Abstract
Incidents of mentally disabling conditions are increasing exponentially and populations worldwide are ageing. More and more people are considering available options to plan for the future, a future in which they may no longer be able to make their own, legally recognised decisions. One tactic to accomplish this is through estate planning, particularly wills and enduring documents. The effect, however, of both the ageing population and the rising numbers of conditions impacting capacity is that the number of assessments conducted in the testamentary and substitute decision-making context are likewise swelling. Although the determination of capacity is ultimately a legal decision, the complexity of mentally disabling conditions necessitates collaboration with health professionals to accurately assess capacity. The challenge arises when there is a lack of communication resulting in misunderstandings around the nature of the cognitive assessment to be conducted within the specific legal framework. This impacts not only the individual whose capacity is being assessed, but also the legal and health professionals involved in the assessments, especially as professional liability concerns grow. Inherently linked to the question of satisfactory assessments is the fundamental issue of cost. This chapter discusses the challenges confronting consistent and accurate capacity assessments, including an exploration of the medico-legal interface, but also the essential role of families and society. Understanding the difficulties facing those involved with assessing capacity will assist in progressing the discussion around developing a best practice methodology in an attempt to attain the elusive balance between autonomy and protection of the vulnerable.
Access this chapter
Tax calculation will be finalised at checkout
Purchases are for personal use only
Notes
- 1.
- 2.
Moye J and Marson DC (2007), p. 3.
- 3.
Carney T and Tait D (1991), p. 66.
- 4.
- 5.
Squires B and Barr F (2005), p. 34.
- 6.
Aw D et al. (2012), p. 226.
- 7.
Falk E and Hoffman N (2014), p. 853.
- 8.
Shulman KI et al. (2005), p. 64.
- 9.
- 10.
- 11.
Sabatino CP and Wood E (2012), p. 35.
- 12.
Ibid.
- 13.
Ibid.
- 14.
Ibid.
- 15.
Ibid.
- 16.
Moye J et al. (2013), pp. 159–160.
- 17.
Dārziņš P et al. (2000), p. 4.
- 18.
Carney T and Keyzer P (2007), p. 255.
- 19.
Creyke R (1995), pp. 10–12.
- 20.
Frost M et al. (2015), p. 8.
- 21.
O’Neill N and Peisah C (2011), p. 3.
- 22.
Okonkwo OC et al. (2008), p. 656.
- 23.
- 24.
Peisah C and Brodaty H (1994), p. 382.
- 25.
Alzheimer’s Australia (2009), p. 5.
- 26.
Berry G (2006), p. 2.
- 27.
Sargent & Anor v Brangwin [2013] QSC 306.
- 28.
Kawas CH (2003), p. 1056.
- 29.
Sprehe DJ and Loughridge Kerr A (1996), p. 263.
- 30.
Ibid 263; Peisah C and Brodaty H (1994), p. 382.
- 31.
O’Neill N and Peisah C (2011), p. 3.
- 32.
Ibid.
- 33.
Peisah C and Brodaty H (1994), p. 382.
- 34.
Moye J et al. (2006), p. 78.
- 35.
Alzheimer’s Australia (2009), p. 5.
- 36.
UK Government (2015).
- 37.
Lin SY and Lewis FM (2015), p. 237.
- 38.
- 39.
National Health and Medical Research Council (2014).
- 40.
Australian Institute of Health and Welfare (2016).
- 41.
- 42.
Ibid.
- 43.
Parkinson’s Queensland (2015).
- 44.
AgeUK (2016), pp. 12–13.
- 45.
Ibid.
- 46.
Ibid.
- 47.
Ibid.
- 48.
Ibid.
- 49.
UK Government (2015).
- 50.
Ibid.
- 51.
World Health Organization (2015), p. 74.
- 52.
Population Reference Bureau (2015).
- 53.
Ibid; Alzheimer’s Association (2016).
- 54.
Alzheimer’s Association (2016).
- 55.
Population Reference Bureau (2015).
- 56.
Alzheimer’s Association (2016).
- 57.
World Health Organization, Alzheimer’s Disease International (2012).
- 58.
Ibid 90.
- 59.
UK Government (2015).
- 60.
For a comparison of each of the national plans see Lin SY and Lewis FM (2015).
- 61.
- 62.
Department of Health (2016).
- 63.
Access Economics (2009), p. 5.
- 64.
Marson DC et al. (1996), pp. 667–668.
- 65.
- 66.
