Site hosted by Angelfire.com: Build your free website today!

Chapter XIV.

CONFIDENTIALITY

A. Mental Health Information

Recognizing the gravity of disclosure of psychiatric records, California mental health laws protect the confidentiality of the client and records kept about the client. As a general rule, all information about a mental health client is confidential and may be released only if the client authorizes it. With a client's consent, information may be disclosed to whomever the client designates. But without the client's written consent, information and records obtained in the course of providing mental health services can only be released in certain legally specified circumstances. If no specific statutory provision permits release, the information remains confidential. Even when such a legal provision exists, no more information should be revealed than the statute's permits or requires.

Some statutes require the release of information, while others leave disclosure to the discretion of mental health professionals. In this chapter, as in state law, mandatory disclosure is indicated by the word "must" and discretionary disclosure by the word "may."

1. Confidential Information

All information and records obtained in the course of providing mental health services to either voluntary or involuntary patients is confidential (Cal. Welf. & Inst. Code § 5328).

2. Information and records may be disclosed only in the following cases:

a. Release to the patient or his/her representative

With limited exceptions, a patient, or his/her authorized representative, is entitled to access to his/her mental health records held by a health care provider. (Health & Safety Code § 1795.12). (See "Access to Mental Health Records," next section).

b. Release to the patient's designee, with approval

When- with the approval of the physician, psychologist, or social worker in charge

of his/her care- a patient designates any person to receive information or records, the

information must be released. However, a physician, psychologist, social worker, nurse, attorney,

or other professional will not be compelled to release information given to him/her in confidence

by members of the patient's family. (Cal. Welf. & Inst. Code § 5328(b)).

c. Release to the patient's family

.i. Upon admission to a facility or change of status or health

Unless the patient directs otherwise, an inpatient mental health facility (a psychiatric hospital or nursing home) must make reasonable attempts to notify the

patient's next of kin or any other person designated by the patient upon the patient's admission to the facility. Similarly, but only upon the request of the family member, the facility must make reasonable attempts to notify the patient's next of kin or any other person designated by the patient of the patient's release, transfer, serious illness, injury, or death, unless the patient requests that this information not be provided. The facility must inform the patient of his/her right to request the withholding of this information. (Cal. Welf. & Inst. Code § 5328.1(b)).

ii. Upon the disappearance of a voluntary patient

When a voluntary patient who otherwise meets the criteria for involuntary detention disappears without prior notice from a designated facility and his/her whereabouts remain unknown, the facility may notify the patient's relatives of the disappearance if such notification is necessary for their own or the patient's protection. (Cal. Welf. & Inst. Code § 5328.3).

iii. Upon family's request for specified information

If a family member or other person designated by the patient requests notification of the patient's diagnosis, prognosis, progress, or medication and its side effects, a treatment facility must release the information if authorized to do so by the patient. If the patient is unable to authorize the release of this information, the facility must note the attempt to secure consent in the patient's treatment record and must make daily efforts to secure the patient's consent or refusal. Information must not be released without the patient's consent, with the following narrow exception: when the patient is unable to give consent and the person requesting the information is the patient's spouse, parent, child, or sibling, the facility must notify the requestor of the patient's presence in the facility. (Cal. Welf. & Inst. Code § 5328.1(a)).

d. Release to designee of minor patient's parent or guardian

If the patient is a minor and his/her parent, guardian, or guardian ad litem designates, in writing, any person to receive information or records, the information must be released. However, a physician, psychologist, social worker, nurse, attorney, or other professional will not be compelled to release information given to her in confidence by members of the patient's family. (Cal. Welf. & Inst. Code § 5328(d)).

e. Release to conservators, from conservators, and in conservatorship proceedings

Information in the patient's treatment record pertaining to the denial of rights including the use of seclusion and restraint must be released to his/her conservator upon request. (Cal. Welf. & Inst. Code § 5326.1).

If the patient's conservator designates, in writing, any person to receive information or records, the information must be released. However, a physician, psychologist, social worker, nurse, attorney, or other professional will not be compelled to release information given to him/her in confidence by members of the patient's family. (Cal. Welf. & Inst. Code § 5328(d)).

Information may be released to qualified persons in the course of conservatorship proceedings. (Cal. Welf. & Inst. Code § 5328(a)). Additionally, treatment facilities must release patient information and records to county officers engaging in conservatorship investigations. (Cal. Welf. & Inst. Code § 5354). However, a treatment facility must obtain the consent of the patient or his/her conservator before releasing information to a professional person not employed by the facility who does not have the medical or psychological responsibility for the patient's care. (Cal. Welf. & Inst. Code § 5328(a)).

f. Release to patient's attorney

Information and records must be released to the attorney for the patient in any and

all proceedings upon presentation of a release of information signed by the patient (or, if applicable, by the patient's parent, guardian, guardian ad litem, or conservator). If the patient is unable to sign a release, the facility may release the information and records once it is satisfied of the identity of the attorney and the fact that the attorney represents the patient's interests. However, a physician, psychologist, social worker, nurse, attorney, or other professional will not be compelled to release information given to him/her in confidence by members of the patient's family. (Cal. Welf. & Inst. Code §§ 5328(j), 5328(d)). Information in the patient's treatment record pertaining to the denial of rights must be released to his/her attorney upon request. (Cal. Welf. & Inst. Code § 5326.1).

g. Release to Protection & Advocacy, Inc.

Protection & Advocacy, Inc. (PAI), the agency established by federal law for the

protection and advocacy of the rights of individuals identified as mentally ill, is granted access to records and information under the following circumstances: (1) when the patient is a client of PAI's and the patient or her legal representative has authorized such access; (2) when the patient is unable to authorize access and has no legal representative or has a public entity as legal representative, and PAI has received a complaint that the patient has suffered abuse or neglect, or has determined that probable cause exists to believe that the patient has suffered abuse or neglect; or (3) when PAI receives a complaint about the patient's legal representative -or when PAI has probable cause to believe that the legal representative presents a serious and immediate threat to the patient's health or safety--and the legal representative fails to act to resolve the issue upon notification and an offer of assistance by PAI. (Cal. Welf. & Inst. Code §§ 4903(a), 5328.06).

h. Release to the Office of Patients' Rights

Information in the patient's treatment record pertaining to the denial of rights including the use of seclusion and restraint must be released to the Office of Patients' Rights upon request. Cal. Welf. & Inst. Code § 5326.1. The functions of the Office of Patients' Rights are administered by Protection & Advocacy, Inc. (Cal. Welf. & Inst. Code §§ 5510, 4901).

i. Release to the local mental health director

Information in the patient's treatment record pertaining to the denial of rights must be released to the local mental health director upon request. (Cal. Welf. & Inst. Code § 5326.1).

