ADULT INCAPACITY

Adrian D. Ward, MBE, LL.B.Solicitor, Turnbull & Ward, Barrhead

W. GREEN/Sweet & Maxwell LtdEDINBURGH

2003

CONTENTS

PagePreface vTable of Cases xixTable of Statutes xxvTable of Statutory Instruments xxxviiAbbreviations and Definitions xli

CHAPTER 1

DISABILITIES, CAPACITY AND ASSESSMENT

Para.

Introduction 1-1Intellectual impairments and disabilities 1-5Communication difficulties 1-14Effects on legal capacity 1-15Minimising impairment of legal capacity 1-16Distortions 1-19Legal significance 1-20

Facility and circumvention; undue influence 1-21Validity 1-22Supervening incapacity 1-23Modified liability, special benefits and special protections .. 1-24Anticipatory measures 1-25Responsive measures 1-26Third party measures 1-27

Tests of capacity 1-28Assessment of capacity 1-32Facility and circumvention; undue influence 1-36

Facility and circumvention 1-37Undue influence 1-38Personal welfare matters 1-40

Disability discrimination 1-41Disabled person 1-42Provision of goods, facilities and services 1-43Reasonable adjustments 1-45Other provisions 1-46

European Convention on Human Rights 1-47

CHAPTER 2

PROFESSIONAL AND PRACTICAL ISSUES

Introduction 2-1Identification of potential incapacity 2-3Non-discrimination and communication 2-6

viii Contents

Principles 2-9Responsive measure inappropriate 2-10Who is my client? 2-11

Adult is client 2-12Adult is not client 2-14Hybrid situations 2-15Hard cases • • • • 2-17

Anticipatory measures-taking instructions 2-19Gifts 2-20

CHAPTER 3

THE INCAPACITY ACT-INTRODUCTION AND BACKGROUND

"Old law" and "new law" 3-1History 3-3Overview 3-7Layout 3-10Regulations 3-12Codes of Practice 3-14Commencement 3-19Jurisdiction, applicable law and private international law . . . . 3-20

Jurisdiction 3-21Applicable law 3-22Recognition and enforcement 3-26

Criminal offence 3-27Matters excluded from the Act 3-28Legal Aid 3-30Reform of mental health law 3-31England 3-32

CHAPTER 4

THE INCAPACITY ACT-GENERAL PRINCIPLES AND DEFINITIONOF INCAPACITY

Introduction 4-1Application of general principles 4-2

Intervention 4-3Consequences of non-compliance 4rA

The first principle (section 1(2)) 4-6"The person responsible for authorising or effecting the

intervention" 4-7"Benefit 4-8"Such benefit cannot reasonably be achieved without the

intervention" 4-9Wider application 4-10

The second principle (section 1(3)) 4-12Choice of procedure 4-13

Contents ix

Choice of powers 4-14Exercise of powers 4-15

The third principle (section l(4)(a)) 4-16The fourth principle (section l(4)(b)-(d)) 4-20The fifth principle (section 1(5)) 4-22Definition of incapacity (section 1(6)) 4-23

First gateway: "mental disorder^' 4-24Second gateway: physical inability to communicate 4-25The criteria for incapacity 4-27Appeals 4-29

Good practice-the six levels 4-30Duty of care and fiduciary duty 4-31

Duty of care 4-35Fiduciary duty 4-36

The Codes-conflict of interest 4-37The Codes-confidentiality 4-38

CHAPTER 5

KEY ROLES AND FUNCTIONS UNDER THE ACT

Introduction 5-1The sheriff

General 5-2Jurisdiction 5-4Procedure 5-5General discretionary and ancillary powers 5-6Safeguarders 5-7General principles 5-8Intimation to the adult 5-9Expenses 5-10Appeals 5-13Giving directions 5-14Orders regarding functions of nearest relative 5-16Appeal against decisions as to incapacity 5-18Appeal against decisions as to medical treatment 5-19Miscellaneous applications, remits and appeals 5-20Comment 5-21

Court of Session 5-22Public Guardian 5-23Mental Welfare Commission 5-28

Changes in Mental Health (Scotland) Bill 5-32Local authorities 5-33Other roles and responsibilities

Chief social work officers 5-35Medical practitioners (including approved psychiatrists) . . . 5-36Mental health officers 5-37Nearest relative 5-38Primary carer 5-40

