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What Is a Probate Caveat and When Should You Use One?

· 18 min

Note: The following scenario is fictional and used for illustration.

Emma thought she had time to investigate. Her father died in March 2024, and his new wife Sarah immediately began probate proceedings on a will dated just two months before his death. Emma had never seen this will—it left Sarah the entire £680,000 estate, including the family home Emma's mother had lived in for 30 years before her death. Emma's father had early-stage dementia, and Emma suspected undue influence. By the time Emma learned about caveats, Sarah's solicitor had already submitted the probate application. Emma had days, not weeks, to act.

In 2024, there were 11,362 applications to enter probate caveats in England and Wales—a 56% increase from 2019. If you suspect a will is invalid or an executor is unfit, a probate caveat may buy you critical time—but only if you understand how to use it correctly and avoid potentially ruinous cost consequences.

Table of Contents

What Is a Probate Caveat?

A probate caveat is a written notice lodged at the probate registry to prevent a grant of probate or letters of administration from being issued.

Under Rule 44 of the Non-Contentious Probate Rules 1987, when you enter a caveat, any probate application is automatically flagged and halted for six months.

A caveat prevents any grant of representation—probate (if there's a will) or letters of administration (if intestate). It doesn't prevent investigating the estate.

Anyone over 18 with an address in England or Wales who believes they have an interest in the estate can enter a caveat. According to GOV.UK guidance, you don't need to prove your interest when entering—but you may need to justify it if challenged.

A caveat only works if entered before the grant is issued.

When Should You Enter a Probate Caveat?

Enter a caveat when you have genuine concerns about a will's validity or an executor's fitness to act. These aren't minor disagreements—they're substantial legal grounds.

Valid reasons include:

1. Lack of testamentary capacity: The deceased had dementia, mental illness, or cognitive impairment when signing the will. Under Banks v Goodfellow (1870), the testator must understand the nature of making a will, the extent of their property, and the claims of potential beneficiaries.

2. Undue influence or coercion: Someone pressured the deceased to change their will in that person's favor. This often involves new spouses, caregivers, or family members who had influence over the deceased in their final months.

3. Forgery or fraud: The signature doesn't match previous documents, witnesses don't recall signing, or the will mysteriously appeared after death with no prior discussion.

4. Improper execution: The will wasn't properly signed or witnessed under Section 9 of the Wills Act 1837. This includes missing signatures, witnesses who were beneficiaries, or the testator not signing in the witnesses' presence.

5. More recent will exists: You have evidence of a later will that hasn't been presented to the probate registry. The most recent valid will always takes precedence.

6. Executor unsuitable: The named executor has a conflict of interest, lacks mental capacity, has a criminal record involving dishonesty, or is acting improperly by concealing assets or favoring certain beneficiaries.

7. Dispute over who's entitled to apply: Multiple people claim the right to represent the estate under intestacy rules, and you believe the person applying isn't the correct priority applicant.

Timing is critical: A caveat only works if entered before the grant is issued. Once the probate registry seals the grant, entering a caveat serves no purpose. If you suspect problems with a probate application, act immediately.

Entering a caveat for a legitimate reason isn't a hostile act—it's a protective measure while you investigate genuine concerns.

When You Should NOT Use a Probate Caveat

Understanding when not to use a caveat is just as important as knowing when to use one. Using a caveat inappropriately can result in substantial cost orders against you.

Inheritance Act 1975 claims (MOST IMPORTANT):

A caveat is NOT appropriate if you're making a claim for reasonable financial provision under the Inheritance (Provision for Family and Dependants) Act 1975.

Here's why: Inheritance Act claims require the grant to be issued first. You have six months from the date of the grant to bring your claim. If you enter a caveat and prevent the grant from being issued, you're preventing your own claim from proceeding.

The correct tool for Inheritance Act claims is a standing search, which notifies you when the grant is issued so you can start your six-month limitation period.

Other inappropriate uses:

Buying time without legal basis: Entering a caveat just to delay distribution while you "think about it" or because you're unhappy with the will's terms is not legitimate. A caveat is for challenging validity or executor fitness, not for expressing general dissatisfaction.

