In re D.L.H.
OPINION
In this appeal, we consider whether plenary guardians can refuse life-preserving medical treatment on behalf of a person who lacks — and has always lacked — the capacity to make personal healthcare decisions, where the person is neither suffering from an end-stage medical condition nor permanently unconscious.
D.L.H. (“David”), age 53, has suffered from profound mental retardation since birth and has resided at the Ebensburg Center, a Department of Public Welfare (“DPW’) facility, for nearly his entire life. He is an incapacitated person under the guardianship provisions of the Probate, Estates and Fiduciaries Code,
In 2007, David became ill with aspiration pneumonia and was transferred from the Ebensburg Center to a local hospital. There, treating physicians determined that his condition required that he be placed on a mechanical ventilator. Appellants attempted to decline that treatment on his behalf, asserting that mechanical ventilation was not in his best interest. See generally
In light of the dispute over David’s medical care, Appellants petitioned the orphans’ court to be appointed his “health care agents” for purposes of the Health Care Agents and Representatives Act.
A “health care agent,” designated by an advance health care directive, normally has the same authority as a competent principal to make health care decisions concerning the principal’s care with no requirement of court approval. See id. § 5456(a), 5454(e).
Health care necessary to preserve life shall be provided to an individual who has neither an end-stage medical condition nor is permanently unconscious, except if the individual is competent and objects to such care or a health care agent objects on behalf of the principal if authorized to do so by the health care power of attorney or living will.
In their petition seeking the status of health care agents, Appellants took the position that the Act “does nothing more than codify the Supreme Court’s rule [derived from In re Fiori,
DPW opposed the petition, and the orphans’ court appointed counsel for David. Despite the technical mootness of the issues raised in Appellants’ petition, the court decided to resolve the matter, evidently reasoning that the case fell within an exception to the mootness doctrine. A hearing was scheduled; however, the facts as related above were agreed, and the parties merely advanced their legal positions.
Appellants maintained the position that, although David had been incapacitated since birth, he retained the inherent right to make medical decisions under Fiori— including the right to refuse life-preserving treatment — and such right extended to them as his plenary guardians. In response, David’s counsel expressed concern that a guardian’s decision-making should be consistent with the medical recommendations where the life of the incapacitated person is at stake.
DPW offered a more concrete legal position, namely, that
Upon its review, the orphans’ court denied Appellants’ petition, essentially adopting DPWs position that In re D.L.H., No. 21-02-293, slip op. at 3, 6 (C.P.Cumberland, Jan. 24, 2008) (per Hon. Edgar B. Bayley) (quoting DPW’s brief) (emphasis in original and footnote omitted). The court also credited DPW’s position that the authority provided a close family member in Fiori is limited to a situation in which the incompetent person is permanently unconscious. See id. at 5.
For the medical circumstances present here, the General Assembly adopted, in [the Act], a per se rule,20 Pa.C.S. § 5462(c)(1) , that simply removes the life or death decision from guardians, relatives, or health care representatives (who are not — unlike health care agents — chosen by the principal). According to the General Assembly, in these particular medical circumstances, life is to be chosen over death.
* * *
The relief the guardians specifically seek — to transform guardianship into health care agen[ey] — imputes to this Court a power the legislature has withheld from it, i.e., the power to create health care agency (see “health care agent,”20 Pa.C.S. § 5422 ) when none has previously existed. Under [the Act], guardians can “revoke or amend” an existing health care agency if the principal becomes incompetent,20 Pa.C.S. § 5460(a) , but they cannot create one where none ever existed, which is the case here.
Appellants appealed to the Superior Court, which affirmed in a published opinion, albeit on different grounds. See In re D.L.H.,
On the merits, the intermediate court indicated that the Act was inapplicable to David, since, on account of his lifelong incapacity, he could not comply with its terms for refusing life-preserving treatment or appointing a healthcare agent. See D.L.H.,
In spite of these conclusions, the Superi- or Court did not accept DPW’s core position that the Act’s
The Superior Court concluded that, before an orphans’ court could empower a guardian to decline life-preserving treatment for an incapacitated person, the guardian would first have to petition the court for the right to do so, and then prove — by clear and convincing evidence— that death is in the incompetent’s best interest. See id. at 983. When applying this standard to the present case, the court concluded that the evidence was inadequate to establish, clearly and convincingly, that refusing mechanical ventilation was in David’s best interest, particularly since Appellants offered no medical proof that his aspiration pneumonia was a severe, permanent medical condition. See id. at 984-85.
