Opinion ID: 1743698
Heading Depth: 2
Heading Rank: 3

Heading: application of the statutes to this case

Text: In this case, Mr. Prockup did not file a document entitled Statement of Claim in the Bradley Estate probate proceedings until December 27, 1993, more than three months after first publication of the notice of administration and more than two years after Mr. Bradley's death. Thus, if such document constitutes Mr. Prockup's sole and exclusive claim filed in the probate proceedings, then sections 733.702 and 733.710 would both bar recovery from the Bradley Estate in excess of Mr. Bradley's casualty insurance policy limits. [13] However, on May 20, 1992, less than eight months after Mr. Bradley's death, Mr. Prockup petitioned the probate court to appoint Mr. May administrator ad litem of the Bradley Estate. That petition, verified by Mr. Prockup and providing the address of his attorney, was the first filing concerning the Bradley Estate. Notably, the file number assigned to the Bradley Estate probate proceedings upon the filing of Mr. Prockup's petition remained the same throughout those proceedings, including all papers filed by the subsequently appointed co-personal representatives. In the petition, Mr. Prockup asserted, in pertinent part, that he represented his wife's estate and had a cause of action which arose out of an accident in Holmes County, Florida, on September 21, 1991, in which Inez Prockup sustained fatal injuries. The van in which Mrs. Prockup was a passenger was struck by an automobile driven by Oscar T. Bradley. The probate court granted the relief requested in Mr. Prockup's petition, specifically appointing Mr. May to defend the Bradley Estate regarding a claim for damages arising out of the automobile accident on September 21, 1991, in which Mrs. Prockup was killed. Later, on March 1, 1993, Mr. Prockup filed another pleading in the probate court, requesting that the court appoint Mr. May personal representative of the Bradley Estate. To support his pleading, Mr. Prockup noted that (1) the probate court already had appointed Mr. May to defend a claim against the Bradley Estate arising out of the accident on September 21, 1991; and (2) Mr. Prockup was a creditor of the Bradley Estate by virtue of a wrongful death claim ... which arose out of an automobile accident in Holmes County, Florida, on September 21, 1991, resulting in fatal injuries to Mrs. Prockup. The probate court did not appoint Mr. May personal representative of the Bradley Estate, but instead appointed Ms. Johnson and Mr. Fred Bradley co-personal representatives of the estate, but no order was entered as to the status of Mr. May as previously appointed by the same probate court. In the opinion certifying the present question to this Court, the Eleventh Circuit has suggested that, under Florida law, Mr. Prockup's petition for the appointment of an administrator ad litem and his counter-petition for administration failed to constitute a sufficient statement of claim under section 733.703, Florida Statutes (1991), and Florida Probate Rule 5.490(a). See May, 190 F.3d at 1204-05. In making that determination, the Eleventh Circuit (1) relied in part on our decision in Spohr; (2) noted that the petition and the counterpetition failed to indicate that Mr. Prockup possessed a claim in excess of Mr. Bradley's casualty insurance policy limits; and (3) distinguished this case from the Second District Court of Appeal's decision in Notar v. State Farm Mutual Automobile Insurance Co., 438 So.2d 531 (Fla. 2d DCA 1983). See May, 190 F.3d at 1205. Recognizing that we are not limited in the manner in which we answer the certified question here, see May, 190 F.3d at 1207, we would, as a matter of Florida law, reach a conclusion quite different from that voiced by the Eleventh Circuit. First, our decision in Spohr does not control the facts of this case. In Spohr, we concluded that the filing of an independent lawsuit within three months of first publication of the notice of administration did not constitute compliance with section 733.702, Florida Statutes (1985). See 589 So.2d at 228. In reaching that conclusion, we stated the following, in pertinent part: It is important that all interested parties be able to ascertain that claims have been filed against an estate. When served with a complaint, a personal representative would know that a claim was being asserted, but other interested parties might not have such knowledge so as to be able to take the necessary steps to protect their interests.... Even though probate proceedings have now been consolidated into circuit court, it is imperative that the probate file contain every statement of claim. Id. at 229 (footnote omitted). The key requirement is that a claim be filed in the probate proceeding as opposed to the filing of an independent action. Unlike the creditor in Spohr, Mr. Prockup filed several documents in the actual probate proceedings setting forth the basis of his claim against the Bradley