Managing Individual Adults' Financial Affairs
Policy and Guidance
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INTRODUCTION
There are circumstances where individuals in Lancashire are unable to manage
their property and financial affairs due to mental incapacity and it is necessary for
someone else to manage their affairs for them. This could be necessary on a
short term or long term basis, dependent on the nature of the incapacity. In most
cases family members, friends, solicitors etc will carry out this task. However,
where no suitable arrangements can be made by any one else, Lancashire
County Council (LCC) may take on this responsibility.
This document sets out the policy of LCC on managing individual adults’ property
and affairs and provides guidance on how this policy should be implemented.
The legal framework for managing an individual’s finances
Options available, from 1 October 2007, under the legal framework established by
the Mental Capacity Act 2005:
Lasting Power of Attorney (LPA) - replaces Enduring Power of Attorney (EPA)
from 1 October 2007
must be set out in the legally required format
must contain a certificate completed by an independent person to confirm that the
individual adult, as the ‘donor’, understands the power and importance of the LPA
and that he/she is not under any pressure to make it.
can contain the names of anyone the individual adult, as the donor, wants to be
notified of any application to register the LPA. If there is no one to be notified, the
individual adult must say so and have a second certificate. The information
provided here is only a simple outline and for more detailed information one
should read the guidance booklet about LPAs issued by the Office of the Public
Guardian (OPG).
www.publicguardian.gov.uk
If an LPA is in existence then the Safeguarding Adult Finance Team (SAFT)
would only become involved if there were concerns around the management
of the existing LPA.
Court appointed deputy (CAD) for property & affairs
The appointment, by the Court of Protection, of a responsible person (known as a
‘deputy’) to manage the property and financial affairs of someone who is assessed
by a medical practitioner to lack capacity to make decisions on these matters.
2
It would be unusual for a deputy to be appointed where a valid Lasting Power of
Attorney is in existence. However, in certain circumstances this is possible (e.g. if
there are concerns about the existing LPA holder’s actions).
A Court appointed deputy for property & affairs is only applicable if the person
lacking capacity has money and/or property other than state benefits. If the person
concerned has no significant assets/income, other than state benefits, then
appointee-ship is used.
Appointee-ship – An appointee is a person appointed by the Department for
Work and Pensions (DWP) to handle someone else’s benefit claims, receive the
benefits when that person is unable to do it themselves due to mental incapacity,
and use the benefits for the welfare of the individual concerned.
Agent – person who collects benefit payments on behalf of someone else. The
agent is acting under the authority of the claimant who has the mental capacity to
make decisions about their finances.
POLICY
LCC will wherever possible encourage and support individual adults to manage
their own financial affairs.
1.
Where LCC takes on the responsibility to manage an adult’s financial
affairs, the Council will act responsibly and in the best interests of the
person concerned, not in the interests of LCC to generate income.
2.
The SAF Team within the Financial Administration Unit of the Combined
Finance Team will undertake court appointed deputy duties with the
support and assistance of other personnel across the Adult and Community
Services Directorate, and will aim to monitor all appointeeships
administered by LCC personnel outside of the SAF Team.
3.
LCC will only manage an adult’s financial affairs if there is no other
suitable person to do this and/or where there is evidence of
conflicting interests, suspicions or allegations of abuse.
4.
Making a referral to the SAF Team should be a last resort after
exhausting all other possible court appointed deputy or appointee
candidates. Family, friends, solicitors and others who have
close/professional relationships with the service user should be
approached where appropriate, prior to referral to the SAF Team.
5.
The SAF Team's role is to work alongside operational staff to provide
services to manage individual service users’ finances. The team's role
involves managing finances and assets only and does not include
accompanying service users to appointments or other personal support
tasks.
3
6.
