The CAP
M nitor Issue 54 | Spring 2018
The Legal Issue
Practice Guideline Updates // Minimizing the Risk of Complaints // Annual Meeting 2018
Who’s Who Council
Supervision Consultants
President . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Paul Jerry President-Elect . . . . . . . . . . . . . . . . . . . . . . . . . . . Kevin Alderson Past-President . . . . . . . . . . . . . . . . . . . . . . . . . . . Lorraine Stewart Treasurer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Roger Gervais Members-at-Large . . . . . . . . . . . . . . . . . . . . . . . . Hanita Dagan Reagan Gale Kerry Mothersill Public Members . . . . . . . . . . . . . . . . . . . . . . . . . . Elaine Andrews Gene Marie Shematek Garrett L. Tomlinson
Supervision consultants are available to advise provisional psychologists and supervisors. They also assist in the resolution of conflicts between provisional psychologists and supervisors. Jon Amundson 403-289-2511 aapsych@telus.net Walter Goos 780-986-7592
Committee Chairs
waltergoos@shaw.ca
Credentials Evaluation Sub-Committee . . . . . . . . Ali AL-Asadi Oral Examinations Committee . . . . . . . . . . . . . . . Erik Wikman Practice Advisory Committee . . . . . . . . . . . . . . . . Christoph Wuerscher Registration Advisory Committee . . . . . . . . . . . . . Christina Rinaldi Registration Approvals Sub-Committee . . . . . . . . Jill Turner Greg Schoepp Substantial Equivalency Sub-Committee . . . . . . . Ali AL-Asadi
College Staff Registrar & CEO . . . . . . . . . . . . . . . . . . . . . . . . . . Richard Spelliscy Deputy Registrar and Complaints Director . . . . . . Troy Janzen Assistant Deputy Registrar and Director of Professional Guidance . . . . . . . . . Deena Martin Finance and Administration Coordinator . . . . . . . Wendy El-Issa Complaints Coordinator and Hearings Director . . Lindsey Bowers Administrative Assistant to the Registrar . . . . . . . Kathy Semchuk Registration Coordinator . . . . . . . . . . . . . . . . . . . Ingrid Thompson Registration Assistant and Oral Examinations Coordinator . . . . . . . . . . . . Danielle Salame Credentials Evaluation Coordinator . . . . . . . . . . . Kymberly Wahoff
Continuing Competence Consultants Consultants are available to provide advice and guidance to members who wish to participate voluntarily in the Continuing Competence Program. The consultants are also available in special circumstances, for example, when a member does not have access to other regulated members who are able to review their plan. Such circumstances would occur on a very limited basis, as psychologists are encouraged to develop a network of professional peers. Dennis Brown 780-441-9844 brown.dennis002@gmail.com Christoph Wuerscher 403-234-7970 wuerscher@shaw.ca
Communications Coordinator . . . . . . . . . . . . . . . . Melanie Rutten
Bonnie Rude-Weisman
Receptionist/Office Assistant . . . . . . . . . . . . . . . . Renetta Geisler
403-526-8116 brudeweisman@shaw.ca
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Issue 54 | Spring 2018
Contents
16 10 4 Registrar’s Letter 6 Annual Meeting 2018 8
Council Updates
10 How to Minimize the Risk of a Complaint
14 12 Practice Guideline Updates 13 Professional Practice Resources
What to Do if You are Subject to a Complaint at CAP
16 In Your Own Defence:
Maintaining Records Related to Third Party Referrals
for Alberta Psychologists
www.cap.ab.ca
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Registrar’s Letter My first year as Registrar and CEO has been one of rapid and exciting change. Over the past 12 months the College of Alberta Psychologists (CAP) and the Psychology Association of Alberta (PAA) have established a positive, meaningful and effective working relationship. We are in frequent communication, and have made numerous joint/parallel submissions to several government panels such as the Alberta Mental Health Review, Addictions and Mental Health, Child and Youth Advocate, Child and Family Services Intervention Panel and the panel exploring the legalization of cannabis in Alberta. This strong, renewed relationship is critical in helping the public understand the unique role and skills psychologists bring to what, at times, may be perceived as a crowded professional landscape. CAP and PAA have developed a clear joint statement on the mandates of both organizations for our members. Joint CAP and PAA town hall meetings have been held across the province as one major engagement initiative supporting this key strategic priority. On September 22, 2018, both organizations will come together in Calgary for annual meetings and our inaugural shared professional development day. The theme for conference is evidenced-based practice. We are very pleased that Dr. David Dozois from the University of Western Ontario has agreed to be the keynote conference speaker. The topic will be Evidence-Based Practice of Psychological Assessment and Treatment: Solutions for Overcoming Barriers to Effective Implementation. Our strategic plan endorses evidencebased decision making as a critical aspect of professional psychology. Additional conference information can be found in this edition of The CAP Monitor. The theme of this issue is practice enhancement. Enhancing the practice of psychologists, like engagement, is a key strategic priority. Three highly experienced lawyers, well versed in the practice of psychology and the challenges facing psychologists, offer their expert legal guidance. This issue also reflects the College’s preferred ongoing public protection approach of proactive education and guidance to members. The College is still seeking members to participate in our initiative to examine the Truth and Reconciliation Commission’s “calls to action” in relation to our public interest mandate. Interested members should contact the College. As a meaningful first step, College Council is hosting a leadership round table on this important topic prior to our September 2018 annual meeting.
