Monday, March 16, 2009

Lying and Lies to the Sick and Dying

Lying and Lies to the Sick and Dying
By Sissela Bok
[From Lying: Moral Choice in Public and Private Life (New York' Pantheon. 1978) -- selections from chapters I, 2, 6. 14. and 15]

TRUTH AND TRUTHFULNESS
..."Truth"- no concept intimidates and yet draws thinkers so powerfully. From the beginnings of human speculation about the world, the questions of what truth is and whether we can attain it have loomed large. Every philosopher has had to grapple with them. Every religion seeks to answer them. ...

In all such speculation, there is great risk of a conceptual muddle, of not seeing the crucial differences between two domains: the moral domain of intended truthfulness and deception, and the much vaster domain of truth and falsity in general. The moral question of whether you are lying or not is not settled by establishing the truth or falsity of what you say. In order to settle this question, we must know whether you intend your statement to mislead. ...

Any number of appearances and words can mislead us; but only a fraction of them are intended to do so. A mirage may deceive us, through no one's fault. Our eyes deceive us all the time. We are beset by self-delusion and bias of every kind. Yet we often know when we mean to be honest or dishonest. Whatever the essence of truth and falsity, and whatever the sources of error in our lives, one such source is surely the human agent, receiving and giving out information, intentionally deflecting, withholding, even distorting it at times. ...

We must single out, therefore, from the countless ways in which we blunder misinformed through life, that which is done with the intention to mislead; and from the countless partial stabs at truth, those which are intended to be truthful. Only if this distinction is clear will it be possible to ask the moral question with rigor. And it is to this question alone-the intentional manipulation of in- formation-that the court addresses itself in its request for "the truth, the whole truth, and nothing but the truth."

DEFINING INTENTIONAL DECEPTION AND LYING
When we undertake to deceive others intentionally, we communicate messages meant to mislead them, meant to make them believe what we ourselves do not believe. We can do so through gesture, through disguise, by means of action or inaction, even through silence. Which of these innumerable deceptive messages are also lies? I shall define as a lie any intentionally deceptive message which is stated. Such statements are most often made verbally or in writing, but can of course also be conveyed via smoke signals, Morse code, sign language, and the like. Deception, then, is the larger category , and lying forms part of it. ...

LYING AND CHOICE
Deceit and violence-these are the two forms of deliberate assault on human beings. Both can coerce people into acting against their will. Most harm that can befall victims through violence can come to them also through deceit. But deceit controls more subtly, for it works on belief as well as action. Even Othello, whom few would have dared to try to subdue by force, could be brought to destroy himself and Desdemona through falsehood. The knowledge of this coercive element in deception, and of our vulnerability to it, underlies our sense of the centrality of truthfulness. ...

All our choices depend on our estimates of what is the case; these estimates must in turn often rely on information from others. Lies distort this information and therefore our situation as we perceive it, as well as our choices.

THE PERSPECTIVE OF THE DECEIVED
Those who learn that they have been lied to in an important matter -say, the identity of their parents, the affection of their spouse, or the integrity of their government-are resentful, disappointed, and suspicious. They feel wronged; they are wary of new overtures. And they look back on their past beliefs and actions in the new light of the discovered lies. They see that they were manipulated, that the deceit made them unable to make choices for themselves according to the most adequate information available, unable to act as they would have wanted to act had they known all along.

It is true, of course, that personal, informed choice is not the only kind available to them. They may decide to abandon choosing for themselves and let others decide for them-as guardians, financial advisors, or political representatives. They may even decide to abandon choice based upon information of a conventional nature altogether and trust instead to the stars or to throws of the dice or to soothsayers.

But such alternatives ought to be personally chosen and not surreptitiously imposed by lies or other forms of manipulation. Most of us would resist loss of control over which choices we want to delegate to others and which ones we want to make ourselves, aided by the best information we can obtain. We resist because experience has taught

us the consequences when others choose to deceive us, even "for our own good." Of course, we know that many lies are trivial. But since we, when lied to, have no way to judge which lies are the trivial ones, and since we have no confidence that liars will restrict themselves to just such trivial lies, the perspective of the deceived leads us to be wary of all deception. ...

Deception, then, can be coercive. When it succeeds, it can give power to the deceiver-power that all who suffer the consequences of lies would not wish to abdicate. ...

THE PRINCIPLE OF VERACITY
...I believe that we must at the very least accept as an initial premise Aristotle's view that lying is "mean and culpable" and that truthful statements are preferable to lies in the absence of special considerations. This premise gives an initial negative weight to lies. It holds that they are not neutral from the point of view of our choices; that lying requires explanation, whereas truth ordinarily does not. It provides a counterbalance to the crude evaluation by liars of their own motives and of the consequences of their lies. And it places the burden of proof squarely on those who assume the liar's perspective.

This presumption against lying can also be stated so as to stress the positive worth of truthfulness or veracity. I would like … to refer to the "principle of veracity" as an expression of this initial imbalance in our weighing of truthfulness and lying. ...

TYPES OF EXCUSES
What is it, then, that can conflict with the requirement for truthfulness so as to make lies permissible at times? Say you are caught in a compromising lie. What excuses might you offer? What kinds of excuses?

An excuse seeks to extenuate, sometimes to remove the blame entirely from something which would otherwise be a fault. It can seek to extenuate in three ways. First, it can suggest that what is seen as a fault is not really one. Secondly, it can suggest that, though there has been a fault, the agent is not really blameworthy, because he is not responsible. And finally, it can suggest that, though there has been a fault, and though the agent is responsible, he is not really to blame because he has good reasons to do as he did.

(a) Excuses of the first type may claim that the supposed lie is not really a lie, but a joke, perhaps, or an evasion, an exaggeration, a flight of fancy. Or else such an excuse may argue that since it is impossible to give objective distinctions between truth and falsehood, the supposed lie cannot be proved to be one.

(b) The second type of excuse holds that, though there may have been deception, the agent is not really or not completely responsible. The liar may claim he never meant to mislead, or was incompetent, perhaps drunk, or talking in his sleep, or coerced into deceiving. Or else he may take refuge in arguing that no one can ever be held responsible for lies, that free choice in that respect is a myth.

Both these types of excuses obviously cover a vast territory and are in constant use by liars. But it is the third type which will be the focus of [our] attention … - the type of excuse which is most fundamental for the process of evaluating deliberate lies. In this third type of excuse, the liar admits the lie, accepts responsibility for it, but offers reasons to show that he should be partially or even wholly cleared of blame. All three kinds of excuses are often present in the same effort to extenuate anyone lie. ...

(c) The third type of excuse, then, offers moral reasons for a lie, reasons to show that a lie ought, under the circumstances, to be allowed.

PATERNALISM
...To act paternalistically is to guide and even coerce people in order to protect them and serve their best interests, as a father might his children. ... The need for some paternalistic restraints is obvious. We survive only if protected from harm as children. Even as adults, we tolerate a number of regulations designed to reduce dangers such as those of infection or accidents. But it is equally obvious that the intention of guarding from harm has led, both through mistake and through abuse, to great suffering. The "protection" can suffocate; it can also exploit. Throughout history, men, women, and children have been compelled to accept de- grading work, alien religious practices, institutionalization, and even wars alleged to "free" them, all in the name of what someone has declared to be their own best interest. And deception may well have outranked force as a means of subjection: duping people to conform, to embrace ideologies and cults-never more zealously perpetrated than by those who believe that the welfare of those deceived is at issue.

Apart from guidance and persuasion, the paternalist can manipulate in two ways: through force and through deception.

One reason for the appeal of paternalistic lies is that they, unlike so much deception, are felt to be without bias and told in a disinterested wish to be helpful to fellow human beings in need. On closer examination, however, this objectivity and disinterest are often found to be spurious. The benevolent motives claimed by liars are then seen to be mixed with many others much less altruistic-the fear of confrontation which would accompany a more outspoken acknowledgment of the liar's feelings and intentions; the desire to avoid setting in motion great pressures to change, as where addiction or infidelity are no longer concealed; the urge to maintain the power that comes with duping others (never greater than when those lied to are defenseless or in need of care). These are motives of self-protection and of manipulation, of wanting to retain control over a situation and to remain a free agent. So long as the liar does not see them clearly, his judgment that his lies are altruistic and thus excused is itself biased and unreliable.

