APA RESOURCE DOCUMENT ON PHYSICIAN ASSISTED DEATH
Council on Psychiatry and Law
(Task Force: Stuart Anfang (chair), Richard Bonnie, Rebecca Brendel, Donna Chen,
Vivek Datta, Tanuja Gandhi, Steven K. Hoge, Robert Weinstock)
Approved by the Joint Reference Committee, October 2017
The findings, opinions, and conclusions of this report do not necessarily represent the
views of the officers, trustees, or all members of the American Psychiatric Associations.
The views expressed are those of the authors. APA Operations Manual
INTRODUCTION
The legalization of PAD has a variety of implications for psychiatrists and
psychiatric patients. First, current and recently proposed statutes require patients
to have the capacity to make the decision to die. In some cases, the attending
physician will refer patients of questioned capacity to psychiatrists for consultation.
In addition, recognizing that end-of-life decision-making may be complicated by
depression or other mental impairments, these laws require the attending physician
1
This is a controversial topic, evoking broad ethical debate within the medical profession, and within society
at large. The language used---ranging from “physician-assisted suicide (PAS)” and “euthanasia” to
“physician-assisted dying” and “death with dignity”---can color the underlying moral and advocacy
perspectives. For the purposes of this document, we will use the term “physician- assisted death (PAD)” in an
effort to find more neutral language.
2
As used in this document, PAD does not include activities currently considered as acceptable medical
practice within standard palliative and hospice care (i.e., terminal sedation, withdrawal of life support, DNR
orders).
Over the past two decades, a number of US states have enacted statutes
legalizing the practice of physician-assisted death (PAD).
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In 1997, Oregon passed
the first statute that legalized PAD. Washington (2008), Vermont (2013), California
(2015), and Colorado (2016) have followed suit. In addition, a state court ruling in
Montana legalized PAD in 2009. In 2015, the Supreme Court of Canada ruled PAD
to be legal and the Canadian Parliament subsequently enacted a law to implement
PAD. In February 2017, PAD was legalized in the District of Columbia. Legalization
of PAD has been proposed in about half of all states in recent years (for details, see
www.deathwithdignity.org). There appears to be a broad movement to consider
legalization of PAD that may lead to legislation in other states. In the United States,
PAD statutes have been restricted to patients with terminal illness, typically defined
as an illness that is irreversible and likely to lead to death within six months.
3
3
Internationally, countries such as the Netherlands, Belgium, and Luxembourg have extended PAD to non-
terminally ill patients.
© Copyright 2017, American Psychiatric Association. All rights reserved.
1
to evaluate patients with suspected mental disorders and, when indicated, refer
patients for psychiatric assessment.
The American Medical Association (AMA) Code of Medical Ethics has taken
the position that PAD is fundamentally incompatible with the physician’s role as
healer, would be difficult or impossible to control, and would pose serious societal
risks. (Opinion 2.211, issued June 1994; reissued in 2016 as Opinion 5.17, available
at https://www.ama-assn.org/sites/default/files/media-browser/code-of-medical-
ethics-chapter-5.pdf). APA members are bound by the AMA Principles of Medical
Ethics (Chapter 7, Section 1 of the Bylaws of the APA, May 2003). The American
College of Physicians has also taken a position against the legalization of PAD (ACP
Ethics Manual, Sixth Edition, 2012 available at https://www.acponline.org/clinical-
information/ethics-and-professionalism/acp-ethics-manual-sixth-edition). In
December 2016, the APA adopted a position statement on medical euthanasia
holding that a psychiatrist should not prescribe or administer any intervention to a
non-terminally ill person for the purpose of causing death.
In view of these developments, this Resource Document was developed to
provide background and relevant information to APA members regarding PAD. As
policymakers consider proposed PAD laws, APA members, state associations, and
district branches will likely play an important role in the legislative process.
This resource document provides a summary of the current legal status of
PAD in North America, followed by a review of the reported experience to date in
American PAD jurisdictions. We then discuss assessment of decision-making
capacity to choose PAD, and assessment of depression in the context of terminal
illness and requests for PAD.
This resource document should not be interpreted as stating an official APA
position on PAD.
SUMMARY OF CURRENT LEGAL STATUS OF PAD IN NORTH AMERICA
As of April 2017, PAD has been legalized in six US states, the District of
Columbia, and Canada. The statutes are summarized below.
- Oregon Death With Dignity Act
- Washington Death With Dignity Act
- California End of Life Option Act
- Vermont Patient Choice and Control at End of Life Act
- Canada: An Act to amend the Criminal Code and to make related
amendments to other Acts (medical assistance in dying)
- Montana effectively legalized PAS through court ruling in Baxter v. Montana
(2009); however, there is little regulatory guidance.
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- District of Columbia: Death with Dignity Act
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© Copyright 2017, American Psychiatric Association. All rights reserved.
- Colorado: End-of-Life Options Act
Oregon’s Death With Dignity Act serves as a framework for later Acts, which
largely mirror Oregon’s statutory scheme. Some minor differences have emerged.
Eligibility Criteria
PAD statutes consider an individual to be qualified to choose to end his or
her own life if he or she meets specified requirements. All five states and the District
of Columbia require that the individual be a capable/competent adult (18 years of
age or older), who is a resident of the state; be determined by medical evaluation as
suffering from a terminal disease; and to have made a voluntary expression of the
desire to die. California further requires the individual to possess both the physical
and mental ability to self-administer the lethal drug.
Canada considers a person eligible for assistance in dying if he or she is 18
years or older; eligible for government-funded health services (or would be eligible,
but for any applicable minimum residency requirement or waiting period); suffering
from a “grievous and irremediable medical condition; capable of making decisions
regarding his or her health; and has both made a voluntary request for aid in dying,
and given informed consent to receive this aid.
