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A
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A
  History
  and
  Theory
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  Y o rk  Toronto
Petaling Jaya Singapore Hong Kong Tok yo
Nairobi  Dar es  Salaam  Cape  Town
Melbourne Auckland
Beirut Berlin  Ibadan  Nicosia
Copyr ight  ©  1986  by  O xford U niversi ty Press, Inc .
Published by  O xfo rd Univers i ty Press,  Inc. ,  200  M ad i so n A v enue ,
N ew   York ,
  N ew  Yo rk 10016
O xf o r d
  is a  regis tered t rademark  o f Oxfo rd Univers i ty
 Press
 No part of
 reproduced,
stored  in a retrieval system, or transmitted, in any  form  or by any means ,
electronic,  mechanical , photocopying,  recording, or  otherwise,
w i t ho u t the prior permiss ion  of  Oxford Univers i ty Press.
Library of Congress Cataloging in Publication
  Data
Faden,
 Ruth
 R.
Bibl iography:
I.
  Beauchamp,
ISBN
 0-19-503686-7
  342.44109
Printing (last digit) : 9 8 7 6 5 4 3 2 1
Printed in the  United  States  of Am erica
on  acid free  paper
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O ur  primary goal  in writ ing this boo k  has
 been
  O ur
  subject matter
is  the or igin and nature of this concept . We therefore concentrate on
conceptual
 under  which
In
and
  law. Fund am ental quest ions about info rm ed consent have
  been
contr ibuted
  on the
  subject.
Moral  philos op hy and law do no t exha ust, how ever, the perspectives
b rough t
  to
 examine
the origins and status of info rm ed co nsent in clinical m edicine (Chapter
3), in the law (C hapter 4), in research
  involving
  and how
 theory
of
 inform ed consent . We begin with the concept of autono m y. A n anal-
ysis  o f
  is
 presented
  (in
  that serves
  as the
basis  for an  analysis of the  mean ing  o f  " informed consent"  (in  Chapter
8). Our
 in  Chapters 9 and 10, where  we b ring perspectives
  from
  philoso-
phy
  and
  psychology
  condi t ions
of  a u ton om y a nd  in formed consent .
Throughout this volume we address questions of public policy and
professional
  ethics,
  but
  provide
  an
  analysis
 of
the desirabil i ty of participation by patients or subjects in decisionmak-
ing,
  nor do we ident i fy the condi t ions under which heal th care profes-
sionals  and research investigators should obtain in fo rm ed consents . O ur
primary goals
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Vll l  PREFACE
discuss  the  nature  o f  informed consent ,  its  condi t ions ,  and the  ends  it
serves,
be  imposed.
to
  practical
  and
  prac-
tices  of  inform ed consent requires  an und ers tanding  of the  concept  and
its
  concerning
that about which we speak before reaching co nclusions about  how things
ought
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x
  A C K N O W L E D G M E N T S
Many
erature
  on
Sarah
 V .
 Bra km an, Kathy Buckley, Tim othy Hod ges, Sara Finne rty Kelly,
Donna Horak Mitsock,
Kennedy Inst i tute
  executing
  our
research objectives and ingenio us in devising new strategies of her o wn
design.
 Library-Institute
Library), and the National Library of Medicine
  (N.I .H.) .
  Similarly, we
must
 acknowledge the  assistance of the keepers of the files and records
at the
  American Psychological Asso-
ciation, and the  Office  of the D irector of N.I.H . Each helped us find data
that otherwise would have remained locked away.
Superb assistance was provided thro ugh our unive rsity offices,  where
for
  years
  drafts
  were
  faithfully
  prepared
  in
  an
endless flow of rewrit ing and proofing. We are indebted for this assis-
tance  to  Denise Brooks, Caren Kieswetter, Gwen Thomas,  and  M a r y
Ellen Timbol.
  and our
project  officer,  Peter Clepper,  for a grant [NLM -EP (K10 LM 0032-01,
01S1, 01S2)] which generously supported  this wo rk . This
 financial
 assis-
  and
Georgetown universit ies which facil i tated the writ ing of the final chap-
ters  and  their redraft ing.  We a re  sincerely grateful  to  those  w ho  made
these
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Contents
PartI.  F O U N D A T I O N S
1.  Foundat ions  in Moral Theory  3
Principles, Rules,  and
Moral Principles and Legal Rights  24
Common
Part  II. A HISTORY O F INFORM ED CONSENT
3.  P ronouncemen t and  Practice  in  Clinical M edicine  53
Problems of
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Xll CONTENTS
Interpreting the History of Co nsent : Some Perils of the Project  53
Two  Competing Historical Interpretations
Codes  and  Treatises from Hippocrates  to the A MA 60
Ancient Medicine  61
Secrecy,
The
  Arrival
 of
 1957-1972  88
The  Development
Changed
  100
Notes
  101
4.
  Consent
 and the C ourts: The E m ergence of the Legal
Doctrine 114
Late Eighteenth-C entury England:  The Slater Case
  116
Battery
  and
  11 7
  123
1957-1972:
Th e
  Canterbury Case
Conclusion  140
Notes  143
5. The
The
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Influential  Scholarly Pub lications  157
Controversy   over  Cases  161
Psychology  Gets a Code  167
Early
  Discussions
  of
  Consent
  and
  Deception
  171
  17 2
Ethical Principles
  in the
Conclusion  186
Notes  187
Research  200
from  1962-1974  201
FD A  Policy Form ulat ion
  202
NIH
  of
  Biomedical
and
  of
Biomedical  and  Behavioral Research:
 III.  A THEORY OF  INFORMED CONSENT
7. The  Concept  of A u to n o m y  235
A uto no m y  and Inform ed Co nsent 235
Distinguishing Persons and  Their Ac t ions  235
Degrees  of Autonomous Action  237
Substantially  Autonomous Actions
 A ction  241
  24 1
The  Condition
  o f
Authenticity
  as
 Ref lec tive Acceptance  263
Possible Reformulat ions  o f  the Authen ticity Co ndition  266
Conclusion  268
Notes  269
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  28 0
2
  283
The
  Nature
  and
  Degrees
  Competence  28 8
Normative Funct ions o f the Concept o f Competence   290
Psychological Competence, Legitimate  Authority,
Criteria of Substantial Un der standing 300
Understanding That
Standards
  of
 Understanding
 and
 Disclosure
  305
The
  Inadequacy
Communicat ion
  and the
  319
Problems o f In format ion O ver load, Stress,  and  Il lness  323
Co nfirmation of Sub stantial Understanding
  326
Conclusion
  329
Notes
  330
Coercion
  338
The
A
  Subjective Criterion of Resis tibi l i ty  34 1
  Coercive
  Situations
344
Persuasion
  346
The
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C O N T E N T S  X V
Manipulat ion  354
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FOUNDATIONS
I
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Foundations
  in
  rooted
  in multiple disciplines and
social co ntex ts, inc lud ing those of the health profe ssions, law, the social
and  behavioral sciences,  and m oral philosophy.  In  recent years, th e most
influential
  fields
  have
 been
  law and moral philosophy ; the central prob-
lems  of  informed consent have been  f ramed  in  their vocabularies. Yet
these disciplines, each with distinct methods and ob jectives, serve strik-
ingly  different  social  and  intellectual
  functions.
chapters
 of the
  distinctive
 forms
  of
 rea-
soning  fo und in m ora l philosophy and law, in order that the history and
theory  found
  in the
  may be
  more easily
unders tood .
