D e p a r t m e n t f o r W o r k a n d P e n si o n s
D E C I S I O N M A K I N G A N D A P P E A L S ( P A R T O F P R O F E S S I O N A L S E R V I C E S )
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e( A A A D G)
J u n e 2 0 1 2 a m e n d m e nt p a c k a g e
1. T h e A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e i s n o w t h e r e s p o n si bilit y of t h e D e ci si o n M a ki n g a n d A p p e al s ( L e e d s) ( P art of F e e d b a c k, L e gi sl ati o n a n d D e ci si o n M a ki n g). T hi s a m e n d m e nt p a c k a g e bri n g s t h e g ui d e u p t o d at e wit h c urr e nt l e gi sl ati o n.
2. T hi s a m e n d m e nt p a c k a g e aff e ct s p art s 3, 4 a n d 5 a n d al s o i n s ert s A p p e n di x 2 1 .
3. T hi s a m e n d m e nt p a c k a g e i s i s s u e d i n P D F f or m at o nl y,
N ot e: W h e n pri nti n g P D F p a c k a g e s s et t h e pri nt pr o p erti e s t o D u pl e x/ L o n g E d g e i n or d er t o pr o d u c e d o u bl e- si d e d pri nt s .
4. R e m o v e t h e s h e et s i n t h e l eft h a n d c ol u m n a n d i n s ert n e w s h e et s i n t h e ri g ht h a n d c ol u m n.
R e m o v e I n s ert
C o nt e nt s C o nt e nt s
4 0 6 9 – A p p e n di x 2 0 ( 3 p a g e s) 4 0 6 9 – A p p e n di x 2 1 ( 3 p a g e s)
P art T hr e e - G u ar di a n, C ur at or B o ni s & T ut or, P art T hr e e - G u ar di a n, C ur at or B o ni s & T ut or, S c otl a n d S c otl a n d
3 0 5 3 – 3 0 9 9 ( 1 p a g e) 3 0 5 3 – 3 0 9 9 ( 1 p a g e)
P art f o ur - Att or n e y P art f o ur - Att or n e y
C o nt e nt s 4 0 0 0 – C o nt e nt s 4 3 1 0 ( 2 p a g e s) C o nt e nt s 4 0 0 0 – C o nt e nt s 4 3 1 0 ( 2 p a g e s) 4 0 5 0 – 4 0 6 8 ( 1 p a g e ) 4 0 5 0 – 4 0 6 8 ( 2 p a g e s )4 1 0 0 – 4 1 2 0 ( 2 p a g e s) 4 1 0 0 – 4 1 2 0 ( 2 p a g e s) 4 1 4 1 – 4 1 5 9 ( 1 p a g e) 4 1 4 1 – 4 1 5 9 ( 1 p a g e) 4 1 6 5 – 4 2 0 5 ( 2 p a g e s) 4 1 6 5 – 4 2 0 5 ( 3 p a g e s) 4 2 7 5 – 4 2 8 9 ( 1 p a g e) 4 2 7 5 – 4 2 8 9 ( 1 p a g e)
P art fi v e - A p p oi nt e e P art fi v e - A p p oi nt e e
C o nt e nt s 5 0 0 0 – C o nt e nt s 5 4 5 7 ( 1 p a g e) C o nt e nt s 5 0 0 0 – C o nt e nt s 5 4 5 7 ( 1 p a g e) 5 2 2 1 – 5 2 4 9 ( 1 p a g e) 5 2 2 1 – 5 2 4 9 ( 1 p a g e) 5 3 5 0 – 5 4 4 9 ( 5 p a g e s) 5 3 5 0 – 5 4 4 9 ( 5 p a g e s)
A p p e n di c e s A p p e n di c e s
C o nt e nt s A p p x 1 – C o nt e nt s A p p x 2 0 ( 1 p a g e) C o nt e nt s A p p x 1 – C o nt e nt s A p p x 2 1 ( 1 p a g e) --------- A p p x 2 1 ( P a g e 1 – P a g e 9) ( 5 p a g e s)
Contents
Overseas attorneys
PoA drawn up Abroad ............................................................................... 4069
Capable customer with an existing Attorney moves overseas and wants attorney (who is staying in GB) to retain their role ...................... 4070
Attorney moving abroad, customer remaining in GB but wants attorney to retain role............................................................................. 4071
Power of Attorney and Enduring Power of Attorney
Power of Attorney Act 1971 ....................................................................... 4100
Checking the validity of a Power of Attorney made under the Enduring
Enduring Power of Attorney issued on or after 31 July 1990...................... 4114
Powers granted to the attorney under the Power of Attorney Act 1971...... 4101
Enduring Power of Attorney Act 1985 ......................................................... 4111
Powers granted under the Enduring Power of Attorney Act 1985 .............. 4112
Power of Attorney Act 1985....................................................................... 4113
EPoA and the Mental Capacity Act 2005 .................................................... 4118
Lasting Power of Attorney under the Mental Capacity Act 2005................. 4119
Responsibilities of an attorney .................................................................. 4121
Customer/Attorney presents an Enduring Power of Attorney ............... 4126
Customer with an Enduring Power of Attorney loses capacity ................... 4135
Customer/Attorney presents a Lasting Power of Attorney ..................... 4141
Customer has capacity.............................................................................. 4143
Customer does not have capacity ............................................................. 4145
Two or more attorneys ................................................................................ 4150
Power of Attorney document allows attorneys to act separately ................ 4151
Power of Attorney document does not allow attorneys to act separately ... 4152
Either attorney declines to act on the customer's behalf............................. 4153
Power of attorney granted with specific powers ..................................... 4160
Power of attorney granted for a limited period ........................................ 4162
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Agents, Appointees, Attorneys and Deputies Guide
Contents
Suspicion of fraud or mismanagement by the Attorney - registered
Power of Attorney ..................................................................................... 4164
Suspicion of fraud or mismanagement by the attorney - unregistered
Enduring Power of Attorney or Power of Attorney ............................... 4165
Professional attorneys................................................................................. 4166
Attorney empowered to act ......................................................................... 4169
Attorney not empowered to act ................................................................... 4180
Attorney - Scotland ..................................................................................... 4190
Power of Attorney made under the Power of Attorney Act 1971 ................ 4194
Electronic Power of Attorney Registration – EPOAR (from May 2012) ...... 4195
EPOAR Certificate of Registration – Validation .......................................... 4196
EPOAR – Ability to verify Registrations on-line........................................... 4197
Other points to note..................................................................................... 4198
Copies ......................................................................................................... 4199
Overseas Attorney
PoA drawn up abroad................................................................................ 4206
Capable customer with existing attorney moves overseas and wants attorney (who is staying in GB) to retain their role ................................ 4208
Attorney moving abroad, customer remaining in GB but wants attorney to retain role............................................................................. 4209
Adults with Incapacity (Scotland) Act 2000 ............................................. 4212
Position in the order of authority .............................................................. 4220
Responsibilities of an attorney .................................................................. 4230
Powers granted to an attorney
Full powers .................................................................................................. 4240
Specific powers ........................................................................................... 4250
Power of attorney granted for a limited period ............................................ 4260
June 2012
Agents, Appointees, Attorneys and Deputies Guide
Contents
Verifying the attorney is empowered ........................................................ 4270
Photocopies................................................................................................. 4271
Checking the power of attorney document is acceptable ........................... 4273
Acceptable wording for powers of attorney ................................................. 4275
Power of attorney document does not satisfy the Scottish requirement ..... 4276
Two or more attorneys
PoA document allows attorneys to act separately ...................................... 4290
PoA document does not allow attorneys to act separately ......................... 4291
Either attorney declines to act on the customer’s behalf ............................ 4292
Attorney not empowered to act .................................................................. 4300
Attorney empowered to act......................................................................... 4310
Part five - Appointee
Introduction ................................................................................................. 5000
When appointee action is not appropriate................................................... 5010
Managers of Care Homes in Scotland ..................................................... 5013
Responsibilities of an appointee................................................................ 5050
Request for an appointee received ........................................................... 5100
LA/CTB appointee ..................................................................................... 5102
Considering the need for an appointee .................................................... 5150
Completing the BF56 appointee application form ....................................... 5160
Visiting the customer ................................................................................... 5170
Assessing the customer’s capabilities......................................................... 5180
Doubt over the customer's capabilities........................................................ 5181
Physical disability - special circumstances .............................................. 5183
Customer in hospital.................................................................................... 5184
June 2012
Agents, Appointees, Attorneys and Deputies Guide
Contents
Interviewing the prospective appointee - guidance for the Interviewing
Officer
Restrictions on residential care home or nursing home staff (CH/NH) ....... 5200
If an individual is the prospective appointee ............................................... 5210
If an organization is the prospective appointee........................................... 5220
Organization already acts as appointee for other customers...................... 5221
Organization does not already act as appointee for other customers......... 5222
Organization submits medical evidence with application............................ 5225
Someone other than authorized person contacts the department
on behalf of COP....................................................................................... 5227
Prospective appointee lives outside your office area ............................. 5250
Appointee needed but no one nominated ................................................ 5300
Changing an appointee .............................................................................. 5303
Secretary of State's decision on the application
Appointment to act not approved ................................................................ 5350
Appointment to act approved ...................................................................... 5360
Handling a phone call from the appointee................................................... 5361
Revoking an appointment .......................................................................... 5400
Revoking the appointment because appointee is not acting in best interest
of the customer.......................................................................................... 5401
Revoking an appointment – request received from the customer............... 5402
Case conferences ....................................................................................... 5403
Revoking a corporate appointee ................................................................. 5404
Obtaining consent for the release of medical information when a
customer has an appointee...................................................................... 5405
Jobseekers Allowance/ESA customer with appointee ............................ 5407
Death of the customer ................................................................................ 5450
June 2012
Agents, Appointees, Attorneys and Deputies Guide
Contents
Overseas appointees................................................................................... 5452
Customer with an existing appointee moves overseas but the appointee
Application from would-be appointee who lives abroad, customer
Overseas customer becomes incapable and prospective appointee
is staying in GB and wants to retain the role ......................................... 5453
Appointee is moving abroad, customer remaining in GB ......................... 5455
in GB ...................................................................................................... 5456
lives near the customer.......................................................................... 5457
Part six - Action following verification of a PAB/COP
Introduction ................................................................................................. 6000
Creating an OP/COP relationship .............................................................. 6050
Ending an OP/COP relationship ................................................................ 6100
Changing the customer’s OP/COP ............................................................ 6150
Part seven - Split Payment Payee
Introduction ................................................................................................. 7000
Recording the SPP’s details ...................................................................... 7050
Ending the split payment arrangement .................................................... 7100
Part eight - Collection of payment by an individual 3rd party
Introduction ................................................................................................. 8000
Direct Payment ............................................................................................ 8001
Third party access .................................................................................... 8002
Payment into a joint account .................................................................... 8003
Standing order to a third party account ..................................................... 8004
Emergency arrangements ......................................................................... 8005
Post Office® card account......................................................................... 8006
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Agents, Appointees, Attorneys and Deputies Guide
Contents
Customers not paid by direct debt ............................................................ 8007
Customers with different third parties collecting benefit............................ 8008
Appendices
An example of form BF56................................................................Appendix 1
Prescribed format for an Enduring Power of Attorney for the period
Prescribed format for an Enduring Power of Attorney for the period
An example of a Power of Attorney issued under section 10 of the
Scottish Power of Attorney under the Adults with Incapacity
An example of form BF57................................................................Appendix 2
An example of form BF58................................................................Appendix 3
Aide Memoirs - official use ..............................................................Appendix 4
Aide Memoirs - appointee use.........................................................Appendix 5
Draft letter to appointee/attorney about withholding benefit............Appendix 6
An example of a Receiver’s order of appointment .........................Appendix 7
An example of an evidence of appointment for a Curator bonis ....Appendix 8
10 March 1986 to 31 October 1987 ..............................................Appendix 9
1 November 1987 to 31 July 1990 ..............................................Appendix 9a
Prescribed format for an Enduring Power of Attorney issued after 31 July 1990 ................................................................................Appendix 10
Power of Attorney Act 1971.........................................................Appendix 11
An example of a Scottish Power of Attorney ................................Appendix 12
(Scotland) Act 2000 ....................................................................Appendix 13
An example of Lasting Power of Attorney Property and Affairs ....Appendix 15
Letters for use where power of attorney is granted by a capable customer ........................................................................Appendix 16
Appointee not suitable...................................................................Appendix 17
Doubts about appointees behaviour..............................................Appendix 18
Appointee Review Process ...........................................................Appendix 19
Appointee Review Letter ...............................................................Appendix 20
EPOAR Example Certificate .........................................................Appendix 21
June 2012
Agents, Appointees, Attorneys and Deputies Guide
P art t hr e e
G u ar di a n, C ur at or B o ni s & T ut or, S c otl a n d
G u a r di a n a p p oi nt e d o n or aft er 1 A pril 2 0 0 2
T h e A d ult s wit h I n c a p a cit y ( S c otl a n d) A ct 2 0 0 0
3 0 5 3 T h e A d ult s wit h I n c a p a cit y ( S c otl a n d) A ct 2 0 0 0 pr o vi d e s t h at t h e c o urt s c a n a p p oi nt w elf ar e
g u ar di a n s or fi n a n ci al g u ar di a n s t o d e al wit h t h e aff air s of t h e c u st o m er. W elf ar e G u ar di a n s
will n ot u s u all y b e gi v e n p o w er s t o d e al wit h t h e fi n a n ci al aff air s of t h e c u st o m er.