Residency
An individual requesting a drug for PAD must currently be a resident of the
state in which he or she requests the drug. Oregon, Washington, Vermont, District
of Columbia and Colorado require a physician to verify residency (Oregon and
Washington specifically reference the patient’s attending physician, or the doctor
with primary responsibility for the patient’s care). Non-exclusive lists of factors
demonstrating residency are set out by Oregon, Washington, California and
Colorado. These include driver’s license, voting registration and evidence of
property ownership or lease in the state. Only Oregon and California also list the tax
return for most recent year, although this is presumptively acceptable elsewhere
since valid proof is not limited to enumerated items.
In Canada, the primary medical practitioner or nurse practitioner and an
additional practitioner must provide written confirmation of the patient’s residency
and eligibility for government-provided health services.
Terminal Disease
All US states define a terminal disease as a medically confirmed disease
which is incurable and irreversible, and which will, within reasonable medical
judgment, produce death within six months. The attending (primary) physician is
responsible for making the initial determination that the patient is suffering from a
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terminal disease, and that determination must be confirmed by a consulting
physician who is similarly qualified to make a diagnosis and prognosis of the
patient’s disease. California emphasizes that a consulting physician should be
independent from the attending physician.
Canada utilizes the term “grievous and irremediable medical condition. One
exists if the person has a serious and incurable illness, disease or disability, and is in
an advanced state of irreversible decline in capability; the person is enduring
physical or psychological suffering as a result of the condition, which is intolerable
and cannot be relieved under conditions they feel are acceptable; and their natural
death has become “reasonably foreseeable (which does not require a prognosis
with any specific length of time). Importantly, the clause regarding psychological
suffering introduces an ambiguity regarding whether physician-assisted suicide
would be permissible for a patient suffering from intractable depression.
4
Two
medical or nurse practitioners are required to confirm in writing that such a
condition is present.
Decisional Capacity
Oregon, Washington and Vermont utilize nearly identical language to define
capacity to decide to request and use PAD medications. Oregon, Vermont and the
District of Columbia use the term capable while Washington uses competent”.
Colorado specifies in the opinion of an individual’s attending physician, consulting
physician, psychiatrist or psychologist, the individual has the ability to make and
communicate an informed decision to health care providers.
A person will be considered capable or competent if, in the opinion of the
attending and/or consulting physician, psychiatrist or psychologist, the patient has
the ability to make and communicate health care decisions to health care providers,
including communication through people familiar with that patient’s manner of
communicating. In Oregon, Vermont and Washington, the attending physician is
responsible for the initial determination of capacity or competency, and the
consulting physician confirms this determination. In Oregon and the District of
Columbia, a court may be called on to determine competence, but is not required to
do so as a matter of course.
California defines capacity to make medical decisions as the patients
abilityin the opinion of the attending or consulting physician, psychiatrist or
psychologistto not only make and communicate health care decisions, but also to
understand the nature, consequences, benefits, risks and alternatives of those
decisions. This determination is made by the attending physician and confirmed by
4
Another section of the Act states: 9.1 (1) The Minister of Justice and the Minister of Health must, no
later than 180 days after the day on which this Act receives royal assent, initiate one or more independent
reviews of issues relating to requests by mature minors for medical assistance in dying, to advance requests
and to requests where mental illness is the sole underlying medical condition.
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a consulting physician. Canadas Act does not address decisional capacity aside from
requiring a patient to be capable of making health care decisions.
Informed Decision
Each state requires that a patient’s decision to request and ingest life-ending
medication be informed. In all cases, the attending physician must discuss certain
subjects with the patient in order for him or her to be fully informed, and it is this
physician’s responsibility to decide whether the patient is making an informed
decision. These critical subjects for discussion are enumerated in each state statute:
the patient’s medical diagnosis and prognosis, the potential risks and probable
result of taking the medication to be prescribed, and the feasible alternatives to
taking the medication, including hospice care, comfort care and pain control.
California also requires the physician to discuss with the patient the possibility that
he or she may choose to obtain the medication but ultimately not take it.
Vermont includes in its statute a patient “right to information, which states
that the patient is entitled to receive answers to any specific questions about the
foreseeable risks and benefits of the medication without the physician withholding
any information, and without regard to the purpose of the inquiries. In this way,
Vermont ensures that a physician may provide complete information to the patient
without being construed to be assisting in or contributing to a patient’s
independent decision” to self-administer the medication.
Canada requires that two medical or nurse practitioners confirm in writing
that the patient wrote and signed his or her request for aid in dying after he or she
was fully informed that he or she has a grievous and irremediable medical condition.
Mental Health Assessments
Oregon, Washington, California, District of Columbia and Colorado direct the
attending or consulting physicians to refer patients for mental health assessment
under specified circumstances. The Oregon, Washington and District of Columbia
statutes require the attending or consulting physician to refer a patient for mental
health assessment if either believes that the patient may be suffering from a
psychiatric or psychological disorder or depression causing impaired judgment. The
Colorado statute specifies that if an attending or consulting physician does not
believe an individual to be mentally capable of making an informed decision, then
they must be evaluated by a mental health professional. California requires
physicians to refer patients if there are indications of a mental disorder, and is not
restricted to only patients with evidence of impairment. All five jurisdictions
emphasize that no medication to end life shall be prescribed until a professional
determines that the patient is not suffering from a disorder causing impaired
judgment.
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Vermont’s statute places less emphasis on mental health assessments. It
simply states that before a prescription is written, a physician must either verify
that the patient’s judgment is not impaired or refer him or her to a psychiatrist,
psychologist or clinical social worker for confirmation that his or her judgment is
not impaired. Canada’s law does not address mental health assessments.
Legal Requirements for Requests
All five states and the District of Columbia require an oral and a written
request for the prescription, and a subsequent reiteration of the oral request.
