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The Principles of Biomedical - Beauchamps
The Principles of Biomedical - Beauchamps
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Abstract: The principal subject of this chapter is the role that principles play
in the so-called four-principles approach or principlism.1 The historical and
textual background of the positions I will defend are found in Principles of
Biomedical Ethics, which I coauthored with James F. Childress and in my
recent book Standing on Principles. In the first section, I investigate the
nature and sources of principles in recent biomedical ethics and provide an
analysis of the four-principles framework. The second section is devoted to
the central role played in the four-principles account by the theory of common
morality, which is comprised not only of principles (and rules), but also of
virtues, ideals, and rights. The third section shows how universal principles
1
This term was coined by K. Danner Clouser and Bernard Gert (1990). A critique of prin-
ciplism. Journal of Medicine and Philosophy 15: 219–236. See later discussions and
formulations in Bernard Gert, C. M. Culver and K. Danner Clouser (2006). Bioethics:
A Systematic Approach. New York: Oxford University Press, chap. 4; Oliver Rauprich (2013).
Principlism, International Encyclopedia of Ethics. Wiley, online encyclopedia; John H.
Evans (2000). A sociological account of the growth of principlism, Hastings Center Report
30: 31–38; Michael Quante and Andreas Vieth (2002). Defending principlism well under-
stood. Journal of Medicine and Philosophy 27: 621–649; Carson Strong (2000). Specified
Principlism. Journal of Medicine and Philosophy 25: 285–307; and Bernard Gert, C. M.
Culver and K. Danner Clouser, Common morality versus specified principlism: Reply to
Richardson. Journal of Medicine and Philosophy 25: 308–322.
91
are fashioned into particular moralities and the circumstances under which
moral pluralism is consistent with universal morality. The fourth section
shows how general principles are made practical for particular moralities by
being made more specific, as suitable for particular circumstances. Finally,
in the fifth section, I show the relevance of principles for discussions of
human rights, multiculturalism, and cultural imperialism.
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2
National Commission for the Protection of Human Subjects of Biomedical and
Behavioral Research, The Belmont Report: Ethical Principles and Guidelines for the
Protection of Human Subjects of Research. Washington, DC: DHEW Publication. For his-
tory and commentary, see also James F. Childress, Eric M. Meslin, Harold T. Shapiro,
(eds.) (2005). Belmont Revisited: Ethical Principles for Research with Human Subjects.
Washington, DC.: Georgetown University Press.
3
Tom L. Beauchamp and James F. Childress (1979). Principles of Biomedical Ethics, 1st
edn. New York: Oxford University Press; the book is currently in the 7th edn., New York:
Oxford University Press, 2012.
moral life. If some principles were dropped from the framework, the
demands of the moral life would not be what we know those demands to
be, just as a landscape would not be the same landscape if certain rocks,
trees, or plants were removed from it. In the absence of any one basic
principle there might still be a moral life, but it would be fundamentally
different from the one familiar to us. More specific rules for health care
ethics can be formulated by reference to these general principles, but nei-
ther rules nor practical judgments can be straightforwardly deduced from
the principles.
All principles can, in some contexts, be justifiably overridden by other
moral norms with which they come into contingent conflict. For example,
we might justifiably not tell the truth in order to prevent someone from
killing another person. Principles, duties, and rights are not absolute (or
unconditional) merely because they are universally valid. No principles,
duties, or rights are absolute. Often some balance between two or more
principles must be found that requires some part of each obligation to be
discharged, but in many cases one principle simply overrides the other.
This overriding may seem precariously flexible and subjective, as if moral
guidelines lack backbone and can be magically waived away as not real
obligations. In ethics, as in law, there is no escape from an exercise of
judgment in using principles in the resolution of moral conflicts. In some
limited contexts (for example, in religious ethics and in professional eth-
ics) we may need to develop a highly structured moral system or set of
guidelines in which a certain class of rights or principles has a fixed prior-
ity over others, but no moral theory or professional code of ethics has
successfully presented a system of moral principles free of conflicts and
exceptions.
I will discuss this problem further below when addressing the prob-
lem of specification.
4
See the different conceptual analyses of autonomy and theories of autonomy in Joel
Feinberg (1986). Harm to Self, vol. 3 in The Moral Limits of the Criminal Law. Chaps. 18–19.
