In re Estate of Conard
| Citation | 272 S.W.3d 313 |
| Decision Date | 21 October 2008 |
| Docket Number | No. WD 68624.,WD 68624. |
| Parties | In the ESTATE OF Earl J. CONARD, deceased. Wendell Conard, Respondent; Dean Conard, Respondent, v. William Engel, Linda Engel and Jay Engel, Appellants. |
| Court | Court of Appeal of Missouri (US) |
Michael D. Fitzgerald, Kansas City, MO, for appellant.
David Berniel Parman, Albany, MO, for respondent.
Before THOMAS H. NEWTON, C.J., LISA W. HARDWICK and ALOK AHUJA, JJ.
William, Linda, and Jay Engel (the "Engels") appeal the circuit court's Judgment, which dismissed their claims against the Estate of Earl J. Conard on the basis that the original claims the Engels filed before the statutory bar date were unsigned and therefore fatally deficient. Because we find that the Engels promptly filed signed amended claims after the omission was brought to their attention, and that their original claims were otherwise sufficient under the relaxed pleading standards applicable in this context, we reverse and remand.
Earl J. Conard died intestate on April 7, 2006. At the time he was a resident of Worth County. On April 24, 2006, the Circuit Court of Worth County, Probate Division, issued Letters of Administration appointing Wendall Conard and Dean Conard (the "Conards") as the Co-Personal Representatives of Earl Conard's Estate. Notice of the issuance of the Letters of Administration was published on May 3, 2006; pursuant to § 473.360.1,1 claimants had until November 3, 2006, within which to file claims against the Estate.
On July 14, 2006, the Engels filed three handwritten, pro se claims against the Estate, alleging that they had provided various goods and services to Earl Conard prior to his death, and to the Estate thereafter.
The first claim, entitled "Earl J. Conard funeral bill," was in the amount of $7,337.50. It alleged that, although the Conards had promised to pay Earl Conard's funeral bill after the receipt of life insurance proceeds, they had failed to do so. The claim stated that, given the Conards' failure to pay, "[w]e decided to pay the bill as it was due." An itemized Statement of Funeral Goods and Services Selected, issued by the funeral home, was attached. It specified "[b]illing to" Linda Engel, and was signed by William J. Engel, Jr. A receipt issued by the funeral home, also attached, identifying "William J. Engel" as the remitter of full payment by check.
The second handwritten claim, totaling 11 pages, was entitled "Amounts due for feeding and managing cow herds for Earl J. Conard." This claim, for a total of $89,136.00, describes agricultural services performed for Earl Conard in 1996 and in 2001-06, as well as a calculation of amounts due to the claimant for such services. Within the document itself, the claimant is identified only as "Bill."
The third handwritten claim, for $1,993.88, related to the "Cost for getting cattle in for sale." A document titled "My intentions to help," dated May 11, 2006, was attached to this claim, and was signed by Jay Engel and the Conards. This document describes the services Jay Engel would — and would not — perform to assist the Conards in getting control over, feeding, and arranging for the sale of Earl Conard's livestock after his death. Two additional attached sheets listed services performed on particular dates; one of those attached sheets was also signed by Jay Engel.
None of the Engels' original claims were themselves signed. These were the only claims filed against Earl Conard's Estate.
The filing of the Engels' claims was noted in a July 14, 2006 docket entry as follows:
Wm. J. Engel files claim for 89,136.00 for feeding and managing cow herds for Decedent.
Wm. J. Engel files claim for 7337.50 for funeral bill for the deceased.
Jay Engel files claim for 1993.88 for getting cattle in for sale.
The trial judge then assigned to the case made the following docket entry on July 17, 2006:
This Judge reviews certain filings herein on July 14, 2006 which filings may be construed as claims against the estate— albeit not in perfect form. Clerk directed to provide copies of said filings to the attorney for the estate. So Ordered.
In compliance with the judge's instructions, the clerk mailed the three claims to the Conards and their attorney, under a cover letter which stated: "Enclosed please find copies of claims filed by Jay Engel and Wm. J. Engel Jr. along with docket sheet of 7/17/06."