The perspective of the deceived, then, challenges the "helpfulness" of many paternalistic lies. It questions, moreover, even the benefits that are thought to accrue to the liar .The effects of deception on the liars themselves-the need to shore up lies, keep them in good repair, the anxieties relating to possible discovery , the entanglements and threats to integrity-are greatest in a close relationship where it is rare that one lie will suffice. It can be very hard to maintain the deceit when one is in close contact with those one lies to. The price of "living a lie" often turns out not even to have been worth the gains for the liars themselves.

JUSTIFICATION?
The two simplest approaches to paternalistic lying, then, have to be ruled out. It is not all right to lie to people just because they are children, or unable to judge what one says, or indeed because they belong to any category of persons at all. And the simple conviction voiced by Luther and so many others that the "helpful lie" is excused by its own altruism is much too uncritical. It allows far too many lies to go unquestioned. Both of these views fail to take into consideration the harm that comes from lying, not only to the deceived but to the liars and to the bonds they share.

DECEPTION AS THERAPY
A forty-six-year-old man, coming to a clinic for a routine physical check-up needed for insurance purposes, is diagnosed as having a form of cancer likely to cause him to die within six months. No known cure exists for it. Chemotherapy may prolong life by a few extra months, but will have side effects the physician does not think warranted in this case. In addition, he believes that such therapy should be reserved for patients with a chance for recovery or remission. The patient has no symptoms giving him any reason to believe that he is not perfectly healthy. He expects to take a short vacation in a week.

For the physician, there are now several choices involving truthfulness. Ought he to tell the patient what he has learned, or conceal it? If asked, should he deny it? If he decides to reveal the diagnosis, should he delay doing so until after the patient returns from his vacation? Finally, even if he does reveal the serious nature of the diagnosis, should he mention the possibility of chemotherapy and his reasons for not recommending it in this case? Or should he encourage every last effort to postpone death?

In this particular case, the physician chose to inform the patient of his diagnosis right away. He did not, however, mention the possibility of chemotherapy. A medical student working under him disagreed; several nurses also thought that the patient should have been informed of this possibility. They tried, unsuccessfully, to persuade the physician that this was the patient's right. When persuasion had failed, the student elected to disobey the doctor by informing the patient of the alternative of chemotherapy. After consultation with family members, the patient chose to ask for the treatment.

Doctors confront such choices often and urgently. What they reveal, hold back, or distort will matter profoundly to their patients. Doctors stress with corresponding vehemence their reasons for the distortion or concealment: not to confuse a sick person needlessly, or cause what may well be unnecessary pain or discomfort, as in the case of the cancer patient; not to leave a patient without hope, as in those many cases where the dying are not told the truth about their condition; or to improve the chances of cure, as where unwarranted optimism is expressed about some form of therapy. Doctors use information as part of the therapeutic regimen; it is given out in amounts, in admixtures, and according to timing believed best for patients. Accuracy, by comparison, matters far less.

Lying to patients has, therefore, seemed an especially excusable act. Some would argue that doctors, and only doctors, should be granted the right to manipulate the truth in ways so undesirable for politicians, lawyers, and others.1 Doctors are trained to help patients; their relationship to patients carries special obligations, and they know much more than laymen about what helps and hinders recovery and survival.

Even the most conscientious doctors, then, who hold themselves at a distance from the quacks and the purveyors of false remedies, hesitate to for- swear all lying. Lying is usually wrong, they argue, but less so than allowing the truth to harm patients. B. C. Meyer echoes this very common view:

[O]urs is a profession which traditionally has been guided by a precept that transcends the virtue of uttering truth for truth's sake, and that is, "so far as possible, do no harm."2

Truth, for Meyer, may be important, but not when it endangers the health and well-being of patients. This has seemed self-evident to many physicians in the past-so much so that we find very few mentions of veracity in the codes and oaths and writings by physicians through the centuries. This absence is all the more striking as other principles of ethics have been consistently and movingly expressed in the same documents.

The two fundamental principles of doing good and not doing harm -- of beneficence and nonmaleficence -- are the most immediately relevant to medical practitioners, and the more frequently stressed. To preserve life and good health, to ward off illness, pain, and death-these are the perennial tasks of medicine and nursing. These principles have found powerful expression at all times in the history of medicine. In the Hippocratic oath physicians promise to:

use treatment to help the sick…. but never with a view to injury and wrong-doing.3

And a Hindu oath of initiation says:

Day and night, however thou mayest be engaged, thou shalt endeavor for the relief of patients with all thy heart and soul. Thou shalt not desert or injure the patient even for the sake of thy living.4

But there is no similar stress on veracity. It is absent from virtually all oaths, codes, and prayers. The Hippocratic Oath makes no mention of truthfulness to patients about their condition, prognosis, or treatment. Other early codes and prayers are equally silent on the subject. To be sure, they often refer to the confidentiality with which doctors should treat all that patients tell them; but there is no corresponding reference to honesty toward the patient. One of the few who appealed to such a principle was Amatus Lusitanus, a Jewish physician widely known for his skill, who, persecuted, died of the plague in 1568. He published an oath which reads in part:

If I lie, may I incur the eternal wrath of God and of His angel Raphael, and may nothing in the medical art succeed for me according to my desires.5

Later codes continue to avoid the subject. Not even the Declaration of Geneva, adopted in 1948 by the World Medical Association, makes any reference to it. And the Principles of Medical Ethics of the American Medical Association 6 still leave the matter of informing patients up to the physician.

Given such freedom, a physician can decide to tell as much or as little as he wants the patient to know, so long as he breaks no law. In the case of the man mentioned at the beginning. ..some physicians might feel justified in lying for the good of the patient, others might be truthful. Some may conceal alternatives to the treatment they recommend; others not. In each case, they could appeal to the AMA Principles of Ethics. A great many would choose to be able to lie. They would claim that not only can a lie avoid harm for the patient, but that it is also hard to know whether they have been right in the first place in making their pessimistic diagnosis; a "truthful" statement could therefore turn out to hurt patients unnecessarily. The concern for curing and for supporting those who cannot be cured then runs counter to the desire to be completely open. This concern is especially strong where the prognosis is bleak; even more so when patients are so affected by their illness or their medication that they are more dependent than usual, perhaps more easily depressed or irrational.

Physicians know only too well how uncertain a diagnosis or prognosis can be. They know how hard it is to give meaningful and correct answers regarding health and illness. They also know that disclosing their own uncertainty or fears can reduce those benefits that depend upon faith in recovery. They fear, too, that revealing grave risks, no matter how unlikely it is that these will come about, may exercise the pull of the "self-fulfilling prophecy."

They dislike being the bearers of uncertain or bad news as much as anyone else. And last, but not least, sitting down to discuss an illness truthfully and sensitively may take much-needed time away from other patients.

These reasons help explain why nurses and physicians and relatives of the sick and dying prefer not to be bound by rules that might limit their ability to suppress, delay, or distort information. This is not to say that they necessarily plan to lie much of the time. They merely want to have the freedom to do so when they believe it wise. And the reluctance to see lying prohibited explains, in turn, the failure of the codes and oaths to come to grips with the problems of truth telling and lying.

But sharp conflicts are now arising. Doctors no longer work alone with patients. They have to consult with others much more than before; if they choose to lie, the choice may not be met with approval by all who take part in the care of the patient. A nurse expresses the difficulty which results as follows:

From personal experience I would say that the patients who aren't told about their terminal illness have so many verbal and mental questions unanswered that many will begin to realize that their illness is more serious than they're being told. ...

Nurses care for these patients twenty-four hours a day compared to a doctor's daily brief visit, and it is the nurse many times that the patient will relate to, once his underlying fears become overwhelming. ...This is difficult for us nurses because being in constant contact with patients we can see the events leading up to this. The patient continually asks you, "Why isn't my pain decreasing?" or "Why isn't the radiation treatment easing the pain?" ...We cannot legally give these patients an honest answer as a nurse (and I'm sure I wouldn't want to) yet the problem is still not resolved and the circle grows larger and larger with the patient alone in the middle.7

The doctor's choice to lie increasingly involves co-workers in acting a part they find neither humane nor wise. The fact that these problems have not been carefully thought through within the medical profession, nor seriously addressed in medical education, merely serves to intensify the conflicts.8 Different doctors then respond very differently to patients in exactly similar predicaments. The friction is increased by the fact that relatives often disagree even where those giving medical care to a patient are in accord on how to approach the patient. Here again, because physicians have not worked out to common satisfaction the question of whether relatives have the right to make such requests, the problems are allowed to be haphazardly resolved by each physician as he sees fit.

