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Unit 2 Integrating Basic Concepts

c h a p t e r

Laws and Ethics


Words to Know
administrative laws
advance directive
allocation of scarce
resources
anecdotal record
assault
battery
board of nursing
civil laws
code of ethics
code status
common law
confidentiality
criminal laws
defamation
defendant
deontology
durable power of
attorney for healthcare
duty
ethical dilemma
ethics
false imprisonment
felony

Learning Objectives
Good Samaritan laws
incident report
intentional tort
invasion of privacy
laws
liability insurance
libel
living will
malpractice
misdemeanor
negligence
nurse practice act
plaintiff
reciprocity
restraints
risk management
slander
statute of limitations
statutory laws
teleology
tort
truth telling
unintentional tort
whistle-blowing

On completion of this chapter, the reader will:

Name six types of laws.


Discuss the purpose of nurse practice acts and the role of the state board
of nursing.
Explain the difference between intentional and unintentional torts.
Describe the difference between negligence and malpractice.
Identify three reasons it is advantageous for a nurse to obtain professional liability insurance.
List five ways that a nurses professional liability can be mitigated in the
case of a lawsuit.
Define the term ethics.
Explain the purpose for a code of ethics.
Describe two types of ethical theories.
List five ethical issues common in nursing practice.

aws, ethics, client rights, and nursing duties affect


nurses throughout their careers. This chapter introduces
basic legal and ethical concepts and issues that affect the
practice of nursing.

of laws: constitutional, statutory, administrative, common, criminal, and civil (Table 3-1).

Constitutional Law

LAWS

Laws (rules of conduct established and enforced by the


government of a society) are intended to protect both the
general public and each person. There are six categories

The founders of the United States wrote the countrys


first set of formal laws within the framework of the Constitution. This document, which has endured with few
amendments, divides power among three branches of
government and establishes the process of checks and

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UNIT 2 Integrating Basic Concepts

TABLE 3.1

TYPES OF LAWS

CATEGORY

PURPOSE

EXAMPLES

Constitutional Law

Protects fundamental rights and freedoms of


U.S. citizens
Defines the duties and limitations of the
executive, legislative, and judicial branches
of government
Identifies local, state, or federal rules
necessary for the publics welfare
Develops regulations by which to carry out
the mission of a public agency

Bill of Rights, freedom of speech

Statutory Law
Administrative Law

Common Law

Interprets legal issues based on previous


court decisions in similar cases (legal
precedents)

Criminal Law

Determines the nature of criminal acts that


endanger all society
Determines the circumstances and manner in
which a person may be compensated for
being the victim of another persons action
or omission of an action

Civil Law

balances, protecting the entire nation. It also identifies


the rights and privileges to which all U.S. citizens are
entitled. Two examples of rights protected by constitutional law are free speech and privacy.

Statutory Laws
Statutory laws (laws enacted by federal, state, or local
legislatures) sometimes are identified as public acts, codes,
or ordinances. For example, the legislative branch of state
governments assumes responsibility for enacting statutes
that ensure the competence of those who provide health
care. A nurse practice act (statute that legally defines the
unique role of the nurse and differentiates it from that
of other health care practitioners, such as physicians) is
one example of a statutory law (Box 3-1). Although each
states nurse practice act is unique, all generally contain
common elements:

They define the scope of nursing practice.


They establish the limits to that practice.
They identify the titles that nurses may use, such as
licensed practical nurse (LPN), licensed vocational
nurse (LVN), or registered nurse (RN).
They authorize a board of nursing to oversee nursing practice.
They determine what constitutes grounds for disciplinary action.

Public health ordinances, tax laws, nurse


practice acts
State boards of nursing, which enact and
enforce rules as they relate to nurse
practice acts
Tarasoff vs. Board of Regents of University
of California [1976], which justifies
breaching a clients confidentiality if he or
she reveals the identity of a potential
victim of crime
Identifies the differences in first-degree and
second-degree murder, manslaughter, etc.
Dereliction of duty, negligence

Administrative Laws
Administrative laws (legal provisions through which
federal, state, and local agencies maintain self-regulation)
affect the power to manage governmental agencies. Some
administrative laws give federal and state governments
the legal authority to ensure the health and safety of their
citizens. The state board of nursing is an example of an
administrative agency that enforces administrative law.

BOX 3-1

Scope of Nursing Practice as Defined


in Sample Nurse Practice Act

The practice of nursing means the performance of services provided for purposes of nursing diagnosis and treatment of human responses to actual or
potential health problems consistent with educational preparation. Knowledge and skill are the basis for assessment, analysis, planning, intervention,
and evaluation used in the promotion and maintenance of health and nursing management of illness, injury, infirmity, restoration of optional function,
or death with dignity. Practice is based on understanding the human condition across the human lifespan and understanding the relationship of the
individual within the environment. This practice includes execution of the
medical regime including the administration of medications and treatments
prescribed by any person authorized by state law to so prescribe.
From Oklahoma Nursing Practice Act, 2001. Oklahoma Statutes, Title 59, Chapter 12,
Section 567.1 et seq. http://www.ncsbn.org/public/regulation/nursing_practice_acts.htm.