Decisions about managing an individual adult’s financial affairs, when they
lack mental capacity, will be made by a multi-disciplinary panel – 'Managing
Individual Adult’s Finance Panel'. The decisions the panel will make are as
follows:
 whether it is appropriate for LCC to manage an individual’s financial
affairs;
 whether applications will be made to the Court of Protection or for
appointeeship;
 where value is greater than £500, consider valuations and estimates for
property and goods disposal and decide upon appropriate
selection/option;
 where value is greater than £500 consider requests for purchasing
goods for the individual, and decide whether purchase is an appropriate
use of funds;
 consider annual reviews for all people for whom the Directorate acts as
a deputy for property and affairs, or as an appointee;
 make recommendations on policy and procedures for managing
individual adults’ finances;
 any other decisions where the decision to be taken could potentially
have a significant impact on an individual's finances, assets or
wellbeing;
 whether in certain circumstances to reduce or waive the administration
fee to be recovered by LCC.
7.
Membership of the Managing Individual Adult’s Finance Panel will include
the following:Head of Combined Finance Team
Finance Manager (Financial Administration)
SAF Team Manager
County Safeguarding Adults Co-ordinator
Senior manager from Adult Services
Senior manager from Older People Services
The panel will operate with support from a representative from Legal
Services
Where a panel member is unable to attend they must send a representative
of appropriate authority wherever possible.
At least four panel members or representatives should attend to constitute
a decision-making panel.
8.
The chair of the Managing Individual Adult’s Finance Panel will be chosen
at each meeting from the panel members attending.
9.
The Holder of the Office of Director of Adult and Community Services will
be the applicant when applying to the Court of Protection to appoint the
Directorate as a deputy for property and affairs.
4
‘LCC - SAF Team Manager’ (under corporate appointeeship), will be the
applicant to the Department for Work and Pensions to become an
appointee.
10.
As the designated officers, in 7 above, will be acting as agents of LCC, and
not as individuals, LCC will indemnify the individual officers against any
personal financial loss or damage suffered, provided that they have been
acting within the terms of this policy and the County Council’s Financial
Regulations that are currently in force.
11.
Each adult will have an individual account held within a ‘client monies’ bank
account, this account is separate from, and does not form part of, LCC's
bank accounts.
12.
Two signatories for payments from the ‘client monies’ account will be any of
the following:
SAF Team Manager
Finance Manager (Financial Administration)
Finance Team Manager (Assessment)
Finance Team Manager (Income)
Head of the Combined Finance Team
Management Support and Development Officer
13.
LCC will make a charge for managing the finances of individual adults,
when acting as a deputy for property and affairs, according to the fees set
for local authorities and published by the Office of the Public Guardian.
Fees are reviewed annually in accordance with the Office of the Public
Guardian’s recommendations and publications. A nominal charge may be
made to cover administrative costs for appointeeship cases. The Managing
Individual Adult’s Finance Panel can agree to reduce or waive the
administration fees charged by LCC according to the circumstances of
each individual case, for example payment of the fee would cause the
service user and/or his/her dependents undue hardship.
14.
LCC will charge for visits to ensure the security of an individual’s empty
properties.
15.
In some cases the SAF Team will be required to expend monies on behalf
of individuals prior to the court order being granted. Any such expenditure
needs to be approved in advance by the Finance Manager (Financial
Administration).
16.
The system for managing individuals’ finances will be subject to
examination by internal audit as agreed by the relevant audit manager.
GUIDANCE FOR REFERRAL OF CASES
5
1.
In circumstances where it appears that an individual person needs
someone to manage their finances, staff should firstly ascertain whether
the individual concerned has the mental capacity to manage their own
finances (see Appendix A). Medical opinion will need to be obtained on
this.
2.
Enquiries should be made of family, friends, family solicitor etc to find out if
anyone else is willing, available and/or suitable to manage the person’s
financial affairs.
3.
If no other suitable arrangements can be made for managing the
individual’s property & affairs, a referral should be made to the SAF Team
as follows:
A social worker, where one is allocated, will complete and submit the
referral form available at http://lccintranet/acs/groups/cft/about/finadmin/rec-team/index.asp?siteid=3530&pageid=10701
4.