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Issue 54 | Spring 2018
As Chair of the Federation of Regulated Health Professions, I met with provincial Health Minister Sarah Hoffman and her key officials in December 2017. The purpose of this meeting was to discuss the lengthy delays in passing key enhancements to the Psychologists Profession Regulation and the Health Professions Act. Several concrete proposals were presented to address these delays. A follow-up meeting was held in January 2018 with Mr. Milton Sussman, the newly appointed Deputy Minister of Health, to examine further strategies to address this longstanding issue. Under the leadership of Dr. Derek Truscott, the Registration Review Recommendations Implementation Group is making real progress. Consultations are being scheduled for early spring to examine the possibility of endorsing key Alberta graduate psychology programs, alleviating both the complexity and the uncertainty that are often associated with the current entry to practice course by course credentials analysis. This process will resemble that granted to graduates of Canadian Psychological Association-accredited programs. Other enhancements to improve the transparency, objectivity and fairness of the registration process will soon be presented to College Council. An additional key College initiative is also well underway. Tentatively titled Law and Ethics in Alberta Psychology (LEAP), and subject to stakeholder feedback, piloting and Council approval, these online learning modules are being designed as an alternative to the current oral jurisprudence and ethics examination. This format follows the Council’s strategic priority of achieving excellence as a regulator by implementing state-of-the-art operations and leading-edge technologies. Similarly, the College has recently made upgrades to our cyber-security technology, to protect our ability to operate and to adhere to our privacy obligations. Finally, the College continues to build leadership capacity through the ongoing professional development of key positions. Organizational self-awareness and mindfulness have also been identified as critical to adjusting to an environment marked by both change and, at times, adversity (Woodward, 2018; Dyne, 2017). I am grateful for the highly motivated, dedicated and adaptable College staff who demonstrate a commitment to learning and excellence each day.
Richard J. Spelliscy, PhD, RPsych Registrar & CEO
www.cap.ab.ca
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SAVE THE DATE AND
PSYCHOLOGISTS’ AS S O C I AT I O N O F A L B E R TA
present
The 2018 Annual Meeting & Professional Development Day September 22, 2018 Hyatt Regency, CALGARY 700 Centre Street SE, Calgary, AB, T2G 5P6
**Stay at the Hyatt Regency and enjoy a special discounted rate of $169/night. Rooms are limited, please click here to be directed to the hotel reservation system.**
Evidence Based Psychological Practice by Dr. David Dozois
Dr. David Dozois
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Issue 54 | Spring 2018
Dr. Dozois is a Full Professor of Psychology and Director of the Clinical Psychology Graduate Program at the University of Western Ontario. He is a Fellow of the Canadian Psychological Association (CPA), the Canadian Association of Cognitive and Behavioural Therapies, the CPA Section on Clinical Psychology, the Association for Behavioral and Cognitive Therapies and the Academy of Cognitive Therapy. He is also a former Beck Institute Scholar at the Beck Institute for Cognitive Therapy and Research. Dr. Dozois’ research focuses on cognitive vulnerability to depression and cognitive-behavioral theory/therapy. He has published 162 scientific papers, book chapters and books and has presented over 325 research presentations at national and international conferences.