Unfairness is not grounds: Thinking a will is "unfair" or "unjust" doesn't justify a caveat unless you can challenge its legal validity. You might be disappointed to receive less than expected, but disappointment alone isn't grounds for a caveat.

Tactical pressure: Using a caveat to force a settlement or extract payment from the estate without a genuine dispute is abuse of process. Courts take a dim view of caveats used as negotiating leverage.

After grant issued: Once probate has been granted, entering a caveat serves no purpose. The grant has already been sealed, and the caveat can't reverse it.

Cost consequences:

It's an abuse of process to enter or leave in place a caveat without legitimate reason, and courts can order you to pay legal costs for both parties.

In Elliott v Simmonds [2016] EWHC 732 (Ch), a caveator faced costs exceeding £100,000 after leaving a caveat in place despite evidence showing their claim had no merit. The court found she had acted unreasonably because she possessed all the evidence disproving her capacity challenge before the trial but chose not to withdraw the caveat.

The lesson: once evidence shows your claim is weak, continuing is dangerous. You should always seek legal advice before entering an appearance to understand the potential cost consequences.

How to Enter a Probate Caveat in England and Wales

Entering a probate caveat is straightforward, but you must follow the correct procedure.

Cost:

It costs £3 to enter a probate caveat in England and Wales.

Three methods to enter a caveat:

1. Online (fastest method)

Use the GOV.UK online caveat service. Online applications are processed within one working day.

2. By post

Download and complete Form PA8A, then send it to HMCTS Probate with a £3 cheque payable to "HM Courts and Tribunals Service."

3. Through legal professionals

Solicitors with a MyHMCTS account can apply through the professional probate and caveat service.

Information required:

When entering a caveat, you'll need to provide:

  • Your full name and address in England or Wales
  • The deceased's full name and date of death
  • A brief statement of your interest in the estate (e.g., "potential beneficiary under earlier will dated 2020" or "entitled on intestacy if disputed will found invalid")

You must have an address for service in England and Wales. This is where any warnings or legal documents will be sent, so make sure it's an address you check regularly.

What happens after entering:

Once the probate registry enters your caveat on their system, any probate application for that deceased person's estate is automatically flagged and halted. The applicant receives notification that a caveat has been entered and that they cannot proceed with the grant until the caveat is removed or expires.

Important advice:

Before entering a caveat, try to reach agreement with the person applying for probate. Consider legal advice—caveats can result in significant costs if used improperly.

How Long Does a Probate Caveat Last?

A caveat lasts six months from entry, as established in Rule 44 of the Non-Contentious Probate Rules 1987.

Extension:

Apply during the final month before expiry using Form PA8B. Cost: £3 per six-month extension. No limit on number of extensions unless someone issues a warning.

Automatic expiry:

If not extended or no warning received, the caveat ceases after six months and probate can proceed.

Permanent caveats:

If you enter an appearance after a warning, the caveat becomes permanent and doesn't need extending. It remains until removed by court order or mutual agreement.

Withdrawal:

You can withdraw anytime by notifying the registry. If a warning was issued, notify the person who issued it. Withdraw promptly when concerns are resolved to avoid cost orders.

What Happens When Someone Issues a Warning Against Your Caveat

A warning is a formal document issued by someone with an interest in the estate (usually the executor) requiring you to justify your caveat or remove it.

Under Rule 44(5) of the Non-Contentious Probate Rules 1987, the warning states the issuer's interest (e.g., "I am the executor") and demands you state any contrary interest.

The 14-day deadline:

You have exactly 14 days from service (including weekends and bank holidays) to respond. This period was extended from 8 days by The Non-Contentious Probate (Amendment) Rules 2018.

Three response options:

1. Do nothing: The caveat is removed after 14 days and probate proceeds.

2. Enter an appearance: If you have a contrary interest, file Form 5 within 14 days. This makes the caveat permanent.

3. Issue a summons for directions: If you don't have a contrary interest but believe the executor is unsuitable, request a summons from Leeds District Probate Registry.

Late response:

You may enter an appearance after 14 days only if the person who issued the warning hasn't filed their affidavit. Seek urgent legal advice if you've missed the deadline.