Written requests must be signed and dated by the patient and witnessed by at least
two individuals attesting that to the best of their knowledge, the patient is capable,
acting voluntarily and not under coercive pressure to request the medication.
California’s language diverges slightly, requiring attestation of knowledge that the
patient is of sound mind and not under duress, fraud or undue influence.
In all five states and the District of Columbia, at least one of the two
witnesses to the patient’s written request must not be what Vermont calls an
interested personthe witness cannot be a relative; entitled to a portion of the
patient’s estate under will or law; the patient’s physician; or the owner, operator or
an employee of the health care facility in which the patient is receiving care. Only
Vermont specifies that the witnesses must be at least 18 years of age. Oregon and
the District of Columbia require that if the patient is in a long-term care facility, one
witness shall be an individual designated by the facility and having qualifications
specified by rule by the Department of Human Services.
Each state directs the attending physician to offer the patient the right to
withdraw or rescind his or her request at any time and in any manner, regardless of
his or her mental state. This is a right which does not lapse. The offer to rescind
must be reiterated after the patient’s second oral request for the prescription.
Canada requires a written request, signed and dated by either the informed
patientor, if the patient is unable to sign, by another person on the patient’s behalf
(so long as that person is 18 years or older, understands the nature of the patient’s
request and does not know or believe he or she stands to benefit financially or
otherwise from the patient’s death). The patient must be informed that he or she
may withdraw the request at any time and in any manner. Immediately before
medication is provided, the patient must again be notified of the opportunity to
withdraw, and subsequently must expressly consent to receiving aid in dying if he
or she chooses to continue with the process.
Waiting periods
Oregon and Washington require that 15 days elapse between the patients
initial oral request and the writing of the prescription. Vermont, California, Colorado
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and the District of Columbia specify that the 15-day waiting period is measured
from the initial oral request to the time of the reiterated oral request.
With respect to written requests, Oregon and Washington require a 48-hour
waiting period between the patient’s signing of his or her written request and the
writing of the prescription. Vermont’s statute states that the physician must write
the prescription no fewer than 48 hours after the last to occur of the patient’s
written request, his or her second oral request, and the physician’s reiterated offer
of the opportunity to rescind the request. California does not specify the time frame
that must elapse between written request and prescription, but a California patient
must complete and execute a final attestation” form within 48 hours of scheduled
administration of the drug. The District of Columbia statute states that a written
request must be submitted at least 48 hours before the covered medication may be
prescribed or dispensed and before the patient makes his or her second oral
request.
Canada imposes a 10-day waiting period between the day the patient signed
his or her request and the day medication is provided. Deviation is permitted if the
two medical or nurse practitioners attesting to the patient’s condition and
qualification for aid in dying are of the opinion that the patient’s death, or loss of
capacity to provide informed consent, is imminentany period shorter than that
10-day window.
Methods of Dispensing Medication
The five states and the District of Columbia have nearly identical provisions
regarding medication dispensation. So long as the attending physician complies with
applicable state licensing and certification requirements, he or she may directly
dispense both the end-of-life prescription and any ancillary medications prescribed
to minimize the patient’s discomfort. Alternatively, with the patient’s consent, the
attending physician may contact and deliver the prescription to a pharmacist, who
will dispense the medication to the attending physician, the patient or an agent of
the patient.
Canadas Act does not address the precise methods of dispensing aid-in-
dying medications, but it does require the prescribing physician to notify the
dispensing pharmacist of the intended use for the medication prior to dispensation.
Administration of Medication
The Washington, California, Colorado and Vermont statutes contain language
referring to the ultimate self-administration” of the prescribed drug, which
involves the actual act of ingesting the medication. Although Oregon’s Act lacks
explicit references to self-administration, it contains provisions similar to ones
espoused by Washington and Vermont barring mercy killing and active
euthanasia by a physician or any other third person. California specifically states
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that while a person shall not be subject to liability for assisting a patient in
preparing the aid-in-dying drug, assistance with ingestion is not permitted. The
District of Columbia says that no person shall be liable criminally or civilly for being
present when a qualified patient takes the medication. Canada’s bill explicitly
permits euthanasia by including in the definition of lawful medical assistance in
dying the administering by a medical practitioner or nurse practitioner of a
substance to a person, at their request, that causes their death.
Additional Responsibilities of Attending Physician
Along with making determinations about the patient’s qualification for PAD
and handling drug requests and dispensation, there are other responsibilities the
attending physician must fulfill. All five states and the District of Columbia require
that before the attending physician writes the prescription, he or she recommends
that the patient notify next of kin (but the Acts also specify that no request for PAD
shall be denied if the patient is unable or refuses to do so), and counsels the patient
of the importance of having someone with them when they ingest the medication
and not doing so in a public place. California requires that the attending physician
counsel the patient about hospice program participation and the importance of
maintaining the drug in a safe and secure location until he or she chooses to ingest
it. The California attending physician is also obligated to obtain confirmation from
the patient outside the presence of other parties that the patient’s request for
medication did not arise from coercion or undue influence.
The attending physician must fulfill state-specific medical record
documentation requirements throughout this process, and sign the patients death
report. Canada similarly requires physicians to provide medical records in
accordance with regulations promulgated by the Minister of Health.
REPORTED EXPERIENCE TO DATE IN CURRENT PAD JURISDICTIONS
As of April 2017, published data and literature is available only from Oregon
and Washington, the first two jurisdictions to enact PAD statutes. There is no
published literature or collected data from Montana or Vermont (Vermont
maintains a general informational website:
http://healthvermont.gov/family/end_of_life_care/patient_choice.aspx), likely
reflecting the small population and infrequent use of PAD in those jurisdictions. The
statutes in California, Colorado, the District of Columbia and Canada have only
recently been enacted, so data has yet to emerge from those jurisdictions. Over the
next several years, we can anticipate significant data and published literature to be
available from California (39 million residents) and Canada (36 million residents)
given their large populations.
