Transcript Document

Preventing & Managing
Common
Ethical Predicaments
G E R AL D P. KOOCHE R , P H. D. , A BP P
DE PAUL UN I V ERSITY
W WW. E THICSRESEA RCH.COM
-Confidentiality Hazards & Mandated
Reporting
-Ethical Challenges in the Course of
Treatment
-Managing urgent situations
-Pushing boundaries
TODAY’S AGENDA
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What do you know?
Who will you tell?
NECESSARY SECRETS
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Understanding the
subtleties of confidentiality
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Values underlying confidentiality
Privacy
Stigma
Trust
Autonomy
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Stigma
Public fear and superstition
Stereotypes associated with violence and
dangerousness
Discrimination against mentally ill is prohibited
under the ADA of 1990 (PL101-336) and Fair Housing
Amendments Act of 1988 (PL100-430), but still…
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Trust
Fundamental to the therapeutic alliance
Effective psychotherapy…depends upon an
atmosphere of confidence and trust in which the
patient is willing to make frank and complete
disclosure…
(Jaffe v. Redmond, 1996)
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Privacy
Court decisions in regard to
procreation, death and dying,
and mental health illustrate
the significant societal
concern for privacy.
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Autonomy
Competent individuals’
right to self-determination
including the decision to
seek, select, or forgo
health care.
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Can you keep a secret?
•Privacy
•A constitutional right
•Confidentiality
•A professional
standard
•Privilege
•A narrow legal protection
Confidentiality source:
http://jaffee-redmond.org/
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Protective Breaches of
Confidentiality
Parens patriae Doctrine
Parentalistic state as the guardian or protector of the
incompetent
◦ Police powers and confinement may be used to protect
◦ Legislatures have enacted protective mandates
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Typical exceptions to confidentiality
Patient consent
Research
Other treatment providers
Public health reporting
Reimbursement
Other statutory reporting
mandates
Disclosure to patient
Protection of third parties
Disclosures to families
Quality control and program
evaluation
Disclosures to law enforcement
Disclosure in court proceedings
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Confidentiality Case Law & Psychotherapy
Tarasoff v Regents of the
University of California (1976)
Jaffe v. Redmond (1996)
Swidler & Berlin and James
Hamilton v. United States
(1998) [More on this later.]
United States v. Chase (2003)
13
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Discretional Breaches
Lawsuits (seek release)
Ethics complaints (seek release)
Within institution
◦ Treating colleagues
◦ Supervision
◦ Utilization review
◦ Quality assurance
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Duties to Third Parties
Obligations to payers
◦ Contractual versus non-contractual
◦ Patient’s contract
◦ Non-subscriber parties
◦ Provider’s contract
Targets of violence
◦ Tarasoff and its progeny
◦ Tarasoff v. Regents of University of California, 17 Cal. 3d 425, 551 P. 2d 334, 131 Cal. Rptr. 14.
(1976)
◦ Risk assessment
◦ Identified target
◦ Protective steps
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Subpoena’s and Court Orders
What is a subpoena?
What is a court order?
A subpoena compels a response.
Only a court order can compel a disclosure.
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When it comes to confidentiality,
the therapist knows best?
Dianea Kohl thought
she did…
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Ithaca therapist refuses to turn over notes, charged with contempt
6:02 PM, Jan 18, 2013 |
Dianea Kohl spent more than 25 years as a state-licensed marriage and family
therapist without encountering legal troubles. But in 2012, the Ithaca resident
faced court battles in two area counties involving what she considers a
violation of the sanctity of the therapist-client relationship — a violation she
believes could have a chilling effect on other counselors and their clients.
“There are only two exceptions to confidentiality — only if I have knowledge of
child abuse, or if someone is actively suicidal or homicidal can I breech
confidentiality,” Kohl said.
Kohl first ran into trouble when she was called to testify in Steuben County
Family Court regarding a child custody case.
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Both the father involved in the dispute and his 3-year-old child had
been to court-ordered therapy sessions with Kohl. Christine
Valkenburg, the law guardian who represented the child, asked that
Kohl provide case notes from those sessions. Instead, Kohl presented
a summary to the court.
“The law guardian wanted all of my therapy notes. Why did she want
my notes unless she thinks I’m hiding something?” Kohl said. “She
could not give a reason why she wanted to see the notes. The law
guardian went to the judge, and the judge issued an order. That’s
when I got my own lawyer.”
“I refused to give up my notes. My ethics say I am not to do that,” she
said. “I take lots of fragmented notes. They would not be helpful to
the lawyer.”
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Opposing view:
Valkenburg didn’t see it that way, and neither did Family Court Judge
Joseph Latham who signed a contempt-of-court order against Kohl in
February. Thehe next thing Kohl knew, she was under arrest in
handcuffs.
“I was arrested June 2. There had been a warrant out since February,
so I thought they decided not to do anything,” Kohl said. “I was
flabbergasted when a state trooper handcuffed me in broad daylight
on Route 13. I was shocked.”
Kohl eventually compromised and gave her notes directly to Latham
to review. Kohl had discussed the order with her client and received
the judge’s promise that only he would see them and that some text
would be redacted.
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Required Notifications and Breaches
(including HIPAA obligations)
Notify at the outset of the professional relationship.
Include state and federal caveats, but when conflicts exist honor the regulation
that affords the greater privacy to the client.
Document receipt of notification by the client.
Understand the TPO exception (Treatment, Payment, and Health Care
Operations)
◦ Providing, coordinating, and managing health care
◦ Administrative, financial, legal, and quality improvement
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Basic Components of Release Forms
Under HIPAA regulations (45 C.F.R. §164.508) each consent or release form must at minimum contain:
A description of the information to be used/disclosed in a specific and meaningful form;
The name or specific identification of the person(s) or class of persons authorized to disclose the information;
The name or specific identification of the person(s) or class of persons authorized to receive the information;
Description of the purpose or requested use of the information;
An expiration date or event related to the purpose of the disclosure; and
The signature of the person making the authorization and date of signing. If the signer is acting on behalf of
another, the relationship should be indicated.
Certain required statements must also appear on the release form to notify the signer that:
◦ They have a general right to revoke the authorization in writing, any exceptions, and the procedure to follow.
◦ The care provider or institution may not require the release as a condition of treatment, payment, or eligibility for
benefits.
◦ Once released the information could potentially be re-disclosed by the recipient and thus no longer be protected.
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Insurance Companies and
Other Third Party Disclosures
Under HIPAA regulations (45 C.F.R. §164.508) each consent or release form must at minimum contain:
A description of the information to be used/disclosed in a specific and meaningful form;
The name or specific identification of the person(s) or class of persons authorized to disclosure the information;
The name or specific identification of the person(s) or class of persons authorized to receive the information;
Description of the purpose or requested use of the information;
An expiration date or event related to the purpose of the disclosure; and
The signature of the person making the authorization and date of signing. If the signer is acting on behalf of another, the
relationship should be indicated.
