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The Challenges Presented by the Assessment of Legal Capacity

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Capacity Assessment and the Law
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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.

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Notes

  1. 1.

    Carney T (1997), p. 1; Devereux J and Parker M (2006), p. 54.

  2. 2.

    Moye J and Marson DC (2007), p. 3.

  3. 3.

    Carney T and Tait D (1991), p. 66.

  4. 4.

    Moye J and Marson DC (2007), p. 3; Marson D (2016), p. 12.

  5. 5.

    Squires B and Barr F (2005), p. 34.

  6. 6.

    Aw D et al. (2012), p. 226.

  7. 7.

    Falk E and Hoffman N (2014), p. 853.

  8. 8.

    Shulman KI et al. (2005), p. 64.

  9. 9.

    Appelbaum PS (2007), p. 1834; Dawson J and Kämpf A (2006), p. 310; Gunn MJ et al. (1999), p. 281.

  10. 10.

    Moye J (1999), p. 488; Devereux J and Parker M (2006), p. 57; Sullivan K (2004), p. 131; Kitamura T and Takahashi N (2007), p. 578; Berg JW et al. (1995–1996), pp. 348–349.

  11. 11.

    Sabatino CP and Wood E (2012), p. 35.

  12. 12.

    Ibid.

  13. 13.

    Ibid.

  14. 14.

    Ibid.

  15. 15.

    Ibid.

  16. 16.

    Moye J et al. (2013), pp. 159–160.

  17. 17.

    Dārziņš P et al. (2000), p. 4.

  18. 18.

    Carney T and Keyzer P (2007), p. 255.

  19. 19.

    Creyke R (1995), pp. 10–12.

  20. 20.

    Frost M et al. (2015), p. 8.

  21. 21.

    O’Neill N and Peisah C (2011), p. 3.

  22. 22.

    Okonkwo OC et al. (2008), p. 656.

  23. 23.

    Peisah C and Brodaty H (1994), p. 382; Liptzin B et al. (2010), p. 950.

  24. 24.

    Peisah C and Brodaty H (1994), p. 382.

  25. 25.

    Alzheimer’s Australia (2009), p. 5.

  26. 26.

    Berry G (2006), p. 2.

  27. 27.

    Sargent & Anor v Brangwin [2013] QSC 306.

  28. 28.

    Kawas CH (2003), p. 1056.

  29. 29.

    Sprehe DJ and Loughridge Kerr A (1996), p. 263.

  30. 30.

    Ibid 263; Peisah C and Brodaty H (1994), p. 382.

  31. 31.

    O’Neill N and Peisah C (2011), p. 3.

  32. 32.

    Ibid.

  33. 33.

    Peisah C and Brodaty H (1994), p. 382.

  34. 34.

    Moye J et al. (2006), p. 78.

  35. 35.

    Alzheimer’s Australia (2009), p. 5.

  36. 36.

    UK Government (2015).

  37. 37.

    Lin SY and Lewis FM (2015), p. 237.

  38. 38.

    Australian Bureau of Statistics (2009), pp. 2–3; Access Economics (2009), i.

  39. 39.

    National Health and Medical Research Council (2014).

  40. 40.

    Australian Institute of Health and Welfare (2016).

  41. 41.

    Australian Bureau of Statistics (2009), pp. 2–3; Access Economics (2009), i.

  42. 42.

    Ibid.

  43. 43.

    Parkinson’s Queensland (2015).

  44. 44.

    AgeUK (2016), pp. 12–13.

  45. 45.

    Ibid.

  46. 46.

    Ibid.

  47. 47.

    Ibid.

  48. 48.

    Ibid.

  49. 49.

    UK Government (2015).

  50. 50.

    Ibid.

  51. 51.

    World Health Organization (2015), p. 74.

  52. 52.

    Population Reference Bureau (2015).

  53. 53.

    Ibid; Alzheimer’s Association (2016).

  54. 54.

    Alzheimer’s Association (2016).

  55. 55.

    Population Reference Bureau (2015).

  56. 56.

    Alzheimer’s Association (2016).

  57. 57.

    World Health Organization, Alzheimer’s Disease International (2012).

  58. 58.

    Ibid 90.

  59. 59.

    UK Government (2015).

  60. 60.

    For a comparison of each of the national plans see Lin SY and Lewis FM (2015).

  61. 61.

    National Institute on Ageing (2012); Lin SY and Lewis FM (2015), p. 237.

  62. 62.

    Department of Health (2016).

  63. 63.

    Access Economics (2009), p. 5.

  64. 64.

    Marson DC et al. (1996), pp. 667–668.

  65. 65.

    Moye J et al. (2013), p. 163; Falk E and Hoffman N (2014), p. 856.

  66. 66.

    Falk E and Hoffman N (2014), p. 856.