Reported Experience with PAD in Oregon
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In 1997 following a three year process, Oregon adopted the Death with
Dignity Act (DWDA), becoming the first American state to legalize PAD. The DWDA
allows terminally ill Oregon residents to obtain and use prescriptions from their
physician for self-administered lethal medications. Under the Act, ending one’s life
in accordance with the law does not constitute suicide. The DWDA specifically
prohibits euthanasia, where a physician or other person directly administers a
medication to end another’s life. The DWDA mandates that physicians and
pharmacies provide data to the Oregon Health Authority regarding prescriptions for
lethal medications. As a result, Oregon maintains the largest and most
comprehensive database regarding PAD in an American state, publishing annual
statistics
(http://public.health.orgeon.gov/ProviderPartnerResources/EvaluationResearch/D
eathwithDignityAct/Documents/year19.pdf).
As of January 2017, nearly 1750 people have received prescriptions written
under the DWDA, and more than 1100 patients have died from ingesting the
medications. From 1998-2013, the number of prescriptions written annually
increased at an average of 12%; however, over the past three years, the number of
prescriptions written increased by more than 30%, indicating a significant increase
in requests under the DWDA. In 2016, 102 physicians provided prescriptions to 204
patients, ultimately resulting in 114 deaths (an additional 19 people died in 2016
ingesting medications prescribed in previous years). More than three quarters
(77%) of the patients requesting PAD had cancer; 8% had amyotrophic lateral
sclerosis (ALS). The three most frequently mentioned end-of-life concerns were:
decreasing ability to participate in activities that made life enjoyable, loss of
autonomy, and loss of dignity.
Few patients have been referred for psychiatric assessment. Between 1998-
2016, a total of 57 patients (5.1%) out of 1127 who completed PAD under DWDA
were referred for psychiatric evaluation; in 2016, 5 patients (3.8%) out of 133 were
referred for evaluation. Oregon does not publish data regarding patients who were
referred for psychiatric evaluation, but were then found ineligible or who did not
ultimately receive a prescription for lethal medication under DWDA.
The Oregon Health Authority maintains a comprehensive website
(http://public.health.oregon.gov/ProviderPartnerResources/EvaluationResearch/D
eathwithDignityAct/Pages/index.aspx) regarding the DWDA, including a detailed
guidebook for health care professionals updated in 2008. As the state with the
longest experience with PAD, Oregon provides the context for most of the published
medical literature describing the experience of American physicians and patients
(Hedberg 2009; Hedberg 2003).
Psychiatrist Linda Ganzini MD has published several articles relating to
physician experience with requests for PAD, including frequency of initial requests
compared to final actual deaths (Ganzini 2000; Ganzini 2016). Ganzini and
colleagues have published the only articles looking at the impact of depression in
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Oregon requests for PAD and the attitudes of Oregon psychiatrists. Nearly all (95%)
of the psychiatrists were confident that they could determine whether a mental
disorder was impacting the decision for PAD in the context of a long term treatment
relationship, but only 6 per cent were very confident that they could make this
assessment in a single evaluation (Ganzini 1996). In a 2008 study of 58 Oregonians
who requested PAD, 18 received lethal prescriptions including three patients who
had met rigorous criteria for major depression. All three died by lethal ingestion
within two months of the research interview, although in one case the depression
was successfully treated before death and in the other two cases the patients denied
that depression was influencing their decision. The authors concluded that the
current practice of DWDA may fail to protect adequately some patients whose
choices are influenced by depression from receiving a lethal prescription,
supporting the need for more active and systematic screening and surveillance for
depression to determine which patients should be referred for further mental health
evaluation (Ganzini 2008). While advocating for systematic screening to determine
need for further expert evaluation, Ganzini has argued against mandatory
psychiatric evaluations for all individuals requesting PAD, citing challenges of true
need, access, cost, and specialized expertise (Ganzini 2014).
Reported Experience with PAD in Washington State
Washington State’s Death with Dignity Act, which came into force in March
2009, allows adult residents in the state with six months or less to live to request
lethal doses of medication from a physician. Importantly, the law states that
medications must not be prescribed to individuals suffering from a psychiatric or
psychological disorder or depression causing impaired judgment (Steinbrook
2008). In cases where there is concern that the patient has impaired judgment due
to a psychiatric disorder, the attending physician who would prescribe the lethal
medication must request a psychiatric or psychological evaluation. Otherwise, no
psychiatric or psychological evaluation is routinely required. Since the law’s
enactment, there has been a steady rise in the number of prescriptions dispensed
for PAD. In 2009, medication was dispensed to 63 individuals, 36 of whom died after
ingesting the prescribed medication. By 2015 this number had risen to 213
individuals who were dispensed medication, 166 of whom died after ingestion of the
medication (Washington State Department of Health data, http://www.doh.was.gov
/portals/1/Documents/Pubs).
Few patients have been referred for psychiatric assessment. The proportion
of those referred has remained roughly stable, at about 4%. Similar to Oregon, three
quarters of the patients completing PAD have cancer, while approximately 10%
have a neurodegenerative disorder.
Under the Washington State statute, attending and consulting physicians
must verify that the patient is competent to make an informed decision before a
prescription for lethal medication is written. The Washington State Psychiatric
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Association does not provide any specific guidance for psychiatrists consulted to
evaluate patients capacity to participate in Death with Dignity. However, the
Washington State Psychological Association does provide such guidance, which
appears to be aimed at both psychologists and psychiatrists (Washington State
Psychological Association, 2009).
