1. Introduction
1. At the end of 2009, the then Chairperson of the Social,
Health and Family Affairs Committee, Ms Christine McCafferty and
11 other parliamentarians tabled a motion for a resolution on living
wills and the protection of human rights. This motion seeks to clarify
whether a person has the right to decide whether to institute, continue
or terminate medical treatment, and what might be the uses, benefits
and limitations of living wills, with a view to better protecting
health and human rights at all stages of life.
2. I was appointed rapporteur on this subject following its reference
to the Social, Health and Family Committee for report in 2010. I
presented an outline report to the committee in January 2011, which
organised a hearing on the issue at its meeting in May 2011 with
the participation of four experts.
Taking into account the opinion
of the experts at the hearing, the committee agreed, on 16 September
2011, to my proposal to change the title in order to use the generic
term of “previously expressed wishes”
of patients, whatever form they
may take: living wills, advance directives, continuing powers of
attorney, etc.
3. The Council of Europe is very active in the area of medical
treatment in end-of-life situations. Several texts have already
been adopted in this area (in chronological order):
- Convention for the Protection
of Human Rights and Dignity of the Human Being with regard to the Application
of Biology and Medicine: Convention on Human Rights and Biomedicine(Oviedo Convention, ETS No. 164),
1997;
- Recommendation Rec(2003)24 of the Committee of Ministers
on the organisation of palliative care;
- Recommendation CM/Rec(2009)11 of the Committee of Ministers
on principles concerning continuing powers of attorney and advance
directives for incapacity.
4. On 30 November and 1 December 2010, the Council of Europe
Bioethics Division organised a symposium on the decision-making
process regarding medical treatment in end-of-life situations, in
which the Vice-Chairperson of the Committee, Mr Bernard Marquet,
participated.
5. At the level of the Parliamentary Assembly, consensus on these
matters has been less easy to reach. Although there have been several
debates over the years (including on “Euthanasia” in 2003 and on “Assistance
to patients at end of life” in 2005), only one resolution and one
recommendation have been adopted by the Assembly in the last fifteen
years:
6. It is certainly not my intention to re-invent the wheel or
re-open the euthanasia or assisted suicide debate. Instead, I would
like to focus on how living wills, continuing powers of attorney
and/or advance directives for incapacity can help answer the questions
raised by Ms McCafferty and our colleagues in the motion for a resolution.
I intend to structure my report in the following way: following
an attempt at definitions and at outlining the general consensus
on the principles underlying advance directives, I will present
the existing international regulations (those put forward by the
Council of Europe), before presenting the situation at national
level, inter alia based on
the presentations of Professor Andorno and Ms Erny at the hearing
in Paris. I will then outline the main remaining challenges, finishing
with my conclusions and recommendations.
2. Definitions
7. The concept of a “living will”, a “document of prior
instructions” or an “advance directive” refers to a written document
in which a capable person of legal age freely expresses in advance
his or her will, so that it can be taken into account in situations
in which the person can no longer express it him- or herself (for
example, having lost legal capacity or consciousness). Advance directives
(I will use this term from now on) can deal with the types of health
care and treatment that the person would like to receive while he
or she is alive (including in end-of-life situations) and also with
the use of his or her body and organs once he or she is dead. Thus,
the person can state if he or she wants to donate his or her organs
and which ones, if he or she wants to be buried or incinerated and
the type of ritual – religious or not – that he or she wants. In
this report, I would like to focus on advance directives in the
field of health care and treatment.
8. The person who writes the advance directive can also designate
a representative who he or she authorises to inform the doctors
or the medical team of his or her will when the person is no longer
able to do so (this is usually called a “continuing power of attorney”).
This designation of a representative is important both to ensure
the observance of the instructions of the person who has written
the document and also to make new decisions that are not expressly
stated in the document, to be made in accordance with the writer’s
will and values. Therefore, the representative, relative or not,
has to know the person who signs the advance directive very well,
because he or she will act as a substitute in all the relevant medical
decisions after being informed by the doctors.
3. Consensus on the
principles
9. As I explained above, I find it very important to
stress that we should not re-open a debate on those matters on which
a general consensus has already been reached. This is why I would
like to cite Ms Erny’s summary of the general consensus on the principles
underlying advance directives at this point:
“On a legal plane, it is clear to all that advance directives
have their foundations in the application of:
– the principle of personal autonomy discerned by the
European Court of Human Rights for the application of Article 8
of the European Convention on Human Rights on the right to privacy;
there can be no intervention affecting the person without his or
her consent;
– the principle of primacy of the human being and more
precisely the principle of consent enshrined in Articles 2 and 5
of the Convention on Biomedicine.
