnesses. See McIntyre v. Saltysiak, 205 Md. 415, 109 A.2d 70 (1954); Van Meter v. Van Meter, 183 Md. 614, 39 A.2d 752 (1944); Woodstock College v. Hankey, 129 Md. 675, 99 A. 962 (1917); see also 3 William J. Bowe & Douglas H. Parker, Page on the Law of Wills § 29.22, at 451-52. (3d ed.1961); Annotation, Weight and Effect of Presumption or Inference of Due Execution of Will, 40 A.L.R.2d 1223, 1224 (1955) (noting that “[i]t is a relatively well-established principle of the law of wills that when it is shown that a will has been attested, then ... a presumption arises that the will was duly executed”). The view “seems to prevail widely in other jurisdictions that a complete attestation clause showing observance of all statutory requirements raises a presumption of the due execution of a will, if and after the signatures of the witnesses and testator aré proven to be genuine.” German Evangelical Bethel Church v. Keith, 327 Mo. 1098, 39 S.W.2d 1057, 1061 (1931). We have held that once the presumption attaches, the burden of proof is on the caveator⁶ to show by clear and convincing evidence that the facts stated in the attestation clause are untrue. See McIntyre, 205 Md. at 421, 109 A.2d at 72; Van Meter, 183 Md. at 618, 39 A.2d at 754; 40 A.L.R.2d at 1231 (1955); see also 3 William J. Bowe & Douglas H. Parker, Page on the Law of Wills § 29.22, at 453 (noting that “[i]f the subscribing witnesses identify them, signatures, but have no recollection of having attested the instrument, or of the circumstances of execution, the presumption that it was properly executed will prevail in the absence of clear and satisfactory proof to the contrary.”).

When the presumption of due execution attaches to a will, a court may look to surrounding circumstances to determine whether the will should be admitted to probate in the face of testimony from witnesses who swear that the formalities of the statute were not met. In Van Meter, this Court addressed the presumption of due execution of a will that included an attestation clause and on its face bore every indicia of proper execution. We found that the attestation clause, signed by two witnesses, raised a presumption that the will was executed in accordance with the law, and the presumption could only be overcome by clear and convincing evidence that the facts stated in the attestation clause were not true. Van Meter, 188 Md. at 618, 39 A.2d at 754 (1944). In light of the presumption, we reversed the Orphans’ Court’s refusal to admit the will to probate even though one of the witnesses who signed the attestation clause testified that he did not sign his name in the testator’s presence. Id. at 617, 39 A.2d at 754. We also noted that “[t]he court views such contradictory testimony with great caution and scans it with grave suspicion....” Id.

In Orser v. Orser, 24 N.Y. 51 (1861), the Court of Appeals of New York addressed a case in which one witness to the will died and the other testified that a number of the statutory requirements for admission to probate had not been met. Explaining that the witness’ testimony was not dispositive, the court stated:

“[T]he question of due execution of a will is to be determined, like any other fact, in view of all the legitimate evidence in the case; and ... no controlling effect is to be given to the testimony of the subscribing witnesses. Their direct participation in the transaction must, of course, give great weight to their testimony; but it is liable to be rebutted by other evidence, either direct or circumstantial. A will, duly executed upon its face, the signatures to which are all genuine, may be admitted to probate, although none of the subscribing witnesses are able to swear, from recollection, that the formalities required by the statute were complied with; and even although some of them should swear positively that they were not, if the other evidence warrants the inference that they were.

Id. at 52.

This Court has not addressed the question of whether the presumption of due execution arises notwithstanding the absence of an attestation clause. In Mead v. Trustees of the Presbyterian Church, 229 Ill. 526, 82 N.E. 371 (1907), the Supreme Court of Illinois reviewed a will that contained no attestation clause but was signed by the testator and two witnesses. Neither witness could recall anything about the circumstances under which they had signed the wilting. The court held that, under certain circumstances, an attestation clause was not necessary to give rise to the presumption of validity:

“In this case ... the witness Boswell wrote immediately after his name the word ‘witness,’ which shows clearly he understood that he was witnessing the execution of the instrument which he had signed as a witness, and the marks ‘following the name of Paul and appearing immediately underneath the word ‘witness,’ show that witness also understood he was signing as a witness to the execution of the instrument. It was not necessary that a formal attestation clause reciting all the facts necessary to a correct execution of the will be added to the instrument to make it a valid will.”