Certain required statements must also appear on the release form to notify the signer that:
◦ They have a general right to revoke the authorization in writing, any exceptions, and the procedure to follow.
◦ The care provider or institution may not require the release as a condition of treatment, payment, or eligibility for benefits.
◦ Once released the information could potentially be re-disclosed by the recipient and thus no longer be protected.
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Discussing confidential material with colleagues
Inside or outside the institutional context?
Properly sanitized health care information is not protected under HIPAA regulations (45 C.F.R. §164.514).
The following identifiers should be removed or altered when preparing material for release or discussion
in public statements, teaching, or research:
1.Names
2.Geographic subdivisions smaller than a state (although the initial three digits of a zip code may be
used)
3.Any dates (except years) directly related to an individual
4.Telephone, fax, social security, medical record, health plan identification, account, medical device
identification, or license numbers
5.E-mail addresses web universal resource locators (URLs), Internet Protocol (IP) addresses
6.Biometric identifiers including finger and voice prints
7.Full face photographic or comparable images
8.Any other unique identifying number, characteristic, or code
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When the client is a minor
What secrets will parents
allow their children?
Contract at outset; but minds
can change
Long-term issues
◦When grown children access
their own childhood records.
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Sharing information about
children’s psychotherapy with their parents
Basic concept: therapy has to be safe for all participants and parents
need to know info about their children that allows them to fulfill
parental responsibilities.
Children should have consensual confidentiality rights.
Parents should have regular progress reports.
Therapists may breach a child’s confidentiality non-consensually to
prevent serious harm, disclosing only info necessary for parents to
protect.
◦ Clarify meaning of serious harm to avoid confusion.
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When the client is deceased
The focus of access often revolves around inheritance rights and
testamentary capacity.
Legal representative of the client’s estate have authority unless
specifically prohibited by state law (HIPAA Privacy Rule)
Release is not required if licensed therapist decides, in the exercise
of reasonable professional judgment, that treating an individual as
personal representative is not in patient’s best interest (HIPAA
Privacy Rule)
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Interesting more twists on
confidentiality rights of dead people
Middlebrook, D. W. (1991). Anne Sexton: A biography.
New York: Vintage Books.
◦ Martin Orne, MD, PhD
Swidler & Berlin and James Hamilton v. United States
U.S. 97-1192.
◦ Opinion by Rehnquist, joined by Stevens, Kennedy, Souter, Ginsburg, and
Breyer, held that notes were protected by attorney-client privilege because
both a great body of case law and weighty reasons support the position that
attorney-client privilege survives a client's death, even in connection with
criminal cases.
◦ Opinion cited: Jaffee v. Redmond, 518 U.S. 1, 17-18, 135 L. Ed. 2d 337, 116
S. Ct. 1923 (1996)
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Confidentiality Hazards
& Mandated Reporting
Mandated Reporting
Child abuse/neglect
◦ “Reasonable cause to believe” or “reasonable suspicion”
◦ Sexual abuse may require additional actions
Abuse/neglect of dependent persons
◦ Elderly
◦ May include financial abuse
◦ Disabled
◦ May allow more discretion by practitioner
◦ Dangerous Driver (including elders and neurologically impaired)
◦ Firearm ID laws (Illinois FOID and NY SAFE acts)
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Mandated reports
Why: protection of the vulnerable and the practitioner.
indicted.
Who, what, Adrian
andPeterson
to whom…
◦ Child abuse
◦ Elder abuse
◦ Dependent person abuse
◦ Others…
◦ Abuse of former client(s) (Minnesota)
◦ Unsafe drivers (Pennsylvania)
◦ Use of tetrahydrocannabinol or has alcoholic beverages during pregnancy (Minnesota)
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Illinois Firearm Owners Identification Act
(430 ILCS 65)
On July 9th 2013, Illinois passed HB 183 (Public Act 098-0063), also known as
the Firearm Concealed Carry Act. The Firearm Concealed and Carry Act expands
the reporting requirements for healthcare facilities and physicians, clinical
psychologists and qualified examiners to include any person that is: adjudicated
mentally disabled person; voluntarily admitted to a psychiatric unit; determined
to be a "clear and present danger"; and/or determined to be "developmentally
disabled/intellectually disabled".
The Illinois FOID Mental Health Reporting System website provides mandated
reporters with 24-hour and immediate access to report an individual that is
receiving mental health treatment or is determined to be a clear and present
danger, developmentally disabled or intellectually disabled.
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626.5561, Minnesota Statutes 2007:
REPORTING OF PRENATAL EXPOSURE TO CONTROLLED SUBSTANCES-- “A person mandated to report… shall immediately report to the local welfare agency if the
person knows or has reason to believe that a woman is pregnant and has used a controlled
substance for a nonmedical purpose during the pregnancy, including, but not limited to,
tetrahydrocannabinol, or has consumed alcoholic beverages during the pregnancy in any way
that is habitual or excessive.
 Any person may make a voluntary report if the person knows or has reason to believe that a
woman is pregnant and has used….
 An oral report shall be made immediately by telephone or otherwise. An oral report made by
a person required to report shall be followed within 72 hours, exclusive of weekends and
holidays, by a report in writing to the local welfare agency. Any report shall be of sufficient
content to identify the pregnant woman, the nature and extent of the use, if known, and the
name and address of the reporter.”
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Psychologist Accused of Failing to Report Child Abuse
POSTED: 6:35 am EDT April 9, 2009
http://www.theindychannel.com/news
NORTH VERNON, IN -- A psychologist was arrested in his
Jennings County office Wednesday on a charge of failing to
report child abuse or neglect. Police said Dr. Robert Dailey
did not report a case in which a juvenile suspect in a child
molestation investigation told him of inappropriately
touching another juvenile during an appointment. The
juvenile's case went through the juvenile justice system.
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Bottom line: know the jurisdictional rules
that apply to your practice.
Including electronic or remote practice!
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You’re helping me,
but I hate you!
ETHICAL CHALLENGES IN THE COURSE OF TREATMENT
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What are your personal risk factors?
