Appointeeship Procedures

1. Using this Procedure

This procedure should be used when;

1. The need for a corporate appointeeship is being considered; or
2. A corporate appointeeship application is to be made; or
3. The Local Authority is already acting as a corporate appointee.

The procedures will support practitioners to understand the role of corporate appointeeship, make an application and to work effectively alongside the Client Affairs Team.

2. The Role of a Corporate Appointee

A corporate appointee is responsible for making and maintaining any benefit claims on behalf of a person who cannot do so because;

1. They lack capacity to claim or manage benefits; or
2. Their physical disability prevents them from being able to do so.

The role includes;

1. Claiming all DWP benefits that the person may be entitled to;
2. Collecting all benefits into a designated account;
3. Reporting changes in circumstances; and
4. If a person lacks capacity, managing and spending benefits in their Best Interests; or
5. Where the person does not lack capacity, managing and spending benefits in line with their wishes; unless
6. Spending is not an appropriate use of the benefit.

For the purpose of appointeeship the main benefits are;

1. Attendance Allowance;
2. Disability Living Allowance;
3. State Pension; and
4. Personal Independence Payment.

3. When to Apply for Corporate Appointeeship

When corporate appointeeship can be considered

Corporate appointeeship should only be considered when;

1. A person is claiming (or may be entitled to claim) DWP benefits; and
2. A mental capacity assessment has established that the person lacks capacity to claim and manage benefits; or
3. The person's physical disability prevents them from doing so; and
4. There is no other appropriate person (family member, friend, Lasting Power of Attorney or Deputy) who is able to act as an appointee; or
5. The person acting as an appointee is not meeting the requirements of the role (and cannot be offered support to do so); and
6. There is no other appropriate corporate appointeeship organisation available (for example, a third sector organisation or a solicitor).

Seeking agreement to apply

In all instances you should not make a request for corporate appointeeship unless;

1. You have discussed the reasons that corporate appointeeship is required with your line manager; and
2. Your line manager is in agreement.

4. If a Person does not Consent to the Application

If the person lacks capacity

A corporate appointeeship application can proceed when a person who lacks capacity to claim and manage benefits does not consent, so long as;

1. A decision has been made that the application is in their Best Interests; and
2. A Deputy or Lasting Power of Attorney (who is not required to fulfil the role themselves) does not disagree with the Local Authority making the application.

If a Deputy or Lasting Power of Attorney (who is not required to fulfil the role themselves) disagrees with the application the matter must be decided by the Court of Protection.

If the person has capacity

A corporate appointeeship application cannot be made when a person;

1. Has capacity to claim and manage their benefits; but
2. Has a physical disability that prevents them from doing so; and
3. Does not provide consent for the Local Authority to make a corporate appointeeship application.

In this instance you should provide information and advice to support the person to understand;

1. The role of the corporate appointee;
2. The benefits of having a corporate appointee; so that
3. They can re-consider their position around consent.

If the person continues to refuse consent you should discuss the situation with your line manager.

5. If there is already an Appointee

If there is already an appointee

If there is already an appointee you should not make a corporate appointeeship application unless;

1. The appointee wishes to relinquish their role; or
2. The appointee is not fulfilling the role as required; and
3. The appointee would likely not be able to do so, even with support.

If the appointee wishes to relinquish their role

Family members and friends

Appointeeship is a voluntary role and if a family member or friend no longer wishes to act they are able to relinquish it at any time.

They appointeeship role is not relinquished until they have;

1. Provided formal notification of their intention to relinquish the role to the DWP; and
2. The DWP has confirmed in writing that they are no longer an appointee.

The appointee can either send the notification of intention letter;

1. Directly to the DWP using the address provided at the top of the most recent benefits correspondence they have been sent; or
2. As part of the corporate appointeeship application.

The letter must state;

1. Their name;
2. The name of the person claiming benefits;
3. That they wish to relinquish the appointeeship role;
4. When they wish to relinquish the appointeeship role from (for example 'the date that the Local Authority becomes corporate appointee'); and
5. Be signed.