3 0 5 4 If y o u r e c ei v e a r e q u e st fr o m s o m e o n e w h o cl ai m s t o h a v e be e n m a d e t h e c u st o m er’ s
G u ar di a n a s k t o s e e b ot h t h e “i nt er l o c ut or” a n d t h e C ertifi c at e of R e gi str ati o n. T h e
“i nt erl o c ut or” i s t h e c o urt d o c u m e nt w hi c h s p e cifi e s t h e p o w er s t h at h a v e b e e n gr a nt e d t o t h e
g u ar di a n. T h e C ertifi c at e of R e gi str ati o n i s i s s u e d b y t h e O P G t o s h o w t h at t h e g u ar di a n s hi p
or d er h a s b e e n r e gi st er e d wit h t h e m.
3 0 5 5 W h er e m or e t h a n o n e p er s o n h a s b e e n a p p oi nt e d b y t h e O P G a ll t h o s e n a m e d m u st h a v e a
C ertifi c at e of R e gi str ati o n. C h e c k t h e pr o c e e di n g s b e g a n o n or aft er 3 1 M ar c h 2 0 0 2.
3 0 5 6 I n all c a s e s w h er e it i s cl e ar t h at t h e g u ar di a n s hi p or d er i n cl u d e s t h e p o w er t o a d mi ni st er t h e
fi n a n ci al aff air s of t h e c u st o m er, d o n ot t a k e a n y a p p oi nt e e a cti o n. T h e g u ar di a n i s a ut h ori z e d
t o d e al wit h t h e c u st o m er’ s s o ci al s e c urit y aff air s. S e e al s o p ar a. 3 0 1 0.
3 0 5 7 G u ar di a n s hi p Or d er s s h o ul d b e s e nt t o:
I nf or m ati o n M a n a g e m e nt, D e v ol uti o n a n d G o v er n a n c e, D e v ol uti o n T e a m
Sil v a n H o u s e, 2 n d Fl o or
2 3 1 C or st or p hi n e R o a d
E di n b ur g h
E H 1 2 7 A T
T el: 0 1 3 1 3 1 0 1 1 6 1
E- m ail: T h e a d dr e s s i s li st e d o n t h e G A L a s D W P D e v ol uti o n P oli c y T e a m
C o uri er: E di n b ur g h I nf or m ati o n a n d D e v ol uti o n P oli c y
3 0 5 8 If I nf or m ati o n M a n a g e m e nt, D e v ol uti o n a n d G o v er n a n c e, D e v ol uti o n T e a m c o nfir m t h at t h e
G u ar di a n h a s a ut h orit y t o h a n dl e t h e s o ci al s e c urit y b e n efit af f air s of t h e c u st o m er, s e e
Cr e ati n g a n O P/ C O P r el ati o n s hi p i n P art si x of t h e g ui d e.
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art t hr e e
G u ar di a n, C ur at or B o ni s & T ut or, S c otl a n d
I nt er v e nti o n Or d er s
3 0 5 9 T h e A d ult s wit h I n c a p a cit y ( S c otl a n d) A ct 2 0 0 0 al s o gi v e s t h e c o urt s p o w er t o i m p o s e
i nt er v e nti o n or d er s. T h e s e ar e i nt e n d e d a s a t e m p or ar y m e a s ur e i n r el ati o n t o a s p e cifi c a ct
or d e ci si o n o n b e h alf of t h e c u st o m er i n or d er t o pr ot e ct t h eir i nt er e st s.
It s h o ul d b e n ot e d t h at a n I nt er v e nti o n Or d er, e v e n w h er e it in cl u d e s a ut h orit y t o m a n a g e
b e n efit p a y m e nt s, d o e s n ot t a k e pri orit y o v er a n a p p oi nt m e nt m a d e b y t h e S e cr et ar y of St at e.
T h e y c a n o p er at e si m ult a n e o u sl y. I n pr a cti c e y o u s h o ul d c o n si d e r w h et h er t hi s w o ul d b e t h e
b e st a p pr o a c h f or t h e c u st o m er. A s t h e I nt er v e nti o n Or d er i s li k el y t o c o v er all t h e c u st o m er’ s
fi n a n ci al aff air s a n d n ot j u st b e n efit s, t h e n if t h er e i s a n e xi sti n g a p p oi nt m e nt y o u m a y w a nt t o
c o n si d er r e v o ki n g it. T hi s will r e q uir e c ar ef ul c o n si d er ati o n a n d di s c u s si o n wit h all p arti e s.
3 0 6 0 T h e l e n gt h of ti m e t h e i nt er v e nti o n or d er i s i n f or c e, a n d t h e p o w er s s p e cifi e d i n t h e or d er will
d et er mi n e w h et h er t h e D e p art m e n t n e e d s t o t a k e a n y a cti o n.
3 0 6 1 I nt er v e nti o n Or d er s s h o ul d b e s e nt t o I nf or m ati o n M a n a g e m e nt, D e v ol uti o n a n d G o v er n a n c e,
D e v ol uti o n T e a m. S e e p ar a 3 0 5 7 f or d et ail s.
3 0 6 2 I s s u e a n y cl ai m f or m s a n d r e c or d t h e f oll o wi n g:
1. d et ail s of t h e P A B;
2. w h et h er t h e a p p oi nt m e nt i s of G u a r di a n, C ur at or B o ni s or T ut or;
3. t h e n u m b er a n d d at e of t h e or d er of a p p oi nt m e nt;
4. t h e r e c ei pt a n d di s p o s al of t h e O B if a p pr o pri at e.
F or w ar d a c o p y of t h e a p p oi nt m e nt t o all ot h er a p pr o pri at e b e n efit s e cti o n s.
3 0 6 3 If t h e p o w er s of a p p oi nt m e nt ar e li mit e d a n d/ or it i s n ot cl e ar w h et h er t h e p er s o n i s a p p oi nt e d
t o d e al wit h S o ci al S e c urit y m att er s, r ef er t h e c a s e t o t h e s u per vi s or or t e a m l e a d er t o
c o n si d er r ef err al t o I nf or m at i o n M a n a g e m e nt, D e v ol uti o n a n d G o ver n a n c e, D e v ol uti o n T e a m
f or n or m al a p p oi nt e e a cti o n.
3 0 6 4 - 3 0 9 9
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
Part four Attorney
Contents
Part four – Attorney Introduction ................................................................................................. 4000
Attorney – England and Wales .................................................................. 4050
Verifying the attorney is empowered ........................................................ 4055
Photocopies .............................................................................................. 4058
Scanned PoAs .......................................................................................... 4059
Overseas Attorneys
PoA drawn up abroad ............................................................................... 4069
Capable customer with an existing attorney moves overseas and
wants attorney (who is staying in GB) to retain their role .................... 4071
Power of Attorney and Enduring Power of Attorney
Power of Attorney Act 1971 ..................................................................... 4100
Powers granted to the attorney under the Power of Attorney Act 1971 ... 4101
Enduring Power of Attorney Act 1985....................................................... 4111
Powers granted under the Enduring Power of Attorney Act 1985............ 4112
Checking the validity of a Power of Attorney made under the
Enduring Power of Attorney Act 1985 ................................................. 4113
Enduring Power of Attorney issued on or after 31 July 1990 ................... 4114
EPoA and the Mental Capacity Act 2005 ................................................. 4118
Lasting Power of Attorney under the Mental Capacity Act 2005 .............. 4119
Responsibilities of an attorney .................................................................. 4121
Customer/Attorney presents an Enduring Power of Attorney ................ 4126
Customer with an Enduring Power of Attorney loses capacity................. 4135
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Agents, Appointees, Attorneys and Deputies Guide
Part four Attorney
Customer/Attorney presents a Lasting Power of Attorney ..................... 4141
Customer has capacity ............................................................................. 4143
Customer does not have capacity ............................................................ 4145
Two or more attorneys.............................................................................. 4150
Power of Attorney document allows attorneys to act separately.............. 4151
Power of Attorney document does not allow attorneys to act
separately .............................................................................................. 4152
Either attorney declines to act on the customer's behalf .......................... 4153
Power of attorney granted with specific powers ..................................... 4160
Power of attorney granted for a limited period ........................................ 4162
Suspicion of fraud or mismanagement by the attorney - registered
Power of Attorney .................................................................................... 4164
Suspicion of fraud or mismanagement by the attorney –
unregistered Enduring Power of Attorney or Power of Attorney
Professional attorneys ............................................................................. 4166
Attorney empowered to act....................................................................... 4169
Attorney not empowered to act................................................................. 4180
Attorney – Scotland .................................................................................... 4190
Power of Attorney made under the Power of Attorney Act 1971.............. 4194
Electronic Power of Attorney Registration – EPOAR (from May 2012).... 4195
EPOAR Certificate of Registration – validation ........................................ 4196
EPOAR – Ability to verify Registrations On-line ....................................... 4197
Other points to note .................................................................................. 4198
Copies....................................................................................................... 4199
Overseas Attorney
PoA drawn up abroad ............................................................................... 4206
Capable customer with an existing attorney moves overseas and
wants attorney (who is staying in GB) to retain their role ...................... 4208
June 2012
Agents, Appointees, Attorneys and Deputies Guide
Part four Attorney
Attorney moving abroad, customer remaining in GB but wants
attorney to retain role............................................................................. 4209
Adults with Incapacity (Scotland) Act 2000 ............................................. 4212
Position in the order of authority .............................................................. 4220
Responsibilities of an attorney .................................................................. 4230
Powers granted to an attorney
Full powers................................................................................................ 4240
Specific powers......................................................................................... 4250
Power of attorney granted for a limited period.......................................... 4260
Verifying the attorney is empowered ......................................................... 4270
Photocopies .............................................................................................. 4271
Checking the power of attorney document is acceptable......................... 4274
Acceptable wording for powers of attorney .............................................. 4276
Power of Attorney document does not satisfy the Scottish
requirement............................................................................................ 4277
Two or more attorneys
Power of Attorney document allows attorneys to act separately.............. 4290
Power of Attorney document does not allow attorneys to act
separately .............................................................................................. 4291
Either attorney declines to act on the customer’s behalf .......................... 4292
Attorney not empowered to act ................................................................. 4300
Attorney empowered to act ........................................................................ 4310
June 2012
Agents, Appointees, Attorneys and Deputies Guide
Part four Attorney
Attorney – England and Wales
4050 A PoA is a formal instrument by which one person (a donor) empowers another (a donee, who is the attorney) to act on his behalf either generally or in specific circumstances.