Although  these tw o fo und ation al fram ewo rks are both in tricate and
controversial,  the  essences  of the  legal  and the  moral approaches  to
informed
  consent are not  difficult  to understand. The law has focused
almost exclusively on clinical rather than  research  contexts. From the
legal point of view, a phy sician has a duty bo th to  inform  patients and to
obtain th eir con sent. If a patient is inju red as a result of a failu re on the
part
 causing
th e  injury. This legal vision  of  informed consent  is  more focused  on
financial compensation  fo r un fo rtun ate medical outcomes than on  either
the disclosure of information  or the c onse nt of the pa tient in general.
For this reason, many have been  suspicious about  the  adequacy  of the
law as a vehicle for
 defining
and
  have increasingly come to regard the major issues as moral rather
than legal. From the moral point of view, informed consent has less to
do wit h the liability of pro fessio nals as agents of disclosure, and m or e to
do with the auton om ous choices o f patients and su bjects. In Chapters 7
and
  8 we  argue that,  in one  important sense  of the  term,  an  " informed
consent"  is an  autonomous authorization  by a patient  or subject.  This
definition  is mo re suited  to d iscussion from  the  mo ral point of view th an
the legal point of view.
1
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4
  FOUNDATIONS
  differences
between law and moral philosophy as  follows:  The law's approach
springs from
 th e
 physician,
 who
 holds
 a
 duty
  and
who  risks liability  by  failure  to  f u l f i l l  the  duty. Moral philosophy's
approach springs from  a  principle  of respect  fo r  auton om y that focuses
on
 the
 patient
  or
 subject,
interpretation  and  comparison have proved
  difficult,
scholarly controversies surround them.  Indeed,  it  would  be
  fatuous
  to
 agreement
A ny
 d efensible po sition will need an argued statemen t of its basic pr em -
ises.
 A
 statement
understood
  as
  and
  their
relationships
 will
before we turn directly to them, some background assumptions regard-
ing  the
  words  "ethics,"
  "morality,"  and
The  word
  "morali ty"
  has  meanings that extend beyond philosophical
contexts  and  professional codes  of  conduct. M orali ty is  concerned with
practices
  defining
  usually
culture or institution from  generation to generation, together with other
kinds
  of customs and rules. Morality denotes a social institution, com-
posed of a set of standards pervasively acknowledged by the m em ber s of
the culture. In this
  respect,
  it has an objective, on go ing status as a bo dy
of  action guides. Like political constitutions and natural languages,
morality exists prior  to the  acceptance  (or rejection)  of its rules and  reg-
ulations  by  particular individuals.  Its  standards  are  usually abstract,
uncodified,
  and applicable  to behavior  in ma ny diverse circum stances.
The  terms "ethical theory" and "moral philosophy,"  by con trast, sug-
gest  reflection  on the institutio n of m or ality. These term s refer to
attem pts to introduce clarity, substance, and precision of argum ent into
the dom ain of mo rality. M oral philosophers seek to put mo ral beliefs and
social practices of morality into a more  unified  and defensible package
of  action-guides  by  challenging presuppositions, assessing moral argu-
ments, and  suggesting m od ifications  in  existin g beliefs. Their task  often
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FOUNDATIONS  IN M O R A L TH E O R Y  5
centers
  on
  and
defe nded theories and principles, such as respect fo r au to no m y, distrib-
utive justice, equal treatment, human rights, beneficence,
  nonmalefi-
cence, and u tility— som e of the principles com m on ly emp loyed in con-
temp orary m oral philosophy.
Despite  these ro ugh distinctions,  we shall use the  terms
 "moral"
 and
"ethical"
 as
 synonymous ,
 and
to
  justified
Accordingly, mo ral philosophy offers  principles for the development and
evaluation of
  and the
  like
derive
  from
  these pr inciples . ("Values" is a still  more general term, and
one we shall rarely em plo y.) Such princ iples— the choice and analysis of
which  are controversial— constitute  the  heart  o f mo dern ethical theory .
They
  o f
  moral reasoning
employed  so f requent ly in d iscussions of informed  consent. Most of these
principles  are  already embedded  in  public morality  and  policies,  but
only
  in a vague and imprecise  form.  The job of ethical theory is to lend
precision without oversimplification. It  should always b e  remembered
that moral debate  about a particular course of action or controversy is
often
  rooted
applicable moral principles, but also in the interpretation of  factual
information  and in
physical, or
  religious description
  of a
 situation .
Although
  it is  neither possible  nor  necessary  to  outline  a  full  ethical
theory in this volum e, three moral principles releva nt to our subject mat-
te r  need  to be  addressed  and  briefly  analyzed: respect  fo r au tonomy,
beneficence,
  and
  the
 basis
and— when jo ined with jus t ice—they are
  sufficiently
surrounding  informed consent
  form  a
 often
 been
 addressed in codes and
regu lation s specific to clinical and research con texts. These pres criptio ns
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6  F O U N D A T I O N S
are  composed  of rules of conduct
 directed
professional
  problems,
  pro fessional asso-
ciations or government agencies. There are two principal ways of con-
struing
ciples  found
  may be
 for  specific
contex ts but unrelated to ex ternally valid principles. A ltern ative ly, they
may
 broader
 accept thro ugho ut this
volum e— cod es and regulations can and should be evaluated in terms of
general ethical principles. Even if it could r igh tly be arg ued that codes
have
 been
 direct
principles,  these  codes
 are
  intended
  to
  serve
as
  such  a basis  for  critical analysis of  moral codes, policies,  and  regula-
tions that traditionally have
In
  using
  mean
  to
  evade
 or
  because
t ion
 informed
on  rights language, as does the informed consent literature generally.
W e
  principles. W e shall mainta in that  for every duty
 there
 exists
at
  least
  one
Only
  recently
 has
  the
 h u ma n
rights,  and  only  recently have rights come  to  play  an  im portant role  in
public policy discussions, such  as  those
  involving
Rights
 are  po wer ful assertions of claims that dem and respect  and status,
and they occupy a prominent place in moral theory and political docu-
ments.  If someone  appeals  to rights, a response is dem anded. We m ust
accept
 valid, discredit
  it by
  countervailing consi-
derations,  or  acknowledge  the  right but  show how it can be  overridden
by
 o f
moral rights is mo re p uzz ling. Some thinkers are  skeptical  of their valid-
ity; others  find absurd  the  profusion  o f rights and the
  conflicts
 resulting
from
 o r
extended to many controversial arenas—rights to privacy, rights to
health care, rights
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  and
  another's
duties?
A
 plausible claim is that a right always entails the imp osition of a duty
on others  either
 state
vide such goods
  other medical
  care  to
  needy citi-
zens, then citizens can claim an entitlement or right to that  care if they
meet
  the
  treated
  as
entailing  someone else's duty to abstain  from  interference with one's
intended course  in  life.
