Philosophical Foundations of Ethics

Although an in-depth discussion of philosophy is beyond the scope of this chapter, it is important to note that ethics has its origins in philosophy. Philosophy may be defined as the love of wisdom and the pursuit of knowledge concerning humankind, nature, and reality.¹ Ethics is one of the disciplines of philosophy, which include ontology (the nature of reality), metaphysics (the nature of the universe), epistemology (the nature of knowledge), axiology (the nature, types, and criteria of values), logic, and aesthetics. Ethics is primarily concerned with the question of how we should act. Although ethics may share common origins with the disciplines of law, theology, and economics, as an applied practice, ethics is clearly different from these disciplines.¹ Ethics can be described philosophically as a moral principle that supplements the golden rule and can be summed up by a commitment to “respect the humanity in persons.”²

Ethical Dilemmas of Practice

The growth of respiratory care has paralleled the development of advanced medical technology and treatment protocols. At the same time, during the 1970s through the 1990s, an ever-growing and sophisticated patient population, fueled by medical benefit packages from the government and employers, developed rising expectations about acceptable standards of care. In the latter part of the 1990s, managed care strategies and other cost-containment methods adopted by most third-party payers slowed the growth of the health care industry. The ethical and legal issues faced by practitioners, although changed in many cases, continued to grow. In the earlier period, RTs faced ethical dilemmas and legal issues associated with patient expectations, staffing, and quality of care, among others. RTs continue to face ethical dilemmas and legal issues at the present time; however, such dilemmas may now include the rationing of care, dealing with conflicts associated with third-party standards of care, and delivery of the appropriate standard of care in the face of cost constraints. Staffing issues continue to be a problem and are at the root of many of the ethical and legal concerns faced by RTs. As respiratory care continues to mature as a profession, these challenges are likely to increase. The twenty-first century has brought one particular challenge, although not new to health care or to RTs: a heightened awareness of the patient’s right to privacy. The Health Insurance Portability and Accountability Act of 1996 (HIPAA), discussed later in this chapter, is now a major consideration for RTs as they perform their jobs.

RTs work in complex health care settings, making it difficult to predict definitively the range of ethical dilemmas likely to be experienced on a regular basis. The clinical aspects and the management aspects of health care are rife with possibilities for ethical dilemmas. In addition, the ethical orientation of the RT plays a role in recognition and identification of ethical dilemmas. The health care industry continues to be in a period of dynamic change bringing many new challenges. New technologic and management methodologies are continuously being introduced to accomplish the missions and goals of health care organizations. Over the past decade, there has been an almost complete change from a relatively open fee-for-service system to one in which care is managed in some fashion, and the fees are in some form of capitated payment. These changes often pose serious ethical dilemmas.

For example, managed care uses a concept known as “restrictive gatekeeping.” Restrictive gatekeeping requires patients to obtain prior approval from their third-party payer, usually an insurance company, before hospitalization and before certain procedures. When the hospital admission or procedure is approved, specific requirements or limitations are usually associated with the patient’s care. As a result, health care workers, including RTs, may find themselves engaged in clinical processes that are dictated more by the third-party payers than by patient needs. Under these circumstances, health care workers may feel frustrated and helpless if they believe that a patient needs care beyond that approved by the third-party payer.

The rationing of care continues to be a side effect of staffing patterns created by managed care. Although all businesses must carefully balance staffing patterns against productivity, managed care has brought this concept home in a major way to health care facilities. An RT working in an understaffed department may decide that Patient A can really forego therapy because the department is short staffed and Patient A is really not going to get better anyway. Although this may sound at first like a case of simple neglect of duty, it is also an ethical dilemma.

The approaches used to address ethical issues in health care range from the specific to the general. Specific guidance in resolving ethical dilemmas is usually provided by a professional code of ethics. General approaches involve the use of ethical theories and principles to reach a decision.³

Codes of Ethics

A code of ethics is an essential part of any profession that claims to be self-regulating. The adoption of a code of ethics is one way in which an occupational group establishes itself as a profession. A code may try to limit competition, restrict advertisement, or promote a particular image in addition to setting forth rules for conduct.⁴

The first American medical code of ethics (established in 1847) was as much concerned with separating orthodox practitioners from nontraditional ones as it was with regulating behavior. Even modern codes tend to be vague regarding what is prescribed and what is to be avoided.

The American Association for Respiratory Care (AARC) has also adopted a Statement of Ethics and Professional Conduct. The current code appears in Box 5-1. This code represents a set of general principles and rules that have been developed to help ensure that the health needs of the public are provided in a safe, effective, and caring manner. Codes for different professions might differ from the code governing respiratory care because they may seek different goals. However, all codes of ethics seek to establish parameters of behavior for members of the chosen profession. Professional codes of ethics often represent overly simplistic or prohibitive notions of how to deal with open misbehavior or flagrant abuses of authority.

The most difficult ethical decisions arise from situations in which two or more right choices are incompatible, in which the choices represent different priorities, or in which limited resources exist to achieve a desired end. Ethicists readily admit that reducing these issues to simple formulations is not an easy task. The number and complexity of ethical dilemmas continue to grow as the complexity of life and health care increases. For health care, difficult ethical dilemmas continue to involve concerns about the practical limits on financial resources, the growing emphasis on individual autonomy, and more research advances such as cloning and stem cell research. Resolution of these more complex problems requires a more general approach than that provided by a code of ethics. This more general perspective is provided by ethical theories and principles.

In addition to the moral obligations that ethical duties impose on RTs, ethical obligations are often cited in legal proceedings as a tool of cross-examination. If an RT expresses opinions or is accused of actions that would violate the ethical duties of the profession, the RT’s ignorance of ethical standards during cross-examination can have a powerful effect on a jury.

Ethical Theories and Principles

Ethical theories and principles provide the foundation for all ethical behavior. Contemporary ethical principles have evolved from many sources, including Aristotle’s and Aquinas’ natural law, Judeo-Christian morality, Kant’s universal duties, and the values characterizing modern democracy.5,6 Although controversy exists, most ethicists agree that autonomy, veracity, nonmaleficence, beneficence, confidentiality, justice, and role fidelity are the primary guiding principles in contemporary ethical decision making.^1,5

Each of these ethical principles, as applied to professional practice, consists of two components: a professional duty and a patient right (Figure 5-1). The principle of autonomy obliges health care professionals to uphold the freedom of will and freedom of action of others. The principle of beneficence obliges health care professionals to further the interests of others either by promoting their good or by actively preventing their harm. The principle of justice obliges health care professionals to ensure that others receive what they rightfully deserve or legitimately claim.

Expressed in each duty is a reciprocal patient right. Reciprocal patient rights include the right to autonomous choice, the right not to be harmed, and the right to fair and equitable treatment. More specific rules can be generated from these general principles of rights and obligations, such as those included in a code of ethics.