4051 A PoA can be granted under:
x The Power of Attorney Act 1971 (This is a general PoA)
x The Enduring Power of Attorney Act 1985 ( The power to make an EPoA was revoked 1.10.07 – see para 4111)
x The Mental Capacity Act 2005. (A LPA is made under this Act)
4052 Whichever Act a PoA is granted under, the attorney can be given:
x general powers to handle all the customer's affairs, that is, both in relation to financial matters and personal welfare - see Responsibilities of an attorney in this part of the guide
x specific powers to handle some of the customer's affairs - see Power of attorney
granted with specific powers in this part of the guide and/or
x powers for a limited period, eg while the customer is ill or abroad - see Power of
attorney granted for a limited period
4053 The Secretary of State can accept a PoA as a valid authority to manage the social security benefit affairs of the customer under certain circumstances.
4054 A PoA can be granted to:
x an individual
x two or more individuals, i.e. joint attorneys, see Two or more attorneys
or
x an organization, see Professional attorneys.
Verifying the attorney is empowered
4055 If you receive a claim or enquiry from any person(s) or organization stating that they are the customer's attorney(s) and that they wish to act for the customer, ask to see the PoA document.
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Agents, Appointees, Attorneys and Deputies Guide
Part four Attorney
4056 To be acceptable, a PoA document must:
a) be signed by:
x the customer, whose signature must be countersigned by a witness or
x someone acting under the customer's direction and in the customer's presence, whose signature must be countersigned by two witnesses and
b) give the attorney's:
x name
x address and
c) include the words:
x signed and sealed' if the PoA was completed before 31 July 1990 or
x 'signed as a deed' if the PoA was completed on or after 31 July 1990
d) in the case of PoA under the 1971 Act, it must make reference to that Act.
e) in the case of an LPA, and a registered EPoA, you should see:
x OPG validated stamp at the bottom of the front page
x same stamp on all other pages (not necessarily at the bottom)
x top left corner of front page: reference number and date of registration.
If presented with form LPA004 this of itself is not acceptable. It is an information only form. You must see the original or copied LPA.
4057 There is a template, provided by both the 1971 Act and the 1985 Act, which the vast majority use, see Appendices 9 - 11 in this part of the guide.
Photocopies
4058 You can accept a photocopy of any PoA document provided it includes a declaration that it is a true and complete copy of the original signed by:
x the customer or
x a solicitor or
x a stockbroker.
June 2012
Agents, Appointees, Attorneys and Deputies Guide
P art f o u r
Att or n e y
S c a n n e d P o A s
4 0 5 9 W h er e t h e P o A i s r e c ei v e d a s a s c a n n e d d o c u m e nt t h er e i s n o n e e d t o pri nt o ut a n d s a v e a s
a h ar d c o p y. I n st e a d, t h e p er s o n v erif yi n g t h e v ali dit y s h o ul d n ot e it s a c c e pt a n c e i n N ot e p a d.
T h e p er s o n s h o ul d pr o vi d e t h eir n a m e a n d t h e d at e.
4 0 6 0 - 4 0 6 8
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art f o u r Att or n e y
P o w e r of Att or n e y a n d E n d uri n g P o w er ofAtt or n e y
P o w er of Att or n e y A ct 1 9 7 1
4 1 0 0 A P o A gr a nt e d u n d er t h e a b o v e A ct i s a n a ut h orit y f or t h e att or n e y t o m a n a g e t h e fi n a n ci al
aff air s of t h e d o n or or c u st o m er. It i s o nl y v ali d if t h e c u st o m er i s m e nt all y c a p a bl e. It
t h er ef or e e x pir e s w h e n t h e c u st o m er b e c o m e s m e nt all y i n c a p a bl e. If t h e c u st o m er h a s
m e nt al c a p a cit y it c a n b e a v ali d a ut h orit y t o a ct a s l o n g a s i t gr a nt s g e n er al a ut h orit y a n d
c o nf or m s t o c ert ai n f or m aliti e s.
P o w er s gr a nt e d t o t h e att or n e y u n d er t h e P o w er of Att or n e y A ct 1 9 7 1
4 1 0 1 If t h e P o A d o c u m e nt st at e s t h at t h e c u st o m er gr a nt s t h eir att or n e y g e n er al p o w er s u n d er
s e cti o n 1 0 of t h e P o w er of Att or n e y A ct 1 9 7 1, t h e att or n e y i s gi v e n f ull p o w er t o h a n dl e t h e
fi n a n ci al aff air s of t h e c u st o m er. T h e S e cr et ar y of St at e c a n a c c e pt t hi s a ut h orit y a s
s uffi ci e nt t o h a n dl e t h e b e n efit aff air s of t h e d o n or, s e e R e s p o n si biliti e s of t h e att or n e y l at er
i n t hi s s e cti o n. A n e x a m pl e of a g e n er al P o A i s s u e d u n d er S e ctio n 1 0 of t h e P o w er of
Att or n e y A ct 1 9 7 1 i s s h o w n at A p p e n di x 1 1.
4 1 0 2 H o w e v er, w h e n a P o A i s m a d e u n d er t h e 1 9 7 1 A ct u s e of t h e t e m pl at e i s n ot m a n d at or y. A
P o A c a n b e cr e at e d o n a pi e c e of p a p er a s l o n g a s r ef er e n c e i s m a d e t o t h e 1 9 7 1 A ct. F or
e x a m pl e it s h o ul d st at e t h at it h a s b e e n m a d e “i n a c c or d a n c e wi t h t h e P o A A ct 1 9 7 1”.
4 1 0 3 If y o u r e c ei v e a g e n er al P oA d o c u m e nt w hi c h d o e s n ot i n cl u d e t h e w or di n g s h o w n i n t h e
e x a m pl e s h o w n at A p p e n di x 1 1 t a k e a p h ot o c o p y a n d r ef er it t o:
Str at e g y D M A P oli c y
3r d Fl o or
C a xt o n H o u s e
L o n d o n
S W 1 9 N A
F a x 0 2 0 7 4 4 9 7 3 4 7.
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art f o ur
A tt or n e y
4 1 0 4 If D M A L e e d s r e pl y st ati n g t h at t h e P o A i s:
x a c c e pt a bl e, s e e Att or n e y e m p o w er e d t o a ct or
x n ot a c c e pt a bl e, s e e Att or n e y n ot e m p o w er e d t o a ct.
4 1 0 5 If t h e c u st o m er gr a nt s t h eir att or n e y s p e cifi c p o w er s, t h e p o w er s m a y or m a y n ot i n cl u d e t h e
p o w er t o d e al wit h S o ci al S e c urit y b e n efit, s e e P o w er of att or n e y gr a nt e d wit h s p e cifi c
p o w er s.
4 1 0 6 B e c a u s e t h e c u st o m er still m u st h a v e m e nt al c a p a cit y t o h a n dl e t h eir o w n aff air s f or t h e P o A
t o b e v ali d, t h e c u st o m er c a n still c h o o s e t o h a n dl e t h eir o w n aff air s, s e e C u st o m er h a s
m e nt al c a p a cit y i n t hi s p art of t h e g ui d e.
4 1 0 7 - 4 1 1 0
E n d uri n g P o w er of Att or n e y A ct 1 9 8 5
4 1 1 1 U nli k e a P o A m a d e u n d er t h e P o w er of Att or n e y A ct 1 9 7 1, a P o A m a d e u n d er t h e E n d uri n g
P o w er of Att or n e y A ct 1 9 8 5 i s i nt e n d e d t o c o nti n u e w h e n t h e c u st o m er l o s e s m e nt al
c a p a cit y . F or t h e v ali dit y of a n E P o A i n S c otl a n d, s e e p ar a 4 2 0 5 i n t hi s g ui d e.
N B: T h e E P o A A ct 1 9 8 5 w a s r e p e al e d b y t h e M e nt al C a p a cit y A ct 2 0 0 5. H o w e v er, e xi sti n g
E P o A s will c o nti n u e t o o p er at e u n d er S c h e d ul e 4 of t h e M e nt al C a p a cit y A ct. T h e p ar a s
b el o w ar e r et ai n e d b e c a u s e if w e ar e pr e s e nt e d wit h a n E P o A r e gi st er e d b ef or e 1 O ct o b er
2 0 0 7 t h e n t h e 1 9 8 5 v erifi c ati o n r ul e s will still a p pl y.
P o w er s gr a nt e d u n d er t h e E n d uri n g P o w er of Att or n e y A ct 1 9 8 5
4 1 1 2 If t h e c u st o m er gr a nt s t h eir att or n e y g e n er al p o w er s u n d er t h e E n d uri n g P o w er of Att or n e y
A ct 1 9 8 5, t h e att or n e y h a s f ull p o w er t o a ct f or t h e c u st o m er o v er all t h eir fi n a n ci al aff air s
i n cl u di n g s o ci al s e c urit y b e n efit s, s e e R e s p o n si biliti e s of a n att or n e y i n t hi s p art of t h e g ui d e.
T h e w or di n g o n t h e p o w er will u s u all y i n di c at e w h et h er t h e p o w e r s gr a nt e d ar e g e n er al or
s p e cifi c, s e e P o w er of att or n e y gr a nt e d wit h s p e cifi c p o w er s.
C h e c ki n g t h e v ali dit y of a P o w er of Att or n e y m a d e u n d er t h e E n d uri n g P o w er of Att or n e y A ct 1 9 8 5
4 1 1 3 T h e E n d uri n g P o w er s of Att or n e y A ct 1 9 8 5 c a m e i nt o f or c e o n 1 0 M ar c h 1 9 8 6. T h e f or m at
a n d w or di n g of a n E P o A d o c u m e nt c a n diff er, d e p e n di n g o n t h e d a t e of i s s u e. If t h e E P o A i s
si g n e d b ef or e 3 1 J ul y 1 9 9 0 t h e d o c u m e nt m u st c o m pl y wit h t h e r e g ul ati o n s at t h at ti m e. S e e
A p p e n di c e s 9 a n d 9 a f or f urt h er i nf or m ati o n.
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art f o u r
Att or n e y
E n d u ri n g P o w er of Att or n e y i s s u e d o n or aft er 3 1 J ul y 1 9 9 0
4 1 1 4 T h e 1 9 9 0 R e g ul ati o n s p er mit a n E P o A i s s u e d o n or aft er 3 1 J ul y 1 9 9 0 n ot t o b e s e al e d.
T h e s e R e g ul ati o n s al s o all o w t h e att or n e y t o si g n t h e d o c u m e nt at t h e dir e cti o n of t h e d o n or
( c u st o m er), i n li n e wit h t h e P o A A ct 1 9 7 1. T h e c u st o m er i s n ot c o m p ell e d t o si g n [ a m ar k will
b e s uffi ci e nt], pr o vi d e d t h at t h er e ar e t w o wit n e s s e s.
4 1 1 5 A n e x a m pl e of a n E P o A i s s u e d u n d er t h e 1 9 9 0 R e g ul ati o n s i s s h o w n at A p p e n di x 1 0.
4 1 1 6 A n y f ail ur e t o c o m pl y wit h t h e R e g ul ati o n s c urr e nt w h e n t h e p o w er w a s e x e c ut e d will
i n v ali d at e t h e d o c u m e nt.
4 1 1 7 A n y d o u btf ul c a s e s s h o ul d b e r ef err e d i n writi n g or f a x, t o:
Str at e g y D M A P oli c y
3r d Fl o or
C a xt o n H o u s e
L o n d o n
S W 1 9 N A
F a x 0 2 0 7 4 4 9 7 3 4 7.