Falk E and Hoffman N (2014), p. 856.
- 67.
Jourdan JB and Glickman L (1991), p. 415.
- 68.
Australian Health Ministers’ Conference (2006), p. 2.
- 69.
- 70.
Harada CN et al. (2013), p. 738.
- 71.
Ibid.
- 72.
Winick BJ (1996), pp. 54–55.
- 73.
Carney T (1997), p. 1.
- 74.
World Health Organization (2015), p. 74.
- 75.
Ibid 75.
- 76.
Falk E and Hoffman N (2014), p. 854.
- 77.
Ibid.
- 78.
O’Connell v Shortland (1989) 51 SASR 337, 348.
- 79.
Queensland Law Society, Allens Linklaters, Queensland Advocacy Incorporated (2014), p. 13.
- 80.
O’Connell v Shortland (1989) 51 SASR 337, 348.
- 81.
Freckelton I (1999), p. 86.
- 82.
Grisso T (2003), p. 23.
- 83.
Ibid xiii.
- 84.
Darzins P et al. (2000), p. 3.
- 85.
Grisso T (2003), pp. 11–12.
- 86.
American Bar Association Commission on Law and Aging, American Psychological Association Assessment of Capacity in Older Adults Project Working Group (2005); American Bar Association Commission on Law and Aging, American Psychological Association and National College of Probate Judges (2006); American Bar Association Commission on Law and Aging, American Psychological Association Assessment of Capacity in Older Adults Project Working Group (2008).
- 87.
Sales BD and Shuman DW (1996), p. 795.
- 88.
Ibid.
- 89.
Ibid 801.
- 90.
Standing Committee on Legal and Constitutional Affairs, Parliament of the Commonwealth of Australia (2007), p. 112.
- 91.
Alzheimer’s Australia (2006), pp. 18–19.
- 92.
Sales BD and Shuman DW (1996), p. 804.
- 93.
Moye J and Marson DC (2007), p. 3.
- 94.
Ibid.
- 95.
Sprehe DJ and Kerr AL (1996), p. 255.
- 96.
Ibid.
- 97.
Mullins P (1999), p. 5.
- 98.
Moye J et al. (2013), p. 167.
- 99.
Cockerill J et al. (2005), p. 55.
- 100.
Lai JM and Karlawish J (2007), p. 109.
- 101.
Falk E and Hoffman N (2014), p. 854.
- 102.
Ibid 861.
- 103.
Ibid 854.
- 104.
Ibid.
- 105.
Ibid.
- 106.
Grisso T (2003), p. 7.
- 107.
- 108.
Sales BD and Shuman DW (1996), p. 805.
- 109.
Appelbaum PS and Roth LH (1981), p. 1466.
- 110.
Sales BD and Shuman DW (1996), p. 804.
- 111.
Standing Committee on Legal and Constitutional Affairs, Parliament of the Commonwealth of Australia (2007), p. 112.
- 112.
[2013] WTLR 453 CA; EWCA Civ 74.
- 113.
Ibid.
- 114.
[2013] WTLR 1331.
- 115.
Sargent & Anor v Brangwin [2013] QSC 306.
- 116.
Middlebrook v Middlebrook (1962) 36 ALJR 216, 172.
- 117.
Standing Committee on Legal and Constitutional Affairs, Parliament of the Commonwealth of Australia (2007), p. 111.
- 118.
Kim SY et al. (2007), p. 38.
- 119.
Kornfeld DS et al. (2009), p. 471.
- 120.
Moye J et al. (2007), p. 597.
- 121.
See, for example, Kapp, M (2015), p. 165.
- 122.
Smyer MA (2007), p. 14.
- 123.
Sullivan K (2004), p. 135.
- 124.
Parker M (2008), pp. 34–35.
- 125.
Kornfeld DS et al. (2009), p. 472.
- 126.
- 127.
Dārziņš P et al. (2000), pp. 3–4.
- 128.
Ibid.
- 129.
Dārziņš P (2007), pp. 3–4.
- 130.
Standing Committee on Legal and Constitutional Affairs, Parliament of the Commonwealth of Australia, (2007), p. 112.
- 131.
Dārziņš P et al. (2000), pp. 3–4.
- 132.
Sullivan K (2004), p. 134.
- 133.
Carney T (1995), p. 518.