Referrals will be accepted from other professionals involved in the
individual's welfare but there must be an allocated social worker/key
worker/care coordinator for referrals to be considered. If there is not an
allocated social worker/key worker/care coordinator, a referral must be
made to the customer services centre.
5.
The referral to the SAF Team must provide information on personal details,
financial and property details, a copy of a recent social work assessment
and a brief explanation of why the individual needs someone to act on their
behalf. It is essential that the information is complete to enable the SAF
Team to submit an application to the Court of Protection.
6.
It is important that information is provided as to whether or not the person
owns their own house, whether they have any other income apart from
benefits e.g. private pensions, and any other assets and savings. This will
assist the panel in determining whether the Directorate should make an
application to be appointed as a deputy for property and affairs, or as an
appointee.
7.
If there are concerns about the safety of an individual’s finances the social
worker must take action to safeguard the finances e.g contact bank/building
society or DWP detailing the concerns in writing.
8.
If there is suspicion of financial and/or other abuse an alert should be put
through to customer services of Lancashire Adult and Community Services
under Safeguarding Adults procedures, (during office hours) on the
Safeguarding Adults telephone number: 0845 053 0028 (number live from
10 January 2008).
The e
duty team (out of office hours) can also be contacted on
the above telephone number.
6
Alternatively, an on-line ‘partner alert form’ can be completed at
www.lancashire.gov.uk/safeguardingadults (website going live 10 January
2008)
Examples of financial or material abuse may include:




theft
fraud
exploitation
pressure in connection with wills, property or inheritance or financial
matters
 misuse or misappropriation of property, possessions or benefits by
someone who has been trusted to handle an individual’s finances or who
has assumed control of their finances by default
Signs that financial abuse may be occurring, include:
 sudden loss of assets
 unusual or inappropriate financial transactions
 visitors whose visits always coincide with the day when the person’s
benefits are cashed
 insufficient food in the house
 bills not being paid
 person who is managing the finances overly concerned with money
 a sense that the person is being tolerated in the house due to the income
they bring in, but may not be included in the activities the rest of the family
enjoys.
9.
It is the social worker’s responsibility to ensure that the person concerned
is in receipt of all appropriate benefits and allowances until the Court of
Protection order, or appointee-ship, is in place. The social worker should
contact the SAF Team via email to request assistance if needed (see
contact details on page 13).
10.
It may be necessary to carry out a search of the person’s home, to place
any valuables and cash found into safe-keeping and secure any property.
This would normally be carried out by the social worker - the SAF Team
has produced procedure notes (available on request) to assist operational
staff and would not search homes unless specific information/documents
etc. are required. (Note – Tenancies cannot be terminated and/or property
sold without a direction from the Office of the Public Guardian. For further
advice contact the SAF Team manager).
GUIDANCE ON APPLICATIONS FOR THE DIRECTORATE TO ACT AS
DEPUTY FOR PROPERTY AND AFFAIRS, OR APPOINTEE
The following guidance must be taken into account when deciding whether the
Directorate should apply to the Court of Protection to act as deputy for property
and affairs, or to apply for appointee-ship.
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1.
Applications will be made to the Court of Protection when necessary, if the
person lacking capacity:
 owns any property (e.g. house or flat)
 receives income other than benefits (e.g. private pension)
 has assets, other than backdated benefits, of greater value than £2,500
 has more than £2,500 in savings/capital.
If none of the above applies, consideration will need to be given to the
appropriateness of applying for appointeeship. An application for
appointeeship will be made if the person concerned is in receipt of state
benefits.
Action after application has been agreed
2.
If an application to the Court of Protection has been agreed, the following
has to take place:
(a)
(b)
(c)
(d)
(e)
The case will be allocated to a SAF officer.
No permission is required from the Court of Protection for an
application to be made relating to property and affairs only; the
following forms need completing:
COP1 (application form), COP1A – supporting information for
property and affairs application and part A of form COP3 – medical
certificate*, and the social worker will liaise with a medical
practitioner to complete form COP3 – Part B (medical certificate).