Estate. Indeed, Mr. Prockup's verified petition for the appointment of an administrator ad litem was the first filing in the Bradley Estate, which maintained the same file number throughout the probate proceedings. It is difficult to envision that the language contained in that petition-which was identical to the substantive claim language set forth in the document entitled Statement of Claim-would fail to place interested persons on notice of Mr. Prockup's claim (as personal representative of his wife's estate) against the Bradley Estate. The same is true regarding Mr. Prockup's counter-petition. The substance of a claim against the Bradley Estate was set forth in detail and Florida law in this area should not elevate form over substance. Second, we also conclude that simply because Mr. Prockup's petition and counter-petition did not indicate whether his claim against the Bradley Estate was for an amount in excess of Mr. Bradley's casualty insurance policy limits does not establish that the claim fails to satisfy the statutory scheme. [14] At the time Mr. Prockup filed his petition and counter-petition, as well as at the time he filed the document entitled Statement of Claim, damages had not yet been established in the wrongful death/personal injury action against Ms. Murphy and the Bradley Estate. Thus, it was not possible to state in a claim against the Bradley Estate that it was in excess of Mr. Bradley's policy limits. Further, it is well settled that the total failure to file a timely claim against an estate does not prevent a creditor from recovering up to the policy limits of a decedent's casualty insurance. See § 733.702(4)(b), Fla. Stat. (1991); Pezzi, 697 So.2d at 885-86 (determining that sections 733.702 and 733.710 did not bar plaintiffs from stating a cause of action to recover up to policy limits from decedent's casualty insurance even though the plaintiffs did not file a timely claim in the probate proceedings); Kent Ins. Co. v. Estate of Atwood, 481 So.2d 1294, 1295 (Fla. 1st DCA 1986) (stating that the failure to file a claim against an estate within three months of first publication of the notice of administration bars only the right to enforce any liability of the estate which is beyond the limits of the policy of insurance). As a result, persons interested in a decedent's estate are on notice that a wrongful death claim is pending against an estate with the amount unliquidated. Just as with any other unliquidated claim, the damages may or may not involve an amount covered by insurance or in excess of the decedent's insurance policy limits. Third, we find the Second District's decision in Notar persuasive here. In that case, the expectant claimant failed to file a formal statement of claim in the decedent's estate within three years of the decedent's death, as required by section 733.702(1)(b), Florida Statutes (1981) (requiring filing of a claim in an unadministered estate within three years of a decedent's death). See Notar, 438 So.2d at 532-33. Upon learning of the decedent's death, however, the claimant filed a motion for substitution of parties and appointment of personal representative in an already initiated independent action. See id. at 532. In addition, the claimant's attorney filed in probate court a petition for administration of the decedent's estate. See id. The circuit court in the independent action denied the claimant's motion for substitution and appointment, and the probate court denied the claimant's counsel's petition for administration. See id. On appeal, the Second District addressed whether the claimant's motion in the independent action and petition in the probate court, both filed within three years of the decedent's death, could be considered a valid presentation of claim to satisfy the nonclaim period. See id. at 533. The Second District acknowledged that to present a claim against a decedent, a creditor must file a written statement of the claim indicating the basis of the claim, the amount of the claim, whether the claim is contingent or unliquidated, and, if contingent or unliquidated, the nature of the uncertainty. See id. (citing section 733.703, Florida Statutes (1981)). The court also recognized that deviations in the form of a claim may be corrected. See id. (citing section 733.704, Florida Statutes (1981)). With these principles in mind, the Second District held that both the claimant's motion in the independent action and the petition in the probate court stated the basis of the claim in a manner sufficient to satisfy the requirements of sections 733.703. See id. After so holding, the Second District noted that because no notice of administration had been filed regarding the decedent's estate, nothing more could have been done to preserve a claim against the decedent's estate. [15] See id. While the Notar court's holding with regard to the motion in the independent action is no longer valid in light of our decision in Spohr, the court's holding concerning the petition for administration