New York: Oxford University Press, and Sarah Buss (2008). Personal Autonomy, Stanford
Encyclopedia of Philosophy. Available online via http://plato.stanford.edu/entries/
personal-autonomy/ (retrieved on 9 August 2012).
5
Editor’s note: These two types of obligation, i.e. the negative and positive ones, are very
close to the two parallel concepts in the discourse on the higher objectives of Sharia that
preserving each of these higher objectives also has two aspects, al-ifz ̣ al-wujūdī and
al-ifz ̣ al-‘adamī. The former can be translated as the positive obligation, and the latter
can be translated as the negative obligation.
6
Ruth R. Faden and Tom L. Beauchamp (1986). A History and Theory of Informed
Consent. New York: Oxford.
(b) Nonmaleficence
The principle of nonmaleficence is the best example of a centuries-old
principle in medical ethics. This principle states that we are obligated to
abstain from causing harm to others. It has long been associated in
Hippocratic medical ethics with the injunction: “Above all [or first] do no
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harm.” The reason for the esteem — almost reverence — for this tradi-
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7
Thomas Percival (1803). Medical Ethics: Or a Code of Institutes and Precepts, Adapted
to the Professional Conduct of Physicians and Surgeons. Manchester: S. Russell:
165–166.
8
See Beauchamp and Childress (2012), 7th edn.: 154.
(c) Beneficence
No moral demand placed on physicians is more important than benefi-
cence in the care of patients. Beneficence is a foundational value —
sometimes treated as the foundational value11 — in healthcare ethics.
Many specific duties in medicine, nursing, public health, and research are
9
See, for example, Sidney Bloch and Peter Reddaway (1984). Soviet Psychiatric Abuse:
The Shadow over World Psychiatry. Boulder, Colo.: Westview Press, esp. chap. 1.
10
Beauchamp and Childress (2012), 7th edn., chap. 5.
11
Edmund Pellegrino and David Thomasma (1988). For the Patient’s Good: The
Restoration of Beneficence in Health Care. New York: Oxford University Press.
practice, research, and public health know that risks of harm presented by
interventions must often be weighed against possible benefits for patients,
subjects, and the public.
Rules of beneficence often demand more of us than the principle of
nonmaleficence because agents must act to help, not merely refrain from
harming, which is what is demanded by the principle of nonmaleficence.
Conflating nonmaleficence and beneficence into a single principle — as
some philosophers do — obscures some important distinctions. Obligations
not to harm others, such as those prohibiting disablement and killing, are
distinct from obligations to help others, for example, those prescribing the
provision of benefits and protection of interests. Professor Ali Al-Qaradaghi
says in his presentation, in objecting to the sharp distinction I make
between beneficence and nonmaleficence, that, “Actually, one can argue
that the principle of beneficence implies that of nonmaleficence and pre-
venting harm.” In principlist theory, such an implication of one principle
by another does not occur. Nonmaleficence requires not acting — that is,
abstaining from acting so as not to cause harm. Beneficence requires
acting — in particular acting to benefit others. Here it is apparent that
beneficence cannot involve nonmaleficence because they are logically
and morally different principles.
Some writers in healthcare ethics suggest that certain duties not to
injure others are always more compelling than duties to benefit them.
They point out that we do not consider it justifiable to kill a dying
patient in order to use the patient’s organs to save two others, even
though benefits would be maximized, all things considered. The obliga-
tion to not injure a patient by abandonment has been said to be stronger
than the obligation to prevent injury to a patient who has been aban-
doned by another (under the assumption that both are moral duties).
Despite the intuitive attractiveness of these claims, there is no hierarchical
donor.
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(d) Justice
A person in any society has been treated justly if treated according to what
is fair, due, or owed. For example, if equal political rights are for all citi-
zens, then justice is done when those rights are accorded. The narrower
concept of distributive justice refers to fair distribution in society of pri-
mary social goods, such as economic goods and fundamental political
rights, but burdens should also be within its scope. Paying for a national
health plan of insurance is a distributed burden; grants to do biomedical
research are distributed benefits.
