A caveat is a written notice given by someone (the caveator) to show that a grant of probate should not be issued in a deceased’s person’s estate without the caveator being notified.

A caveat acts as an alert to all the probate registries not to issue a grant until the caveat is removed. This allows the caveator to gather evidence to support their position and, if necessary, obtain legal advice.

Once the caveat has been entered, any application for probate will be rejected and the proposed executor will be notified of the existence of the caveat.

A person may enter a caveat if they:

• Have an interest in an estate or an interest in the estate that is different to the person who is applying for the grant
• Are 18 years or over
• Are the sole caveator- It is not possible to enter a caveat jointly

A person may enter a caveat where they:

• Doubt the validity of a deceased’s will
• Believe that there may be a valid will but others consider they died intestate
• Object to a grant being issuing to a particular person, e.g. because the caveator doubts their ability to administer the estate properly
• Wish to begin a probate claim
• Wish to begin citation proceedings

If a person intends to bring a claim under the Inheritance (Provision for Family and Dependants) Act 1975, it is usually inappropriate to enter a caveat. In that case, specialist advice should be taken as quickly as possible.

A caveat can be entered on your behalf by a legal professional, alternatively an application can be made online. The fee for entering a caveat is £3. To apply for a caveat, the standard form launched by the HM Courts & Tribunals Service should be completed, or alternatively you can apply for a caveat online on the GOV.UK website. The caveator or their legal advisor, must lodge the completed form at a probate registry either in person, by post or by email. The probate registry should acknowledge receipt of the caveat and keep a record on Probateman, a computer system that links all the registries

A caveat has effect for six months from the date of entry. If the caveat is not renewed, it will expire automatically.

However, a caveat ceases to have effect where any of the following apply:

• The caveator withdraws the caveat
• A district judge or registrar makes an order to remove the caveat
• A probate claim begins in the high court

A caveat may be renewed every six months until it is removed. There is a fee of £3 upon each renewal.

If someone disagrees with the placing of a caveat, they may challenge the caveator by issuing a warning to them. Once the warning has been served the caveator has the following options:

• Entry of an appearance
• Withdrawal of the caveat
• To issue and serve a summons for directions
• Do nothing

After the caveator has been warned, they may decide to withdraw the caveat rather than enter an appearance. If the caveat was entered using a paper application, the caveator must:

• Withdraw the caveat at the registry where it was entered
• Notify the person who issued the warning that they are withdrawing the caveat

The Leeds District Probate Registry deals with the withdrawal of a caveat that was entered online.

Under rule 44(5) of the NCPR 1987, any person claiming an interest in the estate may issue a warning, using a prescribed form.

The person issuing a warning must state their interest in the estate, i.e. that they are the proposed executor of the estate or if there is no will, they are the person entitled to a grant in accordance with the intestacy rules.

The issued warning is then served on the caveator and the caveator has 14 days to lodge their response at the Probate Registry by entering an appearance.

If an appearance is not entered, when an affidavit of service of the warning is lodged with the Probate Registry the caveat will be removed.

If an appearance is entered, then the caveat will become permeant.​​​​​​

Entering an appearance is one of the options available to a caveator when they have been challenged by being served with a warning. This is a written response which details the nature of the interest that conflicts with the person who issued the warning.

To enter an appearance, the caveator must use the prescribed form, Form 5 in Schedule 1 to the NCPR 1987, to set out the nature of their interest that conflicts with the interest of the person who issued the warning.

If the appearance does not indicate the caveator’s interest in the estate:

• The registry may refuse the appearance, or
• The person warning the caveator may apply to have it struck out

Form 5 must be filed within 14 days from the date the warning was served. If the caveator does not meet this deadline, they may still enter an appearance, but only if the person who issued the warning has not filed an affidavit or a witness statement supported by a statement of truth.

Once an appearance has been entered a grant may not be issued unless ordered by a district judge or registrar. The caveat remains in place until a probate action is commenced or all the parties are able to cooperate and agree to the discontinuance of the caveat.

• Issuing a probate claim
  
  After entering an appearance, the parties may decide to take the matter to court and begin contentious probate action. A probate claim is issued under Part 57 CPR 1998. This action will usually arise where the parties cannot agree.
• Discontinuing the caveat
  
  A decision to discontinue the caveat instead of proceeding with a probate action may arise in the following circumstances:

1. The interest of the caveator does not conflict with the interest of the person who issued the warning or the caveator’s claim has no substance. The person who issued the warning may issue a summons in the Principal Registry for a district judge to order that the caveat is discontinued.
2. The parties agree to discontinue the caveat. This is done by summons to a registrar for an order for discontinuance.
3. A person has agreed to obtain a grant after being cited to do so. The person who has obeyed the citation may apply for the discontinuance of the caveat.

Once an appearance has been entered the issue of costs becomes relevant. The caveat becomes permeant and can only be removed by way of court action.

Once proceedings have been issued the court also has the power to decide who should meet the legal costs of these proceedings. The general position is that the unsuccessful party pays the successful party’s costs which can result in the parties being personally liable for these costs.

The court does have complete discretion on the issue of legal costs and can order the successful party to be responsible for legal costs if it considers that the party has acted unreasonably.

The parties should also consider that even if costs are taken from the estate, which is one option open to the Court in certain circumstances, this will reduce the amount available for settlement and distribution to the beneficiaries.  It is therefore always best to consider the impact of costs from the start and to take specialist legal advice on your position.