Id. at 373; see also Annotation, Presumption as to Due Execution of Will From Attestation, With or Without Attestation Clause, 76 A.L.R. 617, 622 (1932) (noting that there is “held to be a presumption of proper execution even though there is no attestation clause, where the attestation is merely by subscription, or followed by the word ‘witnesses.’ ”); German Evangelical Bethel Church v. Reith, 327 Mo. 1098, 39 S.W.2d 1057, 1062 (1931) (noting that “[b]y subscribing the will the attesting witnesses impliedly vouch for its due execution as fully or as broadly as they would do expressly if there were a complete attestation clause, though, perhaps, with less force and emphasis.”).

Similarly, in In re Pitcairn’s Estate, 6 Cal.2d 730, 59 P.2d 90 (1936), the California Supreme Court held that the presumption of due execution should not be limited to wills containing an attestation clause. Pitcairn’s will was challenged on the grounds that the will was not executed with the formalities required by the statute. The court noted that it had before it “a case where the signatures of the testatrix and subscribing witnesses are genuine; the will is attested, but lacks a formal attestation clause reciting the steps in execution; the attesting witnesses, seemingly adverse but uncontradicted on the essential issues, testify to a technical failure to comply with the formalities of execution.” Id. at 92. The issue was whether the trial court could admit the will to probate. The court held that it could.

The court began its analysis with a restatement of the “well established [rule] that a regular and complete attestation clause makes out a prima facie case of due execution of the will.” Id. In rejecting the argument that the presumption is limited to cases where a full attestation clause is contained in the will, the court said:

“In our view the distinction thus drawn is illogical and the rule is too narrow. There is no need of an ‘attestation clause;’ it is sufficient that a will be witnessed or attested, and the recital of the steps in execution is not required. It does not seem reasonable, therefore, to have the important presumption of due execution turn upon the presence or absence of this unnecessary provision. The foundation of the presumption is the proof of genuineness of the signatures, for the instrument is then on its face a valid will. Doubtless recitals in an attestation clause are entitled to greater weight, but the logical basis for the presumption, as well as its practical necessity, is the same whether or not there is such a clause. This view has the support of a number of authorities.”

Id. The court affirmed the judgment admitting the will to probate. Id. at 93.

We agree with the reasoning of those courts that hold that an attestation clause is not the sine qua non of the presumption of due execution. The will in the case sub judice bears on its face every indicia of due execution. It consists of a single page, written entirely in the testator’s handwriting, and bearing the signature of the testator and two witnesses. The two witnesses, in the presence of the testator, signed beneath the words “Witnessed By.” The testator’s signature, which the second witness saw, was nearly adjacent to the signatures of the witnesses. Finally, the testator asked each witness to sign the paper without preventing them from reading it. The presumption of due execution attaches to such a will.

Petitioner challenges the will on the basis that the will was not properly attested to by the witnesses. Petitioner points out that the witnesses did not see the testator sign the will and the first witness, Ms. Morgan, did not know she was signing a will and cannot remember whether Slack had signed the piece of paper he handed to her. As a result, petitioner argues, the will was not properly attested.

This Court has defined attestation of a will as “the act of witnesses in seeing that those things exist and are done which the statute requires.” Van Meter, 183 Md. at 619, 39 A.2d at 755. Addressing the attestation of a will in McIntyre, this Court stated:

“The attestation of the will is the act of the witnesses in seeing that those things exist and are done which the attestation clause declares were done and which the statute requires. After the witnesses so attest the will and subscribe their names, the statute is complied with. As the attestation clause, as such, preserves in permanent form a record of the facts attending the execution of the will and is prima facie evidence of the facts therein stated, the burden of proof is upon the caveators to show by clear and convincing evidence that the facts therein stated are not true.”

