Hostname: page-component-586b7cd67f-tf8b9 Total loading time: 0 Render date: 2024-11-28T23:28:31.889Z Has data issue: false hasContentIssue false

The Legal and Functional Status of the Medical Proxy: Suggestions for Statutory Reform

Published online by Cambridge University Press:  01 January 2021

Extract

Medical technology, specialization, and the corporatization of health delivery systems in the late twentieth century have all helped give birth to an unwelcome but unavoidable responsibility for individuals with family or friends—serving as a health care proxy. The responsibility comes without monetary compensation, is often involuntary, and lacks any real guidelines beyond the duty to make life-and-death decisions in circumstances over which the proxy has little control.

The parameters of the proxy's job have evolved somewhat awkwardly in statutes and case law, as lawmakers and judges have tried to apply conventional concepts to novel circumstances. This article examines the legal and functional status of the proxy, as well as the strengths and weaknesses of current public policy as reflected by state advance directive and surrogate decision-making laws. The first section of the article provides a historical perspective of our current notions of agency law as relevant to health care proxies.

Type
Article
Copyright
Copyright © American Society of Law, Medicine and Ethics 1999

Access options

Get access to the full version of this content by using one of the access options below. (Log in options will check for institutional or personal access. Content may require purchase if you do not have access.)

References

See Holmes, O.W., “Agency I,” Harvard Law Review, 4 (1891): 345–65; and Holmes, O.W., “Agency II,” Harvard Law Review, 5 (1891): 123.CrossRefGoogle Scholar
See Markesinis, B.S. and Mundey, R.J.C., An Outline of the Law of Agency (Austin: Butterworth Legal Publications, 1992): at vii.Google Scholar
See SirHoldsworth, W., A History of English Law (London: Methuen, Vol. VIII, 1966): at 222.Google Scholar
See SirPollock, F. and Maitland, F.W., The History of English Law (London: Cambridge University Press, Vol. II, 1968): at 228.Google Scholar
Id. at 228 n.1.Google Scholar
See Holdsworth, supra note 3, at 223.Google Scholar
See Fridman, G.H.L., The Law of Agency (London: Butterworths, 5th ed., 1983): at 5.Google Scholar
Id. at 5–6.Google Scholar
Restatement (Second) of Agency § 1 (1957).Google Scholar
Id. § 1 cmt. b.Google Scholar
See Powell, R., The Law of Agency (London: Pitman, 2nd ed., 1961): at 7.Google Scholar
Black's Law Dictionary (St. Paul: West, 6th ed., 1990): at 753.Google Scholar
See Powell, supra note 12; Fridman, supra note 8; and Holdsworth, supra note 3, at 227.Google Scholar
See Powell, supra note 12.Google Scholar
An oft-applied enumeration of factors distinguishing employee from independent contractor is that contained in the Internal Revenue Service's (IRS) Revenue Ruling 87–41. See Rev. Rul. 87–41, 1987–1 CB 296. The IRS enumeration closely approximates the criteria typically considered in common law analyses of the distinction.Google Scholar
See Restatement (Second) of Agency § 17 (1957).Google Scholar
See, for example, Moses, A.L. and Pope, A.J., “Estate Planning, Disability, and the Durable Power of Attorney,” South Carolina Law Review, 30 (1979): at 530 (“[T]hese rights may be so personal as to be nondelegable. If marriage and making a will are nondelegable duties, it is possible that the South Carolina Supreme Court may so classify delegations of the right to refuse medical treatment.”); see also Note, “Court Enforcement of a Durable Power of Attorney,” University of San Francisco Law Review, 17 (1983): at 614 n.16 (nondelegable acts “possibly” include the principal's life or death medical decisions).Google Scholar
