A Guide to Caveats in Probate

If you are dealing with the administration of a deceased person’s estate, you may have heard about entering a caveat to prevent a grant issuing in an estate. This may be, for example, to stop a grant of probate or letters of administration from being issued.

This guide explains:

• What a caveat is in probate
• When and why to use one
• The application process
• How long a caveat lasts
• Challenging and removing a caveat
• Common mistakes and improper use

What Is a Caveat?

A caveat is a notice to stop a specific action.

In estate administration, a caveat is used specifically to prevent the issue of a grant of representation.

• Grant of probate – issued to the executor where the deceased died with a will (testate).
• Grant of letters of administration – issued to the administrator where the deceased died without a will (intestate).

Both executors and administrators are referred to as personal representatives.

If a caveat is filed, the probate registry cannot process an application for a grant until it is removed.

Caveats are most often used when there is a challenge to the validity of a will. Where there is no will, their use is more limited because the rules of intestacy determine who benefits from the estate.

When to Use a Caveat

A caveat is commonly used when the caveator (the person entering the caveat) has concerns about the validity of a will.

It allows time to investigate whether there are grounds to challenge the will and to inform the personal representatives why a grant should not be issued.

Typical investigations might include:

• Obtaining information from the solicitors who prepared the will
• Taking witness statements from those who witnessed the will
• Reviewing medical records or expert reports on capacity
• Gathering other relevant evidence

A caveat may also be used if there is a dispute about who should apply for the grant, or concerns about whether the personal representative is suitable, and their removal or replacement is being considered.

Content of a Caveat

A caveat issued by the probate registry will include:

• Application reference and caveat number
• Name of the deceased
• Name of the caveator or their solicitor
• Date of entry and expiry
• Guidance on what happens next

Who Can Enter a Caveat?

The caveator must:

• Be aged 18 or over
• Live in England or Wales

This is often someone with an interest in the estate, such as a potential beneficiary or someone who might be affected by the grant of representation.

If you live outside of England or Wales and wish to place a caveat, you can still instruct a solicitor based in England or Wales to do so on your behalf.

How to Apply for a Caveat

The caveator must be aged 18 or over and live in England or Wales.

Applications can be made:

• Online: Apply for a caveat
• By post: Complete form PA8A and send it to the local district probate registry.

Information required:

• Full name of the deceased
• Date of death
• Last known address

Fee: £3 (as at current rates)

Caveat applications are processed by:
Leeds District Probate Registry, HMCTS, York House, 31 York Place, Leeds, LS1 2BA
Telephone: 0300 3030 648 | Email: leedsdprenquiries@justice.gov.uk

More information: GOV.UK – Apply for a caveat

Challenging a Caveat

A personal representative or beneficiary may challenge a caveat if they believe it should no longer remain in place.

Warning Off

A formal warning may be issued via the probate registry, requiring the caveator to:

1. Enter an appearance (formal statement of interest in the estate), or;
2. Issue and serve a summons for directions if there is no contrary interest but they wish to show cause.

The caveator has 14 days to respond. If no appearance is entered, the person issuing the warning can file an affidavit of service to have the caveat removed.

Entering an Appearance

If an appearance is entered, the caveat becomes permanent and can only be removed by consent of both parties or a court order.

Proper Use of Caveats and Warnings

It is an abuse of court process to enter or leave a caveat in place without a legitimate reason.

Similarly, serving a warning before the caveator has had a reasonable opportunity to investigate concerns may also be considered improper.

Improper Use: Inheritance (Provision for Family and Dependants) Act 1975

A 1975 Act claim assumes the will is valid, so it is not usually appropriate to enter a caveat for such claims.

Some do so to extend the six-month period for bringing a claim after a grant is issued, but this is not proper use.

Instead, an application for a standing search can be made. This allows notification when a grant is issued and provides a copy of the grant and will, if applicable.

Seeking Legal Support for Caveats and Challenging a Will

Our specialist and dedicated contentious probate team has the expertise to support you whatever the situation around challenging a will.

Get in touch via our contact form to speak with an expert.

FAQs

How Long Does a Caveat Last?

A caveat lasts for 6 months from entry.

Can a Caveat be Renewed?

It can be renewed every 6 months in the month before expiry, with no limit on the number of renewals.

Renewal fee: £3 (form PA8B).

Can a Caveat be Removed?

Yes. If not renewed, the caveat expires automatically and the probate process can proceed.

However, to remove a caveat before expiry, the caveator must send a written request to the probate registry, enclosing the original acknowledgment issued when the caveat was entered.