THE PATIENT'S PERSPECTIVE
The turmoil in the medical profession regarding truth telling is further augmented by the pressures that patients themselves now bring to bear and by empirical data coming to light. Challenges are growing to three major arguments for lying to patients: that truthfulness is impossible; that patients do not want bad news; and that truthful information harms them. ...

The second argument for deceiving patients refers specifically to giving them news of a frightening or depressing kind. It holds that patients do not, in fact, generally want such information, that they prefer not to have to face up to serious illness and death. On the basis of such a belief, most doctors in a number of surveys stated that they do not, as a rule, inform patients that they have an illness such as cancer.

When studies are made of what patients desire to know, on the other hand, a large majority say that they would like to be told of such a diagnosis.9 All these studies need updating and should be done with large numbers of patients and non-patients. But they do show that there is generally a dramatic divergence between physicians and patients on the factual question of whether patients want to know what ails them in cases of serious illness such as cancer. In most of the studies, over 80 percent of the persons asked indicated that they would want to be told.

Sometimes this discrepancy is set aside by doctors who want to retain the view that patients do not want unhappy news. In reality, they claim, the fact that patients say they want it has to be discounted. The more someone asks to know, the more he suffers from fear which will lead to the denial of the information even if it is given. Informing patients is, therefore, useless; they resist and deny having been told what they cannot assimilate. According to this view, empirical studies of what patients say they want are worthless since they do not probe deeply enough to uncover this universal resistance to the contemplation of one's own death.

This view is only partially correct. For some patients, denial is indeed well established in medical experience. A number of patients (estimated at between 15 percent and 25 percent) will give evidence of denial of having been told about their illness, even when they repeatedly ask and are repeatedly informed. And nearly everyone experiences a period of denial at some point in the course of approaching death.10 Elisabeth Kubler-Ross sees denial as resulting often from premature and abrupt information by a stranger who goes through the process quickly to "get it over with." She holds that denial functions as a buffer after unexpected shocking news, permitting individuals to collect themselves and to mobilize other defenses. She described prolonged denial in one patient as follows:

She was convinced that the X-rays were "mixed up"; she asked for reassurance that her pathology report could not possibly be back so soon and that another patient's report must have been marked with her name. When none of this could be confirmed, she quickly asked to leave the hospital, looking for another physician in the vain hope "to get a better explanation for my troubles." This patient went "shopping around" for many doctors, some of whom gave her reassuring answers, others of whom confirmed the previous suspicion. Whether confirmed or not, she reacted in the same manner; she asked for examination and reexamination.11

But to say that denial is universal flies in the face of all evidence. And to take any claim to the contrary as "symptomatic" of deeper denial leaves no room for reasoned discourse. There is no way that such universal denial can be proved true or false. To believe in it is a metaphysical belief about man's condition, not a statement about what patients do and do not want. It is true that we can never completely understand the possibility of our own death, any more than being alive in the first place. But people certainly differ in the degree to which they can approach such knowledge, take it into account in their plans, and make their peace with it.

Montaigne claimed that in order to learn both to live and to die, men have to think about death and be prepared to accept it.12 To stick one's head in the sand, or to be prevented by lies from trying to discern what is to come, hampers freedom - freedom to consider one's life as a whole, with a beginning, a duration, an end. Some may request to be deceived rather than to see their lives as thus finite; others reject the information which would require them to do so; but most say that they want to know. Their concern for knowing about their condition goes far beyond mere curiosity or the wish to make isolated personal choices in the short time left to them; their stance toward the entire life they have lived, and their ability to give it meaning and completion, are at stake.13 In lying or with- holding the facts which permit such discernment, doctors may reflect their own fears (which, according to one study,14 are much stronger than those of laymen) of facing questions about the meaning of one's life and the inevitability of death.

Beyond the fundamental deprivation that can result from deception, we are also becoming increasingly aware of all that can befall patients in the course of their illness when information is denied or distorted. Lies place them in a position where they no longer participate in choices concerning their own health, including the choice of whether to be a "patient" in the first place. A terminally ill person who is not informed that his illness is incurable and that he is near death cannot make decisions about the end of his life: about whether or not to enter a hospital, or to have surgery; where and with whom to spend his last days; how to put his affairs in order-these most personal choices cannot be made if he is kept in the dark, or given contradictory hints and clues.

It has always been especially easy to keep knowledge from terminally ill patients. They are most vulnerable, least able to take action to learn what they need to know, or to protect their autonomy. The very fact of being so ill greatly increases the likelihood of control by others. And the fear of being helpless in the face of such control is growing. At the same time, the period of dependency and slow deterioration of health and strength that people undergo has lengthened. There has been a dramatic shift toward institutionalization of the aged and those near death. (Over 80 percent of Americans now die in a hospital or other institution.)

Patients who are severely ill often suffer a further distancing and loss of control over their most basic functions. Electrical wiring, machines, intravenous administration of liquids, all create new dependency and at the same time new distance between the patient and all who come near .Curable patients are often willing to undergo such procedures; but when no cure is possible, these procedures merely intensify the sense of distance and uncertainty and can even become a substitute for comforting human acts. Yet those who suffer in this way often fear to seem troublesome by complaining. Lying to them, perhaps for the most charitable of purposes, can then cause them to slip unwittingly into subjection to new procedures, perhaps new surgery , where death is held at bay through transfusions, respirators, even resuscitation far beyond what most would wish.

Seeing relatives in such predicaments has caused a great upsurge of worrying about death and dying. At the root of this fear is not a growing terror of the moment of death, or even the instants before it. Nor is there greater fear of being dead. In contrast to the centuries of lives lived in dread of the punishments to be inflicted after death, many would now accept the view expressed by Epicurus, who died in 270 H.C.:

Death, therefore, the most awful of evils, is nothing to us, seeing that, when we are, death is not come, and, when death is come, we are not. 15

The growing fear, if it is not of the moment of dying nor of being dead, is of all that which now precedes dying for so many: the possibility of prolonged pain, the increasing weakness, the uncertainty, the loss of powers and chance of senility, the sense of being a burden. This fear is further nourished by the loss of trust in health professionals. In part, the loss of trust results from the abuses which have been exposed-the Medicaid scandals, the old-age home profiteering, the commercial exploitation of those who seek remedies for their ailments; 16 in part also because of the deceptive practices patients suspect, having seen how friends and relatives were kept in the dark; in part, finally, because of the sheer numbers of persons, often strangers, participating in the care of anyone patient. Trust which might have gone to a doctor long known to the patient goes less easily to a team of strangers, no matter how expert or well-meaning.

It is with the working out of all that informed consent17 implies and the information it presupposes that truth telling is coming to be discussed in a serious way for the first time in the health professions. Informed consent is a farce if the information provided is distorted or withheld. And even complete information regarding surgical procedures or medication is obviously useless unless the patient also knows what the condition is that these are supposed to correct.

Bills of rights for patients, similarly stressing the right to be informed, are now gaining acceptance.18 This right is not new, but the effort to implement it is. Nevertheless, even where patients are handed the most elegantly phrased Bill of Rights, their right to a truthful diagnosis and prognosis is by no means always respected.

The reason why even doctors who recognize a patient's right to have information might still not provide it brings us to the third argument against telling all patients the truth. It holds that the information given might hurt the patient and that the concern for the right to such information is therefore a threat to proper health care. A patient, these doctors argue, may wish to commit suicide after being given discouraging news, or suffer a cardiac arrest, or simply cease to struggle, and thus not grasp the small remaining chance for recovery. And even where the outlook for a patient is very good, the disclosure of a minute risk can shock some patients or cause them to reject needed protection such as a vaccination or antibiotics.