See Annas, G.J. and Glantz, L.H., “The Right of Elderly Patients to Refuse Life-Sustaining Treatment,” Milbank Quarterly, 64, Supp. 2 (1986): 136–38; and Legal Counsel for the Elderly/AARP, Decision-Making, Incapacity, and the Elderly: A Protective Services Practice Manual (Washington, D.C.: American Association of Retired Persons, 1987): at 6.Google Scholar
See, for example, Hare, J. Pratt, C., and Nelson, C., “Agreement Between Patients and Their Self-Selected Surrogates on Difficult Medical Decisions,” Archives of Internal Medicine, 152 (1992): 1049–54; Emanuel, E. and Emanuel, L., “Proxy Decision Making for Incompetent Patients: An Ethical and Empirical Analysis,” JAMA, 267 (1992): 2067–71; Seckler, A.B. et al., “Substituted Judgment: How Accurate Are Proxy Predictions?,” Annals of Internal Medicine, 115 (1991): 92–98; Zweibel, N.R. and Cassel, C.K., “Treatment Choices at the End of Life: A Comparison of Decisions by Older Patients and Their Physician-Selected Proxies,” Gerontologist, 29 (1989): 615–21; and Pearlman, R.A. Uhlmann, R.F., and Jecker, N.S., “Spousal Understanding of Patient Quality of Life: Implications for Surrogate Decisions,” Journal of Clinical Ethics, 3 (1988): 114–21.Google Scholar
President's Commission for the Study of Ethical Problems in Medicine and Biomedical and Behavioral Research, Making Health Care Choices, Volume One: Report (Washington, D.C.: U.S. Government Printing Office, 1982): at 36.Google Scholar
Lynn, J., “Why I Don't Have a Living Will,” Law, Medicine & Health Care, 19 (1991): at 102.Google Scholar
See, for example, Collopy, B.J., “The Moral Underpinning of the Proxy-Provider Relationship: Issues of Trust and Distrust,” Journal of Law, Medicine & Ethics, 27 (1999): 3745.Google Scholar
See Dubler, N. and Nimmons, D., Ethics On Call (New York: Harmony Books, 1992): at 39–84.Google Scholar
Restatement (Second) of Agency § 13 (1957).Google Scholar
Id. § 13 cmt. a.Google Scholar
For a detailed discussion of decision-making standards, see Meisel, A., The Right to Die (New York: Wiley Law Publications, Supp. 1996): at § 9. See also The Hastings Center, Guidelines on the Termination of Life-Sustaining Treatment and the Care of the Dying (Briarcliff Manor: The Hastings Center, 1987). The guidelines provide a useful benchmark for comparison of other formulations. The guidelines suggest a three-part standard for surrogate decision making—the first part being a formulation of the substituted judgment standard, the last part the best interests standard, and the middle part a blend of the two:Google Scholar
See Horttor, B.J., “A Survey of Living Will and Advanced Health Care Directives,” North Dakota Law Review, 74 (1998): 233–93. For a review of default surrogate laws, see O'Connor, C.M., “Statutory Surrogate Consent Provisions: A Review and Analysis,” Mental and Physical Disability Law Reporter, 20 (1996): 128–38.Google Scholar
There is no common terminology for these “default” surrogate laws. Some states refer to the default decision-maker as surrogate. See, for example, Ala. Code § 22–8A-11 (1998); 755 Ill. Comp. Stat. Ann. 40/25 (West 1998); and Md. Code Ann., Health Gen. § 5–605 (1998). Many more states have no specific term for this person. Further confusing matters, Florida and Kentucky call an appointed agent a surrogate. See Fla. Stat. Ann. § 765.101(14) (West 1998); and Ky. Rev. Stat. Ann. § 311.621 (Banks-Baldwin 1999). Florida calls the “default” surrogate a proxy. See Fla. Stat. Ann. § 765.101(13) (West 1998).Google Scholar
One feature that often differs between appointed proxies and surrogates is the existence of multiple family surrogates at the same priority level. Proxies are usually, though not always, appointed to serve singly; whereas several children may all have joint authority to make health decisions for their parents under default surrogate laws. This fact adds to the complexity of the task and a possibly greater need to work out differences of opinion among decision-makers. See O'Connor, supra note 28.Google Scholar
