Physician Recommendations and Patient Autonomy Finding A Balance Between Physician Power and Patient Choice

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PERSPECTIVE

Physician Recommendations and Patient Autonomy: Finding a


Balance between Physician Power and Patient Choice
Timothy E. Quill, MD, and Howard Brody, MD, PhD

Medical care in the United States has rapidly moved away mends that the patient try aggressive therapy. When
from a paternalistic approach to patients and toward an the patient continues to request a palliative ap-
emphasis on patient autonomy. At one extreme end of this
proach. Dr. Charlie struggles openly with the pa-
spectrum is the "independent choice" model of decision
making, in which physicians objectively present patients
tient about her concem that he is making this transi-
with options and odds but withhold their own experience tion prematurely. Through conversation. Dr. Charlie
and recommendations to avoid overly influencing pa- learns the rationale behind the patient's decision
tients. This model confuses the concepts of independence and assures herself that the patient is well informed.
and autonomy and assumes that the physician's exercise of She then initiates a palliative care plan.
power and influence inevitably diminishes the patient's Data from SUPPORT (Study to Understand
ability to choose freely. It sacrifices competence for con- Prognoses and Preferences for Outcomes and Risks
trol, and it discourages active persuasion when differences of Treatment [1]) suggest that the dominant mode
of opinion exist between physician and patient. This paper of decision making in acute care hospitals may still
proposes an "enhanced autonomy" model, which encour-
ages patients and physicians to actively exchange ideas,
be the paternalism evidenced by Dr. Able. However,
explicitly negotiate differences, and share power and in- recognition of the value of patient autonomy has
fluence to serve the patient's best interests. Recommenda- gained strength in the United States, and a new
tions are offered that promote an intense collaboration generation of physicians has been trained in a "pa-
between patient and physician so that patients can auton- tient-centered" approach (2). Some "patient-cen-
omously make choices that are informed by both the tered" physicians have gone beyond encouraging pa-
medical facts and the physician's experience. tients to participate in medical decisions, forcing
them to make decisions almost independently. Dr.
Ann Intern Med. i9%;125:7()3-76'y. Baker allowed the patient in the above scenario to
take full control of a critical decision, but he avoid-
From University of Rochester School of Medicine and Dentistry
and Gencsec Hospital, Rochester, New York; and Michigan ed the intense interaction that would have resulted
State University, East Lansing, Michigan. For current author if he had shared his own reservations. He tried to
addresses, see end of text. respect his patient's autonomy, but he did so at the
cost of withholding his recommendations. On the
P atients faced with serious medical decisions are
subject to being over- or under-influenced by
physicians. Imagine a patient who is admitted to an
other hand. Dr. Charlie allowed her patient to have
a central role in the final decision but only after
fully exploring the implications of that decision and
intensive care unit with a chronic, progressive illness sharing her belief that palliative eare was not the
and has a small but real chance of leaving the hos- patient's best choice. Such intense interactions be-
pital alive if he submits to invasive treatment. The tween patient and physician may allow patients to
patient feels that he has suffered enough, and he re- exercise autonomy more powerfully by making
quests supportive care only. By the luck of the draw, choices that fully integrate the physician's experi-
he has been assigned one of three hypothetical phy- ence with their own.
sicians. Dr. Able minimizes the patient's request for
supportive care, heavily emphasizes the patient's
small chance of recovery and her own strong belief
that the patient should not "give up," and convinces The Shift from Paternalism to Autonomy
the patient to continue receiving aggressive therapy.
Dr. Baker makes sure that the patient understands Twenty-five years ago, most major medical deci-
his options and the statistics associated with them sions were left exclusively in the hands of physi-^
and then accedes to the patient's request for sup- cians. They were usually made with benefieent in-
portive care without sharing his own opinion, which tent but without open discussion, much less the full
is that the patient is making a serious mistake. Dr. participation of the patient (3-6). This paternalistic
Charlie enters into an extended dialogue with the approach had some benefits. Physicians struggled to
patient, explores various alternatives, and reeom- make the best possible decisions on behalf of pa-
tients, and they spared patients and their families
© 1996 American College of Physicians 763
Table. Characteristics of Two Medical Decision Making Models