The WSPA guidelines recommend that the evaluating psychiatrist explore the
reason for the request, the patient’s expectations, fears and values, and their
personal assessment of quality of life. They further recommend that the psychiatrist
assess whether the decision seems authentic and in keeping with the patient’s long-
held values. Finally, the guidelines note the importance of distinguishing between a
mental disorder, such as major depression disorder or a cognitive disorder, and the
effects of the terminal illness, its treatment, or normal psychological reactions in the
face of terminal illness.
Washington State collects data on end-of-life concerns of participants, as
reported on the After Death reporting form which is completed by the attending
physician. In 2015, it was reported that 86% of patients were concerned with losing
autonomy, 86% with loss of ability to engage in activities making life enjoyable, 69%
with loss of dignity, 52% with being a burden on family and friends, 49% on losing
control of bodily functions, 35% with inadequate pain control or concern about it, and
25% with the financial implications of treatment. A study of those requesting Death
with Dignity at the Seattle Cancer Care Alliance between 2009 and 2011 found
that 97.2% cited loss of autonomy as a reason for participation (Loggers
2013).
Given the very low frequency of psychiatric evaluations requested, it is hard
to draw clear conclusions. Although the state keeps information regarding all
requests, the identity of the physicians involved is kept confidential. It does appear
that a disproportionate number of evaluations are requested from the consultation-
liaison psychiatrists at the University of Washington Medical Center and the Seattle
Cancer Care Alliance. When the law came into place, the psychiatry department
expected to receive a large number of referrals but, as noted above, psychiatric
evaluation is infrequently sought (personal communication, 2015). The
consultation-liaison service created an informal support system for psychiatrists
involved in these evaluations in order to provide consultation and support for difficult
cases, but in practice, this was hardly used. It was noted that in at least one case, a
patient died while awaiting psychiatric evaluation. In some cases, psychiatric
consultation appeared to be requested when the treating physician did not feel
comfortable with the patient’s request, where there was a history of psychiatric
illness, or where the patient did not wish their family to know (which though
encouraged, is not required by law).
REQUESTS FOR PAD: ASSESSING COMPETENCE
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As described above, the six U.S. PAD statutes as well as Canada require that
the individual requesting a lethal prescription be capable of making medical
decisions regarding his or her health.
5
In order to be capable to request physician
aid-in dying through a lethal prescription, an individual must be able to make and
communicate health care decisions to health care providers. Assistance with
communication may be used. The California statute gives additional guidance
regarding the standard for capacity to include understanding the nature,
consequences, benefits, risks and alternatives of those decisions. The California
statute incorporates elements of the predominant standard for capacity assessment
for medical decision-making (Appelbaum 1988; Appelbaum 2007). Specifically,
decisional capacity for medical decisions requires expression of a preference, a
factual understanding, appreciation, and ability to rationally manipulate
information in coming to a decision. The Oregon statute similarly gives guidance
regarding an informed decision” based on an appreciation of facts including
diagnosis, prognosis, probable risks and results of taking the prescribed medication,
and alternatives, incorporating key elements of information relevant to informed
consent (Brendel 2007; Weintraub Brendel 2011).
While concepts of capacity and informed consent are generally well
established, the evolution of newer practices with prominent legal and ethical
features, such as PAD, add complexity to these heretofore broadly accepted frames
of reference and were not well established as PAD became legally permissible
(Werth 2000). Specific guidelines regarding the content of capacity determinations
are absent from the Oregon statute. The Task Force to Improve the Care of
Terminally-Ill Oregonians has published a useful guidebook for health care
professionals, including a chapter on mental health consultation (Oregon
Guidebook, 2008). Attending or consulting physicians must refer an individual
seeking a lethal prescription for a mental health evaluation by a psychiatrist or
psychologist if the physician believes that the patient may be suffering from a
mental health disorder or depression causing impaired judgment. The task of the
psychiatric (or psychological) evaluator, then, is to determine whether the patient
has the ability to make and communicate health care decisions.
Amongst individual psychiatrists (and psychologists), there is a divergence of
opinion regarding the ethical permissibility of PAD (Ganzini 1996; Ganzini 2000;
Fenn 1999). Psychiatrists may object to participating in assessments of capacity for
assisted death for conscientious reasons. In addition, forensic psychiatrists who
described themselves as morally opposed to PAD were more likely to employ a
stringent standard for capacity for PAD and more likely to believe that the presence
of depressive symptoms would automatically render a patient lacking in capacity
compared to psychiatrists who did not oppose PAD on ethical grounds (Ganzini
2000). As with all other psychiatric assessments, psychiatrists should be aware of
the potential impact of both transference and counter-transference. Given the
possible high stakes outcome of the competence assessment, it is essential that
5
Washington uses the term competence, rather than capacity, but no substantial difference is apparent.
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psychiatrists be aware of their own views regarding PAD and how those views
might bias an evaluation of capacity ---either as overly restrictive or overly
permissive. The Oregon Task Force’s guidelines for capacity assessment specifically
state that mental health professionals with strong personal biases for or against
PAD “should consider declining the consultation. In addition, if the psychiatrist
perceives another type of conflict, financial or of another nature, the evaluation
should not proceed.
According to the Oregon task force, the mental health consultant has two
roles. The first role, determined by statute, is to assess the patient’s specific capacity
to make the decision to seek PAD. The task force also cites a second role, a
traditional or clinical role, to evaluate the individual for any remediable sources of
suffering. This may include discussion of palliative care options, which may be
complementary to curative and life-prolonging treatments. In the process of the
capacity evaluation, consulting psychiatrists must be attuned to both roles. From an
ethical perspective, this dual role is also critical to avoid the psychiatrist from
becoming a gatekeeper for PAD and focus primary involvement with patients on
their roles as healers (Sullivan 1998).
Performing the Capacity Assessment
In terms of the capacity assessment itself, the specific components of the
evaluation are not strictly defined. The Oregon Task Force describes the
components of the evaluation with broad guidance. The resource document
describes a process that will usually include record review, discussion with the
referring physician, patient interview and assessment, and collateral interviews
with family, caregivers, and other important persons in the individual’s life.
