California Law and Ethics Social Work LCSW ASW
Exam CA L&E
Confidentiality falls into what three types of issues? - Therapeutic, legal & ethical issues
What is a leading cause of ethical complaints? Litigation for malpractice? - Confidentiality
4th most frequent basis of disciplinary action
According to the NASW Code of Ethics, social workers should protect confidentiality of all info except for
when? - Compelling professional reasons
As necessary to prevent "serious, foreseeable, and imminent harm" to a client or other identifiable
person.
To what level of detail should confidentiality be broken when necessary? - In these instances,
professionals should disclose the least amount of confidential information necessary to achieve the
desired purpose; only information that is directly relevant to the purpose for which the disclosure is
made should be revealed.
What type of consent is required in order for mental health professionals to disclose to third parties? -
Written
Verbal - in emergency situations only
,What are the exceptions to confidentiality? - Under California law, there are several exceptions to the
confidentiality of psychotherapy. The primary exceptions to confidentiality concern harm to self or
others:
Where there is a reasonable suspicion that a client is likely to harm him or herself unless protective
measures are taken.
Where there is a reasonable suspicion of child abuse or elder adult physical abuse (see Mandated
Reporting section);
Where there is a reasonable suspicion of the potential for danger of violence to others (see Duty to
Warn section);
What is reasonable suspicion according to Lowenthal Child Abuse Reporting guidelines? - 1. Reasonable
suspicion does not require certainty that child abuse or neglect has occurred;
2. Reasonable suspicion does not require a specific medical indication of child abuse or neglect; any
reasonable suspicion is sufficient; and
3. Reasonable suspicion may be based on any information considered credible by the reporter, including
statements from other individuals.
How should a therapist approach treatment confidentiality with families or couples? - It is important for
the provider to be specific with regard to confidentiality issues and to seek agreement among the
parties involved concerning each individual's right to confidentiality and obligation to preserve the
confidentiality of information shared by others.
How should a therapist approach treatment confidentiality with groups? - The mental health provider
cannot guarantee that group members will keep information confidential and this information is
important to share with all group members in advance of group psychotherapy.
Can clients access their therapeutic medical record? - Yes - clinicians are ethically mandated to support
clients in record review. Per the NASW ethical code: "Social workers should provide clients with
,reasonable access to records concerning the clients. Social workers who are concerned that clients'
access to their records could cause serious misunderstanding or harm to the client should provide
assistance in interpreting the records and consultation with the client regarding the records. Social
workers should limit clients' access to their records, or portions of their records, only in exceptional
circumstances when there is compelling evidence that such access would cause serious harm to the
client. Both clients' requests and the rationale for withholding some or all of the record should be
documented in clients' files."
What is privileged communication? - Privileged communication refers to a private statement that must
be kept in confidence by the recipient for the benefit of the communicator."
How many privileges are there in CA? - 13 recognized
Who holds the privilege? - Client if no guardian or conservator
If so, guardian/conservator holds it
Who holds privilege if client is dead? - Personal representative
If you want to release information from a group, family or couple, what must you do? - • If your
identified patient is a group, family, or couple you must receive a waiver from each and every member
of the group before you can release any information.
Do minor children hold privilege? - Yes - If your patient is a minor child, he or she holds the privilege. A
minor's parents do not hold the privilege for the minor. The only time a parent could hold the privilege
for the minor is if the court has specifically appointed the parent as a guardian ad litem
How is privilege asserted for minors with regard to attorneys? - • If your patient is a minor, you must
assert the privilege on his or her behalf. If the minor has an attorney, the attorney can make the decision
to waive or assert the privilege.
, What does the NASW Code of Ethics say about when the law orders social workers to break
confidentiality without client permission? - Social workers should protect the confidentiality of clients
during legal proceedings to the extent permitted by law. When a court of law or other legally authorized
body orders social workers to disclose confidential or privileged information without a client's consent
and such disclosure could cause harm to the client, social workers should request that the court
withdraw the order or limit the order as narrowly as possible or maintain the records under seal,
unavailable for public inspection." Although it is ethically preferable, then, not to reveal treatment
information, this may still be required by the court.
What could happen if a provider receives a subpoena from an attorney to provide copies of clinical
records? - waive privilege and allow the provider to provide the subpoenaed information; or
invoke privilege and refuse to allow the release of information.
In the latter case, the judge will determine whether the treating professional must release information
and the judge can issue a court order.