The medical practitioner must be either the person’s GP or
consultant, depending on who knows the person best.
The SAF Team will submit the above forms (in duplicate) along with
form Annexe A (deputy’s declaration) to the Office of the Public
Guardian.
The Office of the Public Guardian will then issue the application by
putting an original stamp on the application form and return this to
the SAF Team, along with the following forms:
COP5: Acknowledgement of service/notification;
COP14: Proceedings about you in the Court of Protection;
COP14A: Guidance notes for completing form COP14;
COP15: Notice that an application form has been issued;
COP15A: Guidance notes for completing form COP15;
COP20: Certificate of service/non-service and certificate of
notification/non-notification.
The person to whom the application relates needs notifying in
person and within 21 days of the Court of Protection issuing
the application.
The SAF officer or a representative must provide the information in a
way that is appropriate to the person’s circumstances and must
explain:
• who the applicant is;
• that the application raises the question of whether they lack
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(f)
(g)
(h)
capacity and what that means;
• what effect the outcome of the application would have;
• details of any person who would be appointed to make decisions
on their behalf; and
• that they may seek advice and assistance in relation to the
application.
The following forms need to be provided to the person to whom the
application relates:
COP5: Acknowledgement of service/notification; and
COP14: Proceedings about the person in the Court of Protection.
Under the Court of Protection Rules the SAF Team needs to inform
certain people about the application within 21 days of the Court
‘issuing’ the application. They must:
• ‘serve’ a copy of the application form and any forms or documents
sent in support of the application on anyone they have named as a
respondent in their application;
• ‘notify’ relatives and others named in the application as likely to
have an interest in the application by using form COP15: Notice
that an application form has been issued; and
• if the application relates to an objection to registration of a LPA or
EPA, serve a copy of COP7: Application to object to the registration
of a LPA or COP8: Application to object to the registration of an
EPA on every attorney and the donor.
When they serve or notify people about the application they must
also send each person the form COP5: Acknowledgement of
service/notification.
The most common way to serve or notify someone is to send the
documents by first class post to their home address. However
documents can also be served by fax, by document exchange or in
person.
After the SAF Team has served or notified people about the
application they must complete and return to the Court the form
COP20: Certificate of service/non-service and certificate of
notification/non-notification for each person they have served or
notified. This should be provided to the Court of Protection within 7
days of the date of service/notification.
After the service and notification period has concluded the Court
may consider the application and next steps. This will be based on
the type of application made and whether anyone objects to the
application or proposed that a different order is made. The Court
may decide to:
 make a decision based on the application without a Court
hearing;
 give directions about the application and next steps to be
taken; or
 fix a date for the application to be heard by the Court.
The Court can usually make a decision without the need for a
hearing if no one objected to the application or proposed that a
different order is made
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(i)
(j)
(k)
If no hearing is needed the court will issue a final order, a copy of
which is also received by every other party. The SAF Team then
needs to inform the person to whom the final order relates with
COP14 and within 21 days of the final order being made, explain the
effects and that the person may seek advice and assistance. SAF
Team is to return COP 20 to the Court of Protection within 7 days of
taking COP14.
If a court hearing is needed the Court of Protection will issue form
COP28: Notice of hearing. Within 21 days of the date, the SAF
Team receives the notice of hearing (and no later than 14 days
before the date of the hearing) the person to whom the application
relates must be informed of the date of the hearing, using form
COP14: Proceedings about you in the Court of Protection (to be
returned to the Court of Protection within 7 days of notification).The
team must also explain to the person that they may seek advice and
assistance in relation to the hearing.
The SAF officer will liaise, where necessary with the social worker to
discuss how bills and daily living expenses are to be paid in the
future i.e. from the date of the order of the Court of Protection.
*Please note: all forms are currently in pdf format only on OPG website, some
word documents can be obtained from the SAF Team.
