Presentation on theme: "Ethical Issues in Record Keeping for School Social Workers"— Presentation transcript:
1Ethical Issues in Record Keeping for School Social Workers Kendra J. Garrett Ph.D.March 7, 2012MSSWA & MDE Spring ConferenceRoseville, MN
2The Plan……. Records in School Social Work Practice Practice Issues Framework for Ethical Decision MakingExploring OptionsEthical standards, values, and principlesLegal IssuesSome Case ExamplesSome Recommendations
3School Social Work Record Keeping Ethical Dilemmas around principles ofConfidentialityPrivacyStudent rightsParent rightsSafety
4Record Keeping Should Be Good PracticeEthically SoundLegally Sound
5Purpose of Records in Practice Improve quality of practiceThink through practice issuesLink assessment information to practice decisionsIdentify missing informationKeep goals currentDiscuss with supervisorMaintain information (Kagle and Koepels, 2008)
6Practice Decisions What needs to be included in records? What should I keep out of records?What form should my records be in?Who should see/know what is in records?How much time do I have to record?How confidential are my records?How much should I tell student, teachers, parents about the kinds of record keeping I do?
7Good practice records are…. AccurateUnbiasedConciseClearJargon freeOrganizedCurrentLegible
8To keep track of practice include… Documentation of contacts with students and parentsAssessment informationRationale for serviceGoalsIntervention plansOutcomes
9And… Termination information Critical incidents Progress notes Release of information formsContacts with third parties (including teachers and outside agencies)
10But they should not include… Unsubstantiated hypothesesIntuitionHunchesJudgmentsInaccurate informationIntimate detailsClients’ personal views (unless relevant)Gossip (Kagel & Koepels, 2008)
11Also…. Include reasoning used in decision making Keep records neutral (showing both sides) (Strom- Gottfried, 2008)
12Natural TensionNeed to be briefNeed to be thorough
13Questions for Discussion Sometimes I want to keep a private record for myself that is not a part of the formal record.Should I keep a personal record for my own use?
14Questions for Discussion What kind of discussion is warranted with students regarding social work records?With parents?With teachers?With principals?
15Social Work Practice with Minors Viewed as in need of protectionParents/guardians viewed as being better able to make decisions than the minor children.Evolving capabilitiesUnderstandingDecision making abilityReasoning (Strom-Gottfried)
16Developmental Capacities Younger children rarely assume confidentiality (Rossi & Berman Rossi, 1990)Child’s capacity for decision making evolves gradually.Brain developmentAbility to think abstractlyAbility to give consent(Strom-Gottfried, 2008)
17Minor Clients May wish to keep information private May request confidentiality from workerMay request that information not be placed in a record
18Parents/Guardians May wish to keep information from their children May wish for information to be kept out of record
19Clinical Considerations Maintain Therapeutic Relationship (Strom-Gottfried, 2008)Maximize self-determinationInvolve clients in decision making (Raines, 2004)Informed consentConfidentiality (Strom-Gottfried, 2008)
20Record Keeping Should Be Good PracticeEthically SoundLegally Sound
21EthicsThat branch of philosophy dealing with values relating to human conduct,with respect to the rightness and wrongness of certain actionsand to the goodness and badness of the motives and ends of such actions
22Ethical Dilemma A choice between two (or more) goods/rights choices. A corollary is that both choices often carry negative consequences.Note: It is not a choice between doing the right thing and doing what you would rather do that is easier but not right!To have an ethical dilemma, you really need two right choices.
23Ethical Record Keeping Doing the morally correct thing regarding record keepingIncluding the appropriate informationExcluding inappropriate informationMaintaining appropriate confidentialityUsing the records appropriately
24Process of Ethical Decision Making A—Access optionsB—Be mindful of the processC—ConsultD—DocumentE—EvaluatePer Strom-Gottfried, 2008
25Access Options Ethical theories and principles Laws and policies ValuesInformation availableStandards (e.g., Code of Ethics)
26Case exampleJenny is a 15 year old student at High Achievement High School. She has shared with you in the past that she is sexually active with her boyfriend. She asked you to keep that information confidential and you have agreed, although you and she have discussed the limits confidentiality. She now informs you that her boyfriend has told her that he has a sexually transmitted disease. Jenny is looking for a referral for treatment. What do you write about Jenny in the record you keep about her?