McIntyre, 205 Md. at 421, 109 A.2d at 72. In Casson v. Swogell, 304 Md. 641, 500 A.2d 1031 (1985), we noted that “[t]o fulfill the requirement that a testator request a witness sign a document it is not necessary that the witness know it is a will.” Id. at 654, 500 A.2d at 1038. We held that where the testator signs a will in front of the witnesses, proper attestation does not require that the testator inform the witnesses that they are signing a will. Id. at 656, 500 A.2d at 1039. We observed, however, that where the testator has signed a will outside of the presence of the witnesses, the testator must acknowledge his signature before the witnesses or declare the document to be his will.⁷ Id. at 655, 500 A.2d at 1038.

In acknowledging the will to the witnesses as his or her act, the testator need not “verbally declare the instrument to be his will, if his conduct, or the paper itself, apprises the witnesses of that fact.” Woodstock College, 129 Md. at 680, 99 A. at 964. Thus, a testator need not acknowledge a will or signature orally; acknowledgment can be accomplished by conduct alone.

In the case sub judice, the Court of Special Appeals in discussing the acknowledgment requirement, noted that the basic purpose of the acknowledgment requirement is to force “testators to manifest in some way: ‘this is my document, the one I want you to sign.’ ” Truitt, 137 Md.App. at 366, 768 A.2d at 719. The court concluded that Slack satisfied the requirement by “handing them [the witnesses] a document in his own handwriting and asking them with apparent authority to sign it.” Id. at 367, 768 A.2d at 719.

Before turning to the issue of Morgan’s attestation, we find that the lower courts did not err in finding that the testator acknowledged his signature to Bradley.⁸ While Slack did not verbally draw Bradley’s attention to his signature, he wrote the instrument in such a fashion that Bradley, in discussing the will, was later able to testify, “I looked down and saw the date written under his name and copied it from there.” The testator, by his conduct, drew Bradley’s attention to his signature, thereby acknowledging the will as his act. Bradley saw the testator’s signature on the instrument and thus, her attestation was sufficient.

The issue of Morgan’s attestation is more difficult. She testified that she did not know that the paper she was signing was a will, and could not remember whether she saw Slack’s signature on the document. She testified that she thought it was a neighborhood petition. Moreover, it cannot be determined whether Slack acknowledged his signature to Morgan because Morgan cannot recall whether she saw his signature. As we have discussed, once it has been shown that a writing has been signed by the testator and attested and signed by two credible witnesses in the presence of the testator, there is a presumption of due execution. The question, then, is whether, under these circumstances, the presumption of due execution has been overcome by clear and convincing evidence.

It is important to recognize that Ms. Morgan did not testify that the testator had not signed the document. She simply could not remember seeing his signature. As the Court of Special Appeals observed, “while she could not recall seeing Slack’s signature on the paper, she also could not certify that Slack did not sign the paper before he gave it to her.” Truitt, 137 Md.App. at 366-67, 768 A.2d at 719. Morgan’s failure to remember whether Slack had signed his will, or her failure to look at the document she signed, does not suggest that the testator had not signed the will prior Morgan’s signing it. Her failure to remember the signature is just that, a failure to remember.

This Court and most other state courts consistently have found that a witness’ inability to remember certain events should not overcome the presumption of due execution. See Woodstock College of Baltimore County, 129 Md. 675, 99 A. 962 (involving a witness who signed an attestation clause but later stated that he was not told, and therefore could not swear, that the paper was a will); In re Carey’s Estate, 56 Colo. 77, 136 P. 1175 (1913) (“A will, duly attested upon its face, the signatures to which are all genuine, may be admitted to probate, although none of the subscribing witnesses are able to swear, from recollection, that the formalities required by the statute were complied with....”); In re Christenson’s Estate, 128 Minn. 17, 150 N.W. 213 (1914) (stating that “[w]e know of no rule of law which makes the probate of a will depend upon the recollection, or even the veracity of a subscribing witness.”); In re Pitcairn’s Estate, 6 Cal.2d 730, 59 P.2d 90 (noting that the authorities have clearly recognized that where witnesses are unable to testify or recollect, it is proper to apply the presumption of due execution).

