DoLS, also known as Deprivation of Liberty Safeguards, is a legal framework under the Mental Capacity Act 2005 designed to protect individuals in care homes or hospitals who lack the capacity to consent to their care arrangements. A DoLS assessment ensures that any deprivation of liberty is necessary, proportionate, and in the person’s best interests.
A common question many care professionals now ask is:
“DoLs or LPS? Have DoLs been replaced by LPS, as I am finding conflicting information! ~ Emma Derek ( Deputy Manager ).”
This confusion is understandable. While Liberty Protection Safeguards (LPS) were introduced through the Mental Capacity (Amendment) Act 2019 and are intended to replace DoLS, they have not yet been implemented. As a result, DoLS remains the current legal framework in force in England and Wales.
The DoLS process is essential for safeguarding vulnerable adults, giving them legal protection, and ensuring that care providers act ethically and lawfully. It applies to adults over 18 who are under continuous supervision and control in a care setting and are unable to consent to their care arrangements.
Local authorities act as the supervisory body, overseeing the DoLS process, appointing assessors, and reviewing authorisations. The assessment is conducted independently, typically by a Best Interests Assessor and, where required, a Mental Health Assessor, to ensure objectivity and adherence to statutory standards.
Who Carries Out a DoLS Assessment?
A DoLS assessment must be carried out by qualified professionals to ensure impartiality and compliance with the law. The main roles involved are:
- Best Interests Assessor (BIA): Evaluates whether the person lacks capacity, whether the deprivation of liberty is in their best interests, and whether it is the least restrictive option.|
- Mental Health Assessor (MHA): Required if there is a mental health diagnosis, such as dementia or another mental disorder, to provide a specialist assessment.
- Supervisory Body (usually the local authority): Responsible for authorising the DoLS, appointing assessors, and ensuring all criteria are met.
The process is designed to ensure independent review and protect the rights of the person in care. The supervisory body also coordinates with care providers to make sure all documentation and evidence are complete.
Key responsibilities of care providers during the assessment:
- Submit a DoLS application to the supervisory body when deprivation of liberty is anticipated.
- Ensure staff cooperate fully with assessors and provide accurate, up-to-date information.
- Maintain records of all assessments, care plans, and training to demonstrate compliance.
The 6 Mandatory DoLS Assessment Criteria
A DoLS assessment is a structured evaluation required before a deprivation of liberty can be authorised. These criteria are outlined in the Mental Capacity Act 2005 – Deprivation of Liberty Safeguards (Schedule A1), ensuring that any restriction on a person’s freedom is legally justified, proportionate, and in their best interests.
The six mandatory criteria considered during the assessment of DoLS are:
- Age and Eligibility
The individual must be 18 or over and living in a hospital or care home where continuous supervision and control is applied. This ensures that the safeguards only apply to adults in relevant care settings, as defined by government guidance on DoLS.
- Mental Capacity
Assessors determine whether the person lacks the capacity to consent to their care arrangements. This means the person cannot understand, retain, or weigh relevant information about their care or communicate a decision. Capacity assessments must follow the principles set out in the Mental Capacity Act 2005, ensuring fairness and legal compliance.
- Best Interests
Any deprivation of liberty must be necessary to keep the person safe and serve their best interests. The supervisory body often consults family members or advocates during this process, in line with guidance from the Alzheimer’s Society on DoLS, to ensure that decisions are holistic and person-centred.
- No Refusals
The person must not have clearly objected to the proposed care arrangements. Likewise, there should be no advance decision that conflicts with the authorisation. This criterion protects individuals’ rights while ensuring that care provision remains lawful.
- Least Restrictive Option
The care plan must represent the least restrictive way to meet the person’s needs while maintaining safety and wellbeing. Assessors must consider alternative measures and justify why a more restrictive approach is necessary, consistent with DoLS principles.
- Procedural Compliance and Authorisation
Even when all criteria are met, delays can occur in obtaining formal authorisation from supervisory bodies.
Care providers frequently experience backlogs, as reflected in this real-life account:
“I need some advice. We have submitted several DoLS applications, but it has been a month, and we have not yet received a response. ~Riley Mascot ( Reg. Manager).”
