Administration: Applying for the Grant

Question 1

what are the 2 types of applications that can be made for grant?

Answer 1

1) online application to the Probate Registry (mandatory for professionals applying for grants of probate)

2) paper applications (mandatory for professionals applying for complex non-standard grants) - 2 types:

1- PA1A = no valid will

2- PA1P = valid will

Question 2

what is a professional application for a grant?

Answer 2

made by a solicitor or probate practitioner - either because solicitor was appointed as PR or a PR instructed them to submit the application on their behalf

mandatory online / paper application rules apply to these professional applications

Question 3

what type of application must / can be made for a standard grant of probate?

Answer 3

online application is mandatory for professionals applying

Question 4

what type of application must / can be made for a standard and non-complex grant under NCPR 20 or 22?

Answer 4

either online or paper application will be fine

Question 5

when must a paper application be made?

Answer 5

mandatory paper application when the grant is non-standard and complex =

• second grant of probate to executor who reserved power
• grants to PR where chain of representation applies
• grants where original will is missing or there are issues in the will
• grants to attorneys
• grants under NCPR 20 if minor or life interests arise
• grants under NCPR 22 if minor interests arise

Question 6

what are the 2 types of paper applications and when are each made?

Answer 6

(1) PA1A = deceased left no valid will

• grant of letters of administration is issued to administrators under NCPR 22

(2) PA1P = deceased left a valid will

• either grant of probate issued (executors willing to act) or grant of letters of administration issued under NCPR 20 (no executors appointed/willing to act)

Question 7

what is the general content of applications? (7)

(whether online or paper PA1A or PA1P)

Answer 7

(1) confirm identity of deceased and the applicants

(2) justify the type of grant requested

(3) evidence the applicant’s entitlement to act as PR (as executor or administrator under NCPR 20/22)

(4) value of estate = succession estate value will be noted on grant

(5) IHT status (if non-excepted: HMRC sends the probate registry form 421 to confirm IHT was paid and it received the accounts - no forms are sent to probate registry)

(6) statement of truth

(7) signed by each applicant or legal representatives acting for them

Question 8

what must be sent to probate registry?

Answer 8

1. online app / PA form
2. application fee
3. fee per sealed copy of the grant requested

if needed:

4. original will / codicil + revoked wills and codicils
5. affidavit evidence if needed
6. deceased death certificate (certified copy)
7. details of a person acting under a power of attorney (if acting on behalf of PR)
8. form of renunciation (if appointed executor renounced)
9. HMRC sends IHT 421 if non-excepted estate

Question 9

in the application, what must you include regarding the identity of deceased and applicants?

Answer 9

deceased =

• full name + dob + any other name they own assets in
• last known residential address of deceased
• domicile, marital status, value of foreign property

applicants = full name, address, contract details (max 4 can apply to be named on the grant)

Question 10

what evidence do you include in the application regarding the executor’s entitlement to the grant?

Answer 10

executors =

• original copies of valid wills and codicils
• if executor name differs from that in the will, explain
• explain why anyone named is not applying - eg, death certificate, form of renunciation, reserved power notice

Question 11

what evidence do you include in the application regarding the administrator’s entitlement to the grant?

(for administrators under NCPR 20 vs NCPR 22)

Answer 11

administrators under NCPR 20 =

• state which category of applicant with reference to the will
• clear off anyone with a better right to apply (not with the same right to apply)
• state if any B is a minor or has a life interest (2 administrators required)

administrators under NCPR 22 =

• state familial relationship and identify which category of applicant they fall under
• confirm they are entitled to whole or part of the estate
• clear off anyone with a better right to apply (not with the same right to apply) - e.g., by explaining who the surviving family members are
• state if any B is a minor (2 administrators required)

Question 12

what information do you provide in the application regarding the deceased’s estate?

Answer 12

succession estate = provide value of gross estate and net estate (this is noted on the grant)

settled land = specific interests in land - applicant must state if deceased had an interest in settled land and if so, the probate registry gives a separate grant for this

Question 13

what death certificate must you send to the probate registry in the application?

Answer 13

only a certified copy can be sent to probate registry

not photocopy

Question 14

when is a probate registry fee payable for the application?