If
 our treatm ent of the "correlativity  thesis" is corr ect, little is distinc-
tive about rights
 it
troversial in contemporary ethical theory whether rights are  based  on
duties, duties
  based  on
  other,
  we
  have
tried
  to circumvent this controversy by holding that the principles in a
moral system both impose duties and confer rights. We presume this
analysis
  The
rights most central  to our  arguments,  the  right  to  make an autonomo us
choice  and the  right  to  perform autonomous actions,
  will
  the
  autonomous
choices  and actions of others and,  in  special relationships, correlative  to
the
  duty
 to
 and
Three Principles
  f o r A u t o no m y
Respect
  for
 autonomy
in
  the literature on info rm ed consen t, wh ere it is conceived as a principle
roo ted in the liberal Western tradition of the im portance of individua l
freedom and choice, both  for po litical life and for  personal development.
"Autonomy"
  and
 "respect
  for
  autonomy"
  are
  terms loosely associated
with several ideas, such as privacy , voluntar iness, self-ma stery, choosing
freely,
  the freedom to choose, choosing one's own moral position, and
accepting responsibility
uncertainty,  the concept of autonomy and its connection to informed
consent needs sustained analysis, which we provide  in Chapters 7 and 8.
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  (self)
  and  nomos  (rule or law) were joined to refer to polit-
ical
autonomy
  has
  come
  to
  refer
  to
  from
  con-
 been
  can
emerge  over  th e  precise analysis  of autonomy  if we  move beyond  th e
core  idea  that
  autonomous
 per-
son.  O ur  central interest, however,  is in  autonomous  choice—or, more
generally, autonomous  action.  This d istinction is between (1) person s
who   have  the  capacity  to be  independent  and in  control,  and (2) the
actions that reflect
 because
  it m ight seem  by d efinition that o nly autono-
mous persons  act autonom ously. However,  as we shall see in Chapters  7
and 8, the  criteria  o f autono mo us choices  are not  identical with  th e  cri-
teria of autono mo us persons. A uton om ou s persons can and do make non-
autonomous choices owing to temporary constraints such as ignorance
or co ercion. This is a m atter of significance for a theo ry of info rm ed con-
sent.  It is no  less important that some persons  who are not  autonomous
can
  and do  occasionally muster  th e  resources  to  make  an  autonomous
choice under circumstances calling for informed consents and   refusals.
It is one thing to be  autonomous, and another to be respected as auton-
omous. Many  issues about consent concern failures to respect autonomy,
ranging
  from
nonrecognition of a refusal of medical interventions. To respect an
autonomous agent  is to  recognize with  due  appreciation that person's
capacities  and  perspective, including  his or her  right  to  hold certain
views,  to
 respect
th e
au tonomous
 treated
  merely
  as
 means
or preven t a person's exercise of autono my .
The  moral demand that  we  respect  the  autonomy  of persons  can be
formulated   as a principle  of
  respect
 for autonomy: Persons should be  free
to  choose and act witho ut controlling con straints imposed by others.  The
principle provides the  justificatory  basis for the right to make autono-
mous
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  9
related
  rights.
  For
  example,
informed
  patients have  the right to r efu se self-regard ing, life-sustain ing
medical interventions,
morally
 principle
 of
respect for auto no m y, several issues about the  proper  lim its of the obli-
gation
  even
the primar y justification of consent requirem ents is controversial, as we
shall see in
demands
  the
  as to
  rightfully
  subjects when these choices  conflict  with other
values.  If  choices might endanger  the  public health, potentially harm  a
fetus,  or involve a scarce reso urce for whic h a patient canno t pay, it may
be
 justifiable
 to
  on
  some
competing
balancing  the  demands made  by  conflicting  moral principles will  be
addressed
 later
 in
 this chap ter.
Many  unsettled issues also surround the  scope  of the principle of
respect  for
  autonomy.
  In
  particular,
  the
  number
  and
  kinds
 of
 duties
  it
entails  are  unresolved.  For  example,  are  duties  o f  disclosure derived
from
  respect
principle?
  linked directly  to  both autonomy  and  informed consent? (See  pp.
39-43.)
 that
 a broad mo ral f rame wo rk adequate  for the anal-
ysis
for
  latter
  alone will  suffice  as a basic principle.
W hereve r a mo ral right to privacy or the p rincip le of veracity is invo ked
in   th e
 treat  it as either
reducible to or derivative  from  an autonomy right (although we do not
suggest that
th e
  respect
 pp.
 27-28.)
Beneficence
The welfare of the patient is the goal of health  care  and also of what is
often
  is
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10  F O U N D A T I O N S
context  and  justification:  Clinical therapies are aimed at the promotion
of  health
 as
the
  celebrated
principle  in the  history of  medical codes  of ethics is the  maxim  pr im um
non  nocere—"above  all,  do no  harm"—commonly v iewed  as the  fun-
damental
 thus demand ing the provision of benefit beyond mere avoidance
of harm.
The  principle  of beneficence includes  the  following four  elements,  all
linked
harm; (3) one
  fourth
  element may
no t, strictly speaking, be a d uty ; and so me have claimed that these  ele-
ments should
  the
fourth.
There
  is a d efinite appeal  to  this hierarchical ordering internal  to the
principle
  exist
for
  separating passive nonmaleficence (a so-called neg ative d uty to avoid
doing harm,  as expressed  in 1) and  active beneficence  (a so-called posi-
tive
  duty
  2-4). O rdinary mo ral dis-
course  and m any philosophical system s suggest that negative duties  not
to
  to
ers.
9
 For example, we do not consider it justifiable  to  kill a dying patient
in
 patient's organs
 the
 duty
not to injur e a patient by abando nm ent seems to man y stronger than the
du ty
 been
Despite  the
 in (1) may no t  always  outweigh those expressed in
 (2-4).
  For
example, the harm inflicted in (1) may be negligible or trivial, while the
harm to be
person's
  life
 there
asserting
 tha t one principle m ust always ou tweigh the other.
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F O U N D A T I O N S
 IN
 M O R A L TH E O R Y
  11
In
  concrete
  cases,
  the
 least
 prescribes
morphine  for a patient  in ex treme pain, is she providing a benefit  (4) or
removing
 a harm (3) or bo th? Sim ilarly, wh en the state prov ides certain
needed
 m edical treatm ents to citizens, it can be argued that the state is
no t
  only providing
  and
  removing
  the
harms of illness and death  (2 and 3). To avoid ru nnin g dow n a child play-
ing in the
  do ing harm  (1)— requires pos-
itive steps  o f braking, turn ing, warning, and the  like.
10
Such
  mo ral demands that
 sho uld ben-
efit  and not  injure others under  a single principle of beneficence, taking
care
  to
 distinguish,
 as
 necessary,
 between
 strong
 and
  abstain
  from
  intentionally
 injuring
  others,
and to further the important and legitimate interests of others, largely
by
  preventing
  or
There  are several problems with the principle, so understood. For
example,
  to
 it is
 with minimal
personal risk
 role
 relations hips— in wh ich we are o bligated to act benef-
icently
 even
ally
  b ou n d  to  sacrifice  time  and financial  resources  fo r  their children?