The factual basis for this argument has been challenged from two points of view. The damages associated with the disclosure of sad news or risks are rarer than physicians believe; and the benefits which result from being informed are more substantial, even measurably so. Pain is tolerated more easily, recovery from surgery is quicker, and co- operation with therapy is greatly improved. The attitude that "what you don't know won't hurt you" is proving unrealistic; it is what patients do not know but vaguely suspect that causes them corrosive worry. It is certain that no answers to this question of harm from information are the same for all patients. If we look, first, at the fear expressed by physicians that informing patients of even remote or unlikely risks connected with a drug prescription or operation might shock some and make others refuse the treatment that would have been best for them, it appears to be unfounded for the great majority of patients. Studies show that very few patients respond to being told of such risks by withdrawing their consent to the procedure and that those who do withdraw are the very ones who might well have been upset enough to sue the physician had they not been asked to consent beforehand.19 It is possible that on even rarer occasions especially susceptible persons might manifest physical deterioration from shock; some physicians have even asked whether patients who die after giving informed consent to an operation, but before it actually takes place, somehow expire because of the information given to them,2° While such questions are unanswerable in anyone case, they certainly argue in favor of caution, a real concern for the person to whom one is recounting the risks he or she will face, and sensitivity to all signs of stress.

The situation is quite different when persons who are already ill, perhaps already quite weak and discouraged, are told of a very serious prognosis. Physicians fear that such knowledge may cause the patients to commit suicide, or to be frightened or depressed to the point that their illness takes a downward turn. The fear that great numbers of patients will commit suicide appears to be unfounded.21 And if some do, is that a response so unreasonable, so much against the patient's best interest that physicians ought to make it a reason for concealment or lies? Many societies have al- lowed suicide in the past; our own has decriminalized it; and some are coming to make distinctions among the many suicides which ought to be prevented if at all possible, and those which ought to be respected.22

Another possible response to very bleak news is the triggering of physiological mechanisms which allow death to come more quickly-a form of giving up or of preparing for the inevitable, de- pending on one's outlook. Lewis Thomas, studying responses in humans and animals, holds it not unlikely that:

There is a pivotal movement at some stage in the body's reaction to injury or disease, maybe in aging as well, when the organism concedes that it is finished and the time for dying is at hand, and at this moment the events that lead to death are launched, as a coordinated mechanism. Functions are then shut off, in sequence, irreversibly, and, while this is going on, a neural mechanism, held ready for this occasion, is switched on.23

Such a response may be appropriate, in which case it makes the moments of dying as peaceful as those who have died and been resuscitated so often testify. But it may also be brought on inappropriately, when the organism could have lived on, perhaps even induced malevolently, by external acts intended to kill. Thomas speculates that some of the deaths resulting from "hexing" are due to such responses. Levi-Strauss describes deaths from exorcism and the casting of spells in ways which suggest that the same process may then be brought on by the community.24

It is not inconceivable that unhappy news abruptly conveyed, or a great shock given to someone unable to tolerate it, could also bring on such a "dying response," quite unintended by the speaker. There is every reason to be cautious and to try to know ahead of time how susceptible a patient might be to the accidental triggering-however rare--of such a response. One has to assume, however, that most of those who have survived long enough to be in a situation where their informed consent is asked have a very robust resistance to such accidental triggering of processes leading to death. When, on the other hand, one considers those who are already near death, the "dying response" may be much less inappropriate, much less accidental, much less unreasonable. In most societies, long before the advent of modem medicine, human beings have made themselves ready for death once they felt its approach. Philippe Aries describes how many in the Middle Ages prepared themselves for death when they "felt the end approach." They awaited death lying down, surrounded by friends and relatives. They recollected all they had lived through and done, pardoning all who stood near their deathbed, calling on God to bless them, and finally praying. "After the final prayer all that remained was to wait for death, and there was no reason for death to tarry."25

Modem medicine, in its valiant efforts to defeat disease and to save lives, may be dislocating the conscious as well as the purely organic responses allowing death to come when it is inevitable, thus denying those who are dying the benefits of the traditional approach to death. In lying to them, and in pressing medical efforts to cure them long past the point of possible recovery, physicians may thus rob individuals of an autonomy few would choose to give up.

Sometimes, then, the "dying response" is a natural organic reaction at the time when the body has no further defense. Sometimes it is inappropriately brought on by news too shocking or given in too abrupt a manner. We need to learn a great deal more about this last category, no matter how small. But there is no evidence that patients in general will be debilitated by truthful information about their condition.

Apart from possible harm from information, we are coming to learn much more about the benefits it can bring patients. People follow instructions more carefully if they know what their disease is and why they are asked to take medication; any benefits from those procedures are therefore much more likely to come about.26 Similarly, people recover faster from surgery and tolerate pain with less medication if they understand what ails them and what can be done for them.27

DEONTOLOGY

SOME OF THE MAIN KINDS OF DEONTOLOGY
ROSS'S SYSTEM OF PRIMA FACIE DUTIES (RD):

KANT'S IMPERATIVES

  • The Formula of Universal (Moral) Law
  • The Formula of Respect

RIGHTS GROUNDED THEORIES (RR)

  • Negative right
  • Positive rights

ROSS'S SYSTEM OF PRIMA FACIE DUTIES (RD)

An action, A, is morally right if and only if (iff) no alternative to this action is a more stringent prima facie duty.
"I suggest ‘prima facie duty' or ‘conditional duty' as a brief way of referring to the characteristic... which an act has, in virtue of being of a certain kind (e.g., the keeping of a promise)... Whether an act is a duty proper or an actual duty depends on all morally significant kinds it is an instance of" (Ross: The Right and the Good, pp. 19-20).

THE MAIN KINDS OF PRIMA FACIE DUTIES

  1. Fidelity
  2. Reparation
  3. Gratitude
  4. Justice
  5. Beneficence
  6. Self-improvement
  7. Non-maleficence

KANT'S IMPERATIVE(S) -- FORMULA OF UNIVERSAL (MORAL) LAW

Kant believes that actions are not merely bodily movement -- to use an example, blinking is not the same thing as winking. What distinguishes actions from mere bodily movement is their intentionality. When we act, we think of what we do in general terms. For example, right now

  • I write
  • I telling the truth
  • I am teaching students

Kant thinks that, when we evaluate whether action is right or wrong, we may have in mind one of two things.

  • (A) We may wonder whether or not the action is an efficient way to achieve a certain goal.
  • (B) We may wonder whether the action is good (or right) even when taken in itself.

As he observes:

"The hypothetical imperative, therefore, says only that the action is good to some purpose, possible or actual. In the former case it is a problematical, in the latter an assertorical, practical principle. The categorical imperative, which declares the action to be of itself objectively necessary without making any reference to a purpose, i.e., without having any other end, holds as an apodictical (practical) principle.... " (Immanuel Kant, "The Categorical Imperative")

Thus, Kant distinguishes two kinds of imperatives:

  • Hypothetical Imperatives link actions with a desirable goal.
  • Categorical Imperative asserts that some actions are absolutely and unconditionally necessary. (We might say that Kant idea is that we can determine that some action is morally desirable (or right), when we consider what kind of action it is

Kant asserts that there is only one categorical imperative, and that all moral duties can be inferred from this imperative:

"if I think of a categorical imperative, I know immediately what it contains. For since the imperative contains besides the law only the necessity of the maxim of acting in accordance with this law. while the law contains no condition to which it is restricted, there is nothing remaining in it except the universality of law as such to which the maxim of the action should conform; and in effect this conformity alone is represented as necessary by the imperative.
There is, therefore, only one categorical imperative. It is: Act only according to that maxim by which you can at the same time will that it should become a universal law. " (Immanuel Kant, "The Categorical Imperative")

Let us state Kant's idea in the form:

(KI1) An act is morally right if and only if this act is based on a maxim (or a subjective principle of will) that may become universal (moral) law (that you may rationally will to become such a law).

To see how this principle is supposed to work, think that maxims are subjective rules that actually motivate a person. Generalized maxims are principles that we achieve by eliminating all references to individuals. Here are some examples:

MAXIMS ("subjective" rules)
GENERALIZATIONS (objective rules)

I will lie when I'm tempted to lie.

Everyone will lie when one is tempted to lie.

I will keep change when I can get away with this.