The text writers make clear that “[a] presumption which arises out of proof of the genuineness of the signature of the testator and the subscribing witnesses is not overcome by the fact that the subscribing witnesses, or those whose evidence can be obtained, do not remember the facts of the execution.” 3 William J. Bowe & Douglas H. Parker, Page on the Law of Wills § 29.22, at 451-52. “If the subscribing witnesses identify their signatures, but have no recollection of having attested the instrument, or of the circumstances of execution, the presumption that it was properly executed will prevail in the absence of clear and satisfactory proof to the contrary.” Id. at 453.

The reasoning behind these cases is that if subscribing witnesses were required to recollect all the formalities prescribed by statutory requirements, few wills would be immune to attack, particularly after the passage of many years. In Mead v. Trustees of the Presbyterian Church, the Supreme Court of Illinois addressed the will of the testator, Mead Holmes. The will contained no attestation clause but was subscribed by two witnesses, both of whom signed their name following the word “witnesses.” Mead, 82 N.E. at 372. The court recounted the first witness’ testimony as follows:

“[H]is signature was attached to the instrument; that he had no doubt but that he signed said instrument as an attesting witness at the request of Mead Holmes and in the presence of Mead Holmes and C.E. Paul [the second witness], but that he had no recollection of the transaction.”

Id. The second witness also testified that he could not recollect certain facts:

“[H]is genuine signature was 'attached to the instrument shown him, which purported to be the will of Mead Holmes, and that he signed said instrument at the request of Mead Holmes ... but that he had no recollection of anything that was said at the time he signed the instrument, or whether Boswell [the first witness] was present at the time he signed the same or not.”

Id. Although the will contained no attestation clause and the witnesses could not recollect whether it was properly executed, the court found that the witnesses’ lapse of memory was not a sufficient basis for denying probate to a will that facially bore every indicia of validity. The court stated:

“In this case, while there was no attestation clause attached to the instrument reciting all the acts necessary to be done that the will might be legally executed, we think the evidence found in this, record clearly supplies the presumption arising from the presence of an attestation clause, and that there can be no question in the unbiased mind but that the instrument admitted to probate was duly executed by Mead Holmes as and for his last will, in the presence of Boswell and Paul, who signed the same as attesting witnesses. The instrument was in the handwriting of Mead Holmes. It was therefore impossible that a spurious will was foisted upon him. It was found among his private papers after his death, duly signed and witnessed, which showed he considered it a valid will. The objects of his bounty designated in the instrument were persons and objects which had received his most tender consideration and thoughtful care in life, and there is nothing lacking in the evidence to show a legal execution of the will, save that the attesting witnesses, by lapse of time, could not recollect the facts surrounding the execution of the instrument by Mead Holmes as his last will and testament. To lay down as a rule of law that the failure of the attesting witnesses to recollect all the facts surrounding the execution of a will would defeat its probate, would be, in many instances, to defeat the probate of wills where there is no reasonable question but that they were executed by the testator or testatrix with all the formalities required by law, which is in conflict with the decisions of this and many other courts of last resort.

Id. at 373-74 (Citations omitted).

Finally, this Court has long held that the purpose of Maryland Code (1957, 2001 Repl.Vol., 2001 Supp.) § 4-102 of the Estates and Trusts Article was to remove uncertainty in the making of wills and to prevent the practice of imposition and fraud upon testators. See Shane v. Wooley, 138 Md. 75, 113 A. 652 (1921); see also 1 Philip L. Sykes, Maryland Practice § 15, at 24-25 (1956) (noting that the “statute was passed to remove uncertainty in the making of wills and to prevent the practice of imposition and fraud upon testators.”).

