Grants of representation - Forms PA1P and PA1A

Learning Outcomes

This article explains the main types of grants of representation in England and Wales, distinguishes between the use of Forms PA1P and PA1A, and examines the legal requirements for applying for probate or letters of administration. It discusses the correct procedure in both testate and intestate estates, including the order of entitlement and the duties of personal representatives.

SQE1 Syllabus

For SQE1, you are required to understand the practical and legal framework for grants of representation and the application process using Forms PA1P and PA1A, with a focus on the following syllabus points:

• the distinction between probate (testate) and administration (intestate) grants
• the correct use of Forms PA1P and PA1A and the information required for each
• the order of entitlement to apply for a grant in intestacy
• the duties and powers of executors and administrators
• the legal effect of a grant of representation and its role in estate administration
• the priority for “letters of administration with will annexed” where there is a valid will but no executor can act
• caveats and citations, including their purpose and effect on the grant process
• excepted estates and interaction with IHT procedures and forms
• pre‑grant tasks (asset valuation, confirming will validity, funding any IHT due)
• renunciation and “power reserved”, clearing off equally entitled applicants, and limits on the number of PRs
• chain of representation and grants de bonis non

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.

1. In which circumstances is Form PA1A used instead of Form PA1P?
2. Who is entitled to apply for a grant of letters of administration if the deceased left no will and is survived by a spouse and children?
3. What is the legal effect of a grant of representation for personal representatives?
4. What information must be provided in a Form PA1P application that is not required in a Form PA1A application?

Introduction

When a person dies, their estate must be collected, debts paid, and the remaining assets distributed to those entitled. In England and Wales, this process is regulated by statute and requires the personal representatives (PRs) to obtain legal authority to deal with the estate. This authority is provided by a grant of representation, which is obtained by applying to the Probate Registry using the appropriate form—Form PA1P for probate (where there is a valid will) and Form PA1A for letters of administration (where there is no valid will).

Understanding the correct use of these forms, the legal requirements for each, and the consequences of the grant is essential for SQE1.

Types of Grant of Representation

There are two main types of grant of representation:

Key Term: grant of representation
A court-issued document authorising a person to administer the estate of a deceased individual. It includes both grants of probate and grants of letters of administration.

Key Term: probate
A grant of representation issued to executors named in a valid will, giving them authority to administer the estate in accordance with the will.

Key Term: letters of administration
A grant of representation issued to a person entitled under statute to administer the estate where there is no valid will or no executor able or willing to act.

Within these broad categories, there are important sub‑types:

• letters of administration (simple) for wholly intestate estates
• letters of administration with will annexed for estates where there is a valid will but no executor is able or willing to act (for example, the sole executor died or renounced)
• double probate or follow‑on grants where additional executors later prove, or where further assets are discovered
• administration de bonis non where a further grant is needed to complete administration after the death or removal of the last or sole PR (subject to chain of representation, which can avoid the need for a second grant)

When is a Grant Required?

A grant of representation is usually required to collect in assets, sell property, or transfer legal title to beneficiaries. Some small assets (e.g., low-value bank accounts) may be released without a grant, but most institutions require one as proof of authority.

In practice:

• institutions routinely require an office copy grant to close bank and building society accounts, encash investments, or deal with life policy proceeds payable to the estate
• land registered in the deceased’s sole name cannot be transferred or sold without production of the grant
• assets passing outside the estate by survivorship (e.g., joint tenancies) or by nomination (e.g., certain NS&I products) may not require a grant for their transfer, although details are still relevant when completing inheritance tax formalities
• limited “small payments” may be released at the institution’s discretion under the Administration of Estates (Small Payments) Act 1965

Forms PA1P and PA1A: Overview

Form PA1P – Application for Probate (Will Cases)

Form PA1P is used when the deceased left a valid will and at least one executor is able and willing to act. The form requires:

• details of the deceased and the will (including any codicils), with the original will lodged and copies provided
• information about all executors (including those who renounce or have power reserved)
• identification and contact details of the applicant(s), and verification of identity in line with Probate Registry procedures
• a statement of the estate’s value (gross and net) for probate purposes
• confirmation of the inheritance tax position, including whether the estate is excepted or whether an inheritance tax account has been delivered to HMRC and any tax due has been paid
• a legal statement by the applicant(s) to administer the estate according to law, acknowledging accountability for truthful evidence

Key Term: executor
A person appointed by a valid will to administer the estate of the deceased.