But
  would
 a
 stranger
 w hom duties
of  beneficence are owed. Whose interests count, and whose count the
most?
  The
  principle
  of
  or subject-researcher relationship. Thus, the principle itself
leaves open the question as to whom one's beneficence should be
directed.
  For
  example,
(future  patients, employers, the  state, endangered parties, etc.), even if
the
Anothe r
fice and
 a
 kid-
ney for  transplantation o r d onating bone m arrow . A s a result, som e phi-
losophers have argued that this form
  o f
 and
a moral  ideal,  but not a duty. From this perspective, the positive
 bene-
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 are
 position
  The  underlying problem  is that actions such as sacrificing bod -
ily
 parts
  and
this
  problem
  by
12
  The
scope
  or
  range
  of
cided issue, and perhaps an undecidable one. Fortunately, our argu-
m ents do not d epend on its reso lution. That we are m orally obligated o n
some   occasions
Beneficent
  acts are dem anded by the ro les involved in fiduciary relation-
ships between health care pro fessionals and patients, lawye rs and clients,
researchers  and  subjects  (at least  in  therapeutic research), bankers and
customers, and so on. For
  example, physicians
  injured, delirious, uncooperative
patients, sometimes at considerable risk both to themselves and to the
patient.
  alleviation
 of
  disease
  and
  injury,
  if
there
 is a reasonable hope of cure. The har m s to be preven ted, remo ved,
or
considerations
  to
  subjects
parallel those  in  medicine—the cure, removal ,  or  prevention  o f pain,
suffering,
jects'
  interests
  are
  less
  at
  th e
  positive benefit
sou ght by the  scientist is new know ledge. O ften (but not necessarily) this
knowledge  is
 d esired
  because it is expected to contribute to the resolu-
t ion  of  important medical  or  social problem s. T herapeutic  and nonther-
apeutic research thus
achieve.
  there
harming  the
  m ay
  legitimately present
increased potential  for  harms  if  they  are  balanced  by a com mensura te
possibility
  o f benefits to the  subject.
Those engaged in both medical practice and research know that risks
of
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FO UNDATIO NS IN MO RA L THE O RY  13
sician  who  professes  to "do no harm"  is not  pledging  never  to  cause
harm   but  rather  to  strive  to  create  a  positive balance  of  goods over
inflicted
enjoins:
  "The
  degree
 o f risk to be  taken should never exceed that deter-
mined
  by the  hum anitar ian impo rtance  of the  problem  to be  solved by
the experiment."
moral  system: Beneficence assumes an obligation to weigh and balance
benefits  against harm s, ben efits against alternative benefits,  and  harms
against  alternative harms.
  professionals and research investigators  often  disagree
over  how to balance  th e  various factors, and  there m ay be no  objective
evidence that dictates one course rather than another.
14
 In clinical con -
texts, this balancing can also present situations in which health care
professionals  and
 patients differ
  their assessments
 of the
 profe ssional's
obligations.  In so me cases, ben efit  to  another  is involved— as, for exam-
ple, when a pregnant woman refuses a physician's recommendation of
fetal  surgery. In other cases the  refusal  may be exclusively self-regard-
ing.  So me health care p rofe ssion als will accept  a  patient 's  refusal  as
valid,  whereas others are inclined to ignore the
  fact
patient through  a medical intervention.
This problem of wh ethe r to override the d ecisions of patients in order
to benefit them or preven t h arm to them is one d imen sion of the problem
of
  medical paternalism, in which a parental-like decision by a profes-
sional
 o verr ides  an autonom ous decision  of a patient. A lthough not  cen-
tral to o ur co ncer ns, the issue of paternalism is at the core of m an y dis-
cussions of  inform ed consent. M uch of the  literature  in the field focuses
on  such fundamental moral questions
  as
 these discussio ns.
The  issue  of  proper authority for d ecisionmaking is an  implicit theme
thro ug ho ut this volum e. In health care, pro fessionals and patients alike
see the autho rity for some decisions as pro perly the patient 's and autho r-
ity
 for
 It is
 widely agreed,
for  example, that the choice of a birth control method is properly the
patient 's  but  that  the  decision  to  administer  a  sedative  to a  panicked
patient in an emergency room is properly the physician's. However,
many
 cases in med icine exhibit no clear co nsensus about legitimate deci-
sionmaking
  authority—for instance, who should  decide  which aggres-
sive  therapy, if any, to administer to a cancer victim or whether to
prolong the lives of severely handicapped newborns by medical inter-
ventions? Similar disputes  appear
  research context—for example,
as  to  whether  the  researcher  has the  authority  to use  persons without
their knowledge
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14  F O U N D A T I O N S
Decisions regard ing
  legitimate autho rity—
patient, subject,  or pro fessional— can turn decisively o n what will m ax-
imally  prom ote the patient's or subject's w elfare. Standing beh ind the
position
  that authority should rest with  the  patients  o r  subjects  may be
the goal of benefiting patients and subjects by enabling them to make
the
 of the
their  own  health. These arguments range  from  the  simple contention
that making one's
  decisions prom otes on e's psycho logical well-
being to the m ore con trov ersial observation that patients generally know
themselves
 well eno ug h to be the best jud ges, ultim ately, of what is mo st
beneficial
  for them . Similar argum ents are  also used  in  research contexts
where
 for
  by
  moral ,
legal, and c ultura l principles that  define  the  te rms of  social cooperation.
Beneficence and  respect  for
on the
been treated
  in accordance with the p rinciple o f justic e if
  treated
according  to  what  is  fair,  due,  or  owed.  For  example,  if  equal political
rights  are due all
 information
  to
 which
a person has a right or entitlement based in justice is an injustice. It is
also an
 are
not  appeals  to a  distinctive principle  of  justice that  is  independent  of
other principles such
  in a broad and non specific
sense to refer to  that which is generally justified,  or in the  circumstances
morally
tification.  For  example, articles  on  psychological research  involving
deception  often  denounce the research as  unjustly  denying subjects
information
  to
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F O U N D A T I O N S IN M ORAL TH EORY  15
often
  tur ns out that the con trol l ing m oral pr inciple in such a jud gm en t
is
 less
  autono m y. (The argum ent
could,  o f  course, involve appeal  to  both principles.) Similarly, propo-
nents
wou ld
  possible
medical t reatment . Here  the  moral concern  is one of benef icence ra ther
than just ice.
  Many
  com plaints of "injustice" in the in fo rm ed co nsen t l it-
erature can be l inked in this way to alleged vio lations of the princ iple of
respect
  principle
 beneficence.