 

 

j. Release to the local Patients’ Rights Advocate

County Patients’ Rights Advocates, appointed by local mental health directors, must be given access to patient information and records in order to investigate patients' complaints of rights denials and to monitor mental health facilities' compliance with patients' rights provisions. (Cal. Welf. & Inst. Code §§ 5520, 5545).

When a county Patients’ Rights Advocate provides services to a specific client, the client or his/her guardian ad litem must give authorization if the Advocate is to have access to the client's records. The statute requires that the authorization be in writing or reduced to writing, when the Advocate makes a written note of the client's oral authorization. (Cal. Welf. & Inst. Code § 5541).

k. Release to other health professionals

Information and records may be released without the patient's consent in communications between qualified professional persons in the provisions of services or appropriate referrals, if (1) the persons releasing and receiving the information work in the same facility, or (2) the persons receiving the information do not work in the same facility but have medical or psychological responsibility for the patient's care. The release of information to other professional persons who do not have responsibility or have not yet assumed responsibility, requires the consent of the patient, his/her guardian, or his/her conservator. (Cal. Welf. & Inst. Code § 5328(a)).

l. Release to licensing personnel

Information and records may be released to licensing personnel who are authorized licensed or registered health professionals attached to the State Department of Health Services, as well as to authorized legal staff or special investigators attached to the State Department of Social Services, as necessary for them to inspect, license, and investigate health facilities and community care facilities. The information may be used by either Department in a criminal, civil, or administrative proceeding, but may only be released to the judge or hearing officer and to the parties to the case. (Cal. Welf. & Inst. Code § 5328.15(a)).

Information and records may also be released to any board which licenses and certifies mental health professionals when the Director of Mental Health has reasonable cause to believe that a violation of a law subject to the board's jurisdiction has occurred and the records are relevant to the violation. The records, which must not contain the patient's name, must be sealed after the board reaches its decision. (Cal. Welf. & Inst. Code § 5328.15(b)).

m. Release to multidisciplinary personnel relating to child abuse

Information and records must be released to members of multidisciplinary personnel

teams who are trained in the prevention, identification, and treatment of child abuse and neglect and who are qualified to provide a broad range of services related to child abuse. The information released must be relevant to the prevention/identification of abuse or the treatment of an abused child or her parents. (Cal. Welf. & Inst. Code §§ 18965, 18951).

n. Release relating to abuse

Information and records may be disclosed in communications relating to the prevention, investigation, or treatment of elder abuse or dependent adult abuse. (Cal. Welf. & Inst. Code §§ 5328.5, 15633.5).

Information and records may be released to multidisciplinary team members when

an older adult client, in the opinion of the human services agency serving older adults through a multidisciplinary team, presents signs of elder abuse or neglect. (Cal. Welf. & Inst. Code § 5328.05(a)).

o. Release for research purposes

Information and records may be released for research purposes without client consent provided that (1) the research follows the rules of conduct established by the Department of Mental Health, (2) the research is first reviewed by the appropriate institutional review board(s), and (3) the researcher signs an oath of confidentiality as described in Cal. Welf. & Inst. Code § 5328(e).

Confidentiality laws do not prohibit the compilation and publication of statistical

data for use by the government or by researchers under standards set by the Director of Mental Health. However, no information obtained in the course of research which identifies individual patients may be released via publication or other research communication. (Cal. Welf. & Inst. Code §§ 5328(e), 5329).

p. Release to obtain aid, insurance, or medical assistance

Information and records may be released to the extent necessary for patients to make claims--or for claims to be made on their behalf--for aid, insurance, or medical assistance to which they are entitled. The patient's consent is advisable, but not legally required in these instances. (Cal. Welf. & Inst. Code § 5328(c)). However, if the patient applies for disability or life insurance, information and records may be released only if the patient designates in writing the insurer to which he/she wants the information disclosed. (Cal. Welf. & Inst. Code § 5328(i)).

q. Release to potential employers

If an employer to whom a patient has applied for a job requires the patient's records, the records must be forwarded to a qualified physician representing the employer upon the patient's request, unless the physician or administrative officer responsible for the patient deems the release contrary to the patient's best interest. In such a case, the physician or administrator must notify the patient of his/her decision not to release the records within five days. If the physician or administrator also deems release of the records to the patient to be contrary to his/her best interest, the physician or administrator must give formal notice of this decision to the superior court in the county in which the patient resides. (Cal. Welf. & Inst. Code § 5328.9).

r. Release to the courts

Information and records may be released to the court without client consent as

necessary for the administration of justice. (Cal. Welf. & Inst. Code § 5328(f)).

s. Release to the legislature

Information and records may be released without patient consent to the Senate Rules Committee or the Assembly Rules Committee for the purposes of legislative investigation authorized by these committees. Members of the state legislature also have access to information in treatment records pertaining to denial of rights, provided that patients' identities are concealed. (Cal. Welf. & Inst. Code §§ 5326.1, 5328(h)).

t. Release to the coroner

If a patient dies in a state hospital, the Department of Mental Health, the physician in charge of the patient, or the person in charge of the facility (or his/her designee) must release to the coroner information and records obtained in the course of providing treatment. Information about the patient's personal life which is not related to the diagnosis and treatment of the patient's physical condition should not be included. Information released to the coroner should be sealed and not made part of the public record. (Cal. Welf. & Inst. Code § 5328.8).

u. Mandatory release to law enforcement

Information and records must be released to law enforcement under the following

circumstances (please refer to the cited Code sections for details):

1. When the peace officer who brought the patient in for an involuntary 72-hour hold under Cal. Welf. & Inst. Code § 5150 requests notification of release. (Cal. Welf. & Inst. Code §§ 5152.1, 5250.1, 5328(p)).