This review does not include special mental health proxy laws that currently exist in at least eight states. See Alaska Stat. §§ 47.30.950 to .980 (Michie 1998); Haw. Rev. Stat. Ann. § 327F (Michie 1998); Idaho Code §§ 66–601 to −613 (1998); 755 Ill. Comp. Stat. Ann. 43/1 to 43/115 (West 1998); Minn. Stat. Ann. § 253B.03 (West 1998); N.C. Gen. Stat. §§ 122C-71 to −77 (1997); Okla. Stat. Ann. tit. §§ 43A 11–101 to −113 (West 1999); and Or. Rev. Stat. §§ 127.700–.735 (1998).Google Scholar
See Horttor, supra note 28; and Larson, E.J. and Eaton, T.A., “The Limits of Advance Directives: A History and Assessment of the Patient Self-Determination Act,” Wake Forest Law Review, 32 (1997): 349–93.Google Scholar
Tenn. Code Ann. § 34-6-208(b) (1998); and Cal. Prob. Code § 4750(b) (West 1999).Google Scholar
A full review of the statutory provisions, including the actual language, is available from the author.Google Scholar
Cal. Prob. Code § 4720(c) (West 1999).Google Scholar
See Del. Code Ann. tit. 16, § 2503(f) (1998); Md. Code Ann., Health-Gen. §§ 5–601(e), 5–605(c)(2), (3) (1998); N.J. Stat. Ann. § 26:2H-63(c) (West 1999); and W. Va. Code § 16–30B-8(b) (1998).Google Scholar
Md. Code Ann., Health-Gen. § 5–605(c)(2), (3) (1998) (emphasis added).Google Scholar
Id. § 5–601(e) (emphasis added).Google Scholar
See Dubler, N.N., “The Doctor-Proxy Relationship: The Neglected Connection,” Kennedy Institute of Ethics Journal, 5 (1995): at 293.Google Scholar
See, for example, Larson, and Eaton, supra note 32, at 278; Teno, J. et al., “Advance Directives for Seriously Ill Hospitalized Patients: Effectiveness with the Patient Self-Determination Act and the SUPPORT Intervention,” Journal of the American Geriatrics Society, 45 (1997): 500–07; and Orentlicher, D., “The Illusion of Patient Choice in End-of-Life Decisions”, JAMA, 267 (1992): 2101–04.Google Scholar
See Omnibus Budget Reconciliation Act of 1990, Pub. L. No. 101-508, §§ 4206, 4751 (known as the “Patient Self-Determination Act”), codified at 42 U.S.C. §§ 1395cc(a)(1)(Q), 1395mm(c)(8), 1395cc(f), 1396a(a)(57),(58), 1396a(w) (1998).Google Scholar
Ark. Code Ann. § 20-17-202(d) (1997).Google Scholar
See, for example, Me. Rev. Stat. Ann. tit. 18-A, § 5–807(b) (West 1998); and N.M. Stat. Ann. § 24–7A-7(B) (Michie 1998).Google Scholar
New Jersey's statute provides a rare example. It states: “In situations in which a transfer of care is necessary, … a health care institution shall assure the timely transfer of the patient's medical records, including a copy of the patient's advance directive.” N.J. Stat. Ann. § 26:2H-62(b) (West 1999).Google Scholar
Dubler, supra note 39, at 303.Google Scholar
Ariz. Rev. Stat. Ann. § 36–3231 (West 1998); Conn. Gen. Stat. Ann. § 19a-578 (West 1998); Ga. Code Ann. § 31-36-7(1) (1998); 755 Ill. Comp. Stat. Ann. 45/4-7(a) (West 1998); and Ind. Code Ann. § 30-5-7-3 (West 1998).Google Scholar
N.J. Stat. Ann. §§ 26:2H-63(a), (b) (West 1999).Google Scholar
Ariz. Rev. Stat. Ann. § 36–3204(B) (West 1998).Google Scholar
Colo. Rev. Stat. Ann. § 15–18.5–103(6.5) (West 1999).Google Scholar
Md. Code Ann., Health-Gen. §§ 5–605(b), 5–612(a) (1998).Google Scholar
N.J. Stat. Ann. § 26:2H-66 (West 1999).Google Scholar
See, for example, Me. Rev. Stat. Ann. tit. 18-A, § 5–807(a) (West 1998); Mo. Ann. Stat. § 404.820(4) (West 1999); N.H. Rev. Stat. Ann. § 137-J:2(IV) (1998); Tex. Civ. Prac. & Rem. Code Ann. § 135.002(d) (West 1998); and Vt. Stat. Ann. tit. 14, § 3453(d) (1998).Google Scholar
S.D. Codified Laws § 59-7-2.6 (Michie 1998).Google Scholar
When courts become involved through guardianship proceedings, a different question concerning overriding the authority of the proxy arises: Does a guardian automatically preempt the authority of the earlier appointed proxy? The states vary in their statutory answers to this question.Google Scholar