27Access Options Ethical Theories and Principles What Ethical Theories and Principles Apply?Philosophical perspectivesEthical Principles in Social Work
28Theories of Ethical Reasoning Deontological Thinkers—Believe some things are always right or always wrong.One should make decisions according to the rules or standards.Utilitarian Thinkers—Believe one should consider the outcomes or consequences as the most important element in making decisions.Short-term consequencesLong-term consequencesUnknown results that might happen
29So For Jenny’s Case Notes Are there any rules that might apply in this situation to give us guidance?Like those that would always apply?Or should we look at outcomes or consequences?
30Ethical Principle Ranking (Dolgoff, Harrington& Lowenberg) Protection of lifeEqual treatment (access, opportunities, resources)Autonomy/freedomLeast harmQuality of lifePrivacy and confidentialityTruthfulness and full disclosure
31So For JennyDo any principles apply to guide what we should put in the record?Practice concerns?Ethical concerns?
32Ethical Principle Ranking Protection of lifeEqual treatment (access, opportunities, resources)Autonomy/freedomLeast harmQuality of LifePrivacy and confidentialityTruthfulness and full disclosure
33Confidentiality Principles with children Rules for Confidentiality with ChildrenEveryone is safeEverything is confidentialIf I have to choose, safe wins.(Raines, 2004)
34Assess Options Ethical Standards and Principles Laws and Policies ValuesInformationStandards(Strom-Gottfried, 2008)
35Access Options Laws and Policies Federal LawsState LawsBoard of Social Work Standards of Practice and Ethical Conduct
36FERPA School Records (1) Directly related to a student and (2) Maintained by an educational agency of institution or party acting for the agency or institution” Federal Education Rights and Privacy Act(§99.3)
37FERPACannot release records to third parties without parent permissionCan release records to a school where a student is transferring (without parent consent)Schools must develop policies about what information can be shared with other schools routinely
38FERPA Parents and guardians have a right to view educational records. Including school social work recordsEven when those records are kept in the social worker’s officeWhen students become 18, that right transfers to the student.
39Sole Possession Records Teachers may keep private records as a memory aid.These records must remain private (shown only to a substitute teacher).Should these records be disclosed to anyone other than a substitute teacher, they become part of the educational record.
40School Social Work Records Records maintained by school social worker are education recordsEven if they are privately maintainedThey do not qualify as “sole possession records.”(National Forum on Educational Statistics, 2004)
41Health Insurance Portability and Accountability Act Applies to any agency that is billing insurance (or Medicaid or Medicare) electronicallyHIPAA recognizes that psychotherapy notes as different from personal health information and may be kept separate from other health informationThe HIPAA Privacy Rule specifically excludes from its coverage those records that are protected by FERPA
42HIPAASo under HIPAA, school social work records are still education records and still subject to FERPAHIPAA creates no wiggle room about not disclosing records to parents(Overcamp-Martini,2006)
43IDEASpecial Education File contains assessment information (including social work assessment)Contains IEPs (may include social work goals and objectives and ways of measuring progress)Districts must contact parents when information in SPED files is no longer needed. Parents my request that the information be destroyed.When records contain information on more than 1 child, parents only have access to information on their own child only.
44MN Minor Consent LawMinors (under 18) can give their own consent for treatment toPrevent or diagnose pregnancyDiagnose or treat problems with drugs or alcoholPrevent sexually transmitted diseasesMinors 16 and over may admit themselves to a hospital for treatment of mental illness §
45Laws on Privileged Communication Licensed social worker cannot disclose any information acquired in a professional capacity without consent of the client.Except regarding the abuse or neglect of a childExcept when the client waives permission by filing charges against the professional
46MN Social Work Records Must Contain Assessment informationService plansProgress notesFeesInformation release authorizationsAny other relevant information. (§148D.225 Subd.4)
47Social Work Records Must Be Kept A minimum of 7 years after termination with the client (§148D.225 Subd.4)
48MDE Ruling on School Social Work Records Records created or held by school social workers are considered educational records under Minnesota law.Records cannot be released without parental consent.Records are accessible by parents upon request.
