In re the Estate of Kleefeld
In re the Estate of Kleefeld
Opinion of the Court
OPINION OF THE COURT
The question presented on this appeal is whether a lost will may be admitted to probate upon the submission of a conformed copy of the original will and the testimony of one witness which does not establish the actual substantive provisions of the will independently of the copy. The Appellate Division held that the proof was sufficient to permit the lost will to be admitted to probate. We reverse.
In 1970 the testator, Dr. Georges Kleefeld, executed a will prepared by his attorney. The original will was retained in the attorney’s files and the testator was given a conformed copy. The attorney died in 1972 and the testator died in 1979, at which time the original will could not be located in the attorney’s files. This proceeding to admit the lost will to probate was commenced by the will proponent pursuant to SCPA 1407. That statute provides as follows: “A lost or destroyed will may be admitted to probate only if 1. It is established that the will has not been revoked. 2. Execution of the will is proved in the manner required for the probate of an existing will, and 3. All of the provisions of the will are clearly and distinctly proved by each of at least 2 credible witnesses or by 1 witness and a copy or draft of the will proved to be true and complete” (L1966, ch 953).
At trial the proponent submitted evidence that the testator did not revoke the original will since it was lost while in the possession of the attorney-draftsman. The contestants submitted evidence tending to show that the testator had revoked the will by tearing it into pieces. Two of the witnesses who attested to the original will testified with respect to due execution but neither could remember any of the substantive provisions of the will.
Regarding the third requirement of SCPA 1407, Nadine Baris, the legal secretary who typed the original will,
The question thus becomes whether the testimony of Baris combined with the submission of the conformed copy of the will “clearly and distinctly” proves all of the provisions of the original will within the meaning of fhe SCPA 1407 (subd 3) in order to permit the admission of the lost will to probate. The Surrogate’s Court held that 'the three prerequisites for admission of a lost will to probate found in SCPA 1407 had been fully satisfied and admitted the lost will to probate. Specifically, the court, found that the presumption of revocation of the will by the decedent testator had been overcome by the testimony that the will was lost while in the possession of the attorney-draftsman and that the contestants did not meet their burden of proving revocation by physical act or superseding will or codicil. Satisfied that the original will had been duly executed, the court interpreted SCPA 1407 (subd 3) as merely necessitating proof of the authenticity of the submitted copy as a true and complete duplication of the original will and held that Baris’ testimony sufficiently identified the copy and proved that its contents were identical to the original.
We agree with the dissent at the Appellate Division that the Baris testimony did not satisfy the requirements of SCPA 1407 (subd 3) and therefore reverse.
Similar constructions of the statute by various authorities support the conclusion we reach today. As one commentator has accurately summarized: “After existence of the will and its destruction have been established, the contents must be proved. The statute provides that all of the provisions of the will must be clearly and distinctly proved by each of at least two credible witnesses or by one witness and a copy or draft of the will proved to be true and correct. In this respect the present statute does not differ from the prior one. Knowledge of the execution of the will is not knowledge of its contents. And while the witnesses need not give the exact language of the will, but merely the substance, each of the witnesses, must testify to all . the principal parts of the will. A copy of the will takes the place of the second witness, but the witness’ supporting letter does not” (1 Harris, New York Estates Practice Guide [3d ed], § 281, p 534; see Goldman, Practice Commentary, McKinney’s Cons Laws of NY, Book 58A, SCPA 1407; 2A Warren’s Heaton, Surrogate’s Court [6th ed], § 179, par 5, at pp 31-92).
The dissent nevertheless argues that the legislative history of SCPA 1407 (subd 3) supports the conclusion of the Surrogate’s Court and the majority below. One of the research counsel to the Bennett Commission reported to the commission concerning his proposal to revise the evi
The dissent does not dispute that this recommendation was rejected by the Bennett Commission in favor of the rule established by the plain language of SCPA 1407 (subd 3). Although this fact alone disposes of the contention urged by the dissent, we nevertheless find that the legislative history referred to above is, at best, ambiguous and therefore unsupportive of the construction urged. In fact the passage relied on can be interpreted to support our construction of the statute for it states the general rule that the contents must be established by the testimony of two witnesses, but proposes an exception that a copy “should suffice to prove the contents”, meaning that a copy should be a permissible substitute for the testimony of one of the witnesses. Section 143 of the Surrogate’s Court Act, the predecessor to SCPA 1407, expressly required the testimony of “at least two credible witnesses, a correct copy or draft being equivalent to one witness”. It is, therefore, doubtful that the author of the passage intended to propose a radical alteration of existing law by suggesting that a copy of the will should serve as a sufficient substitute for the testimony of two witnesses instead of one.
