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What Is A Caveat?

Applying for probate can be a Stressfull and Exhausting task, but our specialists are here to make it feel simple. In this guide, you’ll find everything you need to know about going through probate and dealing with someone’s estate.

What Is A Caveat?

A caveat (also known as a stop) is a written notice that a person who wishes to prevent a grant from being issued may enter into any registry or sub-registry.
References:
Non-Contentious Probate Rules 1987,
SI 1987/2024, r 44
Senior Courts Act 1981, ss 108
and 117

Caveat

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CONTENTS
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    Purpose of a Caveat

    Generally, a caveat is used if a person wishes to prevent a grant, because they dispute the validity of a Will or who should administer the estate.
    By lodging a caveat, the caveator will be notified of an application for a grant and given the opportunity to object to the issue of a grant.
    Once a caveat has been entered, the onus moves to those seeking to prove the Will to take action to remove the caveat, as it prevents a grant from being issued until the caveat has been removed by:
    •the non-appearance of the caveator to the warning
    •the withdrawal of the caveat by the caveator
    •an order of a district judge, registrar or High Court judge
    •the expiration of six months from the date of entry or effective extension of the caveat

    Reasons for entering a caveat

    A caveat may be entered:
    •to give the caveator time to make enquiries and obtain information to decide if there are grounds for opposing the grant
    •to give any person interested in the estate the opportunity to bring a question in respect of the grant before the court on summons
    •as a preliminary step to a probate claim or to the issuing of a citation. For further information on citations, see practice Note:
    Probate actions

    citations
    A caveat is not effective to prevent the sealing of a grant on the day it is entered and a caveat will not stop an administrator pending suit being appointed or a grant
    ad colligenda bona
    being issued.
    References:
    NCPR 1987,
    SI 1987/2024, r 44(1)
    SCA 1981, s 117
    If a person with no real interest in the estate issues a caveat, they will be unable to enter an appearance (see below), as they will be unable to state a contrary interest to the person warning. This could result in wasted costs order being made against the caveator.
    It is counterproductive for a potential claimant under the
    Inheritance (Provision for Family and Dependants) Act 1975
    (
    I(PFD)A1975
    ) to enter a caveat. A claim under
    I(PFD)A 1975
    is against the deceased’s estate and not a claim for an interest in the state. The correct procedure is to make a standing search, which is renewable every six months.
    References:
    NCPR 1987,
    SI 1987/2024, r 43
    The person who enters the standing search will receive an office copy of a grant that was issued not more than 12 months before the entry of the standing search or which issues within six months of the entry of the standing search.

    Entry of caveat Procedure

    A caveat can be entered electronically, in person, or by post at any registry or sub-registry by the completion of Form PA8A. The online application generally works well. Include all alternative or alias names for the deceased to ensure that a grant does not issue in any of these names. The fee is presently £3 and an official receipt will be supplied. If the caveat is entered electronically the fee must also be paid electronically.
    References:
    NCPR 1987,
    SI 1987/2024, r 44(1)

    (2), (4)
    Caveat application online
    NCPAR 2018,
    SI 2018/1137, r 14
    SCA 1981, s 108(1)

    (2)
    The registry will immediately send a copy of the caveat to the Principal Registry and notify the Leeds District Probate Registry(the nominated registry) where an index of all caveats is maintained.
    The caveat will remain in force for six months from the date it is entered unless it is extended.
    References:
    NCPR 1987,
    SI 1987/2024, r 44(3)
    NCPAR 2018,
    SI 2018/1137, r 14
    Form PA8A (practitioner’s version) can be used to extend the caveat in the month before the six-month period expires or alternatively it can be extended electronically. The fee for extending a caveat is presently £3, which must be paid electronically if the caveat is extended electronically. The caveat can keep being extended, however, the appropriate registry will not warn of the imminent expiry of a caveat.
    In the probate department of the Principal Registry or in any district registry, a person may request a search for a caveat in the state of a specified person. The registry will check the computer index and inform the applicant of all effective caveats (if any).
    References:
    SCA 1981, s 108
    Practice Direction (probate: caveat)
    [1988] 3 All ER 544
    Before a grant is sealed, a search is made in the index of caveats. If a caveat is found, the application will be stayed and the applicant for the grant notified. When an application for a grant is stopped by a caveat, the papers, including any testamentary documents are generally retained by the registry.
    References:
    SCA 1981, s 108
    Practice Direction (probate: caveat)
    [1988] 3 All ER 544

    Warning

    If the person(s) propounding the Will believe there is no reason for preventing a grant, they may enter a warning to the caveat.
    To issue a warning, complete Form 4 and submit it to the Leeds District Probate Registry.
    References:
    NCPR 1987,
    SI 1987/2024, r 44(5)
    NCPAR 2018,
    SI 2018/1137, r 14
    NCPR 1987,
    SI 1987/2024, Sch 1
    There is no fee is payable for warning a caveat.
    A copy of the warning must be served on the caveator either personally, by post, or by document exchange.
    The deemed date of service if the warning is served by first class post or document exchange is the second day after posting(or collection for document exchange) provided that day is a business day or, if not, the next business day.
    References:
    CPR 6.26
    The warning is a notice to the caveator that they have 14 days including the day of service to:
    •lodge an appearance setting out their contrary interest in the estate, or
    •if they have no contrary interest but object to the sealing of a grant, to issue and serve a summons for directions (returnable before a district judge of the Principal Registry or a district probate registrar)
    The caveator also has the option to:
    •do nothing (non-appearance), or

    •withdraw the caveat
    A contrary interest in the estate could be the interest of a beneficiary under an earlier Will that it is argued is the last valid Will due to a defect in the later Will.
    If the caveator has no contrary interest but wants to oppose the sealing of the grant, perhaps because they are entitled to take that grant in the same degree and do not want the grant being issued to the applicant, they can issue a summons for directions within the 14-day warning-off period (or thereafter if the person who issued the warning has not filed an affidavit/witness statement as to service of the warning).
    References:
    NCPR 1987,
    SI 1987/2024, r 44(6)
    NCPAR 2018,
    SI 2018/1137, r 14
    Should the applicant for the grant feel that there is no point in warning off the caveat, they also have the option of commencing a probate action immediately.
    If the caveator does nothing within the period, the person who issued the warning can file an affidavit/witness statement as to service of the warning at the Leeds District Probate Registry (see below). The caveat will then cease and the application for a grant may proceed.

