Disclaimer: This article is for informational purposes only and does not constitute legal advice. Always consult a qualified attorney regarding your specific situation.
Detailed Answer
When key estate documents go missing, an uncooperative institution can block estate administration. Under Indiana law, you have several tools to secure those records. Below is a step-by-step overview:
1. Request Documents Informally
- Identify the custodian. Common holders include banks, brokerage firms, insurance companies and government agencies.
- Send a written request. Include your name, contact information, proof of death (death certificate) and letters of appointment or testamentary. Be polite but clear: cite your authority as the personal representative or executor.
- Keep copies. Use certified mail or another trackable method.
2. Use the Subpoena Duces Tecum
If informal requests fail, you can compel production through a subpoena duces tecum under Indiana Trial Rule 45. That rule lets you demand documents from non-party witnesses in civil or probate matters.
- File a petition or motion in the court handling the estate.
- Draft a subpoena specifying the documents you seek and the date, time and place for production.
- Serve the subpoena according to Indiana Trial Rule 45 and IC 34-46-3-1.
- If the institution objects, request a court hearing to enforce the subpoena.
3. Petition the Probate Court
Indiana probate courts oversee estate administration and can order third parties to turn over records. Under IC 29-1-14-11, the court may examine fiduciary records and compel production of relevant materials.
- Draft a verified petition explaining which documents are missing and why they matter.
- Request a court order directing the institution to deliver or produce the records to the court or your attorney.
- Attend the hearing. If the court grants your petition, the institution must comply or face legal sanctions.
4. Enforcement and Contempt
If an institution ignores a valid court order or subpoena, you may ask the court to hold it in contempt. Indiana courts can impose fines or other penalties to enforce compliance.
- File a notice of non-compliance and a motion for contempt.
- Cite the original order or subpoena.
- At the contempt hearing, present proof of service and non-compliance.
- The court may sanction the institution, up to and including monetary fines.
Helpful Hints
- Document every communication. Keep dated records of all requests and responses.
- Always include certified copies of your appointment documents and death certificate.
- Ask the institution if it has an internal records request form or estate department.
- Consult an attorney early if you face pushback. Small mistakes can cause costly delays.
- Consider mediation or alternative dispute resolution before moving to contempt if you prefer a quicker resolution.