Supervision

How is the supervision type assessed?
The supervision regimes
What if I do not agree with the supervision regime assigned?
What does supervision involve?
What records should I keep?
What reports do I have to provide to the Public Guardian?
What else is part of supervision?

How is the supervision type assessed?

Once you have been appointed as a Deputy by the Court of Protection (CoP), the OPG carries out an assessment to decide what type of supervision and support is appropriate for you. The OPG decide this by looking at the circumstances of each case and then allocate a Type I, II or III supervision regime.

The Type I regime attracts a greater degree of supervision by the OPG than the Type II regime. The Type III regime has a minimal degree of supervision.
Health and Welfare Deputies will be allocated a Type I or II supervision level, but never a Type III

The supervision regimes

Finance and Property Deputies - If you have been appointed as a property and affairs Deputy you are likely to be allocated to a Type I level of supervision if ANY of the following factors apply:

Concerns have been reported to the OPG about your management of the funds of the person whose affairs you have been appointed to manage, and as a result we consider that for now we need to monitor your decision-making.
There is, or will be, a damages award and we want to ensure that financial arrangements have been set up and are operating effectively.
The sensitivity or complexity of the issues you will be managing in your role as Deputy mean that at least in the short term you may need more support.
You have a poor credit history or outstanding judgement debts and we consider that for now there is a need to monitor your decision-making.
You are or have been in the past declared bankrupt or the debtor under an Individual Voluntary Arrangement and we consider that for now we need to monitor your decision making.
You have been the subject of a declaration under section 213 (fraudulent trading) or section 214 (wrongful trading) of the Insolvency Act 1986, and we consider that for now we need to monitor your decision-making.
You have been the subject of a bankruptcy restrictions order under Section 281A or Schedule 4A of the Insolvency Act 1986, or a disqualification order under section 1 of the Company Directors (Disqualification) Act 1986, and we consider that for now we need to monitor your decision-making.
You have financial interests that directly conflict with the person whose affairs you have been appointed to manage, for example, you are not closely related but you live rent-free in property that they own.
A report from a Court of Protection Visitor indicates that, for now, close supervision is needed.

You are likely to be allocated to a Type II level of supervision if ALL of the following factors apply:

The value of the assets you have been appointed to manage is between £16,000 and £150,000.
You are a professional Deputy (e.g. a solicitor or local authority Deputy), or you are the spouse, civil partner or parent of the person who's affairs you have been appointed to manage.
There was no objection to your appointment as Deputy.

You are likely to be allocated to a Type III level of supervision if the following applies:

The value of the assets you have been appointed to manage are £16,000 or less and there are no other factors that would mean a different level of supervision would be appropriate

If we cannot decide your supervision level from the above factors, we will make a decision by considering the following factors:

Your timeliness in providing accounts to the PGO/OPG, if these have been requested.
The accuracy and validity of the accounts you have provided to the PGO/OPG.
Your timeliness of payments for the Receivers/Deputy's security bond and PGO/OPG fees.
The history of any care payments you have been required to make on behalf of the person whose affairs you manage, for example, care home fees.
Your professional status as Deputy, e.g. whether you are a solicitor or local authority Deputy.
Your previous experience as a Deputy.
Your relationship and degree of contact with the person whose affairs you have been appointed to manage.
The support network of the person whose affairs you have been appointed to manage.
The nature and complexity of the assets you are required to manage.
Factors in any Court of Protection Visitors' reports.
Feedback or information we have had from other parties with an interest in the welfare of the person whose affairs you manage.
The Court of Protection Order and judgement.

Health and Welfare Deputies - If you have been appointed as a Health and Welfare Deputy you are likely to be allocated to a Type I level of supervision if ANY of the following factors apply:

There is an identified risk around poor decision making or pressure being exerted on you from others, e.g. someone has stated that they are not happy with decisions you are making about the person's care.
The person you will be making decisions on behalf of has been, is likely to be, awarded 'damages' and you are a relative. In this situation we need to ensure that appropriate health services and care packages have been set up and are operating effectively.
The Court has specifically requested that you are supervised closely and the OPG is satisfied that the criteria for high level supervision confirms this level of supervision is needed.
There is a high level of sensitivity around decisions (e.g. decisions could affect maintenance of life, or there is a situation where wider interest e.g. from the media, may put pressure on you when making decisions)
You are a relative and there is a rapidly changing or serious health or welfare situation which may result in you having to make one, or a series of, potentially difficult decisions (e.g. a rapidly degenerating condition which requires numerous changes to the person's environment, treatment or care regime)
There is a significant family dispute/conflict over decisions in relation to health & welfare, or your appointment as the Deputy , which is likely to cause you difficulties in carrying our your responsibilities as a Health and Welfare Deputy
The person you are making decisions on behalf has had erratic, unstable or changing relationships with others (including health & care agencies), giving rise to issues about continuity/consistency of care and decision-making about them, presenting significant challenges for you.