Everyone will keep change when one can do this.

I will break my word when it's beneficial for me.

One will break one's word when it's beneficial for her.

Imagine now that someone considers a certain action. This person must consider his or her maxim. Then she needs to consider a generalized form of this maxim. Finally, she has to determine this generalized maxim can becomes a moral rule in a society. That is, she or he must consider what would happen when everyone acted on the same maxim. Can we rationally will (want) that everyone follows the same rule?

  • If YES ===> his or her action (based on this maxim) is morally right.
  • If NO ===> his or her action (based on this maxim) is morally wrong.

Consider Kant's example #2: "Another man finds himself forced by need to borrow money. He well knows that he will not be able to repay it, but he also sees that nothing will be loaned him if he does not firmly promise to repay it at a certain time. He desires to make such a promise, but he has enough conscience to ask himself whether it is not improper and opposed to duty to relieve his distress in such a way. Now, assuming he does decide to do so, the maxim of his action would be as follows: When I believe myself to be in need of money, I will borrow money and promise to repay it, although I know I shall never do so. Now this principle of self-love or of his own benefit may very well be compatible with his whole future welfare, but the question is whether it is right. He changes the pretension of self-love into a universal law and then puts the question: How would it be if my maxim became a universal law? He immediately sees that it could never hold as a universal law of nature and be consistent with itself; rather it must necessarily contradict itself. For the universality of a law which says that anyone who believes himself to be in need could promise what he pleased with the intention of not fulfilling it would make the promise itself and the end to be accomplished by it impossible; no one would believe what was promised to him but would only laugh at any such assertion as vain pretense."

A person in Kant's example acts on the following maxim:

(Max) When I believe myself to be in need of money, I will borrow money and promise to repay it, although I know I shall never do so.

The generalization of this maxim goes as follows:

(GenMax) Anyone who believes himself to be in need could promise what he pleased with the intention of not fulfilling.

Kant now asks whether (GenMax) can become the universal moral law for a society. He thinks that it cannot. For, if (GenMax) were adopted, no one would believe any promising. So, no one could borrow money by making a false promise.

PROBLEMS FOR KANT
MAXIMS ("subjective" rules)
GENERALIZATIONS (objective rules)

I will never be the first to arrive at a party.

No one ever be the first to arrive at a party.

I will never be the last to leave a party

No one ever be the last to leave a party.

Actions based on these maxims are morally innocent (permissible). But I cannot rationally will that the generalized maxims become moral rules. So, (K1) implies that my actions are wrong.

KANT'S SECOND IMPERATIVE -- THE FORMULA OF RESPECT

Kant asserts also what follows: "...man and, in general, every rational being exists as an end in himself and not merely as a means to be arbitrarily used by this or that will. In all his actions, whether they are directed to himself or to other rational beings, he must always be regarded at the same time as an end . . .
The ground of this principle is: rational nature exists as an end in itself. Man necessarily thinks of his own existence in this way; thus far it is a subjective principle of human actions. Also every other rational being thinks of his existence by means of the same rational ground which holds also for myself, thus it is at the same time an objective principle from which, as a supreme practical ground, it must be possible to derive all laws of the will. The practical imperative, therefore, is the following: Act so that you treat humanity, whether in your own person or in that of another, always as an end and never as a means only. " (Immanuel Kant, "The Categorical Imperative")

We can extract from this passage the second formulation of categorical imperative:

(KI2) An act is morally right iff the agent does not treat anyone (any person) merely as a means but also as an end in itself.

Important things to remember

  • Treating someone as a means is not the same thing as treating someone merely as a means.
  • Kant is not very clear what it means to treat someone merely as a means (as opposed to, as a means and also as an end in itself).

    A "HARM" INTERPRETATION OF KANTIAN ETHICS

    • X treats Y merely as a means if X harms (or hurts) Y.
      X does not treat Y merely as a means if X benefits Y (or at least does not harm/hurt) Y

      A PROBLEM: Sometimes we harm a well informed volunteer. In such a case, our action is not wrong (as this interpretation implies).

    A "RESPECT FOR AUTONOMY" INTERPRETATION OF KANTIAN ETHICS

    • X treats Y merely as a means if X does not respect autonomy of Y.
      X does not treat Y merely as a means if X respects autonomy of Y.

    SOME PROBLEMS RELATED TO RESPECT FOR AUTONOMY
    In general, we respect one's autonomy if we act in accordance with his or her evaluations.

    AN "EXPLICIT CONSENT" INTERPRETATION OF RESPECT FOR AUTONOMY

    • X treats Y merely as a means if Y does/did not explicitly consent to this treatment.
      X does not treat Y merely as a means if Y explicitly consents to this treatment.
      • A PROBLEM: We do not consent to some forms of "emergency" treatment; they do not require any explicit consent.
      • A FURTHER PROBLEM: Sometimes we do have an explicit consent and yet the action is wrong (the consent is not rational).

    AN "INFORMED CONSENT" OF KANTIAN ETHICS

    X treats Y merely as a means iff Y does not give rational and informed consent to this treatment.

    AN INFORMED CONSENT:
    Consent given after full disclosure of risks, benefits, and alternative treatments to any proposed procedure; such consent would be autonomous.

    AN "INFORMED HYPOTHETICAL CONSENT" INTERPRETATION OF AUTONOMY

    X treats Y merely as a means if Y would not rationally consent to this treatment, if Y were well informed.

    X does not treat Y merely as a means if Y would rationally consents to this treatment, if Y were well informed.

    TWO LEVEL VIEW

    • Clear cut cases: we base the decisions on informed hypothetical consent
    • Hard cases: when it is not clear whether Y would consent or not (e.g., Y can be seriously harmed, there are serious risks involved, etc)…
      we require that Y gives an explicit and rational consent to some treatment or else Y is treated merely as a means

    SOME PROBLEMS

    • Would a burglar to our calling police (see Gert, "Morality vs. Slogans")?
    • Would a criminal not consent to being sent to jail? Would an enemy consent to being spied upon?

RIGHTS GROUNDED THEORIES (RR)

An act is morally right if and only if the act does not violate any rights.

There is a difference between negative and positive rights.

X is a negative right iff X is a right not to be interfered with.
X is a positive right iff X is a right to receive some benefits.
Negative rights are correlated with negative obligations or duties.
Positive rights are correlated with positive obligations or duties.

OBJECTIONS TO UTILITARIANISM

OBJECTION TO HEDONISM (ASSUMED BY CLASSIC UTILITARIANS):

In addition to pleasure, there are other intrinsically valuable things.

Notice that this is not an objection to utilitarianism, or consequentialism, in general. This objection questions only a theory of intrinsic value assumed by some utilitarians.

THE JUSTICE OBJECTION TO UTILITARIANISM
The central idea of this objection is that utilitarianism and justice are incompatible.

An Assumption: Some acts have the following features:
  1. there are gravely unjust, e.g. they violate human rights, go contrary to our duties, etc. (===> hence, they are morally wrong)
  2. yet, these gravely unjust acts maximize utility (===> hence, they are right by utilitarian standards)

An Argument against Utilitarianism:

  1. If utilitarianism is true, then gravely unjust acts are morally right.
  2. Gravely unjust acts are not right; they are morally wrong.
  3. Therefore, utilitarianism is false. [from (1) and (2)]

Possible replies:

  • Hidden alternatives.
  • Hidden utilities (unforeseen consequences, long run consequences)
  • Different Value theory.

UTILITARIANISM AND SUPEREROGATORY ACTS

The central idea of this objection is that utilitarianism is incompatible with there being any supererogatory acts.

1) If classical utilitarianism is true, then we always ought to do our best; nothing less than the best is ever permissible.
2) Sometimes we are not require to do our best; supererogatory acts are possible.
Therefore, 3) classical utilitarianism is false. [from (1) and (2)]

UTILITARIAN EVALUATION OF ACTS

The factors that must be taken into account in a thorough utilitarian evaluation of the moral status (rightness/wrongness) of an action
  • A) the short-term consequences of the action
  • B) the long term consequences of the action
  • C) the positive utility produces by the action
  • D) the negative utility produced by the action
  • E) the utility produced for everyone affected by this action
  • F) how the utility the act produces compares to the utility produced by alternative actions

RULE UTILITARIANISM (INDIRECT UTILITARIANISM)

Step 1: Chose the best system of moral rules; this is the system that is the most beneficial (in a long run) for the society to adopt.
That is, chose the system of rules that, as a whole, maximizes utility

Step 2: Evaluate the actions in accordance with the system so chosen
That is, an action is right if it is in accordance with the system so chosen

The main idea, we ought to act in accordance with the rules even if and when, breaking a rule may maximize utility.