However ,  not all issues of just ice  in  biomedical ethics  can be  entirely
accounted
ical
  resources  and the  validity o f claim s to po ssess  a right  to  health care
are staple examples of justice-based problems. A l though m ore   difficult
to   isolate, various problems that plague  the  l i terature  o n  in fo rmed con-
sent also seem justice-based.  Fo r  example, much o f the  cont ro versy sur-
rounding the use of prisoners as subjects in research centers less on
wh ether pr isoners can give valid infor m ed co nsent in the coercive envi-
ronment of incarcerat ion than on whether just ice permits creat ion of a
ready poo l of hu m an vo lunteers out of the class of those incarcerated by
the
 be
  repeatedly
used. This quest ion turns  on the  just dist r ibut ion  of the  b u r de n  of the
risks
  in
  society
  and
  thus
 is
 rather
 than beneficen ce or respect for auto no m y. The issue
is  whether this burd en could be w arranted even i f the pu bl ic welfare is
enhanced by the practice (a consid eration of ben efice nce in the  form  o f
public uti l i ty) and even if the prisoners are capable of  giving,  and  do
give,  a vo lun ta ry in fo rm ed consen t  (a co nsideration  o f
  au tonomy) .
  The
point  of  many analyses  of research  involving frequently  used and  vul-
nerable subjects
 i s
  to be
research subjects
  o f
  can be
  mot i -
vated less
 b y a
  in fo rmed
including rules promoting increased disclosure in such areas as consent
to  electrocon vulsive t reatm ent (ECT), have
 been
over
  the
  fairness
  harmful  treat-
m e n t because  o f  administ rat ive convenience. They note that  the  advo-
cates o f
  strict disclosure "sought
 technique
to   min imize  the use of ECT by  using premises  o f  equity  and justice."
However , as so of ten o ccurs, the  persons Lidz  has in m ind were probably
m ot ivated by
 respect
 fo r au tonom y, bene f -
icence,  an d  just ice. Lidz and others descr ibe their  o w n  concerns in
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FO UNDATIO NS IN M O R A L T H EO R Y  17
den or outweighed by competing moral demands. One's actual duty,
then, is determined by the
 balance
  man was
mo rtally ill in a hospital and required a m echanical respirator. A lthough
he had been
 only
 to
 have
  the
hospital  staff  reconnect it. The matter wound up in court. The patient
co ntend ed that the hospital and his physicians had an obligation to allow
him  to
  his
 death.
His physicians and legal representatives of the state of Florida argued
that they
  had a
 A
Florida court then had to fix the  actual  duty of the hospital and physi-
cians. In a complicated balancing of the co nflicting obligations, the co urt
concluded that
  to the
  life.
Partially as a result  of Ro ss's argum ents, moral philosophers have gen-
erally com e
rather,
  as
 stro ng prim a facie mo ral demand s that
 may be
  are
  presented
by a com peting m oral principle.  To  call lying prim a facie wr o ng m eans
that
consideration prevails
  in the
  than mere
  he nor any
losophy
  has  proved incapable  of providing a solution  to  this problem of
weighing and balancing that im proves on R oss's approach.  The metaphor
of "weight" has not proved am enable to precise analysis, and no one has
claimed to be able to arra nge all mo ral principles in a hierarchical ord er
that avoids  conflicts.
  thesis also applies to circumstances in which a single principle
directs  us to two
  equally attractive alternatives, only
 which
 can
be pur sued . Fo r exam ple, the principle of beneficence, w hen applied to
problems of disclosing info rm ation to patients,could require
 both
 disclo-
sure  and  no nd isclosu re; both options could lead to equally
  beneficial,
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18  FOUNDATIONS
albeit  d i f f e r e n t outcomes. Whether
  the
  conflict
  may not be a single  right action in some
circumstances, because  two or m o re mo rally acceptable actions may be
unavoidably  in
circumstances.
W e assume thro ugh ou t this volum e that  respect fo r autonom y is but a
prima facie principle, and that it there fo re has the same b u t only  the same
prima facie claim
  analysis pre-
supposes,  as an  inherent feature  of the  moral  life,  a pluralism of mo ral
principles equally weighted
  accept
 "equal
  weight.")
Theref ore, we ho ld that the m oral principles of bene ficence and jus -
tice—as well as more particular role responsibilities such as providing
the
 best
The
  is not
standing of  autonomy.  Autonomy  gives  us  respect,  moral entit lement,
and pro tection against invasions by o thers. Few m atters of mo rals could
be mo re im po rtant. But we sho uld step back and ask, as D aniel Callahan
has put it, "what it
18
  There
  is an historical
and cultural oddity about giving a standing of overriding importance to
the
i tself—was
  founded at least as much on the other principles we have
m entione d, and usually in a contex t of strong co m m itme nt to the public
welfare.
 th e
 moral value rather than
a  moral value, weighting it to trump every other moral value, buys the
luxury
  of autono m y at too high a price, and we wo uld
 agree.
  However,
 depress
to the
  A uton om y is almo st certainly
the most important value "discovered" in medical and r esearch ethics in
the
  last
  single mo st imp or tant m oral value
 for
informed
 co nsent and for the argu m ent in this boo k. The pertine nt point
is
 that
evaluations h ave
 inform ed consent.
This analysis of plural prim a facie duties applies to rights as we ll. It has
often been
  funda-
 are
  absolute trumps. However,
decisive cou nterex am ples can be m o un ted against this thesis. For exam -
ple, it is sometimes proclaimed that the right to
 life
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FOU N DATION S  IN M O RAL TH EORY  19
thesis is evidenced by common moral judgments about capital punish-
ment, international agreements about killing in war, and beliefs about
the  justifiability  of  killing in  self-defense. Most writers  in  ethics  now
agree that we have an
 ex ercisable right
 is no t a
  s u f f i i e n t  moral justification
  to
 override
  the
  right.
 The
  right
to
  the
  right
  to
 give
an  inform ed consent,  or a paren t 's right  to
  decide
mately exercisable and
right
 in
ing  protracted controversy
  balance with great discretion
the  competing rights claims.
Numerous authors  in biomedical  and  research ethics believe  that  if a
person  is  act ing autonomously and is the  bearer  of an  autonomy right,
then
  care.
Although
 the
 burden
  of
 be on
  "weight"
  of
more likely that
  considerations will validly override demands  to
respect  au to no m y. Similarly, because some a uto no m y rights are less sig-
nificant
  than others,  the  demands to protect those rights are less weighty
in
entrenched and
  among principles and rights can
be. Ho wever,  in our book these problems, including the aforem entioned
problem  of  paternalism, take  a  back seat  to  problems  of  conceptually
analyzing
  info rm ed consent and establishing its relationship to the p rin-
ciple
enabling autonomous choice as the goal of informed consent require-
ments. However,  we  shall  no t  argue that  either  this goal  or the  under-
lying
  principle of  respect  for autonomy always or even generally out-
weighs other moral duties
W e
 enco unter m any unresolved moral problems about inform ed consent
in  this volume. We must not expect too much in the way of final moral
solutions  from
  to
mo ral problems, but it does not supply mechanical solutions o r d efinitive
procedures
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20  F O U N D A T I O N S
are its  indispensable allies  in  applied  contexts.  However,  this  lack  of
finality
 is
 no
 reason
 for
superior to
 shall
1969),  130.
2. For some reflections on what Kant's views do and do not show, see Arthur Flem-
ming, "Using  a Man as a Means,"
  Ethics
 88 (1978):  283-98.