4 1 1 8 E P o A a n d t h e M e nt al C a p a cit y A ct 2 0 0 5
x It h a s n ot b e e n p o s si bl e t o cr e at e a n E P o A si n c e 1 O ct o b er. H o w e v er, it i s still p o s si bl e
t o r e gi st er a n E P o A cr e at e d b ef or e t hi s d at e.
x If pr e s e nt e d wit h a n E P o A r e gi st er e d b ef or e 1 Oct o b er t h e n t h e st a n d ar d E P o A
v erifi c ati o n r ul e s a p pl y - s e e p ar a. 4 1 1 3 et s e q.
x If pr e s e nt e d wit h a n E P o A r e gi st er e d aft er 1 O ct o b er t h e n t h e L P A v erifi c ati o n r ul e s will
a p pl y - s e e p ar a 4 1 4 1 et s e q.
4 1 1 9 L a sti n g P o w er of Att or n e y u n d er t h e M e nt al C a p a cit y A ct 2 0 0 5
A n L P A i s a n e w l e g al f or m, w hi c h fr o m 1 O ct o b er 2 0 0 7 all o w s o ur c u st o m er t o c h o o s e
s o m e o n e el s e t o m a n a g e t h eir aff a ir s - s e e A p p e n di x 1 5 f or a s pe ci m e n L P A.
T h er e ar e t w o t y p e s of L P A s:
- a pr o p ert y a n d aff air s L P A all o wi n g t h e att or n e y t o m a k e de ci si o n s r el ati n g t o fi n a n ci al
a n d pr o p ert y m att er s. T hi s c a n b e u s e d e v e n if t h e c u st o m er still h a s c a p a cit y .
or
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
Part four Attorney
- a personal welfare LPA allowing the attorney to make decisions regarding the customer’s health and personal welfare, such as where they should live or medical treatment received. This can only be used when the customer does not have capacity.
Note: An LPA cannot be used until it has been registered with the OPG.
4120
June 2012
Agents, Appointees, Attorneys and Deputies Guide
P art f o u r
Att or n e y
C u st o m er/ Att or n e y pr e s e nt s a L a sti n g P o w er ofAtt or n e y
4 1 4 1 W h er e t h e c u st o m er pr e s e nt s a L P A y o u n e e d t o c h e c k f or t w o t hi n g s:
1. T h at it h a s b e e n r e gi st er e d wit h t h e O P G. Y o u s h o ul d s e e t h e f oll o wi n g:
i O P G v ali d at e d st a m p at h e b ott o m of t h e p a g e
ii S a m e st a m p o n all ot h er p a g e s ( n ot n e c e s s aril y at t h e b otto m)
iii T o p l eft h a n d c or n er of fr o nt p a g e; r ef er e n c e n u m b er a n d d at e of r e gi str ati o n.
2. T h at it gi v e s a ut h orit y o v er t h e c u st o m er’ s fi n a n c e s. If it o nl y gi v e s a ut h orit y o v er t h e
c u st o m er’ s p er s o n al w elf ar e t h e n it i s of n o u s e f or b e n efit p u r p o s e s. T h e p er s o n
s h o ul d b e r ef err e d t o t h e O P G – T el: 0 8 4 5 3 3 0 2 9 0 0.
4 1 4 2 W hil st t h e L P A m a y gi v e a ut h or it y o v er t h e p er s o n’ s fi n a n ce s w e s h o ul d c h e c k t h at t h er e ar e
n o r e stri cti o n s o n t h e p a y m e nt of b e n efit t o t h e att or n e y e g, t h at i n r e s p e ct of b e n efit t h e L P A
i s o nl y t o b e u s e d o n c e c a p a cit y h a s b e e n l o st. [If s u c h a n L P A i s pr e s e nt e d it m a y s u g g e st
t h at t h e att or n e y i s a cti n g wit h o ut t h e k n o wl e d g e of t h e cl ai m ant, i n w hi c h c a s e it m a y c a st
d o u bt a b o ut t h e m oti v ati o n of t h e att or n e y. W h er e t hi s ari s e s w e s h o ul d l et t h e O P G k n o w
w h at h a s tr a n s pir e d].
If y o u ar e s ati sfi e d o n b ot h c o u nt s (i n p ar a 4 1 4 1) t h e n it c a n b e a c c e pt e d a n d b e n efit p ai d t o
t h e att or n e y.
C u st o m er h a s c a p a cit y
4 1 4 3 If t h e c u st o m er h a s c a p a cit y t h e y m u st b e r e mi n d e d t h at w hil st t h eir b e n efit i s p ai d t o t h e
p er s o n h ol di n g t h e p o w er of att or n e y, t h e y r et ai n r e s p o n si bilit y f or t elli n g u s of a n y c h a n g e i n
t h eir cir c u m st a n c e s – y o u s h o ul d s e n d t h e l ett er s at A p p e n di x 1 6.
4 1 4 4 Y o u m u st al s o t ell t h e att or n e y t h at t h e y s h o ul d i nf or m u s w h e n c a p a cit y i s l o st. T hi s i s a n
i m p ort a nt c o n si d er ati o n s h o ul d a n y o v er p a y m e nt s u b s e q u e ntl y aris e. (If y o u ar e d e ali n g wit h
t h e att or n e y dir e ctl y t h e n y o u c a n t ell t h e m v er b all y; if n ot t h e n y o u s h o ul d writ e t o t h e m. Y o u
s h o ul d m a k e a n ot e of h a vi n g d o n e t hi s.)
C u st o m er d o e s n ot h a v e c a p a cit y
4 1 4 5 W h er e t h e c u st o m er h a s l o st c a p a cit y it i s i m p ort a nt t h at t h e att or n e y u n d er st a n d s t h e
r e q uir e m e nt t o l et u s k n o w a b o ut a n y c h a n g e i n t h e c u st o m er’ s an d t h eir o w n
cir c u m st a n c e s.
4 1 4 6 - 4 1 4 9
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art f o u r
Att or n e y
T w o or m or e att or n e y s
4 1 5 0 T h e c u st o m er c a n a ut h ori z e m o r e t h a n o n e att or n e y t o a ct ov er t h eir aff air s.
P o w er of Att or n e y d o c u m e nt all o w s att or n e y s t o a ct s e p ar at el y
4 1 5 1 W h er e t h e c u st o m er a p p oi nt s t w o or m or e att or n e y s j oi ntl y a n d t h e P o A d o c u m e nt
a ut h ori z e s t h e m t o a ct s e p ar at el y, t h e d o c u m e nt will st at e t h at t h e att or n e y s ar e a ut h ori z e d
t o a ct “j oi ntl y a n d s e v er all y”. (f or L P A s y o u m a y s e e t h e w or ds “t o g et h er a n d
i n d e p e n d e ntl y”, t hi s h a s t h e s a m e m e a ni n g a s “j oi ntl y a n d s e v erall y”). Y o u c a n p a y b e n efit t o
w hi c h e v er att or n e y m a k e s t h e a p pli c ati o n, pr o vi d e d t h e P o A d o c u m e nt m e et s t h e ot h er
r e q uir e m e nt s.
P o w er of Att or n e y d o c u m e nt d o e s n ot all o w att or n e y s t o a ct s e p ar at el y
4 1 5 2 If t h e c u st o m er a ut h ori z e s t w o or m or e att or n e y s b ut d o e s n ot a ut h ori z e t h e m t o a ct
s e p ar at el y t h e d o c u m e nt will n ot a ut h ori z e t h e m t o a ct “j oi ntl y a n d s e v er all y” b ut will o nl y
a ut h ori z e t h e m t o a ct “j oi ntl y”. ( F or L P A s y o u m a y s e e t h e w or d “t o g et h er”, t hi s i s t h e s a m e
m e a ni n g a s “j oi ntl y”). A n y a p pli c ati o n m u st b e m a d e j oi ntl y a n d si g n e d b y all p arti e s. All
p a y m e nt s i n r e s p e ct of t h e c u st o m er m u st al s o b e p ai d j oi ntl y t o t h e att or n e y s. B e c a u s e CI S
o nl y all o w s y o u t o i n p ut o n e P A B, a j oi nt att or n e y c a s e w o ul d h a v e t o b e m ai nt ai n e d
cl eri c all y.
Eit h er att or n e y d e cli n e s t o a ct o n t h e c u st o m er’ s b e h alf
4 1 5 3 W h e n t h e c u st o m er a p p oi nt s t w o or m or e att or n e y s j oi ntl y a n d t h e P o A d o c u m e nt d o e s n ot
a ut h ori z e t h e m t o a ct s e p ar at el y, b ut o n e or m or e t h e n d e cli n e t o a ct o n t h e c u st o m er’ s
b e h alf, t h er e ar e o nl y t w o o pti o n s a v ail a bl e:
x m a k e p a y m e nt dir e ct t o t h e c u st o m er or
x if t h e c u st o m er i s m e nt all y i n c a p a bl e, r ef er t h e c a s e t o t h e no mi n at e d/ a p pr o pri at e
offi c er t o c o n si d er a p p oi nt e e a cti o n. F or i nf or m ati o n a b o ut a ut h ori zi n g a n a p p oi nt e e,
s e e P art fi v e of t hi s g ui d e
Y o u c a n n ot m a k e p a y m e nt t o o nl y o n e att or n e y u n d er a j oi nt P o A.
4 1 5 4 - 4 1 5 9
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art f o u r
Att or n e y
S u s pi ci o n of fr a u d or mi s m a n a g e m e nt b y t h eatt or n e y - u nr e gi st er e d E n d uri n g P o w er ofAtt or n e y or P o w er of Att or n e y
4 1 6 5 If t h e c u st o m er i s a bl e t o m a n a g e t h eir o w n aff air s b ut w e h a v e a c c e pt e d a n E P o A or P o A
a n d t h er e i s e vi d e n c e t h at t h e att or n e y i s mi s m a n a gi n g t h e c u st o m er' s b e n efit aff air s, t h e
S e cr et ar y of St at e s h o ul d c o n si d er p a yi n g t h e b e n efit t o t h e c u st o m er. T hi s s h o ul d o nl y b e
d o n e aft er c ar ef ul c o n si d er ati o n of t h e e vi d e n c e. Y o u s h o ul d f o ll o w t h e st e p s a b o v e at 4 1 6 4
alt h o u g h a s t h e d o c u m e nt h a s n ot b e e n r e gi st er e d y o u d o n ot h a v e t o c o nt a ct t h e O P G.
P r of e s si o n al att or n e y s
4 1 6 6 It i s i m p ort a nt t o d et er mi n e w h et h er a n i n di vi d u al i s a cti n g i n a
p er s o n al or pr of e s si o n al c a p a cit y .
4 1 6 7 If t h e Att or n e y i s a cti n g i n a p er s o n al c a p a cit y, u s e hi s or h er NI N O a s a n i d e ntifi er. Pl e a s e
n ot e t h er e i s n o o bli g ati o n f or t h e att or n e y t o pr o vi d e t h e s e d et ail s. If t h e y o bj e ct, e x pl ai n
t h at, b e c a u s e of t h e w a y b e n efit s ar e a d mi ni st er e d i. e. d e p art m e nt al c o m p ut er s y st e m s t h at
r el y o n NI N O i d e ntifi c ati o n, it will e a s e t h e h a n dli n g of t h e cl ai m a n d t h e p a y m e nt of b e n efit if
t h e y pr o vi d e t h eir NI N O or e n o u g h i nf or m ati o n f or t h eir NI N O t o b e tr a c e d. If t h e y c o nti n u e t o
o bj e ct t h e o nl y o pti o n i s t o h a n dl e t h e cl ai m cl eri c all y.
4 1 6 8 If t h e Att or n e y i s a cti n g a s a n e m pl o y e e of a C or p or at e Org a ni z ati o n, u s e CI S t o tr a c e f or a n
e xi sti n g C or p or at e Or g a ni z ati o n I D. If t h er e i s n o tr a c e, u s e P D 3 8 5 t o cr e at e a n e w r e c or d.
CI S will g e n er at e a u ni q u e 6 di git I D f or t h e or g a ni z ati o n. I n n o cir c u m st a n c e s s h o ul d a n
i n di vi d u al’ s NI N O b e u s e d, n or s h o ul d a n y att e m pt b e m a d e t o tra c e it.
