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  • Ethics-ch-04, Med, Military Medical Ethics Volume 1

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    The Science Behind the Art: Empirical Research on Medical Ethics
    Chapter 4
    THE SCIENCE BEHIND THE ART:
    EMPIRICAL RESEARCH ON MEDICAL
    ETHICS
    DANIEL P. SULMASY, OFM, MD, P
    H
    D
    *
    INTRODUCTION
    TYPES OF ETHICAL INQUIRY
    TYPES OF STUDIES IN DESCRIPTIVE ETHICS
    Anthropology
    Sociology
    Epidemiology
    Health Services Research
    Psychology
    THE RELATIONSHIP BETWEEN DESCRIPTIVE AND NORMATIVE BIOETHICS
    Ethics and Opinion Surveys
    The Fact/Value Distinction
    Illicit Inferences
    Empirical Studies and Normative Ethics
    Normative and Descriptive Ethics: Two-Way Feedback
    JUDGING GOOD DESCRIPTIVE ETHICS
    Survey Research
    Qualitative Research
    Multimethod Research
    Experimental Methods
    Theoretical Framework
    Biases in Empirical Research on Ethics
    Detached Disinterest
    RESOURCES IN ETHICS
    National Reference Center for Bioethics Literature
    Bioethicsline
    Bioethics Journals
    The Internet
    DESCRIPTIVE BIOETHICS AND MILITARY MEDICINE
    CONCLUSION
    *
    Professor of Medicine and Director of the Bioethics Institute, New York Medical College, Valhalla, New York; and Sisters of Charity Chair in
    Ethics, John J. Conley Department of Ethics, Saint Vincent’s Hospital and Medical Center, 153 West 11th Street, New York, New York 10011;
    formerly, Associate Professor of Medicine, Georgetown University; and Director, Center for Clinical Bioethics, Georgetown University Medi-
    cal Center, Washington, DC
    105
     Military Medical Ethics, Volume 1
    J.O. Chapin
    Doctor’s Heritage
    1944
    The last of seven images from the series
    The Seven Ages of a Physician.
    The series depicts the life progression of a
    doctor from birth to first encounter with suffering, through medical training, professional experience, service to
    country during war, and research to further knowledge. In this final painting in the series, the doctor’s heritage is
    that of passing along to the next generation his knowledge and vision regarding how to best be a physician. That
    involves not just understanding the basics of medicine, as depicted in the right half of the painting, but also under-
    standing medicine in a more complete context, which is symbolized in the left side of the painting with the globe, the
    skull, and the book. The wisdom that he passes on includes understanding how doctors make decisions regarding
    patients—the very essence of being a complete physician—and the focus of this chapter.
    Art: Courtesy of Novartis Pharmaceuticals.
    106
    The Science Behind the Art: Empirical Research on Medical Ethics
    INTRODUCTION
    With characteristic elegance, Aristotle once said
    that ethics is “about what to do.”
    1(1103b.28–31)
    If ethics
    is truly as broad as that, then many sorts of ethical
    questions will inevitably arise, even if one limits
    the sphere of inquiry to biomedical ethics. A phi-
    losopher might be inclined to ask, “How does a phy-
    sician ever
    know
    the right thing to do in any given
    situation?” A physician might be more inclined to
    ask simply, “What ought I to do with this patient
    now?” A government agency or a disinterested so-
    cial scientist might be inclined to ask, “What do
    physicians usually do in that situation?” And phy-
    sicians might ask a health services researcher,
    “What data can you give me to help me to decide
    what I ought to do?”
    The latter two questions are empirical questions.
    And because contemporary Western medicine is based
    upon empirical science, it was inevitable that physi-
    cians should begin to engage in empirical research
    in bioethics. In fact, empirical studies now constitute
    the most prevalent form of articles on bioethics pub-
    lished in the medical literature. But many readers re-
    main puzzled by empirical research in bioethics.
    This chapter addresses some of these questions.
