Ms. C is a 22-year-old woman with unstable insulin-dependent diabetes who has suffered an intrauterine death at 36 weeks of gestation. She is refusing medical induction of labor, which has been recommended to avoid the risk of potentially life-threatening sepsis. She insists that the birth must be “natural” and becomes extremely distressed when attempts are made to discuss this further. In the past, she has had repeated admissions to hospital as a result of poor diabetic control and, consequently, is well known to staff. Although the current clinical state is stable, the medical team have become extremely anxious about the possible consequences of her refusal of treatment and they have requested an assessment of capacity. Ms. C refuses to discuss her decision and turns her back to the interviewer. A further attempt to discuss this is met with a similar response.
Capacity is a complex construct that refers to the presence of a particular set of “functional abilities” that a person needs to possess in order to make a specific decision (Grisso and Applebaum, 1998). These abilities include being able to understand the relevant information needed to make the decision and to appreciate the relatively foreseeable consequences of the various options available. In the medical setting, the key decision to be made is whether to give or withhold consent to investigation or treatment.
The term “competence” is often used, sometimes interchangeably with capacity. These are equivalent terms and their use depends on the context in which the issue is discussed. In the UK, capacity is used in the legal context and the term competence in medical settings. In other countries, this may be reversed. In this chapter, the term capacity will be preferred.
The possession of capacity has been described as the “gateway” to the exercise of autonomy (Gunn, 1994). Autonomy, literally meaning self-rule, has been defined as the capacity to think, decide, and act on the basis of such thought and decision, freely and independently (Gillon, 1986).
On occasions, a patient may express an autonomous choice to refuse treatment that the doctor thinks is essential. In such situations, there will be a tension between respect for the patient’s autonomy and the beneficence arising from the medical intervention. In Western society, the liberal tradition emphasizes the importance of liberty and freedom for the individual and, in particular, freedom from the interference of others (Hope et al., 2003). Based on this tradition, the exercise of autonomy will trump beneficence.
The presence of decision-making capacity is an essential, although not sufficient, element of valid consent. The law relating to consent is founded upon the patient’s autonomy and there are clear legal consequences if the clinician acts in its absence.
This was clearly articulated in the well-known statement by Judge Cardozo in Schloendorff v. Society of New York Hospitals (1914): “Every adult person of sound mind has a right to determine what shall be done with his own body; and a surgeon who performs an operation without his patient’s consent commits an assault, for which he is liable in damages.”
Most jurisdictions approach capacity from the starting point that all adults have the capacity to make their own decisions. The legal position with regard to children is more complicated. Whether or not they may be presumed to have capacity, and the approach to assessment, will depend on the particular jurisdiction in which the clinician practices.
The law has also acknowledged that the threshold for a finding of capacity may vary. A senior English judge, Lord Donaldson, stated this very simply when he said: “The more serious the decision, the greater the capacity required” ( Re T [Adult Refusal of Treatment], 1992).
As identified by Roth et al. (1977) the threshold may also depend on whether the patient is consenting or refusing treatment. For example, a high-benefit/low-risk procedure will require a lower threshold for consent and a higher one for refusal. If the benefit is low and risks high, then there will be a high threshold for consent and a low one for refusal. Thresholds may also differ as different judicial standards may be applied to the same fact situation (Grisso and Applebaum, 1995a).
This ambiguity in where the threshold is set is problematical but, as has been observed, this “is inevitable as individuals and societies hold different views about the balance between the respect for autonomy and the protection of vulnerable people from harm” (Wong et al., 1999, p. 439).
Identifying a lack of decision-making capacity is also legally important, as treatment will then need to be given under a different legal framework – or under the framework of substitute decision making (see Ch. 9 for more information). Incapacity often fails to be identified in day-to-day practice, particularly when the patient passively accepts the treatment offered (Raymont et al., 2004).
Depending on jurisdiction, treatment of the incapacitated person may require clinicians to act in the person’s best interests, follow a valid and applicable advance directive, or call upon substitute decision makers.
Capacity, as one of the cornerstones of valid consent, is considered in policies concerning consent to medical treatment. The functional approach to capacity assessment is widely accepted, although other details regarding the consent process may differ depending on jurisdiction.
Such policies have been produced by central and local government and by the professional bodies that regulate and guide medical practice. Hospitals will also have a local policy, which should reflect national guidance, and all clinicians must ensure that they are familiar with those policies that apply to their place of work and area of specialization.
Capacity or, more specifically, lack of capacity is also discussed in policy documents that consider the approach to the treatment of those who lack the capacity to decide for themselves. Again, the approach to capacity assessment contained in such documents is a functional one.
Studies have suggested that in situations where capacity is questionable general impressions can be misleading (Etchells et al., 1999); therefore, a structured approach to assessment is likely to yield more accurate results.
