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Healthcare
  • Review
  • Open Access

12 July 2022

Malpractice Claims and Ethical Issues in Prison Health Care Related to Consent and Confidentiality

and
1
Department of Legal Medicine and Bioethics, Faculty of Dental Medicine, “Carol Davila” University of Medicine and Pharmacy, 020021 Bucharest, Romania
2
“Mina Minovici” National Institute of Legal Medicine, 042122 Bucharest, Romania
*
Author to whom correspondence should be addressed.
This article belongs to the Special Issue Health in Prison

Abstract

Respecting the consent and confidentiality of a patient is an underlying element in establishing the patient’s trust in the physician and, implicitly, obtaining the patient’s compliance. In particular, cases of inmate patients require increased attention in order to fulfill this goal against a background of institutional interferences, which, in certain situations, may endanger the autonomy of the physician and their respect for the inmate’s dignity. The purpose of this article is to depict the characteristics of consent and confidentiality in a prison environment, in special cases, such as hunger strikes, violent acts, HIV testing, COVID-19 measures, and drug use, bringing into focus the physician and the inmate in the context of the particular situation where the target is disciplining someone in order for them to conform to social and juridical norms. Respecting the dignity of the inmate patient requires an adequate approach of informed consent and confidentiality, depending on each case, considering the potential unspoken aspects of the inmate’s account, which can be key elements in obtaining their compliance and avoiding malpractice claims.

1. Introduction

Providing medical care is not always facile, and the outcome depends on the physician, the patient’s pathology, and the patient as a person []. The detention environment is an additional element that can have repercussions on the medical act. Medical errors can occur at the treatment planning stage or the treatment execution stage [].
Consent and confidentiality are among the basic elements of medical practice, which can become problematic for inmate patients []. In accordance with General Assembly resolution 37/194 of the United Nations, ”Health personnel, particularly physicians, charged with the medical care of prisoners and detainees have a duty to provide them with the protection of their physical and mental health and treatment of disease of the same quality and standard as is afforded to those who are not imprisoned or detained” [].
Situations in which healthcare personnel examine and treat inmates, according to the Council of Europe [] and the WHO [], are set out in Table 1.
Table 1. Situations in which healthcare staff examine/treat inmates according to the Council of Europe [] and the WHO [].
The percentage of inmates in need of terminal palliative care is much higher compared to the general population; an aspect which can be a direct consequence of the accelerating pathological processes and accentuating fragility of the patient in the context of measures of freedom deprivation [].
Elements of informed consent which, in theory, are well-regulated both legally and morally can, in practice, present contextual discriminations given the freedom deprivation measures that have the potential to cause the patient to resort to aggression, dissimulation or simulation, lack of interest in the medical information, autolytic attempts, etc. []. Thus, informed consent can have questionable validity, with consequences on the medical act.
Therapeutic alliances in detention settings have questionable value due to the inherently coercive nature [] which, given the potential mitigation of detention measures in certain diseases, can determine the patient’s tendency to exaggerate symptoms or even simulate the pathology [].
The health issues of inmates can be present before incarceration or incurred during detention, an element which is also important in adequately approaching the inmate patient [,]. Furthermore, in-prison violence is a potentially significant factor causing additional morbidity or even mortality, either independent or in association with other disorders; thus, to ensure adequate consent and confidentiality, it is mandatory as a first measure to identify groups who are vulnerable to discrimination and victimization (ethnic groups, sexual and religious minorities, minors, inmates with mental health issues) [].
The purpose of this unsystematized review is to analyze the particular aspects of consent and confidentiality in the case of the adult inmate patient and to suggest approaches that maximize the autonomy as well as the confidentiality of the inmate patient in their best medical interest.

2. Malpractice Claims in Prison Health Care

Claims of malpractice involve a breach of a professional obligation on the part of the physician causing healthcare-related damage. They might be caused by suboptimal medical management of the disease, errors in obtaining informed consent, deliberate indifference, etc. []. Informed consent and the confidentiality of medical data are essential to obtain the patient’s trust and compliance, both for proper diagnosis and treatment. Malpractice, referred to by some authors as medical negligence, may be commissive (acts or wrongdoing), omissive (not performing medical interventions that should have been performed), caused by faults in selecting the best alternative, or failures in supervising or exercising due diligence []. According to Vaughn and Collins, the underlying medical malpractice in prisons was related to medication, medical procedures, diagnosis, or undertreatment of a serious medical condition []. According to Tripathi et al., concerning allegations of malpractice of detainees with dermatological pathologies, one of the reasons for the accusation was the lack of informed consent []. Jeng et al., following the analysis of the allegations of malpractice of detainees who required ophthalmic treatments, observed that most of the reasons given referred to inadequate or incomplete treatment or refusal of treatment []. Such charges may also be subject to situations of non-confidentiality or interference between non-compliance and confidentiality or inadequate informed consent. In a recent analysis of allegations of malpractice in orthopedics, Lv et al. identified inadequate monitoring of patients, inadequate performance of procedures, and the inability to communicate with the patient, as main causes leading to the transmission of unclear medical information [].