If the letter has been sent separately the corporate appointee application can still be made, but it should be clearly stated that the current appointee intends to relinquish their role.

Deputy's and Lasting Powers of Attorney

If there is a Deputy or Lasting Power of Attorney acting as an appointee as part of their role they cannot relinquish the appointeeship unless the Court of Protection has given them permission to do so.

If a Deputy or Donee is declining to act when they have a responsibility to do so, or has asked another person to act on their behalf you must take steps to;

1. Report this to the Office of the Public Guardian; and
2. In the case of a Deputy, apply to the Court of Protection to make a determination.

If an appointee wishes to continue the role

Family and friends

If a family member or friend already acting as an appointee wishes to continue the role the corporate application should only proceed if;

1. They are not meeting the requirements of the role; and
2. The appointee would likely not be able to do so, even with support.

Before proceeding to make the corporate appointeeship application you should consider whether it would be appropriate to;

1. Provide them with information and advice to support them to meet the requirements of the role; and
2. Monitor how they are carrying out the role.

If you believe that it is not appropriate to provide support (or if the provision of support has not enabled them to meet the requirements of the role) you should discuss this with your line manager and consider writing to the DWP, setting out;

1. The nature of your concerns; and
2. The support that you have provided to try and enable the current appointee to continue in their role.

The DWP are responsible for making the final decision about;

1. Removing the appointee from their role; and
2. Appointing the Local Authority as corporate appointee.

The Local Authority should only make an application to become corporate appointee if the DWP agrees that the current corporate appointee should be relinquished.

Deputy's or Lasting Power of Attorney

You cannot proceed to make a corporate appointeeship application when a Deputy or Lasting Power of Attorney is acting unless the Court has given permission for them to relinquish the role.

Another corporate appointee

All corporate appointeeship organisations (including third party sector organisations and solicitors) have to be approved by the DWP prior to being granted an appointeeship.

If you believe that another corporate appointeeship organisation is not meeting the requirements of the role you should discuss this with your line manager and consider writing to the DWP, setting out the nature of your concerns.

The DWP will consider the information, and consult the organisation before making a decision about the appropriateness of the current corporate appointeeship.

6. The Application Process

When to instigate an application

Applications should only be made when;

1. A person's inability or incapacity to claim and manage benefits has been established; and
2. There is no other appropriate person who can act as an appointee; or
3. A Deputy or Lasting Power of Attorney who would normally be required to act has been given permission by the Court not to do so (or to relinquish the role); or
4. Where the current appointee is a family member or friend, they intend to relinquish the role; or
5. Where the current appointee is a family member or friend, they are not meeting the requirements of the role (and cannot be offered support to do so); or
6. Where the current appointee is another corporate appointee (for example, a third sector organisation or a solicitor), the DWP has confirmed they will be ending their role; and
7. There is no other appropriate corporate appointeeship organisation available; and
8. Where a person lacks capacity, the application has been deemed in their Best Interests; or
9. Where the person has capacity, they have consented to the application.

How to make an application

Applications should be made in line with local requirements and processes. If you are unclear what these are speak to your line manager or seek support from the Client Affairs team using Client.Affairs@lbbd.gov.uk.

Providing evidence

To support the DWP to make a timely decision you should provide the Client Affairs team with copies of any relevant evidence used to determine that;

1. The person lacks capacity to claim and manage their benefits; or
2. Is unable to do so because of a physical impairment; or
3. That there is no other person appropriate to act; when
4. The person has given consent for you to do so; or
5. The person lacks capacity and a decision has been made that information sharing is in their Best Interests; unless
6. The DWP is not already aware of the information.

Evidence could include;

1. A mental capacity assessment;
2. A needs assessment;
3. A letter of relinquishment from the current appointee; or
4. A written statement of concerns about a current appointee.

You should only;

1. Submit evidence prepared by the yourself, or the Local Authority; unless
2. The relevant organisation or person has given consent for it to be shared (for example the ICB or the current appointee).