We accepted discretionary review on Appellant’s petition, framing the question presented as follows:
Whether plenary guardians have the authority to decline potentially life-sustaining treatment for a lifelong incapacitated person who is not suffering from an end-stage medical illness or is in a permanent vegetative state.
In re D.L.H.,
Presently, Appellants open their argument with a strong focus on the guardianship provisions of the Probate, Estates and Fiduciaries Code, emphasizing that they are invested with the duty to assert David’s rights and best interests. See
(f) Powers and duties not granted to guardian. — The court may not grant to a guardian powers controlled by other statute, including, but not limited to, the power:
(1) To admit the incapacitated person to an inpatient psychiatric facility or State center for the mentally retarded.
(2) To consent, on behalf of the incapacitated person, to the relinquishment of the person’s parental rights.
Appellants further contend that the Superior Court erred in adopting Terwilli-ger’s “extraordinary medical treatment” standard, as it was derived from dicta, and, in any event, was superseded by the noted provisions of the guardianship statute.
Appellants finally maintain that, when reading the guardianship statute in pari materia with the Act, it is apparent that the Legislature intended for the power of a guardian to be superior to that of a health care agent. In this regard, Appellants rely on a provision of the Act providing for the accountability of a health care agent to a guardian, and empowering guardians to amend or revoke the agency. See
By readingsection 5462(c)(1) without considering other provisions of the law, such assections 5460 , 5511 and 5521 of the guardianship statute, DPW successfully urged the Orphans Court to applysection 5462(c)(1) in a way that causes David to forfeit any right to ever control when, where, how and how many times he is forced to submit to a wide range ofmedical treatments, because of his lifelong lack of capacity. This erroneous construction raises profound questions regarding the right of incapacitated individuals to exercise the same right to decline medical procedures that is enjoyed by other citizens.
Id. at 13 (citing Fiori,
David and DPW, acting through the Ebensburg Center, (collectively, “Appel-lees”) filed a joint brief relying on DPW’s core position as developed above. They seek affirmance of the Superior Court’s order, but preferably under the protective, per se rule of
Appellees challenge Appellants’ contention that the guardianship statute provides authority, in and of itself, for plenary guardians to decline life-preserving treatment on behalf of an incompetent. Appel-lees explain that the powers withheld from a guardian are not limited to those specifically enumerated in Sections 5521(d) and (f), as Appellants assert. Rather, Section 5521(f) expressly provides that “[t]he court may not grant to a guardian powers controlled by other statute, including, but not limited to,” those specifically identified in the statute and portrayed by Appellants as the exclusive restrictions. Id. § 5521(f) (emphasis added). Appellees also observe that, because the Act was implemented fourteen years after the guardianship statute, the latter obviously could not have accounted for the former. Therefore, Ap-pellees maintain, a court cannot convert a guardian into a health care agent. Moreover, Appellees refute any contention that the Legislature overlooked guardianship interests in drafting Section 5462(c)(1), in view of the Act’s multiple references to guardians and explicit delineation of the relationship between health care agents and guardians, see id. § 5460(a) (providing for the accountability of a health care agent to a guardian).
As concerns the Superior Court’s decision, Appellees specifically take issue with its holding that the Act simply does not apply to persons who have always lacked competence. In this regard, Appellees argue that the Superior Court incorrectly treated a stated purpose of Chapter 54— to provide a means for competent adults to control their health care through advance health care directives or health care representatives, see id. § 5423(a) — as the chapter’s only aim. Appellees explain that the Act also explicitly provides for default surrogates not chosen by the principal, namely, health care representatives, without differentiating between persons who have always lacked competence and those who have lost their previous capacity to make medical decisions. See id. § 5461; supra note 3. Moreover, Appellees highlight
Appellees posit that, in light of the plain language of Section 5462(c)(1), it is unnecessary to speculate as to the General Assembly’s underlying intent. Nevertheless, they offer that the Legislature may have been focused on the specific involvement of the principal in creating and shaping the relationship in the agency situation, as contrasted with a guardianship scenario, in which the principal has no such opportunity. Additionally, Appellees believe, as do a number of their amici, that the statute reflects the concern that guardians do not always act in the best interest of incapacitated persons, despite their charge to do so. See, e.g., Clark v. Cohen,
The issue before us is one of statutory interpretation; it is therefore a question of law subject to plenary review by this Court to be conducted de novo. As neither party challenges the Superior Court’s determination that the appeal falls within exceptions to the mootness doctrine, we decline to exercise our discretion to review that finding and proceed on that premise. Cf. Rendell v. Pa. State Ethics Comm’n,