Enlianced Aulomomy Model IndL'peiideni Cho<cc Model

Knowledge afid expertise are shared between paiienls and physicians Patient's expenence and values dominate
Pdlieiii rjnd physician collabora(e Paiient has independence and control
Relalionship-( entered Palient-centered
Physinan serves as active guide Physician r,erves as passive intormei
Additive expertise (winAvm) Zero-suiTi interriction (wir!/lose)
Competence-ba5ed Control-based
Dialogue-based
Physician is personally invested in outcome Physician is deiached operative
Patient and physician have joint responsibility for patient outcome Physician abdicates responsibility to patient

from agonizing about interventions that had little thcii' power appropriately when they withhold their
chance of working. Practitioners also liad much guidance. This failure reflects a misunderstanding
more control over the way that medical technology, about the moral requirements of respecting patient
with its increasing potential to help as well as to autonomy. We ct)mpare an 'independent choice"'
harm, was used. Tn retrospect, physicians now see model of medical decision making with an ''enhanced
obvious problems with excessive paternalism: Tt can autonomy" approach (Table) and suggest ways to
be ditficuJt to determine what a patient's best inter- achieve a more effective, respectful balance between
ests are (7); inappropriate biases caused by sex, race, physician recommendations and patient choice.
and socioeconomic status can affect decision making
(8, 9); and patients can be deprived of the oppor-
tunity to make decisions that reflect the reality of Independent Choice
their conditions. However, some of the truly benef-
icent potential of medicai paternalism has been lost. According to the independent choice model, the
Tn the United States in the late 2Uth century, the physician's primary role in medical decision making
pendulum has swung away from paternalism and to- is to inform patients ahout their options and the
ward patient autonomy (TO, 11). Too often, "autono- odds of success. Patients should be free to make
mous" patients and families are asked to make cri- choices unencumbered by the contaminating influ-
tical medical decisions on the hasis of neutrally ence of the physician's experience or other social
presented statistics, as free as possible from the con- forces (19). The independent choice model i.s liter-
taminating influences of physicians. The causes of ally "patient-centered" and requires that physicians
this trend are multifactorial. The consumer move- withhold Iheir recommendations because they might
ment has taught patients to he more assertive, to bias the patient (21). The physician should objec-
question physicians' recommendations, and lo de- tively answer qtiestions but should avoid influencing
mand interventions that might otherwise be with- the patient to take one path or another, even if the
held (12, 13). Many physicians feel that giving pa- physician has strong opinions or if the patient asks
tients the full range of choices and withholding their for advice. After the patient makes the decision, the
own recommendations are safeguards against law- physician's duty is to implement the medical aspects
suits (14, 15). The probabilistic nature of medical of that decision. As evidence of the force and per-
decision making in real life is in unnerving contrast vasiveness of the independent choice model, de-
to the grand successes and simplistic solutions sug- bates rage about whether patients have Ihe right to
gested in the mass media (16, 17). The information choose futile treatment (22, 23) and contintie it
explosion within the field of medicine has left phy- indefinitely (24).
sicians and their patients uncertain about whethei"
the limitations they encounter arc inherent in med- A generation of physicians has now hecn trained
icine or arc a reflection of deficits in the physician's under the independent choice model, and this has
expertise (18, 19). Furthermore, when a bad out- created new problems as serious as those posed by
come results from a good clinical decision, the cha- medical paternalism. 1'he physician as a person,
grin that a physician feels is more emotionally pain- with values and experience, has become an imped-
ful—and the risk for heing sued is higher—if that iment to rather than a resource for decision making.
decision was recommended to the patient (16, 20). More objective treatment algorithms could better he
Many physicians have come to believe that the saf- presented by using interactive computer systems.
est course Is to withhold their recommendations and Physicians may gradually regress from refusing U)
give patients the "choice" of any treatment they express their recommendations to not valuing them
might "want." or lo not even formulating them. Too often, the
intense exchanges on medical rounds about what
We intend to show that physicians fail to use should be done have been replaced by a hiand