remains in effect and is well reasoned. Finally, similar to the decision in Notar, we would conclude that Mr. Prockup's petition for the appointment of an administrator ad litem and his counter-petition for administration were defective, if at all, only as to the caption on the document, not substance. Section 733.703(1), Florida Statutes (1991), requires a creditor to file a written statement of the claim in probate proceedings involving a decedent's estate. The statute does not set forth any requirements regarding the form and content of the claim. See id. Limited requirements can be found in Florida Probate Rule 5.490(a), which provides: (a) Form. A creditor's statement of claim shall be verified and filed with the clerk and shall state: (1) the basis for the claim; (2) the amount claimed; (3) the name and address of the creditor; (4) the security for the claim, if any; and (5) whether the claim is due or involves an uncertainty and, if not due, then the due date and, if contingent or unliquidated, the nature of the uncertainty. If a claim is defective as to form, then the probate court may allow a creditor to amend the claim at any time. See § 733.704, Fla. Stat. (1991) (If a bona fide attempt to file a claim is made by a creditor but the claim is defective as to form, the court may permit the amendment of the claim at any time.); Fla. Prob. R. 5.490(e) (If a claim as filed is sufficient to notify interested persons of its substance but is otherwise defective as to form, the court may permit the claim to be amended at any time.). When the pleadings filed on behalf of the Prockups in the probate proceeding are compared to the elements of the rule, it becomes evident that all requirements were substantially satisfied. Mr. Prockup's petition and counter-petition clearly stated the basis of his claim-as personal representative of his wife's estate-against the Bradley Estate. Both the petition and counter-petition established that Mr. Prockup was prosecuting a wrongful death action against the Bradley Estate based on the September 21, 1991, automobile accident. As ongoing litigation, it was clear that the damages being sought in such action were undetermined and unliquidated. Under these particular circumstances, it would be placing form over substance to hold that the petition and counter-petition did not satisfy the essential requirements of section 733.703 and rule 5.490(a). See generally 18 Fla. Jur.2d Decedents' Property § 647 (1997) (stating that a statement of claim need not be in any particular form, and it is sufficient if it states the character and amount of the claim); 31 Am.Jur.2d Executors and Administrators § 659 (1989) (stating that the contents of a claim should be liberally construed and that the form of the presentation [of a claim] is of little importance so long as it furnishes sufficient information of the extent and character of the claim). In light of our analysis regarding the petition and counter-petition, it is clear that Mr. Prockup satisfied the two-year nonclaim period set forth in section 733.710. This is so because Mr. Prockup's petition and counter-petition setting forth the claim in detail against the Bradley Estate were both filed within two years after the date of Mr. Bradley's death. The same cannot be said, however, with regard to satisfying the limitation period set forth in section 733.702(1). Specifically, section 733.702(1) requires that a claim be filed within the later of three months after the time of first publication of the notice of administration or, as to any creditor required to be served with a copy of the notice of administration, 30 days after the date of service of such copy of the notice on the creditor. § 733.702(1), Fla. Stat. (1991) (emphasis added). The Legislature very specifically added the word after in 1988, substituting it for the word from. See ch. 88-340, § 6, at 1805, Laws of Fla. (amending section 733.702(1)(a), Florida Statutes). As the word after is used in the statute, we have no choice but to ascribe to the word its plain meaning. [16] Although it may seem somewhat formalistic to strictly apply the word after, such was the specific legislative intent. While requiring a creditor to file a claim after publication or service runs counter to the general proposition that claims filed before notice is given to creditors may sufficiently state a claim against an estate, see In re Estate of Tanner, 288 So.2d 578, 581 (Fla. 2d DCA 1974) (permitting the filing of a claim prior to the publication of valid notice to creditors); see generally Dag E. Ytreberg, Annotation, Validity of Claims Against Estate Filed Prior to Publication of Notice to Creditors, 70 A.L.R.3d 784 (1976 & 1999 Supp.), such a result is nonetheless mandated by the clear language used by the Legislature in section 733.702(1). Accord Roberts v. Jassy, 436 So.2d 394, 395 (Fla. 2d DCA 1983) (decrying inequitable and harsh result required by application of section 733.702(1), Florida Statutes (1981)).