Day-at-a-Glance 7:30 am
Registration & Breakfast
8:00 am
PAA & CAP Annual Meetings
9:00 am
Opening Remarks
9:30 am
Keynote Speaker Presentation
11:15 am
Featured Speaker - Dr. Derek Truscott
12:00 pm
Lunch & Networking
1:00 pm
Breakout Session 1
> Dr. David Dozois
Depression
OR
Indigenizing Psychology
Breakout Session 2
2:15 pm Anxiety
OR
Geropsychology
3:30 pm
Enlightening Speakers
4:30 - 6:00 pm
Wine & Cheese Reception
Watch out for the registration form that will be sent out in May!
Registration Prices: Early Bird (May 3 - June 30)
Regular (July 1 - Sept 7)
Registered Psychologist: $175
Registered Psychologist: $199
Provisional Psychologist: $125
Provisional Psychologist: $149
Student:
Student:
$ 49
PAA Professional Affiliate: $125
$ 49
PAA Professional Affiliate: $149
www.cap.ab.ca
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Council Updates The College welcomes our new Public Members and looks forward to their contributions to Council while representing the public-at-large. The College says goodbye to the three outgoing Public Members: Ken Bainey, David Ellement and Michael McLaws. Each of them made significant and valuable contributions during their term on Council. They will be missed.
Elaine Andrews has a Degree in Political Science and
Economics from the University of Alberta. She has over 28 years’ work experience. This includes over 22 years in the pharmaceutical industry where she held a variety of leadership roles including: Sales Management, Continuing Health Education, and Patient Health Management. She was a Public Member on the College and Association of Registered Nurses of Alberta (CARNA) Provincial Council from October 2014 to December 2017. During this time, she served on the Appeals Committee; Finance, Audit, and Pension Committee; and the Leadership Review Committee. She volunteers with Habitat for Humanity, Wings of Providence, and the Centre for Family Literacy where she also does some contract work. Two of her students have received the “Lois Hole Adult Learner Award.”
Gene Marie Shematek has recently retired as the President
of GMS & Associates, Ltd., an Occupational Health and Safety consulting firm based in Calgary, Alberta. Gene holds an MSc from McGill University in Occupational Health Sciences and holds CIH (Certified Industrial Hygienist) and ROH (Registered Occupational Hygienist) designations. She has worked extensively in the healthcare industry, both in leadership positions and as a consultant responsible for the development of OHS training materials for many of Alberta’s regulated health professions. Gene has developed and delivered numerous courses for the University of Alberta, McGill University, and the University of Calgary. In addition, she is the author of three textbooks. Gene looks forward to serving as a public member of the Council.
Garrett Tomlinson currently serves the Metis Nation of
Alberta as a Regional Consultation Coordinator for Region VI in Peace River and is a Director of a number of public and private corporations. Garrett studied Political Science and Native American Studies at the University of Lethbridge, is an Emergency Medical Technician, and a Master of Laws Candidate at the University of London. Garrett began working with indigenous governments and communities almost 15 years ago, focusing his practice on multi-faceted program development in areas such as health, emergency services and economic development. Using his additional experience in sales and commercial finance, Garrett has designed and implemented a number of programs which have had lasting effects, improving the quality of life in the communities he has served.
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Issue 54 | Spring 2018
Check In... CAP Meetings and Exam Dates
Email addresses are mandatory for all members of the College. It is crucial that we have your current email address as all information from the College is sent out via email.
Do we have your current information? Please notify the College of any changes to your postal address, phone and fax numbers or email address. To update your contact information: • Log in to the Member Portal • Go to the “I Want To” box on the left of the screen • Click “Update my Contact Information” If you need any assistance please contact the College at psych@cap.ab.ca.
F E E D B A C K
We want to hear from you! Let us know what you thought of this issue in this short feedback survey: https://www.surveymonkey.com/r/CAPMonitor54
www.cap.ab.ca
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How to Minimize the Risk of a Complaint By Dana Shindelka, Partner, DL A Piper (Canada) LLP He regularly defends psychologists who have had complaints against them or have been sued.