CHAPTER 3

Each states board of nursing (regulatory agency for


managing the provisions of a states nurse practice act) has
a primary responsibility to protect the public receiving
nursing care within the state. Some activities of the states
board of nursing include (1) reviewing and approving
nursing education programs in the state, (2) establishing
criteria for licensing nurses, (3) overseeing procedures for
nurse licensing examinations, (4) issuing and transferring
nursing licenses, (5) investigating allegations such as
substance abuse against nurses licensed in that state,
and (6) disciplining nurses who violate legal and ethical
standards.
The states board of nursing is responsible for suspending and revoking licenses and reviewing applications
asking for reciprocity (licensure based on evidence of
having met licensing criteria in another state). A license
in one state does not give a person a right to automatic
licensure in another. Reciprocity is important for nurses
who live in one state and work in another, those who wish
to practice in more than one state, or those who move
from one state to another. Reciprocity has been abused: in
the past, a nurse whose license had been revoked as a
punitive measure in one state could move to another and
obtain a license there. Legislation has been enacted, however, to track incompetent practitioners. Since 1989, the
names of licensed health care workers who have been disciplined by hospitals, courts, licensing boards, professional associations, insurers, and peer review committees
are submitted to a National Practitioner Data Bank, a
computerized resource sponsored by the Office of Quality
Assurance, a branch of the Department of Health and
Human Services. The information is made available to
licensing boards and health care facilities that hire nurses
throughout the nation.

Common Law
Common law (decisions based on prior cases of a similar nature) is also known as judicial law. It is based on a
principle referred to as stare decisis (let the decision
stand), in which prior outcomes serve as guidelines for
decisions in other jurisdictions dealing with comparable
circumstances. Common law refers to litigation that falls
outside the realm of constitutional, statutory, and administrative laws.

Criminal Laws
Criminal laws (penal codes that protect the safety of all
citizens from people who pose a threat to the public good)
are used to prosecute those who commit crimes. The state
represents the people when prosecuting those accused
of crimes. Crimes are either misdemeanors or felonies.

Laws and Ethics

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A misdemeanor is a minor criminal offense. An example is shoplifting. If a person is convicted of a misdemeanor, a small fine, a short period of incarceration, or
both may be levied. The fine is paid to the state.
A felony is a serious criminal offense. Examples
include murder, falsifying medical records, insurance
fraud, and stealing narcotics. Conviction is punishable
by a lengthy prison term or even execution. The state
generally prohibits felons from obtaining an occupational license, and the state will revoke such a license if
its holder is convicted of a felony.

Civil Laws
Civil laws (statutes that protect personal freedoms and
rights) apply to disputes that arise between individual citizens. Some examples include laws that protect the right
to be left alone, freedom from threats of injury, freedom
from offensive contact, and freedom from character
attacks. In civil cases, the plaintiff (person claiming
injury) brings charges against the defendant (person
charged with violating the law). The case is referred to as
a tort (litigation in which one person asserts that an
injury, which may be physical, emotional, or financial,
occurred as a consequence of another persons actions or
failure to act). A tort implies that a person breached his
or her duty to another person. A duty is an expected
action based on moral or legal obligations.
It does not take the same quality or quantity of evidence to be convicted in a civil lawsuit as in a criminal
case. If a defendant is found guilty of a tort, he or she is
required to pay the plaintiff restitution for damages.
Torts are classified as intentional or unintentional.

Intentional Torts
Intentional torts are lawsuits in which a plaintiff
charges that a defendant committed a deliberately aggressive act. Examples include assault, battery, false imprisonment, invasion of privacy, and defamation.
ASSAULT. Assault is an act in which there is a threat or

an attempt to do bodily harm. Such harm may be in the


form of physical intimidation, remarks, or gestures. The
plaintiff interprets the threat to mean that force may be
forthcoming. A nurse may be accused of assault if he or
she verbally threatens to restrain a client unnecessarily
(e.g., to curtail the use of the signal light).
BATTERY. Battery (unauthorized physical contact) can

include touching a persons body, clothing, chair, or bed.


A plaintiff can claim battery even if the contact does not
actually cause him or her physical harm. The criterion is
that the contact took place without the plaintiffs consent.

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UNIT 2 Integrating Basic Concepts

Sometimes nonconsensual physical contact can be justified. For example, health professionals can use physical
force to subdue clients with mental illness or those under
the influence of alcohol or drugs if their actions endanger
their own safety or that of others. Documentation must
show, however, that the situation required the degree of
restraint used. Excessive force is never appropriate when
less would have been effective. When recording information about such situations, nurses must describe the
behavior and the clients response when lesser forms of
restraint were used first.
To protect health care workers from being charged
with battery, adult clients are asked to sign a general permission for care and treatment at the time of admission
(Fig. 3-1) and additional written consent forms for tests,
procedures, or surgery. The physician must provide the
following information when seeking consent for specific
types of treatment:

Description of the proposed intervention


Potential benefits
Risks involved
Expected outcome
Available alternatives
Consequences if the intervention is not performed

Health care personnel obtain consent from a parent


or guardian if the client is a minor, mentally retarded,
or mentally incompetent. In an emergency, consent can
be implied. In other words, it is assumed that in lifethreatening circumstances, a client would give consent for
treatment if he or she were able to understand the risks. In
most cases, another physician must concur that the emergency procedure is essential (Marquis & Huston, 2003).
FALSE IMPRISONMENT. A plaintiff can allege false impris-