It follows from these principles that the patient must
not be manipulated and that his or her will, when clearly expressed,
must prevail even if it signifies refusal of treatment: no one can
be compelled to undergo a medical treatment against his or her will.
Consent, the principle that underpins the sector of patients’ rights
and bioethics, is the prime expression of the principle of personal
autonomy.
Accordingly, in end-of-life situations, as long as a patient
can express his or her will, he or she must be associated in the
decisions that determine his or her treatment and the adaptation
thereof; he or she may request its limitation or even cessation;
no intervention and no treatment may be administered to him or her
against his or her will, even if the prospect of survival is affected
by desisting. The right to withdraw consent is indeed the corollary
to the principle of giving consent.”
4. Regulations at
Council of Europe level
10. On the basis of this general consensus, the Council
of Europe has developed more concrete regulations.
I
will briefly present their contents below.
11. The Oviedo Convention, the only legally binding text in this
area to my knowledge which the majority of member states has ratified,
stipulates,
in its Article 9 on “Previously expressed wishes” that:
“The previously expressed wishes
relating to a medical intervention by a patient who is not, at the
time of the intervention, in a state to express his or her wishes
shall be taken into account.”
12. The convention’s explanatory report explains the article as
follows:
“60. Whereas Article
8 obviates the need for consent in emergencies, this article is
designed to cover cases where persons capable of understanding have
previously expressed their consent (that is either assent or refusal)
with regard to foreseeable situations where they would not be in
a position to express an opinion about the intervention.
61. The article therefore covers not only the emergencies
referred to in Article 8 but also situations where individuals have
foreseen that they might be unable to give their valid consent,
for example in the event of a progressive disease such as senile
dementia.
62. The article lays down that when persons have previously
expressed their wishes, these shall be taken into account. Nevertheless,
taking previously expressed wishes into account does not mean that they
should necessarily be followed. For example, when the wishes were
expressed a long time before the intervention and science has since
progressed, there may be grounds for not heeding the patient's opinion.
The practitioner should thus, as far as possible, be satisfied that
the wishes of the patient apply to the present situation and are
still valid, taking account in particular of technical progress
in medicine.”
13. As Ms Erny pointed out at the hearing, it becomes
clear from this explanatory report that the authors of the convention
did not wish to give the provision binding effect in all cases:
“Wishes shall be 'taken into account' by the doctor who, though
under an obligation to enquire about them, is only bound by them
in so far as they are consistent with the present situation and
with the patient’s interests. There is thus a margin of discretion
in order that the instrument does not backfire on the patient and
operates in a suitable and up-to-date manner. In the Convention
on Biomedicine, “previously expressed wishes” are therefore an indicator
of the patient’s will for the doctor which he cannot disregard,
although he retains the possibility of reassessing the patient’s
wishes in the light of the actual situation that presents itself,
and of advances in medicine especially. The Article 9 provision,
however, raises no impediment to state arrangements for regular
living wills with binding effect.”
14. The Committee of Ministers has subsequently gone further than
the authors of the convention and has laid down guidelines on continuing
powers of attorney and advance directives for incapacity in its Recommendation
CM/Rec(2009)11. The key recommendation contained therein is that
governments of member states “promote self-determination for capable
adults by introducing legislation on continuing powers of attorney
and advance directives or by amending existing legislation with
a view to implementing the principles contained in the appendix
to this recommendation”.
15. In the appendix to the recommendation, the Committee of Ministers
has formulated a number of principles which cover the content, form,
and appointment/termination of attorney (and his or her role and supervision),
as well as the content, form, effect and revocation of advance directives.
I think that the following are the most important, which is why
I would like to highlight them here.
Concerning the scope of application
- Principle 1: “1. States should
promote self-determination for capable adults in the event of their
future incapacity, by means of continuing powers of attorney and
advance directives. 2. In accordance with the principles of self-determination
and subsidiarity, states should consider giving those methods priority over
other measures of protection.”
Concerning continuing powers of
attorney
- Principle
8: “States should consider introducing systems of certification,
registration and/or notification when the continuing power of attorney
is granted, revoked, enters into force or terminates.”