Please also refer to form COP42: Making an application to the Court of Protection
(OPG website).
Application forms by application type can be downloaded from the OPG website.
See flowchart of procedures in Appendix B.
NOTE: INTERIM DIRECTIONS, WHERE NECESSARY, CAN BE SOUGHT
FROM THE OFFICE OF THE PUBLIC GUARDIAN BEFORE AN ORDER IS IN
PLACE. An Interim Direction allows the SAF Team to access an individual’s
monies prior to the application being granted, should there be urgency in
accessing funds. It will be the SAF Team Manager's responsibility to ensure this is
sought where appropriate.
3.
If an application for appointeeship has been approved the following must
take place:a) A referral form requesting a visiting officer from the Local Pension
Service (LPS) is completed and forwarded by the SAF officer to the
named contact at LPS
b) LPS will forward a report recommending the need for an appointee
or will provide reasons as to why an appointee is not required
c) The SAF officer will complete form BF56 (obtainable from the
Department for Work and Pensions). The applicant will be:
‘Lancashire County Council - The SAF Manager- Corporate
Appointee (referred to by job title – SAF Manager- not by name) this
will be completed with the assistance of the allocated social
worker/key worker/care coordinator)
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d) The SAF officer will send the completed forms to the Department for
Work and Pensions.
e) The DWP will confirm acceptance of application with form BF57
f) The SAF officer will liaise, where necessary with the social worker to
discuss how bills and daily living expenses are to be paid in the
future i.e. from the date of approval of appointeeship.
SAF TEAM ROLE IN MANAGING INDIVIDUAL ADULTS’ FINANCIAL AFFAIRS
1.
The SAF team will provide the following:













Completing and processing of paperwork as necessary for applications
to enable the Directorate to act as deputy for property and affairs, and
for appointee-ship (with the assistance of the allocated social
worker/key worker/care coordinator) as stated in 2b & 3c above
Once an Order or Appointeeship is in place - completion and follow up
of benefit and allowance applications (with the assistance and support
of other finance teams within the Financial Administration Unit when
required)
Creation and maintenance of individual accounts within the client
monies bank account for people for whom the Directorate acts as a
property and affairs deputy or appointee
Setting up of all necessary direct debits/standing orders for all
necessary payments of individuals’ household bills
Ensuring all other bills are paid as and when they become due
Administering the service user’s funds to enable payment of
weekly/periodical personal allowance or other necessary
weekly/periodical funds where appropriate. Delivery of these monies
will be the responsibility of the allocated social worker/key
worker/care coordinator.
The SAF Team will not be responsible for purchase of weekly
household items when the person lives in the community.
Paying for items of expenditure; routine amounts agreed by the SAF
Officers, SAF Team Manager and Finance Manager, and larger
amounts (greater than £500) agreed by the Managing Individual Adult’s
Finance Panel.
Arranging for the sale of property (including houses) under the
instruction of the Court and under the direction of the Managing
Individual Adult’s Finance Panel.
Completing annual accounts for property and affairs deputies for the
Office of the Public Guardian
Completing tax returns for individuals as and when required
Where a person dies; closing and completing all accounts and liaising
with the executor or administrator of the deceased’s estate, including
calculating and charging the appropriate account wind-up fee
Arrange for disposal of goods and effects by seeking 3 valuations and
deciding upon appropriate selection/option. Where value is less than
£500 the valuations and options taken must be agreed by the SAF
officer & SAF Team manager.
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Where value is greater than £500 the valuations and options taken must
be agreed by the Managing Individual Adult’s Finance Panel.
This process must be formally recorded within the finance protection
database.
 Consider requests for purchasing, and arrange payment for, goods for
an individual. Where value is less than £500 a recommendation should
be made by the allocated SAF officer and approved by the SAF Team
manager.
Where value is greater than £500 a report and recommendation should
be presented by the SAF Team manager. The Managing Individual
Adult’s Finance Panel will decide whether the purchase is an
appropriate use of funds and act in the best interest of the individual.