onment (interference with a persons freedom to move


about at will without legal authority to do so) if a nurse
detains a competent client from leaving the hospital or
other health care agency. If a client wants to leave without
being medically discharged, it is customary for him or her
to sign a form indicating personal responsibility for leaving against medical advice (AMA) (Fig. 3-2). If the client
refuses to sign the paper, however, health care personnel
cannot bar him or her from leaving.
Forced confinement is legal under two conditions: if
there is a judicial restraining order (e.g., a prisoner
admitted for medical care) or if there is a court-ordered
commitment (e.g., a client with mental illness who is dangerous to self or others).
Restraints are devices or chemicals that restrict
movement. They are used with the intention to subdue a
clients activity. Types of restraints include cloth limb
restraints, bedrails, chairs with locking lap trays, and sedative drugs. Unnecessary or unprescribed restraints can
lead to charges of false imprisonment, battery, or both.
The Nursing Home Reform Act of the Omnibus Budget Reconciliation Act (OBRA) passed in 1987 and imple-

mented in 1990 states that residents in nursing homes


have the right to be free of, and the facility must ensure
freedom from, any restraints imposed or psychoactive
drug administered for purposes of discipline or convenience, and not required to treat the residents medical
symptoms. This is not to say that restraints cannot be
used; rather, that they should be used as a last resort
rather than the initial intervention. Their use must be
justified and accompanied by informed consent from the
client or a responsible relative.
Before using restraints, the best legal advice is to try
alternative measures for protecting wandering clients,
reducing the potential for falls (see Chap. 18), and ensuring that clients do not jeopardize medical treatment by
pulling out feeding tubes or other therapeutic devices. If
less restrictive alternatives are unsuccessful, nurses must
obtain a medical order before each and every instance in
which they use restraints. In acute care hospitals, medical
orders for restraints are renewed every 24 hours. Once
restraints are applied, charting must indicate regular
client assessment; provisions for fluids, nourishment, and
bowel and bladder elimination; and attempts to release
the client from the restraints for a trial period. Once the
client is no longer a danger to self or others, nurses must
remove the restraints.
INVASION OF PRIVACY. Civil law protects individuals from

invasion of privacy (failure to leave people and their


property alone). Nonmedical examples include trespassing, illegal search and seizure, wiretapping, and revealing
personal information about someone, even if true. Examples of privacy violations in health care include photographing a client without consent, revealing a clients
name in a public report, or allowing an unauthorized person to observe the clients care. To ensure and protect
clients rights to privacy, medical records and information
are kept confidential. Personal names and identities are
concealed or obliterated in case studies or research. Privacy curtains are used during care, and permission is
obtained if a nursing or medical student will be present as
an observer during a procedure.
DEFAMATION. Defamation (an act in which untrue infor-

mation harms a persons reputation) is unlawful. Examples include slander (character attack uttered orally in
the presence of others) and libel (damaging statements
written and read by others). Injury is considered to occur
because the derogatory remarks attack a persons character and good name.
If a client accuses a nurse of defamation of character,
the client must prove that there was malice, misuse of
privileged information, and spoken or written untruths.
Nurses are at risk for defamation of character suits if they
make negative comments in public areas like elevators or
cafeteria, or assert opinions regarding a clients character
in the medical record. To avoid accusations of defamation, nurses must avoid making or writing negative comments about clients, physicians, or other coworkers.

CHAPTER 3

Laws and Ethics

FIGURE 3.1 Consent for treatment form. (From Timby, B. K., & Smith, N. E. [2003]. Introductory medicalsurgical nursing [8th ed.]. Philadelphia: Lippincott Williams & Wilkins, p. 34.)

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UNIT 2 Integrating Basic Concepts

FIGURE 3.2 Release form for discharging oneself against medical advice.

Unintentional Torts
Unintentional torts are situations that result in an
injury, although the person responsible did not mean to
cause harm. The two types of unintentional torts involve
allegations of negligence and malpractice.
NEGLIGENCE. Negligence (harm that results because a

person did not act reasonably) implies that a person


acted carelessly. In cases of negligence, a jury decides
whether any other prudent person would have acted differently than the defendant, given the same set of circumstances. For example, a persons car breaks down on
the highway, and the driver pulls off to the side of the
road, raises the hood, and activates the emergency flashing lights. If another vehicle strikes the disabled car and
the driver of the second car sues, the guilt or innocence
of the driver of the disabled car hinges on whether the
jury believes the drivers action was reasonable. Reasonableness is based on the jurys opinion of what constitutes
good common sense.
MALPRACTICE. Malpractice is professional negligence,

which differs from simple negligence. It holds professionals to a higher standard of accountability. Rather than
being held accountable for acting as an ordinary, reason-

able lay person, in a malpractice case the court determines


whether a nurse or other health care worker acted in a
manner comparable to that of his or her peers. The plaintiff must prove four elements to win a malpractice lawsuit:
duty, breach of duty, causation, and injury (Box 3-2).
Because the jury may be unfamiliar with the scope of
nursing practice, the plaintiff may present other resources
in court to prove breach of duty. Some examples include
the employing agencys standards for care, written policies
and procedures, care plans or clinical pathways, and the
testimony of expert witnesses (Fig. 3-3).
The best protection against malpractice lawsuits is
competent nursing. Nurses demonstrate competency by

BOX 3-2

Elements in a Malpractice Case

DutyAn obligation existed to provide care for the person who claims to
have been injured or harmed.
Breach of DutyThe nurse failed to provide appropriate care, or the care provided was given negligently; that is, in a way that conflicts with how others with
similar education would have acted given the same set of circumstances.
CausationThe professionals action, or lack of it, caused the plaintiff harm.
InjuryPhysical, psychological, or financial harm occurred.

CHAPTER 3

Stan
da
Care rdized
P
Critic lan
Path al
w
Prac ay
t
Guid ice
eline

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Laws and Ethics

Standards
of Practice
(ANA, JCAHO,
specialty
organizations)

Hospital Policy
and
Procedure
Manual

Expert
Witness

FIGURE 3.3 Data that establish standards of care.