764 I November 1996 • Annuls of Internal Medicine • Volume 125 • Number'*


recitation of statistics. The primary intellectual ex- conscious control of either participant. Empirical
ercise is to cover all of the possibilities, the odds studies have shown that enhanced support of pa-
associated with them, and their implications for tient autonomy has been associated with better out-
treatment. The central clinical tasks are to inform comes in substance abuse treatment, weight reduc-
patients about their medical options and then to tion, and adherence to treatment regimens (29-31).
carry out patients' decisions. Patients in this situa- The physician-patient dialogue that characterizes
tion often navigate treacherous medical terrain the enhanced autonomy model includes active lis-
without adequate medical guidance. tening, honest sharing of perspectives, suspension of
judgment, and genuine concern about the patient's
best interests (33). Tn contrast, discussions typical of
Enhanced Autonomy the independent choice model are often restricted
by concern over the potential for domination and
The independent choice model reflects a limited control and therefore fail to fully explore positions
conceptualization of autonomy (25-27). Under this and perspectives. Tn these discussions, physicians
model, it is thought that an independent choice is objectively share medical information but refrain
best made with no external influence, even when from expressing their personal experiences and rec-
one's competence to make the choice is limited. ommendations, ostensibly to enhance the patient's
However, autonomous medical choices are usually power to make an independent choice. Dialogues
enhanced rather than undermined by the input and that enhance autonomy engender a difFerent dy-
support of a well-informed physician. Only after a namic between physician and patient; their primary
dialogue in which physician and patient aim to in- objective is to achieve as full an understanding of
fluence each other might the patient fully appreciate the meaning of the problem as possible. The as-
the medical possibilities (28-31). Consider, by anal- sumptions, values, and perspectives of both partici-
ogy, the decision to select medicine as a career. Few pants are fully explored. Sometimes, this process of
potential physicians made this decision by wander- mutual exploration leads to the invention of new
ing alone in the desert to avoid being influenced by solutions; at other times, the meaning of an inter-
the biases of others. Most engaged both peers and vention changes for one or both participants.
senior mentors in extended conversations, confident The enhanced autonomy model allows the physi-
that they could correct for any biases. The absence cian to support and guide the patient's decision
of valuable advice that would result if they did not making without surrendering the medical power on
engage experienced persons outweighed the danger which the patient depends. The independent choice
that the final choice would be made as a result of modei assumes that if the patient is to gain power
inappropriate influence. Tt is patronizing to imagine to make autonomous choices, the physician must
that our patients cannot make decisions in a similar correspondingly lose power. The enhanced autonomy
manner, especially when many are desperately ask- model understands that power in the physician-
ing for guidance. patient relationship is not a zero-sum quantity (34).
Enhancing patient autonomy requires that the phy- Accepting the physician's power to offer recommen-
sician engage in open dialogue, inform patients about dations—while obligating the physician to fully un-
therapeutic possibilities and their odds for success, derstand the patient's reasoning when those recom-
explore both the patient's values and their own, and mendations are rejected^enhances rather than
then ofFer recommendations that consider both sets reduces the patient's power and competence.
of values and experienecs. This model is "relation- Although the enhanced autonomy model discour-
ship-centered" (both patient and physician, and some- ages physicians from underusing their personal in-
times family members and others, are included in fluence, the potential for the abuse of physician
the decision making process) rather than exclusively power should not be minimized. A trainee, by anal-
patient-centered (32). It denies neither the potential ogy, might unconsciously select medicine as a career
imbalance of power in the relationship nor the fact to appease a dominating parent, only to find him-
that some patients might be inappropriately manip- or herself conflicted and unhappy with the choice.
ulated or coerced by an overzealous physician. Tt Similarly, a dying patient made vulnerable by dis-
assumes that an open dialogue, in which the physi- ease may agree to continue receiving aggressive life-
cian frankly admits his or her biases, is ultimately a sustaining treatment to appease a physician who
better protector of the patient's right to autono- cannot "give up." The obvious risks associated with
mous choice than artificial neutrality would be. Be- the overuse of physician power and control mirror
cause the biases of a physician will probably subtly the risks associated with their underuse. A more
infiltrate the conversation even if he or she tries nuanced balancing of risks and benefits is needed.
hard to remain neutral, it may be better to explicitly in which neither the patient nor the physician acts
label these values than to leave them outside of the in isolation from the other. Paiients want physicians
November 1996 • Annats of Internal Medicine • Volume 125 - Number 9 765
who are not afraid to use their power, but they also oLir obligation to fight for life might have driven us
want to trust them lo use that power to assist them lo question this patient's competence to refuse
through a crisis and not to control or coerce Ihem. treatment. If he had been delirious when he arrived
at the hospital, he would probably have had surgery
despite his advance directive and his physician's and
Implementing Enhanced Autonomy: family's knowledge of his wishes. Doubt could easily
Tailoring Power to the Person have been created ahout whether the advance direc-
tive covered this particular situation. On the other
An 84-year-old man presented to the emergency hand, one might appeal to Ihc autonomy-based max-
department with acute abdominal pain that was prob- im Ihal stales that all competent patients have the
ably Ihc result of a rtiptured diverticulum. When he right to refuse treatment. According to this princi-
refused k) have surgery, his primary care physician ple, the morphine drip should have been started as
and his family were summoned to convince him to si.)on as the patient's ability to make an informed
consent. They confirmed thai the paticni's refusal of decision could he confirmed. Instead of taking ei-
treatment was consistent with his long-slated and ther of these approaches, the physician struggled
deeply held beliefs. The paiient had previously com- through the issues with the patient, fully exploring
pleted an advance dircclivc, which stated that he want- his wishes until they were more comprehensible and
ed no medical Intervention other than morphine for making sure he fully appreciated what he was giving
pain no matter what the problem or situation. up. The physician actively tried to persuade the
The physician had difficulty in accepting ihc pa- patient to consent lo surgery. However, as the phy-
tient's decision because the patient's condition was sician explored the patient's .story of loneliness, his
relatively easy to treat and the patient's quality of diminished quality of life, and his fears of the fu-
life seemed to be excellent. The physician tried to ture, a more meaningful conceptualization of the
persuade the patient to accept treatmenl, promising problem began lo emerge. This potentially divisive
that the treatment could be stopped if the sulleriiig decision became part of a process during which
became too great, in addition to explaining the patient, physician, and family all felt connected.
clinical reasoning behind her recommendation for The central philosophical point of autonomy is
surgery, the physician also explored the patient's respect re)r Ihe paiient as a person (39). It is not re-