What is required in order for a social worker to be forced to provide information even though privilege is
invoked? - Court order by the judge
In CA, how old must minors be to consent to mental health treatment or counseling if 2 requirements
are met? What are the requirements? - 12
a) The minor, in the opinion of the attending professional person, is mature enough to participate
intelligently in the outpatient services or residential shelter services
AND
1) The minor would present a danger of serious physical or mental harm to self or others without the
mental health treatment or counseling or residential shelter services
or
Exam CA L&E
Confidentiality falls into what three types of issues? - Therapeutic, legal & ethical issues
What is a leading cause of ethical complaints? Litigation for malpractice? - Confidentiality
4th most frequent basis of disciplinary action
According to the NASW Code of Ethics, social workers should protect confidentiality of all info except for
when? - Compelling professional reasons
As necessary to prevent "serious, foreseeable, and imminent harm" to a client or other identifiable
person.
To what level of detail should confidentiality be broken when necessary? - In these instances,
professionals should disclose the least amount of confidential information necessary to achieve the
desired purpose; only information that is directly relevant to the purpose for which the disclosure is
made should be revealed.
What type of consent is required in order for mental health professionals to disclose to third parties? -
Written
Verbal - in emergency situations only
,What are the exceptions to confidentiality? - Under California law, there are several exceptions to the
confidentiality of psychotherapy. The primary exceptions to confidentiality concern harm to self or
others:
Where there is a reasonable suspicion that a client is likely to harm him or herself unless protective
measures are taken.
Where there is a reasonable suspicion of child abuse or elder adult physical abuse (see Mandated
Reporting section);
Where there is a reasonable suspicion of the potential for danger of violence to others (see Duty to
Warn section);
What is reasonable suspicion according to Lowenthal Child Abuse Reporting guidelines? - 1. Reasonable
suspicion does not require certainty that child abuse or neglect has occurred;
2. Reasonable suspicion does not require a specific medical indication of child abuse or neglect; any
reasonable suspicion is sufficient; and
3. Reasonable suspicion may be based on any information considered credible by the reporter, including
statements from other individuals.
How should a therapist approach treatment confidentiality with families or couples? - It is important for
the provider to be specific with regard to confidentiality issues and to seek agreement among the
parties involved concerning each individual's right to confidentiality and obligation to preserve the
confidentiality of information shared by others.
How should a therapist approach treatment confidentiality with groups? - The mental health provider
cannot guarantee that group members will keep information confidential and this information is
important to share with all group members in advance of group psychotherapy.
Can clients access their therapeutic medical record? - Yes - clinicians are ethically mandated to support
clients in record review. Per the NASW ethical code: "Social workers should provide clients with
,reasonable access to records concerning the clients. Social workers who are concerned that clients'
access to their records could cause serious misunderstanding or harm to the client should provide
assistance in interpreting the records and consultation with the client regarding the records. Social
workers should limit clients' access to their records, or portions of their records, only in exceptional
circumstances when there is compelling evidence that such access would cause serious harm to the
client. Both clients' requests and the rationale for withholding some or all of the record should be
documented in clients' files."
What is privileged communication? - Privileged communication refers to a private statement that must
be kept in confidence by the recipient for the benefit of the communicator."
How many privileges are there in CA? - 13 recognized
Who holds the privilege? - Client if no guardian or conservator
If so, guardian/conservator holds it
Who holds privilege if client is dead? - Personal representative
If you want to release information from a group, family or couple, what must you do? - • If your
identified patient is a group, family, or couple you must receive a waiver from each and every member
of the group before you can release any information.
Do minor children hold privilege? - Yes - If your patient is a minor child, he or she holds the privilege. A
minor's parents do not hold the privilege for the minor. The only time a parent could hold the privilege
for the minor is if the court has specifically appointed the parent as a guardian ad litem
How is privilege asserted for minors with regard to attorneys? - • If your patient is a minor, you must
assert the privilege on his or her behalf. If the minor has an attorney, the attorney can make the decision
to waive or assert the privilege.
, What does the NASW Code of Ethics say about when the law orders social workers to break
confidentiality without client permission? - Social workers should protect the confidentiality of clients
during legal proceedings to the extent permitted by law. When a court of law or other legally authorized
body orders social workers to disclose confidential or privileged information without a client's consent
and such disclosure could cause harm to the client, social workers should request that the court
withdraw the order or limit the order as narrowly as possible or maintain the records under seal,
unavailable for public inspection." Although it is ethically preferable, then, not to reveal treatment
information, this may still be required by the court.
What could happen if a provider receives a subpoena from an attorney to provide copies of clinical
records? - waive privilege and allow the provider to provide the subpoenaed information; or
invoke privilege and refuse to allow the release of information.
In the latter case, the judge will determine whether the treating professional must release information
and the judge can issue a court order.
What is required in order for a social worker to be forced to provide information even though privilege is
invoked? - Court order by the judge
In CA, how old must minors be to consent to mental health treatment or counseling if 2 requirements
are met? What are the requirements? - 12
a) The minor, in the opinion of the attending professional person, is mature enough to participate
intelligently in the outpatient services or residential shelter services
AND
1) The minor would present a danger of serious physical or mental harm to self or others without the
mental health treatment or counseling or residential shelter services
or
