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Medicine And The Law

Determining the validity of advance directives

Paul Biegler, Cameron Stewart, Julian Savulescu and Loane Skene

MJA 2000; 172: 545-548

Abstract - Ethics - Legislation - Common law - Duties of treating physicians in determining legal validity of advance directives - Conclusions - References - Authors' details
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Abstract
  • We examine the ethical principles underpinning advance directives (ADs) and the legal duties of doctors in determining their validity.
  • A physician attending an incompetent patient with an acute life-threatening illness, and an AD refusing treatment, should ensure that the AD is legally valid before making the treatment decision.
  • Treatment against a patient's wishes, as expressed in a valid AD, compromises patient autonomy and may constitute battery. Conversely, withholding treatment in accordance with an AD that is not legally valid risks substantial harm to the patient and may constitute breach of the duty of care and negligence.
  • Legally valid directives should be respected. If an AD is not legally valid, the patient should be treated in his or her best interests. If uncertain, the physician should treat according to the patient's best interests while seeking legal advice.

An advance directive (AD) is a statement by a competent person expressing the intention to refuse medical treatment in the future, at a time when he or she may no longer be competent to make a treatment decision.1 ADs have arisen in the context of an increasing need to respect and promote patient autonomy.2 They have received widespread international support and, in the United States, ADs now have a statutory basis in all 50 States.3 Three Australian States (Victoria, South Australia and Queensland) and two Territories (the Northern Territory and the Australian Capital Territory) now have legislation which provides for ADs (Box 1). Although New South Wales, Tasmania and Western Australia do not have similar legislation, ADs may still be valid under common (judge-made) law in these States.

Despite their prevalence in the United States, ADs have, in many instances, failed to guide clinical decision-making, and their utility has been questioned.4 Of particular concern is the dilemma facing clinicians when the AD rules out treatment which the doctor believes is in the patient's best interests.5 Treatment in the presence of a valid AD compromises patient autonomy and may constitute battery.6 However, withholding treatment in accordance with a legally invalid AD risks substantial harm to the patient and may constitute breach of the duty of care and negligence.7

We contend that being equipped with a clear process for determining the legal validity of an AD can reduce the uncertainty of physicians in such situations. Legally valid ADs should be respected. If the AD is not legally valid, or if the physician is uncertain, treatment decisions should be based on an assessment of the patient's best interests.8

We look at the ethical foundations and the Australian law pertaining to ADs and offer recommendations to medical practitioners seeking to ascertain the legal validity of ADs.


Ethics "Autonomy" comes from the Greek autos-nomos, meaning "self-rule" or "self-determination". The concept of respect for autonomy was enunciated by John Stuart Mill, who said that the sole justification for interfering in another person's action is if that action will harm others -- "His own good, either physical or moral, is not a sufficient warrant".9 This principle, known as Mill's "harm principle", is the grounds for the moral right of a patient to refuse medical treatment, even if such treatment is life-saving, and for a doctor not to interfere in this action.

Mill did have one caveat to his stance. He felt that it was acceptable to restrain a person from causing self-harm if that person's action was not fully informed. Take the example of a person crossing a burning bridge without knowing it is burning. Intervening here would be acceptable and this has been labelled "weak or soft paternalism". Intervening if the person was fully informed about the consequences of his or her actions has been labelled "strong or hard paternalism" and is unacceptable.10

Modern theorists have elaborated the notion of autonomy and concluded that an autonomous decision is one that is freely made, by a competent person, based on his or her most recent set of values. It should also be applicable to the circumstances in question, with a full understanding of the relevant facts.11,12

The relevance to ADs is that, unless a directive expresses an autonomous decision, acting upon it may in fact violate patient autonomy and result in serious harm. An example is a patient with HIV who signs a directive refusing resuscitation or admission to an intensive care unit. The patient has a life-threatening allergic reaction to a drug early in the course of the disease, when the prognosis suggests many good years of life. If the patient did not intend the AD to apply in this circumstance, then to allow this patient to die would be to fail to respect his or her autonomy. Treatment here would be weak paternalism (see also Box 3).

The law provides a framework for safeguarding patient autonomy in such situations.


Legislation The Australian legislation covering ADs is outlined in Box 1.


Common law The validity of ADs at common law is yet to be tested in an Australian court. The case law from other jurisdictions suggests the following factors should be considered.