- Principle 12: “1. The granter may appoint a third party
to supervise the attorney. 2. States should consider introducing
a system of supervision under which a competent authority is empowered
to investigate. When an attorney is not acting in accordance with
the continuing power of attorney or in the interests of the granter,
the competent authority should have the power to intervene. …”
Concerning advance directives
- Principle 15: “1. States should
decide to what extent advance directives should have binding effect. Advance
directives which do not have binding effect should be treated as
statements of wishes to be given due respect. 2. States should address
the issue of situations that arise in the event of a substantial change
in circumstances.”
- Principle 16: “1. States should consider whether advance
directives or certain types of advance directives should be made
or recorded in writing if intended to have binding effect. 2. States
should consider what other provisions and mechanisms may be required
to ensure the validity and effectiveness of those advance directives.”
- Principle 17: “An advance directive shall be revocable
at any time and without any formalities.”
16. The Assembly, for its part, communicated its recommendations
to the Committee of Ministers in 1999, in
Recommendation 1418 (1999) on protection of the human rights and dignity of the
terminally ill and the dying, including their “right to self-determination”
(see paragraph 9). The Assembly asked the Committee of Ministers to
encourage the member states of the Council of Europe to:
- “ensure that, unless the patient
chooses otherwise, a terminally ill or dying person will receive
adequate pain relief and palliative care, even if this treatment
as a side-effect may contribute to the shortening of the individual’s
life;
- to give effect to a terminally ill or dying person’s right
to truthful and comprehensive, yet compassionately delivered information
on his or her health condition while respecting an individual’s
wish not to be informed;
- to ensure that no terminally ill or dying person is treated
against his or her will while ensuring that he or she is neither
influenced nor pressured by another person. Furthermore, safeguards
are to be envisaged to ensure that their wishes are not formed under
economic pressure;
- to ensure that a currently incapacitated terminally ill
or dying person’s advance directive or living will refusing specific
medical treatments is observed. Furthermore, to ensure that criteria
of validity as to the scope of instructions given in advance, as
well as the nomination of proxies and the extent of their authority
are defined; and to ensure that surrogate decisions by proxies based
on advance personal statements of will or assumptions of will are
only to be taken if the will of the person concerned has not been
expressed directly in the situation or if there is no recognisable
will. In this context, there must always be a clear connection to
statements that were made by the person in question close in time
to the decision-making situation, more precisely at the time when
he or she is dying, and in an appropriate situation without exertion
of pressure or mental disability. To ensure that surrogate decisions
that rely on general value judgements present in society should
not be admissible and that, in case of doubt, the decision must
always be for life and the prolongation of life;
- to ensure that – notwithstanding the physician’s ultimate
therapeutic responsibility – the expressed wishes of a terminally
ill or dying person with regard to particular forms of treatment
are taken into account, provided they do not violate human dignity;
- to ensure that in situations where an advance directive
or living will does not exist, the patient’s right to life is not
infringed upon. A catalogue of treatments which under no condition
may be withheld or withdrawn is to be defined.”
17. Ten years later, the Assembly, in its Resolution 1649 (2009)
on palliative care: a model for innovative health and social policies,
“recognises that the limits of any medical intervention are determined
by the autonomy of the individual patients in so far as they express
their will not to receive curative treatment or, regardless of any
medical assessment of their state of health, have done so explicitly
in a living will, for instance”.
With regard to legal regulations
on living wills, the Assembly recommended “avoid[ing] creating legal
arrangements which could lead to interpretation problems in practice”
and “conduct[ing] a comprehensive assessment of the legal consequences,
taking account of possible legal side effects such as asset liability ('care
as a financial loss')”.
5. Regulations at
national level: overview and the case of Spain
5.1. Overview
18. According to Professor Andorno, the situation in
Europe is very diverse, ranging from no legislation whatsoever on
advance directives, to specific legislation which confers binding
effect on them. Professor Andorno distinguishes four groups of countries
(categories followed by selected examples):
- “countries where specific laws have been adopted making
advance directives legally binding (Austria, Belgium, Finland, Germany,
Hungary, the Netherlands, Spain, Switzerland, United Kingdom);
- countries where specific laws on this matter have been
adopted in recent years, though these documents are not legally
binding (France);
- countries where there is no specific legislation yet,
but which are planning to introduce it in the next few years (Italy);
- countries where there is no specific legislation yet and
which do not have concrete plans to introduce it in coming years
(Bulgaria, Greece, Lithuania, Norway, Portugal, Serbia, Slovakia,
Turkey).”