reasons for refusal. The patient spoke movingly spectful to Sparc persons from advice or counsel just
about watching his spouse and many friends die "Mn to maintain neutrality, nor is it respectful to treat
pieces'" from the gradual deterioration of Iheir hod- persons according to rigid protocols, whether for
ies and minds. He feared ending up in a nursing ^"aggressive treatment"' or "palliative care," Respecting
home, dependent on strangers, or a htiiden to his a person means taking the time to listen to Ihat per-
children. He spoke about the loneliness of outliving son's unique story and ensuring that medical deci-
his wife and most of his friends and about his sions arc integrated into the current chapler of the
limited quality of life even before this illness. He patient's biography (35-39). If a patient's decision
felt that he wouid be joining his wife in the next does not make sense in the context of his or her
life, and he was emotionally and existentially pre- unique story, physicians must explore and come to un-
pared for death. After hearing his entire stoiy. en- derstand discrepancies by asking detailed questions
suring that he understood his alternatives, and dis- and openly sharing discomfort. Although the final de-
cussing the situation with his family, the physician cisioTis belong to patients, the decisions that result
agreed to provide comfort measures only. The pa- from the intense exchange of medical information,
tient was put on a morphine drip and died quietly values, and experiences between physician and patient
and comfortably within 24 hours. arc generally more informed and autonomous than
To use medicine's power in a personalized way. arc those made simply on the basis of patient requests.
physicians must become expert not only in the sci- Patients and surrogate decision makers need their
ence of clinical medicine but also at Icai'iiing ahoul physicians" recommendations, as long as they have the
patients as tmique human beings wiih life histories freedom to accept or reject them. Because patients
and values that must be tised to guide troatnicnl ultimalcly reap the benefits and burdens of medical
(35-38). Treating a ruptured diverticulum only wiih decisions, we must end hy respecting patient auton-
morphine makes no sense from a purely medical omy unless there is a very compelling reason not to
point of view. However, given this patient's values do so. Yet to acce]it a patient's choice when it flies
and views about quality of life, an appropriately JTi Ihc lace of strong recommendations, without a
expanded notion of the "medical viewpoint" might full exploration and vigorous exchange of ideas and
concur with the conservative treatmenl plan. perspectives, can be tantamount to abandonment
One might have resolved this clinical situation by (40). This exchange between two persons who dis-
resorting to simple ethical principles. For example. agree hut who both care deeply ahout what happens
766 I November 19% • .dnnals of Internal Medicine • Volume \25
to the patient often yields better decisions than those problem, the prognosis, or the goals of treatment.
that would have been made by either the physician or Disseeting the problem into its component parts
the patient independently. Sometimes the decision and exploring eaeh aspect usually leads to a more
itself does not change, but the meaning of the de- meaningful conceptualization and the opportunity
cision to both participants is more fully appreciated. for creative problem solving.
At other times, exploration leads to a better decision, 5. Final choices belong to fully informed patients.
one that ean embrace the best of both positions. Tt is hoped that during the process of informing one
another, physician and patient wifl reach a common
understanding of the clinical dilemma, the underly-
Recommendations for Enhancing ing values, and the best course. However, if serious
Patient Autonomy disagreements persist, the final decision belongs to
the patient. Tf the chosen course violates the physi-
1. Share your medical expertise fully while listen- cian's fundamental values, he should inform the pa-
ing carefully to the patient's perspective. Medieal in- tient of that fact and perhaps help the patient find
formation should be transmitted in digestible pieces another physician. Tt is hoped that such transfers
in language the patient ean understand, and suffi- will be rare.
cient time should be allowed for questions. Physi- 6. Physicians must work to refine and express
cians must also learn about the personal meaning their own voices. We must do a better job of train-
that the decision heing made has in the context of ing medical students, residents, and praetitioners to
the patient's values and experienee. Significant dis- articulate their values and opinions in an open and
crepancies between the patient's values and experi- modulated way. Recommendations are often the be-
ences and those of the physician require eareful ginning rather than the end of an exehange that will
exploration to look for common ground. These ex- ultimately determine the course the patient chooses.
changes take time. Deciding what and how to recommend, learning
2. Recommendations must consider both elinical how to negotiate without dominating, and taking
facts and personal experience. Most patients want to the risk of sharing responsibility for the bad out-
hear their physician's perspective, but the patient's comes that can result from good decisions requires
values and experienee, as perceived by the physician, practice and improves with experience. Being direct
should be integrated into any recommendation. Tf the and honest with patients without over- or under-
physician has strong personal views about the di- influeneing them is a skill that should be developed
lemma that the patient faces, he or she shouid open- during clinical training by integrating negotiation
ly acknowledge those views and give the patient some and power sharing skills with training in medical
understanding about where they come from. Biases interviewing, clinical reasoning, and self-awareness.
and relevant experiences should not be hidden but
should be an integral, explicit part of the discussion.
3. Focus first on general goals, not technical op- Discussion
tions. Negotiating with the patient about the tech-
nical aspects of management without articulating Tf these recommendations are to work, some of
the general goals of therapy often leads to the the sociocultural factors that make it risky for phy-
"choosing" of treatments that are not in the pa- sicians to share recommendations also need to be
tient's best interests (41, 42). "Advance directive" addressed (12-20). Educational efforts directed ex-
questions, such as "Would you want to be put on a clusively toward physicians are likely to have limited
machine to clean your blood in case your kidneys effectiveness unless there is a simultaneous increase
stop working?" should be replaced by questions that in public understanding of the consequences of two
focus on overarching goals ("Tf, in the future, you trends: T) the increasing "medicalization" of our
become severely ill and lose the ability to speak for lives (T2, 13) and 2) the overuse of medical tech-
yourself, would you want medical treatments used noiogy in a futile attempt to eliminate uncertainty
to prolong life or to keep you comfortable?") (43, (45). Because these trends reflect complex socio-
44). Of course, requests by patients for more details logic phenomena, finding the middle ground be-
about the technicalities should be fully answered. tween physician recommendations and patient choice
4. Disagreements should initiate a process of mu- is not simple.
tual exchange. When the physician's recommenda- Other moral considerations may override an in-
tions and the patient's wishes differ seriously, careful dividual patient's right to autonomous choice or
exploration should determine areas of agreement as even to participation in a decision. Justice may de-
well as differences (U, 41, 42). Agreement about mand that one patient is not given what is individ-
the methods of treatment is unlikely when patient ually optimal because another patient has a greater
and physician disagree about the nature of the moral entitlement to a scarce resource. Thus, if the
1 November 1996 • Annals qf Internal Medicine • Volume 125 * Number 9 767
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A!"in In'tern