Consider:
◦Patient Risk Characteristics
◦Situation or Contextual Risk
◦Potential Loss or Disciplinary Consequences
Modified by:
◦Therapist’s “Personal Toolbox of Skills”
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Patient Risk Characteristics
Nature of Problem
History
Diagnosis and Level of Function
Expectations
Therapeutic readiness
Financial Resources Including Insurance Coverage
Litigiousness/court involvement
Social Support Network
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High Risk Patients
Patients who organize their internal object world
into hated and adored objects
◦Borderline Personality Disorder
◦Narcissistic Personality Disorder
◦Dissociative Identity Disorder (MPD)
◦PTSD (complex)
◦Patients who were abused as children or are in
abusive relationships
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Higher Risk Patients
Potentially suicidal patients
◦ Conduct frequent risk assessment utilizing current,
evidence based methods essential
Potentially violent patients
Patients involved in unrelated lawsuits
Patients with recovered
memories of abuse
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Case Example
Ms. Smith, a 45 year old mother of 2, seeks treatment because of distress
(including nightmares) related to a chronically ill mentally disabled child.
During session 3 she expresses anxiety about upcoming testimony in a licensing
complaint against a former therapist who reportedly made sexually suggestive
phone calls to her.
During session 4 she mentions (for the first time) that she is concurrently in
psychoanalysis (of ten years duration) and that she once impulsively removed all
her clothes in an analytic session. She tells you that you seem to understand her
better than anyone she’s ever met and she wants you to be her primary
therapist.
Your diagnosis and next steps?
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Citation for the “undressing” client:
Geist, Richard A.(2009) 'Empathy, Connectedness, and
the Evolution of Boundaries in Self Psychological
Treatment', International Journal of Psychoanalytic Self
Psychology, 4: 2, 165 — 180.
◦ DOI: 10.1080/15551020902730273
◦ URL: http://dx.doi.org/10.1080/15551020902730273
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Situational Risk Factors
Nature of relationship
◦ Therapeutic alliance
Real world consequences
Setting
◦ Rural versus urban
◦ Solo practice versus institutional practice
Type of service requested
◦ CBT
◦ Family therapy
◦ Forensic Evaluation
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Therapist’s personal toolbox of skills
Psychological makeup/personal issues
◦Personal and professional stress levels
Training background/qualifications
Experience
Resources
◦ Consultation
◦ Access to other providers
◦ Involvement with professional groups
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So what should I do?
Know the ethical and legal standards that apply.
Pay attention to any applicable practice guidelines.
Provide comprehensive informed consent.
Conduct a conservative evaluation of your competence
with clinical populations and activities:
◦ Intellectual competence
◦ Technical competence
◦ Emotional competence
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Prepare for a crisis situation
Carry insurance (including licensing board defense coverage).
Maintain a roster of people to call for
◦
◦
◦
◦
Legal consultation
Ethical consultation
Hospitalizing a client
Mandatory reporting situations.
Ask every client about risky behaviors during intake.
Create and use checklists for clients who may pose risks to themselves or others
(more on this later, but such a list will remind you to ask key questions and
document that you did so).
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Standards of care:
the “good enough clinician”
Mistake or “judgment call” error
◦ People cannot avoid mistakes
(but a mistake ≠ negligence)
Departure from standard of care
◦ Many practitioners would not do it
Gross negligence
◦ Extreme departure from usual professional conduct most practitioners
would not do it
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Understanding Professional Liability Insurance
Occurrence Policies
◦ Pay once, covered “forever”
2016
Claims Made Policies
2015
◦ Must keep coverage current
2014
Tail coverage
◦ (trailing claims)
Nose coverage
2013
2015
2012
◦ (prior acts)
2016
2017
2018
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Most Common Litigation or
Licensing Complaint Triggers
Improper care/evaluation
Child-custody related issues
Credit/billing impropriety
Suicides
Homicides
Sexual abuses - dual relationship/boundary violations
Non-sexual dual relationship/boundary violations
Employment practices
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Significant Claims/ New Trends
 Boundary Violations
 Suicide
 Homicide
Wrongful
death
Improper
treatment
 Dual Relationship
 Billing – Medicare Investigations
 Copyright/Trademark Infringement (e.g., website images and
music)
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Some things have not changed
Want to cut your risk of an “adverse incident” by
95%?
◦ Don’t engage in sexual with current or former clients
or their relatives.
◦ Don’t do anything that someone might mistake for a
“forensic assessment,” without adequate training,
informed consent, and thorough data collection.
◦ Don’t switch roles in a professional relationship
without well documented consent by all parties.
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Avoiding legal (forensic) entanglements
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To whom do I owe a duty of care and in what
hierarchical sequence?
The person in the
room?
The family, guardian,
or attorney?
The agency or
institution?
Society at large?
All of the above?
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Cluelessness
counts
Who gets in trouble and why?
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Forensic Traps
Just trying to help a friend, client, etc.
The “vacation time referral”
Anticipating litigation
◦ (I didn’t see that coming!)
To whom do I owe what duties
◦ Collaterals
◦ Clients for limited purpose
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Money Traps: The unpaid bill
You must obey debtor-creditor laws
You can take a client to court, but remember
◦ Fee disputes often trigger complaints to licensing boards
◦ You have an obligation to protect confidentiality to the extent
possible (aside from disclosing client status and the debt).
You remain responsible for the actions of those who bill on your
behalf or who act as collection agents for you.
Take care to avoid any misrepresentation or potential fraud.
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Fraud: an act of intentional deception resulting in harm or
injury to another. There are four basic elements to fraud.
1. One
party makes
representations to another, either
knowing the claims are false or
ignorant of their truth. This may
be done by misrepresentation,
deception, concealment, or
simply nondisclosure of some key
fact.
2. The misrepresenter’s intent
is that another will rely on the
false representation.
3. The recipient of the
information is unaware of the
intended deception.
4. The recipient of the
information is justified in relying on
or expecting the truth from the
communicator. The resulting injury
may include financial, physical, or
emotional harm.
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What to Do in Money Matters
Inform clients about fees, billing, collection practices, and other financial
contingencies as a routine part of initiating the professional relationship,
ideally in written form. Repeat this information later in the relationship as
necessary.
Carefully consider the client’s overall ability to afford services early in the
relationship and help the client to make a plan for obtaining services that will
be both clinically appropriate and financially feasible. Encouraging clients to
incur significant debt is not psychotherapeutic. In that regard, therapists
should be aware of referral sources in the community.
Consider performing some services at little or no fee as a pro bono service to
the public as a routine part of your practice.
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What to Watch Out For
Pay careful attention to all contractual obligations, understand them, and abide by them.
Similarly, therapists should not sign contracts with stipulations that might subsequently
place them in ethical jeopardy.
In dealing with MCOs, mental health providers should adhere to the same standards of
competence, professionalism, and integrity as in other context. Heightened sensitivity
should focus on the potential ethical problems inherent in such service delivery systems
in which profit may trump client welfare.
In all debt collection situations, therapists must remain aware of the laws that apply in
their jurisdiction and make every effort to behave in a cautious, businesslike fashion.