  67. 67.

    Jourdan JB and Glickman L (1991), p. 415.

  68. 68.

    Australian Health Ministers’ Conference (2006), p. 2.

  69. 69.

    Moye J and Marson DC (2007), p. 3; Harada CN et al. (2013), pp. 737–738; Moye J et al. (2013), p. 162.

  70. 70.

    Harada CN et al. (2013), p. 738.

  71. 71.

    Ibid.

  72. 72.

    Winick BJ (1996), pp. 54–55.

  73. 73.

    Carney T (1997), p. 1.

  74. 74.

    World Health Organization (2015), p. 74.

  75. 75.

    Ibid 75.

  76. 76.

    Falk E and Hoffman N (2014), p. 854.

  77. 77.

    Ibid.

  78. 78.

    O’Connell v Shortland (1989) 51 SASR 337, 348.

  79. 79.

    Queensland Law Society, Allens Linklaters, Queensland Advocacy Incorporated (2014), p. 13.

  80. 80.

    O’Connell v Shortland (1989) 51 SASR 337, 348.

  81. 81.

    Freckelton I (1999), p. 86.

  82. 82.

    Grisso T (2003), p. 23.

  83. 83.

    Ibid xiii.

  84. 84.

    Darzins P et al. (2000), p. 3.

  85. 85.

    Grisso T (2003), pp. 11–12.

  86. 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. 87.

    Sales BD and Shuman DW (1996), p. 795.

  88. 88.

    Ibid.

  89. 89.

    Ibid 801.

  90. 90.

    Standing Committee on Legal and Constitutional Affairs, Parliament of the Commonwealth of Australia (2007), p. 112.

  91. 91.

    Alzheimer’s Australia (2006), pp. 18–19.

  92. 92.

    Sales BD and Shuman DW (1996), p. 804.

  93. 93.

    Moye J and Marson DC (2007), p. 3.

  94. 94.

    Ibid.

  95. 95.

    Sprehe DJ and Kerr AL (1996), p. 255.

  96. 96.

    Ibid.

  97. 97.

    Mullins P (1999), p. 5.

  98. 98.

    Moye J et al. (2013), p. 167.

  99. 99.

    Cockerill J et al. (2005), p. 55.

  100. 100.

    Lai JM and Karlawish J (2007), p. 109.

  101. 101.

    Falk E and Hoffman N (2014), p. 854.

  102. 102.

    Ibid 861.

  103. 103.

    Ibid 854.

  104. 104.

    Ibid.

  105. 105.

    Ibid.

  106. 106.

    Grisso T (2003), p. 7.

  107. 107.

    Sales BD and Shuman DW (1996), p. 805; Lai JM and Karlawish J (2007), p. 101.

  108. 108.

    Sales BD and Shuman DW (1996), p. 805.

  109. 109.

    Appelbaum PS and Roth LH (1981), p. 1466.

  110. 110.

    Sales BD and Shuman DW (1996), p. 804.

  111. 111.

    Standing Committee on Legal and Constitutional Affairs, Parliament of the Commonwealth of Australia (2007), p. 112.

  112. 112.

    [2013] WTLR 453 CA; EWCA Civ 74.

  113. 113.

    Ibid.

  114. 114.

    [2013] WTLR 1331.

  115. 115.

    Sargent & Anor v Brangwin [2013] QSC 306.

  116. 116.

    Middlebrook v Middlebrook (1962) 36 ALJR 216, 172.

  117. 117.

    Standing Committee on Legal and Constitutional Affairs, Parliament of the Commonwealth of Australia (2007), p. 111.

  118. 118.

    Kim SY et al. (2007), p. 38.

  119. 119.

    Kornfeld DS et al. (2009), p. 471.

  120. 120.

    Moye J et al. (2007), p. 597.

  121. 121.

    See, for example, Kapp, M (2015), p. 165.

  122. 122.

    Smyer MA (2007), p. 14.

  123. 123.

    Sullivan K (2004), p. 135.

  124. 124.

    Parker M (2008), pp. 34–35.

  125. 125.

    Kornfeld DS et al. (2009), p. 472.

  126. 126.

    Dārziņš P et al. (2000), p. 139. See also Kim SYH and Caine ED (2002), p. 1322.

  127. 127.

    Dārziņš P et al. (2000), pp. 3–4.

  128. 128.

    Ibid.

  129. 129.

    Dārziņš P (2007), pp. 3–4.

  130. 130.

    Standing Committee on Legal and Constitutional Affairs, Parliament of the Commonwealth of Australia, (2007), p. 112.

  131. 131.

    Dārziņš P et al. (2000), pp. 3–4.

  132. 132.

    Sullivan K (2004), p. 134.

  133. 133.

    Carney T (1995), p. 518.

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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

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