What is Undue Influence?

People often associate estate planning with ideas and themes they see in popular culture. The theme of a wealthy parent or grandparent leaving their entire fortune to a mistress or spouse forty years their junior is prevalent in out popular culture, but in the real world, what legal concepts exist to challenge these bequests?

The movie Knives Out, released in 2019, centers around the investigation of a wealthy family patriarch’s mysterious death. When the family discovers that the father’s entire fortune has been bequeathed to the family nurse, suspicions arise that the family nurse had manipulated the father and orchestrated his death. If these family members resided in California, how would they go about challenging this bequest?

In California, a will, trust, or other transfer document is invalid if it was procured by “undue influence.” Undue influence is defined in Section 15610.70 of the California Welfare and Institutions Code as “excessive persuasion that causes another person to act or refrain from acting by overcoming that person’s free will and results in inequity.” Essentially, undue influence exists if the wrongdoer substitutes the victim’s desires with their own desires. The following factors are considered in determining whether a result was produced by undue influence:

• The vulnerability of the victim
• The influencer’s apparent authority
• The actions or tactics used by the influencer
  • Controlling the “necessaries of life”
  • Use of affection, intimidation, or coercion
  • Initiation of changes in personal or property rights
  • Haste or secrecy
• The equity of the result

Evidence of inequity alone is not sufficient to prove undue influence. Thus, even if a bequest is deemed to be unfair, that fact in and of itself is not sufficient to invalidate the donative instrument. Thus, in our Knives Out example above, the mere fact that the family nurse was sole heir to the estate would not be enough to invalidate the transfer. 

Normally, the contestants of the trust or will have the burden of proving that the document was a product of undue influence. However, the contestants can shift burden of proof to the defendants if three facts are established:

• A confidential relationship existed between the alleged wrongdoer and the victim
  • Lawyers
  • Doctors
  • Priests
  • Care givers
• The alleged wrongdoer actively participated in the preparation or execution of the trust or will
• The alleged wrongdoer received an undue benefit from the will or trust.

If these three facts are established, the burden then shifts to the alleged wrongdoer to prove a lack of undue influence. This can be a difficult task for the alleged wrongdoer and can often lead to success for the contestants. 

A presumption of undue influence also arises when a gift in a trust or will is left for a “prohibited transferee.” Any transfer to a prohibited transferee is assumed to be the product of undue influence, unless proven otherwise. Prohibited transferees include:

• The person who drafted the instrument
• Persons who are related to, cohabitate with, or are employees of the drafter
• Care custodians of the transferor if the transferor is a dependent adult. 

It is important to note that there are some exceptions to the rules surrounding prohibited transferees. For example, a son or daughter may draft a will or trust without being subject to these rules. 

Proving undue influence can be challenging. Mere persuasion or a perceived inequitable result is not enough to prove undue influence. Further, people are free to distribute their estate as they please. Tying everything back to our Knives Out example, it may have been the case that the father truly wanted the family nurse to have everything because he believed she deserved it most, but I will not spoil the movie. I also want to note that I have omitted to discuss “slayer rules” and how they relate to our movie example. That discussion is reserved for a separate blog post. 

Undue influence requires the careful examination of numerous factors. Each case is unique and requires careful review of all of the relevant factors. Contact an experienced estate planning attorney if you need assistance navigating the complexities of undue influence.