They must avoid using their special position or information gained through their
professional role to collect debts from clients.
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What Not to Do
Avoid relationships involving kickbacks, fee splitting, or payment of
commissions for client referrals may be illegal and unethical.
Do not allow any misrepresentation of financial transactions effected in
their name by an employee or agent they have designated (including
billing and collection agents). They must therefore choose their
employees and representatives with care and supervise them closely.
Third-party payers may put pressures on clinicians to meet their needs in
ways that do not necessarily hold the rights of individual clients
paramount. In such instances, ethical clinicians will act in the best
interests of their clients.
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Sub-optimal terminations
APA Code of Conduct: 10.10 Terminating Therapy
(a) Psychologists terminate therapy when it becomes reasonably clear that the
client/patient no longer needs the service, is not likely to benefit, or is being
harmed by continued service.
(b) Psychologists may terminate therapy when threatened or otherwise
endangered by the client/patient or another person with whom the
client/patient has a relationship.
(c) Except where precluded by the actions of clients/patients or third-party
payors, prior to termination psychologists provide pretermination counseling
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What to Do
Discuss the issue with client (if realistic and non-dangerous
to do so).
Make referrals and allow time to follow through (if realistic
and non-dangerous to do so).
Document your actions and rationales.
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Reporting mandates and challenges
Some mandated reporting may lead to discontinuation of treatment.
Managing these situations requires a combination of thoughtfulness
and adherence to law.
Clinician who obey regulatory requirements that conflict with ethics
codes will generally not face ethical misconduct charges, with the
exception of human rights violations carried out under cover of
supposed governmental authority.
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The challenge of multiple-client
therapies
When considering work that involves more than one client in the room the therapist
should:
◦ Think through the rationale for who will be included (i.e., screening in group treatment, rationales
for collateral engagement, planning rules of engagement and cautions for couple/family work).
◦ Who (if anyone) is the primary client.
◦ What rules of conduct or expectations apply.
◦ What limitations apply (e.g., client for a limited purpose or contacts outside of the group context).
◦ What hazards apply (e.g., emotional confrontation in group treatment or break-up of couple)
When more than one person hold “client” status the clinician should:
◦ Clarify the duties owed to each person and the limitations on those obligations at the outset.
◦ Document having done so.
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Multiple Client Therapies and Records
Groups
◦ No privilege held in relationship to other
group members
Couples
◦ What is the couple’s contract?
Families
◦ What is the contract?
◦ What will parents allow?
◦ What about break-ups?
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Managing urgent
situations
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Addressing threats to self or others
All patients should be asked about Aggressive behavior toward
others, suicidal ideation, and past attempts
◦ Consider asking: “What is the riskiest or most dangerous thing you
have ever done?” during intake evaluations.
◦ Ask about any incidents where the client has threatened hurt others,
even when they “did not mean to do so.”
◦ Ask directly about thoughts/plans for self harm.
No patient is “too healthy” for these questions
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Work with Dangerous Clients
Assess
◦ Diagnosis
◦ History of violence
◦ Demographics
◦ Availability of potential victims
◦ Access to weapons
◦ Substance abuse
◦ Stressors
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VandeCreek’s Decision Model
Break Confidentiality
High
•
•
•
Build rapport
Involve significant
others
Hospitalize
• Intensify therapy
• Manage environment
Violence Risk
Low
Build Rapport
Weak
Shift focus
to violence
management
Therapeutic Alliance
© GERALD P. KOOCHER, PH.D., 2014, ALL RIGHTS RESERVED
Strong
69
Case Example
James Holmes and Lynne Fenton, M.D.
A University of Colorado psychiatrist told campus police a month before the Aurora
movie theater attack that James Holmes had homicidal thoughts and was a public
danger, according to records unsealed April 4, 2013. His trial is expected to begin in
December, 2014.
Lynne Fenton, a psychiatrist at the Denver campus, told police that Holmes had also
“threatened and harassed her via email/text messages” in June 2012. He is standing
trial for the July 20 shooting rampage that killed 12 and injured 70 during a midnight
premiere of the latest Batman movie. Soon after the shooting, university police said
they had not had any contact with Holmes, a graduate student doing neuroscience
research. But a search warrant affidavit released Thursday revealed that an officer had
told investigators that Fenton had contacted her to report “his danger to the public
due to homicidal statements he had made.”
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Potentially Suicidal Patients
-4
Selected Demographics of Suicidal Patients
◦1.4% of all deaths are suicides
◦Adolescents and people over 65 most frequent age groups
◦Completion rate = male to female rate 3:1
◦Clinical diagnosis and suicide
◦ Over 90% are associated with mental disorder.
◦ Patients with a major mental disorder are 10 times more likely to die by suicide.
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Potentially Suicidal Patients
Suicide is the most frequent mental health emergency
◦ 1 out of 5 psychologists will lose a patient to suicide
◦ 1 out of 6.5 psychology trainees
◦ 1 out of 2 psychiatrists
Heavy emotional toll on both survivors and clinicians
Frequent cause of malpractice suits
◦ 5.4% for psychology and 20% for psychiatry
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Potentially Suicidal Patients
-5
Diagnoses and suicide
◦ Major affective illness = 15% of deaths
◦ Schizophrenia = 10%
◦ Patients hospitalized for alcoholism = 2-3%
◦ Patients with personality disorders (especially
borderline personality) = 8%
Demographics
◦ Attempters = 10-20 times rate of completers
◦ Mainly female, personality disordered, multiple attempts
◦ Completers = 50-70% communicate intent in advance,
chiefly to family members and significant others
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Potentially Suicidal Patients
Standard of Care
◦ Clinician is not expected to
predict and prevent suicide.
◦ Clinician is expected to
identify elevated risk or
suicide and to take
reasonable protective and
risk reduction steps (where
possible).
-3
Assessing Competence in
Suicide Emergencies and
Treatment
◦ Licensed professionals are
expected to be able to handle
emergencies.
◦ Practitioners should develop
Intervention strategies.
◦ Additional post-graduate training
may be required.
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Indicators of Suicide Risk
History of prior attempts
Acute perturbation (e.g., panic attacks and severe insomnia)
Incident causing humiliation or shame
Hopelessness about future (escape wish)
Recent discharge from psychiatric hospital (1 month/1 year)
Constriction in ability to see alternatives to current state (escape wish and rigid
thinking)
Availability of lethal means
Chronic medical disorder with persistent pain
History of impulsive, dangerous or self-destructive behavior
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Indicators of Suicide Risk
Contra indicators to Risk
Elevated Risk
◦ Dependent children
◦ Recognition of the pain that
suicide would cause to
relatives and friends
◦ Anticipated significant
positive events (e.g.,
wedding or birthday).
