A Caveat Has Been Entered — What Should an Executor Do?
Before responding, establish why the caveat was entered, the caveator’s interest and the available evidence. This guide explains what executors can do before deciding whether a warning is appropriate.
View the £480 review and Action Plan → (£480 including VAT).
We principally advise executors and administrators seeking to resolve a caveat, and support their professional advisers. We do not ordinarily act for caveators entering or defending a caveat. All instructions are subject to suitability and conflict checks.
The caveator has 14 days, starting with the day the warning was served, including weekends and bank holidays to enter an Appearance or take the alternative procedural step available under the Rules.
Read the Caveat Warning response guide →What Should an Executor Do Immediately?
How to check whether a probate caveat has been entered
Review any Probate Registry notification. If the position is unclear, ask the Registry to confirm the caveat and Grant status, giving the deceased’s full name, date of death and any probate application reference. Use the current GOV.UK contact guidance.
Record when the caveat was entered, the caveator’s identity and address for service, and any related claim or correspondence. An ordinary online will or Grant search does not establish that no caveat exists.
A caveat initially lasts six months and may be extended for further six-month periods. It must be entered before the Grant issues.
Protect the estate while the Grant is blocked
Maintain suitable insurance, secure any unoccupied property, preserve financial and testamentary records, and record continuing costs and decisions. Continue proportionate protective steps while avoiding transactions that require a Grant you do not yet hold.
Watch Justin: Before Issuing a Caveat Warning
Justin Patten explains why understanding the issue and choosing the right time matter before issuing a caveat warning.
Open the video directly · Approximately 1 minute 40 seconds
Read the video transcript
There are two things to pay attention to of caveats. And they focus on the content of the issues you're dealing with and also the timing of how you deal with the caveat. Biggest danger that you can have is that you can immediately issue a warning at the first sight of a caveat or you issue a warning too soon. The point about this is that there is a time to issue your warning. The key thing that you need to do is to have a handle on your case. And you need to understand what the issues are. Generally what I try and do when I deal with a caveat is to work out what is required to actually get rid of this caveat. Another aspect about caveats, which is misunderstood, is that once an appearance is made, it doesn't mean that it's permanent. What it means is that in order to get rid of that caveat, it has to either have a registry order or it will ultimately have to go to the high court therefore, with dealing with the caveat, provided that you understand the issues, provided you understand what is required to get rid of the caveat and that you've dealt with those issues before issuing your warning. You should be in a good position to eliminate the caveat.
Why Has the Caveat Been Entered?
The appropriate response depends on the caveator’s legal interest, stated concern, and available evidence.
Testamentary & Entitlement Issues
Common issues include:
- Whether the will was properly executed;
- Whether the deceased had testamentary capacity;
- Whether the deceased knew and approved the contents of the will;
- Allegations of undue influence or fraud;
- The existence of another will;
- Competing entitlement to take the Grant; or
- Uncertainty about who is entitled to administer an intestate estate.
If a beneficiary alleges that the will itself is invalid, read what an executor should do when a will is challenged.
Concerns That May Require a Different Procedure
Other concerns may not, by themselves, correspond with the purpose of a probate caveat:
- A financial provision claim under the Inheritance (Provision for Family and Dependants) Act 1975 alone: a caveat is not the appropriate procedure for pursuing that claim. See the 1975 Act guide →
- A request for estate information;
- Disagreement about a future distribution;
- Dissatisfaction with the terms of an otherwise accepted will; or
- A general family dispute unrelated to testamentary validity or entitlement.
These concerns may instead require information, negotiation, a standstill agreement or separate proceedings.
Mixed cases require particular care. A person may raise a financial provision claim while also identifying a separate concern about the validity of the will.
Should the Executor Contact the Caveator?
Focused correspondence may clarify the caveator’s interest, grounds and evidence, identify information that could address the concern, or explore agreed withdrawal and other protective arrangements.
Keep the approach neutral and proportionate. The absence of evidence at entry does not itself establish that the caveat is invalid. Consider whether substantive statements made personally could compromise the executor’s position in a later dispute.
Where the concern is how the will was prepared or signed, a focused enquiry to the drafter may help clarify the evidence. See our Larke v Nugus requests and responses guide. An outstanding enquiry does not suspend a caveat warning or other procedural deadline.
What Is a Warning?
A warning is a formal Registry procedure requiring the caveator to identify any contrary interest or take the alternative procedural step available. The person giving it must state their own interest, obtain the issued warning and serve it properly. Current government guidance states that service cannot be by email.
Pre-Warning Checklist
A warning can lead to an Appearance or summons and further legal costs. Before deciding to issue one, check:
- Interest: your entitlement to seek the Grant and the interest claimed by the caveator.
- Issue and evidence: the precise probate concern, documented facts, disputed assertions and missing records.
- Possible agreement: whether focused information, correspondence or agreed protections could address the concern.
- Procedure: how service will be proved and what you would do if an Appearance or summons follows.
- Proportionality: the value at stake, continuing estate costs, likely legal expenditure and any need for litigation advice.
The Financial Decision
Distinguish costs caused by delay—such as mortgage interest, insurance and property upkeep—from legal fees and a possible order to pay another party’s costs. Costs orders are discretionary; payment from the estate should not be assumed.
Compare monthly carrying costs and likely legal expenditure with the value genuinely in dispute. Consider whether negotiation or mediation could resolve it proportionately. Read the guide to caveat costs and personal liability →
When Should an Executor Obtain Legal Advice?
Seek prompt advice about formal papers or deadlines, uncertain entitlement, allegations affecting your own position, or a dispute likely to require contested proceedings. Significant property or tax risks may also require urgent attention.
Case example: a caveat following a disputed codicil
The situation. Justin advised executors facing a caveat and pressure from beneficiaries who were unhappy with a codicil that reduced their shares of the estate.
The advice. We identified the issue blocking progress, helped the executors resist that pressure and set out their position.
The outcome. The caveat was subsequently withdrawn.
An anonymised example from Justin’s practice. The appropriate steps and outcome depend on the facts and evidence of each estate.
Ready to review the caveat?
£480 including VAT (£400 + VAT). Review of up to 40 selected core pages, a 30-minute consultation with Justin Patten and a two-page written Action Plan identifying your position, material risks and recommended next step.
The Action Plan is normally delivered within three working days after the consultation and receipt of all required documents, whichever is later. Further work is separately scoped and priced for your approval.
View the £480 review and Action Plan → or contact Justin with a brief outline.
The review includes a fixed-fee recommendation for any suitable subsequent stage. Appropriately selected technology-assisted tools may support document organisation and chronology preparation; Justin reviews and approves all legal analysis and recommendations.