The timeframe for making a decision

There is no statutory timeframe in which the decision must be made, but from the point that they receive an application it can take the DWP around 12 weeks to make a decision about an appointeeship.

During this time they will;

1. Consider the information and evidence;
2. Arrange to interview the person, or any existing appointee wherever they feel this is necessary; and
3. Request further information as required; and
4. Make a decision about corporate appointeeship.

It is the responsibility of the Client Affairs team to monitor the progress of any application made.

When the decision is made

The DWP will decide either the Local Authority;

1. Will be granted corporate appointeeship; or
2. Will not be granted corporate appointeeship; and
3. Will notify the Client Affairs team of the decision.

If the DWP agree the corporate appointeeship notification will be provided via a form BF57, which will;

1. Confirm the appointment;
2. Provide the date that the appointment began;
3. Provide details of the first payment; and
4. Provide details of subsequent payments. 

The DWP will also;

1. Write to the person to notify them of the appointment; and
2. Write to any previous appointee where their role has been relinquished or ended.

Upon being notified of the outcome

As soon as possible after it is known the Client Affairs team should notify you of;

1. The outcome; and
2. Where corporate appointeeship has been agreed, the date that the first benefit payment is to be made.

If corporate appointeeship is not agreed

Depending on the circumstances of the person, if the DWP does not agree to grant corporate appointeeship to the Local Authority you should;

1. Seek the advice and support of a line manager; and
2. Consider the need to monitor the appointee arrangements that are in place; and/or
3. Consider the need to raise a safeguarding concern; and/or
4. Consider the need to challenge the decision.

7. Identifying Regular Expenses

Using this section of the procedure

This section of the procedure should be used when the DWP has granted corporate appointeeship to the Local Authority.

Identifying regular expenses

It is important that you identify all of the person's regular expenses so that appropriate arrangements can be made to;

1. Arrange payments on the person's behalf; or
2. Ensure the person is provided with a sufficient amount of money to make payments.

Regular expenses include;

1. Rent;
2. Utility bills (gas, electric, water, TV license, council tax, telephone, mobile, internet);
3. Loans, credit cards and other debt repayment;
4. Subscriptions (e.g. gym membership, magazines, Netflix);
5. Shopping;
6. Social expenses; and
7. Travel.

When identifying expenses you should make a record of any relevant customer numbers or account numbers, and provide this to the Client Affairs team. This will assist them in arranging and making any payments to those providers.

Where helpful, the table below can be copied and pasted onto a word document and used for this purpose.

8. Deciding how Regular Expenses will be Paid

Options for paying regular expenses

There are 2 available options for paying the regular expenses identified;

1. They can be paid by the Local Authority on the person's behalf; or
2. The person can be provided with monies to pay the expense themselves (with support as required).

For shopping, social expenses and travel only the latter option is available.

Deciding how to pay regular expenses

The following people should be involved in this discussion;

1. The person; and
2. If they lack capacity, the person's representative (e.g. an advocate or family member);
3. Any Deputy or Lasting Power of Attorney;
4. Anyone else the person wishes to be involved;
5. Anyone who will be supporting the person to manage any monies (e.g. a carer or a care provider).

The importance of the Mental Capacity Act

The principles of the Mental Capacity Act apply at all times when agreeing which expenses the person will continue to manage. This means that you;

1. Must not make any assumptions about a person's capacity to make payments (even if they lacked capacity to claim the benefit); and
2. Must take all practicable steps to support them to make their own decision; and
3. Must allow them to make an unwise decision; unless
4. You carry out a proportionate mental capacity assessment that establishes they are unable to make the decision.

Click here to access 'The Mental Capacity Act 2005' for more information about the Act and guidance for applying it in practice.

Final checks

Before making a final decision it is prudent to ask yourself the following questions;

1. Have all of the regular expenses of the person been identified?
2. Was the person involved in the decision?
3. If the person lacked capacity, were they appropriately represented?
4. Was the person supported to make their own decisions?
5. If the person lacked capacity, were decisions made in their Best Interests (having regard for their wishes and feelings)?
6. Is the independence of the person promoted?
7. Have steps been taken to mitigate any risks identified?