CONSEQUENTIALISM

CONSEQUENTIALISM

CONSEQUENTIALISM (IN GENERAL) vs. DEONTOLOGY
  • CONSEQUENTIALISM: The moral status of a given action (i.e. whether this act is right or wrong, obligatory or forbidden, etc.) depends solely on the consequences of this action.
  • DEONTOLOGY: The moral status of a given action depends solely on something other than the consequences of this action.

CLASSICAL UTILITARIANISM

MILL: "The creed which accepts as the foundation of morals, Utility, or the Greatest Happiness Principle, holds that actions are right in proportion as they tend to promote happiness, wrong as they tend to produce the reverse of happiness. By happiness is intended pleasure, and the absence of pain; by unhappiness, pain, and the privation of pleasure. To give a clear view of the moral standard set up by the theory, much more requires to be said; in particular, what things it includes in the ideas of pain and pleasure; and to what extent this is left an open question. But these supplementary explanations do not affect the theory of life on which this theory of morality is grounded-namely, that pleasure, and freedom from pain, are the only things desirable as ends; and that all desirable things (which are as numerous in the utilitarian as in any other scheme) are desirable either for the pleasure inherent in themselves, or as means to the promotion of pleasure and the prevention of pain." (J.S. Mill in Utilitarianism)
UTILITARIANISM (U): An act, A, is morally right if and only if A maximizes social utility (i.e. the utility of all) (there must be no alternative the agent can do that has higher utility).

THE VALUE THEORY ASSUMED BY CLASSIC UTILITARIANS:

Mill: "Now, such a theory of life excites in many minds, and among them in some of the most estimable in feeling and purpose, inveterate dislike. To suppose that life has (as they express it) no higher end than pleasure-no better and nobler object of desire and pursuit-they designate as utterly mean and grovelling; as a doctrine worthy only of swine, to whom the followers of Epicurus were, at a very early period, contemptuously likened; and modern holders of the doctrine are occasionally made the subject of equally polite comparisons by its German, French, and English assailants.

When thus attacked, the Epicureans have always answered, that it is not they, but their accusers, who represent human nature in a degrading light; since the accusation supposes human beings to be capable of no pleasures except those of which swine are capable. If this supposition were true, the charge could not be gainsaid, but would then be no longer an imputation; for if the sources of pleasure were precisely the same to human beings and to swine, the rule of life which is good enough for the one would be good enough for the other. The comparison of the Epicurean life to that of beasts is felt as degrading, precisely because a beast's pleasures do not satisfy a human being's conceptions of happiness. Human beings have faculties more elevated than the animal appetites, and when once made conscious of them, do not regard anything as happiness which does not include their gratification. I do not, indeed, consider the Epicureans to have been by any means faultless in drawing out their scheme of consequences from the utilitarian principle. To do this in any sufficient manner, many Stoic, as well as Christian elements require to be included. But there is no known Epicurean theory of life which does not assign to the pleasures of the intellect, of the feelings and imagination, and of the moral sentiments, a much higher value as pleasures than to those of mere sensation. It must be admitted, however, that utilitarian writers in general have placed the superiority of mental over bodily pleasures chiefly in the greater permanency, safety, uncostliness, & c., of the former, that is, in their circumstantial advantages rather than in their intrinsic nature. And on all these points utilitarians have fully proved their case; but they might have taken the other, and, as it may be called, higher ground, with entire consistency. It is quite compatible with the principle of utility to recognize the fact, that some kinds of pleasure are more desirable and more valuable than others. It would be absurd that while, in estimating all other things, quality is considered as well as quantity, the estimation of pleasures should be supposed to depend on quantity alone. "

  • Quantitative hedonism (Bentham): Only the amount of pleasure matters.
  • Qualitative hedonism (Mill): The quality of pleasure also matters.

If we combine a general Principle of Utility with Mill's account of intrinsic value, we have:

MILL'S UTILITARIANISM (U): An act, A, is morally right if and only if A maximizes social utility; that is, A promotes at least as much of a balance of happiness (pleasure) over unhappiness (pain) as any alternative to A.

FEATURES (PROPERTIES) of CLASSICAL UTILITARIANISM

  • Universal: No one is excluded from possibly being included in utility calculations.
  • Egalitarian: Jeremy Bentham incorporate the essential component of moral equality by means of the formula, "Each to count for one and none for more than one." Henry Sidgwick (1838-1900) expressed the same idea in the following statement: "The good of any individual is of more importance, from the point of view (if I may say so) of the Universe, than the good of any other. The main idea is that everyone is weighted the same in the utility calculations. Mary's happiness, for example, does not count any more or less than anyone else's.
  • Consequential: The utility of an action is determined by its consequences. Whether the action is right or wrong depends on the utility of this action in comparison with the utility of alternatives.
  • Maximal: In each case, that action is right which maximizes utility. That is, utilitarians postulate that we always must aim at the best, nothing less is morally satisfactory.
  • Hedonic: The sole intrinsic good is pleasure. The sole intrinsic evil is pain.
  • Act-Evaluative (direct): Our utility-calculations only consider the consequences of actions (as opposed to, e.g., the utility of adopting a certain system of rules)

UTILITARIANISM MUST BE CONTRASTED WITH OTHER VERSIONS OF CONSEQUENTIALISM

Ayn Rand: "The ethics of altruism has created the image of the brute . . . in order to make men accept two inhuman tenets: (a) that any concern with one's own interests is evil, regardless of what these interests might be, and (b) that the brute's activities are in fact to one's own interest (which altruism enjoins man to renounce for the sake of his neighbors) . . .
Altruism declares that any action taken for the benefit of others is good, and any action taken for one's own benefit is evil. Thus the beneficiary of an action is the only criterion of moral value-and so long as that beneficiary is anybody other than oneself, anything goes . . . altruism permits no concept of a self-respecting.
The Objectivist ethics (of egoism) holds that the actor must always be the beneficiary of his action and that man must act for his own rational self-interest."
  • ETHICAL EGOISM (EE): An act, A, is morally right if and only if A is in the best interest of the agent (the person who performs this act).
  • RADICAL ETHICAL ALTRUISM (REA): An act, A, is morally right if and only if this act is in the best interest of people other than the agent.

Intrinsic values

VALUES
  • Instrumental: things which may be used as instruments to achieve something good/bad
  • Intrinsic: things that are good/bad even when taken in themselves (and not simply because they lead to something good or bad)

THEORIES OF INTRINSIC VALUES

  • Hedonism: Pleasure and only pleasure is intrinsically good. Pain and only pain is intrinsically bad.
    • Quantitative hedonism (Bentham): Only the amount of pleasure matters.
    • Qualitative hedonism (Mill): The quality of pleasure also matters.
  • Eudaimonism: Happiness is intrinsically good.
  • Desire satisfaction theories: What matters is the satisfaction of one's desires and wants.
  • Pluralistic theories: There are several basic evils and goods; e.g.:
    • suffering, and pleasure
    • ignorance and knowledge
    • ugliness and beauty
    • premature death and conscious life
    • the loss of one's abilities and gain of abilities
    • the loss of freedom and gain of freedom

DUTIES

  • Things (actions) one must do or must avoid doing

PERMISSIONS

  • Normal permissions: things (actions) one can do (is allowed to do)
  • Supererogations (ideals): Things (actions) that go beyond the call of duty; heroic or very difficult actions that cannot be required from everyone.

What is a Profession?


Some of you were still asking about this: what exactly are the features that (almost) all professional have that allow us to understand their obligations, prerogatives, rights, etc.


THE "BROAD" NOTIONS OF PROFESSION


A. Any paid occupation (the broadest concept)
B. Any occupation that requires some extensive training (in this sense, there are professional athletes, actors, beauticians, etc.)