This process must be formally recorded within the SAFT database.
 Ensure appropriate and timely recording of all individuals’ income and
expenditure
 Develop recording and reporting systems
The SAF Team may arrange for cash in respect of a person’s daily living
expenses to be made available ONLY by the following methods:
2.
a) By utilising the local social care office's petty cash account; completing
the relevant paperwork, ensuring the payment is coded to the SAF code
BR1000000 – B41Y998. The SAF officer should ensure the payment is
recorded with full detail of which office's account was utilised. The
responsibility for delivering cash to individuals generally lies with
operational staff; in some cases the SAF Team can assist, dependent
on individual circumstances.
b) By cashing a cheque from the client monies account; ensuring this is
fully recorded on the SAFT database and ensuring the transaction is
traceable to the individual by the description on the cheque stub.
DUTIES OF A COURT APPOINTED DEPUTY (CAD) – PROPERTY AND AFFAIRS:
A deputy has a duty to (this list is not exhaustive):









act in the best interests of the client at all times and follow statutory principles of
MCA
have regard to the Code of Practice
only make decisions they have been given the authority to make depending on the
specifics of each case.
look after the client’s property
open a SAF account and keep individual's monies and property separate from the
local authority's finances
claim all benefits that are due to the client
prepare accounts every year or whenever the Court requires them
make sure the client’s money is being used to give him or her the best possible
quality of life
make sure all income is collected and all bills are paid on time
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













keep all important documents and other valuable items in a safe place
keep any property secure, in a reasonable state of repair, and adequately insured
deal with the client’s income tax and other tax matters
tell the Court about any changes in the client’s financial situation
tell the Driver and Vehicle Licensing Agency (DVLA) if the client holds or applies for
a driving license
tells the Court if there is a likelihood of the client getting married, divorced or
involved in other legal proceedings
tell the Court if the client is planning to make a will
co-operate with any Lord Chancellor’s Visitor
get the agreement of the Court before dealing with any savings or investments
tell the Court if there is a possibility of the client recovering
tell the Court if the client dies
tell the Court about any changes in the clients address and accommodation fees
keep to all orders and directions the Court makes
pay the relevant Office of Public Guardianship fees from the client’s funds when
necessary.
DUTIES OF AN APPOINTEE FOR BENEFITS
An appointee has responsibility for:





ensuring correct benefits and allowances are claimed for the person
ensuring the necessary claim forms for all benefits have been completed
ensuring all benefits and allowances are used for the welfare of the person
informing the Department for Work and Pensions about any changes in
circumstances
repaying any overpayments of benefits.
CONTACTS
Lancashire County Council Contacts
Safeguarding Adult Finance Team (SAFT)
East Cliff County Offices
East Cliff
Preston
Lancashire
PR1 3EA
[email protected]
Finance Manager (Financial Administration)
Andy Brown
01772 532372
07769 880051(mobile)
[email protected]
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Act SAF Manager
Annette Roberts
01772 530189
07867 501040 (mobile)
[email protected]
SAF Team Office: 01772 530185
Other Contacts
Office of the Public Guardian
Archway Tower
2 Junction Road
London
N19 5RQ
Customer service phone:
0845 330 2900
Customer service fax:
020 7664 7705
Lasting Power of Attorney helpline
0845 330 2963
E mail:
[email protected]
Web Site:
www.publicguardian.gov.uk
Disclaimer
SAT Team members can provide advice about OPG/Court processes and DWP
processes only and cannot provide legal advice or services.
It is recommended that independent legal advice is sought where appropriate.
Information in this publication is believed to be correct at the time of printing;
however we do not accept liability for any error it may contain.