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Requests far Reprints: Timothy C Quill. MD. Dep;trtmcnt of 31. Kaplan SH, Greenfield S, Ware JE Jr. Assei,siiii.i ;lie ettccis ol physician-
Medicine, The Genesee HospiUil. 224 Alexaiuler Street. Rochcs- patiesit interactions o'l trie outcomes ol chronic disMse Med Lare 1989.
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Heaki"! P'ofessioris Education jind Relaiionship-Centered Care" Kepori of the
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34. Brody H. The Heater's Power New Haven Vale Univ Pr, 1992-12-43
35. B r o d y H . Stones ol S.i kncss N e w Haver"! Vale Univ Pr, 1 9 8 / ; l t ) l - / 0
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[>hy<;ician-cen!ered approri-dics !o interviewing Aiir; Intern Med 1991,115
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'-.liidy to understand prognoiei dnd preferences lor outcomes diiij \\;V~\ ui 39. Cassell EJ. Fhe nat-jre oi SLiiterirui rind 'he iioaK cii medicine N Fni.il I Mcfl
Iredlrncnl^ (SUPPORT) The SUPPORT PrinLipal Invobttyalors JAMA ig9^j,2 74 1932,300-639-45
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43. Brett AS. Limitations of listing specific medical mtecuentions in advance dr- 45. Quill TE, Suchman AL Uncertainty and control learning lo live with mcd-
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AD LIBITUM