References
Access Economics (2009) Keeping dementia front of mind: incidence and prevalence 2009–2050. Alzheimer’s Australia. http://www.fightdementia.org.au/common/files/NSW/2010NSWFront_of_Mind_Full_Report1.pdf. Accessed 1 Nov 2016
AgeUK (2016) Later in Life in the United Kindgom. http://www.ageuk.org.uk/Documents/EN-GB/Factsheets/Later_Life_UK_factsheet.pdf?dtrk=true. Accessed 1 Nov 2016
Alzheimer’s Association (2016) 2016 Alzheimer’s Disease Facts and Figures. http://www.alz.org/facts/. Accessed 1 Nov 2016
Alzheimer’s Australia (2006) Decision making in advance: reducing barriers and improving access to advance directives for people with dementia. Discussion Paper No 8, pp 18–19
Alzheimer’s Australia (2009) Dementia: facing the epidemic. A Vision for a World Class Dementia Care System. https://www.fightdementia.org.au/files/20090901_Nat_Sub_DemFacingEpidemic.pdf. Accessed 1 Nov 2016
American Bar Association Commission on Law, Aging, American Psychological Association (2005) Assessment of Older Adults with Diminished Capacity: A Handbook for Lawyers. https://www.apa.org/pi/aging/resources/guides/diminished-capacity.pdf. Accessed 1 Nov 2016
American Bar Association Commission on Law and Aging, American Psychological Association (2008) Assessment of Capacity in Older Adults Project Working Group, Assessment of Older Adults with Diminished Capacity: A Handbook for Psychologists. https://www.apa.org/pi/aging/programs/assessment/capacity-psychologist-handbook.pdf. Accessed 1 Nov 2016
American Bar Association Commission on Law and Aging, American Psychological Association, National College of Probate Judges (2006) Judicial Determination of Capacity of Older Adults in Guardianship Proceedings: A Handbook for Judges. https://www.apa.org/pi/aging/resources/guides/judges-diminished.pdf. Accessed 1 Nov 2016
Appelbaum PS (2007) Assessment of Patient’s competence to consent to treatment. N Engl J Med 357(18):1834–1840
Appelbaum PS, Roth LH (1981) Clinical issues in the assessment of competency. Am J Psychiatr 138(11):1462–1467
Australian Bureau of Statistics (2009) Australian Social Trends 4102.0 - Future Population Growth and Ageing. http://www.ausstats.abs.gov.au/ausstats/subscriber.nsf/0/4FABEA5D1AA59548CA2575830015E7B0/$File/41020_populationprojections.pdf. Accessed 1 Nov 2016
Australian Health Ministers’ Conference (2006) National Framework for Action on Dementia 2006–2010. https://www.nhmrc.gov.au/_files_nhmrc/file/grants/apply/strategic/dementia_attachmenta.pdf. Accessed 1 Nov 2016
Australian Institute of Health and Welfare (2016) Dementia. http://www.aihw.gov.au/dementia/. Accessed 1 Nov 2016
Aw D et al (2012) Advance care planning and the older patient. Q J Med 105(3):225–230
Berg JW, Appelbaum PS, Grisso T (1996) Constructing competence: formulating standards of legal competence to make medical decisions. Rutgers Law Rev 48(2):345–396
Berry G (2006) Testamentary Capacity & Undue Influence, Testamentary Capacity – Medical Aspects. In: Queensland Law Society Succession Law Conference, Brisbane, 27 October 2006
Carney T (1995) Judging the competence of older people: an alternative. Ageing Soc 15(04):515–534
Carney T (1997) Introduction: competence. Int J Law Psychiatry 20(1):1–4
Carney T, Keyzer P (2007) Planning for the future: arrangements for the assistance of people planning for the future of people with impaired capacity. Queensland Univ Technol Law Justice J 7(2):255–278
Carney T, Tait D (1991) Guardianship dilemmas and care of the aged. Sydney Law Rev 13:61
Cockerill J, Collier B, Maxwell K (2005) Legal requirements and current practices. In: Collier B, Coyne C, Sullivan K (eds) Mental capacity, powers of attorney and advance health directives. Federation Press, Leichhardt
Creyke R (1995) Who can decide? Legal decision-making for others. Australian Government Publishing Service, Canberra
Dārziņš P (2007) Operationalising the Rational Cognitive Model of Decision-Making Capacity – Notes for Elder Law Conference. In: Queensland Law Society Elder Law Conference, Brisbane, 14 June 2007