19. Even in countries which have adopted specific laws making
advance directives legally binding, the exact laws and specifications
differ, as does the degree of their actual implementation. This
could be due to culture – Professor Andorno noted that national
approaches varied according to the degree of patient autonomy, which was
given prominent value in some countries whilst others relied on
more “paternalistic” decision-making structures.
But
it could also be due to the different standards of care in member
states connected with their different standards of living – Professor
Butenko pointed out, for example, that national laws concerning
living wills did not exist in Ukraine for the time being, mainly
because the level of interest in the issue was generally very low
as a majority of people were mostly preoccupied with access to basic
services in the context of the current deficient health-care system
in the country.
5.2. Spain
20. As I know the Spanish regulations in the field very
well, I would like to present them here as an example of “good practice”
(which can nevertheless, of course, still be improved upon). The
laws that regulate living wills in Spain affirm that prior instructions
which are against the law, are not good practice or those which
do not correspond to the actual facts that the interested party
anticipated at the time of signing the document will not be applied.
This is a provision, to my knowledge, which is found in all laws
of countries which have made advance directives legally binding.
21. Concerning these limits, it is important to say that even
if at the time of signing the living will some practices are not
available or are illegal, they can become available or legal in
the future. Consequently, the person who signs a living will can
include desires and demands which are impossible to have applied
at that moment but which could possibly be fulfilled in the future.
22. For the living will to be accessible to all the medical community,
it is mandatory to register it in a national register and to include
it in the clinical history of the person who signed it. Moreover,
a living will can always be revoked by the person who signed it,
under the same conditions as when he or she signed it.
23. In Spain, a living will can be formalised in three ways:
a. Before a notary. In this case,
the presence of witnesses is not needed.
b. Before three witnesses of legal age and with full legal
capacity. Among these three witnesses, at least two of them cannot
be relatives (up to and including cousins) and cannot have any patrimonial relationship
with the interested party.
c. Before a government civil servant (normally an employee
of the Living Will Registry of the Autonomous Region). In this case,
the presence of witnesses is also not needed.
24. The direct participation of health professionals is not required
in Spain.
6. Remaining challenges
25. A recent bulletin of the World Health Organization’s
(WHO) regional office for Europe
on palliative care for older people
explains that “older people may benefit from making advance statements,
including reducing the burden of decision-making on their families,
but they also have concerns about associations with euthanasia;
the possibility that preferences for care may change; reluctance
to think about death; and the time needed for older people to trust
professionals enough to talk about such sensitive issues. There
are also concerns that such statements are nearly always about treatment
withdrawal rather than specifying active choices, with the fear
that this feeds into prejudice against age and disability. Some
doctors are unsure of the legal status of advance directives, which
can result in them being misapplied or ignored”.
26. I think this is quite a good summary of the remaining challenges
to be faced. I would like to go through the implications one by
one:
6.1. Promotion of advance
directives
27. Advance directives, whatever form they take (living
wills, continuing powers of attorney, etc), are to the benefit of
everyone involved, from the patient (who can thus ensure that his
or her previously expressed wishes are taken into account), over
the relatives (whose decision-making burden in highly emotional
circumstances is reduced) to the doctor (who can tailor treatment
and care to the patient’s previously expressed wishes). It is thus
not just “older people” who should make advance directives – everyone
should. Indeed, this is the official position of the Council of
Europe, which in Committee of Ministers Recommendation CM/Rec(2009)11 recommended
that states promote continuing powers of attorney and advance directives
and should consider giving those methods priority over other measures
of protection, in accordance with the principles of self-determination
and subsidiarity.
6.2. Associations with
euthanasia and concerns about treatment withdrawal
28. The associations with euthanasia are unfortunate,
and – in most countries (the vast majority of Council of Europe
member states outlaw euthanasia) – wrong. Making an advance directive
can, on the contrary, help to ensure that no form of euthanasia
is practised on oneself against one’s will: an advance directive
can also legitimately state: “I do not want anything done or omitted
by my doctors or nurses with the intention of taking my life.”
Similarly, advance directives are
not slanted towards treatment withdrawal versus “active choices”; an
advance directive can state the patient’s preference for life-support
treatment (and which kind of treatment) in different circumstances,
in the same way as that preference can be conditional (e.g. accepted
on the premise that it might help the condition) or refused. What
is needed is a more open debate on end-of-life situations in general
and a more informed debate on advance directives in both the body
politic and the general public in order to dispel the wrong associations
with euthanasia.