This article will discuss a few things a psychologist can do to minimize the chances that they are the subject of a complaint. Clients and others have a right to file a complaint. Highly competent, experienced and ethical psychologists will have complaints made against them. The mandate of the College of Alberta Psychologists (the “College”) is to protect the public and regulate the profession. Some of the complaints the College receives have merit and others do not. Being the subject of a complaint can be stressful, time consuming and take up a lot of energy. While the probability of being complained about is generally relatively small, a psychologist is more likely to be the subject of a complaint than to be sued. You cannot ensure you will not be the subject of a complaint. That said, you can do certain things to minimize the risk. What follows are recommendations for your consideration. •
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Be honest with your clients. Do not mislead
Issue 54 | Spring 2018
your clients, other psychologists, the court or lawyers. •
Do not try to hide mistakes. Doing so will only exacerbate any problem that may exist.
•
Treat people in a courteous manner. Psychologists can fulfill their duties without being dismissive or rude. People who feel mistreated are more likely to complain.
•
Never ignore a communication from the College. Your regulator has a job to do; you have a duty to be responsive.
•
Where possible, choose your clients carefully. Often a psychologist has a gut feeling early in a relationship that a client is going to be problematic. Trust your instincts. You are better off not having clients who cannot be satisfied. Recognize that if a client relationship has broken down it may be best to withdraw, when and where that is ethically appropriate.
•
•
•
•
•
Communicate regularly and clearly with your clients. Do not assume your clients understand what you mean. Take the extra step of confirming that your clients understand you. Provide them with realistic timelines and update those timelines when circumstances change. Use a diary system to regularly update your clients, even if the only update is that you continue to wait for something to happen before the next step can be taken. Manage client expectations by providing them with realistic estimates of when they can expect a response from you. Honour the commitments you make to clients and others. Be prompt when meeting your obligations. Report to clients without unnecessary delay when something significant occurs. Communicate clearly and precisely about fees and expenses. Confirm matters related to fees and expenses in writing. Clients can have “selective hearing” or faulty memories, or can be distracted. Confirming in writing everything regarding fees and expenses can help avoid many issues that commonly arise. Have a written retainer agreement that uses easily understood language. Be certain you provide detailed, itemized statements of account in a timely manner. Keep thorough notes regarding every communication or attempted communication with clients or other psychologists. Memorialize important matters in writing for your clinical file. Keep good written records, including documentation confirming your conduct, plans and ethical decision-making regarding clinically and ethically complicated situations. Keep your files up to date and organized. Make certain all documentation actually gets placed on the correct file. Once a complaint is filed, the College will not consider just your submissions and the submissions of the complainant. The College will also carefully review the documentary record. Documentary support increases your credibility.
•
Actually complete the work you have agreed to take on. Do not agree to take on more work than you can realistically complete within the relevant timeframe. In addition, do not agree to take on work that is outside your scope of expertise unless you can develop the necessary expertise quickly and have the necessary supports.
•
Take the time to properly supervise and train staff. You may well end up being responsible for mistakes made by your staff. It is up to you to ensure your staff are doing things properly. Take special care to educate your staff regarding client confidentiality obligations.
•
Consult with experts or more experienced colleagues, as needed, on difficult or complex cases. You can reduce your risk by consulting with experts about your plan, record keeping and other clinical or ethical issues to make certain you are on solid ground if the College does contact you regarding a complaint.
•
Review and be familiar with the Standards of Practice for the profession. The Standards of Practice of the College are the minimum standards of professional behaviour and ethical conduct expected of all regulated members. A breach of Standards of Practice regulations may constitute unprofessional conduct. Ensure that your conduct remains in accordance with the guidelines set out in the Standards of Practice.
•
Read and understand the Canadian Code of Ethics for psychologists. You cannot be certain you are meeting your ethical obligations if you are not fully aware of what these obligations are. Identifying and carefully considering ethical issues as they arise is vitally important.
While there is no guarantee you will never have a complaint filed against you, if you take the abovenoted steps you will decrease the chances that someone will complain about you. In addition, if a complaint is actually made, you will be in a better position to respond.