3. See, for example, President's Commission for the Study of Ethical Problems in
Medicine and Biomedical and Behavioral Research,
 Deciding to Forego  Life-Sustaining
  244ff ;
 and,
  Office,
4.
 These
 issues are treated in Tom L. Beauchamp and James F. Childress,  Principles
of
 esp.
 Chaps.
3,7.
 Chapter
a
 right
 of
 privacy
  nineteenth century
 individuals
against intrusions into zones of private life through newspaper gossip or
 telephone
wiretapping.
  The
  was
  later broadened,
according to a theory of constitutional law, to protect not only against the exploitation
o f
  f o rms
decisionmaking.
Analysis
 of the moral right to privacy that builds on ordinary language meanings of
"privacy"
 as well as on the several legal notions of privacy has led to a complex array
of
into a directly corresponding, but more neatly formulated, moral right.
Part of the
  dif ferent
  writers who attempt to
explicate privacy as at once (1) an independent moral right (one that does not overlap
with other well-established moral rights, such
 as the
 moral concept that basically accords with
the common law's concept of privacy, and (3) a notion that does not depart  signifi-
cantly
  f rom
 ordinary language meanings of "privacy." It is doubtful that these three
conditions
 single moral concept
Compare W.A. Parent,  "Recent Work on the Concept  of Privacy,"
 American Phil-
osophica l
sons:
 (March 1980):
  and
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Privacy,"  Ethics  89  (October  1978):  76-81  and  "Privacy  and  Self-Incrimination,"
Ethics
  Civil
 Rights-
Civil Liberties Law Review 12 (1977): 233-96; A r thur Caplan, "On  Privacy and Con-
fidentiality  in  Social Science
Issues  in  Social
  Sc ience Research
 to
Affairs  4 (Summer
James Rachels, "Why Privacy  is
 Important,"
  4
 Inform ed Co nsent,"  66-71.
7. See Lud wig Ed elstein, "The Hippocratic O ath: Tex t, Translation, and  Interpre-
tation,"  Supplements to the Bulletin of  the His tory of
  Medicine
timore:
 The  Johns Hopkins University Press, 1943); reprinted  in Owsei Temkin and
C.
injunction is
  Ethics ,
Inc., 1973),  esp. 47.
9. Perhaps the most important philosophical statement of this position is found  in
W.D. Ross,
  (O xfo rd: Clarend on Press, 1930), 21 .
10. For a discussion of such problems, see Joel  Feinberg,  Harm  to  Other s : The
Moral  Limits
  o f
 York:
  Journal o f Phi losophy
  72
(1975):
 and
Affairs  5  (1976): 305ff.
11. A widely held view is that one has a duty of beneficen ce only if one can pre vent
harm to others at minimal risk to oneself and if one's action promises to be of sub-
stantial ben efit
formulated
  as follows: X has a duty  of beneficence toward Y only if each  of the  follow-
ing  conditions  is  satisfied:  (1) Y is at  risk  of  significant  loss or  damage,  (2) X's  action
is
 needed
  to prev ent this loss or d amage, (3) X 's action w ou ld probably preven t this
loss or  damage,  (4) the  benefit that  Y will probably gain outw eighs any harm s that X
is
  likely
  to
  suffer
indebted  to
  Er ic D'Arcy,  H uman A c t s: An  Essay  in Their Moral  Evaluation  (Oxford:
Clarendon Press,
  1963), 56-57.
Provision  o f  benefit beyond these conditions would  be to act  generously  but
beyond the call of duty. O ur form ulation is only one plausible con strual of the general
duty
  purposes
  in
  this volume.
 Fo r
contrasting views, see Earl Shelp, "To Benefit and Respect Persons: A Challenge for
Beneficence in Health  Care," A llen Buchan an, "Philosophical Fo und ations of
 Benef-
icence,"  and Natalie Abrams,  "Scope  of Beneficence in Health  Care,"  all in Earl
Shelp, ed.,
  (Do rdrecht, Holland: D. Reidel Pub lishing
Co.,  1982).
 Publ ic Affairs  1 (1972): 229-43, and Practical Ethics (Cam-
bridge: C ambridge Un iversity Press, 1979),
  168fF;
in Ethics
  and
  Michael
  A .
 Slote,
"The M orality of Wealth," in William A iken and H ugh LaFollette, eds.,  Wor ld Hun-
ger a nd Moral  Obl igat ion (Englewood Cliffs,  N .J.: Prentice-H all, In c., 1977), 125-47.
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22
  FOUNDATIONS
13.
 Nuremberg
berg Military Tribunals
Washington, D.C.: U.S. Government Printing
 Office,  1948-49).
14. A comprehensive treatment of this problem in the context of
 research
 (Baltimore: Urban
 Informed Consent: A  Study of Decisionmaking  in Psy-
chiatry (New York:
17. Satz v. Perlmutter, 362
  S.2d
 160
 (October  1984):
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Foundations  in  Legal Theory
W e m aintained  in Chapter  1 that m oral principles  are to be unders tood
as
  principles of duty and that these duties are correlative to rights.
Although no s t ructure  of principles in law corresp on ds directly  to mora l
principles, m ora l principles
 are
 expressed
 and
 enforced
 by the law in the
form  of  rights  and  duties devised  for the  specific purposes  of a  legal
framework.  In
  criteria
  often
similar
  in the two disciplines.
In this chapter, we first exam ine various relationships between m oral
principles  and legal righ ts and then turn to the  so-called "legal do ctr ine
of
  info rm ed con sent." Tw o areas of the law are relevant to this do ctrine.
They represent  different  legal traditions thro ugh which requirem ents
 to
obtain inf orm ed consent can be defined . The first and mo st imp or tant for
the current legal do ctrine of info rm ed consent is  tort law. A "tort"  is a
civil
  injury  to one's person or property that is intentionally or negli-
gently inflicted
  com-
pensated by, mo ney damages. Civil injuries can be contrasted with crim-
inal  injuries, which
  or by fines not
intended as com pensation but paid as penalties to the state. A t com m on
law, an u njustifiable  failure to  obtain inform ed consent  is a  tort .  In  this
chapter
  we
  examine
 the
obligation
  to
  obtain consent.
The second relevant area is the legal right to privacy, a right embed-
ded in  American  consti tutional law.  Privacy, like many constitutional
rights,
  serves
  state over individ uals'
lives.  In  many  instances,  harmful state  intrusions  on  privacy  can be
legally preve nted rathe r than m erely recom pensed . The right of privacy
has
 been
 applied to vario us kind s of m edical choices, includ ing treatm ent
refusal,  but  there  is as yet no  developed constitutional do ctrine  of
"informed consent."
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24
  FOUNDATIONS
 Legal
  Rights
The law relies o n mo ral principles to d elineate rights and d uties in bo th
case law (judge-m ade law expressed in court decisions) and statuto ry law
(federal  and state  statutes and their acco m panying adm inistrative regu-
lations). The  same correlativity  of rights and  duties appears  in law as in
morality:  If one person has a legal right and another the corresponding
duty , the latter may be held legally responsible, and so liable, fo r violat-
ing
  the
 by
 failure
 to
  fulfill
  the
  duty.
