Mallardi V
Cattedra di Otorinolaringoiatria, Istituto di Odontostomatologia, Università Politecnica delle Marche, Ancona, Italy.
Acta Otorhinolaryngol Ital. 2005 Oct;25(5):312-27.
The principle of informed consent, aimed at the lawfulness of health assistance, tends to reflect the concept of autonomy and of decisional autodetermination of the person requiring and requesting medical and/or surgical interventions. This legal formula, over the last few years, has gained not only considerable space but also importance in the doctrinal elaboration and approaches, as well as juridical interpretations, thereby influencing the everyday activities of the medical profession. Informed consent is still the object of continuous explorations, not only asfar as concerns the already confirmed theoretical profile but, instead, the ambiguous practical and consequential aspect. Analysing how the concept and role of consensus was born and developed with the more adequate and reasonable excursions to make it valid and obtain it, it is impossible not to take into consideration, on the one hand, the very ancient philosophical origins and, on the other, the fact that it was conditioned by religion with the moral aspects and the accelerated deontological evolution with pathways parallel to the needs and the progress offered by new forms of treatment and novel biotechnological applications. The principle of consent is a relatively new condition. In fact, already in the times of not only the Egyptian civilisation, but also the Greek and Roman, documents have been found which show how the doctor's intervention had, in some way, first to be approved by the patient. Plato (law IV) had already foreseen the problems, the procedures and the modes of information which are, in synthesis, at the root of the principles of the present formula of informed consent and correlated the practice of the information and consensus with the quality and social position of the patient. The only guarantee that the patient might have, derived from a fundamental principle of medicine of all times: "in disease, focus on two aims, to improve and not to cause damage". A figure can be recognised, in the Hippocratic physician, that cared about the patient's suffering, but never neglected looking after his own outcome, endeavouring to avoid becoming involved in lack of success and death of a patient. The concept of consensus is inexistent, albeit, there is an awareness of the presence of precautious and preventive information. In the behaviour of doctors, in ancient times, it is not difficult to recognize the true motives and the real reasons that, already in those days, give rise to the necessary "defensive medicine" particularly as far as concerns the social status of the patient. Already from the early origins, continuing the Hippocratic tradition, the relationship between doctor and patient was consolidated, based upon two very definite criteria, represented, on the one hand, by the professional duty of the physician to do what is bestfor the patient and, on the other, the duty of the patient to completely accept the physician's decisions and intervention. The Hippocratic physician respected a principle of professional responsibility which was more religious and of a moral type, but, from a legal point of view, very weak inasmuch as it depended upon regulations elaborated by human beings. The conviction and certainty that the physician acted, in the interest of his patient's well-being, has been passed down over the centuries endowing the physician with moral authority and a kind of legal impunity, conditions which corresponded, in an almost reflection-likefashion, with the duty of obedience and subjection, on the part of the patient. Christianity was grafted into this consolidated vision of the sacral character of medicine and medical practice, which did not substantially change the Hippocratic type of ethical behaviour. Non only the population but also the Christian physician was aware of the religious importance of his intense activity as a mission and compared to a special kind of priesthood in