    The chapter begins by distinguishing empirical
    ethics from other sorts of ethical inquiry, then pro-
    vides an overview of the kinds of empirical studies
    that count as empirical research in bioethics. The
    chapter discusses criteria for quality in evaluating
    empirical research in bioethics, and describes the
    proper relationship between empirical bioethics and
    philosophical bioethics.
    The range of studies falling under the broad
    canopy of “empirical bioethics” is truly astound-
    ing. The disciplines of sociology, anthropology, so-
    cial psychology, economics, epidemiology, and
    health services research (to name just a few) all have
    scholars who “do” bioethics, and all these disci-
    plines have made enriching contributions to the
    field. These types of research begin with empirical
    observations, and take empirical observation as
    their standard of validity. It is not always immedi-
    ately clear, however, that these types of research
    should have anything whatsoever to do with ethics.
    And so it is necessary, at the outset, to understand the
    nature of empirical research in ethics broadly.
    TYPES OF ETHICAL INQUIRY
    There are three basic types of ethical inquiry—
    normative ethics, metaethics, and descriptive ethics.
    2
    Normative ethics
    is the type of ethical study that
    is most familiar. Normative ethics is the branch of
    philosophical or theological study that sets out to
    give answers to the questions, “What ought to be
    done? What ought not to be done? What kinds of
    persons ought we strive to become?” Normative
    ethics sets out to answer these questions in a sys-
    tematic, critical fashion, and to justify the answers
    that are offered. In bioethics, normative ethics is
    concerned with arguments about such topics as the
    morality of physician-assisted suicide and whether
    so-called partial birth abortions are ever morally
    permissible. Normative ethics constitutes the core
    of all ethical inquiry. It is because of the normative
    questions at stake that other types of ethical inquiry
    have their point.
    Metaethics
    is the branch of philosophical or theo-
    logical inquiry that investigates the meaning of
    moral terms, the logic and linguistics of moral rea-
    soning, and the fundamental questions of the na-
    ture of good and evil, how one knows what is right
    or wrong, and what sorts of arguments can be used
    to justify one’s moral positions. It is the most ab-
    stract type of ethical inquiry, but it is vital to nor-
    mative investigations. Whether or not it is explic-
    itly acknowledged, all normative inquiry requires
    some sort of a stand regarding metaethical ques-
    tions. Metaethics asks, “What does ‘right’ mean?
    What does ‘ought’ mean? What is implied by say-
    ing ‘I ought to do X’? Is morality objective or sub-
    jective? Are there any moral truths that transcend
    particular cultures? If so, how does one know what
    these truths are?” Stands regarding all of these ques-
    tions lurk below the surface of most normative ethi-
    cal discussions, whether in general normative eth-
    ics, bioethics, or military bioethics. Sometimes it is
    only possible to understand the grounds upon
    which people disagree by investigating questions
    at this level of abstraction. In most cases, however,
    there is enough general agreement that normative
    inquiry can proceed without explicitly engaging
    metaethical questions.
    The concern of this chapter, however, is the third
    type of ethical inquiry,
    descriptive
    ethics
    . Descriptive
    ethics does not directly engage the questions of
    what one ought to do or of how people use ethical
    107
    Military Medical Ethics, Volume 1
    terms. Descriptive ethics asks empirical questions
    such as, “How do people think they ought to act in
    this particular area of normative concern? What
    facts are relevant to this normative ethical inquiry?
    How do people actually behave in this particular
    circumstance of ethical concern?” In bioethics, the
    literature is replete with descriptive ethics’ studies
    such as surveys asking what patients and physicians
    think about the morality of euthanasia and assisted
    suicide, or about how much money might be saved
    through the widespread use of advance directives,
    or about what percentage of unwed women who
    become pregnant choose to undergo elective abortion.
    No descriptive ethics study ever answers a nor-
    mative question about what should be done. That
    is a matter for normative ethics. Yet, descriptive eth-
    ics can be very helpful to normative inquiry, and
    normative inquiry can be helpful to descriptive eth-
    ics as well. I will return to these themes in more
    detail later in this chapter.