2. When a patient is believed to be the victim or the perpetrator of a crime while hospitalized. (Cal. Welf. & Inst. Code § 5325.4).

3. When a patient who is a Mentally Disordered Sex Offender is moved or is under criminal investigation. (Cal. Welf. & Inst. Code §§ 5328.2, 5328.01).

4. When a patient committed under the Penal Code escapes from the hospital. (Cal. Welf. & Inst. Code § 7325.5, Cal. Penal Code §§ 1370.5(b), 4536(b)).

5. When release of information would protect federal or state elective constitutional officers and their families. (Cal. Welf. & Inst. Code § 5328(g)).

6. When the Youth Authority or an adult correctional agency require the records. (Cal. Welf. & Inst. Code § 5328.02).

7. When a therapist suspects child abuse. Cal. Penal Code §§ 11165-11174.

8. When a psychotherapist is aware that his/her patient presents a serious danger to a foreseeable victim. (Cal. Welf. & Inst. Code § 8105 (c)).

 

 

 

v. Discretionary release to law enforcement

Information and records may be released to law enforcement under the following

circumstances (please refer to the cited Code sections for details):

1. When a mentally disordered person is believed to be the victim of a crime. (Cal. Welf. & Inst. Code § 5004.5).

2. When a civilly committed patient escapes from the hospital. Cal.

Welf. & Inst. Code §§ 5328.3, 7325.

3. Required Documentation

a. Documentation of Disclosure

The physician in charge of the patient or the professional person in charge of the facility, or his or her designee, must make sure documentation is entered in the patient's medical record if any disclosure of records or information is made to:

Anyone the patient, patient's parent (in the case of a minor patient), conservator or guardian designates (Cal. Welf. & Inst. Code § 5328(b), (d));

The adult patient's family (Cal. Welf. & Inst. Code § 5328.1);

The police if a voluntary patient who otherwise meets LPS criteria escapes from an inpatient

facility (Cal. Welf. & Inst. Code § 5328.3); or

The police if the patient, while hospitalized, is suspected of being a victim or perpetrator of

major crime (Cal. Welf. & Inst. Code § 5328.4).

The documentation must include:

The date and circumstances under which the disclosure was made.

The names and relationships to the patient, if any, of person or agencies to whom such

disclosure was made.

The specific information disclosed.

(Cal. Welf. & Inst. Code § 5828.6)

 

b Signed Consent Forms

Signed consent forms by the patient, minor patient's parent or a patient's guardian or conservator for release of information must include for each separate use:

The name of the agency or individual who has authorization to release the information.

The name of the individual who has authorization to release the information.

The use of the information.

The information to be released.

Any use of the consent form must be noted in the patient's file. Patients who sign the forms must be given a copy (Cal. Welf. & Inst. Code §§ 5328, 5328.7).

 

4. Breach of Confidentiality Penalties

Any person may bring an action against any individual who has willfully and knowingly released confidential information or records concerning him/her in violation of the law for whichever is greater: $500.00 or three times the amount of actual damages. This is in addition to any disciplinary action employers or licensing boards may take against the individual. Cal. Welf. & Inst. Code § 5330.

 

B. CLIENT ACCESS TO MENTAL HEALTH RECORDS

A patient, or his/her authorized representative, is entitled to access to his/her mental and/or physical health records held by a health care provider. (Cal. Health & Safety Code § 1795.12).

1. Patient Access to records

A patient or patient's representative must make a written request to inspect and/or to receive copies of the patient's records. (Cal. Health & Safety Code § 1795.12(a) and (b)). A request for copies must specify the records to be copied. (Cal. Health & Safety Code § 1795.12 (b)).

2. Timeframe for receipt or review of records

If a patient or representative makes a written request for inspection of records, the health care provider must allow access to the records during regular business hours within five working days after receiving the request. (Cal. Health & Safety Code § 1795.12(a)). If a patient or representative makes a request for copies of all or part of a file, the health care provider must transmit the copies within fifteen days after receiving the request. (Cal. Health & Safety Code § 1795.12(b).

3. Limitation to a patient’s access

There is one narrow exception to the complete right of access. (Cal. Health & Safety Code § 1795). The health care provider may decline to permit inspection or provide copies of mental health records to a patient if there is a "substantial risk of significant adverse or detrimental consequences to the patient in seeing or receiving" such records. (Cal. Health & Safety Code § 1795.14(b)). However, such a refusal is subject to the following four conditions:

a. The health care provider must provide a written explanation for refusing to permit inspection or provide copies of the records, including a description of the specific adverse or detrimental consequences to the patient;

b. The health care provider must permit inspection by, or provide copies of, the records to a licensed health professional designated by the patient:

c. The health care provider must inform the patient both of the provider's refusal to permit access to the requested records and of the patient's right to have an appropriate health professional inspect and obtain the records; and

d. The health care provider must record in the chart the date of the request, the reason for the denial, a description of the specific anticipated adverse or detrimental consequences and whether the patient requested that another health professional inspect or obtain the requested records. (Cal. Health & Safety Code § 1795.14 (b)(1)-(4)).

This limitation on patient access to mental health records applies only to a request made by a patient and not to a request made by a patient' representative.

4. Minor child's and parents of minors

For a discussion of minor’s and parents of minors access to records, see Chapter XVI. Minors.

5. Summary of a patient's medical records in lieu of complete access

A health care provider may prepare a summary of the records rather than allowing the patient to inspect or obtain copies of the actual records. (Cal. Health & Safety Code § 1795.20(a)). The patient's entire record must be summarized unless the patient limits his/her request to certain injuries, illnesses, or episodes. A health care provider may confer with the patient to clarify what information is sought. If, as a consequence, the patient requests information about only certain injuries, illnesses, or episodes, the provider is required to summarize only the injuries, illnesses, or episodes designated by the patient.