◦ Suicide is a low base rate
event.
◦ Every patient should be
asked about present and
past suicidal ideation during
the initial intake evaluation.
No patient is “too healthy” to
ask.
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Indicators of Suicide Risk
Assessment when ideation is present
Information about prior attempts
Patient’s perception of risk and ability to contract for safety
Hopelessness about the future
Available lethal means (including psych Rx)
Availability of working support system
Suggestive behavior (intention to die/survive)
Feelings about hospitalization
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Indicators of Suicide Risk
Assessment when ideation is present
Psychological testing (e.g., Beck’s Helplessness/hopelessness
Scales, MMPI-2)
◦ All instruments tend to over-predict.
◦ No test can predict individual cases.
◦ Consider testing especially when therapist is inexperienced or has
countertransference issues.
◦ Managed care instruments may be helpful in accessing treatment
resources.
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Strategies to consider
Hospitalization
Strengthening the therapeutic
alliance
Intensifying treatment
Stepwise breaking of
confidentiality
Warning potential victims
Additional protective actions.
Secure weapons
Actively manage the patient’s
environment
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Advance Preparations
for working with suicidal patients
Self-evaluation
◦ Personal feelings about suicide
◦ Current capacity to deal with suicidal patient
Knowledge of options and resources
◦ Civil commitment criteria and procedures
◦ Connections to emergency crisis team, if any
◦ Connection to inpatient facilities
◦ Relationships with hospital staff
◦ Referral process
◦ Staff privileges
◦ Psychopharmacology knowledge base
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Advance Preparations
for working with suicidal patients-2
Develop good relationship with knowledgeable prescribing
clinician(s)
◦ Insist on medication evaluations.
◦ Insist that medication recommendations be followed as a condition of
your continuing to provide therapy.
◦ Consult regularly with prescribing clinician about prescriptions.
◦ Keep good notes on all of the above.
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Informed Consent with Suicidal Patients
Inform patient and family, if
appropriate, or responsibility to
protect.
Informed consent statement should
contain notice to patient that you
will break confidentially where
appropriate, if necessary to protect.
“If I believe you are at risk of killing
yourself as a way of escaping the
emotional pain that brought you to
see me, from a therapeutic and
human perspective, my only
treatment goal is to keep you safe
and alive. If this is unacceptable to
you, then we probably need to get
you to another therapist.”
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Support Systems
and Suicidal Patients
When possible and appropriate involve significant others in the
patient’s treatment
◦ Pros and cons vary from person to person and time to time.
◦ Can family members be therapeutic allies?
◦ Especially important to maintain safety between sessions in out-patient
treatment.
◦ Consider others such as clergy or friends when family is not available.
◦ Document all, even when involvement of others is contraindicated.
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Interventions with Suicidal Patient: Safety
Contracts
Commonly used technique with potential clinical value
Not very effective risk management strategy without strong
alliance
Reliance on contract alone is rarely good practice
Doubtful value when patient is impulsive, substance abuser, or
prone to decompensate or disassociate
If psychologist contracts, must be available on 24/7 basis
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Interventions with Suicidal Patient: Outpatient
Care With Therapeutic Activism.
Maintain regular contact with prescribing physician
Sole focus on treatment = safety
Remove lethal agents
Be alert to sudden changes in behavior
◦ Flights into health or decisions to divest
Consistent involvement of significant others
Consider day-treatment or other isolation reducing activities
Document, document, document
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Record keeping when treating the dangerous (to self or
others) patient
Keeping good records is a must.
Never alter a record following a critical event.
Include discussions with managed care company if there is
disagreement about frequency of treatment or hospitalization.
◦ Think out loud to representative about whether to appeal
Get records of past treatment, especially hospitalizations.
Maintain records per legal requirements (nature and duration).
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Getting consultation on dangerous
patients
Especially important where
hospitalization is rejected by
managed care company
Arms-length, formal, paid
consultation is the best
protection
Identify consultants before you
need them
Explore all contingencies and
options
Use peer consultation group
Be sure your supervisees and
assistants consult with you
Vicarious liability
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Postvention: after the event
in general
Self care
Post mortem conferences
◦ Bereavement reactions:
mourning the patient’s death
◦ Safer if done in personal therapy
than in consultation
◦ Be careful what you say and to
whom; limit self-recrimination to
confidential relationships
◦ Becoming a standard practice for
managed care companies and
hospitals
◦ Can be helpful for closure
◦ Insist on complete confidentiality
protections with written
assurance from company or
agency attorney.
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Postvention: after the event
with patient’s family
Often an important risk
management tool and a helpful
thing to do
Important part of therapist’s own
coping
At funeral or giving condolences,
avoid revealing your status and
remain in background
Any substantive interaction with
patient’s family should be in private
Avoid doing more than condolences
until own feelings worked through
Be aware of confidentiality issues
that survive patient’s death
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Postvention: after the event
with patient’s family
Executor/heirs at law may waive
privilege.
Do not provide records without
valid subpoena.
Good idea to get waiver from
family
Demonstrate therapist cared
about patient and empathizes
with loss.
◦ With appropriate waiver therapist
may discuss case in general, but may
also withhold details the patient
would have wanted kept private.
Any sessions should be
supportive and
psychoeducational
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Postvention: after the event
a session with patient’s family
Focus session on grieving process and its
importance:
◦If treatment is needed, refer to someone else
◦Survivors’ coping may include anger at therapist
◦Referral may feel like abandonment
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20 Point Checklist to Consider in Assessing Suicide Risk
1.
Direct verbal warning?
•
Direct statements of intent often precede attempts (90 day risk interval).
2.
Plan?
•
Presence of a plan increases risk, especially if detailed, lethal, and feasible
3.
Priors?
4.
Most completed suicides are preceded by a prior attempt. Indirect statements or behaviors?
•
Talk about “going away” or what “death would be like,” or giving away prized belongings.
5.
Depression?
•
Clinical depression increases risk x20
6.
Hopelessness
•
Hopelessness and lack of “escape” options increase risk.
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20 Points to Consider
7.
Intoxication
• Substance abuse
disinhibition and increased risk.
8.
Special clinical populations?
• AIDS patients and torture victims
9.
Sex
• 3:1 male, 5:1 young male, but females make more attempts.
10. Age?
• Risk increases over adult life cycle with attempt to success ratio 7:1 under age
65 and 2:1 over 65.
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20 Points to Consider
11. Race/Culture?
• In U.S. highest among Native Americans ages 15-24
• Reduced inhibition and pre-contemplation time in some cultural groups
12. Religion?
• Higher among protestants than Catholics or Jews (in U.S.)
