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Adults with Incapacity (AWI) Toolkit

This Event Toolkit supports the management, documentation and review of Adults with Incapacity (AWI) duties in Scotland. It streamlines recording and monitoring, helps demonstrate compliance with statutory and regulatory expectations, and safeguards the rights of adults who may lack capacity.

Overview

The AWI Toolkit is designed to help providers:

• Record decision‑specific capacity assessments and associated evidence.
• Capture Section 47 (Certificate of Incapacity) information and treatment plans.
• Document consultations with nearest relatives, welfare attorneys/guardians and other relevant people.
• Manage and audit use of welfare powers (guardianship/intervention orders/power of attorney).
• Support escalation, safeguarding and reporting workflows aligned with statutory duties and inspection expectations.

Key Legislative & Regulatory Requirements

The toolkit maps directly to the principal duties and guidance that providers must follow:

Adults with Incapacity (Scotland) Act 2000

• Apply the five statutory principles in every intervention: Benefit, Least restriction, Present & past wishes, Consultation, and Encouraging residual capacity.
• Ensure decisions are decision‑specific and time‑specific; avoid global labels of incapacity.

AWI Codes of Practice

Follow the operational duties in the relevant Codes (local authorities, medical practitioners, authorised establishments and welfare proxies) for assessment, consultation, documentation, and record retention.

Medical Treatment under Section 47

• Record a valid Section 47 Certificate signed by an authorised practitioner.
• Attach an Annex / treatment plan specifying scope of treatment and consultees.
• Ensure treatment is lawful, proportionate and consistent with benefit and least‑restriction principles.

Mental Welfare Commission (MWC)

Follow MWC expectations on capacity assessment, supported decision‑making, oversight of welfare powers and human‑rights‑based practice.

Data Protection (UK GDPR / DPA 2018)

• Treat AWI records as special category health and welfare data — process under an appropriate Article 6 and Article 9 condition.
• Collect only what is necessary, keep records up to date, and use information lawfully and proportionately.
• Data protection is not a barrier to lawful sharing where there is a need to protect an adult at risk (AWI/ASP duties).

Care Inspectorate & Health and Social Care Standards

Providers must demonstrate safe, lawful, person‑centred care; maintain robust records; report incidents and concerns; provide staff training; and maintain governance and audit of AWI practice.

Using the Toolkit in Radar — Practical Steps

The toolkit is intended to be used within Radar Events and related record areas. Follow these recommended steps when recording AWI activity:

1. Create an AWI Event or Record

   Open the person’s record and create an AWI event to capture assessment, legal status, consultations and treatment decisions.

2. Record Decision‑Specific Capacity Assessment

   Document the specific decision being assessed, the date/time, who completed the assessment, supports used (communication aids, advocacy) and the outcome with rationale.

3. Attach Legal Documents

   Upload copies of guardianship/intervention orders, power of attorney documentation and Section 47 certificates. Record effective dates, scope and named powers.

4. Document Consultation & Involvement

   Record who was consulted (nearest relative, guardian, attorney, MHO, advocates), their input and any disagreements or escalation actions.

5. Record Treatment Plans & Section 47 Details

   Attach the Annex/treatment plan, list treatments authorised, scope limits, and evidence that benefit and least‑restriction considerations were applied.

6. Capture Safeguarding & Escalation

   Where there are concerns about misuse of powers, rights breaches or capacity disputes, follow local escalation routes and record notifications to local authority, MWC or Care Inspectorate as required.

7. Audit & Review

   Schedule periodic reviews in the event record to reassess capacity, legal status and the ongoing necessity of interventions. Use toolkit reports for governance and CI returns.

Templates & Data Fields (recommended)

Include consistent fields to support statutory compliance and inspection evidence:

• Decision being assessed (specific)
• Date/time and assessor details
• Communication supports used
• Assessment outcome and rationale
• Section 47 Certificate reference, clinician name, Annex/treatment plan
• Legal status: guardian / intervener / power of attorney (with scanned order)
• Consultation log (who, when, summary)
• Least‑restriction and benefit analysis
• Review date and reviewer
• Safeguarding actions / notifications and incident references

Monitoring, Audit and Reporting

Use Radar’s reporting and event tools to evidence organisational oversight:

• Maintain an AWI register to quickly identify all active guardianship, PoA and Section 47 records.
• Run audits of Section 47 completeness (certificate present, Annex attached, consultees recorded).
• Monitor trends in AWI‑related incidents or safeguarding referrals for quality improvement.
• Use scheduled review tasks to ensure prompt reassessment when capacity may have changed.

Training & Competence

Ensure staff have role‑appropriate training and ongoing competency checks in:

• AWI statutory principles and Codes of Practice
• Decision‑specific capacity assessment and documentation
• Supported decision‑making and communication aids
• Scope and limits of guardianship / power of attorney
• Section 47 process and lawful treatment authorisation
• Safeguarding, escalation and PSIRF reporting where safety incidents occur

Data Protection — Practical Controls

Recommended actions to meet UK GDPR / DPA 2018 expectations:

• Only record AWI data where necessary and link processing to the lawful basis (health/social care or legal obligations) and an Article 9 condition.
• Restrict access to AWI records to staff with a need to know and log access where appropriate.
• Keep copies of legal orders and Section 47 certificates up to date; record changes immediately.
• Document information‑sharing decisions with lawful basis and recipients, particularly when sharing for protection purposes.
• Maintain retention and deletion schedules consistent with local policy and legal requirements.

Escalation & Incident Handling

When concerns arise (unclear capacity, disputed powers, potential rights breaches):

1. Record concerns immediately in the event and trigger local escalation procedures.
2. Notify the local authority or supervising body where required and involve MWC if there are rights or safeguarding concerns.
3. Treat incidents involving AWI practice under PSIRF where patient safety is implicated and retain evidence of investigation and actions taken.

Value Proposition

Using the AWI Toolkit helps organisations to:

• Meet statutory and regulatory expectations (AWI Act, Codes of Practice, Care Inspectorate).
• Provide clear, auditable records for Section 47, guardianship and consultation.
• Reduce risk by supporting least‑restrictive, rights‑based decision making.
• Streamline reviews and governance reporting for inspections and internal oversight.

References

• Adults with Incapacity (Scotland) Act 2000
• AWI Codes of Practice (Scottish Government)
• Medical Treatment under Section 47 (Certificate of Incapacity)
• Mental Welfare Commission for Scotland — Clinical Good Practice Guidance
• Care Inspectorate Health and Social Care Standards
• NICE Guideline NG108 (capacity and decision‑making)
• Scottish intercollegiate guidance on assessment and communication
• NHS Scotland clinical governance and PSIRF
• UK GDPR and Data Protection Act 2018

Summary

The AWI Toolkit provides a structured way to record capacity assessments, legal status, Section 47 treatment authorisation, consultation and safeguarding. Used consistently, it helps demonstrate lawful, proportionate, least‑restrictive practice and supports governance, audit and inspection requirements.

Disclaimer

Radar Healthcare provides configuration templates and implementation guidance to support effective use of the platform. Any data protection examples or references are for general guidance only and do not constitute legal or compliance advice. Radar Healthcare acts as a data processor under customer instruction. The customer, as data controller, remains responsible for assessing and managing data protection risks, determining lawful processing, and ensuring compliance with applicable regulations.