But even if thé legislative history of SCPA 1407 were construed tó support the position that a copy of the will alone should constitute sufficient proof of contents, this is not supported by the mandate and the express language of the statute. This court should not ignore the words of a statute, clear on its face, to reach a different result through judicial interpretation (McKinney’s Cons Laws of NY, Book 1, Statutes, § 76).
The legislative policy embodied in SCPA 1407 is designed to prevent the probate of fraudulent wills. That policy will be subverted if a will, such as the one at issue
It is evident in light of the foregoing that Nadine Baris’ testimony did not clearly and distinctly prove all the provisions of the will as required by SCPA 1407 (subd 3). Although she recognized her initials on the first page of the conformed copy of the will and that the type was the same used by her typewriter, and testified that the original will contained many provisions and many bequests to foreigners, she also testified that she never read the will after she typed it and therefore could not remember any of its provisions. Although the attesting witnesses remembered various events surrounding the execution of the will, neither of them had read it and were also unable to téstify as to the substance of its contents. Thus, assuming that the copy of the will submitted into evidence was actually a conformed copy of the original will, the respondent proponent did not otherwise carry his burden under SCPA 1407 (subd 3) by clearly and distinctly proving all the provisions of the will by at least one credible witness.
Accordingly, the order of the Appellate Division should be reversed, with costs to all parties appearing separately and filing separate briefs payable out of the estate, and the petition for probate of the lost will of Georges Kleefeld dismissed.
. The additional facts noted by the dissent were not established by either court below and thus cannot form the basis of a decision by this court (CPLR 5501, subd [b]). In any event, these additional facts in no way affect our interpretation of SCPA 1407 (subd 3) or, therefore, the disposition of this appeal.
. Even if we were to assume, arguendo, as indeed the dissent is at length to demonstrate, that the photocopy was a true and complete copy of the original will, that is not the determinative issue. Under subdivision 3 of the revised statute proof of such a copy must in addition be corroborated by the testimony of one witness clearly and distinctly proving the substantive provisions of the original will. It is this later component which is missing in this instance.
Dissenting Opinion
(dissenting). In my view the majority’s conclusion does not accord with the judicial construction of the predecessor provision or the legislative history of the present statute and is inconsistent with the rationale of Matter of Snide (52 NY2d 193). I therefore dissent.
At common law “only such an amount and degree of evidence was required, as to the contents of the will, as was
The provision, it was held, “should have a liberal construction in furtherance of justice and for the prevention of fraud” (Hook v Pratt, 8 Hun 102, 109; Early v Early, 5 Redf 376, 380; Matter of De Groot, 2 Connoly 210, 215). With respect to the proof required when there was no copy the rule was, therefore, that although each of the two witnesses must be able to testify as to all of the dispositional provisions (Matter of Ruser, 6 Dem 31; McNally v Brown, 5 Redf 372), that requirement applied only to the substantive dispositions ánd not to the appointment of an executor (Early v Early, supra), and in any event did not require that the witnesses testify to the exact wording of the will, but only to its substance as a whole (McNally v Brown, supra; Matter of Musacchio, 146 Misc 626). The prevention of fraud dictated that a person who would take under the will could not be one of the two witnesses, however (Keery v Dimon, 91 Hun 642, opn in 37 NYS 92, affd 153 NY 662) and that thé claimed will not be admitted when the two witnesses disagreed as to its contents (Sheridan v Houghton, 6 Abb NC 234, mod as to costs, and affd 84 NY 643; Matter of Yanover, 16 Misc 2d 128; Matter of Ruser, supra; McNally v Brown, supra). In sum, the credible testimony of
When a copy or draft was produced, however, there being less possibility of fraud, the statute directed that the copy or draft take the place of one witness. That direction has been held a number of different times to authorize admission to probate of the will on the testimony of the attorney who drew it or of the secretary who typed it, if only he or she identifies the copy as decedent’s will. Thus, in Matter of Granacher (74 App Div 567, 571) the testimony of the attorney who had charge of the preparation of the will and who, although he could not recall whether he personally wrote it, was acquainted with its contents which he had read to the testatrix, was held “to fully meet the requirements of the statute,” and we affirmed (174 NY 504) “on the ground that the findings of fact by the surrogate having been affirmed unanimously by the Appellate Division, we are prevented from examining the questions argued.” Again, in Matter of Suarez (114 NYS2d 194, 195), Surrogate Frankenthaler admitted a will to probate, stating: “The attorney-draftsman adequately identified the propounded paper as the carbon copy of the original will and this identification, together with his testimony, is sufficient proof of the contents of the will as required by Surrogate’s,Court Act, section 143.” His decree admitting the will to probate was reversed on other grounds (281 App Div 870), but on retrial he again held that the paper produced had been clearly and distinctly proven and on appeal the later probate decree was affirmed, without opinion (283 App Div 774). A similar holding will be found in Matter of Breckwoldt (170 Misc 883, 886, 887, 888) where the stenographer who typed and was a subscribing witness to the will having testified “in substance that the contents of the dispositive provisions” of the will were identical with the copy, Surrogate Wingate, over the con- . tention that testimony of a witness other than the person identifying the will was required, noted that: “It is the conscience of the court which must be satisfied upon this point. As the court reads them, the provisions of the statute
Under an identically worded statute, the Indiana Supreme Court in Barnes v Bosstick (203 Ind 299, 302) held it sufficient that the lawyer who drew the will identified a carbon copy, that being “equivalent to his having orally stated (or read) the contents of the duplicate copy,” and the Supreme Court of Arkansas in Bradway v Thompson (139 Ark 542, 554) held that testimony of the attorney who prepared the will identifying a carbon copy and of his secretary that the copy was made by her from dictation by the attorney met the requirements of the statute.