    TYPES OF STUDIES IN DESCRIPTIVE ETHICS
    Because good ethics always depends upon good
    facts, almost any empirical field might be able to
    make a contribution to descriptive ethics. Nonethe-
    less, there are certain techniques and certain disci-
    plines that are especially well-suited to descriptive
    research in bioethics. A comprehensive survey of
    all empirical studies that have contributed to bio-
    ethics would be well beyond what could be accom-
    plished in a single chapter. This chapter will instead
    briefly discuss those empirical fields most often
    used. Readers interested in exploring this subject
    further are encouraged to read
    Methods in Medical
    Ethics.
    3
    California.
    7
    Anthropological studies have explored
    the distinctive culture of surgeons as well, examin-
    ing how that culture affects selection, training, and
    professional demeanor of surgeons.
    8
    Still other in-
    vestigators have used conversational analysis of
    transcripts of audiotapes of physician–patient in-
    teractions to describe certain styles of physician
    verbal behavior and how these relate to patient sat-
    isfaction and malpractice risk.
    9
    All of these sorts of
    studies help to broaden our understanding of mul-
    tiple issues in contemporary bioethics. Anthropo-
    logical studies have also raised troubling norma-
    tive questions about such issues as the meaning of
    the Western notion of informed consent in other
    cultural settings. For example, anthropologists have
    looked at the question of the meaning of informed
    consent in vaccine trials in Africa in which individu-
    als defer decision making to their tribal chief.
    10
    Anthropology provides fascinating insights into
    the status quo of the physician–patient relationship
    in the West as well, raising questions about whether
    reform might be called for. Anthropologists will
    continue to make contributions to bioethics as the
    field enters the 21st century.
    Anthropology
    Perhaps the first empirical field to have made
    contributions to descriptive ethics is anthropology.
    Anthropology has made, and continues to make,
    many significant scholarly contributions to bioeth-
    ics. Questions about cultural variations in ap-
    proaches to matters of moral concern have been of
    interest since at least the time of Aristotle,
    1(1148b.20–24)
    challenging assumptions about the relationship
    between morality and culture. Classical investigations
    have included studies of child rearing in various
    cultures by such preeminent figures as Margaret
    Mead.
    4
    Studies in multiple cultures of the treatment
    of infants born with various deformities have also
    had an influence on contemporary bioethics, chal-
    lenging contemporary Western prohibitions on
    practices such as infanticide.
    5
    Contemporary eth-
    nographic techniques have been used to study, for
    instance, the difficulties involved in implementing
    the federal government’s
    Patient Self-Determination
    Act
    on Navajo Indian reservations.
    6
    Other studies
    have attempted to use ethnographic analysis to
    study differences in the role of the family vs au-
    tonomous individuals in bioethical decision mak-
    ing among Chinese and Latino cancer patients in
    Sociology
    Sociology has also played an important role in
    descriptive bioethics. Renee Fox was among the
    pioneers in the field, lending her expertise as a so-
    ciologist to such questions as the Hopkins Baby
    case,
    11
    dialysis, and organ transplants.
    12
    Sociologists
    have also studied the training of physicians, with a
    keen eye towards the ways in which the training
    influences the style and the content of ethical deci-
    sion making by physicians.
    13
    Still others have stud-
    ied such phenomena as partial codes (ie, “chemical
    code only,” or “CPR [cardiopulmonary resuscita-
    tion] but no intubation”), noting how these often
    arise in the setting of disputes between staff and
    108
    The Science Behind the Art: Empirical Research on Medical Ethics
    family members.
    14
    In another important example,
    the President’s Commission sponsored a sociologi-
    cal study of informed consent in clinical practice.
    15
    The chief techniques employed by sociologists have
    included both detailed interviews and participant-
    observer studies. In participant-observer studies,
    the investigator inserts himself or herself into the
    routine of clinical practice, developing enough trust,
    and blending well enough into the routine to mini-
    mize the impact of his or her presence, while pre-
    serving enough objectivity as an outside observer
    to describe effectively and comment upon the pro-
    cesses under observation.