Typical form content mirrors the Registry’s working needs. Expect sections covering:

• details of the grant applicants (including any legal representative acting on their behalf)
• details of the deceased (name, aliases used for property, address, date of birth/death, marital status, domicile)
• will and codicils (dates, whether there are any issues with the will’s condition or execution)
• relatives of the deceased (to assist with clearing off, if relevant)
• any application being made as attorney for an entitled person (with power of attorney evidence)
• summary of inheritance tax status, including whether HMRC will issue the IHT421 receipt directly to the Registry (for taxable/non‑excepted estates)
• the legal statement confirming duties and truthfulness

Where there is a valid will but no executor available, PA1P is still used, but the resulting grant is letters of administration with will annexed.

Form PA1A – Application for Letters of Administration (Intestacy Cases)

Form PA1A is used where there is no valid will, or no executor is able or willing to act. The form requires:

• details of the deceased and the applicant’s relationship to them
• information sufficient to establish entitlement under the intestacy rules, including all relatives who rank ahead of the applicant
• evidence to clear off those with prior or equal entitlement (e.g., renunciation, consent, death certificates)
• a statement of the estate’s value (gross and net) for probate purposes
• confirmation of the inheritance tax position (excepted or account delivered to HMRC)
• a legal declaration to administer the estate according to law

Key Term: administrator
A person appointed by the court (usually under the intestacy rules) to administer the estate of a deceased person where there is no valid will or no executor able or willing to act.

A PA1A application must demonstrate the applicant’s title to the grant by reference to Non-Contentious Probate Rules (NCPR) priority. Expect to provide documentary evidence of relationship (e.g., marriage or birth certificates) and to deal expressly with persons who rank ahead or equally.

Order of Entitlement to Apply for a Grant

Where there is no valid will, the order of entitlement to apply for a grant of letters of administration is set out in the Non-Contentious Probate Rules 1987 (NCPR r 22). The order is:

1. surviving spouse or civil partner
2. children of the deceased (and issue of any deceased child)
3. parents
4. siblings of the whole blood (and issue of any deceased sibling)
5. siblings of the half blood (and issue of any deceased sibling)
6. grandparents
7. uncles and aunts of the whole blood (and issue of any deceased uncle/aunt)
8. uncles and aunts of the half blood (and issue of any deceased uncle/aunt)
9. the Crown (bona vacantia)

If more than one person is equally entitled, any one may apply, but a maximum of four administrators can act.

For “letters of administration with will annexed” (valid will but no executor can act), priority generally follows the beneficial interest under the will: the residuary trustee or residuary beneficiary has priority, then other beneficiaries, subject to clearing off those with equal or prior entitlement.

Clearing off means accounting for and excluding those with a better or equal claim (e.g., by renunciation, consent, death certificates, or formal citation).

Worked Example 1.1

A married woman dies intestate, survived by her husband and two adult children. Who is entitled to apply for a grant of letters of administration?

Answer:
The husband has first priority to apply. If he does not wish to act, either child may apply, but the husband must be "cleared off" (i.e., renounce or consent).

Worked Example 1.2

The deceased left a will appointing two executors. One executor has died and the other is unable to act due to incapacity. What form should be used to apply for a grant?

Answer:
Form PA1A should be used to apply for letters of administration with will annexed, as there is no executor able or willing to act.

Worked Example 1.3

A person dies intestate, survived by a spouse and minor children. The spouse applies for a grant of letters of administration using Form PA1A. What are the spouse’s main duties after the grant is issued?

Answer:
The spouse must collect in the estate, pay all debts and expenses, and distribute the estate according to the intestacy rules, holding any minor children’s shares on statutory trusts until they reach 18.

Worked Example 1.4

A will leaves residue to three adult residuary beneficiaries but appoints no executor. One residuary beneficiary is willing to act; the other two live abroad and do not wish to be involved. What grant and form are appropriate?

Answer:
Apply for letters of administration with will annexed using PA1P, as there is a valid will but no executor. The willing residuary beneficiary has priority; the others must be cleared off (e.g., by consent or renunciation).

Worked Example 1.5

An intestate’s sibling of the half blood applies for a grant using PA1A while a whole blood sibling is alive. What will the Registry require?

Answer:
The whole blood sibling ranks ahead under NCPR r 22 and must be cleared off (e.g., by consent or renunciation). Without clearing off, the Registry will not issue the grant to the half blood sibling.

Worked Example 1.6

A caveat is entered because a family member disputes the validity of a recent will. What is the immediate procedural effect on a PA1P application?

Answer:
Issue of the grant is stayed. The applicant must resolve the caveat (e.g., by warning the caveat and, if defended, addressing the dispute) before the Registry will proceed with the grant.