A number of studies have focused on an examination of the decision-making abilities of people who fall within certain diagnostic groups (Grisso and Applebaum, 1995b; Wong et al., 2000). Grisso and Applebaum (1998, p. 18) have noted that while impairments can be identified it does not invariably follow that decision-making capacity is lost: “A patient may be psychotic, seriously depressed, or in a moderately advance state of dementia, yet still be found competent to make some or all decisions.”
Some associations between impaired decision-making capacity and specific symptoms have been identified. For example, cognitive impairment has been shown to be a predictor of incapacity in medical patients (Raymont et al., 2004) and scores of between 0 and 16 on the standardized Mini-Mental State Examination have been found to increase significantly the likelihood of a finding of incapacity (Etchells et al., 1999).
There is evidence to suggest that simple interventions such as breaking up the information into bite-size pieces (Grisso and Applebaum, 1995b) or, for some patients, presenting material visually (Wong et al., 2000) can improve decision-making capacity.
In routine clinical practice, capacity is not usually considered explicitly until consent is required from a person whose membership of a particular diagnostic group may suggest that their capacity may be impaired, or if a patient refuses a treatment that the clinician strongly endorses.
A decision about the presence or absence of capacity based solely on the membership of a particular group, referred to as a status approach to capacity determination, has been widely rejected (Presidents Commission, 1982; Law Commission, 1995).
Unusual decisions, such as a refusal of treatment, particularly if this will have life-threatening consequences, may lead to the conclusion that capacity is lacking. This has been called an outcomes approach to capacity determination.
For example, in a well-known case that came before the British court, refusal of a caesarean section required to prevent the death of both the pregnant woman and her baby was viewed by the treating clinicians as clear evidence of incapacity. This was rejected by the judge, who found, on applying the legal criteria for capacity, that the woman had the ability to refuse treatment and had based her decision on long-standing views about natural delivery (St George’s Healthcare NHS Trust v. S, 1998).
In general, the assessment of capacity that is now broadly endorsed by clinicians (Roth et al., 1977; Grisso and Applebaum, 1998), lawyers (Presidents Commission, 1982; Law Commission, 1995), and ethicists (Buchanan and Brock, 1989) adopts an approach that focuses on the quality of the decision making, often referred to as a functional approach to capacity assessment.
Grisso and Applebaum (1998) have proposed that the abilities needed to make a decision about treatment include the ability to understand the information necessary to come to a treatment decision, the ability to appreciate the relevance of the information to the person’s individual situation, and the ability to process the information in a logical manner (reasoning). Finally, the person must be able to express a choice.
The nature of appreciation is an area that has given rise to theoretical debate and can give rise to particular difficulty in assessment. Grisso and Applebaum (1998) viewed appreciation as the ability to believe the information and to accept its relevance to the person’s situation while others (Charland, 1998) have highlighted the importance of the person’s values and emotional responses in understanding this concept.
Problems may arise when the beliefs that are held by the patient are very different from those of the clinician. Some beliefs, although not necessarily shared by the clinician, are, however, legitimized by society, for example certain religious beliefs. However, some alternative lifestyle choices and belief systems can give rise to conflict. In such a situation, it is essential that clinicians be aware of their own views or prejudices and the impact, sometimes subtle, that these may have on the assessment of capacity (Kopelman, 1990). When such a possibility is identified, it may be helpful to discuss the situation with a colleague.
Further difficulties can arise when it is suspected that a patient’s beliefs have been influenced by the presence of mental illness. It is relatively straightforward when a person has a symptom of illness, such as a delusion, that clearly impacts on decision making. However, particular difficulties arise when the ideas held by the person fall short of delusions but are nevertheless unusual, for example the distortions in body image that occur in anorexia nervosa. Put simply, the question is as follows: “Is it the person or the illness talking?” These can be exquisitely difficult judgements.
Buchanan and Brock (1989, p. 24) suggest that a necessary element of capacity is that the person must have a “set of values or conception of the good.” This set of values must be “at least minimally consistent, stable, and affirmed as his or her own. This is needed in order to evaluate particular outcomes as benefits or harms, goods or evils, and to assign different relative weight or importance to them.” Such a value system may be viewed as a unique sieve through which the elements of decision making are filtered.
Clinicians seek consent to treatment on a day-to-day basis; therefore, the ability to assess capacity is a basic skill that all clinicians should possess. However, there are situations when those with specialist skills may be required and, depending on the nature of the putative impairment, the assessment of decision-making capacity may be delegated to psychologists or psychiatrists. In a few academic centers, there may be specialist teams or, if time permits, the clinician may discuss any areas of difficulty with the hospital bioethicist or clinical ethics committee. It should, however, be remembered that the final decision regarding capacity is a legal one.
It is important to remember some underlying considerations concerning capacity. Firstly, capacity is decision specific. Secondly, there is a presumption in favor of capacity. Finally, there must be a commitment to enhance decision-making capacity as much as possible. The interview process has an enabling function as well as one of assessment.