safe-guarding health, considered as a gift of God. Therefore, invested with this authority which derived from his professional role and from his very work, he felt it his duty to guide the patient, deciding and for him. The patient is an ignorant person who does not have the knowledge, the intellectual capacity or moral authority to oppose or disagree with the wishes and decisions of the physician who, instead, on account of his doctrine, knows exactly what is goodfor him. In this regard, if we were to speak of consensus concerning the physician's intervention, he would be considered useless in as much as obvious and understood when seeking help. The attitude of the patient towards the physician has always tended to one of strong faith and characterized by psychological subjection borne out by traditions thousands of years old. A patient who was sick, again, as an attitude of respect and gratitude, followed the treatment but never asked for any explanations regarding the therapeutic effects and the physician refrained from taking any initiative to inform the patient or his/her family. Each phenomenon, therefore, has a precise origin, a well-defined history and when its importance tends to significantly condition the activities concerning Man, a desire emerges to learn the origin and the history. As is well known, a trial commenced in Nuremberg, on December 19, 1946, of Nazi doctors and a code was defined in which the judges, all Americans, clearly emphasized a view of medical research and technology: science should never transform or consider human beings as an instrument to be employed for scientific purposes. In actual fact, documents exist providing evidence that a few decades before the drawing up of the Nuremberg Code, the need had been expressed, in Germany itself to somehow make medical interventions and actions legal by means of the use and practice of consensus. The moral and ethical principles in those documents, even if not available as bibliographic references in the English literature, certainly merit, from a historical viewpoint to be considered as conceptual elements and doctrinal and socio-cultural products, even if at that time, of little practical importance, which belong to the European culture and, in particular, and almost paradoxically, in the light of what happened, to the German culture. The United States of America is held to be the country of origin of informed consent, the initial aim of which was make sure that the correct dignity of the patient's independence be reserved at the time of decision making and choice of medical options. Reports on this topic, in fact, first appeared in the USA, at the beginning of the 18th Century, with problems focusing on and limited to only the simple rights of the patient in giving his/her approval of the health intervention later to be conceptually developed, along the lines of an itinerary with, at intervals, famous legal actions, until in the 20th Century, informed consent was reached, a criterion that, as is well known, foresees and includes not only the important and fundamental autonomy of the patient to decide, which stems ones personal rights, but also the essential objective element, which is, information. The expression informed consent has simply been transposed in Italian and roughly translated in an ambiguous fashion into "consenso informato" when, on the contrary, it should be referred to as "informazione per il consenso" "information for consensus" not only to respect the concept but, surely, for a more correct deciphering and a more precise interpretation related to the numerous concepts it presupposes and implies. Information and consent may be compared to the two sides of the same coin. These are the two important pillars that coincide and are joined giving weight to the medical responsibility, as far as concerns consent to the health intervention: on the one hand, having obtained consent,following correct and sincere information interpreted and deciphered as an important phase and an essential indicator of correct, scrupulous medico-professional procedure and, on the other, the