A prime example of the need for principles of distributive justice is
the need to distribute healthcare and its costs fairly within societies. Some
governments, especially the United States, tend to pay for many useless
12
Peter Singer (1999). Living high and letting die. Philosophy and Phenomenological
Research 59: 183–187; Peter Singer (1993). Practical Ethics, 2nd edn. Cambridge: Cambridge
University Press; Shelly Kagan (1989). The Limits of Morality. Oxford: Clarendon Press.
13
Milton Weinstein and William B. Stason (1977). Hypertension. Cambridge, MA:
Harvard University Press. Public health rounds at the Harvard School of Public Health:
Allocating of resources to manage hypertension. New England Journal of Medicine
296: 732–739; and (1977). Allocation resources: The case of hypertension. Hastings Center
Report 7 (October): 24–29.
in the United States that gave rise to this problem. Our arguments consist-
ently attack discrimination against African-Americans.
Professor Ali Al-Qaradaghi has a similar misunderstanding. He says,
“[T]hey [Beauchamp and Childress] did not include equal treatment of all
patients in the biomedical ethics. This is an important principle that
requires equality and fair treatment without discrimination based on
wealth, race, etc.” But the claim here is the exact opposite of what we say.
We insist on equal treatment of all patients and on the fundamental impor-
tance in the biomedical ethics of the principle that requires equality and
fair treatment. In fact, we claim even more since we insist on a principle
of fair opportunity.
In reading our account of justice, it is important not to look at pas-
sages in isolation from the larger theory. Our account of justice is funda-
mentally that of the moral necessity of creating a just system of healthcare
using a suitable model of egalitarian social justice, for both national and
international systems of distribution of public health services and health-
care goods.
There is no single principle of justice in the four-principles approach
because no single moral principle is capable of addressing all problems
of justice. Childress and I have largely defended a group of principles
arising from egalitarian theory — for example, the fair opportunity prin-
ciple, which requires that social institutions affecting healthcare distribu-
tion should be arranged, as far as possible, to allow each person to
achieve a fair share of the normal range of opportunities present in that
society. The fair opportunity principle demands that individuals not
receive social benefits on the basis of undeserved advantageous properties
14
Beauchamp and Childress, Principles of Biomedical Ethics, 5th edn.: 347 as used by
Dr. Al-Bar.
level of well-being.16
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Childress and I take account of the fact that philosophers have devel-
oped diverse theories of justice that provide sometimes conflicting princi-
ples of justice. We try to show that some merit is found in egalitarian,
libertarian, utilitarian, and other theories; and we defend a mixed use of
principles drawn from these theories.17
15
The fair-opportunity principle descends from John Rawls’ principles of justice in A
Theory of Justice. Cambridge, MA: Harvard University Press: 1971; rev. ed., 1999: 60–67,
302–303 (1999: 52–58). Rawls (2001) later instructively restated, and partially reordered,
these principles, giving reasons for their revision, in Erin Kelly (ed.) Justice as Fairness:
A Restatement. Cambridge, MA: Harvard University Press: 42–43.
16
This general principle is developed in Madison Powers and Ruth Faden (2006). Social
Justice: The Moral Foundations of Public Health and Health Policy. New York: Oxford
University Press.
17
For diverse accounts of justice connected to biomedical ethics, see Norman Daniels
(2007). Just Health: Meeting Health Needs Fairly. New York: Cambridge University
Press; Madison Powers and Ruth Faden (2006). Social Justice: The Moral Foundations of
Public Health and Health Policy. New York: Oxford University Press; Amartya K. Sen
(2009). The Idea of Justice. London: Allen Lane.
18
Although there is only one universal common morality, there are various theories of the
common morality. For a diverse group of recent theories, see Alan Donagan (1977). The
Theory of Morality. Chicago: University of Chicago Press; Bernard Gert (2007). Common
Morality: Deciding What to Do. New York: Oxford University Press; Bernard Gert,
Charles M. Culver and K. Danner C̣louser (1997). Bioethics: A Return to Fundamentals,
2nd edn. New York: Oxford University Press.
norms are necessary to ameliorate or counteract the tendency for the qual-
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19
See the sources referenced in Sissela Bok (1995). Common Values. Columbia, MO:
University of Missouri Press: 13–23, 50–59 (citing influential writers on the subject).
20
G. J. Warnock (1971). The Object of Morality. London; Methuen & Co. esp. 15–26;
John Mackie (1977). Ethics: Inventing Right and Wrong. London: Penguin: 107ff.