4. Particular Scenarios Physician–Inmate Patient

4.1. Hunger Strike

The inmate’s refusal to eat can have multiple causes, for example, religious beliefs, different somatic or psychiatric pathologies (which can be resolved by treating the main illness), or as a sign of protest. The hunger strike is a common type of protest which is based on the person’s need to obtain social resonance. In prison environments, this situation is more complex and generates difficulties for the correctional staff administration as well as for the attending medical staff. The inmate resorts to a hunger strike usually because of a desire to change a certain juridical or administrative situation they consider unjust or damaging to their interest []. From a deontological standpoint, the will of a person who has the capacity to make decisions and does not endanger third parties must be respected. According to the WHO, the conflict of autonomy and beneficence will be approached according to the provisions of the World Medical Association within the Declaration of Malta (WHO refers to the 2006 version of the declaration), which states for cases of hunger strikes in custody: respecting the autonomy of the patient after a prior examination of their decision-making capabilities, ensuring that the inmate has fully understood the medical consequences of this method of protest, continuing to ensure necessary medical treatment (for example, treating pain and infection), examining the inmate daily and administering liquids, vitamins, glucose and nutrients if the inmate consents, to avoid irreversible, even lethal consequences. Force-feeding a person is not acceptable in any given situation, and is considered degrading and inhumane. Artificially feeding with explicit consent or because of the inmate’s implicit necessity is acceptable from an ethical point of view. In addition, in this type of situation, confidentiality must be maintained but can be disclosed if the person wishes, or in order to prevent serious harm. The attending physician’s duty is to make successive and objective reports on medical criteria, through which they inform the judicial authorities of the evolution of the inmate’s state of health with the prospect of taking adequate decisions towards the welfare of the person in danger while being well informed []. The updated 2017 version of the Declaration of Malta, in concurrence with prior provisions, mentions in regard to confidentiality that, if the patient does not wish to disclose confidentiality, the attending physician must inform the patient of the potential situation which they will impose this against the patient’s wishes []. If a medical examination is not consented to, the physician must respect this. In severe cases, taking into account the particular context of prison measures, the fact that their wishes may have been written while pressured, or the fact that their wishes could radically change once losing mental competency, the physician must act in the best medical interest of the patient, taking on a paternalistic approach [].
Furthermore, according to the WMA-Declaration of Malta 2017 “Physicians may rarely and exceptionally consider it justifiable to go against advance instructions refusing treatment because, for example, the refusal is thought to have been made under duress. If, after resuscitation and having regained their mental faculties, hunger strikers continue to reiterate their intention to fast, that decision should be respected. It is ethical to allow a determined hunger striker to die with dignity rather than submit that person to repeated interventions against his or her will. Physicians acting against an advanced refusal of treatment must be prepared to justify that action to relevant authorities including professional regulators” []. However, this approach is still met with controversy by some authors and it brings to the forefront the duty of the state to protect the lives of the inmates [] as stated by the provisions of the European Court of Human Rights “a measure which is a therapeutic necessity from the point of view of established principles of medicine cannot in principle be regarded as inhuman and degrading. The same can be said of force-feeding which is aimed at saving the life of a particular detainee who consciously refuses to take food. The Court must nevertheless satisfy itself that the medical necessity has been convincingly shown to exist. Furthermore, the Court must ascertain that the procedural guarantees for the decision to force-feed are complied with. Moreover, the manner in which the applicant is subjected to force-feeding during the hunger strike must not trespass the threshold of the minimum level of severity envisaged by the Court’s case law” [].
Given the above, in the patient approach algorithm, respecting the patient’s autonomy is paramount through consent and confidentiality, with medical supervision of the inmate and their adequate information, including concerning provisions of national law, which at a certain time may require a paternalistic approach [].

4.2. Consecutive to Acts of Violence

Violence in prisons, with all of its possible forms, often remains unreported for fear of possible retaliation []. Sexual violence, in particular, is much more difficult to quantify because of the stigma the victim faces in the prison environment and the possible increase in the abuse [].
Moreover, it is a way in which STDs are transmitted, since, for example, HIV infection rates are higher than in the general population. Furthermore, the victim can have depression, PTSD, unhealthy behaviors, and autholityc ideation [,]. A helping role in reporting and implicitly preventing violence in prison environments is accessibility to medical care, which, according to a study conducted by Ross et al., also creates a more positive atmosphere [].
The physician, when treating such a patient who has traumatic lesions or clinical manifestations which can stem from possible abuse, must record these aspects in the medical chart, including the patient’s statements (when present), and disclose confidentiality by reporting to the supervising authorities in order for them to take measures in this regard, while also informing the patient. These steps are required since, once the aggressor discovers that the abuse has been reported, there is a higher risk of retaliation/more abuse on the victim. Furthermore, medical staff must have a framework to report cases of violence to neutral state organizations as well as outside of the prison environment []. However, within “prison culture”, cases of violence, especially cases of sexual violence, are rarely reported to medical staff [].