www.cap.ab.ca
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Practice Guideline Updates By Deena M. Martin, PhD (Special Ed), RPsych Director of Professional Guidance The College of Alberta Psychologists’ Practice Advisory Committee (PAC) is pleased to announce three practice guidelines for member consultation. In developing the guidelines, PAC members have worked diligently and consulted with legal experts in order to provide thoughtful and relevant guidance to the profession. As with any regulatory resource, there is the temptation to be overly verbose and directive. We are confident the committee has struck a balance of usefulness and comprehensiveness to meet the needs of most psychologists practicing in Alberta. While no guideline is expected to fit every circumstance, we are hopeful that these guidelines provide reasonable and helpful guidance. These draft guidelines are now in the stage of ‘member consultation.’ The process of soliciting member consultation is integral to several of CAP’s strategic goals. Specifically, by inviting you to provide feedback on the practice guidelines, we are: (a) ensuring guidance that aligns with ethical principles and Standards of Practice, (b) engaging and connecting with our members, and (c) encouraging psychologists in continuous learning. We kindly ask that you take the time to read through the draft guidelines and offer feedback to PAC on their efforts. This member consult is your opportunity to bring forward and inform any issues that you may see arising from the documents. To support us moving forward with these documents in a timely way, we will close the feedback surveys on March 30th 2018. We thank you in advance for supporting the member consultation process.
We invite your Feedback on :
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DRAFT: Disclosure of Personal or Confidential Information CLICK FOR DISCLOSURE SURVEY This updated document identifies key Alberta privacy laws and addresses disclosure of private and confidential information to clients and/or third parties, and how to respond to specific requests for information.
2
DRAFT: Medical Assistance in Dying
3
DRAFT: Telepsychology
CLICK FOR MAiD SURVEY
Psychologists may offer clinical support, engage in the professional activity of formal assessment, provide education and training, engage in research, and/or contribute to policy development related to Medical Assistance in Dying (MAiD). This comprehensive guideline informs psychologists of changes to the legislation and provides specific guidance on practices psychologists are to abide by when working in this complex practice area.
CLICK FOR TELEPSYCHOLOGY SURVEY
Technology and electronic media are continuing to advance rapidly and for many psychologists, this is presenting opportunities along with practical and ethical challenges. Building upon the Code of Ethics, and Standards of Practice, this new practice guideline highlights additional considerations for psychologists practicing Telepsychology.
Issue 54 | Spring 2018
Professional Practice Resources for Alberta Psychologists
Professional Guidance Department
Practice Advisor Program
The College of Alberta Psychologists is the regulatory voice for the profession of psychology in the province of Alberta. Self-regulated professions establish entrance criteria, establish continuing learning criteria, and apply ethical codes and practice standards for the profession.
The Psychologists’ Association of Alberta is the voice of, and for, psychology in Alberta. The association advocates for psychology in Alberta, informs the public and the media, and advocates for consumers of psychotherapy, psychological, and mental health services.
Guide members in identifying, interpreting, and applying regulatory resources (e.g., Legislation, Code of Ethics, Standards of Practice, Practice Guidelines/Alerts) to their practice situation. CAP does not provide the following: • Prescriptive clinical advice – as a self-regulated professional, the psychologist maintains responsibility for professional decision making. • Legal, business or technological recommendations/advice.
All regulated members can access CAP professional guidance (registered & provisional psychologists). Provisional psychologists: please first raise any issues with your supervisor.
Organization Description
Professional Practice Guidance/ Advice
Provide collegial, confidential advice regarding professional practice issues and match psychologists from diverse areas of expertise to assist psychologists working through clinical/ practice situations. PAA does not provide regulatory advice. Please ensure you fully understand the regulatory information prior to contacting the practice/clinical advising program.
Eligibility for Professional Practice Services
Edmonton Phone: 780-424-5070 or Alberta Toll Free: 1-800-659-0857 Email: psych@cap.ab.ca Website: www.cap.ab.ca (Contact Us page)
Contact
PAA full members can access practice advisors. PAA currently does not provide provisional or student members with practice support.
Edmonton Phone: 780-424-0294 or Alberta Toll Free: 1-888-424-0297 Email: paa@paa-ab.ca Website: www.psychologistsassociation.ab.ca www.cap.ab.ca
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What to Do if You are Subject to a Complaint at CAP By Dana Shindelka, Partner, DL A Piper (Canada) LLP Obviously, clients and others have a right to file a complaint. Highly regarded, skilled and ethical psychologists have complaints made against them. The mandate of the College of Alberta Psychologists (the “College”) is to protect the public and regulate the profession. When the College receives a complaint they are obligated to consider it. Being the subject of a complaint can be stressful. That said, a psychologist can do certain things to make a stressful situation worse. This should be avoided. What follows are recommendations regarding what to do (and not do) when faced with a complaint.
your stress. Create a support system. Do not share or associate with people who make you feel worse rather than better. Manage your stress by doing things such as eating well, exercising, controlling your thoughts, relaxing and engaging in enjoyable activities. Seek professional support from experts where appropriate.
