© Springer International Publishing Switzerland 2015
Barbara G. Jericho (ed.)Ethical Issues in Anesthesiology and Surgery10.1007/978-3-319-15949-2_1313. Futility and the Care of the Perioperative Patient
(1)
Department of Surgery, Rutgers Robert Wood Johnson Medical School, 1 RWJ Place, MEB 596, New Brunswick, NJ 08901, USA
(2)
Department of Surgery, Division of Urology, Rutgers Robert Wood Johnson Medical School, 1 RWJ Place, MEB 584A, New Brunswick, NJ 08901, USA
(3)
Department of Surgery, Section of Urologic Oncology, Rutgers Cancer Institute of New Jersey, Rutgers Robert Wood Johnson Medical School, 195 Little Albany Street, Room 4563, New Brunswick, NJ 08903, USA
Abstract
Futility in healthcare is an area of significant debate. Generally, a futile treatment is one that is incapable of producing a beneficial result. The degree of benefit required has been contentious in the ethics literature. Different definitions of futility have been proposed to arrive at a consensus regarding which treatments would be provided and to agree on futile interventions that could be withheld. However, each of these definitions has flaws. Some hospitals, healthcare organizations, and states have implemented policies to create a procedural approach to futility disputes. Several authors have advocated discarding the language of futility as it often is an expression of physician frustration and impedes communication between care providers, patients and their surrogates. Many resources are available to assist in difficult cases involving futility including preoperative risk calculators and institutional ethics committees, but, ultimately, the best tool in approaching these challenging situations is open and honest communication between the patient, or surrogate, and the physician.
Keywords
FutilityEnd-of-Life CareInappropriate TreatmentSurgeryAnesthesiologyPerioperativeScott B. Grant and Parth K. Modi have contributed equally to this chapter.
Case Presentations
In order to frame the issues covered in this chapter, we have compiled several seminal cases involving futility conflicts and their resolution. While numerous technological advances have been made in the four decades since the Quinlan case, the challenges faced by health care providers and families remain stubbornly constant.
1975 – Karen Quinlan – Karen Ann Quinlan was a 21-year-old female who was celebrating a friend’s birthday at a bar, when she began to fall asleep [1]. Her friends brought her home. When they realized that she was not breathing, they gave her mouth-to-mouth resuscitation and called an ambulance [1]. She arrived at Newton Memorial Hospital on April 15, 1975, was placed on a ventilator, and subsequently developed pneumonia [1]. After five months and a fifty-pound weight loss, Karen was still on the ventilator. Her adoptive parents sought legal help to withdraw the ventilator [1, 2]. Karen had irreversible brain damage and would never recover. Her parents agreed with the religious advice of Pope Pius XII, from his 1957 pronouncement, that there is no moral obligation to maintain life via “extraordinary means” [1]. Karen’s parents signed a form authorizing the attending physician to withdraw the ventilator [1]. The medical team decided not to withdraw the ventilator. The Quinlans then asked the court to declare Karen incompetent and appoint her father, Joseph, as her guardian so that he could order the withdrawal of the ventilator [1]. The court took the petition on October 20, 1975 and a Morris County New Jersey (NJ) Superior Court Judge appointed a public defender to watch out for Karen’s interests [1, 2]. The NJ Superior Court rendered a decision on November 10, 1975 denying Karen’s father to be appointed her guardian so he could authorize the withdrawal of the ventilator [2, 3]. The NJ Supreme Court rendered a unanimous decision written by Chief Justice Richard J. Hughes (announced March 31, 1976), which overturned the NJ Superior Court ruling and ruled in the Quinlan’s favor [3]. The NJ Supreme Court ruled in favor of the constitutional right of privacy with a patient’s right to decline medical treatment in certain circumstances, and permitted this right of privacy to be exercised by proxy using substituted judgment (in this case by Karen’s father) [3]. The court added two qualifications to the exercise of the right of privacy by proxy including: (1) a prognosis by the attending physicians and (2) concurrence in the prognosis by an “ethics committee” [3]. The NJ Supreme Court also applied an “ordinary-extraordinary” distinction as mentioned above by Pope Pius XII [3], and found no difference between terminating artificial nutrition and hydration and discontinuing a mechanical ventilator [4]. After withdrawal of the ventilator, Karen Quinlan continued to breath on her own for 9 years and died June 11, 1985 of pneumonia.