Information Required in the Application

Both forms require:

• the deceased’s full details (name, address, date of birth, date of death), including any other names by which assets were held
• the applicant’s details and relationship to the deceased, and identity verification
• a statement of the estate’s value (gross and net) for probate purposes
• confirmation of inheritance tax status (excepted estate or formal account delivered)
• a legal statement to administer the estate according to law

Form PA1P additionally requires details of the will, codicils, and all executors (including whether they will prove, renounce, or have power reserved). The original will and any codicils must be lodged; if alterations or damage are present, the Registry may require an affidavit of “plight and condition” and evidence of due execution or knowledge and approval, particularly for blind or illiterate testators or where suspicious circumstances exist.

Form PA1A requires evidence of entitlement (e.g., birth/marriage certificates) and information about all relatives entitled under the intestacy rules. Applicants must address equally entitled persons and those with prior entitlement by obtaining renunciations or consents or by issuing citations where appropriate.

Probate value versus IHT value:

• probate value covers only property passing under the grant (i.e., vesting in PRs), excluding assets passing by survivorship, nominated assets, and trust interests where the deceased had only a life interest
• the IHT estate includes those excluded items for tax purposes, so figures may differ between probate and IHT calculations

Inheritance tax forms and excepted estates:

• for deaths from 1 January 2022, most excepted estates no longer require a separate IHT205; details are provided within the probate application, and no IHT account is delivered unless HMRC requests one
• estates that owe IHT or are not excepted require an IHT400 account to HMRC; HMRC then supplies an IHT421 receipt to the Registry before the grant can issue
• applicants should confirm within PA1P/PA1A which IHT pathway applies

Worked Example 1.7

The deceased held a house as a joint tenant with a spouse, personal investments in sole name, and a life policy written in trust for a child. Which of these form part of the probate value?

Answer:
Only the sole-name investments (and any other assets passing under the grant) are included in the probate value. The joint tenancy passes by survivorship and the policy written in trust passes directly to the trustee/beneficiary and are not included in the probate value.

Worked Example 1.8

A UK‑domiciled deceased has an excepted estate. What inheritance tax paperwork accompanies a PA1P?

Answer:
No formal inheritance tax account is needed in an excepted estate. The applicant confirms the necessary IHT details within the PA1P. If HMRC requests further information, an account may later be required, but otherwise the grant can issue without IHT forms.

Legal Effect of the Grant

A grant of representation gives the personal representatives legal authority to:

• collect in and sell assets
• pay debts and liabilities
• distribute the estate to those entitled

Without a grant, PRs have no authority to deal with the estate (except for certain small assets or in limited circumstances).

Key Term: personal representative (PR)
A person authorised by a grant of representation to administer the estate of a deceased person. Includes both executors and administrators.

Additional points:

• where probate is granted, executors’ authority exists from the date of death, but probate is the formal proof of title; acts carried out between death and the grant are validated upon the grant
• administrators derive authority only from the grant; they cannot act before the grant issues
• legal and beneficial ownership: real property devolves on PRs by statute and personalty by common law, enabling PRs to sell and transfer assets for administration purposes

Duties of Personal Representatives

Once a grant is obtained, PRs must:

• collect in all assets of the estate
• pay funeral, testamentary, and administration expenses
• pay all debts and liabilities
• distribute the estate to those entitled under the will or intestacy rules

PRs owe a duty of care and may be personally liable for losses caused by breach of duty. Core duties include:

• acting with reasonable care and skill (Trustee Act 2000 standard), including preserving assets pending sale or transfer and obtaining professional valuations where appropriate
• advertising for unknown creditors and beneficiaries under Trustee Act 1925 s 27 (London Gazette and appropriate local newspaper(s)), then waiting the statutory period before distributing to gain protection against late claims
• considering claims under the Inheritance (Provision for Family and Dependants) Act 1975 and, to protect against personal liability, waiting six months from the date of the grant before distributing or retaining funds sufficient to meet any likely orders
• preparing estate accounts and, when ready, completing assents to transfer assets to beneficiaries (assents relate back to the date of death)

Administrative powers (often implied by statute and sometimes supplemented by the will) include powers to sell, insure, appropriate, invest, accept receipts for minors, delegate in limited circumstances, and run a business temporarily. PRs must exercise powers in the interests of the estate as a whole.

Worked Example 1.9

PRs place statutory adverts, wait the notice period, and then distribute the estate. Months later, an unknown creditor appears. Are PRs personally liable?

Answer:
If PRs advertised properly and waited the statutory period, they are protected from personal liability for unknown claims. The creditor may pursue assets into the hands of beneficiaries, but the PRs are protected.