49MDE on Records (2009)Records may be accessible without parental consent by school officials, including teachers, contractors, and volunteers, who have a legitimate educational interest in accessing the records. Schools must use reasonable methods to ensure that school officials obtain access to only those education records in which they have a legitimate educational interest, and that physical, technological, or administrative controls are in place to restrict access to records
50More MDE Ruling on SSW Records Social work records may be stored in a location separate from the central educational record, such as the social work office, in order to increase privacy protections and facilitate the use of the records by the school social worker.If the social work records are stored separate from the student’s central educational record, the central educational record should contain a notation that the records are stored elsewhere, including a basic description of the type and nature of the data and the location of the data.
51More from MDEThe Minnesota Board of Social Work outlines the minimum records that social workers must maintainSchool social workers should follow the school’s record retention schedule, which must be in compliance with Minn. Stat. § 13.32, for guidance as to how to maintain their social work records.
52So Does This Help with Jenny? Jenny is under 18Her parents have a right to see a school recordThe SSW record is a part of the school recordJenny has requested confidentialityA referral to a clinic might be important information for the futureStudents have a right to privacy with regard to sexually transmitted diseases
53Assess Options Values Social Work Values Acceptance Individualization Non-judgmental attitudeObjectivitySelf-DeterminationAccess to ResourcesConfidentialityAccountabilityCultural SensitivityMiley et al. (2011)
54Consider Personal Values Identify personal biasesE.g., beliefs about whether sexually active teens should have access to medical care.Identify personal valuesPersonal Codes of ConductsReligious or moral principlesIdentify conflicts between personal and professional valuesImproper to serve personal values at the expense of those of the profession or client (Strom-Gottfried, 2008)
55So for JennyWhat personal values do you bring to the decision about what to put in a record regarding Jenny’s situation?What social work values might fit in here?
56Assess Options Information What do we know about the situation?What do clients want?Who are the clients?Are there competing wants and interests among clients?What are the decision-making abilities of the clients (especially if one is a minor)
57Jenny…. Wants confidentiality Are there other clients in this system? What is our responsibility to parents of minor children?How mature is Jenny to make decisions on her own behalf?What do we know about how parents might react to learning about Jenny’s concern about STDs?
58Assess Options Standards NASW Code of Ethics (2008)NASW Standards for School Social Workers (2002)School Social Workers’ Association of America Position Paper on Confidentiality (2001)
59Does the NASW Code apply to me? The NASW Code of Ethics is considered standard of practiceEven non-NASW members should follow NASW Code of Ethics
60What does the NASW Code say about record keeping? “ Include sufficient documentation in records to facilitate the delivery of services and to ensure continuity of services provided to clients in the future” (NASW, 2008, p. 20)Clients should have reasonable access to recordsException: When access to records would cause harmRequests to view and rationale for withholding access to parts of records should be documented (in the records).
61When giving clients access to records, protect the confidentiality of any other party discusses in the records.Inform clients about the limits of confidentiality.Avoid derogatory language.
62Code: Records should… Be accurate Be timely Contain sufficient information to ensure continuity for future servicesInclude only relevant informationProtect privacyBe kept for a reasonable length of time after services ceaseMaintain privacy when transferred or destroyed
63What does the NASW Code say about school social work?
64NASW Standards for School Social Workers (2002) In schools only disclose to others information that is relevant to education (NASW, 2002).(Could we infer that if it isn’t relevant to education, do not put it in the record?)
65What does the NASW Code say about minor clients? When client lacks capacity to provide informed consent,Seek permission from a qualified third partyInform client according to level of understandingSafeguard the interest of clients who lack decision- making capacity
66SSWAA Position on Confidentiality Information should be shared with other school personnel only on a need-to-know basis, and only for compelling professional reasons (SSWAA, 2001).Corollary: Only place information in reports that is needed by anyone who has access to that report.Avoid sending written material by fax unless in emergency
67Position Paper (SSWAA, 2001) Sole possession recordsSocial workers’ personal notes kept for use by only the social worker are not considered education recordsRecords kept on a computer become education records only if shared orally with another staff person.Sole possession records kept on a computer are not considered part of the education record and are confidential (SSWAA, 2001).Note: this contradicts MDE interpretation of FERPA
68So how do these standards help with Jenny Does recording this situation protect Jenny’s privacy?Is STD information relevant to Jenny’s education?Is documentation of this part of our work with Jenny needed to “facilitate the delivery of services and to ensure continuity of services provided to clients in the future?”Could you keep a “sole-possession record” with this information?