The circumstances in the case sub judice do not suggest that there was any fraud worked upon the testator. The will was found in testator’s home after his death, duly signed and witnessed; this shows that the testator thought it was a valid will. The inability of a witness to remember the facts surrounding the execution of the instrument is insufficient to overcome the presumption of due execution. Accordingly, we hold that there is not clear and convincing evidence to overcome the presumption of due execution that attaches to the will, and, therefore, the will was entitled to probate as a validly executed will.

JUDGMENT OF THE COURT OF SPECIAL APPEALS AFFIRMED. COSTS TO BE PAID BY PETITIONER.

BATTAGLIA, J., dissents.

1 . Unless otherwise noted, all subsequent statutory references are to Maryland Code (1957, 2001 Repl.Vol., 2001 Supp.) § 5-104 of the Estates and Trusts Article. Section 5-104 of the Estates and Trusts Article, titled "Order of right to letters,” provides as follows:

“In granting letters in administrative or judicial probate, or in appointing a successor personal representative, or a special administrator as provided in Subtitle 4 of Title 6, the court and register shall observe the following order of priority, with any person in any one of the following paragraphs considered as a class:

(1) The personal representatives named in a will admitted to probate;

(2) The surviving spouse and children of an intestate decedent, or the surviving spouse of a testate decedent;

(3) The residuary legatees;

(4) The children of a testate decedent who are entitled to share in the estate;

(5) The grandchildren of the decedent who are entitled to share in the estate;

(6) Subject to §§ 3-111 and 3-112 of this article, the parents of the decedent who are entitled to share in the estate;

(7) The brothers and sisters of the decedent who are entitled to share in the estate;

(8) Other relations of the decedent who apply for administration;

(9) The largest creditor of the decedent who applies for administration;

(10) Any other person having a pecuniary interest in the proper administration of the estate of. the decedent who applies for administration; or

(11) Any other person.”

2 . Maryland Rule 6-463 states as follows:

"An appeal from a judgment of the court may be taken (a) to the Court of Special Appeals in Maryland pursuant to Code, Courts Article, § 12-501, or (b) except in Harford and Montgomery Counties, to tire circuit court for the county pursuant to Code, Court’s Article, § 12-502.”

3 . Section 4-103 addresses holographic wills signed by a person in the armed forces.

4 . Section 4-104 addresses wills made outside the State of Maryland.

5 . An attestation clause is a "provision at the end of an instrument (esp. a will) that is signed by the instrument’s witnesses and that recites the formalities required by the jurisdiction in which the instrument might take effect (such as-where the will might be probated).” Black's Law Dictionary 124 (7th Ed. 1999). An attestation clause "is itself prima facie evidence of the facts therein recited.” Woodstock College v. Hankey, 129 Md. 675, 680, 99 A. 962, 964 (1917). A formal attestation clause is not an essential part of a will. See Van Meter v. Van Meter, 183 Md. 614, 617, 39 A.2d 752, 754 (1944). In Van Meter, we noted that the validity of a will depends not upon the attestation clause, but upon conformity with the requirements of the statute and the testimony of the subscribing witnesses if they are produced and examined. Id.

6 . A caveator is ”[o]ne who files a caveat, esp. to challenge the validity of a will....” Black’s Law Dictionary 215 (7th Ed. 1999)

7 . The acknowledgment requirement has a long history. In Casson v. Swogell, 304 Md. 641, 500 A.2d 1031 (1985), we quoted from a leading English case, White v. Trustees of the British Museum, 6 Bing. 310 (1829), which states:

"It has been held in so many cases that it must now be taken to be settled law, that it is unnecessary for the testator actually to sign the will in the presence ol' the three witnesses who subscribe to the same; but that any acknowledgment before the witnesses that it is his signature, or any declaration before them that it is his will, is equivalent to an actual signature in their presence, and makes the attestation and subscription of the witnesses complete.”

Id. at 318, 500 A.2d 1031.

8 . On appeal, the Circuit Court for Cecil County stated, "[s]o basically at most what I can find is that there was one witness [Bradley] whose attestation was valid pursuant to the requirements of the statute, as well as subsequent case law.”