What Not To Do •
Do not ignore a complaint to the College. It is important to bear in mind that the College’s mandate is to protect the public. Disregarding a complaint will not resolve it.
•
Do not take a complaint to the College lightly. No matter what opinion you have as to the merit of the complaint, take it seriously. You have, no doubt, worked hard to be able to practice as a psychologist. It is likely that your livelihood depends on your ability to practice. A complaint can potentially have a negative effect upon your ability to practice.
•
Do not assume that your “innocence” will be quickly acknowledged. It is foolhardy to assume it is plain that the complaint lacks merit, and that as soon as you explain things to the College, the complaint will be dismissed or forgotten. The College must follow statutory obligations in order to fulfill its mandate to protect the public. Have your lawyer work with you in order to ensure you respond to the complaint respectfully and professionally.
•
Do not alter records or create new documents. Do not date documents retroactively. Do not attempt to create a false record in order to strengthen your response to a complaint. Do not add anything new to existing records. Altering records is clearly unethical and will likely lead to further problems.
•
Do not contact the individual who filed the complaint with the College. It is unwise to
What To Do •
•
Contact your insurance carrier as soon as the College informs you that you are the subject of a complaint. In addition to being astute, informing your insurer is frequently required by your policy. Your insurer will often recommend a lawyer to represent you. Typically, you also have the ability to pick your own lawyer as long as your insurer approves your choice. Collect your entire clinical file and ensure it is complete and intact.
•
Write a point-by-point response to the complaint in your own words. Not everything is always memorialized in writing on your file. Your memory will fade with time and will never be better than it is when you get the complaint.
•
Be engaged. Participate in your defence. Help your lawyer understand the nature and context of the work you were doing, as well as your thinking at the relevant times. Provide assistance to your lawyer regarding locating and identifying relevant information and experts.
•
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Focus on self-care. Being the subject of a complaint can be stressful. Psychologists who face a College complaint often experience anxiety and stress. Complaints can take a long time to be resolved. Be active in managing
Issue 54 | Spring 2018
contact a complaining client in order to try to “sort things out” or attempt to persuade them to withdraw their complaint. Any inappropriate contact with a client after you have been notified of their complaint can potentially be viewed as an attempt to intimidate or harass the complainant. •
Do not assume that in circumstances where a client has not suffered harm the College will end the inquiry. The College does not focus on harm. Instead, it focuses on issues such as whether a psychologist has engaged in unprofessional conduct.
•
Do not speak about the complaint to anyone who will listen to you. Exercise good judgment and discretion. Remember, often what you say can be used against you. Of course, you can speak appropriately to your lawyer, business colleagues and spouse. Beyond that circle, it may be wise to consult with your lawyer about whom you can talk to and what you can say.
Each situation is unique. The recommendations set out above may well help you when considering how to react in response to a complaint. Often, the best approach is to not make a difficult situation worse.
www.cap.ab.ca
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In Your Own Defence: Maintaining Records Related to Third Party Referrals
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By Thomas D. Marriott, Q.C. & Joe Chivers, Brownlee LLP It is not unusual for psychologists practising in Alberta to provide professional services referred to them by third parties. Common examples include situations where an insurance agency brokers the services of their clients pursuant to certain insurance coverage, an employee assistance program refers work to a particular psychologist, WCB requests a vocational assessment, social services requests a parenting assessment or circumstances where the Court or a lawyer requests a psychological evaluation. Some uncertainty appears to exist in the profession regarding file and document retention when providing professional psychological services to clients that are “brokered” by third parties. In these situations is the psychologist required (or would he or she be well advised) to keep copies of not only the psychologist’s own work, but also of all the documents reviewed by the psychologist in the course of providing these services? Or can the psychologist safely send back the entire file that he or she reviewed to the entity or agency that provided it? The starting point, of course, is that member psychologists of the College of Alberta Psychologists (CAP) are required, pursuant to CAP’s Standards of Practice (and other applicable provincial legislation), to retain professional records when a psychologist renders professional services to a client. This requirement to retain professional records extends expressly to situations where the psychologist provides professional services to a client at the request of third parties, as discussed below. Does this requirement extend to documents provided by the third party to the psychologist for review prior to rendering an opinion, report or other requested service?