21
For useful critical assessments of principlist views about common morality theory and
its role; see Oliver Rauprich (2008). Common morality: Comment on Beauchamp and
Childress. Theoretical Medicine and Bioethics 29: 43–71, at 68; K. A. Wallace (2009).
Common morality and moral reform. Theoretical Medicine and Bioethics 30: 55–68; and
Ronald A. Lindsay (2005). Slaves, embryos, and non-human animals: Moral status and
the limitations of common morality theory. Kennedy Institute of Ethics Journal 15
(December): 323–346.
morality: (i) Do not kill; (ii) Do not cause pain or suffering to others;
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(iii) Prevent evil or harm from occurring; (iv) Rescue persons in danger;
(v) Tell the truth; (vi) Nurture the young and dependent; (vii) Keep your
promises; (viii) Do not steal; (ix) Do not punish the innocent; and
(x) Obey the law. These norms have been justified in various ways by
various philosophical theories, but I will not treat this problem of justifi-
cation here.
22
See Martha Nussbaum’s (1988) assessment that, in Aristotelian philosophy, certain
“non-relative virtues” are objective and universal: Non-relative virtues: An Aristotelian
approach, in Peter French et al. (eds.) Ethical Theory, Character, and Virtue. Notre Dame,
Ind.: University of Notre Dame Press: 32–53, especially 33–34, 46–50.
Childress and I allocate a large segment of our analysis to the role of the
virtues in biomedical ethics.23
exceeds obligatory levels, and service to the poor are also a part of the
common morality. These aspirations are not required of persons, but
they are universally admired and praised in persons who accept and
act on them.24 Here are four examples that can be interpreted both as
ideals of virtuous character and ideals of action: (i) Exceptional forgive-
ness; (ii) Exceptional generosity; (iii) Exceptional compassion; and
(iv) Exceptional thoughtfulness.
23
When we published the first edition of Principles of Biomedical Ethics, no one in
bioethics was then publishing on virtue ethics. We thought this type of theory was an
important and unduly neglected subject needing to be brought into the field, especially
in light of the history of medical ethics, where the virtues were once prominent in various
codes and writings.
24
See Gert (2007), op. cit., 20–26, 76–77; Richard B. Brandt (1992). Morality and Its
Critics, in his Morality, Utilitarianism, and Rights. Cambridge: Cambridge University
Press: chap. 5.
25
Cf. Joel Feinberg (1980). Rights, Justice, and the Bounds of Liberty. Princeton, NJ:
Princeton University Press: esp. 139–141, 149–155, 159–160, 187; See also Alan Gewirth
(1996). The Community of Rights. Chicago: University of Chicago Press: 8–9.
least since early modern theories of rights were developed in the 17th
century.
I defend a strict version of the thesis that rights and obligations are
correlative. The correlativity thesis asserts that in all contexts of rights —
moral and legal — a system of norms imposes an obligation to act or to
refrain from acting so that relevant parties are enabled either to perform
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some action or to have some good or service provided to them. The lan-
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26
So-called imperfect obligations are moral ideals that allow for discretion in my account.
Cf. the somewhat similar conclusions in Feinberg (1980), op. cit., 138–139, 143–144,
148–149.
27
On this distinction see Bernard Gert (2002). The Definition of Morality. The Stanford
Encyclopedia of Philosophy. Available online via http://plato.stanford.edu/entries/morality-
definition/(retrieved on 11 February 2008).
28
Philippa Foot (2002). Moral Dilemmas. Oxford: Oxford University Press: 6–7. Peter
Herissone-Kelly guided me to this passage.