Special Situations

Partial Intestacy

If a will fails to dispose of the entire estate, there is a partial intestacy. The executor applies for probate (Form PA1P) for the testate part and for letters of administration (Form PA1A) for the intestate part. In practice, the Registry can accommodate both elements through appropriate grant wording, but entitlement to administer the intestate portion follows NCPR r 22.

Renunciation and Power Reserved

If an executor does not wish to act, they may renounce (using Form PA15) or have power reserved (allowing them to act later if needed). The application form must indicate this. Renunciation by an administrator (e.g., under PA16 for administration with will annexed) is also possible; administrators do not lose the right to renounce by intermeddling in the same way executors may.

Multiple Applicants

A maximum of four PRs can act. If there are more than four entitled, only four can apply, but others may consent or be "cleared off." Joint PRs have joint and several authority, although certain transactions (e.g., transfers of land or shares) may require all PRs’ signatures to comply with practice requirements.

Letters of Administration with Will Annexed

Where there is a valid will but no executor is able or willing to prove, the appropriate grant is letters of administration with will annexed. Priority typically lies with:

• the residuary trustee
• the residuary beneficiary
• other beneficiaries with interests under the will

The applicant must clear off anyone with a better or equal claim, and the will is annexed to the grant to guide distribution.

Minors and Incapacitated Persons

Where a minor is beneficially entitled, at least two administrators are required to obtain a simple letters of administration, because the minor’s share will be held on statutory trusts. If the entitled person lacks capacity, an attorney or deputy may apply as attorney (evidence of the LPA/EPA or court order will be required). If there is no attorney or deputy, the court may appoint a person to take the grant for the incapacitated person’s use and benefit.

Chain of Representation and Grants de bonis non

If an executor of estate 1 dies and their executor takes probate of estate 2, a chain of representation arises: the executor of estate 2 becomes executor of estate 1 automatically, and no second grant is needed for estate 1. Where there is no chain (e.g., administrators die, or the previous grant is revoked), administration de bonis non may be required to complete administration of unadministered assets.

Caveats

A caveat can be entered to prevent issue of a grant while concerns are addressed (e.g., validity of the will, capacity of the executor). The caveat stops the grant until it is removed or resolved; it may be warned, and if defended, the dispute can be determined by the court. PA1P/PA1A applications cannot proceed while an effective caveat stands.

Citations

Citations are formal notices compelling action by a person otherwise entitled:

• a citation to take probate may require a named executor who has intermeddled or delayed to apply for probate
• a citation to accept or refuse a grant may compel a person with priority to act or formally step aside, enabling the next entitled person to proceed

Lost Wills and Alterations

Where the original will is lost or damaged, the Registry can admit a copy or reconstruction if supported by appropriate evidence. Unexecuted alterations are presumed to have been made after execution; the Registry may require affidavit evidence to establish whether alterations were present at execution. Apparent attempts at destruction must be explained before the will is admitted.

Exam Warning

If the wrong form is used (e.g., PA1P when there is no valid executor), the Probate Registry will reject the application. Always check the will and the status of executors before applying.

Revision Tip

When preparing for SQE1, memorise the order of entitlement for intestacy and the main differences between Forms PA1P and PA1A.

Key Point Checklist

This article has covered the following key knowledge points:

• A grant of representation is required to administer most estates; small assets may be released without a grant at the institution’s discretion.
• Form PA1P is used for probate (valid will and executor able/willing to act); it also leads to letters of administration with will annexed if no executor can act. Form PA1A is used for letters of administration (no valid will or no executor able/willing to act).
• The order of entitlement to apply for a grant in intestacy is set by the Non-Contentious Probate Rules; clearing off and citations may be necessary to proceed.
• For “with will annexed” grants, residuary trustees or beneficiaries generally have priority.
• Probate value includes only property passing under the grant; the IHT estate can be wider (e.g., joint property and trust interests).
• Excepted estates (for deaths from 1 January 2022) normally require no separate IHT account; taxable or non‑excepted estates require IHT400 and HMRC to send IHT421 to the Registry.
• Executors’ authority exists from death (validated by probate), while administrators’ authority arises only on the grant.
• PRs must collect assets, pay debts and expenses, and distribute according to the will or intestacy; they must also advertise for creditors and consider 1975 Act claims.
• Renunciation and power reserved affect who proves; a maximum of four PRs can act, and minors or incapacitated beneficiaries affect who can take the grant.
• Chain of representation and grants de bonis non address completion of administration when previous PRs have died or been removed.
• Caveats halt issue of the grant pending resolution; citations compel action by those with priority.

Key Terms and Concepts

• grant of representation
• probate
• letters of administration
• executor
• administrator
• personal representative (PR)