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UWC PhysiotherapyEthics workshop
13-12-10
Workshop programme (3 hours)
(Brief) introduction to ethics and human rights Ethics in research Tea Ethics in clinical practice Ethics in the curriculum
Introduction to ethics
Branch of philosophy Human character and conduct Ethos = “custom” or norms In the context of health professionals, ethics
deals with norms and values related to healthcare
Health professional ethics = critical evaluation of concepts, attitudes, beliefs and arguments that form the foundation for moral decision making in healthcare
Ethics = framework for helping to make good decisions in morally ambiguous situations
Good?Ambiguous?
Ethical principles
Beneficence (do good) Non-maleficence (do no harm) Autonomy (independence) Justice (fairness)
Human Rights
“No one gives us rights. We win them in struggle. They exist in our hearts before they exist on paper. Yet intellectual struggle is one of the most important areas of the battle for our rights. It is through concepts that we link our dreams to the acts of daily life”
Albie Sachs, 1990
Human Rights
HRs abuses create conditions of social / political unrest and sow seeds of violence
Only recognised with formation of UN Universal Declaration of Human Rights (1948) Displayed in all educational institutions
What are human rights?
Valid claims on society for Social and material resources Respect Tolerance
Limit State power over individuals They exist by virtue of a person's humanity Represent a fundamental need Bound to Duties and Responsibilities
When can human rights be restricted?
To secure the recognition and respect for the rights and freedoms of others
To meet the just requirements of morality, public order and the general welfare
In times of emergency, when there are threats to the vital interests of the nation
Restriction of human Rights
Permissible when they interfere with the rights of others
Syracuse principles (describe conditions) Restriction is provided for and carried out in
terms of the law There must be a legitimate objective It must be strictly necessary to achieve the
objective There must be no less restrictive means of
achieving the objective It is not arbitrary, unreasonable or discriminatory
Non-derogable human rights
What HRs cannot be restricted? Freedom from torture, slavery, servitude Right to a fair trial Freedom of thought
Ethics in research
Research (EBP) Ethical awareness
Henley & Frank (2006)
Ethical awareness
“I don't do research, so research ethics isn't relevant to me”
Ethics in research
“Physical therapy journals should standardize ethical protections and make documentation of compliance a prerequisite of publication”
Henley & Frank (2006, p.499)
What makes research ethical?
Seeking research ethics committee approval prior to carrying out research
Getting informed consent from participants Keeping information gathered about
participants confidential
Henley & Frank (2006)
Independent ethical committees
Recognition that ethical committees are necessary to protect participants
Arose after WW2 (Nuremburg) Values guiding ethical review:
Beneficence (seek to do good) Non-maleficence (seek to avoid harm) Autonomy (informed consent)
Anderson & Pickering (2008)
Beauchamp and Childress (2001)
Consent
Obtaining informed consent protects participants Usually requires a signed, information sheet:
Purpose of research Risks and benefits What data will be collected How the data will be used How data will be stored, and for how long Right to withdraw
Anderson & Pickering (2008)
Problems with consent
Patients who are incompetent to consent (e.g. severe brain injury, CVA)
Incompetence must be proven, never assumed “Would this person have agreed to participate if
they had been competent to give consent?” Family involvement Highly detailed information sheet Comprehensive ethical review
Anderson & Pickering (2008)
Consent and relationships
Consider the pool of participants and their relationship to the researcher/s e.g.
Client base in private practice Clinics in hospitals Students at university
Selection bias i.e. trust already established → increased participation
Power differentials i.e. how easy is it for potential participants to say “no”?
Confidentiality
Serves to restrict access to information gained from participants during research
Usually extends from the period of research and beyond (how long afterwards?)
If confidentiality cannot be offered, participants must be made aware
Objective, non-sensitive data (e.g. joint ROM, muscle strength) must still be anonymised
Anderson & Pickering (2008)
Confidentiality (cont.)
May be more relevant for qualitative data that is usually more sensitive than quantitative
Also consider others involved in the research process e.g. data capturers, research assistants, transcribers, etc.
The ideal circumstances often don't exist, and confidentiality is often difficult to maintain in reality
Ensuring well-being of participantsBeneficence and non-maleficence
Need to consider the harms and benefits of physiotherapy research
“But physiotherapy interventions don't have much potential to harm?”
Some do e.g. electrotherapy, spinal manipulations, needling
Potential to harm when considering innovative new treatments
Non-physical harm e.g. interviews that cause participants to remember traumatic incidents
Additional responsibilities
Information revealed that is unrelated to the research e.g.
Reported abuse → dilemma Supplementary medical information such as
high blood pressure → not part of the study, but still a duty of care exists
These considerations should also be included in the application for ethical review
Anderson & Pickering (2008)
Exploiting vulnerable people
The Declaration of Helsinki = guidelines when research involves people
Who is vulnerable? Those unable to protect their own interests The very young / old Freedom constrained (prisoners, soldiers, women) Those who are poor, uneducated, illiterate,
powerless, homeless, different In other words, the majority of the world's
population
How are people exploited?