Enabling strategies might include treatment of an underlying mental illness, reducing the impact of prescribed medication, or, in the case of fluctuating capacity, waiting to assess during a more lucid period. The use of an aide-mémoire or the presentation of information in diagrammatic form may aid those with cognitive difficulties. Families may assist by providing support and reassurance by their presence or may assist in presenting material in the most effective way. Sometimes a person simply needs some time to take in and process bad news. Finally, attention to environmental factors may be helpful to minimize distraction and reduce anxiety.
It is essential that those undertaking the assessment should be fully briefed about the nature of the illness, proposed treatment, alternatives, and the risks of refusing treatment. In addition to this clinical information, it will also be necessary to have an awareness of the legal test for capacity applicable to the relevant jurisdiction. An understanding of what has led to the request for an assessment of capacity is helpful as it may prepare the clinician for potential problems in undertaking the assessment, such as hostility from the patient.
It is important to be open regarding the purpose of assessment. This can be introduced by indicating that some concerns have been raised by others about the person’s decision-making ability and that you wish to discuss their thoughts about the proposed treatment in more detail. Where a patient is hostile, it may be helpful to be clear that the ability to exercise the important right to give or refuse treatment may hinge on the outcome of the interview.
There are two broad approaches to assessment: a directed clinical interview or use of a structured instrument and rating procedure, such as the MacArthur Competence Assessment Tool-Treatment (MacCAT-T).
The assessment should begin with a discussion of the person’s understanding of the disorder for which they are being offered treatment. This is then followed by a discussion of the recommended treatment, its benefits, the risks of refusing this treatment, and any available alternatives. Patients may be able to provide information in these domains in response to open questions; however, the relevant information may need to be disclosed and re-disclosed as the assessment progresses. While a structured approach is recommended, the clinician will need to be flexible and responsive to the presenting problems of the patient.
The Aid to Capacity Evaluation (ACE) is a semistructured method for capacity assessment that covers the same areas as those assessed during the clinical interview. It may act as a useful prompt, and the form provides space to document responses. The ACE is easily accessible via the website of the University of Toronto Joint Centre for Bioethics (http://www.utoronto.ca/jcb).
This sequence of questions can be easily adapted to cover other types of decision that a person may face as a result of being in a medical setting, for example the decision to go into residential accommodation.
As the interview progresses, the clinician may gain pointers to any abnormalities in mental state, such as the presence of psychotic or mood disorder, and this should prompt a more detailed mental state examination. Assessment of cognitive function will also be required. It may also be important to gain an appreciation of the values underpinning the decision-making process and to explore these in context of the person’s life history. On occasions third-party information may be helpful.
The MacCAT-T is a well validated, semistructured interview that assesses and rates abilities in four domains: understanding of the disorder and its treatment, appreciation, reasoning, and ability to express a choice. The interview follows a fixed sequence of topics in the order outlined above. The assessor discusses the essential information and requires the patient to respond to specifically worded questions. The responses are then rated using a standard format. It should be noted that the scores generated do not translate directly into determination of capacity or incapacity and need to be understood in a broader clinical context and in relation to the nature of the decision to be made.
It is essential to document the capacity assessment, not only for clinical but also for legal purposes. If there is a possibility that the case will come before the courts, there should be reference to the relevant legal standards. A brief summary of the questions asked and the patient’s responses should be recorded. If a formal tool was used, then a copy should be retained in the notes.
There should be a well-reasoned decision supporting the conclusion regarding capacity. Grisso and Applebaum (1998, p. 146) suggested that a statement regarding the outcome of the capacity assessment should begin: “In my opinion the courts would be likely to find … ” in recognition that this is ultimately a legal, not medical, judgement. The assessment should make it clear that a finding of incapacity relates to a specific decision, otherwise there is a potential risk is that person will be labeled as being globally incompetent.
Suggestions for interventions that may allow a patient to regain capacity should also be documented.
Ms. C presents a difficult problem in assessing capacity, as she is not cooperative with formal assessment. Given her lack of engagement with the formal process, a decision is made to utilize, with expert support, the clinical team with whom she has a good relationship and to guide them through the assessment process. The clinical team decide that she clearly understands the issues, including the potential risks, and she is able to express a choice. However, further discussion with the team reveals very little attention has been paid to acknowledging the emotional impact of the loss, and she should be assisted in this by seeing a specialist bereavement nurse.
It emerges that Ms. C is overwhelmed with grief and holds herself responsible for the baby’s death. She accepts that others may have a different perspective, but she feels that unless she gives birth without medical intervention she will have failed completely as a mother. She will not shift from this view despite careful explanation.
As there are potentially life-threatening consequences of refusing treatment, the threshold for a finding of capacity must be high. Her grief appears to be impairing her ability to make use of the information about the proposed treatment. As the clinical situation is currently stable, it is agreed that further grief work should be undertaken. Plans are made to name the baby and for there to be a funeral. With these plans in place, Ms. C agrees to medical induction of labor.
An earlier version of this chapter has appeared: Etchells, E., Sharpe, G., Elliott, C., and Singer, P. A. (1996). Capacity. CMAJ 155: 657–61.