The summary must contain for each injury, illness, or episode any information included in the record relative to the following:

a. chief complaint(s), including pertinent history;

b. findings form consultations and referrals to other health care providers;

c. diagnosis, where determined;

d. treatment plan and regiment including medications prescribed;

e. progress of treatment;

f. prognosis, including significant continuing problems or conditions;

g. pertinent reports of diagnostic procedures and tests and all discharge summaries; and

h. objective findings form the most recent physical examination, such as blood pressure, weight, and actual values form routing laboratory tests. (Cal. Health & Safety Code § 1795.20(b)(1)-(8)).

6. Withhold records because of unpaid bills

A health care provider is prohibited from withholding a patient's records because of unpaid bills for services. Any health care provider who willfully withholds records because of unpaid bills is subject to sanctions.

7. Fee for copying a summarizing records before releasing the records or summary

Before giving copies of records to the requester, a provider may require the requester to pay (1) copying costs, not to exceed twenty-five cents ($.25) per page or fifty cents ($.50) per page for records that are copied from microfilm, and (2) any additional reasonable clerical costs incurred in making the records available. (Cal. Health & Safety Code § 1795.12(b)).

Additionally, the health care provider may charge a "reasonable fee" based on actual time and cost for preparation of a summary pursuant to a patient's request for access to her records. (Cal. Health & Safety Code § 1795.20(f)).

8. Recourse if request is denied

A health care provider who willfully violates this statute may be subject to penalties, including but not limited to a $100 fine and licensure suspension or revocation. (Cal. Health & Safety Code §§ 1795.12(f), 1795.16).

C. REPORTING REQUIREMENTS

Providers of mental health services and others, including, in some cases, patients’ rights advocates, have the responsibility to report certain types of abuse under statues or regulations.

1. Child Abuse

a. Duty to Report

Penal Code sections 11164 through 11174.3 require certain persons including a "child care custodian" or "health practitioner" (including both medical and nonmedical practitioners) who has knowledge of or observes a child (defined as a person under age 18) in his/her professional capacityor within the scope of his/her employment whom he/she reasonably suspects has been the victim of child abuse, to report such suspected instances of child abuse to a "child protective agency" immediately or as soon as practically possible by telephone and within 36 hours by a written report.

b. Mandated Reporting

Reporting is required by certain person (see Section D, below) when they have knowledge of or observe a child whom they know or reasonably suspect has been the victim of child abuse.

"Reasonably suspect" means that it is objectively reasonable for a person to entertain such a suspicion, based upon facts that could cause a reasonable person in a like position, drawing when appropriate from his or her training and experience, to suspect child abuse. (Cal. Penal Code § 11166(a)).

Penal Code section 11165.6 broadly defines child abuse to mean:

.i. A physical injury which is inflicted by other than accidental means on a child by another person;

ii. Sexual abuse of a child;

iii. Willful cruelty or unjustifiable punishment of a child as defined in Cal. Penal Code § 273(a);

iv. Corporal punishment or injury as defined in Cal. Penal Code § 273(d);

v. Abuse in out-of-home care.

"Sexual abuse" means sexual assault or exploitation. (Cal. Penal Code § 11165.1).

"Sexual assault" means conduct in violation of the Penal Code including rape, rape in

concert, incest, so do my, lewd or lascivious acts upon a child under 14 years of age, oral

copulation, penetration of a genital or anal opening by a foreign object, and child molestation.

"Sexual Exploitation" refers to any of the following:

.i. Conduct involving any matter depicting a minor engaged in obscene acts, which violates the law prohibiting the preparation, sale, or distribution of obscene matter or employment of minors to perform obscene acts.

ii. A person who knowingly promotes, aids, or assists, employs, uses, persuades, induces, or coerces a child, or a person responsible for a child’s welfare who knowingly permits or encourages a child to engage in, or assist others to engage in, prostitution or to either pose or model alone or with others for purposes of preparing a film, photograph, negative, slide, or live performance involving obscene sexual conduct.

iii. A person who depicts a child in, or who knowingly develops, duplicates, prints, or exchanges, any film, photograph, videotape, negative, or slide in which a child is engaged in an act of obscene sexual conduct, except for those activities by law enforcement and prosecution agencies and other persons described in Cal. Penal Code §§ 311.3(c), (e).

"Neglect" means the negligent treatment or the maltreatment of a child by a person responsible for the child’s welfare under circumstances indicating harm or threatened harm to the child’s health or welfare. The term includes both acts and omissions on the part of the responsible person. (Cal. Penal Code § 11165.2).

.i. "Severe neglect" which means "the negligent failure of a person having the care or custody of a child to protect the child from severe malnutrition or medically diagnosed nonorganic failure to thrive."

ii. "General neglect" which means "the failure of a person having the care or custody of a child to provide adequate food, clothing, shelter, medical care or supervision where no physical injury to the child has occurred.

"Willful Cruelty or Unjustifiable Punishment" means a situation where a person willfully causes or permits a child to suffer, or inflicts upon a child, unjustifiable physical pain or mental suffering, or having the care and custody of the child, willfully causes or permits the child to be placed in a situation where the child’s person or health is endangered. (Cal. Penal Code § 11165.3)

"Unlawful Corporal Punishment or Injury" means a situation where a person willfully

inflicts upon a child cruel or inhuman corporal punishment or injury resulting in a traumatic condition. It does not include an amount of force that is reasonable and necessary for a person employed by or engaged in a public school to quell a disturbance threatening physical injury to a person or damage to property, for purposes of self-defense, or to obtain possession of weapons or other dangerous objects within the control of the pupil, as authorized by Cal. Educ. Code § 49001. It also does not include the exercise of the degree of physical control authorized by Cal. Educ. Code § 44807. In addition, unlawful corporal punishment or injury does not include an injury caused by a peace officer’s reasonable and necessary force while acting within the course and scope of the officer’s employment as a peace officer. (Cal. Penal Code § 11165.4).