13. Living alone?
• Risk lower if not living alone; lower if with spouse; lower if with children
14. Bereavement?
• Complex data, but risk generally increased
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20 Points to Consider
15. Unemployment = +
16. Health status
• Illness and somatic complaints = +
17. Impulsivity = +
18. Rigid thinking = +
19. Stressful events
• Excessive undesirable events = +
20. Release from (Ψ) hospital = +
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Assessing Elevated Suicidal Risk
Sample Interview Questions:
◦ 1. Have you ever thought about hurting yourself or taking your own life?
◦ Tell me about it. (Active follow-up questions)
◦ 2. Have you thought about it recently?
◦ Tell me about it.
◦ How would you do it?
◦ Have you taken any steps to implement plan?
◦ How long have you had plan?
◦ Are there other ways of resolving your problems?
◦ What are they?
◦ Have you shared these plans with anyone?
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Interventions
Engage support systems
◦ Alert treatment team and family (if appropriate)
◦ Discuss crisis plans
Initiate or intensify treatment
◦ Medication and psychotherapy work best
◦ Assure back up support
Focus on fears and rage themes (in therapy)
Never ignore the expression of such feelings
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Suggested readings on
treating suicidal clients
Bongar , B. (2013). The Suicidal Patient: Clinical and Legal Standards of Care (3rd ed). Washington,
D.C., American Psychological Association
Jongsma, A. E. (2004). The Suicide and Homicide Risk Assessment & Prevention Treatment Planner
Mack, J. E. (1981). Vivienne: The Life and Suicide of an Adolescent Girl (1981, non-fiction, with Holly
Hickler) Boston: Little Brown
Rudd, M.D. (2006). The Assessment And Management of Suicidality. Sarasota, FL: Professional
Resource Exchange.
Shea, C. S. (2011). The Practical Art of Suicide Assessment: A Guide for Mental Health Professionals
and Substance Abuse Counselors. Hoboken, NJ: Wiley.
Wingate, L., Joiner, T., Walker, R., Rudd, M.D., & Jobes, D. (2004). Empirically informed approaches to
topics in suicide risk assessment. Behavioral Sciences & the Law, 22, 1-15.
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Pushing boundaries
PROBLEMS BOTH OLD AND NEW
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Psychologist accused of sexual
assault on a client
http://www.coloradoconnection.com/news/story.aspx?id=844852#.UO2f0HddB8F
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COLORADO SPRINGS, COLO. -- A licensed psychologist has been arrested on the
charge of Sexual Assault on a Client by a Psychotherapist, according to Colorado
Springs Police.
Dr. Janice Husted was arrested on the charge after a police investigation. A young
man told police that a sexual relationship developed between him and Husted, his
psychologist.
Police said the man was assigned to receive counseling related to his combat
deployments during the summer of 2010. The sexual relationship, according to
what the victim told police, started in Aug. 2011 and continued until Oct. or Nov.
2011. The man said the psychologist told him on several occasions that they had
to be careful to not appear that they were on dates, police said.
Police said the man told the psychologist he did not want to have a secret
relationship but she said they couldn't have an open relationship until two years
passed. After saying he did not want to wait two years, the psychologist ended
the relationship, police said.
Sexual Assault on a Client by a Psychotherapist is a Class 4 Felony.
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Barter counseling for bathroom repair (NE Grand Rapids )
Reply to: [email protected]
Date: 2008-12-07, 12:09PM EST
•“My husband is a capable and effecive counselor, licensed...but he
is not good at home repairs/construction. I will trade his expertise
for your time with him as a counselor if you can help us with tub
and tile repair and plumbing. We had a termite problem that we
fixed but the place needs a new floor and other stuff...if you are
struggling with depression or bipolar, he is your man...maybe your
spouse, child, etc. He is truly an excellent counselor. We have our
own non-profit and give to others without charging so our financial
situation is limited, but looking to trade! thanks.”
•Location: NE Grand Rapids PostingID: 948491022
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The Ethical Perils of Social Media
The use of social media and Internet search capabilities have let to
new forms of instantaneous mass communications that have eroded
traditional concepts of privacy, while creating some new ethical
challenges.
◦ Invisible access to and use of (previously personal) information
◦ New forms of communication that can blur personal and professional boundaries
◦ Complex data distribution and communication systems that are readily adopted but often not
fully understood by users
◦ New venues for naughty behavior (e.g., bullying, cyberstalking, defamation, and voyeurism)
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Case Example
Help, I’ve been Yelped
Dr. Frank Lee Stunned, an experienced psychotherapist in private practice,
thought he’d dealt with almost everything. He’s run a successful small business
despite difficulties with third party payers over they years.
A client alerted Dr. Stunned that he’d seen a negative comment about him while
scanning Yelp.com for restaurant reviews.
The review posted by “Still in the Dumps,” reported an increase in her
depression and anxiety symptoms after months of working with Dr. Stunned,
who she described as “insensitive, incompetent, and abusive.” She noted that
she’d always felt uncomfortable about the way he seemed focused on her
breasts and wanted to warn other women about him.
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I’ve been Yelped
Dr. Stunned suspects that “Still in the Dumps” is a borderline patient who he
had to terminate because of outrageous demands for more contact and
noncompliance with treatment. After the difficult termination she’d muttered
about getting even.
Dr. Stunned googled himself and the first search item returned is the Yelp
review. He’s anxious, dismayed, and furious. He wants to sue Yelp and the
client.
Complaints and threats to Yelp won’t help.
Attempting to seek a libel judgment may make things worse.
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What can you do?
Monitor your web presence.
Use an optimized professional web site and similar publicity to suppress
adverse search returns
Hire an attorney to raise defamation claims with the website
Consider contractual prevention strategies
Consider the services or a reputation protection company (e.g.,
Reputationdefender.com and Medical Justice.com)
Solicit positive reviews from colleagues
Try to ignore them and hope they won influence consumers.
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Potential Response Strategies
Reactive Response strategies
◦ Respond on the site without breaching confidentiality.
◦ Remind readers that there are two sides to every story and that you owe all
clients a duty of confidentiality.
◦ Don’t mention any specifics or identifying information about the patient.
◦ Develop an active positive branding program and optimized web site you
control.
◦ Collect consumer satisfaction data.
◦ Don’t make promises you can’t keep.
◦ Remember that the Internet is forever
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Professional Web Sites:
When you control the message
Access to Information
◦ Marketing your practice/products
◦ Directions to your office
◦ Downloads
Access to Documentation
Efficient communication
Effective promotion of psychologist’s skills, experience, and
competencies/specialties.
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But beware…
Site security
Boundary issues
Appropriate marketing
Blogging challenges
File transfer and e-mail confidentiality
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Facebook, LinkedIn, Twitter, Instagram,
What’s Next?