(From Timby, B. K., & Smith, N. E. [2003]. Introductory medical-surgical nursing [8th ed.]. Philadelphia:
Lippincott Williams & Wilkins, p. 37.)

participating in continuing education programs, taking


nursing courses at colleges or universities, and becoming
certified. Defensive nursing practice also involves thorough and objective documentation (see Chap. 9).
One of the best methods for avoiding lawsuits is to
administer compassionate care. The golden rule of doing
unto others as you would have them do unto you is a good
principle to follow. Clients who perceive the nurse as
caring and concerned tend to be satisfied with their care.
The following techniques communicate a caring and compassionate attitude:

Smiling
Introducing yourself
Calling the client by the name he or she prefers
Touching the client appropriately to demonstrate
concern
Responding quickly to the call light
Telling the client how long you will be gone, if you
need to leave the unit; informing the client who will
care for him or her in your absence; alerting the
client when you return
Spending time with the client other than while performing required care

Patient's
Bill of
Rights

Previous
Court
Rulings

Being a good listener


Explaining everything so that the client can understand it

Being a good host or hostessoffering visitors


extra chairs, letting them know where they can
obtain snacks and beverages, and directing them to
the restrooms and parking areas
Accepting justifiable criticism without becoming
defensive
Saying Im sorry
Clients can sense when a nurse wants to do a good job,
rather than just get a job done. The relationship that
develops is apt to reduce the potential for a lawsuit, even
if harm occurs.

Stop, Think, and Respond BOX 3-1


A nurse warns a weak and debilitated older adult
that if she continues to get out of bed during the
night without calling for assistance, it will be necessary to apply wrist restraints. Can the nurse legally
restrain the client who may be harmed if the
behavior does not change?

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UNIT 2 Integrating Basic Concepts

PROFESSIONAL LIABILITY

All professionals, including nurses, are held responsible


and accountable for providing safe, appropriate care.
Because nurses have specialized knowledge and proximity to clients, they have a primary role in protecting clients
from preventable or reversible complications.
The number of lawsuits involving nurses is increasing.
Therefore, it is to every nurses advantage to obtain liability insurance and to become familiar with legal mechanisms, such as Good Samaritan laws and statutes of
limitations, that may prevent or relieve culpability, as well
as with strategies for providing a sound legal defense, such
as written incident reports and anecdotal records.

Liability Insurance
Liability insurance (a contract between a person or corporation and a company willing to provide legal services
and financial assistance when the policyholder is involved
in a malpractice lawsuit) is a necessity for all nurses.
Although many agencies that employ nurses have liability insurance with an umbrella clause that includes its
employees, nurses should obtain their own personal liability insurance. The advantage is that the nurse involved
in a lawsuit will have a separate attorney working on his
or her sole behalf. Because the damages sought in malpractice lawsuits are so costly, attorneys hired by health
care facilities sometimes are more committed to defending
the facility against liability and negative publicity, rather
than defending an employed nurse whom they also are
being paid to represent.
Student nurses are held accountable for their actions
during clinical practice and should also carry liability
insurance. Liability insurance is available through the
National Federation for Licensed Practical Nurses, the
National Student Nurses Association, the American
Nurses Association (ANA), and other private insurance
companies.

Reducing Liability
It is unrealistic to think that lawsuits can be avoided completely, but some avenues protect nurses and other health
care workers from being sued or provide a foundation for
a sound legal defense. Examples include Good Samaritan
laws, statutes of limitations, principles regarding assumption of risk, appropriate documentation, risk management, incident reports, and anecdotal records.

Good Samaritan Laws


Most states have enacted Good Samaritan laws, or laws
that provide legal immunity to passersby who provide
emergency first aid to victims of accidents. The legislation
is based on the Biblical story of the person who gave aid

to a beaten stranger along a roadside. The law defines an


emergency as one occurring outside a hospital, not in an
emergency department.
Although laws of this nature are helpful, no Good
Samaritan law provides absolute exemption from prosecution in the event of injury. Paramedics, ambulance
personnel, physicians, and nurses who stop to provide
assistance are still held to a higher standard of care
because they have training above and beyond that of average lay persons. In cases of gross negligence (total disregard for anothers safety), health care workers may be
charged with a criminal offense.

Statute of Limitations
Each state establishes a statute of limitations (designated time within which a person can file a lawsuit). The
length of time varies among states and generally is calculated from when the incident occurred. When the injured
party is a minor, however, the statute of limitations sometimes does not commence until the victim reaches adulthood. Once the time period expires, an injured party can
no longer sue, even if his or her claim is legitimate.

Assumption of Risk
If a client is forewarned of a potential hazard to his or her
safety and chooses to ignore the warning, the court may
hold the client responsible. For example, if a hospitalized
client objects to having the side rails up or lowers the
rails independently, the nurse or healthcare facility may
not be held fully accountable if an injury occurs. It is
essential that the nurse document that he or she warned
the client and that the client disregarded the warning.
The same recommendation applies when nurses caution
clients about ambulating only with assistance.

Documentation
A major component to limiting liability is accurate, thorough documentation. Nurses are held responsible or liable
for information that they either include or exclude in
reports and documentation. Each healthcare setting requires accurate and complete documentation. The medical record is a legal document and is used as evidence in
court. Records must be timely, objective, accurate, complete, and legible (see Chapter 9). The quality of the documentation, including neatness and spelling, can influence
a jurys decision.