TRADITIONAL PROFESSIONS (PROFESSIONS IN A "NARROW" SENSE)


A. Medicine (doctors)
B. Law (lawyers)
C. Divinity (clergy)


EMERGING PROFESSIONS


A. Nursing
B. Journalism
C. Public administration
D. Engineering
E. Other emerging professions.
Jane Clapp (Professional Ethics and Insignia, 1974) lists 170 occupations that describe themselves as professional; typical trappings include special insignia, codes of "ethics," associations organized on the professional model, etc.

SOME ACCOUNTS AND DEFINITIONS OF PROFESSIONS

BAYLES ON PROFESSIONS IN A NARROW SENSE


A. Necessary conditions (the conditions an occupation must have to count as a profession in a narrow sense):
  • It involves extensive training
  • This training includes a significant intellectual component
  • The occupation provides an important service to society

B. Common features

  • Licensing
  • Professional organization
  • Extensive autonomy


HUGHES


Professionals are strongly committed to their occupation and to other professionals (they take personal interests in their careers); to profess literarily means to take religious vows.


BARBER


Professionalism is a matter of degree
A. Essential Attributes
  • A high degree of generalized and systematic knowledge
  • Primary orientation toward community rather than toward self-interest (Similarly, according to Wade, professionals are primarily devoted to providing service and only secondarily to making money (see p. 28; n. 7).
  • A high degree of self-control (extensive autonomy)
  • A system of rewards that has a symbolic character


MILLERSON


In his book (Qualifying Associations, London: Routledge and Kegan Paul, 1964) Millerson gives a summary of existing accounts of professionalism based on a review of 21 sources (the numbers in brackets indicate how frequently a given characteristic is used in various definitions):
  1. A profession involves a skill based on theoretical knowledge. [12]
  2. Professional skills require extensive and intensive training and education. [9]
  3. The professional must demonstrate competence by passing a test. [8]
  4. The profession is organized and it is represented by an association of distinctive character. [13]
  5. Integrity is maintained by adherence to a code of conduct. [14]
  6. Professional service is altruistic. [8]
  7. The professional assumes responsibility for the affairs of others. [5]
  8. Professional service is indispensable for the public good. [2]
  9. Professionals are licensed, so their work is sanctioned by the community. [2]
  10. Professionals are independent practitioners, serving individual clients. [2]
  11. They have a fiduciary relationship toward their clients. [2]
  12. They do their best to serve their clients impartially without regard to any special relationship. [2]
  13. They are compensated by fee or fixed charge. [2]

Sunday, March 15, 2009

PL 311 students

I will be adding a few more materials for your reading pleasure and preps for exams.

The Personal Lives of Public Officials

Where is the line between a politician's personal and public life?
Can a politician be ethical in public if he or she is unethical in private?
What ethical dilemmas are raised by a politician's personal behavior?

Where is the line between a politician's personal and public life?

Everyone, including public figures, is entitled to privacy. But when a person goes into public life, he or she must understand: Certain issues that might be considered private for a private individual can become matters of reasonable public interest when that individual runs for office. Becoming a public servant means putting the public's interest ahead of your own.

What does that look like in practice? Everyone will draw the line between personal and public in a slightly different place, but generally, if a private matter affects the performance of the officeholder's duties, most people would agree that it is no longer private. So, for example, the president of the United States submits to a yearly physical, which is made public, because his or her health is of such key importance to the nation. Similarly, illnesses that affect job performance of local officials may be legitimate subjects of inquiry. Behaviors that might impede performance, like substance abuse, are matters of public interest. Financial problems, especially in a person with budgetary responsibilities, may be germane.

Because a politician represents the public, constituents will be better represented if he or she practices the virtues of honesty and trustworthiness in both personal and private life. The reputation of local officials may have an important impact on the business climate of the city or public support for local initiatives, so the personal behavior of politicians may become a legitimate area of public concern.

Can a politician be ethical in public if he or she is unethical in private?

At heart, this question is a form of a longstanding ethical debate about what is called "the unity of the virtues." To many of the ancient Greek philosophers, a person could not possess one of the cardinal virtues-prudence, temperance, courage, and justice-without possessing them all.

How, they might have asked, could a person who cannot control his or her appetites (or is intemperate) be just or prudent? According to SCU Associate Professor of Philosophy and Classics Scott LaBarge, Socrates believed that virtue was a matter of understanding, and that once a person understood good and evil, he or she would naturally be prudent, temperate, courageous, and just. Aristotle argued that virtue had this intellectual component, but also included the virtue of character-that is, habits of behavior developed by proper training.

So, LaBarge explains, Aristotle understood that it was possible, in people with insufficient training, for the passions to overrule reason; thus people might well exhibit some virtues and not others. Still, LaBarge said, Aristotle would have argued that leaders should have "true virtue, where all parts of the soul are pulling in the same direction"; that is, toward the good. Many people still hold to the unity of the virtues, making a case, for example, that a politician who cheats on his wife is not someone who can be trusted with the public's business either.

Also, in the classic tradition, they argue that one of the central tasks of the public sphere is educational-helping shape the souls of the next generation to achieve knowledge and do the right thing. In that context, a public servant must serve as an example of good conduct.

LaBarge himself has struggled with the question of whether a politician might be unethical in one area and still be a good leader. Ultimately, he has concluded,
Political office is not what it was in the ancient world. We don't have agreement about what sort of souls we should be shaping, so I don't necessarily expect a public official to be a moral exemplar. More significantly, there's been a substantial change in what sort of expertise we expect our leaders to have. For the ancients, the required expertise was moral expertise, and understanding of what sort of character we want to instill in others and how we go about doing that. But today, we expect our leaders to have entirely different sorts of expertise-economic, public policy. If you were to go out and ask people, many would probably even question the assumption that being moral could involve expertise in the first place.

What ethical dilemmas are raised by a politician's personal behavior?

Many difficult ethical dilemmas arise in the relationship between a politician's personal and public life. One is the "youthful indiscretion." If a public official took drugs many years previously, is this germane to his or her current character? Is it a fit topic for public discussion? What if the indiscretion was membership in a whites-only club? A marital infidelity? Some guidelines that may help in determining the "statute of limitations" on such indiscretions would be:

  1. Is the politician still engaging in this behavior?
  2. Has the politician been hypocritical? For example, the discovery of an affair might be more damning to a politician who has made "family values" a pillar of his or her campaign.

  3. Does his or her behavior create a conflict of interest with the duties of office?

  4. Is here any discernible effect of the behavior on the larger moral climate?

Another difficult set of issues is raised by behavior that may be perfectly moral but still may have potential deleterious impact on the politician's performance. One example is mental illness. In the 1972 election, Thomas Eagleton was running for vice president until his struggle with depression came out in the media, and he was dropped from the ticket. Is it reasonable for the public to evaluate candidates based on their mental health?

The public should also be aware of ways in which a politician may use his or her office to gain advantage in personal life. It may be as petty as the mayor who used to call 911 to get driving directions or as significant as the water and sewer commissioner who coerced sexual favors in return for free service. These acts committed "under color of office" (on the pretext the official has authority that he or she does not really have) do not really raise ethical dilemmas; they are just plain wrong.

Whistle Blowing in the Public Sector

What is the definition of whistle blowing?
What does whistle blowing have to do with ethics?
How can government encourage whistle blowing?
What ethical dilemmas does whistle blowing present?
Resources on whistle blowing

What is the definition of whistle blowing?

According to George Kerevan, “Word of the Week” columnist for The Scotsman, “The etymological origins of whistle blowing are gloriously obscure.” Yet even without knowing the term’s pedigree, we get a vivid picture from the words themselves. Kerevan suggests the obvious one—a police officer shrilling on a whistle when he or she catches a crime in progress.

Whistle blowing means calling attention to wrongdoing that is occurring within an organization. The Government Accountability Project lists four ways to blow the whistle:

  • reporting wrongdoing or a violation of the law to the proper authorities.

