Stage 4: Risk Assessment & Capacity
Concept 4 of 8
E4.4

Capacity Assessment

Capacity is decision-specific. A patient can have capacity for one decision and not another. Document the four-element analysis.

Encounter card
Setting
When a patient is making a specific consequential decision and concerns arise about their capacity — refusing treatment, leaving AMA, making major life decisions during psychiatric crisis.
Opening move
Identify the specific decision. Assess the four elements: (1) understanding the information, (2) appreciating the situation and consequences, (3) reasoning with the information, (4) communicating a stable choice. Document each.
Sample language
  • "I want to make sure you understand what we're deciding. Can you tell me back what I just explained?"
  • "What do you think will happen if you take the medication? If you don't?"
  • "Help me understand how you arrived at this decision."
  • "Is this your decision, or are you uncertain?"
Listen for
Understanding (recall and paraphrase the key facts). Appreciation (acknowledges the diagnosis and consequences as applying to them, not denied). Reasoning (logical process even if conclusion differs from clinician's). Choice (stable, not fluctuating).
Common pitfalls
Equating "disagreeing with the clinician" with lacking capacity. Equating "agreeing with the clinician" with having capacity. Conflating capacity with competence (legal status). Doing a general "capacity" assessment instead of decision-specific.

Red flags / escalate: Lacks understanding due to acute psychosis, mania, severe depression, intoxication, dementia, delirium — and the decision is consequential and time-sensitive (treatment refusal, leaving AMA in acute illness, major financial decision in mania).

Documentation
Four-element analysis explicitly documented for the specific decision. "Capacity to refuse hospitalization assessed. Understanding: patient could not paraphrase recommendation. Appreciation: denies the diagnosis despite clear evidence. Reasoning: stated reason for refusal is delusional content. Choice: stable. Assessment: lacks capacity for this decision."

Capacity is decision-specific and snapshot-in-time. Reassess after treatment when relevant.

Warm grey-tinted clinical notebook page, burnt orange accent. The four-element capacity analysis — understanding, appreciation, reasoning, choice. Margin clusters on each.

Capacity assessment is one of the more rigorous clinical tasks in psychiatry, and one where careful structure matters because the consequences of the assessment can include overriding the patient's stated preferences. The most important principle: capacity is decision-specific and moment-specific. A patient may have capacity for some decisions and not others, at this hour and not next hour.

The four-element analysis is the standard framework. Understanding: can the patient paraphrase the relevant information? "Can you tell me back what we just talked about?" If the patient can't recall and synthesize the basic facts, understanding fails. Appreciation: does the patient apply the information to their own situation? The patient who can describe diabetes accurately in general but denies having it when their A1c is 12 lacks appreciation. Reasoning: does the patient walk through the trade-offs logically, even if reaching a different conclusion than the clinician would? Reasoning is about process, not outcome. Choice: is the patient's preference stable, not fluctuating wildly minute to minute?

Decision-specific. The patient with dementia may have capacity for some decisions (where to go for lunch, simple consent) and not others (complex medical decisions, financial planning). The patient with active mania may lack capacity for major decisions during the episode but have capacity again after stabilization. Don't treat capacity as a global trait; assess for the specific decision in question.

Capacity is not competence. Capacity is the clinical determination by the physician. Competence is the legal determination by a court. They overlap conceptually but the terms have distinct meanings; use them appropriately. A patient may have clinical capacity but be legally incompetent (e.g., a minor); a patient may be legally competent but clinically lack capacity for a specific decision during acute illness.

Disagreement isn't incapacity. The patient who decides differently than the clinician would isn't automatically lacking capacity. The patient must lack one or more of the four elements for the decision in question. A patient who deeply considers the trade-offs and chooses differently than I would is exercising capacity, not failing it.

Document specifically. "Capacity to refuse psychiatric hospitalization assessed. Understanding: patient could paraphrase recommendation and rationale. Appreciation: denies that anything is currently wrong despite manic symptoms and 5 days no sleep. Reasoning: cites delusional content as primary reason for refusal. Choice: stable. Assessment: lacks capacity for this decision given failure of appreciation."

Capacity is decision-specific. A patient may have capacity for some decisions and not others. Margin notes on the specificity principle.
The anchor

Capacity is decision-specific and snapshot-in-time. The four-element analysis — understanding, appreciation, reasoning, choice — must be documented for the specific decision in question.

Distinguishing clinical capacity (assessed by physician) from legal competence (determined by court). Margin clusters on the distinction.
Prove it

A 75-year-old with moderate dementia presents to the ED with a hip fracture. The orthopedic surgeon asks for a capacity evaluation because the patient is refusing surgery. How do you proceed?

This connects to

Locked concepts unlock as you reach them on the path.

Back