It is, therefore, clear that the Surrogate’s Court Act provision did not require that the testimony of the witness “establish the actual substantive provisions of the will independently of the copy”
Discussion so far has been in terms of the Surrogate’s Court Act provision rather than of the present statute. SCPA 1407 provides that: “A lost or destroyed will may be admitted to probate only if * * * 3. All of the provisions of the will are clearly and distinctly proved by each of at least 2 credible witnesses or by 1 witness and a copy or draft of the will proved to be true and complete.” (Emphasis added.) Despite the changes in language indicated by italics in the above quotation, the result in the present case is not changed. As the analysis above of the two witness provision of section 143 of the Surrogate’s Court Act shows, and as Appendix L-10 to the Report of the Temporary State Commission (NY Legis Doc, 1966, No. 19, pp 794, 796)
Nor was any change in substance made in the copy plus one witness provision, although a more detailed explanation in proof of that statement is required. The recommendation with respect to that provision was for adjustment “in the ‘evidentiary’ clause of the statute to make explicit that * * * a true copy or draft of the lost or destroyed will, properly established as such a copy or draft, shall suffice to prove the contents of such a will.” The quotation in the majority opinion (p 259) is, therefore, correct so far as it goes, but overlooks the explanation immediately preceding which obviates any doubt concerning what was intended. The explanatory paragraph stated that “On the evidentiary side, the statute should be retained with the following adjustments: * * * A revision of the present statute to provide that a true copy or draft of the lost or destroyed will (iestablished by cogent evidence) shall suffice, without more, to establish the contents of the lost or destroyed will” (italics supplied).
That recommendation was not adopted by the commission,
There is, however, additional evidence, not referred to by the majority, which establishes with irrefutable clarity the authenticity of the photocopy of the will. The testimony of two of the subscribing witnesses establishes that Dr. Kleefeld and his wife both executed their wills at the same time and place (the dining room of the Kleefeld apartment). Present were the two Kleefelds, the two subscribing witnesses and Leonard Kommel, the attorney. Mrs. Kleefeld’s will was executed first, the two witnesses then signed as witnesses to the will, as did Leonard Kommel, a copy was conformed by Kommel, the copy given to Mrs. Kleefeld and the original retained by Mr. Kommel.
The will of Mrs. Kleefeld was admitted in evidence without objection. That will appears to the naked eye to be in the same type face as the doctor’s will and like the doctors will bears in the upper lefthand corner of the first page the legend “LK/nmb/12/22/70.” It is, moreover, identical in its provisions with Dr. Kleefeld’s will, except as it substituted his name for hers in its dispositive provisions and made resulting conforming changes, and except that in disposing of the estate should the other spouse not survive (or die in a common disaster) one of the 48 specific bequests
One has to bury one’s head deep in the sand not to conclude that the will Dr. Kleefeld executed on December 24,1970 was the original of the will the photocopy of which was produced in court, for the combination of Nadine Baris’ identification of the copy as Dr. Kleefeld’s will and recollection of its many bequests, some to people in foreign countries, Julius Bisci’s testimony concerning the execution and conformance of copies of the two wills and his identification of the copy of Dr. Kleefeld’s will, and the bequests set forth in Mrs. Kleefeld’s reciprocal will, exactly conforming (with but one minor difference) to that of Dr. Kleefeld permits no other conclusion. Indeed, the probate of Dr. Kleefeld’s December 24, 1970 will could be the product of fraud only if the doctor had executed a different later will which the perpetrator destroyed in order to obtain the benefit of a bequest in the earlier will, or if the will executed by the doctor on December 24, 1970 was in fact different from that executed by his wife and the perpetrator stood to recover under the copy, if probated, more than he or she would have under the will as executed and was wily enough to forge a copy which duplicated, reciprocally, Mrs. Kleefeld’s will, and sufficiently ungreedy to be willing to share the estate with 47 other specific legatees and the four charities which received the residue, yet a sufficient blunderer in executing his plan to misstate the amount of one of the 48 legacies by $1,000 and then seek to correct the mistake in ink and by marginal notation instead of simply retyping the page he was forging. Objectants introduced testimony that Dr. Kleefeld had spoken of executing a later will, but neither court below credited it. Even less credit can be given to the forgery possibility, bearing in mind that the December 24, 1970 paper executed by the doctor remained in lawyer Kommel’s safekeeping and, so far as appears, was lost in the several movements of the lawyer’s files after Kommel died in April, 1972.