Del. Code Ann. tit. 16, § 2508(d) (1998).Google Scholar
Ind. Code Ann. § 30-5-7-3 (West 1998).Google Scholar
Ariz. Rev. Stat. Ann. § 36–3204(A) (West 1998).Google Scholar
Iowa Code Ann. § 144B.9.1.b (West 1998).Google Scholar
The present review looks only at conscience objections made against the decisions of proxies or surrogates. Conscience objections to living wills may or may not be governed by the same provisions, because many states have separate living will statutes with or without separate conscience objection provisions. For a concise summary of conscience clauses circa 1995, see Boozang, K.M., “Deciding The Fate of Religious Hospitals in the Emerging Health Care Market,” Houston Law Review, 31 (1995): at 1454 n.100.Google Scholar
Ky. Rev. Stat. Ann. § 311.633(3) (Banks-Baldwin 1999).Google Scholar
N.J. Stat. Ann. § 26:2H-62(b) (West 1999).Google Scholar
N.M. Stat. Ann. 1978 § 24–7A-7(E) (1998).Google Scholar
Conscience objections should be distinguished from refusals based on medical futility or inappropriateness. Futility concepts pose their own difficulties with respect to definition and judgment, but they are, at least in theory, matters resolved by application of generally accepted medical standards. Most advance directive laws have some variation of the following example from the Uniform Health-Care Decisions Act:Google Scholar
Ky. Rev. Stat. Ann. § 311.633(2) (Banks-Baldwin 1999).Google Scholar
Ohio Rev. Code Ann. § 1337.16(B) (Banks-Baldwin 1999).Google Scholar
Ala. Code § 22–8A-8 (1998).Google Scholar
Nev. Rev. Stat. § 449.628 (1997).Google Scholar
Tex. Health & Safety Code § 672.016 (West 1998).Google Scholar
Idaho Code § 39–4508 (1998).Google Scholar
Mass. Gen. Laws Ann. ch. 201D, § 14 (West 1998).Google Scholar
N.Y. Pub. Health Law § 2984(3) (McKinney 1999).Google Scholar
Tenn. Code Ann. § 34-6-214 (1998).Google Scholar
Haw. Rev. Stat. Ann. § 327–26 (Michie 1998).Google Scholar
755 Ill. Comp. Stat. 45/4-11 (West 1998).Google Scholar
Ariz. Rev. Stat. Ann. § 36–3209 (West 1998).Google Scholar
Louisiana and Maryland were not included among the states requiring that proxies give notice, because their statutes merely provided that any person may give the physician notice of the existence of an advance directive if the patient was not able to do so. See La. Rev. Stat. Ann. § 40:1299.58.3.B (West 1999); and Md. Code Ann., Health-Gen. § 5–602(f) (1998).Google Scholar
Ala. Code § 22–8A-11(c) (1998).Google Scholar
Ky. Rev. Stat. Ann. § 311.629(1) (Banks-Baldwin 1999).Google Scholar
See, especially, Orentlicher, D., “The Limits of Legislation,” Maryland Law Review, 53 (1994): 1255–305.Google Scholar
President's Commission for the Study of Ethical Problems in Medicine and Biomedical and Behavioral Research, Deciding to Forgo Life-Sustaining Treatment: Ethical, Medical and Legal Issues in Treatment Decisions (Washington, D.C.: U.S. Government Printing Office, 1983): at 30.Google Scholar
Id. at 23.Google Scholar
See President's Commission, supra note 21, at 151.Google Scholar
See Hardwig, J., “SUPPORT and the Invisible Family,” Hastings Center Report, 25, no. 6 (1995): S23S25.Google Scholar
See Orentlicher, supra note 40.Google Scholar
See Bopp, J. Jr. and Coleson, R.E., “A Critique of Family Members as Proxy Decisionmakers Without Legal Limits,” Issues in Law & Medicine, 12 (1996): 133–65.Google Scholar
N.J. Stat. Ann. § 26:2H-63(b) (West 1999).Google Scholar
See discussion at p. 60.Google Scholar
Uniform Health-Care Decisions Act, U.L.A. Health Care Dec. § 7(a) (1993).Google Scholar
Ind. Code Ann. § 16-36-1-11 (West 1998); Mo. Ann. Stat. § 404.840 (West 1999); Neb. Rev. Stat. § 30–3417 (1998); Or. Rev. Stat. § 127.535 (1998); and S.D. Codified Laws § 34–12C-6 (Michie 1998).Google Scholar
N.J. Stat. Ann. § 26:2H-63(a), (b) (West 1999).Google Scholar
755 Ill. Comp. Stat. 45/4-11 (West 1998).Google Scholar