Collateral information may be critical to the evaluation, but should be obtained in
accordance with established rules governing confidentiality and consent.
Caregivers, especially those working in hospice settings, may be particularly attuned
to fluctuations in mental status, causes, and effective remedies.
The Oregon Task Force recommends that the evaluation focus on assessment
for mental disorder, decision-making capacity, and factors limiting the individual’s
ability to make a decision (specifically, symptoms of mental disorder, coercion, and
knowledge deficits). The focus of the interview, therefore, should include particular
attention to understanding risks and benefits and other possible interventions,
including their likelihood of success. Capacity requires both a factual understanding
and an appreciation of how facts apply to the individual’s own situation (Appelbaum
1988; Appelbaum 2007; Guidebook 2008).
The Task Force reminds psychiatrists to be cognizant of how tiring an
evaluation may be for a terminally ill individual and also the importance of rapport.
Psychiatrists should maximize the patient’s comfort and ability to demonstrate
capacity and also consider the use of standardized instruments and tools. Useful
instruments, according to the Task Force, may include the Geriatric Depression
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© Copyright 2017, American Psychiatric Association. All rights reserved.
Scale, the Folstein MMSE, or the Neurobehavioral Cognitive Status Examination.
Ultimately, however, the Task Force concludes that, In the absence of a mental
disorder, evidence of coercion, or knowledge deficits, most patients will qualify for
the Oregon Act. Finally, according to the Oregon task force, when a psychiatrist
cannot make a determination of capacity with confidence, options include
recommending treatment, re-evaluations, and/or referral for additional capacity
assessment.
In contrast to the general guidance offered by the Oregon Task Force, Werth
and colleagues propose a more exhaustive set of guidelines for evaluation of
capacity for PAD (Werth 2000). Much of the structure of the evaluation is consistent
with the Oregon Task Force (e.g. record review, consultation, collateral information,
use of objective assessment instruments, clinical interview and diagnostic
assessment, and assessment of decisional capacity elements). However, Werth and
colleagues also advocate for an in-depth exploration of the PAD decision in the
context of the individual’s perceived quality of life, stated and implied reasons for
requesting PAD, and an inquiry into how the decision fits into the person’s value
structure and would affect others. The strength of the depth of this approach is
based on the notion that it is expected to prevent erroneous granting of lethal
prescriptions to incapacitated individuals. However, the specificity and depth of the
requirements may have the opposite effect of limiting the availability of PAD to
those who are held to too high a standard of capacity and meet adequate safeguards
for self-determination by PAD.
In response to what may be perceived as the overly-demanding nature of the
Werth guidelines, Stewart and colleagues (Stewart 2011) advocated for a standard
essentially consistent with that developed by the Oregon Task Force. This approach
draws largely on the Appelbaum-Grisso standard for capacity as well as the common
law tradition of informed consent, specifically, that patients must be able to
comprehend and retain information about the decision for PAD, to weigh the
information and reach a decision, express a consistent preference over time,
communicate choice, and be free from undue influence.
Ultimately, as PAD practice evolves, psychiatrists can play a key role in
elucidating the capacity assessment process and methods of developing rapport and
engaging with dying patients.
REQUESTS FOR PAD: ASSESSING DEPRESSION
While most individuals requesting PAD do not carry a diagnosis of
depression, studies suggest that between a quarter to a half of requests came from
individuals with depression (Wilson 2016; Levene 2011; Ganzini 2008). Presumably
most of these individuals were nevertheless considered by their attending and
consultant physicians to have decisional capacity without impaired judgment since
only 5% of cases in Oregon and 4% in Washington were referred for a mental health
evaluation. It is not clear if the rates of referral should be higher, or if these rates are
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© Copyright 2017, American Psychiatric Association. All rights reserved.
appropriate since these states statutes only require evaluation by a mental health
professional if there is concern that symptoms impair judgment. Nevertheless, given
what is known about under-recognition and under-treatment of depression
generally, more involvement with a mental health professional would likely be
beneficial.
As noted previously, approximately 75% of the individuals accessing PAD in
Oregon and Washington had cancer and approximately 10% had neurodegenerative
disease, primarily ALS. Similar patterns are seen in other localities with different
regulatory structures (Emanuel 2016). It is likely that similar clinical patterns might
emerge in other states that legalize PAD. Therefore, understanding features of a
desire for PAD, and more broadly a desire for hastened death, in these groups of
individuals in particular will become important. Psychiatrists who perform mental
health assessments for PAD will need to be familiar with the presentation of
depression in the relevant patient populations.
While PAD accounts for a relatively small proportion of deaths (less than
0.4% of all deaths in both Oregon and Washington in 2015) and requests for PAD
are relatively rare even in localities where PAD is legal, a more general desire for
death
6
is not uncommon in patients with advanced life-threatening illness. Wilson
and colleagues note that although studies range quite a bit in quality, researchers
have found that between 11-55% of patients in palliative care settings experience
such a desire at least transiently, and from 3-20% report a more pervasive and
apparently sincere wish to die (Wilson 2016). Hudson and colleagues note that
empirical studies of patients with advanced cancer found that approximately 8-15%
of patients express an interest or a desire for hastened death and that studies with
less rigorous approaches report higher levels (Hudson 2006). In two separate
studies, Rabkin and colleagues found that 19% of individuals with ALS expressed a
wish to die (Albert 2005; Rabkin 2015).