Risk Management
Risk management (process of identifying and reducing
the costs of anticipated losses) is a concept originally
developed by insurance companies. Health care institutions have now adopted risk management as well. In doing
so, they employ risk managers to review all the problems
that occur in the workplace, identify common elements,
and then develop methods to reduce their risk. A primary
tool of risk management is the incident report.

CHAPTER 3

Incident Reports
An incident report is a written account of an unusual
event involving a client, employee, or visitor that has the
potential for being injurious (Fig. 3-4). It is kept separate
from the medical record. Incident reports serve two purposes: to determine how to prevent hazardous situations,
and to serve as a reference in case of future litigation.
Incident reports must include five important pieces:

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and Services, the National Federation for Licensed Practical Nurses, and the International Council of Nurses
are examples of organizations that have composed codes
of ethics. Box 3-4 is the ANAs current code of ethics.
Because of rapidly changing technology, no code of ethics
is ever specific enough to provide guidelines for each and
every dilemma that nurses may face.

Ethical Dilemmas

When the incident occurred


Where it took place
Who was involved
What happened
What actions were taken at the time

All witnesses are identified by name. Any pertinent


statements made by the injured person, before or after the
incident, are quoted. Accurate and detailed documentation often helps to prove that the nurse acted reasonably
or appropriately in the circumstances.

Anecdotal Records

An ethical dilemma (choice between two undesirable


alternatives) occurs when individual values and laws
conflict. This is especially true in relation to health care.
Occasionally, nurses find themselves in situations that
may be considered legal but are personally unethical, or
are ethical but illegal. For instance, abortion is legal, but
some believe it is unethical. Assisted suicide is illegal
(except in Oregon), but some believe it is ethical.

Ethical Theories

An anecdotal record (personal, handwritten account of


an incident) is not recorded on any official form, nor is
it filed with administrative records. The information is
retained by the nurse. The notation is safeguarded and
may be used later to refresh the nurses memory if a lawsuit develops. Anecdotal notes can be used in court on
advice of an attorney.

Malpractice Litigation
A successful outcome in a malpractice lawsuit depends on
many variables, such as the physical evidence and the
expertise of ones lawyer. The appearance, demeanor, and
conduct of the nurse defendant inside and outside the
courtroom, however, can help or damage the case. The
suggestions in Box 3-3 may be helpful if a nurse becomes
involved in malpractice litigation.

ETHICS

Laws and Ethics

The word ethics comes from the Greek word ethos,


meaning customs or modes of conduct. Ethics (moral or
philosophical principles) direct actions as being either
right or wrong. Various organizations, such as those representing nurses, have identified standards for ethical
practice, known as a code of ethics, for members within
their discipline.

Codes of Ethics
A code of ethics (a list of written statements describing
ideal behavior) serves as a model for personal conduct.
The National Association for Practical Nurse Education

Nurses generally use one of two ethical problem-solving


theories, either teleology or deontology, to guide them in
solving ethical dilemmas.

Teleologic Theory
Teleology is ethical theory based on final outcomes. It is
also known as utilitarianism, because the ultimate ethical test for any decision is based on what is best for the
most people. Stated from a different perspective, teleologists believe the end justifies the means. Therefore, the
choice that benefits many people justifies the harm that
may come to a few. A teleologist would argue that selective abortion (destroying some fetuses in a multiple pregnancy) is ethically correct because it is done to ensure
the full-term birth of the remaining healthy fetuses. In
other words, terminating the life of a fetus is justified in
some situations but may not be justified in all cases.
Teleologists analyze ethical dilemmas on a case-bycase basis. They propose that an action is not good or bad
in and of itself. Instead, the consequences determine if
the action is good or bad. The primary consideration is a
desirable outcome for those most affected.

Deontologic Theory
Deontology is ethical study based on duty or moral obligations. It proposes that the outcome is not the primary
issuerather, decisions must be based on the ultimate
morality of the act itself. In other words, certain actions
are always right or wrong regardless of extenuating circumstances. Deontologists would argue that destroying
any fetus is wrong, whether it is done to save others or not,
because killing is always immoral. Deontology proposes
that health care providers have a moral duty to maintain
and preserve life. Therefore, it is immoral for a nurse to

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UNIT 2 Integrating Basic Concepts

FIGURE 3.4 An incident report form.

CHAPTER 3

BOX 3-3

Legal Advice

1. Notify the claims agent of your professional liability insurance company.


2. Contact the National Nurses Claims Data Base through the ANA. This
confidential service provides information that supports nurses involved
in litigation.
3. Discuss the particulars of the case only with your attorney.
4. Tell your attorney everything.
5. Avoid giving public statements.
6. Reread the clients record, incident sheet, and your anecdotal notes
before testifying.
7. Ask to reread information again in court if it will help to refresh your
memory.
8. Dress conservatively, in a businesslike manner. Avoid excesses in
makeup, hairstyle, or jewelry.
9. Look directly at whomever asks a question.
10. Speak in a modulated but audible voice that the jury and others in the
court can hear easily.
11. Tell the truth.
12. Use language with which you are comfortable. Do not try to impress
the court with legal or medical terms.
13. Say as little as possible in court under cross-examination.
14. Answer the prosecuting lawyers questions with Yes or No; limit
answers to only the questions asked.
15. If you do not know or cannot remember information, say so.
16. Wait to expand on information if asked by your defense attorney.
17. Remain calm, objective, and cooperative.