69Review Access Options Ethical theories and principles Laws and policiesValuesInformation availableStandardsStrom-Gottfried, 2008
70Case exampleAs you do the social developmental portion of the special education assessment for Martin, a second grader with serious behavior problems, you learn from the mother that Martin’s behavior has been getting steadily worse since her boyfriend moved into the home. The boyfriend is terrific to Martin when he is sober, but when he drinks, he is abusive to both Martin and the mother. This information seems essential to helping Martin with his behavior problems in school, but you are not certain if you should put this information in the assessment report. This report will be kept in the Martin’s special education file in the special education office.
71Case exampleIn conducting an assessment of Katrina, a fourth grader, she tells you that her older brother is in jail for selling drugs. You include this information in your progress notes, as Katrina misses her brother very much. A few weeks later you see in the newspaper that Katrina’s brother is actually on trial for murder. Do you change your notes to reflect this new information?
72In Making Ethical Decisions A—Assess optionsB—Be mindful of the processC—ConsultD—DocumentE—EvaluateStrom-Gottfried, 2008
73B—Be Mindful of the Process Manage the clinical concernsWhen you make a decision that the client may dislike, consider what the consequences will be and develop a plan for continuing to work with the client.May need to explain reasoning, thinking, laws.May need to share your feelings of concernInvolve clients in decision making as appropriate(Raines, 2004)
74Other Processes to Consider Accountability/transparencyCritical reflectionCultural SensitivityConsultation(McAuliff, & Chenoweth, 2008)
75Back to JennySay you feel you need to document the referral for STD eval. ………Would there be an ethical obligation to inform Jenny?And to explain why?Should the SSW disclose this decision to Jenny?
76C—Consult Use supervision, consultation Get others’ opinions May wish to get legal advice
77D—Document Document your thinking Document your consultation Document your process (Reamer, 2005)If the dilemma is about what to put in a record, document in a separate place (Strom-Gottfried, 2008).
78E—Evaluate To what degree did my personal values reflect my opinion? Were there courses of action I failed to consider?Did I consult adequately?Did I adequately manage the clinical concerns?Did I make the right decision?What can I do to prevent such situations/problems in the future? (Mattison, 2000).
79Conflicts will arise Among the standards, principles, and values And between laws and standardsBetween differing client systems (parents’ rights versus students’ rights)
80Ethical School Social Workers… Have considerable discretion about what to put in written records.Each incident of recording requires judgment about what to include (and exclude).
81Case exampleYou see 6 year old Alberto weekly in a group for students who have anxiety.Mrs. Jones comes to meet with you to tell you that she and her husband have separated, and she thinks the separation may affect Alberto. She tells you that her husband has been abusive to Alberto, and she thinks Alberto will actually welcome the divorce.What do you record of this meeting?
82And then…The next day, Mr. Jones telephones to inform you that he is seeking custody of Alberto, as his mother has been neglectful. She often leaves him home alone while she goes out drinking with her many boyfriends.What do you record?
83Case exampleSam is a 12 year old seventh grader at Suburban Middle School. He is in special education for his behavior problems and sees you for 30 minutes twice a week to work on problem solving and impulse control. Sam tells you in a session that he was responsible for burning down a church in his neighborhood last week. A caretaker was badly injured in the fire. What do you write in the record about this confession?
84Challenges Left OverWhat kind of memo is placed in student cum files regarding separate special education files?What kind of memo should be on file if there are school social work records stored in the office of the school social worker?
85Questions for Discussion How can school social workers meet the MN Board of Social Work Requirements to maintain records for 7 years if they leave their school district job?Who is responsible for monitoring these records?Who should be responsible for them?What policies are needed?
86Case ExampleYou have worked with Tommy for 3 years, and he has just moved to a new school. You get a call from the school social worker at Tommy’s school who says that Tommy is having major problems. She wants you to send your case records to her quickly so they can know how to proceed. What do you do?