On October 12, 2006, William Engel filed a handwritten notice stating that "I William J. Engel Jr. request a hearing on my claims against the Earl J. Conard Estate." On October 23, 2006, the circuit court held a hearing at which both the Engels and the Conards were represented by counsel. The Engels' counsel entered his appearance by stating that "I represent William, Linda, and Jay Engel, the claimants." The court noted that "[t]here are claims filed by the Engels against the estate." There is no reference during the on-the-record discussion to any deficiency in the Engels' claim documents, or any purported difficulty the Conards were experiencing in identifying the claimants. Pursuant to the parties' "collective recommendation," the claims were set for trial on November 30, 2006, consolidated with a claim filed by Wendall Conard against the Engels for discovery of assets allegedly held by the Engels but rightfully belonging to the Estate.
On November 27, 2006, the Conards filed a Motion to Dismiss the Engels' claims, or in the alternative, for a more definite statement. The Conards' November 27 motion did not specifically refer to the lack of signatures on the Engels' original claims or the Conards' inability to identify the claimants, but instead alleged that the claims "fail[ ] to state a claim upon which relief can be granted," because they "do[ ] not give reasonable notice to the Co-Personal Representatives of the nature and extent of the claim made, [are] not in proper form, and [are] not specific enough so that a ruling thereon will become res judicata of the matters involved."
The Engels' counsel did not appear at the January 29, 2007 hearing on the Conards' Motion, and their claims were accordingly dismissed. The court's Judgment Dismissing Claim, dated January 30, 2007, states that:
Counsel for the Co-Personal Representatives also notes for the record and the Court takes judicial notice of the fact that claimant's claim fails to comply with Section 472.080.1, RSMo., in that it does not contain a statement that the claim is made under oath or affirmation and that its representations are true and correct to the best knowledge and belief of the person signing it or that it is subject to the penalties of making a false affidavit or declaration.
The circuit court subsequently set aside this dismissal after concluding that counsel had failed to appear through no fault of his own.
The Engels filed their First Amended Claim Against Estate on January 31, 2007, and their Second Amended Claims Against Estate on February 20, 2007. Both the First and Second Amended Claims were verified by the Engels' notarized signatures. The nature of the Engels' three claims, and the amounts claimed, were not altered by either amendment.
On May 1, 2007, the Conards filed separate motions to dismiss each of the Engels' Second Amended Claims. Although the Conards' motions argue that the Engels' original claims failed to adequately identify the claimants, none of the motions specifically argue that the original claims were defective due to the lack of signatures.
On June 1, 2007, the circuit court issued its Order and Judgment granting the Conards' Motions to Dismiss the Engels' Second Amended Claims with prejudice. The sole basis cited by the trial court for dismissing the Engel' claims was that, pursuant to § 473.380.1, "the original documents filed on July 14, 2006 had to have been signed by the claimant or by some person on the claimant's behalf with knowledge of the facts supporting the claim."
"A motion to dismiss is an attack on the petition and solely a test of the adequacy of the pleadings." Rychnovsky v. Cole, 119 S.W.3d 204, 208 (Mo.App. W.D.2003). "Upon review of a judgment granting a motion to dismiss, we must determine if the facts pleaded and the reasonable inferences therefrom state any grounds for relief." Id. "Our review is a de novo examination of whether the petition invokes principles of substantive law." Estate of Clark, 83 S.W.3d 699, 702 (Mo.App. W.D. 2002).
In their sole Point Relied On, the Engels argue that the circuit court erred in dismissing their claims "because the original claims filed July 14, 2006 were sufficient to give notice of the nature and extent [of their claims] and [the] identity of the claimants," and thus satisfied § 473.380.1's minimum requirements. If their original claims were sufficient, the Engels contend further that their Second Amended Claims should relate back to the filing of the original claims.
Section 473.380.1 states, in relevant part:
No claim other than for costs and expenses of administration shall constitute a claim against an estate unless it is in writing, stating the nature and amount thereof, if ascertainable, and is signed by the claimant, or by some person for him who has knowledge of the facts[.]
Section 473.380 does not specify any sanction for a claimant's failure to file a properly signed claim prior to the claims bar date.
We conclude that the circuit court erred in relying exclusively on § 473.380.1 when it concluded that the failure to sign the original claims was a fatal defect mandating their dismissal. Although Rule 41.01(a)(2)2 provides that the Supreme Court's Rules of Civil Procedure do not apply in toto to "actions governed by the probate code," Rule 41.01(b) expressly states that "Rule[] ... 55.03 ... appl[ies]...
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