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APPENDIX A
ASSESSING WHETHER AN INDIVIDUAL HAS THE CAPACITY TO MANAGE
THEIR FINANCES THEMSELVES
(Please refer to the Mental Capacity Act 2005, the MCA Code of Practice
(particularly chapter 4), and the Directorate’s Mental Capacity Policy and
Procedures - all of which are available on the Directorate’s intranet at
http://lccintranet/acs/mental-capacity-act/ )
1
Decisions to seek appointment of the Directorate as deputy for property and
affairs will normally follow consideration by the broad multi-disciplinary team
and consultation with carers, family members and friends of the person
concerned. It will normally require social work, medical and legal input.
2
Where there is any dispute relating to an individual person’s ability to make a
decision about managing their financial affairs because of mental incapacity,
staff should be aware that this would be resolved ultimately by the Court of
Protection.
3.
Assessments of a person’s lack of capacity should specifically relate to their
ability to manage their finances. It must not be assumed that because a person
lacks capacity to make decisions in one area of their life that they will be unable
to make other kinds of decisions.
4.
For applications to the Court of Protection, a practitioner (registered medical
practitioner, psychiatrist or psychologist) is required to provide a medical
certificate confirming the individual’s lack of capacity in relation to the matters in
question, in line with the principles of the Mental Capacity Act 2005:





A person must be assumed to have capacity unless it is established that he
lacks capacity.
A person is not to be treated as unable to make a decision unless all
practicable steps to help him to do so have been taken without success.
A person is not to be treated as unable to make a decision merely because he
makes an unwise decision.
An act done, or decision made, under this Act for or on behalf of a person who
lacks capacity must be done, or made, in his best interests.
Before the act is done, or the decision is made, regard must be had to whether
the purpose for which it is needed can be as effectively achieved in a way that
is less restrictive of the person’s rights and freedom of action.
5.
For applications to the Department for Work and Pensions to become
appointee, medical opinion is not usually obtained. An officer from the
Department for Work and Pensions, acting on behalf of the Secretary of State
under Section 33 of the Claims and Payments Regulations 1987, will make the
decision.
6
If an individual lacks capacity to manage their finances, then they cannot sign
15
cheques or benefit books, they cannot open bank accounts, and they cannot
sign agreements for credit etc. Until the Court of Protection appoints a deputy
for property and affairs, or the Department for Work and Pensions appoints
someone to manage their benefits, no one has the authority to manage their
finances for them.
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Appendix B
Application Procedure
Send Forms
COP1 COP1A COP3
COP4
To
COP
Original + 1 copy
Receive
issuing of application form,
COP5,14,14A,15,15A,20
from
COP
WITHIN 21 DAYS
Serve
copy of application
form
+
copy of any other
forms and
documents
+
COP5
to
Notify personally
Person to whom
application relates
Explain who applicant is: that this raises
question of capacity: what this means:
what effect application has: Details of
person that would be appointed to make
decisions on their behalf
(in suitable way)
Take to them
COP5, COP14
WITHIN 7 DAYS
Respondents
Send
COP20
17
To
COP
Send
COP5
+
COP15
to
Others named as
having interest
NO HEARING NEEDED
HEARING NEEDED
(majority of cases where no
objections)
COP
Receive
COP28
From
COP
WITHIN 21 DAYS &
NO LATER THAN
14 DAYS BEFORE
HEARING
Inform
Person to whom
application
relates
Using
COP 14
(explain they may seek
help & advice)
FINAL ORDER
(also received by every other
party)
Inform person to whom it
relates, explain effects & that
they may seek advice &
assistance
Take COP14
WITHIN 21 DAYS OF
ORDER BEING MADE
Send COP 20 WITHIN 7
DAYS OF TAKING COP14
D:\81898052.doc
Forms COP1
COP1A
COP3
COP4
COP5
COP14
COP14A
COP15
COP15A
COP20
Application
Annex A Supp info for Property & Affairs
Assessment of Capacity
Deputy's Declaration
Acknowledgement of Service/Notification
Proceedings about you in the COP
Guidance notes for COP14
Notice that an application has been issued
Guidance notes for COP15
Certification of service/non service
19