This highlights the operational challenges within many Local Authorities. While the legal framework ensures that deprivation of liberty is justified, practical delays in processing applications can impact care delivery and planning. Providers are advised to maintain clear records, follow up on pending applications, and liaise with their supervisory body to ensure compliance and timely outcomes.
Documents Needed for a DoLS Assessment
Preparing thorough documentation is a key part of any assessment for DoLS and significantly influences the outcome. Assessors need clear, organised evidence that supports each criterion of the Mental Capacity Act framework. Without complete documentation, applications can be delayed, questioned, or even refused.
To begin with, the supervisory body will expect a current and accurate care plan that explains why the person’s liberty is restricted, what measures are in place for their safety, and how the care plan reflects the resident's needs. This should be written in plain language and updated whenever the person’s circumstances change.
In addition to the care plan, assessors will review capacity assessments carried out by qualified professionals. These assessments should demonstrate that the person cannot make informed decisions about where they live or their care arrangements.
Other key documents and evidence usually required include:
- Medical reports outlining relevant diagnoses, treatment plans, and input from specialists. These help assessors understand the person’s health needs and how they impact capacity.
- Risk assessments that explain potential harms the individual may face without specific restrictions in place. These should be updated regularly to reflect changing needs.
- Evidence of consultation with family or advocates, showing that others have been involved appropriately in planning or reviewing the person’s care.
- Documentation of the least restrictive options considered, which demonstrates that the deprivation of liberty is the minimum necessary intervention.
Documents must be up to date at the time of the assessment. Assessors expect to see:
- Current care plans dated within the recent review period
- Medical reports no more than a few months old
- Risk assessments that reflect recent observations and changes in condition
- Records of meetings or consultations with dates and attendee names
Keeping files organised and accessible ensures that assessors can find information quickly, reducing delays. It also shows that your care setting has robust systems in place for managing sensitive information and meeting legal requirements.
Key Factors of DoLS Assessment Authorisation
Once the assessment for DoLS is completed and the supervisory body is satisfied that all criteria are met, a DoLS authorisation is granted. This authorisation is a legal document confirming that the deprivation of liberty is lawful under the Mental Capacity Act 2005 – Deprivation of Liberty Safeguards.
Duration and Conditions
A DoLS authorisation is typically granted for a limited period, usually up to 12 months, although extensions can be requested if the person continues to meet the criteria. Conditions may be attached to ensure:
- The person’s care remains the least restrictive option available.
- Risk management strategies are in place to protect the individual’s well-being.
- Staff are trained and aware of their duties regarding the person’s rights and safety.
Review and Renewal
Authorisations are regularly reviewed to determine whether they remain necessary. Care providers must:
- Notify the supervisory body if circumstances change, such as a change in health, capacity, or care setting.
- Ensure that updated assessments and care plans are submitted in advance of any review.
- Involve the person, family members, or advocates in the review process, in line with guidance from the Alzheimer’s Society.
Role of Relevant Representatives
Every person subject to a DoLS has the right to a relevant representative, who may be a family member, friend, or independent advocate. This representative:
- Receives full information about the authorisation.
- Can support the person in understanding and exercising their rights.
- May challenge or appeal the authorisation if necessary.
When you understand this, DoLS compliance becomes part of an everyday good practice, and not a last-minute response to inspection pressure.
By understanding how DoLS authorisations operate, care providers can ensure compliance, maintain high standards of care, and protect the legal and human rights of residents in their care.
How to Prepare for DoLS Assessment
Even when care providers follow procedures closely, DoLS can definitely present practical challenges. Understanding these issues and taking proactive steps helps ensure that assessments run smoothly and that residents’ rights are fully protected.
- Identify Documentation Gaps
- Staff Awareness and Training
- Scheduling regular multi-disciplinary meetings.
- Responding to Objections or Changes
Proactively addressing these challenges not only ensures smoother DoLS assessments but also reinforces a culture of legal compliance, transparency, and high-quality care.
Ready to Meet DoLS Standards?
Ensure you do not relax before getting things in place because DoLS responsibilities do not just end once an application is submitted. It's important to apply them confidently, maintaining accurate documentation clearly and lawfully, and ensuring your team understands the Mental Capacity Act.
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