6.3. Taking into account
changes in the preferences for care
29. It is important that legislation on advance directives
foresees the possibility for a person’s/patient’s preferences to
evolve over time, and thus make it possible to change the advance
directives (provided that the patient remains capable of decision
making
).
Indeed, this is the official position of the Council of Europe, which
in Committee of Ministers Recommendation CM/Rec(2009)11 stated the
principle that: “An advance directive shall be revocable at any
time and without any formalities.”
In
fact, everyone who makes an advance directive should be encouraged
to review that directive at regular intervals, for example once
a year.
6.4. Trust in professionals,
legal status and proper application of advance directives
30. In a patriarchal and/or paternalistic culture where
“doctor knows best”, patients – women in particular – are sometimes
not even told by their doctor or their family that they have a terminal
disease. It is a big jump from this type of culture to a mindset
which empowers the patient to make active choices about their treatment and
care when they are unconscious or unable to express their wishes.
But full and informed consent to medical treatment is a precondition
for that treatment not to be a human rights violation, and culture
should not be allowed to stand in the way of human rights. That
is why it is important that all Council of Europe member states
which do not yet regulate advance directives establish a road map
to them, as Professor Butenko suggested during the hearing.
31. It is equally important that both health and other professionals
(for example in the legal profession, or civil servants) involved
in giving advice on advance directives be properly trained to do
so adequately. Similarly, those professionals asked to apply the
directives should be well informed about their legal status and
their proper application. Ideally, advance directives enable previously
expressed wishes of patients to be fully taken into account in a
dialogue with carers and family members: for this, trust in the
professionals needs to be established.
6.5. Making advance
directives understandable and accessible
32. One aspect not mentioned by WHO, but which I personally
find central, is the challenge of making advance directives “understandable”
and accessible. In the United States of America, the percentage
of people with advance directives is far higher than in European
countries – this may be both a matter of culture and linked to the
standard of care, but it may also be linked to the fact that one
form developed by a non-governmental organisation seems to dominate
(“Five wishes”). This form (which costs US$5) is available in many
languages and types, can be filled in online or in print form, and
is written in a language which is easy to understand, making it
accessible to most. It may not have the legal sophistication of
the model put forward by the German Federal Ministry of Justice,
for example, but I personally think that the multiplication of complicated model
forms to choose from (as in Spain, where there are several different
forms in the 17 autonomous regions) discourages rather than encourages
people from making advance directives, as do too high fees connected with
setting them up.
33. Once an advance directive has been made, it is important that
it can be consulted immediately when needed. The question of where
such directives should be registered is thus also one of accessibility: personally,
I quite like the Spanish model of public regional registries – which
could (and perhaps should) be complemented by a national registry.
7. Conclusions
and recommendations
34. There is a general consensus based on Article 8 of
the European Convention on Human Rights on the right to privacy
that there can be no intervention affecting the person without his
or her consent. From this human right flow the principles of personal
autonomy and the principle of consent. These principles hold that the
patient must not be manipulated and that his or her will, when clearly
expressed, must prevail even if it signifies refusal of treatment:
no one can be compelled to undergo a medical treatment against his
or her will.
35. The Council of Europe has included this principle in the Oviedo
Convention, which legally binds the majority of member states. The
convention also takes into account the situation in which a patient
is no longer able to express his or her will by stipulating that
the previously expressed wishes relating to a medical intervention
by a patient who is not, at the time of the intervention, in a state
to express his or her wishes “shall be taken into account”. The
ways in which these wishes can be formalised are advance directives,
living wills or continuing powers of attorney. In 2009, the Committee
of Ministers recommended that member states promote these, and laid
down a number of principles to guide member states in regulating
them.
36. However, on the ground, the situation in Europe is very diverse,
ranging from no legislation whatsoever on advance directives, to
specific legislation which confers binding effect on them. Even
where specific legislation does exist, it is not always fully implemented,
and the take-up of advance directives, living wills and/or continuing
powers of attorney mostly remains low.
37. I consider that the Council of Europe has done the right thing
by promoting these tools, which make it possible to protect human
rights and dignity by taking into account previously expressed wishes
of patients. However, further promotion is obviously needed: more
countries need to ratify the Oviedo Convention, more countries need
to apply Recommendation CM/Rec(2009)11, and all countries need to
review their relevant legislation with a view to possibly improving
it. This is where I hope the Parliamentary Assembly will be able
to make a substantive contribution.