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How to Block the Administration of an Estate: Caveats, Warnings & Appearances

In contentious probate cases, where a dispute arises, time is often critical. If you wish to halt or prevent the administration of an Estate, you can lodge a Caveat. The Caveat will provide you with a duration of 6 months to conduct the necessary investigations in relation to the Estate and to address any concerns which you may have regarding the same.

What is a Caveat?

A Caveat is an application which is made to the Probate Registry and is lodged against a Deceased individual’s Estate to prevent a Grant of Probate or Letters of Administration from being issued. A Caveat halts the administration process, preventing the Personal Representatives of the Estate from distributing the Estate in accordance with the Will or pursuant to the rules of intestacy.

Once a Caveat is issued, it lasts for the duration of six months, but can be renewed before it expires. Whilst a Caveat is in place, the probate process cannot continue.

When can a Caveat be used?

There are only two reasons why a Caveat should be lodged. The first being that an individual wishes to challenge the validity of the Will, for example, on the basis of testamentary capacity or undue influence.

The second reason is when an individual does not wish to challenge the validity of the Will, but wishes to challenge the Personal Representatives appointed to deal with the administration. For example, if they believe that the appointed Executor is not suitable for the role and is not fit to correctly administer the Estate.

Who can enter a Caveat?

1. Anyone with an interest in the Estate (concerns regarding the validity of the Will and/or concerns regarding the appointed Personal Representatives); and

2. Anyone who is 18 years of age.

How to remove a Caveat?

1. A Caveat can be voluntarily removed by the Caveator (individual who lodged the Caveat against the Estate), this can only be done before an Appearance is entered;

2. By way of Agreement between the Caveator and the Personal Representatives of the Estate, this is once an Appearance has been entered;

3. By way of a Sealed Court Order, following the issue of litigation proceedings; and

4. If a Caveator does not enter into an Appearance, within the appropriate timeframe.

What is a Warning?

If the Personal Representatives of an Estate believe that a Caveat has been entered into without good reason or is being misused to delay probate, they can issue a Warning. This is also known as ‘Warning off’. The Warning is lodged with the Probate Registry to be sealed and served on the Caveator.

The Warning requests that the Caveator either withdraw the Caveat in 14 days, or provide detailed reasoning as to why they believe the Caveat should not be removed (in the form of a Appearance).

In the event the Caveator fails to provide a response within 14 days, the Personal Representatives can notify the Probate Registry of the same and can request that they proceed with issuing the Grant of Probate or the Letters of Administration.

Entering an Appearance

An Appearance is a formal response to a Warning, detailing the Caveator’s conflict in relation to the Estate. For example, the Caveator may be disputing the validity of the Will, on the grounds of lack of due execution.

What happens once an Appearance has been entered into?

Once an Appearance has been entered into and has been contested, this essentially makes the Caveat permanent. Meaning that the only way a Caveat can be removed thereafter would be by way of agreement between the Personal Representatives of the Estate and the Caveator, or by way of a Court Order following the issue of litigation proceedings.

How can we help?

At Premier Solicitors, we provide our clients with expert tailored advice regarding probate disputes.
If you are thinking of entering a Caveat, or if you have received a Warning, it is important to seek legal advice straight away.

If you have any further questions regarding Caveats, Warnings and/or Appearances or require assistance in respect of a probate matter, please do not hesitate to contact us contentiousprobate@premiersolicitors.co.uk.

Nina Chahal - Solicitor, Premier Solicitors

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