How to Respond to a Warning: Appearances vs. Summons

ENTERING AN APPEARANCE:

Use when you have a "contrary interest"—you'd benefit if the disputed will is invalid.

Examples: You're a beneficiary under an earlier will, or you'd inherit under intestacy rules if the current will is declared invalid.

Process: File Form 5 within 14 days. No fee.

Effect: The caveat becomes permanent. Only removable by court order or mutual agreement. You cannot withdraw unilaterally.

Cost warning: If a court finds you had no legitimate basis, you may pay legal costs for both parties—potentially £30,000 to £100,000+. Always seek legal advice before entering an appearance.

ISSUING A SUMMONS FOR DIRECTIONS:

Use when you don't have a contrary interest but object to the grant being issued to the person who issued the warning (e.g., executor has conflict of interest).

Process: Request summons from Leeds District Probate Registry, complete with signed statement, issue within 14 days.

Outcome: District Judge hearing decides who should be granted representation—may allow original applicant, appoint you, or appoint independent third party.

Comparison:

Response Type Contrary Interest? Makes Caveat Permanent? Cost Risk
Do Nothing No No (removed) None
Enter Appearance Yes (required) Yes High if baseless
Summons for Directions No No (judge decides) Medium

Can a Caveat Become Permanent?

Yes. A caveat becomes permanent when you enter an appearance after receiving a warning.

Under Rule 44 of the Non-Contentious Probate Rules 1987, a permanent caveat remains until removed by:

1. Mutual agreement: Both parties agree in writing (usually as part of settlement).

2. Court order: District Probate Registrar or Judge orders removal after hearing.

Practical implications:

While permanent, the estate is frozen:

  • No distributions to beneficiaries
  • Property cannot be sold
  • Executors cannot access estate bank accounts
  • Debts and expenses accumulate
  • Inheritance tax deadlines still apply (penalties and interest may accrue)

Removal by court:

Either party can issue a summons for removal. The court removes a caveat if satisfied it was entered without legitimate basis, concerns have been disproved, or the dispute is resolved.

Settlement:

Most permanent caveats are removed by negotiated agreement involving evidence disclosure, expert reports, mediation, and settlement terms. This typically costs £10,000-£50,000+ but avoids full court proceedings (£40,000-£80,000+).

The Risk of Costs Orders: When Caveats Backfire

Caveats cost £3 to enter, but improper use can result in devastating cost orders.

When costs become an issue:

Costs become material when you enter an appearance or issue a summons. Courts can order the losing party to pay legal costs for both sides—typically £30,000 to £100,000+ depending on complexity, evidence, expert witnesses, and trial length.

Key case: Elliott v Simmonds [2016] EWHC 732 (Ch):

A daughter challenged her father's £2 million estate will claiming lack of capacity. She possessed all disclosed evidence before trial showing no merit to her claim but maintained the caveat. The court pronounced the will valid and ordered her to pay costs—£65,000 immediately with total liability exceeding £100,000.

The lesson: Once evidence disproves your claim, continuing is dangerous.

Abuse of process:

Courts consider it abuse to:

  • Enter a caveat without genuine belief in merit
  • Use a caveat to buy time without legal basis
  • Enter a caveat for Inheritance Act claims (use standing search)
  • Maintain a caveat after evidence disproves concerns
  • Use a caveat to pressure settlement

When to seek legal advice:

  • Before entering an appearance (most critical—costs become real risk)
  • When considering entering a caveat (assess legitimate grounds)
  • Upon receiving a warning (14-day deadline)
  • If evidence disproves concerns (know when to withdraw)
  • Before extending beyond six months

Risk mitigation:

  1. Obtain legal advice before entering caveat
  2. Investigate promptly during initial six months
  3. Reassess viability if evidence doesn't support concerns
  4. Withdraw if basis disproved
  5. Never enter appearance without solicitor advice

Mediation:

Consider proposing mediation (£2,000-£8,000) instead of court proceedings (£40,000-£100,000+) to avoid litigation costs and stress.

Frequently Asked Questions

Q: How much does it cost to enter a probate caveat in the UK?

A: It costs £3 to enter a probate caveat in England and Wales. The caveat lasts for 6 months, and you can extend it for another 6 months by paying an additional £3. You can only apply for an extension in the last month before the caveat expires using form PA8B.