In statutory interpretation, our task is to discern the intent of the Legislature, and the foremost indication of legislative intent is the plain language of the statute. See
Chapter 54 reflects a careful legislative effort to balance various rights and interests in the sensitive arena of personal medical care provided to one who is not competent to assert his or her own rights. On the one hand, the statute manifests respect for advance health care directives, as well as the decisions of close relatives and friends, where the incompetent person suffers from an end-stage condition or permanent unconsciousness, and enables health care providers to comply with such decisions. See, e.g.,
Also in line with Appellees’ arguments and the orphans’ court’s decision, and for the reasons they have advanced, we agree that the guardianship statute does not alter this regime. Section 5521(d) and (f) of the Probate, Estates and Fiduciaries Code, by their own terms, do not provide the exclusive list of unauthorized acts for guardians. Rather, the proscription expressly subsumes acts forbidden of guardians under other statutes, such as
We also agree that the Superior Court adopted too limited a perspective concerning the Act’s scope. While the Act clearly reflects the express policy of empowering competent adults to effectuate advance health care directives, the provision for health care representation even in the absence of such directives, see id. § 5461, clearly conveys that the statute advances other purposes as well. Accordingly, we are unable to disregard the limitations inherent in
We recognize Appellants’ concern with the possibility that David may face additional medical interventions which they may quite reasonably regard as painful and intrusive. Further, we make no policy-oriented criticism of the position Appellants have taken, which we have no doubt reflects deeply held beliefs arising out of their personal experience with David’s profound disability and ongoing medical needs. We find only that the salient policy decision has been made by the Legislature, in
We hold that where, as here, life-preserving treatment is at issue for an incompetent person who is not suffering from an end-stage condition or permanent unconsciousness, and that person has no health care agent, the Act mandates that the care must be provided.
The order of the Superior Court is affirmed, albeit we have disapproved a portion of its reasoning. Jurisdiction is relinquished.
Chief Justice CASTILLE, Justices EAKIN, BAER, TODD, McCAFFERY and ORIE MELVIN join the opinion.
Notes
. Act of Nov. 29, 2006, P.L. 1484, No. 169 § 4 (as amended
. The Chapter 54 definition of "incompetent,” see
. According to an amicus, "health care representatives,” who may be family members or other individuals who know the incompetent person, see
. The Superior Court also determined that this interpretation was consistent with the common law distinction between an agent and a guardian, and that its conclusion was compelled by practical considerations. See D.L.H.,
. See Brief for Appellants at 9 ("[T]he Legislature, in essence, specifically and expressly defined 'extraordinary medical treatments’ in sections 5521(d) and (f). Because the Legislature did not include the discretion to control ... mechanical ventilation in the list of excluded duties of guardians, [Appellants] were within their authority to exercise this control on David's behalf.”).
. See, e.g., Brief for Appellants at 8 ("Without a clear definition of [the] phrase ["extraordinary medical treatment”,] the health care system will establish a ‘safety zone’ that will contribute to the erosion of the rights of incapacitated persons who will now be forced to submit to a range of procedures that, even arguably, might be ‘extraordinary.’ "); id. at 10 (“[T]he Superior Court's parents [sic] patri-ae analysis goes against the modern trend and is a step backward because that procedure precludes the kind of on-the-spot decision making that cases like this call for.”).
. Appellees also argue that, even assuming the Act is inapplicable to those who have never been competent to make personal medical decisions, the same result is reached under the common law rule. See In re Estate of Dorone,
. Also aiding our review, amicus briefs have been submitted by: Disability Rights Network of Pennsylvania, the ARC of Pennsylvania, Achieva, Vision for Equality, Liberty Resources, Inc., Pennsylvania Developmental Disabilities Council, and Not Dead Yet; the Pennsylvania Medical Society and the Hospital and Healthsystem Association of Pennsylvania; and Dr. George Isajiw, Dr. John A. Flamini, Dr. John M. Travaline, Dr. Karl Ben-zio, and the Pennsylvania Family Institute.
. To the extent that Appellants argue that applying
. The Pennsylvania Medical Society and the Hospital and Healthcare Association of Pennsylvania, as amici, have submitted a brief centrally focused on their concern that the Superior Court's holding, broadly read, might unduly impinge on statutorily authorized surrogate decision-making in the end-of-life and permanent-unconsciousness scenarios. Nothing in this matter should be so read, as Appellants obviously favor broad decision-making powers on behalf of surrogates; Appellees have consistently expressly distinguished the "life-sustaining treatment” scenario as being "radically different” from that involving a life-threatening but curable condition; and thus, a "life-sustaining treatment” situation has never been before the courts in this case. See generally Commonwealth v. McCann,