BOX 3-4

Code for Nurses

1. The nurse, in all professional relationships, practices with compassion


and respect for the inherent dignity, worth and uniqueness of every individual, unrestricted by considerations of social or economic status,
personal attributes, or the nature of health problems.
2. The nurses primary commitment is to the patient, whether an individual,
family, group or community.
3. The nurse promotes, advocates for, and strives to protect the health,
safety, and rights of the patient.
4. The nurse is responsible and accountable for individual nursing practice
and determines the appropriate delegation of tasks consistent with the
nurses obligation to provide optimum patient care.
5. The nurse owes the same duties to self as to others, including the
responsibility to preserve integrity and safety, to maintain competence,
and to continue personal and professional growth.
6. The nurse participates in establishing, maintaining, and improving
healthcare environments and conditions of employment conducive to
the provision of quality health care and consistent with the values of the
profession through individual and collective action.
7. The nurse participates in the advancement of the profession through
contributions to practice, education, administration, and knowledge
development.
8. The nurse collaborates with other health professionals and the public
in promoting community, national, and international efforts to meet
health needs.
9. The profession of nursing, as represented by associations and their members, is responsible for articulating nursing values, for maintaining the
integrity of the profession and its practice, and for shaping social policy.
Reprinted with permission from American Nurses Association. (2001). Code of ethics
for nurses with interpretive statements. Washington, DC: American Nurses Publishing.

Laws and Ethics

39

assist with abortion, to assist a terminally ill person with


suicide, or to support the execution of a convicted prisoner.
Deontology also proposes that moral duty to others is
equally as important as consequences. A duty is an obligation to perform or to avoid an action to which others are
entitled. For example, deontologists believe that lying
is never acceptable because it violates the duty to tell
the truth to those who are entitled to honest information. Nurses ultimately have a professional duty to their
clients, and clients have rights to which they are entitled
(Box 3-5).

BOX 3-5

A Patients Bill of Rights

1. The patient has the right to considerate and respectful care.


2. The patient has the right to and is encouraged to obtain from physicians and other direct caregivers relevant, current, and understandable
information concerning diagnosis, treatment, and prognosis.
3. The patient has the right to make decisions about the plan of care prior
to and during the course of treatment and to refuse a recommended
treatment or plan of care to the extent permitted by law and hospital
policy and to be informed of the medical consequences of this action.
4. The patient has the right to have an advance directive (such as a living
will, health care proxy, or durable power of attorney for health care)
concerning treatment or designating a surrogate decision maker with
the expectation that the hospital will honor the intent of that directive
to the extent permitted by law and hospital policy.
5. The patient has the right to every consideration of privacy. Case discussion, consultation, examination, and treatment should be conducted so
as to protect each patients privacy.
6. The patient has the right to expect that all communications and
records pertaining to his or her care will be treated as confidential by
the hospital, except in cases such as suspected abuse and public health
hazards when reporting is permitted or required by law.
7. The patient has the right to review the records pertaining to his or her
medical care and to have the information explained or interpreted as
necessary, except when restricted by law.
8. The patient has the right to expect that, within its capacity and policies,
a hospital will make reasonable response to the request of a patient for
appropriate and medically indicated care and services. The hospital
must provide evaluation, service, and/or referral as indicated by the
urgency of the case.
9. The patient has the right to ask and be informed of the existence of
business relationships among the hospital, educational institutions,
other health care providers, or payers that may influence the patients
treatment and care.
10. The patient has the right to consent to or decline to participate in proposed research studies or human experimentation affecting care and
treatment or requiring direct patient involvement, and to have those
studies fully explained prior to consent.
11. The patient has the right to expect reasonable continuity of care when
appropriate and to be informed by physicians and other caregivers of
available and realistic patient care options when hospital care is no
longer appropriate.
12. The patient has the right to be informed of hospital policies and practices
that relate to patient care, treatment, and responsibilities. The patient has
the right to be informed of available resources for resolving disputes,
grievances, and conflicts. The patient has the right to be informed of the
hospitals charges for services and available payment methods.
1992 with permission of the American Hospital Association.

40

UNIT 2 Integrating Basic Concepts

Stop, Think, and Respond BOX 3-2


How might a teleologist and a deontologist
approach an ethical dilemma such as managing
the care of an infant with microcephaly (small
brain and severe mental retardation) who
develops a very high fever as a result of
infection?

Ethical Decision-Making
It is sometimes impossible or impractical to analyze ethical issues from a teleologic or deontologic point of view.
Most nurses do not exclusively use the principles from
one ethical theory. Rather, ethical decisions are often the
result of the nurses values. Values are a persons most
meaningful beliefs and the basis on which he or she makes
most decisions about right or wrong. Values have common
characteristics. They are:

Acquired from parental models, life experiences,

and religious tenets


Reinforced by a persons world view
Modeled in personal behavior
Consistent over time
Defended when challenged

Most nurses possess values that pertain to autonomy,


facilitating a persons right to make choices for himself or
herself without intimidation or influence; justice, being
fair to all regardless of age, gender, race, religion, or sexual orientation; fidelity, maintaining commitments to
work-related obligations and responsibilities; and veracity, being honest.
The following serve as guidelines to ethical decisionmaking:

Make sure that whatever is done is in the clients

best interest.
Preserve and support the Patients Bill of Rights.
Work cooperatively with the client and other health
practitioners.
Follow written policies, codes of ethics, and laws.
Follow your conscience.