Att or n e y e m p o w er e d t o a ct
4 1 6 9 Aft er y o u v erif y t h e att or n e y i s e m p o w er e d t o a ct o n t h e c u st o m er’ s b e h alf f or S o ci al
S e c urit y b e n efit s, p e n si o n s a n d/ or all o w a n c e s, s e e Cr e ati n g a n
O P/ C O P r el ati o n s hi p i n P art si x of t hi s g ui d e.
4 1 7 0 I n l a w a P o A, E P o A or L P A i s n ot a hi g h er a ut h orit y t h a n a n a p p oi nt e e f or s o ci al s e c urit y
p ur p o s e s, b ut w h er e a v ali d P o A, E P o A or L P A e xi st s w e w o ul d r e s p e ct t hi s a n d t h e
att or n e y w o ul d n or m all y b e a c c e pt e d t o a ct f or b e n efit p ur p o s e s, u nl e s s t h er e i s a r e a s o n t o
b eli e v e t h at t h e att or n e y i s u n s uit a bl e, e. g. t h er e ar e gr o u n d s t o s u s p e ct fr a u d,
mi s m a n a g e m e nt or n e gl e ct.
4 1 7 1 - 4 1 7 9
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art f o ur
A tt or n e y
Att o r n e y n ot e m p o w er e d t o a ct
4 1 8 0 If t h e att or n e y i s n ot e m p o w er e d t o a ct o n b e h alf of t h e cu st o m er f or S o ci al S e c urit y
p ur p o s e s:
St e p A cti o n
1 i nf or m t h e att or n e y t h e y c a n n ot a ct f or t h e c u st o m er f or S o ci al
S e c urit y p ur p o s e s
2 if y o u ar e m a d e a w ar e t h at t h e c u st o m er i s m e nt all y i n c a p a bl e, r ef er
t h e c a s e t o t h e n o mi n at e d/ a p pr o pri at e offi c er t o c o n si d er a p p oint e e
a cti o n - s e e P art fi v e of t hi s g ui d e.
4 1 8 1 W h er e y o u r e c ei v e a P o A dr a w n u p a br o a d eit h er f or a cl ai m a nt w h o li v e s a br o a d or o n e
w h o li v e s i n t hi s c o u ntr y, y o u s h o ul d c o nt a ct I P C f or f urt h er A d vi c e.
4 1 8 2 - 4 1 8 9
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art f o u r
Att or n e y
Att or n e y - S c otl a n d
4 1 9 0 I n S c otl a n d, a P o A i s a n a p p oi nt m e nt of a g e nt b y d e e d b y whi c h o n e p er s o n (t h e c u st o m er)
gi v e s a n ot h er p er s o n( s) or or g a ni z ati o n (t h e att or n e y) a ut h orit y o v er t h eir aff air s.
4 1 9 1 A P o A c a n b e gr a nt e d t o:
x a n i n di vi d u al
x t w o or m or e i n di vi d u al s, i e j oi nt att or n e y s or
x a n or g a ni z ati o n.
4 1 9 2 A P o A gr a nt e d:
x pri or t o 2 A pril 2 0 0 1 d o e s n ot l a p s e w h e n t h e c u st o m er b e c o m e s i n c a p a bl e of
m a n a gi n g t h eir o w n aff air s u nl e s s t h e P o A d e e d s p e cifi c all y s o pr o vi d e s
x o n or aft er 2 A pril 2 0 0 1 , l a p s e s w h e n a c u st o m er b e c o m e s i n c a p a bl e of m a n a gi n g
t h eir o w n aff air s u nl e s s it i s a " c o nti n ui n g p o w er”. If it i s a c o nti n ui n g P o A c ert ai n
c o n diti o n s ar e r e q uir e d t o b e m et, i n cl u di n g r e gi str ati o n wit h t h e O P G pri or t o a n y u s e
of t h e P o A. F or m or e i nf or m ati o n a b o ut c o nti n ui n g P o A s a n d t h e s e cir c u m st a n c e s s e e
t h e A d ult s wit h I n c a p a cit y ( S c otl a n d) p art of t h e g ui d e.
F or a n e x a m pl e of a P o A i s s u e d i n S c otl a n d pri or t o 2. 4. 2 0 0 1, s e e A p p e n di x 1 2. F or
e x a m pl e of o n e i s s u e d aft er 2. 4. 2 0 0 1, s e e A p p e n di x 1 3.
4 1 9 3 T h e att or n e y c a n b e gi v e n:
x f ull p o w er s t o d e al wit h all t h e c u st o m er’ s aff air s
x s p e cifi c p o w er s t o h a n dl e s o m e of t h e c u st o m er’ s aff air s, a n d/ or
x P o A f or a li mit e d p eri o d, e g w hil e t h e c u st o m er i s ill or a br o a d.
F or m or e i nf or m ati o n, s e e P o w er s gr a nt e d t o a n att or n e y i n t h e S c otl a n d s e cti o n of t hi s p art
of t h e g ui d e.
I n c a p a bl e i n t hi s c o nt e xt m e a n s m e nt all y i n c a p a bl e or u n a bl e to c o m m u ni c at e b y r e a s o n of
i n c a p a cit y.
P o w er of Att or n e y m a d e u n d er t h e P o w er of Att or n e y A ct 1 9 7 1
4 1 9 4 A P o w er of Att or n e y m a d e u n d er t h e P o w er of Att or n e y A ct 1 9 7 1 i s n ot a v ali d a ut h orit y t o
a ct f or b e n efit s f or c u st o m er s w h o li v e i n S c otl a n d.
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art f o ur
A tt or n e y
El e ctr o ni c P o w er of Att or n e y R e gi str ati o n – E P O A R (fr o m M a y 2 0 1 2)
4 1 9 5 A n ‘ E P O A R’ all o w s u s er s t o u pl o a d p o w er of att or n e y d e e d s i n P D F f or m at f or tr a n s mi s si o n
t o t h e Offi c e of t h e P u bli c G u ar di a n. St aff at t h e Offi c e of t he P u bli c G u ar di a n will c h e c k t h e
s u b mitt e d p o w er of att or n e y d e e d t o e n s ur e t h at it m e et s st at ut or y v ali dit y r e q uir e m e nt s
b ef or e r e gi st eri n g it wit hi n t h eir e xi sti n g c o m p ut er s y st e m. ( A n e x a m pl e of a n E P O A R
c ertifi c at e c a n b e s e e n at A p p e n di x 2 1)
E P O A R C ertifi c at e of R e gi str ati o n - v ali d ati o n
4 1 9 6 Aft er r e gi str ati o n h a s o c c urr e d, a c ertifi c at e of r e gi str ati o n will b e g e n er at e d a n d tr a n s mitt e d
b a c k t o E P O A R i n P D F f or m at. T h e u s er will t h er e aft er b e a bl e t o a c c e s s E P O A R t o pri nt
o ut a h ar d c o p y. T h e c ertifi c at e of r e gi str ati o n i s s u e d u n d er E P O A R will h a v e t h e f oll o wi n g
f e at ur e s:
• T h er e will b e n o e m b o s s e d r e d s e al o n t h e c ertifi c at e. T h e w or di n g o n t h e c ertifi c at e
will st at e t hi s.
• T h e c ertifi c at e a n d a c c o m p a n yi n g d e e d will c arr y a w at er m ar k.
• E a c h p a g e will b e n u m b er e d, e. g. 1 of 7, 2 of 7 et c.
• T h e O P G r ef er e n c e n u m b er a n d u ni q u e c ertifi c at e n u m b er will a p p e ar o n e v er y
p a g e.
• T h e c ertifi c at e will d et ail h o w t o v erif y r e gi str ati o n a n d w h o t o c o nt a ct if t h er e ar e
c o n c er n s a b o ut it s a ut h e nti cit y.
• It will st at e t h at a c o p y of t h e pri n ci p al d o c u m e nt i s a s v ali d a s t h e ori gi n al i n
a c c or d a n c e wit h S 3 of t h e P o w er s of Att or n e y A ct 1 9 7 1.
E P O A R – A bilit y t o V erif y R e gi str ati o n s O n-li n e
4 1 9 7 T h e E P O A R sit e will i n cl u d e a f a cilit y w hi c h will all o w y o u w h e n pr e s e nt e d wit h a n
el e ctr o ni c all y pr o d u c e d c ertifi c at e of r e gi str ati o n t o v erif y i t s d et ail.
B y e nt eri n g s e ar c h d at a t a k e n fr o m t h e c ertifi c at e, t h e u s er w ill b e a bl e t o c o nfir m a n d m at c h
t h e f oll o wi n g:
• Gr a nt er’ s f ull n a m e.
• D at e t h e p o w er of att or n e y d e e d w a s si g n e d b y t h e gr a nt er.
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art f o u r
Att or n e y
• N a m e of pri n ci p al att or n e y( s).
• T h e n at ur e of t h e p o w er s e. g . c o nti n ui n g/ w elf ar e or b ot h.
• R e gi str ati o n st at u s, e. g. r e gi st er e d/r e v o k e d/t er mi n at e d.
• P u bli c G u ar di a n’ s r ef er e n c e n u m b er.
If t h er e r e m ai n d o u bt s a s t o t h e a ut h e nti cit y of t h e c ertifi c at e, c o nt a ct:
O P G( S c otl a n d), T el: 0 1 3 2 4 6 7 8 3 0 0
Ot h er P oi nt s t o N ot e
4 1 9 8 T h e u s e of el e ctr o ni c s u b mi s si o n i s n ot m a n d at or y. T h e cl eri c al p o w er of att or n e y
r e gi str ati o n s er vi c e will c o nti n u e wit h t h e u s u al v erifi c ati o n.
Or di n ar y a n d g e n er al p o w er s of att or n e y ar e n ot aff e ct e d n or a r e p o w er s of att or n e y m a d e
u n d er t h e l a w of a c o u ntr y ot h er t h a n S c otl a n d.
C o pi e s
4 1 9 9 A c o p y s h o ul d h a v e a C ertif i c at e at t h e e n d of e a c h p a g e whi c h s a y s: “I c ertif y t hi s p a g e t o
b e a tr u e a n d c o m pl et e c o p y of t h e c orr e s p o n di n g p a g e of t h e or i gi n al I n str u m e nt.” a n d
A C ertifi c at e at t h e n e n d of t h e c o m pl et e c o p y w hi c h s a y s: “I c ertif y t h e f or e g oi n g
r e pr o d u cti o n t o b e a tr u e a n d c o m pl et e c o p y of t h e ori gi n al I n str u m e nt.”
T h e p er s o n m a ki n g t h e a b o v e st at e m e nt m u st b e a s oli cit or, a n a ut h ori s e d p er s o n or a
st o c k br o k er.
4 2 0 0 - 4 2 0 5
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art f o u r
Att or n e y
h erit a bl e, m o v a bl e, r e al a n d p er s o n al, of w h at ki n d s o e v er a n d w h er e v er sit u at e
w hi c h I c o ul d h a v e d o n e m y s elf if p er s o n all y a cti n g, a n d i n p arti c ul ar, wit h o ut
pr ej u di c e t o t h e f or e g oi n g g e n er alit y — —-’
– ‘ — — wit h f ull p o w er t o d o e v er yt hi n g r e g ar di n g m y e st at e a n d aff air s w hi c h I c o ul d
d o or c o ul d h a v e d o n e m y s elf wit h o ut li mit ati o n b y r e a s o n of a n yt hi n g h er ei n
c o nt ai n e d a n d wit h o ut pr ej u di c e t o t h e f or e g oi n g g e n er alit y — —-’ or
– ‘ T o cl ai m a n d r e c ei v e o n m y b e h alf all p e n si o n s, b e n efit s, all o w a n c e s, s er vi c e s,
fi n a n ci al c o ntri b uti o n s, r e p a y m e nt s, r e b at e s, a n d t h e li k e, t o w hi c h I m a y b e
e ntitl e d or f or w hi c h I m a y b e e ntitl e d t o a p pl y. T o c o m pl et e a n d s u b mit all f or m s,
gi v e a n y n e c e s s ar y u n d ert a ki n g s, m a k e a n y r el e v a nt a p p e al s a n d g e n er all y d o
a n yt hi n g el s e n e c e s s ar y or a p pr o pri at e i n c o n n e cti o n t h er e wit h, a n d t h at a s
r e g ar d s all p eri o d s p a st c urr e nt or f ut ur e.’