Powers applicable to non-Act measures 5-41

x Contents

CHAPTER 6

POWERS OF ATTORNEY

Introduction 6-1Contract or grant? 6-6

The contract interpretation 6-7The grant model •. • • 6-8

Creation and Registration 6-9Creation 6-11Certifiers and certificates 6-12Registration with Public Guardian 6-16Certificate of registration and copies of power 6-17Registration in Books of Council and Session 6-18

Grantor 6-19Attorneys 6-20Powers

Powers which cannot be conferred 6-23Powers which require to be express 6-25"Statutory powers?" 6-27Good practice, the Style 6-28Gifts and tax planning 6-31

Good practice-extraneous matters 6-32Attorneys' actings and duties 6-33

Solicitor attorneys 6-36Remuneration and indemnification 6-37

Powers of the sheriff and othersThe sheriff 6-38Other authorities 6-41

Inter-relationship with other techniques 6-42Termination ; . . . 6-43

Effect of termination-third parties 6-46Attorneys as agents 6-47

Income tax 6-48English and foreign powers 6-̂ 49

English powers 6-50All non-Scottish powers 6-51Applicable law 6-53

Transitional provisions 6-54

CHAPTER 7

OTHER ANTICIPATORY TECHNIQUES

Joint accounts ' 7_1Trusts for administration 7-3Gifts 7-4Advance directives 7_5

BMA policy 7_6Taking instructions 7-7Styles 7-8

Contents xi

Linking to power of attorney 7-9Use of interdict 7-10Mental health legislation 7-11Guardianship and intervention orders 7-12

Statement of wishes and feelings 7-13

CHAPTER 8

AUTHORITY TO INTROMIT AND TRANSFER

Introduction 8-1Terminology 8-2Limitations 8-3

Applications-authority to intromit 8-4Part A 8-5Countersignature-Part B 8-6Medical Certificate 8-8

Procedure 8-9Certificate of authority 8-10Purposes 8-11Withdrawer's actings and duties 8-12Supervision 8-14Duration and termination 8-15Transfer of funds 8-17Related provisions

Joint Accounts 8-18Managers of establishments 8-19

CHAPTER 9

MANAGEMENT OF RESIDENTS' FINANCES

Introduction 9-1Terminology 9-2Managers 9-3Limited registration 9-4Opting out 9-5

Procedure 9-6Medical examination and certificate 9-8

ManagementScope 9-9Duties and functions of managers 9-10Withdrawal of funds 9-12Registered establishments-regulation under ROCSA 9-13

SupervisionSupervisory bodies 9-14

Changes in capacity or residenceReview of certificate 9-19Resident regains relevant capacity 9-20Resident leaves, capacity not regained 9-21

Transitional provisions-MHSA management 9-22

xii Contents

CHAPTER 10

INTERVENTION ORDERS AND GUARDIANSHIP-GENERAL

INTRODUCTION 10-1THE SUPERSEDED TECHNIQUES-RELEVANT PRINCIPLES AND

PRECEDENTSStatutory (MHSA) guardians 10-2Curators bonis — , • • • • 10-5

Historical development 10-7The "preservation" issue 10-8The curatory regime 10-10

Tutors-at-law 10-11Tutors-dative 10-13

Historical development 10-14Comparative influences 10-17Revival 10-18Appointees 10-19Welfare powers 10-21Management powers 10-25

CRITERIA, SCOPE AND COMMON PROVISIONS 10-26Criteria 10-27

Interpretation 10-28Scope

Orders 10-29Combinations 10-30Limitations 10-31Summary 10-32Uses and effect of intervention orders 10-33Guardianship: uses and powers 10-37Distinction between welfare and management powers 10-41Legal representative 10-42Pursuit and defence of proceedings '. 10-43Adult abroad 10-45

Procedure 10-46Applicants, notice and nominees 10-47Reports 10-48Other orders and measures 10-51Caution 10-52Registration with the Public Guardian 10-54

Heritable property and accommodationRegistration of orders relating to heritable properly 10-55Amendment of registration (guardianship only) 10-57Protection of third parties 10-58Accommodation 10-59

Duties, liabilities, supervision 10-60Records 10-61Liability 10-62The sheriff 10-63The Public Guardian 10-64Mental Welfare Commission 10-65Local authority 10-66

Protection of third parties 10-68

Contents xiii

Inter-relationship with other techniques 10-70Termination of authority (including death of adult) 10-71INTERVENTION ORDERS-FURTHER PROVISIONSInterim orders 10-72Variation and recall 10-73Outlays 10-74Change of address 10-75Appointee as "guardian"? 10-76Intervention orders under criminal procedure 10-77