Taking advantage of power differentials Achieving research ends without disclosing
risks to participants Research in which the risks to participants are
great and the benefits to researchers large Denying participants access to post-trial
treatments that were proven to be useful
Exploitation is a spectrum from mild to severe
How do you avoid exploitation?
Develop trust between researchers and subjects: Respecting dignity Creating accountability Ensuring fairness and transparency Commit to protecting participants
How do you avoid exploitation?
Give priority to trials that: Develop partnerships that enhance health systems Provide useful knowledge that benefits the country Balancing benefits and burdens Ensuring benefits flow into health settings Do not deflect human and material resources away
from systems in the host countries
Writing up research results
Determining authorship credit and order on student collaborations
Determining authorship
Until recently, few guidelines existed APA ethics committee (1983)
Students get first author on articles derived from their theses
Supervisors, at most, get second author if they made significant contributions
What is a significant contribution? Only discussed theses, not collaborative projects
Fine & Kurdek (1993)
Determining authorship (cont.)
APA Ethical Principles of Psychologists and Code of Conduct (1992): [Authors] take responsibility and credit only for work
they have performed or contributed to Principal authorship accurately reflects the relative
scientific or professional contributions of the individuals involved, regardless of their status. Minor contributions to the research or to the writing for publication are acknowledged
A student is listed as principal author on any multiple-authored article that is based primarily on the student's dissertation or thesis
Faculty-student collaboration
Dilemmas arise because the relationship is inherently unequal Faculty taking undeserved credit Students receiving undeserved credit
Falsely represent the students expertise “Published” status advantages student over others False expectations of performance
More experienced faculty are more likely to give students undeserved credit
Fine & Kurdek (1993)
Principles for determining authorship
Beneficence (help students further their careers when they have contributed to the work)
Justice (to treat students fairly by granting them what they rightfully deserve)
Parentalism (making decisions without consulting the student, depends on the context of the relationship)
Recommendations
Faculty and students are not meaningfully different in terms of autonomy, only expertise
Therefore students should participate in the decision making process
Fine & Kurdek (1993)
Process recommendations
Early on in the process, provide students with information related to:
How authorship decisions are made The nature of the contributions to the work The meaning of authorship and order Defining contribution levels as they relate to
credit
Assess the abilities of each contributor, the tasks and supervision required, and expectations
Process recommendations (cont.)
Discuss and agree on the tasks, contribution and efforts required to warrant authorship
Use signed informed consent forms to clarify the terms of the agreement
Consider modifying the original agreement if the work needs substantial changes after review
Outcome recommendations
The student should make a professional contribution that is creative and intellectual, that is integral to completing the work, including:
Development of the design Integrating theoretical perspectives Developing new conceptual models Designing assessments Contributing to data analysis decision making Interpreting results
Completion of 1 or 2 of the above is not necessarily sufficient (see Winston's weighting schema)
Outcome recommendations (cont.)
Decisions should be based on the scholarly importance of the contribution, not time and effort
Should not be affected by financial considerations or employment status
Students and supervisors should consult with colleagues and peers
If dilemmas arise, take the matter to an independent third party process e.g. at an institutional level
Tasks not considered for authorship credit
Data capture Data analysis specified by the supervisor Typing
References
American Psychological Association Ethics Committee. (1983, February). Authorship guidelines for dissertation supervision. Washington, DC: Author
Anderson, L. (2008). Ethical review of physiotherapy research. New Zealand Journal of Physiotherapy, 36(3), 138-143
Ethical principles of psychologists and code of conduct. (1992). American Psychologist, 47, 1597-1611
Fine, M. A., & Kurdek, L. A. (1993). Reflections on Determining Authorship Credit and Authorship Order on Faculty-Student Collaborations. American Psychologist, 48(11), 1141-1147
Henley L, Frank D (2006) Reporting Ethical Protections in Physical Therapy Research. Physical Therapy 86(4); 499-509
Winston, R. B., Jr. (1985). A suggested procedure for determining order of authorship in research publications. Journal of Counseling and Development, 63, 515-518.
Ethics in clinical practice
Ethical issues in clinical practice Frameworks and policies Privacy and confidentiality Patient rights
Ethical issues in clinical practice
Compliance: correct action is clear and you just need to have the integrity to do the right thing
Disagreements: individuals disagree about what the “right” thing to do, is
Vagueness: when it isn't clear what the “right” thing is e.g. what is “quality care”?
