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Department of Medicine, Primary, Vanderbilt University, Nashville, TN, USA
5.1 What Are We to Make of the Backlash Against Ethics?
I want to pick up where I left off in Chap. 3. In some respects, it is peculiar that, in the face of the resounding backlash against ‘Big Ethics,’ as it was often called in the 1970s, some physicians continued to entertain the notion that philosophers should, and some of them argued must, become “involved” in clinical medicine. Around the same time (early 1980s) as Alan Fleischman was putting his program for residents in place, for instance, the pediatrician Tomas Silber stated his belief that without such actual, regular involvement in clinical affairs, what he termed the “data base” for understanding, much less contending productively with, the moral issues he regarded as inherent to the daily practice of at least pediatric medicine, would be plainly missing. Precisely that “base” is necessary, he argued, for the medical tasks at hand in any clinical situation. Thus, quite understandably, Silber lamented the “absence of these professionals”—that is, philosophers—“from our daily lives,” although, with Siegler, he endorsed the idea that physicians must for their part immerse themselves in philosophy and theology (Silber 1981).
In the meantime, the person who has been, by any estimate, the dean of this entire enterprise, Edmund Pellegrino, was already eyeing much larger horizons. He had many times stated his belief that the times and the issues are right for a “new Paideia” matching that of classical Greek culture, and that medicine and philosophy occupy the pivotal places in that endeavor now as they did then (Pellegrino 1979). He argued for many years that medicine, as he said, is the most scientific of the humanities and the most humanistic of the sciences, and presumably the interstice thereby generated is precisely where both must take up residence from which to cultivate, along with philosophy and others of the humanities, that new Paideia. Even more, he argued that a proper understanding of some of philosophy’s own perennial issues positively requires a sound grasp of what medicine has learned—for instance, about neuronal activity or the human body more broadly.
For that new Paideia to emerge, however, philosophers and physicians must probe with far more sensitivity and depth than hitherto their common as well as distinctive methods and problems. What divides them has too long been too divisive and antagonistic—without, moreover, the least justification, as would be clear from even a cursory glance at their long histories. While it is true that some philosophers early on took exception to the notion that ethics in medicine is merely an ‘application’ of ethical theories to practical medical problems, (Caplan 1982; Toulmin 1982; MacIntyre 1981; Gorovitz 1982) the idea of that “new Paideia” seems as far from realization today as it did in the 1960s and 1970s when Pellegrino first proposed it. That notion, in any event, has long seemed to me very much worth pursuing; in fact, much of my writing over the past several decades, moreover, has been devoted precisely to it.
Here I propose to pick up that theme once again and make it the predominant one. This will inevitably bring me into some rather novel thematic directions—specifically, probing the quite new prospect of philosophy within the context of clinical work. I have long been convinced that there is something very important in the idea of that clinical involvement. The discipline it imposes, furthermore, will just as inevitably raise our sights onto very different vistas, to themes that may seem quite strange to our accustomed ways. In what follows, that is what I propose to pursue; and even when there are other themes which will preoccupy me from time to time, I want to make it clear that my over-riding concern will be to test those clinical waters for the ability of philosophers not to sink or become distorted beyond recognition. And, to repeat, it is the idea of that new Paideia that will serve as the guide and goal of this inquiry.
For that undertaking, ethics has to be understood as a preeminently practical discipline and at the same time one that is ingredient in all its components in philosophy; hence, philosophy itself has a serious commitment to the issues and the life of praxis. Aristotle, I believe, was correct (Aristotle 1962). Pointing out in his Nicomachean Ethics that “precision cannot be expected in the treatment of all subjects alike” (I, 3), he understood that “when the subject and basis of a discussion consist of matters that hold good only as a general rule, but not always,” as is the case with politics and ethics, “the conclusions reached must be of the same order” (I, 3). So far as moral actions are concerned, “although general statements have a wider application, statements on particular points have more truth in them: actions are concerned with particulars and our statements must harmonize with them” (II, 7). Concerned with emotions and actions in the practical realms of life, neither the study nor even the discussion of ethics permits “the kind of clarity and precision attainable in theoretical knowledge” (II, 3).
In ethics “there are no fixed data in matters concerning and questions of what is beneficial, any more than there are in matters of health” (II, 2). The treatment of particular problems will be even more characteristically imprecise; therefore, here, “the agent must consider on each different occasion what the situation demands, just as in medicine and in navigation” (II, 2). It is my conviction that, at least as far as these citations are concerned, Aristotle’s view is correct.
5.2 Several Views of Clinical Ethics
Following on the brief overview of medicine in Chap. 2, it is necessary to give the same sort of overview of ethics as a clinical discipline. Specifically, we need to look into the several proposals that have been offered about that. This will lead to the expression of certain clinical ethics theses as a summary way of expressing the sense of such a discipline, and will be developed in much greater detail in subsequent Chapters (Zaner 1994).