If the person is not happy with the decision

The person may not be happy with the decision, particularly if they perceive it to;

1. Prevent them access to their money; or
2. Restrict the control they have over the way their money is spent.

In this situation you should;

1. Review the decisions made; and
2. If possible, put measures in place to support the person to receive the money.

Ultimately, the Local Authority as corporate appointee is responsible for ensuring that the benefit monies the person receives are used appropriately.

If the person remains unhappy you should;

1. Explain to them that the situation will be monitored; and
2. That if their circumstances or abilities change the method of paying expenses can be reviewed; and
3. Advise them of their right to make a complaint.

Reviewing how expenses are paid

How expenses are paid should be reviewed;

1. At the same time as any statutory Care and Support Plan review; or
2. When the person does not have a Care and Support Plan, no less than every year; and
3. In all cases, when there is evidence to suggest the method of paying expenses may need to be changed.

9. Paying Expenses on the Person's Behalf

There are 2 available options;

1. The Client Affairs team can liaise with utility providers and request bills/invoices are sent directly to them; or
2. Bills/invoices can be provided to the Client Affairs team by the person (or their representative) upon receipt.

If the person wishes to continue to receive the bills at home this should be facilitated if possible. Otherwise the Client Affairs team will decide what will work best to ensure timely payments are made.

In all cases payments will be processed upon receipt and paid via a BACS transfer to the provider's account.

It may be appropriate for the Client Affairs team to make additional payments to clear any outstanding debts the person may have sooner when;

1. The person has agreed to the overpayment; or
2. The person lacks capacity and the overpayment is deemed in their Best Interests; and
3. The person has sufficient accumulated funds to make the payment; and
4. The person is known not require the funds for a significant purchase (for example a Television) or event (for example a holiday or Christmas).

10. Making Payments to the Person

How money is provided

Payments are made on request by a social work team. When processed they are made available through post office vouchers, which are then e-mailed to the person (or their representative) by the Client Affairs team. These must then be 'cashed in' by the person (or their representative) at a post office.

Requesting a payment is made

All payments requests must be made by midday on the Tuesday before the week they are required. Late requests may not be processed until the following week.

Payment requests should be made via e-mail to Client.Affairs@lbbd.gov.uk.

The following information must be provided at each request:

1. Name of the person the payment is for;
2. Amount of payment required;
3. The name of the person who will be cashing the voucher (the person or an authorised representative);
4. Reason for the payment request;
5. The Monday date of the week it is required;
6. An e-mail address that the voucher should be sent;
7. Any other relevant details or information.

If the person is known to require a payment every week, and the payment amount is unlikely to change then 4 payment requests can be submitted at the same time. These will then be made available over 4 consecutive weeks. In this case you must clearly state which weeks payments should be made.

Payments can also be made in advance, if the date that the person requires the money is known.

Upon receiving the request the Client Affairs team will process the payment and e-mail the post office voucher to the e-mail address provided. Monies will be available on the Monday of the week for which they were requested.

Payments when a person lives in a care home

When a person lives in a care home most of their regular expenses are included in the fee paid to the care home. The amount requested should therefore;

1. Only reflect the maximum amount of personal allowance payable; unless
2. The Local Authority has agreed that, based on exceptional circumstances the person should be paid more than this.

Supporting the person to manage cash

You must take steps to ensure that the person is appropriately supported to manage the money, where;

1. They lack capacity to do so safely; or
2. The risk of misappropriation is high.

Wherever possible support should be;

1. Provided from the person's informal networks; or
2. Provided as part of an existing package of support; and
3. Focus on building the person's skills and ability to manage the monies independently in the future.

Monitoring and review

You should make appropriate and proportionate arrangements to monitor how the person (or their representative) is managing (or being supported to manage) the money that is made available to them when;

1. It is likely that their abilities to do so independently will increase; or
2. The risk that monies will be misappropriated is high; or
3. There are concerns that the manner in which the person is managing (or being supported to manage) their money may not be appropriate, or may pose a risk of harm.