"Abuse in Out-of-Home Care" means situations where child abuse, as defined above,is suspected and the person responsible for the child’s welfare is a licensee, administrator or employee of a licensed community care or child day care facility or a facility licensed to care for children or the administrator or employee of a public or private residential home, school, or other institution. It does not mean an injury caused by a peace officer’s reasonable and necessary force while acted within the course and scope of the officer’s employment as a peace officer. (Cal. Penal Code § 11165.5)

c. Discretionary Reporting

If any child care custodian, health practitioner or employee of child protective services has knowledge of or reasonable suspects that mental suffering has been inflicted on a child or the child’s emotional well-being is endangered in any other way, he or she may, at his or her discretion, report such suspected instance of child abuse to a child protective agency. (Cal. Penal Code § 11166(b)).

d. Persons Required to Report

Cal. Penal Code §§ 11165 to 11166 require a "child care custodian," "health practitioner," or employee of a "child protective agency" to report suspected child abuse.

.i. A "child care custodian" includes social workers, teachers, teacher’s aides and assistants,

licensed day care workers, employees of child care institutions, probation officers, parole officers

and various community professional and workers in schools, day care programs, youth centers

and camps. (Cal. Penal Code § 11165.7).

ii. A "health practitioner" means a physician, psychiatrist, psychologist, dentist, resident, intern, chiropractor, licensed nurse, dental hygienist, optometrist, or any other person who is licensed under California Business and Professions Code Section 500 et seq.; a marriage, family and child counselor; and emergency medical technician I or II, paramedic, or other person certified pursuant to Cal. Health and Safety Code § 1797 et seq.; a psychological assistant registered pursuant to California Business and Professions Code Section 2913; a marriage, family and child counselor trainee, as defined in California Business and Professions Code Section 4980.03(c); an unlicensed marriage, family, and child counselor intern registered under California Business and Professions Code Section 4980.44; a state or county public health employee who treats a minor for venereal disease or any other condition; a coroner; a medical examiner, or any person who performs autopsies; or a religious practitioner who diagnoses, examines, or treats children. (Cal. Penal Code § 11165.8).

iii. "Child protective agency" means a police or sheriff’s department, a county probation department or a county welfare department. It does not include a school district police or security department. (Cal. Penal Code § 11165.9).

e. Required Reports

A telephone report, followed by a written report, must be made to a "child protective agency," which means a police or sheriff’s department, a county probation department, or a county welfare department, but not a school district police or security department.

Telephone report. A telephone report must be made immediately or a soon as is practically possible after receiving the information concerning the incident. (Cal. Penal Code § 11166(a)). The oral report must include:

· The name of the person making the report.

· The name of the child.

· The present location of the child.

· The nature and extent of the injury.

· Any other information requested by the child protective agency, including information that led the person to suspect child abuse.

Written report. The state Department of Justice has adopted a form, "Suspected Child Abuse Report," form SS 8572 which must be used for the written report.

f. Privileges

Neither the physician-patient privilege nor the psychotherapist-patient privilege applies to information reported pursuant to this statute in a court proceeding or administrative hearing. (Cal. Penal Code § 11171(b)). In People v. Strizinger, 34 Cal. 3d 505, 668 P.2d 738, 194 Cal. Rptr. 431 (1983), the California Supreme Court held that the child abuse reporting requirements supersede the psychotherapist-patient privilege, and that confidential information must be disclosed by a psycholotherapist in order to fulfill the reporting requirements. However, only the information which must be reported may be disclosed.

 

g. Immunity

No health practitioner or other person required by law to report suspected cases of child abuse shall incur any civil or criminal liability as a result of making a report required or authorized by the statute. (Cal. Penal Code § 11172(a)).

2. Elder and Dependent Adult Abuse

a. Duty to Report

Cal. Welf. & Inst. Code §§ 15600 through 15637 state mandatory reporting requirements for abuse of elders and dependent adult. Abuse of an elder or dependent adult is a criminal act. (Cal. Penal Code § 368).

• "Elder" means a person 65 years of age or older.

• "Dependent adult" means a person between the ages of 18 and 64 who has physical or mental limitations that restrict his or her ability to carry out normal activities or to protect his or her rights, including person who have physical or developmental disabilities or whose physical or mental abilities have diminished because of age. "Dependent adult" also expressly includes a person between the ages of 18 and 64 who is admitted as an inpatient in an acute care hospital or other 24-hour health facility as defined in (Cal. Health & Safety Code §§ 1250, 1250.2, 1250.3).

b. Mandated Reporting

A custodian or health practitioner must file a report where that person, in the scope of employment or in his or her professional capacity, either:

· has observed an incident that reasonably appears to be physical abuse;

· has observed a physical injury where the nature of the injury, its location on the body, or the repetition of the injury, clearly indicates that physical abuse has occurred; or

· is told by and elder or dependent adult that he or she has experienced behavior constituting physical abuse.

Physical Abuse. "Physical Abuse" means all of the following (which are defined, where appropriate, in the Penal Code):

•. Assault

• Battery.

• Assault with a deadly weapon or force likely to produce great bodily injury.

• Unreasonable physical constraint, or prolonged or continual deprivation of food or water.

• Sexual assault.

And, the use of a "physical or chemical restraint or psychotropic medication" under any of the following conditions:

• For punishment

For a period significantly beyond that for which the restraint or medication is authorized by a physician licensed in California who is providing medical care to the elder or dependent adult.

• For any purpose not consistent with that authorized by the physician.

c. Discretionary Reporting

A care custodian or health practitioner may file a report where that person has knowledge of or reasonably suspects that abuse other than physical abuse has been inflicted on an elder or dependent adult or that emotional well-being of an elder or dependent adult is endangered in any other way.

Types of elder or dependent adult abuse other than physical abuse include: neglect, abandonment, fiduciary abuse, other treatment with resulting physical harm or pain or mental suffering , intimidation or cruel punishment, isolation, physical restraint of an elder or dependent adult for the purpose of preventing him or her from meeting with visitors, false imprisonment, deprivation by a care custodian of goods or services necessary to avoid harm or mental suffering.