P o w er of Att or n e y d o c u m e nt d o e s n ot s ati sf y t h e S c otti s h r e q uir e m e nt
4 2 7 6 If y o u r e c ei v e a P o A or a d o c u m e nt w hi c h d o e s n ot s ati sf y t h e w or di n g r e q uir e m e nt s at
p ar a gr a p h 4 2 7 5, it m a y still b e l e g all y v ali d. I n t h e s e cir c u m s t a n c e s, a c o p y of t h e d o c u m e nt
s h o ul d b e t a k e n a n d r ef err e d f or a d vi c e t o:
I nf or m ati o n – M a n a g e m e nt, D e v ol uti o n a n d G o v er n a n c e, D e v ol uti on T e a m
Sil v a n H o u s e
2 n d Fl o or
2 3 1 C or st or p hi n e R o a d
E di n b ur g h
E H 1 2 7 A T
T el: 0 1 3 1 3 1 0 1 1 6 1
E- m ail: O ur a d dr e s s i s li st e d i n t h e G A L a s D W P D e v ol uti o n P ol i c y T e a m
C o uri er: E di n b ur g h I nf or m ati o n a n d D e v ol uti o n P oli c y
4 2 7 7 - 4 2 8 9
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
Part five Appointee
Contents
Part five – Appointee
Introduction..................................................................................................................5000
When appointee action is not appropriate................................................................5010
Managers of Care Homes in Scotland .......................................................................5013
Responsibilities of an appointee ...............................................................................5050
Request for an appointee received ...........................................................................5100
HB/CTB appointee....................................................................................................5102
Considering the need for an appointee ....................................................................5150
Completing the BF56 appointee application form ....................................................5160
Visiting the customer ................................................................................................5170
Assessing the customer’s capabilities......................................................................5180
Doubt over the customers capabilities .....................................................................5181
Physical Disability - special circumstances .............................................................5183
Customer in hospital.................................................................................................5184
Interviewing the prospective appointee - guidance for the Interviewing Officer
Restrictions on residential care home or nursing home staff (CH/NH) ....................5200
If an individual is the prospective appointee.............................................................5210
If an organization is the prospective appointee........................................................5220
Organization already acts as appointee for other customers...................................5221
Organization does not already act as appointee for other customers......................5222
Authorized person within corporate body changes ..................................................5225
Someone other than authorized person contacts the department on behalf
of COP..................................................................................................................5227
June 2012
Agents, Appointees, Attorneys and Deputies Guide
Part five Appointee
Prospective appointee lives outside your office area ............................................5250
Appointee needed but no one nominated ................................................................5300
Changing an appointee ..............................................................................................5303
Secretary of State’s decision on the application
Appointment to act not approved .............................................................................5350
Appointment to act approved ...................................................................................5360
Handling a phone call from the appointee................................................................5361
Revoking an appointment ..........................................................................................5400
Revoking the appointment because appointee is not acting in best interest
of the customer ....................................................................................................5401
Revoking an appointment - request received from the customer ............................5402
Case conferences.....................................................................................................5403
Revoking a corporate appointee .............................................................................5404
Obtaining consent for the release of medical information when a customer
has an appointee........................................................................................................5406
Death of the customer ................................................................................................5450
Overseas appointees...................................................................................................5452
Customer with an existing appointee moves overseas but the appointee
is staying in GB and wants to retain the role ........................................................5453
Appointee is moving abroad, customer remaining in GB .........................................5455
Application from would-be appointee who lives abroad, customer in GB ................5456
Overseas customer becomes incapable and prospective appointee lives near
the customer .........................................................................................................5457
June 2012
Agents, Appointees, Attorneys and Deputies Guide
P art fi v e
A p p oi nt e e
O r g a ni z ati o n alr e a d y a ct s a s a p p oi nt e e f or ot h er c u st o m er s
5 2 2 1 If t h e or g a ni z ati o n alr e a d y a ct s a s a p p oi nt e e f or ot h er c ust o m er s, t h e a p p oi nt e e s hi p c a n b e
a ut h ori z e d i m m e di at el y aft er:
• y o ur vi sit (if t hi s h a s b e e n a p pr o pri at e – s e e b el o w) t o t h e c u st o m er c o nfir m s t h eir
i n c a p a cit y t o m a n a g e t h eir o w n aff air s a n d
• a n a ut h ori z e d r e pr e s e nt ati v e of t h e or g a ni z ati o n h a s:
– c o m pl et e d f or m B F 5 6 t o s h o w t h e or g a ni z ati o n’ s ( n ot t h e r e pr e s e nt ati v e’ s)
d et ail s a n d
– st a m p e d f or m B F 5 6 wit h t h e or g a ni z ati o n’ s offi ci al st a m p.
– ( O c c a si o n all y t h e c or p or at e a p p oi nt e e m a y n ot h a v e a n or g a ni s ati o n st a m p.
T hi s d o e s n ot i n v ali d at e t h e a p pli c ati o n. Y o u s h o ul d c h e c k o ur s y st e m t o
c o nfir m t h at t h e a p pli c a nt d o e s i n d e e d a ct a s a n a p p oi nt e e. If t h at i s c o nfir m e d,
a n d t h er e i s n ot hi n g t o s u g g e st t h at t h e l at e st a p pli c ati o n i s ot h er t h a n g e n ui n e,
t h e n it c a n b e a c c e pt e d.)
O r g a ni z ati o n d o e s n ot alr e a d y a ct a s a p p oi nt e e f or ot h er c u st o m er s
5 2 2 2 If a n or g a ni z ati o n d o e s n ot alre a d y a ct a s a n a p p oi nt e e f o r ot h er c u st o m er s, a vi sit m u st b e
m a d e t o:
� d e ci d e t h at t h e c u st o m er n e e d s a n a p p oi nt e e – b ut s e e b el o w
• di s c u s s t h e r ol e s a n d r e s p o n si biliti e s of a n a p p oi nt e e, a n d
• m a k e cl e ar t h at, a s a n a p p oi nt e e, t h e or g a ni z ati o n i s r e s p o n s i bl e f or m a ki n g s ur e t h at
a n y of t h eir r e pr e s e nt ati v e( s) a ut h ori z e d t o c oll e ct t h e c u st o m er’ s p a y m e nt s ar e
a cti n g i n t h e c u st o m er’ s b e st i nt er e st.
5 2 2 3 N ot e: W h e n a n or g a ni z ati o n i s a p pl yi n g t o b e c o m e a n a p p oi nt e e t h e y m u st a ut h ori z e a n
e m pl o y e e t o c o m pl et e f or m B F 5 6 o n t h eir b e h alf.
5 2 2 4 O n b ei n g a p p oi nt e d b y t h e S e cr e t ar y of St at e, t h e or g a ni z ati o n m u st al s o c o m pl et e t h e
c ertifi c at e at p art 4 of f or m B F 5 7, or pr o vi d e t h e e m pl o y e e wit h a si mil ar l ett er of a ut h orit y.
O r g a ni z ati o n s u b mit s m e di c al e vi d e n c e wit h a p pli c ati o n
5 2 2 5 If t h e a p pli c ati o n i s a c c o m p a ni e d b y m e di c al e vi d e n c e t h e n a vi sit t o t h e c u st o m er m a y n ot
b e n e c e s s ar y. T h e e vi d e n c e m u st u n e q ui v o c all y i n di c at e t h at t h e c u st o m er i s i n c a p a bl e of
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art fi v e
A p p oi nt e e
m a n a gi n g t h eir b e n efit aff air s. T h e e vi d e n c e s h o ul d c o m e fr o m a pr of e s si o n al w h o k n o w s
t h e c u st o m er a n d i s i n a p o siti o n t o c o m m e nt o n t h eir c o n diti o n e g a G P, c o n s ult a nt,
p s y c hi atri st. If t h er e i s a n y d o u bt t h e n y o u s h o ul d eit h er cl ar if y wit h t h e Or g a ni z ati o n a n d/ or
s e e k a d vi c e fr o m t h e d e p art m e nt’ s d o ct or s. Y o u s h o ul d err o n t h e si d e of c a uti o n a n d vi sit if
y o u b eli e v e t h at i s t h e o nl y m e a n s of r e m o vi n g a n y d o u bt.
5 2 2 6 T h e or g a ni z ati o n will n e e d t o pr o vi d e t h e e m pl o y e e wit h a l ett er of a ut h orit y a ut h ori zi n g t h at
p er s o n t o a ct.
S o m e o n e ot h er t h a n a ut h ori z e d p er s o n c o nt a ct s t h ed e p art m e nt o n b e h alf of C O P
5 2 2 7 If a c all i s r e c ei v e d fr o m s o m e o n e w h o st at e s t h e y ar e c alli n g o n b e h alf of a c or p or at e
a p p oi nt e e y o u s h o ul d a p pl y t h e ‘i m pli cit c o n s e nt’ r ul e s – s e e t h e W or ki n g wit h
R e pr e s e nt ati v e s G ui d e.
5 2 2 8 - 5 2 4 9
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art fi v e
A p p oi nt e e
S e c r et ar y of St at e' s d e ci si o n o n t h e a p pli c ati o n
A p p oi nt m e nt t o a ct n ot a p pr o v e d
5 3 5 0 If t h e offi c er a cti n g o n b e h alf of t h e S e cr et ar y of St at e d e ci d e s n ot t o a ut h ori z e a n
a p pli c ati o n:
St e p A cti o n
1 n otif y t h e pr o s p e cti v e a p p oi nt e e t h at t h eir a p pli c ati o n w a s
u n s u c c e s sf ul – if y o u h a v e y o ur o w n l ett er t h e n c o nti n u e t o
u s e it ot h er wi s e t h er e i s a l ett er at A p p e n di x 1 8
2 k e e p a r e c or d of t h e r e a s o n f or t h e n o n- a p pr o v al a n d fil e
wit h t h e c u st o m er’ s cl eri c al p a p er s
5 3 5 1 If n o o n e el s e w a s n o mi n at e d t o a ct, s e e A p p oi nt e e n e e d e d b ut n o o n e n o mi n at e d i n t hi s
p art of t h e g ui d e.
5 3 5 2 - 5 3 5 9
A p p oi nt m e nt t o a ct a p pr o v e d
5 3 6 0 If t h e offi c er a cti n g o n b e h alf of t h e S e cr et ar y of St at e a ut h ori z e s a n a p pli c ati o n:
St e p A cti o n
1 c o m pl et e f or m B F 5 6 at ‘ F O R O F FI CI A L U S E
O N L Y’ a n d k e e p it wit h t h e c u st o m er’ s cl eri c al
p a p er s
2 s e e A cti o n f oll o wi n g v erifi c ati o n of a P A B/ C O P i n
P art si x of t hi s g ui d e.
H a n dli n g a p h o n e c all fr o m t h e a p p oi nt e e
5 3 6 1 If t h e a p p oi nt e e c o nt a ct s t h e d e p art m e nt y o u s h o ul d t hi n k c ar ef ull y b ef or e e n g a gi n g wit h
hi m. T hi s p er s o n h a s a n a p p oi nt e e w h o i s s u p p o s e d t o a ct o n hi s b e h alf. T h e c u st o m er
s h o ul d h a v e m e nt al h e alt h pr o bl e m s w hi c h m e a n s h e c a n n ot m a n a g e hi s b e n efit a w ar d a n d
i n g e n er al s h o ul d h a v e littl e or n o u n d er st a n di n g of t h e b e n efi t s y st e m a n d hi s o w n b e n efit s.