Appropriate use of monies

The Local Authority is responsible for ensuring that the benefit monies the person receives are used appropriately. This means that;

1. Essential costs of daily living must be prioritised; before
2. The money should be used for non-essential expenses (for example alcohol or gambling).

The outcome of the review will be that either;

1. The plan should continue with no changes; or
2. The plan needs amending due to changes in the regular expenses, or changes to the way that these are managed; or
3. The plan should continue with no changes, but the way that the person is supported to manage cash is to change; or
4. The corporate appointeeship is no longer required.

Any amended plan must be agreed and submitted before any changes to payments can be made.

11. Additional and Emergency Payments

Additional payments

Additional payments include money;

1. To make non-frequent purchases (such as clothing);
2. To make a significant purchase (such as a TV);
3. To pay for a significant event (such as Christmas spending or a holiday).

Considering the request

If a person (or their representative) makes a request for an additional payment there are some important questions that you must consider before deciding whether to process this;

1. Does the person have sufficient funds available?
2. Has the person made the request themselves?
3. If so, do they have capacity to make the request?
4. If not, has the person making the request done so in their Best Interests?
5. Is the spend an appropriate use of monies?
6. What are the benefits/risks associated with the spend?
7. Are there any indicators that the person making the request has been coerced or subjected to undue influence?
8. Will the person require any further support to manage the additional monies?
9. Does the additional spend require authorisation?

Requests for additional payments should always be submitted to the Client Affairs team when;

1. They have been made by the person; and
2. The person has capacity; and
3. The spend is an appropriate use of the monies; and
4. There are sufficient funds available.

Submitting the request

Requests for additional monies should be made in line in the same way as a request for a regular payment. However, to avoid a query being raised the reason for the request should be clearly explained.

The Client Affairs team should make the payment as per the request, and should only ever decline to do when;

1. There are insufficient funds available; or
2. The request has not been authorised (when relevant).

Making the payment

Payments for additional spends are made in the same way as payments of regular expenses.

Providing a receipt

Where the additional payment request has been made to purchase a large item or meet a large expense a receipt should be provided to the Client Affairs team.

Emergency cash payments

The Community Solutions Team is able to provide an emergency cash payment to a person (or their representative) when authorised to do so by the Client Affairs team.

It is the responsibility of the practitioner handing the money to the person (or their agreed representative) to ensure that;

1. The person checks the money;
2. A signed receipt is obtained; and
3. The receipt is provided to the Client Affairs Team.

12. Direct Payments and Financial Contributions

Direct Payments

Where the Local Authority is acting as corporate appointee for a person with a personal budget, the person is still eligible for a Direct Payment as long as;

1. They have the capacity to request a direct payment; or
2. If they lack capacity, a person with legal authority (or whom the Local Authority deems suitable) to request a Direct Payment does so;
3. Where there is a nominated person the nominated person agrees to receive the payment; and
4. The person who will be receiving the payment is capable of managing it (either on their own or with available help); and
5. The Local Authority is satisfied that a Direct Payment is an appropriate way to meet the person's eligible needs; and
6. The Local Authority is not prohibited from making a Direct Payment.

For more information about eligibility for a Direct Payment click here.

Financial contributions

Financial contributions payable towards a personal budget will be made to the Local Authority by the Client Affairs Team directly from the account in which it receives the person's benefits.

13. Benefit Reviews and New Claims

Changes in circumstances

As corporate appointee, the Local Authority is required to report any changes in the person's circumstances that could have an impact on their;

1. Rate of benefit; or
2. Overall entitlement to a benefit.

Changes in circumstances include;

1. The accumulation of funds above permitted thresholds;
2. Changes in illness or disability;
3. Changes in mental capacity;
4. Change in address;
5. Change in marital status;
6. Change in income.

You should;

1. Notify the Client Affairs Team as soon as possible after becoming aware of a change in circumstance; and
2. Provide them with any evidence to support this (having regard for confidentiality).

