Consent and capacity

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Quick Overview

Mental capacity assessment is a legal and ethical cornerstone of UK medical practice, governed by the Mental Capacity Act 2005 (MCA). Capacity is decision-specific and time-specific-assume capacity unless proven otherwise. NICE NG108 emphasizes that all practicable steps must be taken to support decision-making before concluding someone lacks capacity.

Core Facts & Concepts

Mental Capacity Act 2005 - Five Statutory Principles:

  1. Presumption of capacity until established otherwise
  2. Support all practicable steps to aid decision-making
  3. Unwise decisions do not prove incapacity
  4. Best interests guide actions for those lacking capacity
  5. Least restrictive option must be chosen

Two-Stage Capacity Test:

StageAssessment Criteria
1. Diagnostic thresholdIs there impairment/disturbance of mind/brain function? (temporary/permanent)
2. Functional testCan the person: Understand, Retain, Use/weigh, Communicate the decision?

📌 Remember: URUC - Understand, Retain, Use/weigh, Communicate

Figure 1: Clinical photograph showing doctor discussing treatment options with elderly patient using visual aids

Consent Requirements by Scenario:

  • Valid consent needs: Capacity + Voluntary + Informed
  • Emergency treatment: Proceed in best interests if capacity cannot be assessed (life/limb-threatening)
  • Advance decisions: Legally binding if valid and applicable; must be written and witnessed for life-sustaining treatment refusal
  • Lasting Power of Attorney (LPA): Health & Welfare LPA can consent/refuse treatment (only active when patient lacks capacity)
  • Court of Protection: Resolves disputes; appoints deputies for ongoing decisions

Age-Specific Thresholds:

  • ≥16 years: Presumed capacity (can consent; refusal may be overridden if life-threatening)
  • <16 years: Gillick competence if sufficient maturity (Fraser guidelines for contraception)
  • Parental responsibility: Overrides child refusal if in best interests until age 18

Problem-Solving Approach

Capacity Assessment Protocol (NICE NG108):

  1. Optimize conditions: Quiet environment, appropriate timing, communication aids, involve family/advocates
  2. Apply diagnostic threshold: Document impairment (delirium, dementia, learning disability, mental illness, intoxication)
  3. Conduct functional test (URUC):
    • Understand: Explain in simple terms; ask patient to repeat back
    • Retain: Even brief retention sufficient (minutes acceptable)
    • Use/weigh: Can they appreciate consequences? Compare options?
    • Communicate: Any method counts (speech, writing, blinking, Makaton)
  4. Document thoroughly: Record what information given, how assessed, reasons for conclusion, who consulted

Figure 2: Flowchart showing capacity assessment steps with decision points

Best Interests Checklist (if capacity lacking):

  • Consult: Family, carers, LPA, IMCA (Independent Mental Capacity Advocate if no one available)
  • Consider: Past/present wishes, beliefs, values, other relevant factors
  • Encourage participation: Support patient involvement maximally
  • Life-sustaining treatment: Do not assume withholding is in best interests

⚠️ Warning: Deprivation of Liberty Safeguards (DoLS) required if restricting freedom in hospital/care home-apply via supervisory body

Analysis Framework

Capacity vs Consent Scenarios:

ScenarioCapacity StatusAction Required
Fluctuating capacity (delirium)Assess when optimal; defer if possibleTreat urgently in best interests; reassess when improved
Refuses life-saving treatmentHas capacityRespect refusal; explore reasons; document clearly
Refuses life-saving treatmentLacks capacityTreat in best interests; consider advance decisions/LPA
Advance decision existsCurrently lacks capacityFollow if valid and applicable to current situation
Disagreement with familyLacks capacityFamily views inform but don't determine best interests

Red Flags Suggesting Incapacity:

  • 🚩 Cannot retain information even momentarily
  • 🚩 Repeats same questions without incorporating answers
  • 🚩 Cannot describe consequences of choices
  • 🚩 Decision based on delusional beliefs directly

Clinical Pearl: Capacity can fluctuate-reassess if clinical state changes. A patient may have capacity for simple decisions (what to eat) but not complex ones (surgery consent).

Visual Aid

Capacity Assessment Documentation Template:

ElementRecord
DecisionSpecific treatment/intervention
ImpairmentDiagnosis affecting capacity
URUC assessmentEvidence for each component
ConclusionCapacity present/absent with rationale
Best interestsIf lacking capacity: who consulted, factors considered

Key Points Summary

Presume capacity for every decision unless impairment proven; capacity is decision-specific and time-specific

Two-stage test: (1) Diagnostic threshold-impairment present? (2) Functional test-URUC (Understand, Retain, Use/weigh, Communicate)

Valid consent requires: Capacity + Voluntary + Informed; unwise decisions ≠ incapacity

Best interests: Consult widely (family, LPA, IMCA); consider patient's wishes, beliefs, values; choose least restrictive option

Advance decisions: Legally binding if valid/applicable; must be written and witnessed for life-sustaining treatment refusal

Age thresholds: ≥16 presumed capacity; <16 Gillick competence possible; parental responsibility until 18

Emergency treatment: Proceed in best interests if capacity assessment impossible and treatment urgent-document retrospectively

Practice Questions: Consent and capacity

Test your understanding with these related questions

A 71-year-old woman with metastatic lung cancer and capacity is receiving end-of-life care at home. Her pain is increasingly difficult to control and the palliative care team recommends a continuous subcutaneous infusion of diamorphine and midazolam. She agrees but says 'I don't want to become unconscious - I want to stay alert to talk to my family'. The doses proposed would likely cause significant sedation. How should this be managed?

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