5.2.1 The Clinician
In several splendid essays, John La Puma and others (La Puma 1987; La Puma et al. 1988; La Puma and Toulmin 1989; Schiedermayer et al. 1989) have defended the view that there is a legitimate role for the ethicist working within the clinical context as a consultant. Mentioning several models for this role, they argue that only a clinical model is appropriate. Possessing special knowledge and skills, as these authors see it, the ethicist should be responsible for helping physicians become more sensitive to ethical issues. In this, the clinical ethicist is precisely like any other clinical consultant, bringing special knowledge and skills to bear on special problems flagged by an attending physician as needing that expertise—most often, as these occur as regards some specific patient. I should note here, in passing, that there is hardly a mention of other health professionals, patients with their significant others, or the social nexus of the practice of medicine.
Although they pose the idea that the ethicist could be either physician or non-physician, they in fact argue that the ethicist must be able to interview and do physical examinations of patients—as well as speak with families, discuss cases with members of the health care team, review charts, and document recommendations in patient’s medical records. In short, he/she must be an experienced clinician able to help the attending manage patients—which suggests that the physician is the one who is best able to serve this role, as Siegler argued a long time ago (Siegler 1979). For this view of ethics, the ethicist’s credibility and effectiveness depends not only on knowing ethics but, of equal if not more importance, on possessing a fund of relevant medical knowledge, hands-on clinical patient care skills, and the ability to discern medical distinctions that are technically or morally relevant in caring for patients (i.e. to make clinical judgments, and to be as accountable for them as any other clinician). In fact, therefore, this view of ethics proposes that (a) only a clinically experienced physician can serve as a clinical ethics consultant, and (b) such a consultant serves the attending physician first and foremost, if not exclusively (La Puma and Priest 1992; Edwards and Tolle 1992).
5.2.2 The “Expert”
Except for the clear implication that physicians can best serve in this role, George Agich (1990) had already stated and expanded on that proposal some years ago. He delineated four roles inherent to the idea of clinical ethics: teaching, watching, witnessing, and consulting. Moreover, from his comments on my work, it is clear that Agich still endorses his basic view set out in the earlier article (Agich 2005). Clinical ethics is different from more traditional forms of teaching, as it is conducted in the practical settings of clinical medicine. It is, moreover, a form of practice similar to other forms of clinical practice, although it is more involved in role modeling, character building, and skill acquisition than with theoretical, cognitive understanding.
Watching, in Agich’s usage, involves the methodical, disinterested, and objective study of medical practice. Witnessing, by contrast, draws one into the scene of social action as an agent who is accepted by others also involved; the witness is thus a resident expert who is able to provide useful, practical advice to those others. Appealing to an anthropological model derived from the work of Charles Bosk (1985) Agich sees witnessing as most important. As a witness, the ethicist is “more directed to establishing or ratifying a moral community than mere watching…” (Bosk 1985). Somewhat like a priest invited into the private meditation and ceremonies of the group—where inmost secrets, uncertainties, and anxieties are revealed and shared—the witness comes “to symbolize for the group the moral community outside the hospital…” (Bosk 1985). He also insists that this role includes helping to give social definition to clinical realities, and may even provide subjects with a sense of legal protection, although it is unclear in just which sense this “protection” is understood—whether as a form of ‘cover your ass,’ or, more unlikely, I suppose, as giving actual legal information and even advice (in which case, however, the ethics consultant must also then be a licensed attorney).
One natural outgrowth of this unique form of participation is consulting, the fourth activity of clinical ethics. As for any clinical consultation in clinical medicine, this special ethics activity naturally carries expectations of practical help in decision-making. It thus functions strictly under the aegis of the attending physician and within established institutional rules and procedures. The consultant may be an independent professional, but the work of anybody with this role is established and remains under the aegis of the attending physician, whose work is thus directed to problems perceived by the physician and associated with the primary physician-patient relationship. Such a consultant is assumed to have relevant expertise, skill, and training to identify and evaluate the issues involved in caring for an individual patient (Agich 1990, p. 392).
The expectation of practical help is central. The ethicist is expected to possess and utilize the relevant expertise, skills and methods in order accomplish the consultative goal. While not necessarily a physician, as Agich sees it, the ethics consultant is nevertheless a specialized clinical practitioner “who brings an independent expertise to bear on problematic cases or issues in medical practice,” and who functions in clinical situations “as an identified expert…to offer advice or recommendations in specific cases presenting ethical problems” (Agich 1990, p. 393).
