Learning Outcomes
After reading this article, you will be able to explain the purpose and procedure for caveats and citations in contentious probate, identify when and how each is used to challenge or compel action in estate administration, and apply the relevant Non-Contentious Probate Rules to practical SQE1-style scenarios. You will also be able to distinguish between different types of citations and understand the consequences of their use.
SQE1 Syllabus
For SQE1, you are required to understand the procedural tools available in contentious probate. Focus your revision on:
- the function and effect of caveats in preventing grants of representation
- the process for issuing, warning, and responding to caveats
- the different types of citations and their use in compelling executors or administrators to act
- the relevant Non-Contentious Probate Rules 1987 (NCPR) governing caveats and citations
- the practical consequences of caveats and citations for estate administration and dispute resolution
Test Your Knowledge
Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.
- What is the main legal effect of entering a caveat at the Probate Registry?
- What must a caveator do if they receive a warning to their caveat and wish to maintain their objection?
- Name two types of citation and briefly state their purpose.
- What can happen if an executor fails to respond to a citation to accept or refuse a grant?
Introduction
When a dispute arises over the administration of a deceased person’s estate, certain procedural tools are available to protect the interests of those involved. Two key mechanisms in contentious probate are caveats and citations. These allow interested parties to pause the grant of representation or to compel others to take action regarding their rights or duties in the estate. Understanding how and when to use caveats and citations is essential for effective estate dispute management and is a frequent focus in SQE1 assessments.
Caveats: Stopping a Grant of Representation
A caveat is a formal notice entered at the Probate Registry to prevent a grant of probate or administration from being issued without prior notice to the caveator.
Key Term: caveat A formal notice filed at the Probate Registry to temporarily prevent the issue of a grant of representation, allowing time to investigate or challenge the estate administration.
Purpose and Use
Caveats are used to:
- challenge the validity of a will (e.g., on grounds of capacity, undue influence, or improper execution)
- dispute the entitlement of a person applying for a grant (such as an executor or administrator)
- allow time to investigate concerns about the estate before a grant is made
A caveat is not appropriate for routine queries or to delay administration without good reason.
Procedure for Entering a Caveat
A caveat is entered by submitting the prescribed form and fee to the Probate Registry. The caveat lasts for six months and can be renewed before expiry. It can be entered by anyone with an interest in the estate, including potential beneficiaries or creditors.
Once in place, the Probate Registry will not issue a grant of representation until the caveat is removed, withdrawn, or lapses.
Effect of a Caveat
- The grant of probate or administration is suspended while the caveat is in force.
- Any grant issued in breach of a valid caveat is void.
- The caveator must be notified before any grant is made.
Key Term: caveator The person who enters a caveat to prevent a grant of representation.
Warning and Appearance
If someone wishes to proceed with a grant despite a caveat, they may issue a warning to the caveator. The caveator must then enter an appearance within eight days to maintain their objection. If no appearance is entered, the caveat may be removed and the grant can proceed.
Key Term: warning (probate) A formal notice served on a caveator requiring them to confirm their objection or allow the caveat to be removed.
Key Term: appearance (probate) A formal response by a caveator to a warning, confirming their objection and requiring the dispute to be resolved before a grant is issued.
Worked Example 1.1
A will is challenged on the basis of alleged undue influence. The deceased’s son, who is not named as executor, fears the executor will obtain a grant before he can gather evidence. What should he do?
Answer: He should enter a caveat at the Probate Registry to prevent the grant being issued until he has had time to investigate and, if necessary, challenge the will.
Removal and Lapse
A caveat can be withdrawn by the caveator at any time. If not renewed, it lapses after six months. If a warning is issued and the caveator does not enter an appearance, the caveat is removed.
Exam Warning
Entering a caveat without a genuine interest or to delay administration without cause may be considered an abuse of process. Caveats are not for routine information requests.
Citations: Compelling Action in Probate
A citation is a court-issued document requiring a person to take a specific step in relation to estate administration, such as accepting or renouncing a grant, or proving a will.
Key Term: citation (probate) A formal notice issued by the court requiring a person to take action in relation to a grant of representation or estate administration.
Types of Citation
There are several types of citation under the Non-Contentious Probate Rules 1987:
- Citation to accept or refuse a grant: Used when an executor named in a will is not acting. It compels them to accept or renounce their right to a grant.
- Citation to take administration: Used when a person entitled to administer an intestate estate is not applying for a grant. It requires them to apply or lose their right.
- Citation to propound a will: Used to require a person to prove the validity of a will in solemn form.
Procedure for Issuing a Citation
A citation is issued by filing the appropriate form at the Probate Registry. It must be served personally on the person cited, unless the court allows alternative service. The cited person usually has 14 days to respond.
If the cited person fails to act, the court may allow the applicant or another suitable person to take the grant instead.
Worked Example 1.2
A will names two executors, but only one is willing to act. The other is unresponsive. What can the willing executor do?
Answer: The willing executor can issue a citation to accept or refuse a grant. If the unresponsive executor fails to respond, the court may allow the willing executor to proceed alone.
Consequences of Non-Compliance
If a cited person does not respond or act as required, they may lose their priority to a grant. The court can then appoint another person to administer the estate.
Revision Tip
When answering SQE1 questions, always identify whether the scenario requires a caveat (to stop a grant) or a citation (to compel action). Confusing the two is a common error.
Caveats and Citations in Practice
Caveats and citations are essential for managing disputes and delays in estate administration. They ensure that grants are not issued without resolving genuine concerns and that those entitled to act do so promptly.
Worked Example 1.3
A beneficiary is concerned that the named executor is unsuitable due to a conflict of interest. What procedural steps are available?
Answer: The beneficiary can enter a caveat to prevent a grant being issued and, if necessary, apply for a citation to compel the executor to accept or renounce the grant. If the executor is found unsuitable, the court may appoint an alternative administrator.
Key Point Checklist
This article has covered the following key knowledge points:
- Caveats are used to prevent the issue of a grant of representation and allow time to investigate or challenge estate administration.
- A warning may be issued to a caveator, requiring them to enter an appearance to maintain their objection.
- Citations are used to compel executors or administrators to act, such as accepting or renouncing a grant.
- Failure to respond to a citation can result in loss of priority to a grant.
- The Non-Contentious Probate Rules 1987 set out the procedures for caveats and citations in contentious probate.
Key Terms and Concepts
- caveat
- caveator
- warning (probate)
- appearance (probate)
- citation (probate)