    16
    These studies hold up
    a mirror in which members of the healthcare pro-
    fession can gain insight into their behaviors regard-
    ing matters of bioethical concern.
    veys, validated instruments regarding quality of
    life, decision analysis, technology assessment, enor-
    mous insurance claims’ data sets, chart reviews, and
    even randomized controlled trials to study the de-
    livery of healthcare services. These studies have
    looked at questions of ethical concern such as the
    care of the dying,
    18
    factors associated with the writ-
    ing of orders not to resuscitate,
    19
    the implementa-
    tion of euthanasia in the Netherlands,
    20
    the quality
    of care delivered by managed care organizations,
    21
    patient perceptions of informed consent,
    22
    and
    many other areas. The standards with which such
    research is conducted have become quite high.
    Psychology
    Epidemiology
    Finally, the field of psychology deserves special
    mention as a discipline that has made, and contin-
    ues to make, important contributions to the field of
    descriptive bioethics. Kohlberg’s theories of moral
    development have been used to conduct studies
    charting the moral development of medical stu-
    dents
    23
    and even of bioethicists.
    24
    Carol Gilligan and
    other critics have charged that Kohlberg’s schema
    is biased by the fact that he exclusively studied boys
    and therefore overemphasizes the themes of justice
    and autonomy in his theory of moral development.
    They have launched a whole new school of thought
    in philosophical and theological bioethics known
    as care based ethics.
    25
    This school has had an espe-
    cially strong influence on nursing ethics. Still oth-
    ers have used Bandura’s social learning theory to
    look at the impact of ethics education on the knowl-
    edge, attitudes, and perceived self-efficacy (confi-
    dence) of medical house officers and faculty.
    26
    Besides moral development and education, psy-
    chological theories and techniques have been used
    to look at morally important questions such as the
    anxiety associated with genetic testing
    27
    and ways
    to change sexual behavior among men at risk for
    HIV (human immunodeficiency virus) infection.
    28
    Still others have looked at such interesting ques-
    tions as the ability of surrogate decision makers to
    predict what sorts of treatments their terminally ill
    loved ones would want in the event that they were
    to become unable to speak for themselves.
    29
    While by no means exhaustive, this brief survey
    of empirical studies in bioethics from the fields of
    anthropology, sociology, epidemiology, health ser-
    vices research, and psychology serves to demon-
    strate the incredible breadth and variety of disci-
    plines and techniques that contribute to descriptive
    bioethics. All are fascinating. All hold a definite
    Another discipline that has made important con-
    tributions in the field of descriptive bioethics has
    been epidemiology, a branch of medical research
    that counts the incidence and distribution of health
    problems in a population. Beginning in the late
    1970s, physician researchers trained in epidemiol-
    ogy began to conduct empirical studies regarding
    bioethics. As people who count, epidemiologists
    began to sound a more quantitative note that had
    not been evident in the bioethics studies of sociolo-
    gists and anthropologists. Early studies were liter-
    ally studies that counted the frequency of certain
    clinical events of bioethics interest, such as the fre-
    quency of ethical dilemmas on an internal medi-
    cine service or the frequency with which DNR (do
    not resuscitate) orders were written.
    17
    These stud-
    ies began to appear in leading journals of clinical
    medicine. Moral dilemmas had been encountered
    for centuries in medical practice, and DNR orders
    had been around for a long time, but these studies
    brought new attention to bioethics by bringing these
    issues to the attention of clinicians. Moreover, they
    made irrefutable what had been argued by more
    philosophically minded bioethicists before—the
    practice of medicine is laced through and through
    with bioethical decision making.
    Health Services Research
    Epidemiology, along with several other fields,
    has contributed to the burgeoning field of health
    services research. Many bioethical issues have been
    addressed by studies in the field of health services
    research. Investigators in this field use opinion sur-
    109
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