Eligibility for further benefits

As corporate appointee, the Local Authority must make sure that it claims any further benefits that the person;

1. May be entitled to at the point that they become corporate appointee; or
2. In the future if needs or circumstances change; and
3. Regardless of the person's consent for a benefit claim to be made.

If you believe that a person may be entitled to a benefit you should;

1. Contact the Client Affairs Team; and
2. If they are in agreement, decide who will make the application on behalf of the Local Authority; and
3. Explain to the person (or their representative if they lack capacity), which benefit they may be entitled to and that an application is to be made.

Benefit reviews

Periodically the DWP will make a formal request for information to confirm the person's current needs and circumstances, so that it can review their entitlement to the benefits they are claiming.

14. Ending Corporate Appointeeship

When corporate appointeeship must end

The appointeeship should be reviewed;

1. At the same time as any statutory Care and Support Plan review; or
2. When the person does not have a Care and Support Plan, no less than every year; and
3. In all cases, when there is evidence to suggest the corporate appointeeship may not be required, or changes may need to be made to how expenses are paid.

You should seek information from the Client Affairs team about any concerns or views they have about the corporate appointeeship as part of any review.

Some key questions to ask during the review include;

1. What is working/not working about the appointeeship?
2. Are the regular expenses all being paid as intended?
3. Are any changes needed to how regular expenses are paid?
4. Are there any new expenses?
5. Have there been any changes in the person's capacity/ability to manage their own money?
6. Is the current level of support being provided to the person to manage cash still the least restrictive?
7. Is the person being supported to make their own decisions and choices about spending their money, wherever this is possible?
8. If the person lacks capacity, is there evidence that money is being spent in their Best Interests;
9. Is money being used appropriately?
10. Are there any new risks to mitigate?
11. Is the corporate appointeeship still required?

When corporate appointeeship must end

The corporate appointeeship must end when;

1. The person dies; or
2. A Court of law makes a determination as such; or
3. The person regains capacity to claim and manage their benefits; or
4. A person with capacity regains the physical ability to do so.

When corporate appointeeship should normally end

Corporate appointeeship should normally end when;

1. There is another appropriate person (family member, friend, Lasting Power of Attorney or Deputy) who is able and willing to act as an appointee; and
2. The Local Authority is satisfied that they will be able to meet the requirements of the role; or
3. Another appropriate corporate appointeeship organisation is now available (for example, a third sector organisation or a solicitor).

Corporate appointeeship should only ever last as long as it needs to. It involves a significant use of Local Authority resources and a significant intervention and presence in a person's everyday life. Whenever an informal or alternative solution becomes available it should always be considered, especially if;

1. Corporate appointeeship is the only Local Authority intervention; or
2. Relinquishment is likely to increase the choice, control and independence of the person.

The process of ending corporate appointeeship

Unless the person has died, the process of ending corporate appointeeship is the same as the process of ending non-corporate appointeeship.

You should notify the Client Affairs Team of the need to end corporate appointeeship, and they should send a letter of notification to relinquish the role to the DWP, stating;

1. The name of the corporate appointee (as stated on any DWP correspondence);
2. The name of the person to whom the appointeeship applies;
3. That the Local Authority wishes to relinquish corporate appointeeship;
4. The reason for the role being relinquished;
5. When the role is to be relinquished (e.g. 'with immediate effect' or 'upon the appointment of another appointee'); and
6. The letter must be signed by the named corporate appointee.

The corporate appointeeship role is not relinquished until the DWP has provided confirmation in writing.

When received;

1. The Local Authorities corporate appointeeship status should be removed from the person's electronic file; and
2. The details of any new appointee added.

If the person dies

You should notify the Client Affairs Team as soon as possible after a person dies so that they can;

1. Cease making regular expense payments to the person (or their nominated representative; and
2. Contact any utility providers regarding payment and cessation of on-going standing orders or direct debits; and
3. Cease making financial contributions to the Local Authority; and
4. Notify the DWP; and
5. Arrange for any benefit payments made since the time of death to be repaid to the DWP.