Regardless of the prevalence of a desire to die, depression appears to be
highly correlated with it, though not universally present. Wilson and colleagues note
that an association between depression and the desire for death has been found in
every study that has looked at this issue, citing the prevalence of diagnosed
depression among individuals expressing a desire for death has ranged from 47-
80% (Wilson 2016; Periyakoil 2012; Brenne 2013; Rosenfeld 2006; Lloyd-Williams
2003; Mitchell 2008). At the same time, they emphasize that the desire for death is
often surrounded by a broader context of clinically significant psychological distress
and note that studies looking more in depth at how individuals arrive at a desire for
6
The literature in this area refers to similar concepts with different terminology; for
example, different authors refer to desire for death, desire for hastened death, thought
about hastened death, wish for death/hastened death etc. These linguistic and in some
cases conceptual differences likely account for some of the different findings among the
many research studies addressing questions in this area. In this document, we use the
terminology used by the authors in the studies we cite.
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© Copyright 2017, American Psychiatric Association. All rights reserved.
death have found different pathways. They conclude that the expression of a desire
for death by a terminally ill patient should raise concern about the presence of
mental health problems, although it is not necessarily diagnostic of active
psychiatric illness (Wilson 2016). A similar conclusion is reached by Rabkin and
colleagues who find that of the 62 patients in their ALS study who expressed a wish
to die (19% of the study participants), only 37% (23 patients) were clinically
depressed. They conclude that a wish to die is not always expressed in the context
of depression and does not necessarily represent psychopathology in patients with
ALS (Rabkin 2015).
Studies focusing in-depth on the wish to hasten death, as opposed to a more
general desire for death, concur. A review of the qualitative studies of patients
expressing a wish to hasten death concludes that such expressions do not
necessarily imply a genuine wish to hasten one’s death, but rather represent a
response to overwhelming emotional distress and carry with them a variety of
potential meanings (Monforte-Royo 2012). They identify six main themes giving
meaning to an expressed wish to hasten death (WTHD) which they suggest should
be taken into consideration when formulating treatment plans: (1) WTHD in
response to physical/psychological/ spiritual suffering, (2) loss of self, (3) fear of
dying, (4) the desire to live but not this way, (5) WTHD as a way of ending suffering,
and (6) WTHD as a kind of control over one’s life (having an ace up one’s sleeve just
in case). Despite this, many studies indicate that depression, hopelessness and a
low sense of spiritual well-being are the strongest predictors of a desire for
hastened death in terminally ill patients (Breitbart 2000; Albert 2005; Rosenfeld
2006; Rodin 2009). Keeping in mind the many potential contributions (including
depression) to a WTHD provides for both better understanding of the context of the
request and better treatment planning.
The complexity of the desire to hasten death and the variable role played by
depression is just one among a variety of contributing factors, including physical
symptoms (either present or foreseen), other forms of psychological distress (e.g.,
hopelessness, fears, etc.), existential suffering (e.g., loss of meaning in life), and
social aspects (e.g. feeling that one is a burden) (Balaguer 2016). While treatment
for depression is effective at reducing the symptoms of depression in these
populations, it is not clear whether treating the depression changes the desire to
hasten death. Some studies suggest a strong correlation between ameliorating
depression and decreased desire to hasten death (Breitbart 2010; Rosenfeld 2006),
while others (conducted by the same research team) do not (Rosenfeld 2014).
Thus, all clinicians working with patients who express a wish for hastened
death should understand the complexity of this phenomenon and can prepare to
respond in a meaningful way to patientsexpressed desire for hastened death,
rather than avoiding it as many do. For example, a 2006 review suggests potential
approaches for health professionals to consider when faced with patients desire to
die statements (DTDS) that will enable them to manage the issue with confidence
(Hudson 2006). This review includes sample phrases and questions to use when
17
© Copyright 2017, American Psychiatric Association. All rights reserved.
responding to a DTDS that are culled from the literature and expert opinion
covering different aspects of these expressed desires, including: (1) current feelings
of fears, (2) suffering distressphysical, spiritual, psychosocial, or existential; (3)
considering suicide, and (4) seeking health professional assistance with hastened
death.
Screening Tools
In light of the high correlation between depression and desire to hasten
death in individuals with advanced illness, screening for depression in these
individuals, and in particular those who express a desire for hastened death and/or
PAD, should be part of any program for providing general medical care for these
individuals. Indeed, though not required by statute, the Oregon Task Force
recommends screening with PHQ-9 though it is not clear how widely this
recommendation is followed. Other screening instruments are also available.
Vodermaier and colleagues provide an extensive review of assessment
instruments used to screen for distress in cancer patients. The definition of distress
includes affective disorders, anxiety disorders and adjustment disorders
(Vodermaier 2009). This paper includes a review of the psychometric properties of
a variety of screening tools with emphasis on their sensitivity and specificity. While
short verbal scales are helpful for quick screening of depression in hospitalized
patients who have difficulty with completing long questionnaires, the longer
questionnaires are valuable in their ability to address multiple domains besides
depression. The authors indicate that a large variety of scales of varying lengths,
including the CES-D, HADS, BDI and GHQ-28 are high quality scales for screening
emotional distress. They also note that while many screening tools focus on
symptoms of depression, screening measures that cover multiple domains are more
valuable because the psychological symptoms in terminally ill patients may vary
considerably from symptoms of depression, anxiety, adjustment disorder to mixed
states. They provide the psychometric properties of ultrashort, short and long
screening tools and discuss the pros and cons of the different instruments.
Some studies indicate that a single question, Are you depressed?” is an
effective screening tool for depression in palliative care patients (Lloyd-Williams
2003; Chochinov 1997). However, other studies indicate that a two-question
approach that includes one question about ‘depressed moodand another about
loss of interest’ is more accurate than using either question alone; if using a single
question, the loss of interest’ question is a better screening tool (Mitchell 2008).