In
  law, m any factors besides com m on ly shared m oral principles  influ-
ence theories of legal liability. A ltho ug h they may be loo sely spo ken of
as legal princ iples,
 true
 principles; they are a
set of paradigm s, con structs, and provisos uniqu e to law and the institu-
tions o f
 law. Includ ed
practical issues arising  from  the use of  case-by-case adjudication, and,
finally, the  traditional division of law into different  categories, w hich dif-
fer
  influences
liability.
 of
judg e-m ad e law that began in med ieval En gland — and , second, into law
derived  from  the Constitution and statutes that supplant or supplement
the common law. Although it has been substantially reconstructed by
statute,  the  legal doctrine  of inform ed consent  is essentially a c o m m o n
law  development.
 and
civil law, and civil law again into sub-categories, including to rt, pr o per ty,
and co ntract law. W ithin these bro ad com m on -law categories, legal
problems are classified according to
  "causes
  of
 action,"
 o f liability." These consist o f sets o f
 "elements,"
each  o f which m ust b e  pleaded  in  court  and  proved t rue  by a  prepon-
derance of the evidence in ord er for the com plaining par ty to prevail.
In  English and early A m erican law, the  c ommon law  causes  of action
were rigid and   formal.  Every claimed wro ng had to be fit ted into one of
th e "writs" that laid out the proced ures and arg um ent for each cause of
action. Although modern common law is more flexible, the influence
of  its  history  is  still  felt.  The  theory  of  liability under which  a  case  is
pleaded
 is vital not on ly in shaping the pro of of a case at trial but also in
determining
  To
detach  the law  from  this fundam ental s t ructure  is  impossible, even
within  the purest legal analysis. The need to fit facts and principles into
a
 if a
 single mo ral principle—
such as respect  for autono m y— und erl ies several
  different
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Informed  consent
  fo r
 autonomy. However ,
in the legal con tex t, info rm ed consent is not precisely abo ut how best to
respect
  auton om y or to enable auto no m ou s decisionm aking. Legal lan-
guage
  is
  and
  duties
Thus,
  in
  case
  is
  couched
  in
rights lang uag e— the patient 's right  to self-determination— and the pri-
mary
 concern
  duties that devolve upon phy -
sicians
Common Law and the Legal Doctrine
A
 legal
 "doctrine"
 is a bod y of legal theo ry applied to a particular topic.
Legal scholarship  often
  the
  common
 includes
the entire body of law dealing with the general obligation to obtain
informed
1
The legal d octrine derives in A m erican case law almost exclusively
from
  the
 contrasted with
 th e
researcher-sub ject relatio nsh ip in research . The d iscussion in this chap-
ter,
  together
  w ith the history in Chapter 4, presents the fr am ewo rk of
informed
  consent
 of
informed   consent in biom edical  and social research  is reviewed  in Chap-
ters
  the
 legal
into
 these topics is bey o nd the scope of our v olum e, although we ou tline
them below.  We do not  address  the  doctrine  as a  whole; instead,  we
focus  almost exclusively
  of
informed   consent in the  law, wh ich is the  scope  and configuration  of spe-
cific
  case law. These requirements
are shaped b y the exigencies of transla ting mo rality into social practice
thr o ug h the adversary legal system and its theor ies o f liability.
The  failure to  obtain inform ed consent in situations where  it is legally
required  is a tort. The linking of info rm ed con sent to a financial rem edy
and the othe r constraints of civil law is crucial to un d ers tan d ing the legal
doctrine.
  A
  theory but through various doctrines of tort, property, and con-
tract law, protects
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decision  from  certain kinds  of  interference  by  others. Legal require-
ments
  of
namely,  the protection  from  physical intrusions by others.
Within  the  physician-patient relationship, th e  right  of bod ily integrity
is
  supplemented
  by
  what
  and
  physicians
are unequal in possession of info rm ation and pow er to c ontro l the cir-
cumstances
without consent.
The key issues in case law and legal litera ture on inf o rm ed consent can
be divided into   four  categories: choice of the theory of liability, disclo-
sure requirements, causation,
  either
  action
or
  abstention
  from
  action.
  is
 liable
  to
punishment (in the  criminal law)  or is obligated  to  make compensation
for  th e
 a
case is tried determines the civil (or the criminal) duty that must be ful-
filled. In recent
originally
 developed
 of
 liability.
Cou rts in som e states still apply the battery theo ry ex clusively, and other
states that prim arily apply negligence law to info rm ed consent cases con-
tinue  to use  battery under some circumstances.  A s a  result,  no
  funda-
  unified
  legal theory und erlies all info rm ed consent cases. In
Chapter 4 we will discuss the historical development of the informed
consent doctrine
  difficult
sent.
and the way informed consent is treated by each.
The choice between battery and negligence has been the  focus  o f
much
  legal scholarship about the do ctrine of info rm ed consent. There is
reason
  to
  volume
 of
  distinction in legal theory.
Under  battery  theory the defendant is held liable for any intended
(i.e., not careless or accidental) action that results in physical contact—
contact  for  which  the  plaintiff  has  given  no  permission, express  or
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F O U N D A T I O N S IN LE GAL THE O RY  27
implied,
 and
 which
 the
must
 injury
  result;
 the
  if
 nei-
ther
  is present,  the  plaintiffs recovery,  if any , will be of a sm all sum . In
practical reality these damages
  on the
  source
  of
  liability.
  The
  carelessness
occurs in  regard  to some activity in which the defendant has a socially
or
 to
 take
 behave reasonably towar d oth-
ers, and in jury is caused by f ailure to d ischarge the d uty . The injury mus t
be translatable into money damages or the
  plaintiff
The foregoing descriptions seem to imply that battery and negligence
describe starkly different  types
  and  negligence theories  can be  viewed  as  distinct  but not
mutually
 fuller
ories and their differences.
tional and  legally unpermitted physical contact with ("touching"  of)
another person. Because  th e  essential purpose  of the  battery theory of
liability
  so-called dignitary interest—the individ-
ual's bodily integr i ty— no  injury  need result  from  violation of this inter -
est. Treatment without consent
  the
  complaint
  is
  lodged)
who
party who co mplained) has com m itted a "technical
 battery"
 plaintiff
  need not even
be aware of the event at the tim e contact has taken place (fo r exam ple,
he or she may be anesthetized). The defendant may act in good   faith,
without any desire to harm , perhaps in the m istaken belief that the plain-
tiff
  has
  consented,
  or
  even
  in
  such
4
court
  do
  all the
  plaintiff
  must
show  to win in cou rt is that the def end ant intended a contact that a rea-
sonable person wo uld find offensive  und er the circum stances, or one that
the defendant should have kno wn would be  offensive  to that particular
plaintiff.
5
defendant intended to cause physical or psychic harm.
To d efend against a charge o f battery, the d efend ant can show that the
plaintiff  consen ted to the to uch ing, or that the p lain tif fs dissent could
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28
  FOUNDATIONS
not
  have
  been
  anticipated.