In re Quinlan, 70 NJ 10, 355 A. 2d 647, cert denied, 429 US 922 (1976)
1983 – Claire Conroy was an 83-year-old female who lived in a nursing home in New Jersey for three years with “organic brain syndrome”. She later developed diabetic necrotic decubitus ulcers on her left foot and was transferred to the hospital on July 21, 1982 where doctors recommended an above the knee amputation of her left leg [4–6]. Her guardian (her nephew) refused to give consent for the amputation and later demanded that Claire Conroy’s nasogastric feeding tube be removed. However, her physicians refused to remove the feeding tube, so the guardian petitioned the court for the authority to remove it [5, 6]. At that time, Claire Conroy weighed 50 pounds and was unable to speak. After the court proceedings, Judge Stanton (who had visited the patient) ordered removal of the feeding tube on February 2, 1983 (In re Conroy, 188 N.J. Super. 523 [Ch. Div. 1983]); however, his decision was held, pending appeal [5, 6]. On February 15, 1983, the patient died with the nasogastric tube still in place [5]. On July 8, 1983, the New Jersey appellate court reversed the lower court’s decision [5]. The appellate court opinion read: “The trial judge authorized euthanasia … If the trial judge’s order had been enforced, Conroy would not have died as the result of an existing medical condition, but rather she would have died, and painfully so, as the result of a new and independent condition: dehydration and starvation. Thus she would have been actively killed by independent means” [5]. The guardian ad litem then brought the case to the NJ Supreme Court, who in January 1985 declared that terminating any medical treatment, including artificial nutrition and hydration, on incompetent patients is lawful if certain criteria are met [4]. As a result, it is now widely accepted legally and in medical ethics, that artificial nutrition and hydration are medical interventions that can be withheld or withdrawn in the same manner as any other medical intervention (see also Cruzan below).
In the matter of Claire Conroy, Sup Ct. N.J. App. Div., A-2483-82, July 8, 1983; 486 A.2d 1209 (1985)
1990 – Nancy Cruzan – Nancy Beth Cruzan was in a motor vehicle collision in January 1983 [7]. She was in a persistent vegetative state after the accident and was maintained on artificial nutrition and hydration via a gastrostomy tube inserted with the consent of her husband [7]. Nancy’s parents sought to end her tube feedings, being convinced that she would not want to continue living in a persistent vegetative state [7]. A Missouri trial court authorized the withdrawal of Nancy Cruzan’s artificial nutrition and hydration, but this decision was overturned in November 1988 by the Missouri Supreme Court [7]. The Missouri Supreme Court argued that the state had an “unqualified” interesting in preserving life which should supersede the right of guardians to refuse treatment in the absence of “clear and convincing evidence” that this would be the patient’s wish [7, 8]. Cruzan became the first “right to die” case heard by the United States (US) Supreme Court, which rendered its decision in June 1990 [7, 8]. The US Supreme Court affirmed the Missouri Supreme Court’s decision, but established at least three important holdings [8]. First, there is a constitutional right to refuse treatment based on a protected “liberty interest” [8, 9]. Second, the right to refuse treatment persists despite a patient becoming incompetent [8]. Third, states may create different procedural safeguards and standards of evidence to ensure that withdrawal of treatment reflects the patient’s wishes when the patient lacks the capacity to make medical decisions [8]. Finally, Justice Sandra Day O’Connor wrote a concurring opinion in Cruzan with four other members of the Supreme Court stating, “artificial feeding cannot readily be distinguished from other forms of medical treatment” [9]. After testimony by witnesses that withdrawing artificial nutrition reflected Nancy Cruzan’s wishes, artificial nutrition and hydration were withdrawn in December 1990. Nancy Cruzan died two weeks later.
Cruzan v. Harmon, 760 S. W. 2d 408 (1988)
Cruzan v. Director, Missouri Dept of Health, 110 S. Ct. 2841, 497 US 261 (1990)
US Supreme Court decision 1990
1991 – Helga Wanglie was an 85-year-old female patient residing in a nursing home. On January 1, 1990, she was transferred to Hennepin County Medical Center with complaints of dyspnea. At the medical center, Helga Wanglie was intubated, she was placed on a ventilator, and she remained in a persistent vegetative state for over a year [10, 11]. Physicians recommended stopping mechanical ventilation suggesting that it was “nonbeneficial” [11]. The hospital went to court after Steven H. Miles, MD, the ethics committee consultant at the Hennepin County Medical Center who evaluated the patient, and the medical director and hospital administrator petitioned to get permission to withdraw treatment [10, 11]. The patient’s husband, daughter, and son successfully asserted that substituted judgment about the patient’s view of what constitutes appropriate medical intervention should take precedence over the medical team’s view that mechanical ventilation was not beneficial [10, 11]. Helga Wanglie subsequently died of sepsis on July 4, 1991 [10, 11]. The court decision occurred 3 days prior to her death [10]. This case created the legal hierarchy of authority regarding medical decision making so that the patient and his or her next of kin or a designated health proxy take precedence over the physician’s recommendation [10].