    Non-appearance to Warning

    If the caveator does nothing, ie no appearance is entered nor any summons issued by the caveator within the 14 daysallowed, the person warning the caveat should file an affidavit/witness statement at the Leeds District Probate Registry thatshows that the warning was duly served on the caveator.
    References:
    NCPR 1987,
    SI 1987/2024, r 44(12)
    NCPAR 2018,
    SI 2018/1137, r 14
    A search for an appearance and for the issue of a summons for directions is then made by the Leeds District ProbateRegistry.
    If no appearance is found and the time for an appearance has expired, and if no summons for directions is pending, the caveat will be removed. Where the application for a grant has already been lodged, it may then proceed in the normal way.

    Withdrawal of Caveat

    A caveator may withdraw their caveat at any time before they enter an appearance to a warning of it; but if it has beenwarned, they must give notice of withdrawal forthwith to the person who warned it. A caveator who has not entered anappearance to a warning may withdraw their caveat, notwithstanding the existence of proceedings by way of citation, whichexpressly preserves the right to withdraw the caveat.
    References:
    NCPR 1987,
    SI 1987/2024, rr 44(11)
    and
    46(3)
    The caveat must be withdrawn at the registry where it was entered and, on withdrawal of the caveat, the caveator shouldproduce the original receipt given when the caveat was entered. At the Principal Registry, notice of withdrawal of a caveatmust be given to the probate department. No fee is payable on the withdrawal of a caveat.
    Upon the withdrawal of a caveat which is stopping the issue of a grant, notice of withdrawal will be given to the applicant forthe grant by the registry at which the grant is sought, with a request whether the application for the grant should proceed.

    Appearance

    The appearance, using Form 5, lodged by the caveator must indicate their contrary interest or the appearance may be rejected.
    References:
    NCPR 1987,
    SI 1987/2024, Sch 1
    NCPAR 2018,
    SI 2018/1137, r 14
    While there is a 14-day rule, this does not prevent the caveator from lodging the appearance later than this if an affidavit/witness statement as to service has not been filed. However, if an affidavit/witness statement as to service has been filed in the interim, the caveator will have lost their chance. If an affidavit/witness statement has been filed, then the leave of a district judge or registrar is necessary before the caveator may enter a further caveat.
    If the caveator enters an appearance to the warning, no grant can issue without an order of the court.
    A caveat in respect of which an appearance to a warning has been entered remains in force until proceedings are commenced by a probate claim, unless otherwise directed by an order made on summons by a district judge of the Principal Registry or by a registrar.

    References:
    NCPR 1987,
    SI 1987/2024, r 44(13)
    To enter an appearance, a caveator must submit Form 5 (electronically, by post, document exchange or in person) to theLeeds District Probate Registry. No fee is payable on the entry of an appearance.
    References:
    NCPR 1987,
    SI 1987/2024, r 44(10)
    NCPR 1987,
    SI 1987/2024, Sch 1
    A copy of the appearance is immediately served on the person who lodged the warning. At this stage, it may be that anagreement can then be negotiated between the parties. If not, usually one of them will issue a probate claim.
    References:
    NCPR 1987,
    SI 1987/2024, r 44(10)
    The commencement of a probate claim operates to prevent the sealing of a grant, except a grant of administration pendingdetermination of the claim, until application for a grant is made by the person shown to be entitled to it by the decision of thecourt in the probate claim.
    The entry of an appearance is not necessarily an inevitable precursor to proceedings. It is possible for the person who warnedoff the caveat to apply to the court for an order removing the caveat unless a probate action is commenced within a specifiedtime. Therefore, the use of a caveat as a bargaining chip can be eroded, although it is likely that the caveat would only beremoved if there is no obvious contrary interest or substantial and unconscionable delay. Such a course may be of particularassistance to a professional executor with no interest in the estate other than its distribution.
    References:
    NCPR 1987,
    SI 1987/2024, r 44(13)
    If the parties come to a compromise agreement, a summons for discontinuance of the caveat should be issued for an order tobe made by a registrar or district judge.
    References:
    NCPR 1987,
    SI 1987/2024, r 44(13)

    Summons for Directions

    A caveator who has no interest contrary to that of the person warning the caveat but wishes to object to the issue of a grant tothat person, may within 14 days of service of the warning upon them (inclusive of the day of service), or at any time thereafterbefore the filing of an affidavit/witness statement showing that the warning was duly served, issue and serve a summons fordirections returnable before a district judge of the Principal Registry, or a district probate registrar.
    References:
    NCPR 1987,
    SI 1987/2024, r 44(6)
    NCPAR 2018,
    SI 2018/1137, r 14
    The application made under a summons can include an order under
    section 116
    of the Senior Courts Act 1981 to pass overthe person entitled to the grant.
    Generally, the directions hearing will be dealt with by affidavit/witness statement evidence by a district judge at the ProbateRegistry or by a registrar at the district registry where the grant is pending.
    At that hearing, it can be ordered that the caveat cease if there is insufficient evidence to permit its continuance, in which casethe grant application will continue.

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