  • such as a supervisor, a hotline or an Inspector General

  • refusing to participate in workplace wrongdoing

  • testifying in a legal proceeding

  • leaking evidence of wrongdoing to the media

Of course, whistle blowing goes on in the private sector, where some of the most famous figures include former Enron Vice President Sherron Watkins and tobacco executive Jeffrey Wigand. But because government, by its very nature, is supposed to be open and transparent, full disclosure of unethical or illegal behavior in the public sphere is particularly important. Not all of the problems in the public sphere are, however, generated within the government organization; outside vendors, contractors, and individuals can participate in and even breed government corruption.

What does whistle blowing have to do with ethics?

A whistle blower once testified in a California court about how his boss had regularly ordered him to discard some of the company’s toxic waste into a local storm drain rather than dispose of it properly. Why, the judge wanted to know, had the man finally decided to step forward after having participated in this illegal dumping for years. “Well,” the man explained, “I was fishing with my grandson, and it suddenly occurred to me that the waste I was dumping was going to pollute the water so that he might never be able to go fishing with his grandson.”

Whistle blowing has to do with ethics because it represents a person’s understanding, at a deep level, that an action his or her organization is taking is harmful—that it interferes with people’s rights or is unfair or detracts from the common good. Whistle blowing also calls upon the virtues, especially courage, as standing up for principles can be a punishing experience. Even though laws are supposed to protect whistle blowers from retaliation, people who feel threatened by the revelations can ostracize the whistle blower, marginalizing or even forcing him or her out of public office. On the other hand, there have been occasions when the role of whistle blower has actually catapulted people into higher office and has earned the respect of constituents. (eg?)

How can government encourage whistle blowing?

In an article about whistle blowing in a business context , Lilanthi Ravishankar makes a useful distinction between external and internal whistle blowing. She argues that companies should encourage internal whistle blowing so that problems are solved within the organization before employees feel they must go outside to get action. The same is true for government bodies, which need to know about problems early—before illegal contracts must be renegotiated or aquifers have been polluted or the public’s money has been squandered or unethical behavior has become front-page news.

She makes several suggestions about how to encourage internal whistle blowing in companies. We repeat some of them here, with slight modifications for a government context:

  • Create a policy about reporting illegal or unethical practices, which should include:
    • Formal mechanisms for reporting violations, such as hotlines and mailboxesÿ
    • Clear communications about the process of voicing concerns, such as a specific chain of command, or the identification of a specific person to handle complaints
    • Clear communications about bans on retaliation
  • Get endorsement of the policy from top officials—mayor, manager, councilmembers, boards—and publicize the organization’s commitment to the process. Elected and administrative leadership must encourage ethical behavior and hold everyone within the organization to the highest standards, including the disclosure of activities that would have a negative impact on the public’s business.
  • Investigate and follow up promptly on all allegations of misconduct. Report on these investigations to the council or board.
What ethical dilemmas does whistle blowing present?

When a person encounters wrongdoing in the public sphere, his or her first step should probably be to use the organization’s internal whistle blowing mechanisms. William Black, professor of law and economics at University of Missouri-Kansas City, was himself a whistle blower when he worked as a Savings and Loan regulator in the 1980s. During a term as visiting scholar at the Ethics Center, he wrote about his experience:

Whistle blowers in the public sector often face the unique problem that their disclosure may constitute a crime. This can create an ethical dilemma when the ongoing misconduct is severe and there is no reasonable prospect that the abuse will end absent blowing the whistle….I would still recommend trying to get the responsible organs (e.g., your agency's/department's congressional oversight committees and/or inspector general) to take action first unless the threat to public safety was imminent.

All government bodies should have fairly straightforward lines of authority. For example, if a councilperson has a problem with city staff, he or she would go to the city manager. If an employee of the water district sees wrongdoing, he or she would start with a supervisor and move up the chain of command, and so forth. It’s always best to start with the mechanisms the organization has set up to deal with problems because these represent the best chance at an amicable solution.

If this process does not produce results, however, it’s not enough to say, “Well, I did my best.” If wrongdoing is not being addressed within the organization, it may be time to move outside—to the district attorney, the grand jury, or to the press.

Kirk Hanson, Ethics Center executive director, and Jerry Ceppos, former vice president/news, Knight-Ridder, have written on the ethics of leaking information to the press and suggest these considerations:

The first thing a potential leaker should ask is the status of the information itself. Is the information “classified,” “proprietary,” or otherwise “protected?” Is there a system in place which clearly considers this information restricted? If the information is clearly intended to be protected, then the leaker must meet a stiff test if he or she wants to leak it.

The second consideration is whether the potential leaker has a specific obligation, legal or ethical, to protect the information, or has the information only because another person violated his or her obligation to keep it secret. If so, then it is a much more serious matter to reveal it.

The third consideration is whether the information is about public or private matters. Information about another’s sexual orientation, about his or her private finances, or about personal phone calls has more of a claim to privacy than information about a person’s actions as a corporate executive or a government official. The difficult cases, of course, are those where the private life of individuals arguably influences their public actions.

Hanson and Ceppos also argue that potential leakers must assess the good and harm their leak may do. When lives are at stake or millions of public dollars are being misappropriated, those concerns for the public good trump the harm to personal privacy or government secrecy.

On the other hand, a leaker must determine if the conduct he or she is exposing represents actual wrongdoing or if it is simply represents a policy disagreement. Of course, much of the public’s business should be debated in public, and speaking up about disagreements on most issues is not only acceptable but also desirable. Closed-door sessions, however, are secret for a reason. Revelations about a city’s interest in a particular piece of property may boost the price of that parcel. Exposure of sensitive information about a hiring or firing decision may needlessly cause harm to an individual. As much as council or board members’ views may differ on these issues, they should remain secret if the problem does not rise to the level of misconduct.

What are gifts and bribes?

What are gifts and bribes?

Defining gifts and bribes may seem like a simple-minded activity, but, try posing the question another way, and you will see why this is an important issue in government ethics: What is the difference between a gift and a bribe? A gift is something of value given without the expectation of return; a bribe is the same thing given in the hope of influence or benefit.

Gifts and bribes can be actual items, or they can be tickets to a sporting event, travel, rounds of golf, or restaurant meals.


In this context, it is well for government officials to remember the old saying, "There's no such thing as a free lunch," or even a free pencil. While many scoff at the idea that a pencil or notepad from a developer may influence political decision making, one question needs to be answered: Why does the developer go to the trouble and expense of making these items?

To answer, we can look at analogous experience from another field. E. Haavi Morreim has studied the influence of drug company marketing on physicians' prescribing habits. Her observation: When you ask doctors whether this kind of drug marketing is effective, the answer is always the same: "It doesn't influence me at all. They're not going to buy my soul with a laser pointer." The truth is…this kind of advertising is crucial to sales. A doctor is not going to prescribe something he or she has never heard of, and it's the drug representative's job to get the products' names in front of the physicians."

Similarly, a member of the zoning commission who has been keeping a notepad from XYZ Builders next to his phone will remember the company when XYZ brings a matter before the commission. While no one is suggesting legislation that would prevent doctors or government officials from accepting inexpensive doodads, ethical politicians will recognize that any gift from someone with business before him or her is intended to exert an influence.


What do gifts and bribes have to do with ethics?

Political decisions are supposed to be made on the merits of the case, not based on whether or not the decision maker has received a lovely case of wine from one of the parties. This is a simple matter of fairness. When decision makers take gifts, even if their votes are not influenced, they give the appearance of being on the take, which undermines public confidence in government.

What ethical dilemmas do gifts and bribes present?

People do not go into government work to make a lot of money. Especially at the local level, elected officials may receive only token payment for the number of hours they put into the job. In this context, it is tempting to say that tickets to the local performing arts center or sporting arena are well-deserved perks of office. Some even argue that attending such events is part of the job and crucial to understanding the experience of citizens who use these venues.

On the other side, such gifts may well influence officials when they need to determine whether the performing arts center should expand or whether the arena can add retail outlets that local businesses oppose. Also, such gifts can create a slippery slope, with officials coming to expect VIP treatment and making local businesses feel coerced into offering it so that they can receive a fair hearing.

By the same token, it is incumbent upon businesses to comply with government regulations on gift giving. While it may be common in the private sector to acknowledge important customers with extravagant holiday gifts, this practice is disallowed in the public sphere; the gravel company that tries to reward the mayor of a city that has made a big purchase with 10 pounds of expensive chocolate simply puts the mayor in the awkward position of returning the gift.