In re Helga Wanglie, Fourth Judicial District (Dist. Ct., Probate Ct. Div.) PX-91-283. Minnesota Hennepin County.
1993–1994 – Baby K– Baby K was diagnosed prenatally with anencephaly and pregnancy termination was recommended by both the obstetrician and neonatologist [12]. Nonetheless, Baby K was born by cesarean section on October 13, 1992 [12]. Baby K had difficulty breathing at birth, was intubated, and mechanical ventilation was begun [12]. Within days of the birth, the physicians urged the mother (since the father was only remotely involved) to discontinue mechanical ventilation because it was medically inappropriate and to place a Do Not Resuscitate order, but the mother refused [12]. The hospital ethics committee and a subcommittee became involved, and the subcommittee decided on October 22 that if the difference of opinion continued, the hospital should seek legal resolution [12]. Baby K was transferred to a nursing home on November 30 not on mechanical ventilation. On January 15, 1993, Baby K returned to the hospital for mechanical ventilation and stayed until February 12 [12]. Fairfax Hospital went to federal court to seek a ruling that they were not obligated to provide “inappropriate” treatment if Baby K were to return to the emergency department in respiratory distress [12]. The mother argued that “all human life has value,” whereas the hospital, the guardian ad litem appointed by the court, and Baby K’s father all thought that further mechanical ventilation was medically and ethically inappropriate [12]. District Court Judge Claude Hilton used the Emergency Medical Treatment and Active Labor Act (EMTALA), section 504 of the Rehabilitation Act, and the Americans with Disabilities Act to argue that hospitals cannot discriminate against anencephalic infants who present with an emergency medical condition such as respiratory distress and must provide treatment [12].
Furthermore, when there is no “finding of neglect or abuse,” parents have the right to make medical decisions for their children, and when parents disagree, courts should support the parent who decides “in favor of life” [12]. On February 10, 1994, the US Court of Appeals, in a two-to-one opinion, affirmed Judge Hilton’s ruling, arguing the EMTALA did not provide an exception for anencephalic infants and required continued mechanical ventilation for Baby K [12]. Baby K died April 5, 1995 at the hospital.
In re Baby K, 832 F. Supp. 1022 (E.D. Va. 1993), 16 F. 3d 590 (4th Cir. 1994
1995 – Gilgunn v. Massachusetts General Hospital – Catherine Gilgunn was a 71-year-old female who fell in her home in mid-May 1989, but only presented to Massachusetts General Hospital (MGH) on June 7, 1989 with a diagnosis of a recurrent left hip fracture [13, 14]. Nine days into her hospitalization, Catherine experienced multiple seizures that left her comatose [13, 14]. Dr. Cassem, who directed MGH’s optimal care committee (MGH’s ethics committee), issued a do not resuscitate (DNR) order, which was withdrawn after the patient’s daughter Joan Gilgunn objected. Catherine had a tracheostomy and a gastrostomy tube placed with the family’s consent [15]. After obtaining approval from MGH’s optimal care committee and assuming care of Catherine, a month later Dr. Dec reinstated the DNR order for Catherine [13, 15]. Dr. Dec had begun weaning the ventilator support provided to Catherine starting on August 7, Catherine was extubated, and she was placed on CPAP for more than ten hours [13, 14, 16]. Catherine Gilgunn died three days after Dr. Dec placed the DNR order on August 10 1989. Joan Gilgunn claims she was never told of the second DNR order, although two of her four siblings agreed with the hospital’s decision [13]. Joan Gilgunn then sued Dr. Cassem and Dr. Dec, seeking damages for the mental anguish that she suffered because her mother’s wishes were not followed [13]. Judge David Roseman presided over the Suffolk Superior Court that vindicated Dr. Cassem and Dr. Dec, where the jury found that although Catherine Gilgunn would have wanted treatment continued, such care was ultimately “futile” [13]. This case ruled that cardiopulmonary resuscitation need not be provided to a patient dying with multiple organ system failure, even if requested by the patient’s family, since CPR is ineffective in these circumstances and would cause harm [15]. However, this ruling did not create a legal precedent since it was only a jury verdict, was not heard at an appellate level, and the plaintiff withdrew her appeal on January 21, 1998 [15].