"Neglect" means the negligent failure of a person having the care or custody of an elder or dependent adult to exercise that degree of care which a reasonable person in a like position would exercise. Neglect includes, but is not limited, to the following:

• Failure to assist in personal hygiene, or in the provision of food, clothing or shelter.

• Failure to provide medical care for physical and mental health needs. No person shall be deemed neglected or abused for the sole reason that he or she voluntarily relies on treatment by spiritual means through prayer alone in lieu of medical treatment.

• Failure to protect from health and safety hazard.

• Failure to prevent malnutrition.

d. Persons Required to Report

An elder or dependent adult "care custodian," "health practitioner" or employee of an adult protective service agency or local law enforcement agency is required to report known or suspect physical abuse.

• "Care custodian" means an administrator or an employee (except persons who do not work directly with elders or dependent adults as part of their official duties, including members of support staff and maintenance staff) of the following public or private facilities when the facilities provide care for elders or dependent adults.

· Twenty-four-hour health facilities (as defined in Cal. Health & Safety Code §§ 1250, 1250.2, 1250.3)

· Clinics

· Home health agencies

· Adult day health centers

· Certain educational institutions

· Sheltered workshops

· Camps

· Community care and residential care facilities (See Cal. Health and Safety code §§ 1502, 1569.2)

· Respite care facilities

· Foster homes

· Regional centers for persons with developmental disabilities

· State Department of Social Services and state Department of Health Services licensing divisions

· Offices of Patients’ Rights Advocates

· Office of long-term care ombudsman

· Offices of public conservators and public guardians

· any other protective or public assistance agency that provides health services or social services to elders or dependent adults

• "Health practitioner" means a physician, psychiatrist, psychologist, dentist, resident intern, optometrist, podiatrist, chiropractor, licensed nurse (including registered and licensed vocational nurses), dental hygienist, licensed clinical social worker, marriage, family and child counselor and trainee or intern, an emergency medical technician I or II, paramedic, psychological assistant, state or county public health or social service employee who treats an elder or dependent adult for any condition, a coroner, or a religious practitioner who diagnoses, examines or treats elders or dependent adults.

• "Adult protective services agency" means a county welfare department, except person who do not work directly with elders or dependent adults as part of their official duties, including members of support staff and maintenance staff.

• "Local law enforcement agency" means a city police or county sheriff’s department, or a county probation department.

e. Persons Permitted But Not Required to Report

Welfare and Institutions Code sections 15630(b) and 15631(a) permit, but do not require, reporting from any person who has knowledge of or reasonably suspects that and elder or dependent adult has been the victim of abuse.

"Reasonable suspicion" means that it is objectively reasonable for a person to entertain such a suspicion, based upon facts that could cause a reasonable person in a like position, drawing when appropriate from his or her training and experience, to suspect abuse. (Cal. Welf. & Inst. Code § 15631(b)).

f. Required Report

A telephone report, followed by a written report within two working days, must be made, to either the long-term care ombudsman coordinator or to local law enforcement when abuse is alleged to have occurred in a long-term facility, or to either the county adult protective services or to a local law enforcement agency when the abuse is alleged to have occurred anywhere else. (Cal. Welf. & Intit. Code § 15630(a)(1)). The report should contain the following information unless the information is unavailable to the person reporting: the name, address, telephone number and occupation of the person making the report; the name and address of the victim; the date, time and place of the incident; other details, including the reporter’s observations and beliefs concerning the incident; any statement relating the incident made by the victim; the names of any individuals believed to have knowledge of this incident; and the names of the individuals believed to be responsible for the incident and their connection to the victim. (Cal. Welf. & Inst. Code § 1563(a)(2)(g)).

g. Immunity

No care custodian, health practitioner or employee of an adult protective services agency or local law enforcement agency shall incur any civil or criminal liability as a result of making a report required or authorized by the statute. Any other person reporting a suspected instance of dependent adult abuse shall not incur civil or criminal liability as a result of making any report authorized by the section unless it can be proved that a false report was made and the person knew it was false. (Cal. Welf. & Inst. Code § 15634(a)).

h. Sanctions

A person who is required to, but fails to report an instance of elder or dependent adult abuse may be found guilty of a misdemeanor. The punishment may include up to six months imprisonment in the county jail, a fine of up to $1,000, or both. (Cal. Welf. & Instit. Code § 15634(d)).

i. Employee acknowledgement of Reporting Obligations

Hospitals and other employers of "health practitioners" and care custodians" are required to provide forms on which person hired for such positions acknowledge that they are aware of the dependent adult abuse reporting requirements and that they comply with them.

3. Sexual Assault/Rape

a. Duty to Report

Penal Code section 11160(b)R requires reporting of a sexual assault to local law enforcement by telephone and in writing. Local law enforcement official must be notified by telephone prior to commencement of the required medical examination. (see below).

b. Examination or Referral of Victims of Sexual Assault

Penal Code section 13823.9(c) requires each county to designate at least one general acute care hospital to perform examinations on victims of sexual assault including child molestation. Additionally, all public and private general acute care hospitals must either comply with the standards, protocols and guidelines in examining or treating victims of sexual assault and attempted sexual assault, including child molestation, or "adopt a protocol for immediate referral of these victims to a local hospital that so complies and shall notify local law enforcement agencies, the district attorney, and local victim assistance agencies of the adoption of a referral protocol." (Cal. Health & Safety Code § 1281).

c. Statutory Duty of Physician

Each physician in a public or private general acute care hospital who conducts and examination for evidence of a sexual assault or attempted sexual assault, including child molestation, must use the standard form adopted by the Department of Justice in cooperation with the Department of Health Services, and must make such observations and perform such tests as may be required for recordation for all the data required by the for if the patient consents to be so examined. (Cal. Penal Code § 13823.5).

4. Injuries by Deadly Weapon or Assaultive or Abusive Conduct

Health practitioners who, in their professional capacity or within the scope of their employment provide medical services for a physical condition, to a patient whom the practitioner knows or reasonably suspects to have been injured by a deadly weapon or as a result of Assaultive or abusive conduct to make a report to local law enforcement. (Cal. Penal Code § 11160)

a. Mandated Reporting

A practitioner must report:

• Any person suffering from any wound or other injury inflicted by his or her own act or inflicted by another where the injury is by means of a firearm;

• Any person suffering from any wound or other physical injury inflicted upon the person where the injury is the result of Assaultive or abusive conduct. (Cal. Penal Code § 11160(d)).