Darzins P, Molloy DW, Strang D (eds) (2000) Who can decide? The six step capacity assessment process. Memory Australia Press, Adelaide
Dawson J, Kämpf A (2006) Incapacity principles in mental health laws in Europe. Psychol Public Policy Law 12(3):310–331
Department of Health (2016) Dementia. Available via Australian Government. https://agedcare.health.gov.au/older-people-their-families-and-carers/dementia. Accessed 1 Nov 2016
Devereux J, Parker M (2006) Competency issues for young persons and older persons. In: Freckelton I, Petersen K (eds) Disputes and dilemmas in health law. Federation Press, Leichhardt
Directions in Law and Aging. Springer, Berlin Heidelberg, pp 35–55
Falk E, Hoffman N (2014) The role of capacity assessments in elder abuse investigations and guardianships. Clin Geriatr Med 30(4):851–868
Freckelton I (1999) Doctors as witnesses. In: Freckelton I, Petersen K (eds) Controversies in health law. Federation Press, Leichhardt
Frost M, Lawson S, Jacoby R (2015) Testamentary capacity law, practice, and medicine. Oxford University Press, Oxford
Grisso T (2003) Evaluating competencies: forensic assessments and instruments. Perspectives in law and psychology, 2nd edn. Kluwer Academic/Plenum Publishers, New York
Gunn MJ et al (1999) Decision-making capacity. Med Law Rev 7(3):269–301
Harada CN, Natelson Love MC, Triebel KL (2013) Normal cognitive ageing. Clin Geriatr Med 29(4):737–752
Jourdan JB, Glickman L (1991) Reasons for requests for evaluation of competency in a municipal general hospital. Psychosomatics 32(4):413–416
Kapp MB (2015) Evaluating decision making capacity in older individuals: does the law give a clue? Laws 4(2):164–172
Kawas CH (2003) Early Alzheimer’s disease. N Engl J Med 349(11):1056–1063
Kim SY et al (2007) Determining when impairment constitutes incapacity for informed consent in schizophrenia research. Br J Psychiatry 191(1):38–43
Kim SYH, Caine ED (2002) Utility and limits of the mini mental state examination in evaluating consent capacity in Alzheimer’s disease. Psychiatr Serv 53(10):1322–1324
Kitamura T, Takahashi N (2007) Ethical and conceptual aspects of capacity assessments in psychiatry. Curr Opin Psychiatry 20(6):578–581
Kornfeld DS, Muskin PR, Tahil FA (2009) Psychiatric evaluation of mental capacity in the general hospital: a significant teaching opportunity. Psychosomatics 50(5):468–473
Lai JM, Karlawish J (2007) Assessing the capacity to make everyday decisions: a guide for clinicians and an agenda for future research. Am J Geriatr Psychiatr 15(2):101–111
Lin SY, Lewis FM (2015) Dementia friendly, dementia capable, and dementia positive: concepts to prepare for the future. Gerontologist 55(2):237–244
Liptzin B et al (2010) Testamentary capacity and delirium. Int Psychogeriatr 22(6):950–956
Marson D (2016) Commentary: a role for neuroscience in preventing financial elder abuse. Public Policy Aging Rep 26(1):12–14
Marson DC et al (1996) Toward a neurologic model of competency: cognitive predictors of capacity to consent in Alzheimer’s disease using three different legal standards. Neurology 46(3):666–672
Moye J (1999) Assessment of competency and decision making capacity. In: Lichtenberg PA (ed) Handbook of assessment in clinical gerontology. Wiley, Hoboken, pp 488–528
Moye J et al (2006) Neuropsychological predictors of decision-making capacity over 9 months in mild-to-moderate dementia. J Gen Intern Med 21(1):78–83
Moye J et al (2007) A conceptual model and assessment template for capacity evaluation in adult guardianship. Gerontologist 47(5):591–603
Moye J, Marson DC (2007) Assessment of decision-making capacity in older adults: an emerging area of practice and research. J Gerontol B Psychol Sci Soc Sci 62(1):3–11
Moye J, Marson DC, Edelstein B (2013) Assessment of capacity in an aging society. Am Psychol 68(3):158–171
Mullins P (1999) A practical guide to testamentary capacity. Evidence in Wills & Estates Litigation, Brisbane
National Health and Medical Research Council (2014) Boosting Dementia Research Initiative. https://www.nhmrc.gov.au/research/boosting-dementia-research-initiative. Accessed 1 Nov 2016