Gilgunn v. Massachusetts General Hospital, Super. Ct. Civ. Action No. 92–4820, Suffolk Co., Mass., verdict, 21 April 1995
Joan Gilgunn v. Massachusetts General Hospital, et al. Massachusetts Appeals Court case no. 97-P-2150
1995 – Baby Sun Hudson – Baby Sun Hudson was a full-term baby born with thanatrophic dysplasia, which is a lethal genetic condition [17]. The condition is characterized by underdeveloped lungs, small ribs, and a narrow small chest [17]. The mother had not received prenatal care, the physicians were unaware of the fetus’ medical status at birth, and thus the physician’s resuscitated the newborn at delivery [17]. Once the diagnosis was made, the physicians recommended withdrawal of treatment but the mother refused [17]. The mother had a psychiatric history and claimed that the “Sun” fathered her child [17]. The doctors felt that continued treatment was inhumane because the infant was “slowly suffocating because his lungs lack the capacity to support his body” [17]. The hospital invoked the Texas Advance Directives Act of 1999 (see chapter for more details), and some 40 hospitals declined to accept the child in transfer [17]. Texas Children’s Hospital was reluctant to unilaterally withdraw treatment given the mother’s questionable mental status, and so sought legal resolution [17]. A Harris County Probate judge ruled that Texas Children’s Hospital had no obligation to continue medical treatment. However, the ruling was appealed and the First Texas Court of Appeals in Houston sent the case back to the probate judge on a procedural question [17]. That issue was resolved and the probate judge again ruled that the hospital could withdraw treatment, which occurred nearly 6 months after Sun Hudson’s birth [17]. Sun Hudson died moments later [17].
Hudson v. Texas Children’s Hospital. Court of Appeals of Texas, Houston (1st Dist.). No. 01-05-00143-CV. March 1, 2005.
Introduction
Even Hippocrates, in The Art, recognized the limits of medicine and discussed the concept of medical futility: “Whenever a man suffers from an illness, which is too strong for the means at the disposal of medicine, he surely must not expect that it can be overcome by medicine” [18]. However, while trying to treat a certain disease in one generation may be futile, scientific and medical progress permit the same disease to be effectively treated in subsequent generations. For instance, in the last century, antibiotics, antivirals, and antifungals were developed to treat infections; insulin and other classes of medications were developed to treat diabetes; dialysis and kidney transplantation were developed to counteract end-stage renal disease; and intubation, mechanical ventilation and tracheostomy can permit survival despite pulmonary failure.
While medical and technological advances have made the treatment of many diseases and the prolongation of life more successful, every person will eventually die. At some point in the course of a person’s life, aggressive, invasive, or toxic medical treatments are no longer appropriate, and providing them are no longer in his or her best interest. In our current medical system, disagreements often arise as to when that point has been reached, for which interventions, and who should make that determination. These disagreements commonly revolve around a powerful, but vague, term: Futility.
What Is “Futility”?
The Oxford English Dictionary defines futile as something that is “Incapable of producing any result; failing utterly of the desired end through intrinsic defect; useless, ineffectual, vain” [19]. While this strict dictionary definition is what comes to mind when most people think of futility, many authors have attempted to define medical futility by various criteria.
The strictest such conception is physiologic futility. Clark and Minkus define physiologic futility as “treatments that fail to achieve their intended physiological effect” [20]. Alternatively, quantitatively futile treatments are those that have an exceedingly low probability of success [21]. Examples of physiologically futile treatments include performing CPR on a patient who has exsanguinated and treating a patient suffering from the common cold with antibiotics (not antivirals). This definition of futility seems, on its face, to be easy to accept. Who would want a treatment that is certain not to achieve its intended effect? Why should society pay for such an intervention? However, the determination that a treatment will have no effect is sometimes a probabilistic calculation [22] and rational people may disagree as to what probability of effect is worth pursuing. On the other hand, while proponents of quantitative futility decision-making models cite its objective and scientific basis, empiric data does not exist for every clinical situation and specific probabilities cannot always be calculated.
The counterpart to quantitative futility is qualitative futility, which can be defined as treatment that fails to lead to an acceptable quality of life for the patient [20]. While mechanical ventilation of a patient in a persistent vegetative state would not be quantitatively futile (as it has the intended physiological effect of oxygenation), it would be considered qualitatively futile by those who do not find the resulting quality of life acceptable. This is one of the most contentious areas of futility, as an “acceptable quality of life” varies greatly across patients and societies. In a medical culture that places great value in patient autonomy, establishing a universal standard for acceptable quality of life has so many pitfalls as to be virtually impossible.