You may be allocated to a Type I or II level of supervision if ANY of the following factors apply:

You have limited contact with the person you will be making decisions on behalf of, or are geographically remote possibly presenting issues with managing their health and welfare
There is a significant family dispute over decisions in relation to Finance and/or property which is likely to cause you difficulties in carrying our your responsibilities as a Health and Welfare Deputy
There is a complexity of health and welfare issues that may or may not be ongoing
There is evidence that you, due to your own decreasing abilities, may yourself become incapacitated or otherwise in the near future causing you to experience difficulties in performing your Deputyship responsibilities
Joint and several deputies have been appointed and there is a need to ascertain if decision-making is operating effectively.

Health and Welfare Deputies will not be allocated a Type III supervision level.

What if I do not agree with the supervision regime assigned?

If you do not agree with the supervision regime which you have been assigned then you can ask us to review the decision. You must do this within 14 days of being notified of the decision.

If you would like to know more about how the decision was reached, you can ask for full written reasons for the decision within 14 days of being notified of it. You will then have a further 14 days to ask for a review of the decision.

Your request for a review must be supported by a statement of the grounds on which you are requesting it together with any documentation or evidence you wish to submit in support of your request. The Public Guardian will consider your request and notify you of his decision.

If you remain unhappy with the decision you can request an independent review of the decision. If you do so, the Public Guardian will ask the Independent Adjudicator to review the decision and advise him of their views. Details of how to do this will be in the letter we send you.

What does supervision involve?

The OPG will carry out an assessment to decide the supervision regime you will be allocated and support that you may need. We will then write to advise you of what will be required of you. This may involve any or all of the following:

Sending reports to the OPG in accordance with any directions of the Court;
A Court of Protection Visitor visiting both you and/or the person whose affairs you have been appointed to manage in order to ensure that the Deputyship is working for both of you and that you are making decisions in the best interests of the person;
Regular contact with you and with others with an interest in the person's welfare.

If you have been allocated a Type I supervision regime we will provide you with information about the Case Work Team who will contact you. They will manage your supervision plan and can be contacted for assistance. If your case has been allocated to a Type II or III regime, support and assistance will be available from the OPG Contact Centre.

The only exception to this is if you are a Health and Welfare Deputy who has been allocated a Type II supervision level, in which case you will also be supported by the Case Work Team.

The type of supervision you receive will regularly be assessed to see if it is still relevant to your circumstances. We may allocate a higher or lower supervision level if we feel that it is appropriate. If the supervision level does change we will write and inform you. You should also let us know if there have been any significant changes that you think may affect the supervision level.

What records should I keep?

You should keep a record of any decisions you make as a Deputy. For example, if you make a major investment, alter the care provision or decide that the person whose affairs you manage should live elsewhere. You should record how you reached the decision, what you took into account and whom you consulted.

What reports do I have to provide to the Public Guardian?

Your Court Order may specify that you must complete a report for the Public Guardian and it will specify how often this is required. The completion of the report helps the Public Guardian supervise your Deputyship. Even if the Court Order does not specify the need for a report the OPG may decide that one is required in line with the supervision level that you have been allocated.

The report should record all decisions you have made on behalf of the person lacking capacity, including financial and health and welfare decisions where appropriate. A report from a Property and Affairs Deputy will include a record of money received and payments made on behalf of the person who's affairs they have been asked to manage during the year.

A Health and Welfare report will ask for information about the clients health and welfare and any decisions relating to it. Where possible, you should keep all supporting documents. This includes receipts for money spent, bank statements and correspondence, letters and reports from health agencies or social services. We will let you know when a report is due and provide a form that will describe to you what is required and the format it should be in.

What else is part of supervision?

We may ask you to provide specific information if this is necessary to satisfy the Public Guardian that you are discharging your duties as a Deputy and managing the affairs of the person lacking capacity. For example, we may request that you provide more information about a decision or decisions you made, or provide supporting documents about a financial transaction or a health care decision.

We may also contact social services or health authorities to request copies of the health and social care records of the person lacking capacity, or request copies of care records from registered care homes. More detailed guidance on supervision is available in the supervision guidance booklet available from the OPG.