4.3. HIV Infection

International provisions for these types of situations highlight the importance of the person’s consent regarding testing and treating, as well as in regard to disclosing confidentiality. Despite the practice within some penitentiary units which claim the prevention of transmission through compulsory testing [], compulsory testing is rejected. The efficiency of testing programs was demonstrated only in cases where there were also adequate therapeutic and counseling resources present, which ensured the patients’ compliance [].

4.4. Other Contagious Diseases

In the case of contagious diseases, additional measures are required to protect detainees from contamination. This involves the detection of contaminated persons, their treatment, and the application of prophylactic measures for people who have not contracted the pathology. Measures taken in such situations are legally enforceable at each national level. For example, related to the COVID-19 pandemic context, the study by Vella et al. in Italy found a lower number of COVID- positive cases among detainees than among the general population, which reflected the effectiveness of the measures taken, including vaccination []. In the same sense, Pagano et al. found that measures such as screening and safe isolation of COVID-positive or COVID-suspect detainees prevented the spread of the virus []. These issues again call into question the peculiarities of consent and confidentiality, given the danger to the health of third parties with whom they may come into contact and who require protective measures. The physician has the duty to report the medical condition with the prior information of the patient, without abandoning him, respecting the principle of dual-loyalty []. Regading the issue of vaccination, according to the WHO “Vaccination mandates can be ethically justified; however, their ethical justification is contingent upon a number of conditions and considerations, including the contexts within which they are implemented” []. In detention environments, given the interpersonal proximity, mandatory testing, case reporting, and mandatory vaccination of people who do not have contraindications, it can be justified to maximize group and individual benefits, according to the utilitarian principle. However, the autonomy of the person should not be omitted, as prior information campaigns are required []. Regarding the individual well-being of the patient, COVID-19 infection can endanger even the life of the detainee, who, through the prism of detention, can present other pathologies, for example, tuberculosis, with a higher incidence in such environments []. Unfavorable living conditions prior to detention and unhealthy behaviors such as drug use, more common in detainees, increase the risk of developing pathologies such as TB, HIV, HCV [].

4.5. Drug Use

Drug use is a priority issue for public health as well as for prison environments. However, statistics referring to this aspect are limited because it is a delicate subject correlated with eventual breaches in the security of detention and with subsequent punitive measures for the inmates. Some prisons have mandatory testing programs which are periodically randomized [,]. In the case of patients under the influence of drugs, obtaining valid informed consent becomes questionable because they can have reduced or absent decision-making capacity. They can simulate understanding the transmitted medical information or can refuse the proposed treatment without a coherent reason, which can require starting the procedure to obtain informed consent from the person’s legal representative []. Furthermore, in the absence of adequate information in regards to the purpose of collecting biological evidence for a pathology without a toxicology background, they can unjustifiably refuse because they are afraid of subsequent toxicology exams. In the situation where the medical welfare of the patient requires testing for drugs, aspects regarding confidentiality and consent will be approached according to the existing provisions in the local law [].

5. Conclusions

Absence of physical freedom should not interfere with the freedom to decide on one’s own health. Detention should not be perceived as an eradication of a person’s autonomy, their own will, and their freedom of thought. The attention of world organizations in this regard has led to provisions that differ in some places but that bring to the fore the dignity of the human being. The physician, through the prism of the profession, is the one who should watch over these desideratum. Beyond the international recommendations, each national legal framework prevails, based on which the medical conduct in case of accusation of malpractice is evaluated.
In prison, the inmates’ state of health requires constant attention. In this environment, with all the contextual and juridical peculiarities, the physician has the duty to act in the patient’s best interest. Respecting the dignity of the inmate patient requires an adequate approach of informed consent and confidentiality, depending on each case and on the legal framework, considering the potential unspoken aspects of the inmate’s account, which can be key elements in obtaining their compliance and avoiding malpractice claims.

Author Contributions

Conceptualization, O.-M.I. and S.H.; writing—O.-M.I. and S.H.; visualization, O.-M.I. and S.H. All authors have read and agreed to the published version of the manuscript.

Funding

This research received no external funding.

Institutional Review Board Statement

Not applicable.

Conflicts of Interest

The authors declare no conflict of interest.

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