Ethics Committees
Ethical decisions are complex, especially when they
affect the lives of clients. Because making a judgment for
another is a weighty responsibility, many health care
agencies have established ethics committees. These committees are composed of professionals and nonprofessionals representing a broad cross-section of people within the
community with varying viewpoints. Their diversity
encourages healthy debate about ethics issues. Ethics com-

mittees are best used in a policy-making capacity before


any specific dilemma occurs. Ethics committees are also
called on to offer advice, however, to protect clients best
interests and to avoid legal battles.

Common Ethical Issues


Several ethical issues recur in nursing practice. Common
examples include telling the truth, maintaining confidentiality, withholding or withdrawing medical treatment, advocating for the most ethical allocation of scarce
resources, and protecting vulnerable people from unsafe
practices or practitioners.

Truth Telling
Truth telling proposes that all clients have the right to
complete and accurate information. It implies that physicians and nurses have a duty to tell clients the truth about
matters concerning their health. Health care personnel
demonstrate respect for this right by explaining to the
client the status of his or her health problem, benefits and
risks of treatment, alternative forms of treatment, and
consequences if the treatment is not administered.
It is the physicians duty to inform clients. Conflict
occurs when the client has not been given full information, when the facts have been misrepresented, or when
the client misunderstands the information. In some cases,
physicians are reluctant to talk honestly with clients or
present the proposed treatment in a biased manner. Often
the nurse is forced to choose between remaining silent in
allegiance to the physician or providing truthful information to the client. Either action may have frustrating
consequences.

Confidentiality
Confidentiality, or safeguarding a persons health information from public disclosure, is the foundation for developing trust. Nurses must not divulge health information
to unauthorized individuals without the clients written
permission. Even giving medical information to a clients
health insurance company requires a signed release.
Consequently, nurses must use discretion when sharing information verbally so that others do not hear it
indiscriminately. Now that vast information about clients
is stored on computers, the duty to protect confidentiality
extends to safeguarding written and electronic data.

Withholding and Withdrawing Treatment


Technology often is used to prolong life at all costs, beyond
justifying its benefits. Decisions involving life and death
may in some cases continue to circumvent clients, a clear
violation of ethical principles. Completing advance directives and determining a clients code status ensures that

CHAPTER 3

a persons health care is in accordance with his or her


wishes.
ADVANCE DIRECTIVES. Legislation now makes it mandatory to discuss the issue of terminal care with clients.
Since Congress approved the Patient Self-Determination
Act in 1990, health care agencies reimbursed through
Medicare must ask clients whether they have executed
an advance directive (written statement identifying a

41

competent persons wishes concerning terminal care).


The two types of advance directives are a living will and
a durable power of attorney for healthcare.
A living will is an instructive form of an advance
directive; that is, it is a written document that identifies
a persons preferences regarding medical interventions
to useor not to usein the case of a terminal condition,
irreversible coma, or persistent vegetative state with no
hope of recovery (Fig. 3-5). Clients must share advance

T/C

FIGURE 3.5 Living will.

Laws and Ethics

42

UNIT 2 Integrating Basic Concepts

directives with health care providers to ensure that they


are implemented. Refer to Client and Family Teaching 3-1
for information to make available to those who have or
wish to complete an advance directive.
A durable power of attorney for health care designates a proxy for making medical decisions when the
client becomes incompetent or incapacitated to such an
extent that he or she cannot make decisions independently. The person designated with power of attorney
for health care can give or withhold permission for
treatment procedures on the clients behalf in end-of-life
circumstances and also when the client is temporarily
unconscious.

3-1 Client and Family Teaching


Advance Directives
The nurse teaches the following points:
An advance directive is not required, but it is
encouraged.
A lawyer is not needed to create an advance
directive; printed forms are available from health
care agencies, organizations such as the American Association of Retired Persons, and various
Internet sites such as http://www.ama-assn.org/
publicbooklets/ livgwill.htm.
When filling out the form, indicate specific wishes
for the initiation or withdrawal of life-sustaining
medical treatments such as cardiopulmonary resuscitation, kidney dialysis, mechanical ventilation,
use of a tube for administering food and water,
obtaining comfort measures such as pain medication, and donation of organs.
Write additional instructions if something is not
addressed in the form; for example, your instructions may be different if you are pregnant.
Obtain the signatures of two witnesses, other than
your physician or spouse.
Give a copy to your physician for your medical file.
Tell family members or your lawyer that you have
an advance directive and its location.
Keep the original advance directive in a place
where it can be found easily.
Bring a copy of your advance directive whenever
you are hospitalized or admitted to a health care
facility (e.g., nursing home, extended care facility).
Change your advance directive by revoking or
adding instructions at any time; share the revised copy with those who will carry out your
instructions.
A separate or different advance directive is not
needed for each state; they are generally recognized universally within the United States.

Living will and durable power of attorney for health


care are not measures reserved for older adults; any competent adult can initiate them. They are best composed
before a health crisis develops to assist health care workers and the clients significant others in facilitating the
clients wishes. A living will and healthcare proxy can
avoid legal expenses, delays in obtaining guardianship, or
decisions made by an ethics committee or court when
there are no advance directives. Therefore, nurses should
inform all clients about their right to self-determination,
encourage them to compose advance directives, and support the decisions they make

Code Status
A clients code status refers to the manner in which
nurses and other healthcare personnel are required to
manage the care of the client at the time of cardiac or respiratory arrest. Without a written order from the physician to the contrary, the client is designated as a full code.
A full code means that all measures to resuscitate the
client are used.
After a discussion with the physician, some clients may
indicate that they do not want any resuscitative efforts,
that is, no code or do not resuscitate (DNR), or they
may select a combination of interventions that constitute
less than a full code. Some clients specify using just chemicals (drugs) to facilitate resuscitation, but refuse cardiac
defibrillation or endotracheal intubation for mechanical
ventilation. For anything less than a full code, the physician must write an order to that effect in the clients medical record.