Answer 14

amount depends on whether a professional is applying and on value of estate

no fee for estates worth less than 5000

Question 15

what do you include in the application regarding copies of the grant?

Answer 15

PRs state how many copies and sealed copies of the grant they want from the probate registry

if PRs want a sealed copy of the grant (eg to provide to asset holders), they pay an extra fee

Question 16

what testamentary documents do you provide for the grant application?

Answer 16

original will/codicil submitted with the application - probate registry does not return the original will/codicil

probate registry then ‘proves’ the will/codicil (confirming their validity)

PRs must also provide revoked wills/codicils

Question 17

what do you do regarding IHT forms when applying for the grant?

(2 cases)

Answer 17

excepted estates = PRs are not required to submit IHT form as part of the application to probate registry

non-excepted estates = PRs submit IHT 400 to HMRC, HMRC then sends IHT 421 to Probate Registry to confirm this - grant is not issued before IHT 421 is received

Question 18

if a PR appoints a power of attorney, what must be done in the application?

Answer 18

if an executor appoints an attorney to make an application on their behalf =

• provide details of attorney
• provide express declaration why the named executor is not applying
• form PA11 is completed by the donor of the power and submitted with application

do not need to send the power of attorney document itself

Question 19

what is an affidavit? and what are the validity requirements?

Answer 19

an affidavit is a formal written statement of fact which a person signs under oath

they ‘swear’ or ‘affirm’ that the contents of the document are true

Question 20

what are the requirements for a valid affidavit?

Answer 20

contains a jurat (authenticating statement) which is:

(1) signed by all parties and dated

(2) completed and signed by the person witnessing (an independent solicitor or commissioner of oaths) with their name, address, and qualification stated

(3) following immediately from the text and not on a separate page

Question 21

why / when are affidavits used in the grant application?

Answer 21

where there is a will but something renders its validity uncertain

the affidavit provides confirmation to the probate registry of the circumstances surrounding the drafting or execution

Question 22

what are the 4 types of affidavits used to prove validity of wills?

Answer 22

(1) affidavit of due execution
(2) affidavit as to alterations
(3) affidavit of plight and condition
(4) affidavit of search

Question 23

affidavit of due execution - when is it required to submit with grant application? (4 different cases)

Answer 23

witnesses would usually make affidavits if:

(1) requirements of s9 not clearly complied with
- eg, signatures oddly placed, or no attestation clause
- so affidavit confirms that will was executed in accordance with s9

(2) knowledge and approval doubt
- eg, attestation clause is not sufficiently worded (blind, illiterate, deaf deceased)
- so affidavit confirms that the will was read aloud to T and T appeared to understand its contents

(3) date is unknown
- affidavit confirms the correct date the will was executed

(4) if will is missing
- this affidavit will help with the court order to submit a copy into probate

Question 24

if the original will is missing, what documents do the PRs submit to the probate registry?

Answer 24

you cannot apply directly to the probate registry - you must apply to court for an order allowing a copy of the will / codicil to be admitted into probate

supporting docs sworn by affidavit evidence:
- evidence that the will / codicil existed after D’s death
- facts which rebut the presumption that the missing will was revoked during the testator’s lifetime
- Confirmation that the will/codicil was correctly executed
- The copy document submitted accurately records the testamentary wishes of the deceased

Question 25

affidavit as to alterations - when is it required to submit with grant application?

Answer 25

to establish timing of the alteration (because alterations where date is unknown are presumed to be done after execution and are therefore invalid)

Question 26

affidavit of plight and condition - when is it required to submit with grant application?

Answer 26

if physical condition of will suggests it is incomplete or tampered with

example =
- pin holes for staples
- paperclip indentations
- non-consecutive pages or clause numbering
- signs of attempts to revoke eg, burn marks or tearing

the affidavit will be by someone who can confirm the condition of the will when it was executed AND its condition later when it was found after T’s death

Question 27

affidavit of search - when is it required to submit with grant application?

Answer 27

evidence suggests another testamentary document was supposed to be attached to the will

PRs confirm in the affidavit that enquiries were made and searches carried out to locate the missing document