CHAPTER 11

GUARDIANSHIP-FURTHER PROVISIONS

INTRODUCTION 11-1

GUARDIANSIndividual as guardian 11-2Chief officer as guardian 11-3

Responsible officer 11-4Change of local authority area 11-5

Joint and concurrent guardians 11-6Concurrent guardians 11-7Joint guardians 11-8

Who may be appointed joint guardians 11-9Actings, consultation, disagreement, third parties 11-10Additional guardian 11-11Removal and resignation of joint guardian 11-13

Substitute guardian 11-14Caution 11-15Triggering the substitution 11-16

Replacement guardian 11-17Transitional guardians 11-18Interim guardian 11-19DURATION AND RENEWALDuration of appointment 11-22Renewal 11-24FUNCTIONS, ACTINGS AND DUTIES 11-25Delegation 11-26Change of address 11-27Effect of appointment; transactions of guardian and adult . . . 11-28

Matters outwith scope of the order 11-29Management within the scope of the order 11-30Personal welfare matters within the scope of the order 11-31Matters within scope of power to authorise 11-32

Reimbursement and remuneration of guardianIndividual as guardian 11-33Chief officer as guardian 11-34Fixing amount, and payment 11-35Forfeiture of remuneration 11-36

Non-compliance with decisions of welfare guardian 11-37Procedure under section 70 11-38

xiv Contents

MANAGEMENT BY FINANCIAL GUARDIANSIntroduction 11-39Public Guardian H-41Inventory 11-42

Public Guardian's discretion 11-43Management plan 11-44

Restrictions prior to approval of plan 11-45Review and variation 11-46Directions from sheriff 11-47General principles 11-48

Financial guardian's powers etcGeneral 11-49Money 11-50Investment 11-51Carrying on of business 11-52Purchase or disposal of accommodation 11-53

Gifts H-55Procedure 11-56The sheriff 11-59

Powers and duties under other statutes etc 11-60Accounting and auditing 11-61

Auditing 11-63Approval of accounts 11-64Deficiencies 11-65

Discharge 11-66The sheriff 11-67

ALTERATIONS AND TERMINATION 11-68The sheriff 11-69

Replacement 11-70Removal 11-71Recall 11-72Variation 11-73Registration and intimation 11-74Remits and appeals 11-75

The Public Guardian, Mental Welfare Commission and localauthority 11-76

Procedure 11-77The sheriff 11-78Notification and intimation 11-79

Resignation 11-80GUARDIANSHIP UNDER CRIMINAL PROCEDURE (SCOTLAND) ACT 1995Circumstances in which order competent 11-84Criteria and procedure 11-86

Medical Reports 11-87The order 11-88Comment 11-89FOREIGN GUARDIANSDirections 11-90Other provisions 11-91TRANSITIONAL PROVISIONSContinuation of appointments 11-92Proceedings relating to previous appointments 11-93Application of the Act 11-94

Contents xv

Guardians with management powers 11-95Public Guardian's Guidance Notes 11-96Former MHSA guardians 11-97Duration 11-98Replacement, additional and substitute guardians 11-101

Curators bonis to persons under 16 11-102Comment 11-103

CHECKLIST 11-104

CHAPTER 12

OTHER RESPONSIVE MEASURES

INTRODUCTION 12-1

Good practice 12-3MANAGEMENTSocial security benefits

General 12-4Regulation 33 12-5Regulation 34 12-8Regulation 34A 12-9Regulation 35 (and Schedule 9) 12-10

Vaccine damage payments 12-11The deed of trust 12-12

Damages payments in the sheriff court 12-13Damages payments: any competent court 12-15Criminal injuries compensation 12-16Miscellaneous statutory methods 12-17Negotiorum gestio 12-18Informal voluntary arrangements 12-21

Joint accounts 12-23Bare trusts 12-24Judicial factors 12-25Curators ad litem 12-26Parens patriae jurisdiction 12-27PERSONAL WELFAREIntroduction 12-28MHSA provisions 12-29Criminal Procedure (Scotland) Act 1995 12-32Removal under the National Assistance Act 1948 12-33Parens patriae jurisdiction 12-34Curators ad litem 12-35

CHAPTER 13

TRUSTS AND OTHER THIRD PARTY MEASURES

Introduction 13-1Formal private trusts-general description 13-2Delivery • 13-10

xvi Contents

Legal rights 13-11Calculation 13-12The beneficiary with impaired capacity 13-13

Prohibition of accumulations 13-17Taxation-general 13-19Income Tax

Liferent trust (interest in possession) 13-20Discretionary trust (non-interest in possession) 13-22

Capital Gains Tax 13-23Inheritance Tax 13-26Means-testing 13-31Other third party measures