"Assaultive or abusive conduct" includes murder, manslaughter, mayhem, torture, assault with intent to commit mayhem, rape, sodomy or oral copulation, administering controlled substances to aid in the commission of a felony, battery, sexual battery, incest, throwing of vitriol, corrosive acid or caustic chemical, assault with a stun gun or taser, assault with a deadly weapon, rap, spousal rape, procuring any female to have sex with another man, child abuse or endangerment, spouse/partner abuse, sodomy, lewd and lascivious acts with a child, oral copulation, genital or anal penetration with a foreign object, elder abuse or any attempt to commit the above-listed offenses.

"Reasonably suspect" means that it is objectively reasonable for a person to entertain such a suspicion, based upon facts that could cause a reasonable person in a like position, drawing when appropriate from his or her training and experience, to suspect abuse. (Cal. Penal Code § 11162.5(d)).

b. Required Report

A reported by telephone must be made immediately or as soon as possible. A written report must be prepared and sent to a local law enforcement agency within two (2) working days.

The reporting duties under this section are individual, provided that when two or more persons who are required to report are present and jointly have knowledge of a reportable event, they may agree among themselves report together.

No supervisor or administrator may impede or inhibit the reporting duties required under the law and no person making a report may be subject to any sanction for making the report.

The report must include, but not be limited to, the following:

• The name of the injured person, if known;

•. The injured person’s whereabouts; and

• The character and extent of the person’s injuries, and the identity of any person the injured person alleges inflicted the would, other injury or Assaultive or abusive conduct upon the injured person.

The reports required by this law must be kept confidential by the health facility, clinic or physician’s office that submitted the report, and by local law enforcement agencies, and may only be disclosed by local law enforcement agencies to those involved in the investigation of the report or the enforcement of the criminal law implicated by a report. (Cal. Penal Code § 11163.2(b)).

c. Privilege

In a court proceeding or administrative hearing, neither the physician-patient privilege nor the psychotherapist-patient privilege applies to information reported under this law. (Cal. Penal Code § 11163.2(a)).

d. Immunity

No health practitioner or other person required by law to report suspected cases of injury or abuse shall incur any civil or criminal liability as a result of making a report required or authorized by the law. Furthermore, the practitioner shall not incur civil or criminal liability as a result of providing access to the victim at the request of an adult protective services agency or law enforcement. (Cal. Penal Code § 11161.9(c)).

5. Potential Victims

a. Duty to Warn

The California Supreme court held in Tarasoff v. Regents of the University of California, 17 Cal. 3d 425, 551 P.2d 334, 131 Cal. Rptr. 14 (1976), that a therapist must warn, or take other appropriate action to protect, the foreseeable victim of a patient’s violence, if (1) a therapist-patient relationship exist, (2) the therapist knows or should know that the patient is dangerous, and (3) there is a foreseeable victim of the patient’s violent tendencies. The court held that in such situations, the justification for protecting the confidentiality of the patient information (e.g., to encourage patients to seek treatment and fully disclose information to their therapist) is outweighed by the need to warn potential victims so that they can protect themselves. In addition, Cal. Welf. & Inst. Code § 5328.(r) provides for the release of confidential information when a therapist believes that a patient presents a serious danger of violence to reasonably foreseeable victim or victims.

b. Duty to Notify Law Enforcement

A licensed therapist is required to immediately report to local law enforcement the identity of a person who has communicated to the licensed therapist a serious threat of physical violence against a reasonably identifiable victim or victims. A "licensed therapist" is defined in California Evidence Code § 1010. (Cal. Welf. & Inst. Code § 8105(c)).

c. Immunity

Immunity for Therapists.Civil Code § 43.92Provides immunity to therapists for failure to predict and/or warn of a patient’s violent behavior except when the patient has communicated a serious threat of physical violence against persons. The statute provides:

· There shall be no monetary liability on the part of, and no cause of action shall arise against a therapist in failing to warn of and protect from a patient’s threatened violent behavior or failing to predict and warn of and protect from a patient’s violent behavior except where the patient has communicated to the therapist a serious threat of physical violence against a reasonably identifiable victim or victims.

· If there is a duty to warn and protect under the limited circumstances specified above, the duty is discharged by the therapist making reasonable efforts to communicate the threat to the victim or victims and to law enforcement.

 

Welfare and Institutions Code Provisions. Welfare and Institutions Code sections 5154, 5173, 5259.3, 5267, 5270.50 provide immunity to various person involved in the treatment, evaluation and certification process, including the professional in charge of a facility, the medical director and the psychiatrist directly responsible for the patient’s treatment, provided that certain conditions are met.

d. Documentation

The therapist’s decision regarding whether it is likely that the patient will carry out his or her threats, or that the patient presents a danger to another person, should be documented along with the information that led to the decision. If a warning is given, the therapist should disclose only that information which is necessary to enable the potential victim to recognize the seriousness of the threat and to take proper precautions to protect himself or herself

6. Firearms and Deadly Weapons

State law prohibits some mental health clients and former mental health clients from possessing or purchasing firearms and other deadly weapons. "Deadly weapon" includes certain types of ammunition, knives, explosives, clubs, and martial arts weapons. (Cal. Penal Code § 12020).

A person who knowingly allows possession of a firearm or other deadly weapon by a person described below is subject to imprisonment and/or fine. Whenever such a person is found to have in his or her possession a firearm or other deadly weapon, the weapon must be confiscated.

a. Persons Subject to the Prohibition

• Persons certified (post-hearing) for intensive treatment under Welf. & Inst. Code §§ 5250, 5260 or 5270.15 The prohibition is effective for five years from the date of discharge. (Cal. Welf. & Inst. Code § 8103(g)).