The competence of the decision-maker
The patient must have been competent to refuse treatment when the AD was drafted. The test for competence rests on the question of whether the patient understood the nature and purpose of the treatment when he or she made the decision to refuse it.13,14

The true scope and basis for the decision
The AD must cover the circumstances that have arisen. The evidence must confirm the true scope and basis of the decision; that is, that the anticipatory decision was based on an informed opinion and was intended to apply to the circumstances which have arisen.6,15 Evidence of a decision which consists of remote, general, spontaneous or casual comments will not support the claim of anticipatory decision-making.16 However, evidence of cogent and serious decision-making which consists of written evidence or eye-witness accounts is usually strong enough to support the veracity of an anticipatory decision.17 Evidence of oral directions can, by itself, support the finding of a valid anticipatory decision.18-20

Undue influence
The decision to refuse treatment must be free from the undue influence of others. Undue influence may impair the decision-making process and invalidate the directive. Enquiries must be made as to both the strength of will of the patient and the relationship of the patient with the persuader. If the patient was in pain or under the influence of drugs when the decision was made, or was persuaded by someone with close familial ties, the decision may not have been the result of the patient's free will. Such decisions are not legally binding on doctors.15



Duties of treating physicians in determining legal validity of advance directives
  • In the case of directives completed under a statutory scheme, a physician treating an incompetent patient is not required to investigate whether the patient's decision was voluntary, reasonably informed or that the patient was 18 years or over when the directive was signed. The witnesses to the directive attest to those matters. In Victoria, South Australia and Queensland, the witnesses also attest to the patient's capacity to refuse treatment at the time of completing the AD.

  • The obligations of the treating physician are more onerous in relation to common law directives and legal advice may be required in this setting.

  • A schema for determining the validity of ADs from both the legislative and the common law perspective is outlined in Box 2, and an example is given in Box 3.


Conclusions In order to respect patient autonomy, avoid harm to patients and reduce the risk to doctors of civil or criminal liability, physicians need to determine the legal validity of advance directives before making their treatment decision. In cases of uncertainty treatment decisions should be made in the patient's best interests while legal advice is sought as to the validity of the directive.


References
  1. Robertson GS. Making an advance directive. BMJ 1995; 310: 236-238.
  2. Kerridge IH, McPhee J, Lowe M, Flynn B. Advance directives. In: Freckelton I, Petersen K, editors. Controversies in health law. Sydney: The Federation Press; 1999: 302.
  3. Tonelli MR. Pulling the plug on living wills. A critical analysis of advance directives. Chest 1996; 110: 816-822.
  4. Teno JM, Licks S, Lynn J, et al. Do advance directives provide instructions that direct care? SUPPORT Investigators. Study to understand prognoses and preferences for outcomes and risks of treatment. J Am Geriatr Soc 1997; 45: 508-512.
  5. Danis M, Southerland LI, Garrett JM, et al. A prospective study of advance directives for life-sustaining care. N Engl J Med 1991; 324: 882-888.
  6. Skene L. When can doctors treat patients who cannot or will not consent? Monash University Law Review 1997; 23 (1): 77.
  7. Dix A. Law for the medical profession in Australia. Melbourne: Butterworth-Heinemann, 1996: 563.
  8. Luttrell S. Making decisions about medical treatment for mentally incapable adults in the UK. Lancet 1997; 350: 950-953.
  9. Mill JS. Utilitarianism, on liberty and considerations on representative government. Everyman library. London: J M Dent and Sons, 1910.
  10. Ten CL. Paternalism and levels of knowledge: a comment on Rainbolt. Bioethics 1989; 3: 135-139.
  11. Dworkin G. The theory and practice of autonomy. Cambridge: Cambridge University Press, 1988.
  12. Savulescu J. Good reasons to die [doctoral dissertation]. Melbourne: Monash University, June 1994.
  13. Lord Brandon in Re F (Sterilisation Mental Patient) [1989] 2 Fam 376, 419-420.
  14. Gillick v West Norfolk and Wisbech AHA [1986] AC 112.
  15. Re T [1992] 2 Fam 458, 473 (Lord Donaldson).
  16. Matter of Jobes 529 A 2d 434, 443 (NJ, 1987).
  17. Matter of Peter 529 A 2d 419 (NJ, 1987).
  18. Re Chad Swan 569 A 2d 1202 (Me, 1990).
  19. Leach v Akron General Medical Center 426 NE 2d 809 (Ohio Comm Pl, 1980).
  20. Matter of Eichner 420 NE 2d 64 (NY, 1981).


Authors' details Emergency Department, Monash Medical Centre, Melbourne, VIC.
Paul Biegler, MB BS, FACEM, Staff Specialist.

Department of Law and Justice, Division of Law, Macquarie University, Sydney, NSW.
Cameron Stewart, BEc, LLB(Hons), GradDipJur, Associate Lecturer.