National Institute on Ageing (2012) Obama administration presents national plan to fight Alzheimer’s disease. https://www.nia.nih.gov/newsroom/2012/05/obama-administration-presents-national-plan-fight-alzheimers-disease. Accessed 1 Nov 2016
O’Neill N, Peisah C (2011) Capacity and the law. Sydney University Press, Sydney
Okonkwo OC et al (2008) Awareness of deficits in financial abilities in patients with mild cognitive impairment: going beyond self-informant discrepancy. Am J Geriatr Psychiatr 16(8):650–659
Parker M (2008) Patient competence and professional incompetence: disagreements in capacity assessments in one australian jurisdiction, and their educational implications. J Law Med 16(1):25–35
Parkinson’s Queensland (2015) Statistics. http://parkinsons-qld.org.au/pqi-research/statistics/. Accessed 1 Nov 2016
Peisah C, Brodaty H (1994) Dementia and the will-making process: the role of the medical practitioner. Med J Aust 161(6):381–384
Population Reference Bureau (2015) Population Bulletin, Vol. 70, No. 2. December 2015. http://www.prb.org/pdf16/aging-us-population-bulletin.pdf. Accessed 1 Nov 2016 Publishing Service
Queensland Law Society, Allens Linklaters, Queensland Advocacy Incorporated (2014) Queensland Handbook for Practitioners on Legal Capacity
Sabatino CP, Wood E (2012) The conceptualization of legal capacity of older persons in western law. In: Doron I, Soden AM (eds) Beyond elder law: new directions in law and aging. Springer, New York
Sales BD, Shuman DW (1996) The newly emerging mental health law. In: Wexler DB, Winick BJ (eds) Law in a therapeutic key: developments in therapeutic jurisprudence. Carolina Academic Press, Durham, p 795
Shulman KI, Cohen CA, Hull I (2005) Psychiatric issues in retrospective challenges of testamentary capacity. Int J Geriatr Psychiatry 20(1):63–69
Smyer MA (2007) Contexts of capacity: local and state variations in capacity assessment–commentary on assessment of decision-making capacity in older adults. J Gerontol B Psychol Sci Soc Sci 62(1):14–15
Sprehe DJ, Kerr AL (1996) Use of legal terms in will contests: implications for psychiatrists. J Am Acad Psychiatry Law 24(2):255–265
Squires B, Barr F (2005) The development of advance care directives in new South Wales. Australas J Ageing 24(S1):S30–S35
Standing Committee on Legal and Constitutional Affairs, Parliament of the Commonwealth of Australia (2007) Older People and the Law
Sullivan K (2004) Neuropsychological assessment of mental capacity. Neuropsychol Rev 14(3):131–142
UK Government (2015) Policy paper: Prime Minister’s challenge on dementia 2020. https://www.gov.uk/government/publications/prime-ministers-challenge-on-dementia-2020/prime-ministers-challenge-on-dementia-2020. Accessed 1 Nov 2016
Winick BJ (1996) The side effects of incompetency labeling and the implications for mental health law. In: Wexler DB, Winick BJ (eds) Law in a therapeutic key. Carolina Academic Press, Durham
World Health Organization (2015) World Report on Ageing and Health. http://apps.who.int/iris/bitstream/10665/186463/1/9789240694811_eng.pdf?ua=1. Accessed 1 Nov 2016
World Health Organization, Alzheimer’s Disease International (2012) Dementia: a public health priority. http://www.who.int/mental_health/publications/dementia_report_2012/en/. Accessed 1 Nov 2016
Cases
Hawes v Burgess [2013] WTLR 453 CA; EWCA Civ 74
Middlebrook v Middlebrook (1962) 36 ALJR 216
O’Connell v Shortland (1989) 51 SASR 337
Re Ashkettle [2013] WTLR 1331
Sargent & Anor v Brangwin [2013] QSC 306
Author information
Authors and Affiliations
Rights and permissions
Copyright information
© 2017 Springer International Publishing AG
About this chapter
Cite this chapter
Purser, K. (2017). The Challenges Presented by the Assessment of Legal Capacity. In: Capacity Assessment and the Law. Springer, Cham. https://doi.org/10.1007/978-3-319-54347-5_1
Download citation
DOI: https://doi.org/10.1007/978-3-319-54347-5_1
Published:
Publisher Name: Springer, Cham
Print ISBN: 978-3-319-54345-1
Online ISBN: 978-3-319-54347-5
eBook Packages: Law and CriminologyLaw and Criminology (R0)