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art fi v e
A p p oi nt e e
H o w e v er, t h e M e nt al C a p a cit y A ct s a y s t h at t h o s e wit h t hir d p a rt y h el p s h o ul d still b e
i n v ol v e d i n d e ci si o n m a ki n g w h er e t h at i s a p pr o pri at e e g t h e y ha v e a g o o d d a y. Of c o ur s e, it
i s li k el y t o b e diffi c ult t o d e ci d e w h et h er t h e c o nt a ct i s b ei ng m a d e o n a g o o d d a y. All y o u
c a n d o i s li st e n t o w h at i s b ei n g s ai d a n d m a k e a j u d g e m e nt.
5 3 6 2 If t h e q u e sti o n s b ei n g a s k e d ar e n e utr al a s t o t h eir i m p a c t o n t h e b e n efit a n d y o u j u d g e t h at
n o h ar m c a n b e d o n e b y a n s w eri n g t h e m, t h e n y o u s h o ul d e n g a g e w it h t h e c u st o m er. Y o u
s h o ul d n ot e t h at t h e di s c u s si o n t o o k pl a c e. T h er e i s n o n e e d t o i nf or m t h e a p p oi nt e e.
H o w e v er, a n d r e g ar dl e s s of w h et h er y o u t hi n k t hi s i s a g o o d d a y, if t h e c u st o m er h a s
c o nt a ct e d u s t o r e p ort a c h a n g e t h e n, w hil st y o u c a n n ot e it, y o u m u st n ot a ct o n it. Y o u
m u st c o nfir m it wit h t h e a p p oi nt e e; of c o ur s e, t hi s s h o ul d b e d o n e i m m e di at el y.
All t h at s ai d, b ef or e st arti n g a n y c o n v er s ati o n y o u m u st still a s k t h e s e c urit y q u e sti o n s. If
t h er e ar e n o pr o bl e m s wit h t h e s e a n d t h e n t h e s u b s e q u e nt di s c u ssi o n i s e q u all y u ntr o u bl e d,
y o u m a y w a nt t o c o n si d er w h et h er t h e c u st o m er n e e d s a n a p p oi nt ee.
5 3 6 3 - 5 3 9 9
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art fi v e
A p p oi nt e e
R e v o ki n g a n a p p oi nt m e nt
5 4 0 0 T h er e ar e f o ur cir c u m st a n c e s w h er e a n a p p oi nt m e nt c a n b e r e v o k e d:
• if t h e a p p oi nt e e d o e s n ot a ct a p pr o pri at el y wit hi n t h e t er m s u n d er w hi c h t h e
a p p oi nt m e nt w a s gr a nt e d, a n offi c er a cti n g o n b e h alf of t h e S e c r et ar y of St at e c a n
r e v o k e t h eir a ut h orit y
• if t h er e i s s uffi ci e nt e vi d e n c e t h at t h e c u st o m er i s c a p a bl e of a cti n g f or t h e m s el v e s
a n d d o e s n ot n e e d a n a p p oi nt e e t o a ct f or t h e m o v er t h eir b e n ef it aff air s – s e e al s o
5 4 0 2 b el o w.
• w h er e t h e a p p oi nt e e hi m s elf b e c o m e s i n c a p a bl e. W h er e t h e S e cr et ar y of St at e i s
s ati sfi e d t h at t hi s i s t h e c a s e - st a n d ar d e vi d e n c e c o n si d er ati o n s a p pl y - h e s h o ul d
t a k e n or m al a cti o n t o a p p oi nt a r e pl a c e m e nt.
• w h er e t h e a p p oi nt e e n o l o n g er wi s h e s t o c o nti n u e. H o p ef ull y h e will pr o vi d e a
r e pl a c e m e nt ot h er wi s e w e will h a v e t o c o nt a ct s o ci al s er vi c e s.
N ot e 1: R e v o c ati o n m a y ari s e a s a c o n s e q u e n c e of t h e A p p oi nt e e R e vi e w pr o c e s s. T hi s i s
t h e pr o c e s s w h er e b y t h e S e cr et ar y of St at e c arri e s o ut a p o st- a p p oi nt m e nt c h e c k t o e n s ur e
t h at a n a p p oi nt e e i s still n e e d e d. If y o u ar e r e v o ki n g b e c a u s e t h e c u st o m er s a y s h e h ol d s a
p o w er of att or n e y a ut h orit y y o u m u st m a k e s ur e t h at y o u s e e a v ali d p o w er b ef or e y o u
r e v o k e t h e a p p oi nt e e s hi p – s e e P art 4.
N ot e 2: If a n a p p oi nt e e f ail s t o cl ai m a b e n efit w h e n h e w o ul d n or m all y b e e x p e ct e d t o, e g
f ail s t o m a k e a r e n e w al cl ai m f or D L A, t hi s n e e d s t o b e i n v e sti g at e d b ef or e a n y d e ci si o n i s
m a d e i n r el ati o n t o t h e b e n efit e ntitl e m e nt. W e m u st n ot si m pl y t er mi n at e e ntitl e m e nt.
N ot e 3: W h e n all e g ati o n s of a b u s e ar e r e c ei v e d it i s e s s e nti al t h at w e r e a ct q ui c kl y. If t h er e
i s a b u s e t h e n a n y d el a y will c o m p o u n d t h e pr o bl e m. T h e S e cr et ar y of St at e n e e d s t o b e
s e e n t o b e t a ki n g a n y all e g ati o n s s eri o u sl y. Hi s r e s p o n si bilit y i s t o e n s ur e t h at t h e b e n efit
b ei n g p ai d t o t h e a p p oi nt e e i s b ei n g u s e d f or t h e b e n efit of t h e c u st o m er a n d if t h at i s i n
q u e sti o n t h e n h e n e e d s t o t a k e a p pr o pri at e a cti o n.
R e v o ki n g t h e a p p oi nt m e nt b e c a u s e t h e a p p oi nt e e i s n ot a cti n g i n t h e b e st i nt er e st of t h e c u st o m er
5 4 0 1 If t h er e i s e vi d e n c e t h at t h e a p p oi nt e e i s n ot a cti n g i n th e b e st i nt er e st s of t h e c u st o m er
f oll o w t h e pr o c e d ur e s b el o w:
St e p A cti o n
di s c u s s t h e c a s e wit h t h e n o mi n a t e d/ a p pr o pri at e offi c er – d o 1
n ot r e v o k e t h e a p p oi nt m e nt wit h o ut t h eir a p pr o v al. I n t hi s
cir c u m st a n c e if y o u k n o w ot h er b e n efit s ar e i n p a y m e nt y o u
s h o ul d al s o al ert t h e a p pr o pri at e s e cti o n.
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
Part five Appointee
1A If it is agreed by the nominated/appropriate officer that the evidence of mismanagement is overwhelming, then there is no need to follow the process set out in the steps below. Instead payment of benefit should be stopped immediately whilst the case is further investigated. The Secretary of State must act quickly and be seen to be so doing to prevent any further loss of benefit to the customer. Although it is not possible to 'define' these cases - each case must be considered on its merits - it is likely that the evidence would have come eg from social services, a LA or police adult protection team.
2 If 1A does not apply, if the nominated/appropriate officer agrees, interview the appointee (and the customer if needed), to explain the situation
3 if you cannot contact the appointee for interview write to the appointee explaining that we are considering revoking the appointment – if you have your own letter for this purpose then you should continue to use it otherwise there is a draft letter at Appendix 18.
4 Allow the appointee two weeks to respond
5 If there has been no response within that time then, unless there are grounds for extending this period, you will have no option but to stop payment and revoke the appointment – go to step 8
6 if the appointee is available for interview show the appointee the notes printed on the back of form BF57. An example of form BF57 and the Aide Memoire at appendix 5
7 if the appointee responds in writing and you are satisfied that he should be allowed to continue in his role then you must re-send him the Aide Memoire at append 5. If you are not satisfied, and interviewing him is still not an option, then you will have no option but to stop payment and revoke the appointment – go to step 8.
If the appointee has been interviewed and you are satisfied that he should continue, then you should contact him to let him know, sending him the Aide-Memoire at the same time. If you are not satisfied then revoke the appointment and stop payment – go to step 8
June 2012
Agents, Appointees, Attorneys and Deputies Guide
8
9
10
11
12
13
14
15
Part five Appointee
record your reason(s) for revoking the appointee’s authority and keep it with the customer’s clerical papers
recall the IOP, if appropriate
end the OP/COP relationship(s) in CIS.
The revoking of the appointee should broadcast across the benefit systems; however, if you are aware of any other benefit in payment then you should also notify that benefit directly. This includes the LA if HB is in payment and HMRC if tax credits are in payment. You can do this by phone, e-mail – for HMRC you should contact [email protected] or by sending a copy of the BF58 – you should make a note that this has been done
send for form BF58 to the ex-appointee - An example of form BF58 is shown at Appendix 3
if a customer still needs an appointee and another person has been nominated, take appropriate action as shown in this part of the guide
if no one else has been nominated, see Appointee needed but
none nominated in this part of the guide
Finally, you should consider whether you need to alert others to the abuse (see also 16 below). By ‘others’ we mean LA Adult Services, the OPG or the police. Not all revocations will warrant such referral but at the forefront of your thinking must be the necessity to prevent the appointee having the opportunity to commit acts of further abuse.
It is not possible to provide a definitive list but the type of case which is likely to warrant such action could include: the appointee works in a care environment where he/she has contact with other vulnerable adults; the amount of money being misused is such that the police should be involved.
If you already have arrangements/partnership agreements in place for making referrals then these should, of course, continue.
June 2012
Agents, Appointees, Attorneys and Deputies Guid e
P art fi v e
A p p oi nt e e
T h er e ar e j u d g e m e nt s t o b e m a d e b ut if i n d o u bt a b o ut
w h et h er t o m a k e a r ef err al y o u s h o ul d di s c u s s wit h y o ur
m a n a g er. L e g al Gr o u p, D M A P oli c y w o ul d al s o b e h a p p y t o
a d vi s e.
1 6 W e ar e oft e n a s k e d t o r e v o k e a n a p p oi nt m e nt b e c a u s e c ar e
h o m e f e e s h a v e n ot b e e n p ai d. O n c e y o u ar e s ati sfi e d t h at t hi s
i s t h e c a s e t h e n y o u s h o ul d t a k e n or m al r e v o ki n g a cti o n. T h e
r e pl a c e m e nt a p p oi nt e e i s li k el y t o b e t h e L A. T h er e will b e n o
n e e d t o vi sit t h e c u st o m er or t h e L A; w e c a n a c c e pt a B F 5 6
t hr o u g h t h e p o st. Y o u m a y b e a s k e d at t h e s a m e ti m e t o t a k e
a cti o n i n r el ati o n t o t h e u n p ai d f e e s. T h er e i s n ot hi n g f or y o u t o
d o. If t h e L A wi s h t o p ur s u e t h e m att er t h e y will n e e d t o t a k e
a cti o n dir e ctl y a g ai n st t h e a p p oi nt e e. If t h e m att er e s c al at e s w e
c a n c o o p er at e i n t h e i n v e sti g ati o n b ut w e w o ul d n ot i n sti g at e
t h e s a m e.