Teaching CPR

First, shake the shoulders, shout Annie, Annie!


Are you OK?
The mannequins are named for a girl who drowned;
her parents
had her likeness made—blue sweats, white sneakers.
blond latex hair.
If there's no response, tip back the chin, place your cheek
near the lips.
Look for the breast to rise, li.sten for a rush of an, feel
moist breeze
against your cheek. If you don't, seal your lips around
the mouth,
lingers pinch the nose. Big breath in, and blow. It feels,
in real life,
or should 1 say real death, a.s if lungs are sponge, breath
is water.
Now, slide two fingers to feel the carotid artery.
No pulse?
Mark a point two finger-breadths from the xiphoid tip
that breaks off
easily when you eompress, that TV action shot of nurses
high astride
as .stretchers barrel down the hall, although they rarely
do it Tight.
Arms straight, you pump otie und two and three and four
until you hit
fifteen. Then, give two more breaths. It's like daneing—
bodies light,
partners so well rehearsed they glide, one deferring slightly
to the other's grace.
If you're lucky, your patients come around, more like
they eome up,
lungs frothing, eyes watery and stained by what they've seen.
They found Annie,
I was told, sodden, blue. They took her home and placed her
in the parlor....
Tonight, another class. Cilizens, coming down ihe stiiiTs,
you'll do fine!
First, are you all light, are you OK? Then, your lips
kissing hers.

Cortney Davis, MA, ANP


Redding, CT 06896

Requests for lieprint.s: Cortney l"iiivis, MA, ANP. ?O Box 678.


Redding. CT 068%.
American Colkgu uf Physic

1 November iy*J6 • Annals of Inte/nal Medicine * Volume 125 • Number') 769

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