Lead Opinion
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.
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,
Truitt, pursuant to Maryland Rule 6-463,
“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,
This Court granted Clinton Slack’s petition for writ of certiorari, Slack v. Truitt,
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 clause
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,
In Orser v. Orser,
“[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,
“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,
Similarly, in In re Pitcairn’s Estate,
The court began its analysis with a restatement of the “well established [rule]
“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,
“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,
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,
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,
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.
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
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,
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,
“[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.”
“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,
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.
Notes
. 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.”
. 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.”
. Section 4-103 addresses holographic wills signed by a person in the armed forces.
. Section 4-104 addresses wills made outside the State of Maryland.
. 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,
. 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)
. The acknowledgment requirement has a long history. In Casson v. Swogell,
"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,
. 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.”
Dissenting Opinion
dissenting.
I respectfully dissent.
I differ from the majority in its definition of what constitutes sufficient proof of attestation or conversely, what standard of proof for lack of attestation must be met by the caveators to a document that does not bear an attestation clause, purporting
The majority opinion attempts to circumvent the issue of valid execution for a will, which does not bear an attestation clause and was signed by the testator outside of the presence of the witnesses, by attempting to overextend our prior holdings in McIntyre v. Saltysiak,
Section 4-102 of the Estates and Trusts Article provides:
Except as provided in §§ 4-103 and 4-104, every will shall be (1) in writing, (2) signed by the testator, or by some other person for him, in his presence and by his express ' direction, and (3) attested and signed by two or more credible witnesses in the presence of the testator.
To attest to something means “[t]o bear witness” or “[t]o affirm to be true or genuine; to authenticate by signing as a witness.” Black’s Law Dictionary (7th ed.1999) at 124. An attestation clause simply sets forth in writing that the formalities of Section 4-102 have been met.
Section 4-102 of the Estates and Trusts Article does not formally require the presence of an attestation clause in order to validate the will. See Van Meter,
As a part of our consideration of whether the statutory formalities have been observed in cases where the document does not contain an attestation clause and where the testator signed the document outside of the presence of the witnesses, we must consider whether the testator complied with what has become known as “the acknowledgment rule.” See Van Meter,
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 of the three •witnesses who subscribe 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.
White v. Trustees of the British Museum, 6 Bing. 310, 318 (1829); see 2 William Blackstone, Commentaries *377 (“It has also been determined, that though the witnesses must all see the testator sign, or at least acknowledge the signing, yet they may do it at different times.”)
In Casson v. Swogell,
The majority correctly states that an attestation clause followed by the signatures of two witnesses to the execution of a will raises a rebuttable presumption that the will was executed in compliance with Maryland Code (1974, 2001 Repl. Vol.), Section 4-102 of the Estates and Trusts Article. Maj. Op. at 5; see McIntyre,
While we have explained that an individual contesting the validity of a will containing an attestation clause must demonstrate by clear and convincing evidence that the facts contained in the will are not true, see McIntyre,
In support of its holding admitting Dale Slack’s will to probate, the majority emphasizes the genuineness of the testator’s and witnesses’ signatures. If proof of the genuineness of the signatures of the testator and the witnesses alone were deemed sufficient to establish the validity of the will, the statutory requirement that the will be “attested” would be rendered useless. See Md.Code, § 4-102 (requiring that a will be “attested, and signed by two or more credible witnesses in the presence of the testator”)(emphasis added). Therefore, in cases where the testator has signed a will which does not contain an attestation clause outside of the presence of the attesting witnesses, I believe that the practice more in keeping with our case law and the statutory requirements of Section 4-102 would be for the court to evaluate the totality of the circumstances surrounding the execution of the document in order to determine if the will should properly be admitted to probate. Thus, the caveator would have to prove by a preponderance of the evidence that the execution of the will did not meet the statutory requirements for valid execution as set forth in Section 4-102 of the Estates and Trusts Article. In so doing, proof of the genuineness of the signatures of the testator and the witnesses could be significant factors in determining the validity of the will, which may be overcome by a finding that the caveator has demonstrated by a preponderance of the evidence that the statutory requirements were not met.
In the present circumstances, Dale Slack did not tell the people whose signatures appear on the will that they were “attesting” to his will. Rather, the first witness to sign the will, Dorothy Morgan, testified that Slack requested that she sign a paper for him. Morgan testified that she believed she was signing a neighborhood petition rather than a will belonging to Slack, and that she did not see his signature on the document when she signed it. As such, the circumstances indicate that Ms. Morgan could not have attested to the will as required by Section 4-102.
The second witness, Sandra Bradley, testified that Slack hurriedly requested her signature on a “piece of paper.” Although Bradley did acknowledge that she saw Slack’s signature on the document, she testified that she neither knew the document to be of Slack’s creation, nor knew that it was a will. Bradley’s testimony regarding her recognizing Slack’s signature may be sufficient to validate the will, but the statute clearly states that attestation and signatures are required of
I believe that the Orphans’ Court and the Circuit Court for Cecil County appropriately weighed the evidence set forth by petitioner and quite reasonably concluded that the statutory requirements had not been met. For example, in denying the will’s admission to probate, the circuit court balanced the evidence put before it, stating, “[i]n applying equity to this situation, of course, the court cannot be ignorant of the very specific statutory law that applies in this case which I have already recited, as well as the interpretative cases rendered within the State and other jurisdictions recognized by the State, such as England’s law.” While it was not necessary for Mr. Slack to verbally instruct the witnesses that the paper he wished for them to sign was his will, the statute’s mandate that the will be attested and signed by two witnesses requires that, in the absence of signing the will in their presence, the testator must apprize the witnesses of the fact that they are attesting to the validity of the execution of the testator’s document, either through the testator’s conduct or through the contents of the instrument itself. See Van Meter, at 617,
. The majority relies on several decisions from sister jurisdictions in support of its holding that tire will was entitled to be submitted to probate as a validly executed will. See Maj. Op. at 7-9, 14-16 (citing In re Pitcairn’s Estate, 6 Cal.2d 730,
In In re Pitcairn’s Estate,
Similarly, the majority misplaces its reliance on the Supreme Court of Illinois’s decision in Mead v. Trustees of the Presbyterian Church,
... 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 .... 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 [approximately ten years], 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....
Id. at 373-74.