R e v o ki n g a n a p p oi nt m e nt – r e q u e st r e c ei v e d fr o m t h e c u st o m er
5 4 0 2 W hil st it s h o ul d b e t h e a p p oi nt e e w h o r e p ort s a n i m pr o v e m e nt i n t h e c u st o m er’ s c o n diti o n, if
t h e c u st o m er t h e m s el v e s r e p ort s t hi s a n d a s k s t h at t h e y b e c o m e r e s p o n si bl e f or t h eir
b e n efit s, t a k e t h e f oll o wi n g a cti o n:
i. R ef er t h e c a s e f or a vi sit t o t h e c u st o m er a s a m att er of pri orit y;
ii. At t h e s a m e ti m e s e n d t h e l ett er b el o w t o t h e a p p oi nt e e ( or a s k t h e b e n efit s e cti o n t o
i s s u e t h e l ett er ur g e ntl y).
iii. If t h e a p p oi nt e e a gr e e s t h at t h e c u st o m er i s c a p a bl e t h e n n o vi sit will b e n e e d e d. J u st
arr a n g e f or p a y m e nt( s) t o b e m a d e i n t h e n a m e of t h e c u st o m er ( N ot e: t h e c u st o m er
will n e e d t o c o m pl et e D P G E N wit h t h eir a c c o u nt d et ail s).
i v. If t h e a p p oi nt e e c o nt e st s o ur pr o p o s e d a cti o n m a k e a n ot e of w h at i s s ai d a n d p a s s
t hi s t hr o u g h t o t h e a p pr o pri at e vi siti n g s er vi c e. T h e y will d e ci d e h o w t o u s e t h e
i nf or m ati o n at t h e vi sit. At t hi s ti m e d o n ot i nt erf er e wit h an y b e n efit p a y m e nt s.
v. At t h e e n d of t h e vi sit t h e vi siti n g offi c er will m a k e a r e c o m m e n d ati o n.
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
Part five Appointee
THE LETTER
Dear
You currently act as the appointee for …
He/She contacted us on … to say that he/she no longer requires you to act as his/her appointee. He/she says that he/she is now capable of managing his/her benefit affairs.
If someone is able to manage their own benefits then the Secretary of State must revoke any existing appointment.
We now intend to visit [name] to confirm that he/she is indeed capable of managing his/her own benefit. The visit will take place within the next few weeks.
However, if you feel that [name] is now capable of managing their benefits a visit will not be required. Please let us know either by letter or call the above number.
If you do not feel this is correct you can make representations about this by contacting us as above. We will still need to visit in order to assess his/her capacity to manage but will take into account anything you have told us when making our decision.
Yours sincerely
June 2012
Agents, Appointees, Attorneys and Deputies Guide
P art fi v e
A p p oi nt e e
C a s e c o nf er e n c e s
5 4 0 3 It i s n ot u n u s u al f or t h e d e p art m e nt t o b e i n vit e d t o a c as e c o nf er e n c e i n v ol vi n g L A, t h e
p oli c e a n d ot h er v ol u nt ar y gr o u p s t o di s c u s s i n di vi d u al c a s e s c o n c er ni n g v ul n er a bl e a d ult s.
T h e offi ci al d e p art m e nt al li n e i s t h at w e s h o ul d b e w ar y of att e n di n g. T h e r e a s o n f or t hi s i s
t h at y o u ar e li k el y t o b e a s k e d f or p er s o n al i nf or m ati o n a b o ut a c u st o m er b ut a n y di s cl o s ur e
t o a t hir d p art y s h o ul d b e i n r e s p o n s e t o a dir e ct r e q u e st fr o m t h at t hir d p art y. Pr o vi di n g
i nf or m ati o n at a c o nf er e n c e c a n n ot m e et t h at r e q uir e m e nt a s it i s m a y b e t h e c a s e t h at t h er e
i s j u stifi c ati o n f or di s cl o s ur e t o s o m e of t h e p arti e s pr e s e nt – t h e y c o ul d i n di vi d u all y j u stif y a
r e q u e st a n d di s cl o s ur e - b ut n ot all. S o a n y att e n d a n c e w o ul d in v ol v e a d at a pr ot e cti o n ri s k.
B ut it i s n ot r ul e d o ut. Y o u j u st n e e d t o b e a w ar e of w h o i s at t e n di n g a n d b e v er y c ar ef ul i n
w h at y o u di s cl o s e.
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art fi v e
A p p oi nt e e
R e v o ki n g a c or p or at e a p p oi nt e e
5 4 0 4 If y o u b e c o m e a w ar e of mis m a n a g e m e nt b y or all e g ati o n s ar e m a d e a g ai n st a c or p or at e
a p p oi nt e e, y o u s h o ul d c o nt a ct:
Str at e g y ( D M A P oli c y)
3r d Fl o or
C a xt o n H o u s e
L o n d o n
S W 1 H 9 N A
T el: 0 2 0 7 4 4 9 7 3 4 7
5 4 0 5 If y o u h a v e e vi d e n c e t h at t h e C ar e H o m e i n S c otl a n d h a s b ee n mi s m a n a gi n g t h e aff air s of
t h e c u st o m er, r ef er t h e c a s e t o:
I nf or m ati o n M a n a g e m e nt
D e v ol uti o n a n d G o v er n a n c e
D e v ol uti o n T e a m
Sil v a n H o u s e
2 n d Fl o or
2 3 1 C ar st or p hi n e R o a d
E di n b ur g h
E H 1 2 7 A T
F a x: 0 1 3 1 3 0 1 1 1 6 1
E- m ail: T h e a d dr e s s i s li st e d i n t h e G A L a s D W P D e v ol uti o n P ol i c y T e a m
C o uri er: E di n b ur g h I nf or m ati o n a n d D e v ol uti o n P oli c y
O bt ai ni n g c o n s e nt f or t h e r el e a s e of m e di c al i nf or m ati o n w h e n a c u st o m er h a s a n a p p oi nt e e
5 4 0 6 i C u st o m er h a s m e nt al i m p air m e nt
A p p oi nt e e c a n gi v e c o n s e nt ( u n d er n or m al c o n s e nt r ul e s).
ii C u st o m er h a s p h y si c al i m p air m e nt
K E Y P OI N T: I n t hi s cir c u m st a n c e t h e a p p oi nt e e c a n n e v er gi v e c o n s e nt o n b e h alf of
t h e c u st o m er.
A u g 2 0 0 8
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
P art fi v e
A p p oi nt e e
O pti o n s a v ail a bl e:
1. T h e c u st o m er c a n si g n or m a k e a m ar k o n a p a p er c o n s e nt d e c l ar ati o n.
2. If t h e c u st o m er i s u n a bl e t o si g n or m a k e a m ar k h e c a n gi v e v er b al c o n s e nt. T hi s c a n
b e gi v e n f a c e t o f a c e or b y t el e p h o n e. If b y p h o n e, t h er e ar e s tri ct pr ot o c ol s w hi c h m u st b e
o b s er v e d. T h e s e ar e:
- it m u st b e e st a bli s h e d b e y o n d d ou bt t h at it i s t h e c u st o m er w h o i s s p e a ki n g
- t h er e m u st b e a f ull, writt e n r e c or d of t h e c o n v er s ati o n. T hi s will d et ail t h e st e p s t a k e n
t o c o nfir m i d e ntifi c ati o n; a n d it will c o nfir m t h at t h e c u st o m er u n d er st o o d t h at h e w a s gi vi n g
c o n s e nt t o t h e di s cl o s ur e of i nf or m ati o n
- u n d er n o cir c u m st a n c e s m u st t h e c u st o m er b e p ut u n d er pr e s s u r e t o gi v e c o n s e nt if
h e i s u n willi n g t o d o s o f or w h at e v er r e a s o n ( c o n s e nt gi v e n u n d er d ur e s s i s n ot v ali d
c o n s e nt). If t h e c u st o m er d e cli n e s t o gi v e c o n s e nt t hi s m u st b e r e c or d e d.
3. Fi n all y, w h at e v er f or m i s b ei n g u s e d t o m a k e t h e r e q u e st it m u st st at e t h at t h e
c u st o m er h a s gi v e n v er b al c o n s e nt.
J o b s e e k er s All o w a n c e/ E S A c u st o m er wit h a p p oi nt e e
5 4 0 7 Y o u m u st al w a y s d e al wit h t h e a p p oi nt e e i n t h e fir st i n st a n c e w h e n c o n si d eri n g
c o n diti o n alit y o p er ati o n al m att er s e g arr a n gi n g i nt er vi e w s. T h e o n u s i s o n t h e a p p oi nt e e t o
e n s ur e t h at t h e c u st o m er i s a w ar e of i nt er vi e w ti m e s et c.
Y o u c a n di s c u s s c o n diti o n alit y m att er s wit h t h e a p p oi nt e e b ut y o u m u st n ot m a k e a
d et er mi n ati o n or d e ci si o n e g i m p o si n g a s a n cti o n, wit h o ut i n v ol vi n g t h e c u st o m er. T h e l att er
m u st b e at f or m al c o n diti o n alit y i nt er vi e w s.
T h e a p p oi nt e e c a n n ot s ati sf y c o n diti o n alit y o n b e h alf of t h e c u st o m er.
T h e c u st o m er a n d a p p oi nt e e m u st att e n d f or si g ni n g;
Gi v e n t h e n at ur e of t h e s e b e n efit s t h e c a p a cit y of t h e c u st o m e r s h o ul d al w a y s b e u n d er
r e vi e w. Y o u m u st n ot all o w t h e a p p oi nt e e s hi p t o c o nti n u e b e c a u s e it i s c o n v e ni e nt f or t h e
c u st o m er.
5 4 0 8 - 5 4 4 9
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e
A p p e n di c e s
C o nt e nt s
C o nt e nt s
A p p e n di c e s
A n e x a m pl e of f or m B F 5 6 .............................................................. A p p e n di x 1
Pr e s cri b e d f or m at f or a n E n d uri n g P o w er of Att or n e y f or t h e
Pr e s cri b e d f or m at f or a n E n d uri n g P o w er of Att or n e y f or t h e
p eri o d 1 N o v e m b er 1 9 8 7 t o 3 1 J ul y 1 9 9 0.................................. A p p e n di x 9 a
Pr e s cri b e d f or m at f or a n E n d uri n g P o w er of Att or n e y i s s u e d
A n e x a m pl e of a P o w er of Att or n e y i s s u e d u n d er s e cti o n 1 0
S c otti s h P o w er of Att or n e y u n d er t h e A d ult s wit h I n c a p a cit y
A n e x a m pl e of f or m B F 5 7 .............................................................. A p p e n di x 2
A n e x a m pl e of f or m B F 5 8 .............................................................. A p p e n di x 3
Ai d e M e m oir e - Offi ci al u s e ............................................................. A p p e n di x 4
Ai d e M e m oir e - A p p oi nt e e u s e ....................................................... A p p e n di x 5
Dr aft l ett er t o a p p oi nt e e/ att or n e y a b o ut wit h h ol di n g b e n efit ........... A p p e n di x 6
A n e x a m pl e of a D e p uti e s or d er of a p p oi nt m e nt ............................ A p p e n di x 7
A n e x a m pl e of a n e vi d e n c e of a p p oi nt m e nt f or a C ur at or B o ni s .... A p p e n di x 8
p eri o d 1 0 M ar c h 1 9 8 6 t o 3 1 O ct o b er 1 9 8 7 .................................. A p p e n di x 9
aft er 3 1 J ul y 1 9 9 0 ...................................................................... A p p e n di x 1 0
of t h e P o w er of Att or n e y A ct 1 9 7 1 ............................................. A p p e n di x 1 1
A n e x a m pl e of a S c otti s h P o w er of Att or n e y ................................ A p p e n di x 1 2
( S c otl a n d) A ct 2 0 0 0 ................................................................... A p p e n di x 1 3
A n e x a m pl e of L a sti n g P o w er of Att or n e y Pr o p ert y a n d Aff air s ... A p p e n di x 1 5
L ett er f or u s e w h er e p o w er of att or n e y i s gr a nt e d b y a
c a p a bl e c u st o m er ....................................................................... A p p e n di x 1 6
A p p oi nt e e n ot s uit a bl e ................................................................. A p p e n di x 1 7
D o u bt s a b o ut a p p oi nt e e s b e h a vi o ur ............................................ A p p e n di x 1 8
A p p oi nt e e R e vi e w Pr o c e s s ........................................................... A p p e n di x 1 9
A p p oi nt e e R e vi e w L ett er ............................................................... A p p e n di x 2 0
E P O A R E x a m pl e C ertifi c at e ........................................................ A p p e n di x 2 1
J u n e 2 0 1 2
A g e nt s, A p p oi nt e e s, Att or n e y s a n d D e p uti e s G ui d e