Security Issues
Retention of Files
Friends of Friends boundary issues
Fan
Harassment
Stalking
PHI
Failure to terminate
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Do you Need a Friending Policy?
Sample per The Trust:
“I do not accept friend or contact requests from current or
former clients on any social networking site (Facebook,
LinkedIn, etc.). I believe that adding clients as friends or
contacts on these sites can compromise your confidentiality
and our respective privacy. It may also blur the boundaries of
our therapeutic relationship. If you have questions about this,
please bring them up when we meet and we can talk more
about it.”
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Suggestion on “Following” Policy
“I publish a blog on my website and I post psychology news on
Twitter. I have no expectation that you as a client will want to follow
my blog or Twitter stream. However, if you use an easily
recognizable name on Twitter and I happen to notice that you’ve
followed me there, we may briefly discuss it and its potential impact
on our working relationship.
My primary concern is your privacy.”
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More on Following
“Note that I will not follow you back. I only follow other health
professionals on Twitter and I do not follow current or former clients
on blogs or Twitter. My reasoning is that I believe casual viewing of
clients’ online content outside of the therapy hour can create
confusion in regard to whether it’s being done as a part of your
treatment or to satisfy my personal curiosity”
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What about searching?
Your clients will search for information about you.
What (if anything) does our ethics code have to say about
using electronic media and search engines to check on
clients?
Nothing, but ask yourself why and what you would do with
the information you find.
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Just a few sample options
for data collection
123people
CriminalSearches
Detectivemagic
Facebook
Familywatchdog
Fundrace
Google
Guidestar
Infospace
Intelius
Spokeo
Instantcheckmate
Vitalrec.com
Netronline
Wink
NSOPR.gov
Whitepages
Peoplelookup
Whowhere
Pipl
Whois
Searchsystems.net
Zabasearch
Spock
Zoominfo
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Health Insurance Portability
and Accountability Act (HIPAA)
and ePHI
KENNEDY-KASSENBAUM
ACT OF 1996
AKA: 45 C.F.R.160
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Privacy Rule Terminology
Protected Health Information (PHI)
◦ Personally identifiable information that is created or received by a
health care provider that relates to physical or mental health of an
individual
◦ Increasingly, PHI has become electronic in storage and transportation
(ePHI)
Health Care
◦ Care or services related to the health of an individual…including but
not limited to …preventative, diagnostic, therapeutic …care and
counseling, service, assessment or procedure with respect to the
physical or mental condition, or functional status, of an individual…”
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Privacy Rule Basics:
Psychotherapist-Patient Privacy Protected in
3 ways:
◦Minimum Necessary Disclosure
◦State Law Pre-emption
◦Special Protection given to “Psychotherapy Notes.”
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Minimum Necessary Disclosure
HIPAA requires we limit 3rd party submissions to the minimum
information necessary to conduct the activity for which the data
were requested.
Applies to information that can be disclosed without patient
authorization.
Insurers/MCOs can still require information necessary to establish
medical necessity as a condition of coverage.
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Psychotherapy Notes
Mental health information is give special
protection under the privacy rule.
This is accomplished by dividing Mental
Health Information into two categories:
◦Protected Health Information (PHI) referred to as
the “Clinical Record”
◦Psychotherapy Notes
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What goes in the “clinical record?”
The following information, if kept, must rest in the Clinical Record
◦ 1. Medication prescription and monitoring
◦ 2. Counseling session start and stop times
◦ 3. Modalities and frequencies of treatment
◦ 4. Results of clinical tests (including raw test data)
◦ 5. Summaries of:
◦ a. diagnosis
◦ b. functional status
◦ c. treatment plan
◦ d. symptoms
◦ e. prognosis
◦ f. progress to date
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What are “psychotherapy notes?”
Actual language of rule on psychotherapy records
or notes :
◦ “Notes recorded (in any medium) by a health care provider who
is a mental health professional documenting or analyzing the
contents of conversation during a private counseling session or a
group, joint or family counseling session and that are separated
from the rest of the individuals medical record.”
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Psychotherapy notes: The HHS narrative
“The rationale for providing special protection for psychotherapy
notes is not only that they contain particularly sensitive information,
but also that they are the personal notes of the therapist, intended
to help him or her recall the therapy discussion and are of little use
or no use to others not involved in the therapy. Information in these
notes is not intended to communicate to, or even be seen by, persons
other than the therapist….we have limited the definition … to only
that information that is kept separate by the provider for his or her
own purposes…not to the medical record and other sources of
information that would be normally disclosed for [TPO].”
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Must we keep
“psychotherapy notes?”
No, we are not legally or ethically required to keep
psychotherapy notes; they are completely optional.
The decision can vary from patient to patient, and from
session to session, depending on the facts and
circumstances of the case.
Many psychologists elect to keep one set of records to
minimize complexity.
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More on psychotherapy notes
Must be kept separately from basic record.
Are not a substitute for individual session notes.
Cannot be released without patient authorization.
◦ This includes consultations with other providers
Patient authorization cannot be required as a condition of
insurance coverage or as part of managed care utilization
review requirements.
Cannot include raw test data.
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Sample Fines for HIPAA Privacy and Security Violations
Parkview Health System, Inc. has agreed to settle potential violations of the HIPAA Privacy Rule
with the Department of Health and Human Services (HHS) Office for Civil Rights
(OCR). Parkview will pay $800,000 and adopt a corrective action plan to correct deficiencies in
its HIPAA compliance program as the result of medical records dumping.
http://www.hhs.gov/ocr/privacy/hipaa/enforcement/examples/parkview.html
Under another DHHS settlement Affinity Health Plan, Inc. will settle potential violations of the
HIPAA Privacy and Security Rules for $1,215,780. OCR’s investigation indicated that Affinity
impermissibly disclosed the protected health information of up to 344,579 individuals when it
returned multiple photocopiers to a leasing agent without erasing the data contained on the
copier hard drives. In addition, the investigation revealed that Affinity failed to incorporate the
electronic protected health information stored in copier’s hard drives in its analysis of risks and
vulnerabilities as required by the Security Rule, and failed to implement policies and
procedures when returning the hard drives to its leasing agents.
http://www.hhs.gov/ocr/privacy/hipaa/enforcement/examples/affinity-agreement.html
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The Health Information Technology for Economic and Clinical
Health (HITECH) Act of 2009.
Excluded psychologists and most other non-physician
providers from the list of “meaningful users” of electronic
health records
Not eligible for Medicare and Medicaid incentive payments
designed to encourage adoption of expensive complex
systems
Lobbying in process
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Definitions
Electronic Health Records (EHR)
◦ Focus on total health of patient across providers
Electronic Medical Records (EMR)
◦ Digital clinical charts; not easily shared
Practice Management Software
◦ Demographics, scheduling, billing.