Imminent demise futility refers to treatments for patients who are expected to die in the near future regardless of the success of that intervention [23]. While such an intervention may improve the functioning of one or more organ systems, it is considered futile if it will not prevent the impending death of the patient. A similar category is lethal condition futility that includes interventions for patients who have a terminal illness but for whom treatment may prolong life without improving the patient’s chance for survival from his or her disease [24, 25].
Opponents of these futility definitions argue that they may often be used to distance the provider from difficult cases and patients at the end of life rather than promoting valuable, though challenging, conversations between the medical team and the patient’s family and surrogates [24]. Furthermore, these conceptions of futility place a strong emphasis on the ability of the physician to predict survival. With new and emerging treatment modalities, limited empirical data and an ever-complex variety of patients and clinical situations, the accuracy of survival prognostication is far from certain [26, 27].
Principle-Based Approach to Futility
Autonomy has become arguably the most important ethical principle in our current health care system, often taking priority over others. Schneiderman and colleagues argue that the moral and legal importance of patient self-determination came about as a response to the previous model of paternalistic medicine [21]. The right of a patient to choose for himself or herself whether to receive or refuse treatments is a well-accepted result of this focus on patient autonomy. This autonomy can become problematic, however, when patients (or surrogates) insist on care that is considered futile by health care providers. While patients have the ethical and legal right to accept or reject treatment, autonomy does not give patients the right to demand any medical treatment they choose [20]. Patient autonomy must be balanced with physician conscience – the right of a physician to practice medicine in a responsible and rational way, consistent with professional norms. As moral agents, both physicians and patients have the right to self-determination, but not the right to impose their will on the other [28].
The complementary ethical principles of beneficence (an obligation to do good for another) and nonmaleficence (an obligation to prevent harm or injury) are also central to this discussion of futility. Absolute nonmaleficence is impossible, with many possible side effects and harms associated with any treatment or intervention. Often, balancing these benefits and harms is necessary. Clark and Minkus argue that physicians, with their medical and scientific expertise, are best suited at evaluating the quantitative benefits and harms of a proposed therapy, while patients and surrogates, with their insight into the patient’s wishes, are best suited to determine the qualitative benefits and harms [20]. This analysis provides support for a shared decision making model of futility determination and emphasizes the need for open and honest communication among physicians and patients/surrogates.
Finally, the ethical principle of justice states that all people should be treated fairly and equally. In the area of medical futility, distributive justice is central. Medical resources are finite and providing futile care consumes those resources without benefit, potentially depriving others of their use. This principle highlights the importance of the concept of futility in general and in avoiding futile interventions and care. In addition, it establishes society as a stakeholder in the conversation about medical futility.
Virtue-Based Approach to Futility
Aristotle described the virtue of “phronesis”, meaning practical knowledge or wisdom [29]. Phronesis is not scientific knowledge or technical ability, but the knowledge of how to act in complex situations by both understanding the facts of the situation and correctly judging the appropriate goals [30]. Pellegrino, informed by the writings of Saint Thomas Aquinas who integrated the Aristotelian virtue of phronesis with the Catholic virtue of prudence, applied the virtue of prudence to the problem of futility. Pellegrino argued that futility should be used as a “prudential guide” – the weighing of a treatment’s effectiveness, benefits, and burdens in the context of a patient’s clinical situation [24, 28].
In this context, Pellegrino avers that a treatment’s benefits are not quantifiable by the physician, but are instead based on the values and subjective view of the patient or his surrogate [24, 28]. Treatment burdens, on the other hand, have both objective and subjective aspects and therefore must be considered by both patient and physician. Finally, treatment effectiveness is objective in nature, relies on empirical evidence, and is within the realm of the physician’s expertise. The assessment of these three criteria, combining the subjective and objective inputs from appropriate participants, ultimately leads to a joint decision on futility questions [28]. This approach, argues Pellegrino, avoids the automatic labeling of certain clinical conditions or categories of a patient as “futile” and instead recognizes that multiple aspects of a situation must be carefully considered by both the patient/surrogate and the treatment team [28].
Patient Autonomy Versus Surgeon Conscience
The Society of Critical Care Medicine, in its 1997 consensus statement regarding futile treatment, described three contexts in which the language of futility is used [31]: First, when the patient or surrogate and the physician agree that the benefits of treatment are outweighed by its burdens; second, when the patient or surrogate desire an intervention which the caregiver regards as having no benefit and believes should be withheld; finally, when a community or insurer wishes to allocate limited and costly resources and labels certain controversial and/or expensive treatments as futile to justify denying coverage for them. Of these three categories, the first rarely results in conflict and the third is now considered a problem of rationing, and not truly a question of futility. The second scenario, one of conflict between patient and physician, is most commonly thought of when discussing medical futility.