  In
  to
many harm less contacts is assumed by the law because reasonable people
deem such contacts
knowledge
  objects "unreasonably"
  to
some accepted social contact such as social kissing, then an act by the
defendant such
general right
  It is
 well captured
  by the
following passage  from  a 1914 case that became a po wer fu l rallying sym-
bol in the
  of
  adult
years and sound mind has a right to determine what shall be done with
his
  own
  body;
6
  This right of self-determination
is  th e  legal equivalent  of the  moral principle  of  respect  for autonom y
discussed
  in
 Chapter
  1.
 Patients
  are
 kno w that phy -
sicians m ust obtain con sent, and phy sicians are expected by law to kn o w
that patients
patient's permission m ay thus be
  found
sonable person would have authorized
  th e
  procedure
  if
 asked.
The physician may be  found  to have committed battery if no consent
at all was
  in
scope or kind  from  the one actually performed, or if the physician failed
to
  inform
  the
  of the
  patient,
whether  by virtue  of om ission of important information or b y  misrepre-
sentation, then what appears  to be a
 "consent"
  is
 "vitiated"
dered
  invalid.
9
  The central issue for the battery cause of action is thus
whether  an effective  (or
given. Battery requires that consent
  be  based  on an
procedure.
10
Negligence.
  The
  on
 premises
  differ-
ent  from  those  of batter y. Negligence  is, in effect,  th e  failure  to use due
care; negligence is the tort of
 un intended  harmful
  action or omission. It
is  analyzable in terms of five essential elements: (1) a legally established
duty  to the
  plaintiff  must exist;
(3)  the  plaintiff
  causal rela-
tionship between  the act or  omission and the  injury  must b e  proximate.
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FOUNDATIONS IN LEGAL THEORY  29
Proximate  causation  (5) is a  limitation  on  responsibility that  can be
invoked  in negligence cases in order  to preclude liability  for remote or
unforeseeable causation
 o f  injury.
The d uty breached by a neg ligent act or o m ission is based in a general
duty to
 is
m easur ed in law by the standard of the reaso nable perso n, an imag inary
actor who rep resents the co m m un ity consensus of acceptable or appro-
priate behavior. This consensus establishes neither a standard of what
average persons do no r an aspirational ideal bey on d the reach of m ost
persons, but a
 threshold below which the ord inary person m ay
no t  fall without being  found  deficient und er  the  law. (See the discussion
of  the reasonable person standard in the sections on Disclosure and
Causation,
 pp.
 32-33.)
Professional
  negligence,
  or
  malpractice,
  of
 negli-
gence  in w hich professional standards  of  care have been developed  for
persons possessing or claiming to possess special knowledge or skill.
Medical malpractice is but one type of professional  negligence. The phy-
sician
  found
  to have com m itted malpractice is held liable  for violation of
a duty to exercise the requisite   skill  and care of the ordinary qualified
m em ber of the medical profession. Fellow pro fessionals represent the
peer
  group, whose standards and testimony at trial are necessary to
establish
  the
  scope
  of
 there is a
 of
due care to provide to patients an appropriate disclosure of  information
before obtaining
  same respect
as is careless p erfo rm ance of a surgical proced ure.
The informed consent action in negligence has five elements, corre-
sponding to the above five elements of general
 negligence:
 part
  of the  professional duty of due
care;  (2) the  physician breaches the  du ty ;  (3) there  is an
  injury
  to the
patient that makes th e patient worse off (in financially measurable term s)
than
materialization  of an  undisclosed outcome  or  possible outcome  (risk);
and (5) had the  plaintiff been info rm ed of the o utcome o r risk, he or she
(o r a reasonable person ) wo uld not have consented. Un derlying (5) is the
crucial
 offered
  num ero us reasons for the con-
temporary trend toward negligence and away  from  b attery as the p re-
ferred theory
11
 A
 is
  that
bat te ry—as  the  cruder  and  more drast ic theory—is useful  only in lim -
ited
 situations wher e  the  nature  of the  procedure  has not
 been
  disclosed
at all or an action inte ntio nally exceeds the scope of the consen t. Som e
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30
  FOUNDATIONS
courts
  see
  physicians
  as
  inform
  as intentionally
antisocial acts such as those typically found  in assault  and  battery.
However, some legal commentators have argued that
  the
  battery
action,  in  recognizing  the  dignitary importance  o f  individual bodily
integrity  and  self-determination,  is closer  to the  spirit  of the informed
consent doctrine than  is negligence, which has the
  effect
several commentators have proposed
12
Disclosure
 Requirements
 that must
be  disclosed  to a patient  are  central  to the  legal doctrine  of informed
consent
 and
 disagreements exist
regarding what must be  disclosed about the  nature and purpose of the
procedure,
  its
 benefits,
 and
tive standard.
 standard holds that both
the duty to disclose and the criteria of adequate disclosure, its topics and
scope, are
 by the
 customary practices
 of a
 professional com-
muni ty .
 Proponents  o f this standard argue that  the  physician  is charged
professionally
  with
  the
  responsibility
information
 that
 should
 be
 disclosed
 and
 from
 this perspective  a job  belonging  to physicians by virtue o f
their
profession
  establishes  th e  standard  o f care  for disclosure, just  as custom
establishes
 the
 standard
informed  consent negligence cases,  Natanson v. Kline the  court held:
  The duty of the physician to disclose ... is limited to those disclosures
which a reasonable medical practitioner would make under the  same or
similar
 circumstances.
14
 performance
 of
 med-
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F O U N D A T I O N S IN LE GAL THE O RY  31
The
 A ll the co urts adopting the pr ofessio nal
 practice
groups
  to d eterm ine wh ether a physician has violated a du ty to disclose
the risk in question . The decision in a 1972 case in which rad iation ther-
apy for Hodgkin's disease led to paralysis provides a typical expression
of  this standard: "Generally the du ty of the physician to  inform  and the
extent o f the info rm ation required should be established b y expert med -
ical testimo ny."
 been
 crit-
icized severely as a disclosure rule for inf or m ed consent law. It has
 been
 is
 required
  for
the  establishment  of  such  a  standard.  A  second objection  is  that truly
negligent
  care
  might
 be
  perpetuated
  if
offer
  the  same inferior info rm ation, whether thro ugh ignorance,  as a
genuine con viction,
17
Another m ore fund am ental objection centers  on a basic assum ption of
the medical practice standard—that physicians have  sufficient  expertise
to
and
  disclosures are either harmless or beneficial for patients, this
conclusion  is not m uch more adequately groun ded than the contrasting
hun che s of exp erienced physicians who appeal to anecdo tal evidence.
18
There
  is some evidence to support the claim that because of the value
patients place o n info rm atio n, they w ou ld support a disclosure standard
requiring m o re d etailed inf o rm atio n than physicians typically give.
19
Related data suggest that phy sicians believe that the a dd itiona l
  infor-
  affect
  their
norms
additional information is in fact  harmful  to  patients.
Although
  the
professional
that
  it
 the
  protection
  to the
medical
 practice applies only to specifically med ical jud gm en ts and that,
ultimately,
 decisions
ments, are
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  to
  adopt
more adequately  the  patient's right  of self-determination. T his standard
focuses o n the
  alternatives, and consequences. The legal litmus test under this
standard for determ ining the exten t of disclosure is the "m