Q: How long does a probate caveat last?

A: A probate caveat is effective for 6 months from the date it's entered at the probate registry. You can extend it for additional 6-month periods by applying during the final month before expiry. If an appearance is entered after a warning is issued, the caveat becomes permanent and can only be removed by court order or mutual consent.

Q: What happens when someone issues a warning against my caveat?

A: When someone issues a warning against your caveat, you have exactly 14 days (including weekends and bank holidays) to respond. You can enter an appearance if you have a contrary interest in the estate, issue a summons for directions if you don't have a contrary interest, or let the caveat lapse. If you don't respond within 14 days, the caveat will be removed and probate can proceed.

Q: Can I enter a caveat if I'm making an Inheritance Act 1975 claim?

A: No, you should not enter a caveat if you're making a claim under the Inheritance (Provision for Family and Dependants) Act 1975. Inheritance Act claims require the grant to be issued first, as you have 6 months from the grant date to bring your claim. Using a caveat in this context is considered an abuse of process and can result in costs orders against you. Use a standing search instead.

Q: What does 'entering an appearance' mean in probate caveats?

A: Entering an appearance means filing Form 5 at the probate registry within 14 days of receiving a warning to keep your caveat in place. You must have a 'contrary interest' in the estate, such as believing the will is invalid and you'd be entitled under intestacy or an earlier will. Once an appearance is entered, the caveat becomes permanent and can only be removed by court order or agreement.

Q: Can I be ordered to pay costs for entering a caveat?

A: Yes, if you enter or maintain a caveat without legitimate reason, courts can order you to pay legal costs for both parties. In Elliott v Simmonds [2016], a caveator faced costs exceeding £100,000 after leaving a caveat in place despite evidence showing their claim had no merit. You should always seek legal advice before entering an appearance to understand potential cost consequences.

Q: How do I remove someone else's caveat that's blocking probate?

A: To remove someone else's caveat, issue a warning using the prescribed form stating your interest in the estate. The warning must be served on the caveator, who then has 14 days to respond. If they don't enter an appearance or issue a summons within 14 days, the caveat is automatically removed and you can proceed with the probate application.

Understanding Probate Caveats: Using Them Wisely

The 56% increase in caveat applications from 2019 to 2024 reflects growing family disputes over estates.

Key principles:

  • Enter a caveat only for genuine concerns about will validity or executor fitness—unfairness alone is not grounds
  • Seek legal advice before entering a caveat, and definitely before entering an appearance
  • Act quickly: 14 days to respond to warnings, and caveats only work before grant issued
  • Don't use for Inheritance Act 1975 claims—use standing search instead
  • Withdraw if evidence disproves concerns—maintaining baseless caveat can cost £100,000+

Many caveat disputes stem from unclear wills, questionable execution circumstances, and doubts about testamentary capacity. The best protection for your family is a clearly drafted, properly executed will that leaves no doubt about your capacity, intentions, or validity of your wishes.

Need Help with Your Will?

Probate caveats exist because wills are unclear, improperly executed, or created under suspicious circumstances. The surge in caveat applications—56% increase since 2019—reflects families disputing estates because they doubt the deceased's capacity, suspect undue influence, or believe the will is fraudulent. The best protection for your own family is a clearly drafted, properly executed will that leaves no room for doubt about your capacity, intentions, or the validity of your wishes.

Create your will with confidence using WUHLD's guided platform. For just £99.99, you'll get your complete will (legally binding when properly executed and witnessed) plus three expert guides. Preview your will free before paying anything—no credit card required.

Legal Disclaimer: This article provides general information only and does not constitute legal or financial advice. WUHLD is not a law firm and does not provide legal advice. Laws and guidance change and their application depends on your circumstances. For advice about your situation, consult a qualified solicitor or regulated professional. Unless stated otherwise, information relates to England and Wales.

Legal Disclaimer:

This article provides general information only and does not constitute legal or financial advice. WUHLD is not a law firm and does not provide legal advice. Laws and guidance change and their application depends on your circumstances. For advice about your situation, consult a qualified solicitor or regulated professional. Unless stated otherwise, information relates to England and Wales.

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