5.2.3 The Casuist
But with respect to what is the ethicist a so-called ‘expert’? In an early article focused on just those situations that might reasonably prompt an appeal for a specialist in ethics, Albert Jonsen raised several critical questions that are pertinent to this question: “What sort of knowing…is ethics? Above all, what is its use?” (Jonsen 1980, p. 158). He went on to propose a way of approaching and thinking about these issues within clinical settings. Although it took some time for him to identify just this “way,” a few years later he then more confidently declared, “hospital philosophers or ethicists are, in fact, casuists” (Jonsen 1986).
For Jonsen, the usual approaches to ethics are not helpful, for they miss the main point and focus on decision-making: not conceptual analysis of issues, but direct involvement in the decision making process. Far from a novel proposal, he points out, this is an idea with a long history in western ethical traditions, specifically in casuistry. This approach in general involves considering morally perplexing cases “in the light of certain general ethical norms or rules,” that is, where “a definite view of the nature of the moral life is confronted with a well-described real or fictional situation.” As such discussions call for a specific and practical response, not to abstract concerns but to the particular set of circumstances under consideration, they invoke a clear focus on the question, “What should be done in this situation?” (Jonsen 1980, p. 159)
For Jonsen, then, casuistry is not merely one more way of applying principles already at hand to particular clinical cases, since it is only when a number of such cases are arrayed together that the notion of “principle” itself begins to have significance. In the practice of casuistry, properly understood, a comprehensive ethical theory does not precede but follows the study of particular cases—though it is surely true that moral problems are constructed around “an already perceived but, as yet, inarticulate moral notion” exemplified by particular cases (Jonsen 1980, pp. 169–171).
This focus on the decision process suggests that casuistry and clinical ethics consultation are very much the same activity: both are forms of reasoning directed toward practical resolutions that lead to decisions, and from there to practical actions. In these situations, uncertainty and probability, not “the truth,” are the centering themes. Both have the aim of assurance or, as the casuists said, a “‘certain conscience’;” that is, Jonsen explains, “resolving practical moral doubt” (Jonsen 1980, p. 163). In fact, he insists, casuistry did not presuppose a shared worldview but came about mainly during times of social fragmentation; it “thrived on doubts, uncertainties, and dilemmas, and moved toward the creation of an ethic rather than from one already formed,” and precisely here was the place of “assurance.”
Working in situations where an explicit moral consensus is missing and only probable opinions can be offered, the casuist-consultant methodically follows three steps: typification,1 use of maxims, and assurance. A ‘case’ of interest to a casuist will present a typical moral dilemma that can be understood only within specific circumstances, which include some moral virtue (justice, charity) or rule (‘Thou shalt not kill,’ for example), and actors with certain social roles (parent, priest, proprietor) who encounter each other within specific social relationships (contracts, promises, requests). The case is a typification or, in Jonsen’s preferred term, paradigm2—a situation that is neither wholly unique nor fully universal, but rather is textured with “roles and relationships that are morally relevant to its interpretation and resolution” (Jonsen 1980, p. 165). As I prefer to say, it is a context.
Built around some virtue that is usually not well-articulated, the case also typically includes a reference to moral maxims called “reflex principles”—statements, the truth of which could not be completely demonstrated but were commonly accepted as having to be weighed in moral deliberations. Not taken for granted in the casuist’s discussions, they had instead to be tested or interpreted for their pertinence to the problem at hand—like “shuttles that move back and forth within the texture of the roles and relationships in order that a pattern can appear” (Jonsen 1980, p. 166).
The search for assurance follows quite naturally. Directly confronting the inherent uncertainty of every case, the casuist mainly sought to provide assurances to the moral agent that an action which provoked some apparently un-resolvable doubts, could nevertheless be performed with practical moral certainty. As Jonsen insists, however, “the ‘new’ casuistry must be more than talking about cases. It must be an articulated art, that is, it must be able to discuss the singular and unique in terms that can be generally understood and appreciated. It must have the quality of moral discourse” (Jonsen 1986, p. 71).
5.2.4 The Facilitator
The first two views contend that the ethics consultant should be conceived on the medical model of independent expert brought in by the physician in charge, while Jonsen’s view is that ‘problems’ faced by any agent are the central occasion for the casuist’s thinking, and that the isomorphism between consultation and casuistry apparently holds only for ethics, not medicine; it remains unclear, however, how such an approach is either ‘clinical’ or how it could become involved in clinical encounters. It would seem that such involvement could occur solely at the request of, and mainly for the benefit of, the physician; access, if you will, to the patient could occur only with the physician’s specific permission. And, still, it is worth noting here, as earlier, that there is not a word about the array of other health professionals whose work is clearly highly significant for patient care: nurses, specialist technicians, and the like.
The idea that ethics consultation is different from what the medical model requires is also proposed by others, among them Glover, Ozar, and Thomasma, who specifically wish to differentiate the “individual expert” model that has been an important part of medicine from another which they believe is more appropriate for clinical ethics: the “decision facilitator” (Glover et al. 1986).

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