The Murdoch Institute, Royal Children's Hospital, and Centre for the Study of Health and Society, University of Melbourne, Melbourne, VIC.
Julian Savulescu, MB BS, PhD, Associate Professor, and Director, Ethics Program.

Law School, University of Melbourne, Melbourne, VIC.
Loane Skene, LLM (Mon), LLB (Hons), Associate Professor and Reader.

Reprints will not be available from the authors.
Correspondence: Dr P Biegler, Emergency Department, Monash Medical Centre, 246 Clayton Road, Clayton, VIC 3168.
pbieglerATnetlink.com.au

©MJA 2000
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1: Legislation in Australia providing for advance directives

Victoria

Act: Medical Treatment Act 1988 (Vic).

Type of advance directive: Refusal of treatment certificate (RTC). Treatment refused must relate to a current condition ("current condition" is not defined by the Act but presumably refers to a condition that the person has at the time of completing the RTC). The document must be in the form prescribed by the Act ("in the form" is also not defined, but presumably means in language consistent with that used in the Act).

Legally valid if completed voluntarily by a person of sound mind over 18 years who is informed about their condition. Must be signed by a registered medical practitioner and another person who attest to these matters. The patient does not need to sign.

Revoked by patient clearly indicating this wish to another person.

Palliative care: The RTC does not cover refusal of palliative care, which is defined as "the provision of reasonable medical procedures for the relief of pain, suffering and discomfort; or the reasonable provision of food and water".

Physicians’ liability: Under the Act, a doctor who treats a patient despite a valid certificate may commit the statutory offence of medical trespass. This offence would arise in addition to common law claims of battery. Doctors who comply with an RTC are granted immunity from civil claims, criminal charges or professional misconduct proceedings, provided the doctor acts in good faith and with reasonable care.

South Australia

Act: Consent to Medical Treatment and Palliative Care Act 1995 (SA).

Type of advance directive: An "anticipatory grant" refusing consent to medical treatment. The directive is only effective for patients in the terminal stages of a terminal illness or in a persistent vegetative state, who are not competent to make treatment decisions. "Terminal illness" is defined as "an illness or condition that is likely to result in death" and terminal stage as "the phase of the illness reached when there is no real prospect of recovery or remission of symptoms".

Legally valid if made by a patient of sound mind over the age of 18 years. Must be in the prescribed form, signed by the patient and witnessed by one person, who need not be a medical practitioner.

Revoked by patient orally or in writing (not stipulated in the Act).

Physicians’ liability: Physicians honouring directives under the Act are granted immunity from civil and criminal liability if they act in good faith, without negligence and in accordance with proper standards of professional practice.

Australian Capital Territory

Act: Medical Treatment Act 1994 (ACT), based on the Medical Treatment Act 1988 (Vic).

Type of advance directive: "Direction" refusing treatment generally or treatment of a particular kind. Treatment does not have to relate to a current condition, as it does in Victoria.

Legally valid if patients are of sound mind over 18 years. Direction must be in the prescribed form and witnessed by two people, neither of whom needs to be a medical practitioner. It can be signed by the patient or by another person at the patient’s direction, but it does not have to be signed to be valid.

Revoked by patient clearly indicating his or her wish to another person.

Palliative care: Does not cover refusal of palliative care.

Physicians’ liability: A physician honouring a certificate in good faith is protected from civil and criminal liability, as well as claims of professional misconduct.

Queensland

Act: Powers of Attorney Act 1998 (Qld)

Type of advance directive: "Advance health directives."
Directions to withhold or withdraw life-sustaining measures cannot operate unless:

  • the patient has a terminal illness or an incurable condition and is not expected to live more than a year, or is in a persistent vegetative state, or is permanently unconscious, or has a severe illness with no reasonable prospect of being able to live without the continued application of life-sustaining measures; and

  • (if the direction concerns artificial hydration or nutrition) the life-sustaining measure would be contrary to good medical practice; and

  • the patient has no reasonable prospect of regaining capacity for health matters.

Legally valid if the directive is in the prescribed form, signed by the patient or another person at the patient’s direction and witnessed by two people, one of whom must be a medical practitioner. The witnesses must certify that the patient had the capacity to make the treatment decision at the time of completing the directive.

Revoked by patient indicating his or her wish in writing.

Physicians’ liability: Physicians are protected from criminal and civil liability if they honour the directive in good faith.

Northern Territory

Act: Natural Death Act 1988 (NT).