29
For an excellent study of how the four-principles approach can and should be used as a
practical instrument; see John-Stewart Gordon, Oliver Rauprich and Jochen Vollman
(2011). Applying the four-principle approach. Bioethics 25: 293–300, with a reply by Tom
32
Norman Daniels (1996). Wide reflective equilibrium in practice, in L.W. Sumner and
J. Boyle (eds.). Philosophical Perspectives on Bioethics. Toronto: University of Toronto
Press: 96–114; John D. Arras (2007). The way we reason now: Reflective equilibrium in
bioethics, in Bonnie Steinbock, (ed.). The Oxford Handbook of Bioethics. Oxford: Oxford
University Press: 46–71; Carson Strong (2010). Theoretical and practical problems with
wide reflective equilibrium in bioethics. Theoretical Medicine and Bioethics 31: 123–140;
Norman Daniels (1996). Justice and Justification: Reflective Equilibrium in Theory and
Practice. New York: Cambridge University Press; Norman Daniels (2003). Reflective
Equilibrium, Stanford Encyclopedia of Philosophy (retrieved 24 August 2007).
cial outcome of the procedure), and (ii) distribute organs by using a wait-
ing list (to give every candidate an equal opportunity). These two
distributive principles are inconsistent and need to be brought into equi-
librium in the institution’s policies. Both can be retained in a system of
fair distribution if coherent limits are placed on the norms. For example,
organs could be distributed by expected years of survival to persons 65
years of age and older, and organs could be distributed by a waiting list
for 64 years of age and younger. Proponents of such a policy would need
to justify and render, as specifically as possible, their reasons for these two
different commitments. Such proposals need to be made internally coher-
ent in the system of distribution and also need to be made coherent with
all other principles and rules pertaining to distribution, such as norms
regarding discrimination against the elderly and fair payment schemes for
expensive medical procedures.
Values.”33 Sen is, of course, from India, and so his personal history of
moral beliefs presumably descends from an Eastern culture. But Sen
wholly rejects the way Eastern views are commonly presented, in parts of
both the East and the West, especially regarding freedom and human
rights. He points out that “no quintessential [moral] values … differentiate
Asians as a group from people in the rest of the world.” He finds that the
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33
Amartya Sen (1997). Human Rights and Asian Values. New York: Carnegie Council,
with an Introduction by Joel H. Rosenthal, esp. 10, 13, 17, 27, 30.
the principles of research ethics that are globally accepted (and violations
of them universally condemned):
34
See, as examples of international documents that can easily be so interpreted, the World
Medical Association’s Declaration of Helsinki, 2008 revision, “Declaration of Helsinki:
Ethical Principles for Medical Research Involving Human Subjects,” Part B, “Basic
Principles for all Medical Research” (first adopted 1964 and currently under revision);
Council for International Organization of Medical Science (CIOMS), in collaboration with
the World Health Organization (WHO), International Ethical Guidelines for Biomedical
Research Involving Human Subjects (Geneva: CIOMS 2002) (currently under revision).
The Professor is both right and wrong here. Biomedical ethics did not
exist until its origins in roughly the last half of the 20th century. The
ancient traditions were all about medical — not biomedical ethics. Ancient
views of medical ethics were literally from a different world lacking
medical science. Also, I was not referring to “the beginning of th[e] four
principles.” I meant only to refer to changes that occurred in the 20th
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a biomedical ethics.
However — and this is an important point to me — when I use the
language of the common morality I do mean to include ancient moral
traditions, including what the Professor refers to as “the heavenly reli-
gions.” These anciently formed traditions do not represent biomedical
ethics; but they are excellent representatives of the common morality.
Likewise, the four principles I defend are part of the common morality.
These four principles are not inherently created for biomedical ethics;
they must be made suitable for that context and specified. That is, that
they are not biomedical principles until they are specifically embedded in
a biomedical context is what Childress and I have tried to show.
35
Examples are H. Tristram Engelhardt Jr. (1996). The Foundations of Bioethics, 2nd edn.
New York: Oxford University Press; Robert Baker (1998). A theory of international
The real problem here is that virtually every region of the world has
experienced a horrid history of imperialistic control extending from one
people to another, whether from west to east, within regions, or within the
borders of a single nation. Numerous cultural traditions, past and present,
and in all parts of the world, have held that their values are universal val-
ues to which everyone must conform. They all deserve condemnation.
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6. Conclusion
I have argued in defense of the four-principles approach to biomedical
ethics, now increasingly called principlism. My arguments move to the
conclusion that a universal set of moral principles comprises the common
morality and that the four clusters of principles of biomedical ethics are
part of, but not the whole of, the common morality that all morally com-
mitted persons share. Although the content of these norms is thin, owing
to their abstractness, they create a wall of moral standards that cannot
justifiably be violated in any culture or by any group or individual. They
give us our moral compass and are our ultimate bulwark against a descent
into relativism.