The issue for determination is whether the copy presented bespeaks the testamentary plan of the testator, not whether under other circumstances there could have been fraud. To permit the frustration of Dr. Kleefeld’s testamentary plan at the behest of three of his nieces, dissatisfied apparently with the $1,000 legacy left to each, at the expense of his wife’s nephew, who, the Surrogate found, had been raised in Dr. Kleefeld’s home and was treated as his son, and of the many other relatives of his wife, friends of both, and employees of the doctor’s and charities named for specific bequests as well as the four charities that would receive the residuary (none of whom will receive any part of the estate if the will is not probated) is, indeed, to turn the meaning and purpose of the lost will statute on its head.
I have not overlooked the fact that neither the Surrogate nor the Appellate Division commented upon the will of Mrs. Kleefeld and its relation to the question at issue, nor the prohibition against our making factual findings in the posture of this case. Presumably the failure of the courts below to comment with respect to Mrs. Kleefeld’s will stemmed from the view, expressed in the first part of this dissent, that the findings the Surrogate made were sufficient under the statute without more. And although we cannot make new findings, we need not ignore evidence in the record which makes evident how egregiously wrong it would be to dismiss the petition for probate.
If I am correct as to the construction of SCPA 1407 (subd 3), as I believe the first part of this opinion demonstrates, the order of the Appellate Division should be affirmed. If I am not, there nevertheless should not be a dismissal. Rather the matter should be remitted to the Surrogate for a new trial or the making of new findings, as he deems appropriate, it being clear on consideration of all of the evidence that was presented before him that proponent made out a prima facie case. My own vote is, of course, to affirm.
Chief Judge Cooke and Judges Gabrielli and Jones concur with Judge Wachtler; Judge Meyer dissents and votes to affirm in a separate opinion in which Judge Jasen concurs; Judge Fuchsberg taking no part.
Order reversed, with costs to all parties appearing separately and filing separate briefs payable out of the estate, and petition dismissed.
. (Majority opinion, p 256.)
. Kahn v Hoes (14 Misc 63, 73): “After a lapse of seventeen years he shows the same remarkable recollection of details, even to the phraseology of the will and the physical appearance of the draft which is in evidence, which, as I have said, tends to deepen rather than allay doubts which have arisen respecting the facts.”
. The Appendix at page 796 makes this pellucidly clear: “On the evidentiary side, the statute should he retained with the following adjustments: * * * (2) An adjustment of the language of the present statute to make clear that each of the two or more credible witnesses to the provisions of the lost or destroyed will must prove all of its contents clearly and distinctly.”
“Recommendations: * * * Adjustments are recommended in the ‘evidentiary’ clause of the statute * * * to make clear that each of the two or more witnesses to the provisions of the lost or destroyed will must prove all of its contents” (italics in original).
. Thus, the emphasis placed upon the words “each of” in the dissent below (but which the majority in this court does not espouse) was clearly misplaced.
. Page 61 of the Report states: “It should be carefully noted that the recommendations contained in such reports [the Appendices from one of which the above quotations are taken] are not necessarily the official recommendations of the Commission, such official recommendations being contained only in bills as submitted to the Legislature.”
. This is clear from its citation of McNally v Brown (5 Redf 372) and Matter of Yanover (16 Misc 2d 128).
. In evidence is a letter dated 20 days after the date of execution of the wills in which Kommel acknowledges receipt of a check and states that the wills were being kept in his office safe.
. Many of which were to persons or charities in foreign countries.
. The conformed copy of the doctor’s will bears an ink change, with marginal notation, of the bequest to $1,000 but no evidence was presented as to when that change was made. As admitted by the Surrogate, that bequest remains at $2,000.
. I do not suggest that the nieces had anything to do with the disappearance of the original of Dr. Kleefeld’s will. My point is that they receive a windfall, never intended by the testator, and that most of the others, whom or which he intended to benefit, will receive nothing.
Reference
- Full Case Name
- In the Matter of the Estate of Georges Kleefeld, Denise Stork, Appellant Joseph De Mul
- Cited By
- 14 cases
- Status
- Published