Allocation of Scarce Resources


Allocation of scarce resources is the process of deciding how to distribute limited life-saving equipment or
procedures among several who could benefit. Such decisions are very difficult to make. In effect, those who
receive the resources will have a greater potential to live,
and those who do not will most likely die prematurely.
One decision-making strategy is to take a first come, first
served approach. Another approach is to project what
would produce the most good for the most people, even
though forecasting the future is humanly impossible.

Whistle-Blowing
Whistle-blowing (reporting incompetent or unethical
practices), as the name implies, calls attention to an unsafe
or potentially harmful situation. In most circumstances, it
occurs in the institution where the reporting person is
employed. For instance, a nurse may report another nurse
or physician who cares for clients while under the influence of alcohol or a controlled substance.
Whenever a problem is identified, the first step is to
report the situation to an immediate supervisor. If the
supervisor takes no action, the nurse faces an ethical
dilemma about what further steps to take. It may become

CHAPTER 3

necessary to go beyond the administrative hierarchy and


make public revelations.
The decision to blow the whistle involves personal
risks and may result in grave consequences such as character assassination, retribution in the form of crimes
against ones person or property, negative evaluations,
demotions, or shunning. Nevertheless, the ethical priority
is protecting clients in general and the community at large.

Critical Thinking Exercises


1. What actions might protect a nurse from being sued when a
client assigned to his or her care falls out of bed?
2. Two people need a liver transplant; only one liver is available.
If a teleologist and a deontologist were members of an ethics
committee, what information might they use to determine
which person should receive the organ?

NCLEX-STYLE REVIEW QUESTIONS

1. If a nurse suspects that a colleague is stealing narcotics


and recording their administration to assigned clients,
the first action the nurse should take is to:
1. Refer the nurse to the ethics committee.
2. Notify the local police department.
3. Share concerns with nursing peers.
4. Report suspicions to a supervisor.
2. During a preadmission assessment before surgery, it is
most appropriate for the nurse to ask a client for a copy
of his or her:
1. Birth certificate
2. Social security number
3. Advance directive
4. Proof of insurance
3. After checking the condition of a client who has fallen
out of bed, the nurses next action should be to:
1. Institute fall precautions.
2. Complete an incident report.
3. Call the nursing supervisor.
4. Notify the clients family.

References and Suggested Readings


Ahern, K., & McDonald, S. (2002). The beliefs of nurses who
were involved in a whistleblowing event. Journal of Advanced
Nursing, 38(3), 303309.
Aveyard, H. (2002). Implied consent prior to nursing care procedures. Journal of Advanced Nursing, 39(2), 201207.
Booth, S. (2002). A philosophical analysis of informed consent.
Nursing Standard, 16(39), 4346.

Laws and Ethics

43

Douglas, R., & Brown, H. N. (2002). Patients attitudes toward


advance directives. Image: Journal of Nursing Scholarship,
34(1), 6165.
Elger, B. S., & Harding, T. W. (2002). Terminally ill patients
and Jehovahs Witnesses: Teaching acceptance of patients
refusals of vital treatments. Medical Education, 36(5),
479488.
Fremgen, B. F. (2002). Medical law and ethics. Upper Saddle
River, NJ: Prentice Hall.
Johnstone, M. (2002). The changing focus of health care ethics:
Implications for health care professionals. Contemporary
Nurse, 12(3), 213224.
Kyba, F. C. (2002). Legal and ethical issues in end-of-life care.
Critical Care Nursing Clinics of North America, 14(2),
141155.
Marquis, B. L., & Huston, C. J. (2003). Leadership roles and
management functions in nursing (4th ed.). Philadelphia:
Lippincott Williams & Wilkins.
McDermott, A. (2002). Involving patients in discussions of donot-resuscitate orders. Professional Nurse, 17(8), 465468.
McDonald, S., & Ahern, K. (2002). Physical and emotional
effects of whistleblowing. Journal of Psychosocial Nursing
and Mental Health Services, 40(1), 1427, 5455.
Michael, J. E. (2002). Legal checkpoints. DNR orders: Proceed
with caution. Nursing Management, 33(6), 2223, 56.
Mohr, W. K. (2002). Op-ed. Let no harm be done. Nursing Outlook, 50(2), 4546.
OKeefe, M. E., & Crawford, K. (2002). End-of-life care: Legal
and ethical considerations. Seminars in Oncology Nursing,
18(2), 143148.
Parsons, L. C. (2002). Protecting patient rights: A nursing responsibility. Policy, Politics, & Nursing Practice, 3(3), 274278.
Russell, B. J. (2002). Health-care rationing: Critical features,
ordinary language, and meaning. Journal of Law, Medicine &
Ethics, 30(1), 6972.
Shaw, S. (2002). Legal issues surrounding consent and withdrawing and withholding treatment: A case study. Nursing
in Critical Care, 7(2), 9498.
Smith, K. V., & Godfrey, N. S. (2002). Being a good nurse and
doing the right thing: A qualitative study. Nursing Ethics:
An International Journal for Health Care Professionals, 9(3),
269278.
Weijer, C. (2002). I need a placebo like I need a hole in the
head. Journal of Law, Medicine & Ethics, 30(1), 6972.
Zimring, S. D. (2002). Multi-cultural issues in advance directives. Journal of the American Medical Directors Association,
3(2), S88S93.

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