Type of advance directive: "Directives" refusing treatment are only effective in the case of terminal illness, which is defined as "Such an illness, injury or degeneration of mental or physical faculties that death would, if extraordinary measures were not undertaken, be imminent; and from which there is no reasonable prospect of a temporary or permanent recovery, even if extraordinary measures were undertaken". Extraordinary measures are defined in the Act as "medical or surgical measures that prolong life, or are intended to prolong life, by supplanting or maintaining the operation of bodily functions that are temporarily or permanently incapable of independent operation".

Legally valid if made by patients of sound mind who are over 18 years. Must be in the prescribed form, signed by the patient and witnessed by two people, who need not be medical practitioners. The treating doctor cannot be a witness.

Revoked by patient orally or in writing (not stipulated by the Act).

Palliative care: Does not cover refusal of palliative care.

Physicians’ liability: Physicians complying with directives in good faith are protected from criminal and civil liability.

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2: Schema of obligations of treating physicians

Incompetent patient presents with acute life-threatening illness and an advance directive (AD) refusing treatment

Step 1:

    Physician determines whether the AD conforms with State legislative requirements

  • The form of the AD is correct
  • The AD has the required signatures
  • There is no evidence that the AD has been revoked (check with relatives, friends and the patient's GP)

    Victoria - the presenting condition for which treatment is now required is the same as, or has been caused by, the "current condition" as specified on the refusal of treatment certificate (RTC);

    Australian Capital Territory - treatment generally or treatment of a particular kind has been refused. There is no evidence that the patient was incompetent at the time of making the directive (witnesses are not required to attest to competence);

    South Australia - the patient is in the terminal phase of a terminal illness or in a persistent vegetative state;

    Northern Territory - the patient has a terminal illness. There is no evidence that the patient was incompetent at the time of making the directive (witnesses are not required to attest to competence);

    Queensland - the patient is suffering from one of the conditions outlined in Box 1, and the directive is not uncertain or contrary to good medical practice (section 106 of the Powers of Attorney Act 1998).

If ALL of the criteria for Step 1 are satisfied

Step 2:

    Comply with the AD (if uncertain proceed to Step 6).

If ANY of the criteria for Step 1 are not satisfied

Step 3:

    Determine common law validity of the AD.

  • No evidence that the person was incompetent when they made the AD.
  • AD covers the proposed treatment and the circumstances that have arisen.
    (i) It should not be ambiguous about the nature of the treatment being refused; and
    (ii) It should have been expressed to refuse treatment in the circumstances that have arisen.
  • No evidence that the AD was procured by undue influence.

If ALL of the criteria for Step 3 are satisfied

Step 4:

    Comply with the AD (the difficulty of a physician's rapidly ascertaining these data in the acute setting is acknowledged) (if uncertain proceed to Step 6).

If ANY of the criteria for Step 3 are not satisfied

Step 5:

    Set aside the AD and treat according to the patient's best interests.

Step 6:

Legal advice should be sought if uncertainty exists about Steps 2-5. Faced with a delay in determining the validity of the AD, the physician should commence and continue any treatment deemed to be in the patient's best interests until such time as the AD is determined to be legally valid.

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3: Example of an advance directive (AD) and physicians' decision-making

A patient with HIV signs an AD refusing resuscitation or admission to an intensive care unit. The patient has an anaphylactic reaction to a drug early in the disease.

Ethics
If the AD was not intended to apply in this circumstance, withholding treatment would be to fail to respect this person's autonomy and would constitute a serious harm.

Legislation
  • Victoria
    The directive would be invalid because the presenting condition of anaphylaxis differs from the current condition of HIV as specified on the certificate.

  • South Australia, Northern Territory, Queensland
    The directive would be invalid because the patient is not in the terminal phase of a terminal illness (SA, NT, QLD); in a persistent vegetative state (SA, QLD); and is not permanently unconscious with no reasonable prospect of regaining capacity for health matters (QLD).

  • Australian Capital Territory
    The situation in the ACT is more complex. It seems that if the patient's AD was executed under the Medical Treatment Act 1994 (ACT) it may, in fact, be legally valid. However, we have argued that it would be ethically wrong to allow this person to die, and the directive would not be valid under other States' legislation or common law (see below).

    What should the doctor do? The uncertainty raised by the ACT situation should lead the doctor to act in the patient's best interests, which, in this case, probably favour resuscitation, while seeking legal advice. If in doubt, the patient's best interests must be the foremost consideration.

    Common Law
    The directive is unlikely to be valid at common law because the scope of the decision does not cover the circumstances that have arisen. Treatment decisions in these jurisdictions should thus be based on an assessment of the patient's best interests, which, in this case, as mentioned, probably favours treatment.

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