Conflict: when two or more moral rationales are in conflict with each other
South African Constitution
The Republic of South Africa is one, sovereign, democratic state founded on the following values:
Human dignity, the achievement of equality and the advancement of human rights and freedoms
Chapter 1, Founding Provisions, SA constitution
Bill of Rights
This Bill of Rights is a cornerstone of democracy in South Africa. It enshrines the rights of all people in our country and affirms the democratic values of human dignity, equality and freedom
The state must respect, protect, promote and fulfil the rights in the Bill of Rights
The rights in the Bill of Rights are subject to limitations
Chapter 2, Bill of Rights, SA constitution
Health and Human RightsSouth African constitution (Section 27)
Everyone has the right to have access to:Health care services (incl. reproductive health care)
Sufficient food and water
Social security (social assistance)
Emergency medical treatment
The State must take reasonable...measures, within it's available resources, to achieve the progressive realisation of each of these rights
Health and Human RightsProblems with the Constitution
Too broad (e.g. “within available resources”)
Too vague to implement (e.g. what does “sufficient” mean)
Does not reflect the reality of our society
Does not consider time and resource constraints
Health and Human Rights
The Constitution does not claim to be the solution to problems
It serves as an indication of where we strive to be as a society
The State must report to Chapter 9 Institutions (e.g. Human Rights Commission) on the “progress” being made towards the realisation of these rights
HPCSA guidelines
General guidelines are aspirational, they formulate the most honourable ideals the health professional should aspire to
More specific guidelines (duties and rules) derive from general guidelines, and give more precise direction for action
It is impossible to develop a complete set of rules applicable to all situations
Which is why ethical reasoning is important
SASP code of conduct
Articulates the moral understanding of the profession
It enables co-operation and fair competition with restraints on self-interest
Supports responsible practitioners, safeguards against unscrupulous employers
Official statement of the profession, committing to promoting public good / minimising harm
Promotes public trust / social contract
Patient rightsEvery patient has the right to...
A healthy and safe environment
Participation in decision-making
Access to health care
Knowledge of ones health insurance/medical aid scheme
Choice of health services
Be treated by a named health care provider
Confidentiality and privacy
Patient rights (cont)Every patient has the right to...
Informed consent
Refusal of treatment
Be referred for a second opinion
Continuity of care
Complain about health services
Respect
The over-riding principle of respect should govern every action you take
All other principles will have a component that deals with respect
You will always act in the best interests of your patient, and place them first
Confidentiality and privacy
You may only disclose information about a patient if they give you explicit consent to discuss it
Only a court order can bypass this requirement
Does this mean you can't discuss patients?
What are some of the problems with confidentiality?
No personally identifiable information
Informed consent
Requires health professionals to respect the patients ability to consent (or refuse) to treatment, after carefully explaining risks, benefits and costs
Two components of informed consent:Inform the patient (what does this mean?)
Get consent (or refusal)
Patient must be competent to give consent
Informed consent
Various standards exist:Medical: agreed by health professionals
Reasonable: what a reasonable person wants
Diagnostic: dialogue between provider and patient
Requires skill in communication:Use of language
Tone
When / where / how information is given
Take ethnicity, culture, religion into account
Informed consent
A patient should not be coerced / manipulated into giving consent
So, you may not use subtle threats, emotional manipulation, “guidance”
Don't withhold information, exaggerate, understate or use pretence
Respect the patient's decision
When the condition changes, consent becomes null i.e. you must obtain consent again
Informed consent
Every patient has the right to be provided with all the information they require in order to make an informed decision about their own health
Includes information about:
Procedures / interventions to be performed
Risks of treatment
Cost of treatment
You must offer the information, not wait for patients to ask
Consent should be written in the notes
Autonomy (decision making)
Every patient has the right to participate in decisions that relate to their bodies / health
“Work with patients”
This includes the right to refuse treatment
Unless that refusal places other people at risk
Duties to patients
Act in the best interests of the patient / client
Respect the privacy and dignity of patients
Provide patients with the information they need to make informed decisions
Recognising patient's rights for their information to be kept confidential
Respect the right of patient's to participate in their own healthcare
Duties to patients (cont.)
To be impartial and just
To promote access to healthcare
To avoid potential conflicts of interest
Duties to colleagues
To act in the patient's best interest when making referrals
Treat a colleagues' patients the same way you would treat your own
Work with and respect other health professionals
Do not make a patient doubt a colleagues' knowledge or skill
Duties to patients of colleagues
Act quickly to protect patients from risk if you believe a colleague to be impaired
Report rights violations and seek redress if you believe violations are taking place
Duties to yourself
Maintain and improve the standard of your own performance
Participate in educational activities related to your practice
Acknowledge the limitations or your knowledge and competence
Observe and keep up to date with laws affecting your practice
Maintain a professional practice / service
Duties to society
Treat all living things with respect
Deal responsibly with distributing scarce resources / refrain from waste
Consider ethical issues and human rights in health policy development
Duties to the profession
Report the misconduct of others
Report human rights violations and seek redress
Promote access to healthcare. If you cannot provide a service, refer the patient to a colleague
Duties to the environment
Recognise that natural resources are scarce, guard against their exploitation
Ensure that medical waste is disposed of legally, in an environmentally friendly manner