The use of caveats in contentious probate disputes

In contentious probate matters, a caveat is a notice which is lodged at the probate registry, to prevent a grant of Probate or grant of letters of administration from being obtained in a person’s estate. A caveat is only effective in preventing the grant, if it has been lodged before the grant is issued.

When can a caveat be entered?

A caveat should only be used when there is a concern about the validity of a Will, or there is a concern with the person who has applied for the grant. When a caveat has been entered, the executors or administrator will be prevented from administering the estate while you make investigations.  

Once the caveat is entered, the person with a concern can obtain legal advice and investigate the matter. The investigations may include obtaining medical records if there was a concern about the testator’s capacity, or requesting the attendance notes from the Will file to see how the Will was executed if there are concerns with the execution of the Will.

Can a caveat be used for inheritance disputes?

A caveat should not be used when someone wants to bring a claim for financial provision under the Inheritance Act 1975. An Inheritance Act claim should be made within 6 months of obtaining the Grant of Probate.

How is a caveat entered?

To enter a caveat, an application needs to be made to Leeds District Probate Registry. This application can be done online via the Government website, or a hard copy form can be completed and sent to the probate registry, but you must be over 18 and live in England or Wales to enter a caveat.

There is a fee of £3 to enter a caveat, and an additional £3 each time you renew it.

Who is notified that a caveat has been entered?

When a caveat is entered, the person applying for the Grant will be informed of the caveat when they make their application. No one is automatically notified once it is entered.

How long does a caveat last for?

A caveat will last for six months once it has been entered. You can renew the caveat and this can be done from one month before the expiry date.  

A caveat can be removed automatically on the date of expiry. At this time, any pending application or new application by the executors to obtain the grant of probate, will be processed.

A caveat can also be removed by the person who entered it, during the six months, by sending a letter to Leeds District Probate Registry requesting that the caveat be removed.

What happens if the other party does not remove the caveat?

If the person who has entered the caveat is refusing to remove it, the person applying for the grant can issue a warning if they do not think the caveat should remain in place. A warning is a formal document which will be sent to the person who entered the caveat. A warning should be sent to Leeds district Probate registry first and they will seal and return the document. It can then be served on the person who entered the caveat. There is no fee to issue a warning.

The person who entered the caveat then must make a choice. They can either remove the caveat, or they can enter an appearance which will keep the caveat in place. An appearance is another formal document, and this must be completed within 14 days of receiving the warning. There is no fee to enter an appearance.

If an appearance is entered, the caveat becomes permanent. Only the consent of both parties or an order from the court can remove the caveat at this stage.

If the person who entered the caveat does not enter an appearance, the person who issued the warning can prepare an affidavit of service to go to the Probate Registry and the caveat can be removed.

How Pinney Talfourd can help?

If you have concerns regarding the validity of a Will, you should obtain legal advice form a contentious probate solicitor to discuss your options before entering a caveat straight away.

To speak with one of our contentious probate solicitors, please call 01708 229 444 (Upminster Office) or 01277 211 755 (Brentwood Office).