ICAEW is a member of His Majesty’s Courts and Tribunals Service (HMCTS) Probate Service User Group which gives us the opportunity to hear performance updates directly from HMCTS, share feedback with the service, and benefit from discussions with the wider group. Other members of the group include representatives from STEP (The Society of Trust and Estate Practitioners), The Law Society, The Association of Lifetime Lawyers, Remember A Charity and the Institute of Legacy Management.
In April, I travelled to scenic North Shields to participate in an in-person user group meeting. I had the opportunity to meet the team at Newcastle's Registry Office and observe the review process of some complex case files.
Newcastle is the destination for all paper applications received by post in English from professional users of the service. Their specially trained examiners can deal with some of the service’s most complex applications, such as international estates and lost wills.
Performance update
The first part of the day was spent hearing updates from HMCTS on current performance levels for March. It has certainly been a demanding few months for the service with an increase in applications during the winter peak, plus the Justice Select Committee inquiry hearings on probate took place. Nevertheless, HMCTS reported a successful month operationally and cited “record outputs” as case disposals exceeded receipts.
The age of open cases has decreased once more, along with the volume of caseloads. It was noted that 92% of applications are now submitted online, and straightforward digital applications typically take six to eight weeks to process a grant. However, HMCTS acknowledged that paper and complex cases are still subject to more delay than desired because of handoffs to more experienced staff. They also noted that attrition of technical staff remains an issue. I was also surprised to learn that they only have 2.5 Probate Registrars nationally! The role requires considerable expertise and HMCTS are actively recruiting more suitably experienced Registrars.
New telephone service hours continuing
HMCTS attributed their success in lowering the average age of open cases partly to their recent trial of reduced helpline hours. This measure was taken to maintain their 12-week target during its peak period. They reported success, with average call times remaining consistent and calls answered within an average of 12 minutes and 50 seconds. HMCTS told us that they have decided to extend the trial with a regular review every six weeks.
HMCTS explained that improvements were also due to “building in examiner capability to flex resource”. They are training more staff to be subject matter experts and handle complex issues such as intestacy, trusts, foreign domiciles and lost wills. They have also been moving experienced technical staff to support and upskill other team members. This training means that all staff can now issue a grant.
Probate case surgeries
Virtual case surgeries for complex cases were piloted by HMCTS in April to reduce aged cases. Practitioners were given an opportunity to discuss cases with an experienced probate manager from the Newcastle team. They reported that ninety case surgery slots were offered initially to a targeted group of professional practitioners with ‘stopped’ cases older than 16 weeks. Slots were reportedly “snapped up very quickly” and as result of reviewing files in advance of appointments, 35 grants were issued before the appointments had been held. They acknowledged that in some instances, it was about information gathering from both sides and “a conversation was all that was needed”.
HMCTS are keen to offer more monthly surgeries, possibly targeting specific areas such as their oldest cases or larger firms. They will announce details on upcoming surgeries shortly. I confirmed that ICAEW accredited probate firms would be keen to participate.
Improvements to MyHMCTS
Another development that HMCTS is working on is improving the functionality of the digital dashboard. Currently, the dashboard only provides updates and notifications for online applications, which means you could miss a stopped paper application. HMCTS informed us that information for all application types will be accessible through the dashboard shortly, with delivery expected this month – look out for further updates!
Preventing stops
HMCTS highlighted that professional users account for about 40% or 13,748 of all stopped applications. Common reasons for an application to be stopped are:
- Missing supporting documentation
- Estate executors are not recorded on the PA1P form
- Payment process not being completed on forms (the last page requires payment to make an application ‘live’)
- Errors on forms, typically names being spelled differently than in the will
- IHT forms being submitted incorrectly
To prevent one of the main reason for stops, the process for submitting IHT forms was amended in January to deter premature applications. Now, users must wait 20 working days for HMRC to issue a code that includes the estate's gross and net values. HMCTS reported that this change has increased the number of grants issued. However, there were still about 800 stops overall.
HMCTS discovered that some forms were incorrectly stopped, and this is being addressed. Interestingly, we heard that anecdotally, some practitioners have tried to circumvent the process by submitting made up codes. We were assured that this would not work!
The role of examiners
We also observed two examiners as they reviewed files with paper applications. They explained that they process applications chronologically and also deal with a range of stopped applications plus examining work. One of their initial tasks is to manually verify that the details in documents and applications correspond and are attached. After a grant is issued, it is dispatched for bulk printing, and any accompanying documents are returned.
While we were there, the examiners reviewed a file concerning a foreign domicile case and noted that a frequent problem leading to delay is the absence of original or court-sealed documents.
Top tips
I asked the examiners about any common issues that could cause delays in applications for ICAEW practitioners. They noted that practitioners sometimes overlook box 2.16 on the PA1A and PA1P and don’t always include their probate accreditation registration number. They check for this on the firm’s letterhead on correspondence; however, it is not always provided. Therefore, make sure that you provide your probate registration number on the form and letterheads.
Other general tips include being aware that the Legal Statement in section 9 doesn’t need to be signed by the client and practitioners can type this in digitally, and to note that the probate fee which increased in May will be subject to a grace period of 1-2 months if you have already created or submitted an application.
Send me your feedback
Overall, the day was very positive and provided some valuable insights into operations at HMCTS. It was evident that they are very much focused on sustaining the improvements we have seen in recent months and are maintaining transparency about operational challenges.
HMCTS are also keen to engage with us to hear your feedback. Please continue to email me with any comments or questions about HMCTS so that we can address them during our quarterly meetings. Our next meeting will be in late summer.
Rachel Clements, ICAEW Regulatory Policy Manager