consensus itself conceived as a duty aiming at the maximum respect of the rights to autodetermination, independence and autonomy of the patient, as a person. At the beginning of the Nineties, as we have seen, we were made aware of a series of legal actions regarding medical responsibility which was greatly conditioned by the Anglosaxon influence which initially induced many Italian magistrates and forensic physicians to adopt an extremely rigid attitude with no attempt to comply, in any way, with the culture and traditions of our country and our tradition which has always been inspired by good common sense, both medical and human. The American experience has been very rapidly adopted, by some, without a profound, complete and necessary historical and evolutional analysis aimed at those intertwined principles that have been motifs that have gradually led to the legal references in those emblematic cases referred to, the conclusions of which continue to attract a great deal of attention. In Italy, the legal and doctrinal evolution of informed consent, even if following a little more rapidly the traces, steps, problems and interpretations of the various aspects drawn up, characterized and applied in the United States, has not only occurred at a later time, but, despite reaching the same meaningful objectives, the same considerations, the same importance, and, unfortunately, the same inconveniences, has had quite different aims, approaches and articulations. In this respect, it is enough to focus attention on the different cultural traditions and religious routes, on the different doctrinal background, the particular historical origins and the individual legal aspects, all extremely different one from the other. (ABSTRACT TRUNCATED)
知情同意原则旨在确保医疗救助的合法性,它体现了患者在接受医疗和/或外科手术干预时的自主决定权。在过去几年中,这一法律原则在学术阐释、研究方法以及司法解释中不仅占据了相当大的篇幅,而且愈发重要,进而影响着医疗行业的日常活动。知情同意仍然是持续探索的对象,这不仅涉及已确定的理论层面,更在于其模糊的实践和后续影响。通过对共识概念及作用的产生与发展进行更充分、合理的探讨,使其具有效力并得以实现,我们一方面不能忽视其古老的哲学渊源,另一方面也要认识到它受到宗教道德层面的制约,以及与新治疗形式和生物技术应用需求及进步并行的道义论的加速演变。同意原则是一个相对较新的条件。事实上,早在埃及文明、希腊和罗马时代,就已发现相关文献表明医生的干预在某种程度上首先需得到患者的批准。柏拉图(《法律篇》第四卷)已经预见了如今构成知情同意原则基础的问题、程序和信息告知方式,并将信息告知与共识的实践与患者的素质和社会地位联系起来。患者唯一可能拥有的保障源自医学的一项基本原则:“在疾病治疗中,关注两个目标,即改善病情且不造成伤害”。希波克拉底医生这一形象体现了对患者痛苦的关怀,但也从未忽视自身的治疗结果,努力避免陷入治疗失败和患者死亡的困境。虽然当时不存在共识的概念,但已有对谨慎和预防性信息的认知。在古代医生的行为中,不难识别出那些在当时就引发必要“防御性医疗”的真正动机和实际原因,尤其是涉及患者社会地位的情况。从早期起源开始,延续希波克拉底传统,医患关系基于两个明确标准得以巩固,一方面是医生为患者提供最佳治疗的职业责任,另一方面是患者完全接受医生决定和干预的责任。希波克拉底医生遵循的是一种更具宗教和道德性质的职业责任原则,但从法律角度看,该原则因依赖人类制定的规则而非常薄弱。医生为患者福祉行事的信念和确定性历经数百年传承,赋予医生道德权威和一种法律豁免权,这与患者的服从和从属义务几乎如镜像般对应。基督教融入了这种对医学和医疗实践神圣性的既定观念,这在很大程度上并未改变希波克拉底式的道德行为。不仅普通民众,就连基督教医生都意识到其作为使命的高强度活动的宗教重要性,并将其与守护健康的特殊神职人员角色相比较,健康被视为上帝的恩赐。因此,凭借源自其职业角色和工作的这种权威,他认为引导患者并为其做决定是自己的职责。患者是无知之人,缺乏知识、智力能力或道德权威来反对或不同意医生的意愿和决定,而医生凭借其学说确切知晓对患者有益之事。就此而言,如果我们谈及对医生干预的共识,由于寻求帮助时这是显而易见且被理解的,所以会认为它并无用处。患者对医生的态度一直倾向于高度信任,并以数千年传统所证明的心理服从为特征。生病的患者再次以尊重和感激的态度接受治疗,但从不要求对治疗效果进行任何解释,医生也不会主动向患者或其家属提供信息。因此,每种现象都有确切的起源、明确的历史,当其重要性显著影响人类相关活动时,人们就会产生了解其起源和历史的愿望。众所周知,1946年12月19日在纽伦堡对纳粹医生进行了审判,并制定了一部法典,其中法官(均为美国人)明确强调了一种医学研究和技术观:科学绝不应将人类转变或视为用于科学目的的工具。实际上,有文件证明在纽伦堡法典起草的几十年前,德国就已表达了通过共识的运用和实践使医疗干预和行动合法化的需求。这些文件中的道德和伦理原则,即使在英文文献中没有作为参考文献出现,但从历史角度看,无疑应被视为概念元素以及学说和社会文化产物,尽管在当时实际重要性不大,它们属于欧洲文化,尤其是几乎自相矛盾地鉴于所发生的事情,属于德国文化。美国被认为是知情同意原则的发源地,其最初目的是确保在患者做出医疗选择决策时保留其正确的独立尊严。事实上,关于这一主题的报道最早于18世纪初出现在美国,问题集中且仅限于患者同意健康干预的简单权利,后来在一系列著名法律行动的推动下,这一概念沿着一条路线逐步发展,直到20世纪,达成了知情同意原则,众所周知,该原则不仅预见并包含了源自个人权利的患者自主决定的重要基本权利,还包括信息这一关键客观要素。“知情同意”这一表述只是被直接翻译成意大利语,并以一种模糊的方式大致译为“consenso informato”,而实际上应称为“informazione per il consenso”(“用于共识的信息”),这不仅是为了尊重概念,当然也是为了更准确地解读以及更精确地解释它所预设和隐含的众多概念。信息和同意可被比作同一枚硬币的两面。这是两个重要支柱,它们相互契合并结合在一起,赋予了医疗责任以分量,就健康干预的同意而言:一方面,在获得同意后,正确而真诚的信息告知被视为正确、严谨的医疗专业程序的重要阶段和关键指标;另一方面,同意本身被视为一项旨在最大程度尊重患者作为人的自决权、独立权和自主权的义务。如我们所见,在九十年代初,我们注意到一系列关于医疗责任的法律行动,这些行动受到盎格鲁 - 撒克逊影响的极大制约,最初导致许多意大利法官和法医采取极端僵化的态度,完全不顾及我国一直以来受良好常识(包括医学和人文常识)启发的文化和传统。一些人迅速采纳了美国的经验,却没有对那些相互交织的原则进行深入、全面且必要的历史和演变分析,这些原则是逐步导致上述标志性案例中法律参考依据的主题,其结论至今仍备受关注。在意大利,知情同意原则的法律和学说演变虽然在一定程度上更迅速地追随了美国在各个方面制定、界定和应用的轨迹、步骤、问题及解释,但不仅发生时间较晚,而且尽管达成了相同的有意义目标、相同的考量、相同的重要性,不幸的是也存在相同的不便之处,但其目标、方法和阐述却截然不同。在这方面,只需关注不同的文化传统和宗教路径、不同的学说背景、特殊的历史起源以及各自的法律层面,它们彼此之间都极为不同。 (摘要截断)