Part 4 of the Adults with Incapacity (Scotland) Act 2000 (the Act) allows care home managers to apply to the Care Inspectorate to manage money for service users in certain circumstances, these are:

  • that the service is an authorised establishment
  • the adult is a resident with incapacity
  • that the resident has less than £10,000 (usually)
  • the manager of home takes certain steps to manage finances
  • money is not derived from benefits.

AWI application form

This form is in two parts. It allows a manager of an authorised establishment to:

  1. Notify the Care Inspectorate that they intend to manage a resident’s financial affairs.
  2. Apply for a Certificate of Authority to withdraw and spend the resident’s funds.

Detailed information about managing residents’ finances is available in the Code of Practice for Managers under Part 4 of the Act (the Code)

As a result of the UK Government’s emergent Welfare Reform, references to a number of UK wide benefits identified within the codes have required to be up-dated.  

Appendix 1 of the codes refers to particular benefits which cannot be managed under the act. An update of some named benefits was necessary to reflect changes throughout the UK legislation.

In addition, some changes have been made to the examples of goods and services which can be purchased through the use of personal funds, as set out in Appendix 6.

It is very important that you have fully considered the code before completing this form. We need detailed information in order to be satisfied about the steps you have taken before reaching a decision to manage a resident’s finances. Once completed, please send this form to your local Care Inspectorate office with a Certificate of Incapacity completed by a medical practitioner.

You can download a copy of the application form here.

AWI Register

Instructions for use of the AWI Register for Managers

  • Click on AWI Register
  • Save and file to your computer/server
  • Add in the name of your service
  • Save copy
  • Enter information relating to the interventions in place under Adults with Incapacity (Scotland) Act 2000 in the appropriate page.
  • A DWP appointeeships section is included, should you wish to use this section.
  • Ensure that the most recent copy of the register is available for inspectors at inspection.

Change of manager where there are Certificates of Authority

When there is a change of manager, we should be informed as soon as is possible. The outgoing manager must ensure that the resident has sufficient funds in place while an application to vary the Certificate of Authority is made.  

The new manager must apply for a new Certificate of Authority using the specified form.

Download a copy of the application to vary form here.

Transfer/move of a resident with a Certificate of Authority to another care service

When a resident who has a Certificate of Authority moves from one care home to another, the manager must do the following:

  • inform the Care Inspectorate
  • inform the care home to which the resident is going
  • inform the local authority/care manager
  • check that the care home service to which they are moving is an Authorised Established and not Opted Out (see guidance on Opt Out)
  • inform the fund holder.

Managers’ continued involvement after resident moves/transfers 

When an incapable resident ceases to be in an authorised establishment, the manager of the establishment must continue to manage his/her affairs for an interim period of up to 3 months. This allows time for other arrangements, new certificate of authority to be applied for or the certificate to be revoked.  

The need for the manager to continue their role should be considered by the multi-disciplinary team overseeing he resident’s care planning.

The manager must provide the new care service with the resident’s financial records and statements, and return the Certificate of Authority once this is done. 

The manager of the service to which the resident has moved to must then make a new application for a Certificate of Authority.

Death of a resident where there is a Certificate of Authority

When a resident dies and there is a Certificate of Authority in place the manager must take the following steps:

  • notify the Care Inspectorate immediately
  • notify the fundholder
  • prepare a statement of accounts for the resident
  • return the Certificate of Authority along with the statement of accounts.

Procedure to be followed where a care home closes or registration is cancelled

Where a care home closes voluntarily or through enforcement action, and there are Certificates of Authority in place, the following must be done:

  • All Certificates of Authority must be returned to the Care Inspectorate.
  • The financial records and statements of the resident(s) must be forwarded to the new care home, where the resident is to be cared for.

Please refer to information above on the movement/transfer of residents where there is a Certificate of Authority. 

Guidance on the Payment of Fees to Doctors under Part 4 of the Adults with Incapacity (Scotland) Act 2000

Under the Adults with Incapacity (Scotland) Act 2000 (the Act) doctors may carry out an assessment of an individual to assess capacity.

Capacity is defined within the Adults with Incapacity (Scotland) Act 2000 as being incapable of:

  • acting; or
  • making decisions; or
  • communicating decisions; or
  • understanding decisions; or
  • retaining memory of decisions,

by reason of mental disorder or of an inability to communicate because of physical disability. Where a doctor has made an assessment of capacity, and deems that person not to have capacity, a certificate of incapacity will be issued under Part 4 of the Act. This certificate is valid for 3 years.


A fee may be charged by the doctor carrying out the assessment of capacity and this can be taken from the funds of the adult.


Useful Links

Scottish Government

Mental Welfare Commission

The Office of the Public Guardian