87Case ExampleYou see 6 boys in an anger management group each week. The parents of one of the boys has asked you to see the records of the group. The records contain very little detail of what happens each week, only who attends, group activities, major themes that are discussed, and teacher ratings of each boy’s outbursts each week. You tell the parents what is contained about their son, but they wish to see the records. What do you do?
88Things to consider In deciding what to put in a record Who might have access to this record?What if a parent wanted to see the record?What if the record were subpoenaed?Is the information sensitive?Is the information relevant to the student’s education?
89Things to considerDo I need to document my reasoning/decision making about my practice?Do I need to document evidence of a student’s behavior?Do I need to document my actions/work with the student, parents, third parties?
90More things… Have I included enough information? Can I omit sensitive details?Have I followed standards of practice?Have I included what the law says needs to be there?Should I have a separate sole possession record?
91The Ethics of Record Keeping Involves considerable personal deliberation.Lacks consensus about what is “right.”Aligns practice principles, legal principles, and doing the “right” thing.
92RecommendationsKnow that your notes are part of the educational record (at least per FERPA and MDE).If you have records in your office, put a note in the cum file (much like special education) to indicate that there are records in your office.Be aware that parents may see records if they request (unless the student is 18)
93RecommendationsWork with districts to create confidentiality policies for recordsWhat gets sent to new schools?Where are records stored?How long are records stored?Who is responsible for destroying old records?
94RecommendationsSummarize lengthy records periodically (like at year end).Create forms for routine informationCover informationDates of contactContacts with parentsConsultation with teachersContacts with third partiesProgress notes
95Recommendations Create checklists of Board of Social Work Mandates AssessmentService PlansProgress NotesRelease of InformationInformation on paymentAny other relevant information
96For Sticky SituationsRecord your thinking about why you made a decision.Record your consultation regarding the issues.Record your supervision.
97Still Sticky…If you made a mistake, fix it, but don’t expunge the record (date it an put in a revision).Do not change or destroy records.Do not remove records from your building.If your records are subpoenaed, so are your personal or sole possession records.
99ReferencesBerman-Rossi, T., & Rossi, P. (1990). Confidentiality and informed consent in school social work. Social Work in Education, 12,Dolgoff, R., Harrington, D. , & Lowenberg, F.M. (2012). Ethical decisions for social work practice. Belmont CA: Brooks/Cole.Families Education Rights and Privacy Act of 1974, P.L , 34 CFR § 99.Health Insurance Portability and Privacy Act of 1996, P.L ; 45 CFR §. 160 & 164.Kagle, J.D., & Kopels, S. (2008). Social work records (3rd Ed.) Long Grove, IL: Waveland Press.McAuliff, D., & Chenoweth, L. (2008). Leave no stone unturned: The inclusive model of ethical decision making. Ethics and Social Welfare, 2(1),McBeath, G., & Webb, S.A. (2002) Virtue ethics and social work: Being lucky, realistic, and not doing ones duty. British Association fo Social Workers, 32,
100References (cont.)Mattison, M. (2000). Ethical decision making: The person in the process. Social Work, 45(3),Miley, K.K., O’Melia, M.O., & DuBoise, B. (2011). Generalist social work practice. (Updated 6th Ed.). Boston: Allyn & Bacon.National Association of Social Workers. (2008) Code of ethics. Washington D.C.: NASW Press.National Association of Social Workers. (2002) NASW Standards for School Social Work Services. Washington D.C.: NASW Press.
101References (cont.)National Forum on Educational Statistics (2004). National Forum Guide to Protecting the Privacy of student Information: State and Local Education Agencies. Washington DC: U.S. Departement of Education. Retrieved Nov. 11, 2008 fromOvercamp-Martini, M.A. (2006). HIPAA ad the electronic transfer of student information. In C. Franklin, B.B. Harris, & P. Allen-Meares (Eds.) The school services sourcebook: A guide for school-based professionals (pp ). New York: Oxford University Press.Raines, J.C. (2004). To tell or not to tell: Ethical issues regarding confidentiality. School Social Work Journal, 28(2),Reamer, F.G. (2005). Documentation in social work; Evolving ethical and risk- management standards. Social Work, 50(4),School Social Work Association of America (2001). Position paper: School social workers and confidentiality. Northlake IL: SSWAAStrom-Gottfried, K. (2008). The ethics of practice with minors. Chicago: Lyceum Press.