However, neither the single loss of interest question’ nor the two question method
had a case-finding accuracy of more than 60% and would thus need to be combined
with a second method with better positive predictive value. This could be a clinical
diagnostic interview or a structured and validated depression scale. The PHQ-9 is
another short screening tool for depression that is widely used in medical settings
and has been studied in the cancer patient population (Fann 2009). Thus, a step-
wise approach of first using a screening tool followed by an assessment using a
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© Copyright 2017, American Psychiatric Association. All rights reserved.
validated depression scale would be an effective approach for diagnosing
depression (Mitchell 2012). While the simple verbal questions and the PHQ-9 are
shorter screening tools for depression, a clinician can choose from a variety of
clinical tools with variable length, psychometric properties and strengths based on
the need, clinical setting and objective of use (Vodermaier 2009).
Screening for other mental illnesses could also be accomplished with tools
like PRIME-MD (all of these are tied to DSM-IV diagnoses). Determining an
appropriate instrument for routine screening involves trade-offs between tools of
reasonable length and those with adequate psychometric properties. Computerized
touch screen versions of screening instruments can be used successfully by patients
with advanced illness in hospice care and, when available, touch screen and
autoscoring technology ensures continuity and standardization, reduces costs, and
lightens the workload of clinical personnel (Vodermaier 2009). In any screening
process, a decision has to be made as to the correct balance between sensitivity and
specificity. Given the gravity of a PAD decision, the emphasis may be on sensitivity
to minimize the number of missed cases of depression.
Regardless of which screening tool is chosen, improved outcomes are
dependent on timely referral for treatment and adequate follow-up. Programs that
implement routine screening must have the ability to accommodate referrals for
specialty mental health care when indicated. For example, while all of the following
might result in a positive screen for depression, from a diagnostic and treatment
standpoint, it would be important to differentiate a diagnosis of depression from
somatic symptoms of a medical condition, medication side-effects, a grief reaction
and psychological distress due to the medical condition. Many health systems do not
have the ability to accommodate rapid referrals for specialty mental health care that
may arise from routine screening, thus complicating implementation.
As systems determine whether and how best to move towards routine
screening more generally, clinicians receiving a request from a patient for PAD
might consider certain “red flags in addition to the typical neuro-vegetative
symptoms of depression when deciding about further evaluation by a mental health
professional. Examples include:
Psychological symptoms: including depressed mood, tearfulness, feeling of
helplessness, feeling of hopelessness, social withdrawal or isolation, lack of
interest, feelings of guilt, suicidal ideation, significant anxiety;
Somatic concerns/preoccupations which appear beyond what would be
expected from the patient’s physical condition;
Uncontrollable, poorly managed or intractable pain;
Distress due to loss of bodily function;
Feeling of loss of control;
Fear of becoming a burden on others;
Limited social supports, marital and family conflicts;
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© Copyright 2017, American Psychiatric Association. All rights reserved.
Functional decline out of proportion to the medical situation;
Preoccupation with financial concerns;
Sense of therapeutic nihilism, quickly get it over with;
Lack of participation in or refusal of treatment;
Fearful or loss of hope about their future;
Dignity related distress; and/or
Spiritual distress.
Even when further evaluation may not lead to a diagnosis of depression or
another treatable mental health problem, many of these distressing experiences
could benefit from specific attention by a mental health or palliative care
professional, or in some cases by a case manager or social worker. Sometimes,
clinicians focused on their patientsmedical problems forget that some of their
experiences may not be an inevitable part of their advanced illness and overlook the
possibility that their distress might be alleviated by specialty care.
CONCLUSIONS
This resource document is intended to provide a summary of existing PAD
statutes and states experience related to implementation. This information may
prove useful to psychiatrists, APA District Branches, and state psychiatric
organizations in the event that PAD legislation is considered in their jurisdictions.
We also offer a summary of relevant research on the psychiatric assessment of
capacity and of depression in an effort to assist individual psychiatrists who may be
asked to assess patients requesting PAD.
When reviewing this resource document, psychiatrists and policymakers
should note the following limitations of the information summarized:
1. All of the currently published data about the implementation of PAD comes
from Oregon and Washington State. In comparison to many other US states,
these jurisdictions are relatively affluent, white, educated, and culturally
homogenous.
2. The number of terminally ill individuals who have elected to seek out PAD
has been small.
3. In each of those states, a small select group of attending physicians and
psychiatrists has participated in PAD.
4. In those states, referrals to psychiatrists have been relatively uncommon (4-
5%).
It is not known how PAD would be employed in other jurisdictions with more
diverse populations. There are many potential reasons for concern. Terminally ill
patients who are not affluent may be motivated to seek PAD not because they desire
a more humane death, but because they cannot afford end-of-life care, have no
caregivers to provide assistance, or fear burdening family and friends. It is also
20
© Copyright 2017, American Psychiatric Association. All rights reserved.
likely that among less educated and economically disadvantaged populations
(groups with a higher prevalence of depression and other psychiatric illness), the
frequency of concerns about decision-making capacity may be higher. Moreover, in
more populous states, PAD will involve a larger number of physicians with more
varied approaches to capacity assessment and relevant medical assessments.
Finally, we have little data about psychiatric assessments that lead to
recommendations against PAD due to decisional incapacity or treatable depression.
The small number of psychiatric referrals currently reported raises concerns that
some instances of treatable depression or decisional incapacity are not being
detected.
As our society continues to explore physician-assisted death as a legally
available option, collection and analysis of vital data will be essential. We
recommend that all jurisdictions follow a mandatory data collection model
exemplified by Oregon. Additional information should be collected about patients
referred for mental health assessment, their psychiatric diagnoses, the outcomes of
referral, and subsequent outcomes. Together with well-designed clinical and health
services research studies, this data will be critical to advancing our understanding of
the mental health presentation of patients requesting assisted death and best
practices in localities where the practice is legal.
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© Copyright 2017, American Psychiatric Association. All rights reserved.
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2001; 16: 235-258
28
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