Interoperability
◦ Ability to exchange and use information
Role segregation
◦ An HER function that limits personnel access to need-to-know elements of record (clerk/clinician)
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No mandate for small practices (outside hospitals)
yet, but when it comes how will access influence
what you write?
Multi-practitioner access
Patient real-time access
HIPAA and HITECH both mandate role segregation
Special mental health data segregation to be developed
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Key Ethical Challenges Associated with
the Patient Protection
and Affordable Care Act
C O M P E T E N C E A N D I N T E G R I T Y W I T H R E S P E C T S E RV I C E A N O U TC O M E M E T R I C S .
M U LT I P L E R O L E C O N F L I C T S W I T H H E A LT H C A R E S Y S T E M S , R E G U L ATO RS , A N D OT H E R
PROVIDERS.
C O N F I D E N T I A L I T Y W I T H R E S P E C T TO I N T E R O P E R A B L E R E C O R D S A N D E L E C T R O N I C
S E RV I C E D E L I V E R Y.
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Are you prepared for the Ethical Challenges of ACOs and PCMHs?
(Accountable Care Organizations and Patient Centered Medical Homes)
Organizational
models for
primary care
that will
improve our
health care
system (?)
Robocop and mermaid pet a unicorn.
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Integrated Inter-professional Care
Understanding the culture of interprofessional health care
practice and functioning as a team player.
Working with patients who have medical, mental health,
behavioral health, and co-morbid problems in a fast-paced
primary care context.
Working with a more diverse (ethnically, socially, and
economically) population than ever before.
Ability to document the value added by psychologists’
engagement.
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Administrative and Financial
Accountability and Autonomy
Are you prepare to:
◦ Seek additional
credentials?
◦ Board certification
◦ Integrate your practice?
◦ Co-locate?
◦ Contract?
◦ Become an employee?
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How will reimbursement systems
change?
Medicare
Medicaid
Insurance exchanges
Global payment systems
◦ Who takes the risks?
◦ Who makes “medical necessity” decisions?
New billing an diagnostic codes
◦ Who’s codes rule?
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Will the ICD Replace the DSM?
New ICD-10 Codes
V97.33XD: Sucked into jet engine, subsequent encounter.
Y93.D: Activities involved arts and handcrafts.
SW55.41XA: Bitten by pig, initial encounter​.
W61.62XD: Struck by duck, subsequent encounter.
Z63.1: Problems in relationship with in-laws.
​W220.2XD: Walked into lamppost, subsequent encounter.
Y93.D: V91.07XD: Burn due to water-skis on fire, subsequent encounter​.
W55.29XA: Other contact with cow, subsequent encounter.
W22.02XD: V95.43XS: Spacecraft collision injuring occupant.
W61.12XA: Struck by macaw, initial encounter.
​R46.1: Bizarre personal appearance.
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Integrated Record Systems:
The eMR, ePHI, and e-billing
Do you want to share your psychotherapy records
with your proctologist?
How can you avoid accidentally e-mailing sensitive
material?
What problems have we seen most commonly
documented?
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Electronic issues in malpractice claims
CRICO, 2013
In 147 instances electronic health records contributed to
“adverse events” affecting patients — half of them
designated as serious (12 month period of newly filed
malpractice claims 2012 - 2013, in a total pool of around
5,700 cases.
◦
◦
◦
◦
◦
◦
Incorrect information (inserted and/or repeated)
Hybrid record conversion problems
Electronic routing failures
Unable to access data
Pre-filled forms or copied and pasted text
System design not aligned with need
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Steps to take now…
Seek opportunities to learn interprofessional practice skills, new
diagnostic and procedure codes.
Gain competence in work with medical patients, particularly with
behavioral health and co-morbidity linked to depression and anxiety.
Consider board certification and inter-jurisdictional practice
credentials.
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More steps to take now…
Modify your HIPAA notice (if necessary) to comply with any eMR standards.
Educate your patients even if not required under the “TPO exemption.”
Take precautions (and educate your staff) to avoid improper transmissions.
Use strong passwords and consider encryption for your files.
If you consider joining an PCMH use an sophisticated attorney to review the
contract and consider an information technology consultant if record
integration is involved..
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Cloud Computing
Where’s the cloud?
How robust is the cloud?
What’s in the cloud?
◦ Software
◦ Data storage
Who has access to the cloud?
Accessing remote computers
Personal clouds and “fogging”
◦ Cloudfogger.com (local encryption prior to uploading)
◦ “MyCloud” products by Western Digital
◦ Personal servers
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E-therapy and assessment
How do you (or will you) provide assessment and treatment services
using remote transmission or taking advantage of remote storage?
Ethical issues (4 C’s):
◦ Competence (and treatment efficacy)
◦ Confidentiality (security of communications and consent)
◦ Crises (availability for effective intervention)
◦ Cross-jurisdictional challenges
Novel hazards:
◦ Are you ready to see edited clips of yourself on YouTube?
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When the licensing board
(or ethics complaint) comes calling
Mistakes
Happen
To err is
human
My
mother
loves me
“Some guys from the state licensing board are here to see you.”
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Dealing with Licensing Board
and Ethics Inquiries
Know who you’re dealing with and understand the complaint process
◦ Statutory board or voluntary professional association
◦ Psychologist or lay investigator
◦ Informal inquiry or formal charge (Don’t treat any communication as “informal” even if that language is used.)
Understand the precise complaint, rules, and procedures
◦ You are entitled to information on the charges or complaint
◦ You should be given or referred to a copy of the procedures to be followed or rules that apply, and a release of
your duty of confidentiality to a complaining client.
◦ Do not contact the person who complained.
◦ Do consult with professional colleague (on an official basis, not “as a friend”) or attorney before responding.
◦ If asked to provide materials in response to an authorized release, send copies and preserve the originals.
◦ Do not agree to a preliminary settlement or consent order without sound legal advice
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Dealing with Licensing Board
and Ethics Inquiries
Organize your defense and response carefully
◦ Compile documents and event sequences that address the credibility of the complaint.
◦ Limit the scope of your responses to the scope of the inquiry.
◦ Even though you may have an attorney, you will be expected to respond personally, so do not defer all
communication to counsel.
◦ If you need more time to compile materials an respond, ask for it.
◦ Even if you feel wrong charged or offended, do not respond with a thundering offense against the
complainant. State your own case clearly and document your supporting points.
◦ If you have committed the offense charged, document the events and begin remedial steps (e.g.,
seeking supervision, entering therapy, etc.) even while the case is pending to demonstrate good faith
and rehabilitative intent.
◦ Do not accept formal disciplinary findings without a hearing, unless following the advice of counsel.
◦ Know your rights of appeal.
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