Nominations 13-36Gifts and bequests 13-37Provisions for management of particular assets 13-38Informal voluntary arrangements and bare trusts 13-39

CHAPTER 14

HEALTH-CARE DECISIONS AND MEDICAL RESEARCH

HEALTH-CARE DECISIONS

Introduction 14-1Terminology 14-2

Patient's decision 14-3Difficulty and debate 14-11

Appointee decisions 14-13Source of authority 14-15Error in code of practice 14-16Sections 16(6) and 64(2) limitations 14-17Inter-relationship with other categories 14-21General application of the Incapacity Act 14-24

Parens patriae 14-25Necessity 14-30

Application of the Incapacity Act 14-34Part X authority 14-38Intervention order 14-40Section 47(2) authority 14-41

General application of Incapacity Act 14-42Procedure and duration 14-43Scope of authority 14-44Exclusions 14-45

Section 48(3) authority 14-48Treatments requiring application to the Court of Session .. 14-49Treatment requiring a certificate from an appointed

practitioner 14-51Emergencies 14-53

Section 50(5) authority 14-54Judicial determination 14-58

Persons having an interest 14-59Section 50(3) 14-60Section 50(6) 14-61

Contents xvii

Section 52 14-62AUTHORITY FOR RESEARCH 14-63

What is research? 14-70What is wrongful? 14-71

CHAPTER 15

CONSTRUCTING DECISIONS

Constructing Decisions 15-1

APPENDICES

Appendix 1: Adults with Incapacity (Scotland) Act 2000 Al-01Appendix 2: Statutory Instruments

Adults with Incapacity (Public Guardian's Fees) (Scotland)Regulations 2001 (SSI 2001/75) A2-01

Adults with Incapacity (Certificates from Medical Practi-tioners) (Accounts and Funds) (Scotland) Regulations2001 (SSI 2001/76) A2-02

Adults with Incapacity (Supervision of Welfare Attorneys byLocal Authorities) (Scotland) Regulations 2001 (SSI2001/77) A2-03

Adults with Incapacity (Countersignatories of Applicationsfor Authority to Intromit) (Scotland) Regulations 2001(SSI 2001/78) A2-04

Adults with Incapacity (Evidence in Relation to Dispensingwith Intimation or Notification) (Scotland) Regulations2001 (SSI 2001/79) A2-05

Adults with Incapacity (Certificates in Relation to Powers ofAttorney) (Scotland) Regulations 2001 (SSI 2001/80) A2-06

Adults with Incapacity (Scotland) Act 2000 (CommencementNo.l) Order 2001 (SSI 2001/81 (C.2)) A2-07

Civil Legal Aid (Scotland) Amendment Regulations 2001(SSI 2001/82) A2-08

Act of Sederunt (Summary Applications, Statutory Appli-cations and Appeals etc. Rules) Amendment (Adultswith Incapacity) 2001 (SSI 2001/142) A2-09

Adults with Incapacity (Supervision of Welfare Guardiansetc by Local Authorities) (Scotland) Regulations 2002(SSI 2002/95) A2-10

Adults with Incapacity (Reports in Relation to Guardianshipand Intervention Orders) (Scotland) Regulations 2002(SSI 2002/96) A2-11

Adults with Incapacity (Recall of Guardians' Powers)(Scotland) Regulations 2002 (SSI 2002/97) A2-12

Adults with Incapacity (Non-compliance with Decisions ofWelfare Guardians) (Scotland) Regulations 2002 (SSI2002/98) A2-13

xviii Contents,

Adults with Incapacity (Scotland) Act 2000 (CommencementNo.2) Order 2002 (SSI 2002/189 (C.14)) A2-14

Adults with Incapacity (Ethics Committee) (Scotland) Regu-lations 2002 (SSI 2002/190) A2-15

Adults with Incapacity (Medical Treatment Certificates)(Scotland) Regulations 2002 (SSI 2002/208) A2-16

Adults with Incapacity (Specified Medical Treatments)(Scotland) Regulations 2002 (SSI 2002/275) A2-17

Appendix 3: Criminal Procedure (Scotland) Act 1995, ss.57,58, 58A, 60B and 61 ; A3-01

Appendix 4: Part 5 Code of Practice (extract) A4-01Appendix 5: Style of Power of Attorney .... A5-01Appendix 6: Styles: Intervention Order and Guardianship

Style A: Application for Intervention Order A6-01Style B: Application to replace Guardian A6-02Style C: Application for Guardianship Order A6-03

PageIndex 553