legislation and the standards required of its members. Article 30 of the bylaws permits CAP’s governing body to adopt Standards of Practice as applicable to all its members. The HPA requires CAP to create the Standards of Practice with the purpose of setting standards to regulate the professional behaviour and ethical conduct of its members. Section 7.1 of CAP’s Standards of Practice provides instructive guidance regarding the maintenance and retention of client records. This section provides that “A psychologist rendering professional service to a client or billing a third party for professional services shall maintain written, legible, professional records …” Subsections 7.1.1 to 7.1.10 go on to list the required types of records to be kept. Subsection 7.1.10 is very general in nature and requires the psychologist to retain “copies of correspondence and reports prepared and received” (emphasis added). In the course of providing services to third parties, the psychologist may be provided with voluminous files comprising numerous documents. In such situations it is reasonable for the psychologist to request, with reference to the requirements under the Standards of Practice, that the third party: • • •
provide a copy of the file at the outset pay for photocopying costs of the file that the psychologist is to review, or provide an electronic copy of the file that the psychologist can retain for his or her records
While concerns regarding photocopying and storage costs are understandable, these costs must be weighed against the risks involved in the psychologist not keeping the entirety of the reviewed file.
The authority for the requirement to retain records stems from CAP bylaws, pursuant to the Health Professions Act (the HPA), RSA 2000, c H-7. Under the bylaws, CAP’s governing body is empowered to ensure its member psychologists conduct themselves in accordance with applicable
www.cap.ab.ca
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In our view, the case for retaining a complete copy of these records is twofold: 1. Failing to maintain these records may leave the psychologist open to a charge that he or she failed to comply with the Standards of Practice, and thus to potentially be found guilty of professional misconduct or unskilled practice. 2. Should the validity of the psychologist’s work or conclusions be questioned either by a client or in the course of legal proceedings, the psychologist will have access to all of the record upon which the work and conclusions were founded. Otherwise, the psychologist may be at a disadvantage and be unable to provide a full defence to questions of this nature. Although this broader interpretation of the requirement to keep client records can be onerous on psychologists, its rationale is grounded in practical, ethical and legal justifications. As noted above, a breach of the Standards of Practice may constitute unprofessional conduct enforceable under the HPA; moreover, the principles contained in the Canadian Code of Ethics for Psychologists are often used to inform investigations and hearings conducted in regards to complaints against psychologists. Adherence to the Standards of Practice and the Canadian Code of Ethics for Psychologists with respect to client records also serves the purpose of avoiding contests of oral representations between the psychologist and client, as reference can be made to a written record. This protects psychologists from frivolous complaints and unsubstantiated claims. Ethically, the retention of client records furthers the interests of the profession by providing clients with the best care and treatment possible. Properly maintained records can be shared with other psychologists that work with the same client in the future—with the first psychologist’s records, the next psychologist to provide services can get a good indication of the status of that individual’s treatment, and can formulate strategies to assist the client going forward. Last, but not least, it is not uncommon for a psychologist to be served with a Subpoena or
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Notice to Attend as a witness in a court proceeding. Typically, such a court appearance will also require the psychologist to bring the client’s file in his/ her possession. In these circumstances it is crucial the psychologist has kept a copy of the particular client’s file so they can re-familiarize themselves with the file (as it might be years between when the psychologist provided services to the client and when the client appears in court). At the end of the day, the requirement of psychologists to maintain and retain records of professional services provided to clients that have been referred to them through third parties is mandated by CAP and its supporting legislation. The failure of a psychologist to follow this requirement could result in disciplinary action by CAP, as such conduct may be found to offend the Standards of Practice and the Canadian Code of Ethics for Psychologists.
2100 Sun Life Place 10123 - 99 Street NW Edmonton, AB T5J 3H1 www.cap.ab.ca
Harvey Brink, James Canniff and Paul Jerry are members of the Publications Committee who monitor the content of The CAP Monitor to ensure the information being conveyed is consistent with the College’s mandate, governing documents and policy. The CAP Monitor is a regular publication of the College of Alberta Psychologists. To the best of our knowledge it is complete and accurate at the time of publication.