• Persons placed under conservatorship by a court pursuant to Cal. Welf. & Inst. Code § 5350 or the law of any other state because the person is gravely disabled as a result of a mental disorder or impairment by chronic alcoholism, if the court which imposed the conservatorship has found that possession of a firearm or other deadly weapon would present a danger to the patient or to others. The prohibition ends when the conservatorship ends. (Cal. Welf. & Inst. Code § 8103(e))

• Persons who communicate to a licensed therapist a serious threat of physical violence against a reasonably identifiable victim or victims and therapist reports this threat to the local law enforcement. Therapist is defined in Evidence Code section 1010. The prohibition ends six months after the date of the report. (Cal. Welf. & Inst. Code § 8100(b)).

• Persons who has been adjudicated by a court of any state to be a mentally disordered sex offender or a danger to others as a result of a mental disorder or mental illness. The prohibition is of indefinite duration. (Welf. & Inst. Code § 8103(a)).

• Persons found not guilty by reason of insanity (Cal. Penal Code § 1026), or mentally incompetent to stand trial (Cal. Penal Code § 1370). The prohibition is of indefinite duration.

Some persons listed above may gain the right to possess or purchase a firearm by obtaining a court order specified under Cal. Welf. & Inst. Code § 8103(f)(4).

b. Required Reports

Hospitals must report in writing to the state Department of Justice the identity of any person described above.

• A licensed therapist must immediately report to local law enforcement the identity of a person who communicates to the therapist a serious threat of physical violence against a reasonably identifiable victim or victims. This report fulfills the requirements of firearms reporting.

• Where a patient who has been detained for examination of his or her mental condition has had a weapon confiscated pursuant to Cal. Welf. Inst. Code § 8102, health facility personnel must notify the confiscating law enforcement agency upon release of the detained person, and must provide and document the required notice to the person regarding the procedure to obtain return of the confiscated weapon.

The law does not require facilities to notify patients that these report must be or have been made.

c. Immunity

Mental health facility and treating health professionals are immune from civil liability for making any report required or authorized in Cal. Welf. & Inst. Code § 8108.

d. Patient Notification

Prior to, or concurrent with, the discharge of a person described in section A, 1-5 above, the facility must inform the person that he or she is prohibited from owing, possessing, controlling, receiving, or purchasing any firearm or other dangerous weapon for five years from the date of discharge. The facility must also inform the person that they may petition a court for an order permitting the person to own, possess, control, receive or purchase a firearm.

If a patient who was detained or apprehended for examination of his or hermental condition had a weapon confiscated, the professional person in charge of the facility, or a designee, must notify the patient of the procedure for the return of the weapon confiscated.

 

7. Reporting of Diseases and Disorders

a. Reportable diseases

Providers are required to report some diseases or conditions to their local health department. Disease notifications must include, if known, the diagnosis, name, address, telephone number, occupation, ethnic groups, social security number, sex and date of birth of the patient, the date of onset, the date of diagnosis, the date of death when applicable, and the name, address and telephone number of the person making the report. (17 C.C.R. § 2500).

b. "Conditions Characterized by Lapses of Consciousness"

Health and Safety Code section 410 requires every physician to report immediately to the local health officer in writing, the name, and date of birth, and address of every person age 14 or older whom the physician has diagnosed as having a disorder characterized by lapses of consciousness. A physician may report a patient’s condition, even if it is not listed as being required to be reported, if he or she reasonably and in good faith believes that reporting the patient will serve the public interest. A physician who reports a patient diagnosed as having a disorder characterized by lapses of consciousness pursuant to section 410 is not civilly or criminally liable to any patient for making the report. This information is then sent by the local health officer to the state Department of Health. Information is then sent by the local health officer to the state Department of Health Services, which in turn reports this information to the state Department of Motor Vehicles.

Disorder characterized by lapses of consciousness is defined as:

A person age 14 years or older who during the preceding three years has experiences on one or more occasions, a lapse of consciousness or chronic confusional state that may be caused by a condition which may bring about lapses, including momentary lapses of consciousness or episodes of marked confusion. (9 C.C.R. § 2575)

c. Mandatory Reporting of AIDS or HIV Status

Hospitals must report to the Department of Heath Services (DHS) and the county health officer whenever a patient is hospitalized whose physician confirms that the patient has a diagnosis of AIDS. The report must be made as soon as practicable after hospitalization of the patient for treatment. The report must include the name, date of birth, address and social security number of the patient; the name of the hospital; the date of the patient’s hospitalization; and any other information required by DHS. (Cal. Health & Safety Code § 1603.1(c), (d))

Recent amendments to the Health and Safety Code authorize an exposed individual who experienced a significant exposure to the blood or other potentially infectious materials of the source patient to be informed of the HIV status of the patient. Exposed individuals are defined as health care providers, agents or employees or as first responders (police, fire, rescue workers). Nothing in these provision authorizes the disclosure of the patient’s identity. The law also authorizes the blood or other tissue or other material of the source patient, as

defined, to be tested for HIV pursuant to a prescribed procedure, either with or without the consent of the source patient. The new law exempts a health care provider from civil or criminal liability or professional disciplinary action for performing and HIV test on a source patient or for disclosing the HIV status of the source patient to prescribed persons, if the health care provider believes in good faith that his or her action is consistent with these provisions. (Cal. Health & Safety Code § 121130 et seq).

 

 

8. Injury or Condition Resulting from Neglect or Abuse a Patient Received From Licensed Health Facility

a. Statutory Duty to Report

Penal Code section 11161.8 provides that physician and surgeon and hospital administrator (or person in charge of a hospital ward in which a patient is received) must report by telephone and in writing within 36 hours to the local police and the county health department the fact of any patient received from a health facility or community care facility as defined in Cal. Health & Safety Code §§ 1250, 1502, who exhibits a physical injury or condition which, in the opinion of the examining physician, reasonably appears to be the result of neglect or abuse.

b. Required Reports

Telephone and written reports must state the character and extent of the physical injury or condition to both the local police authority having jurisdiction and the county health department.

c. Discretionary Reporting

Registered nurses, licensed vocational nurses, or licensed clinical social workers employed at the admitting hospital may report to the local police authority and the county health department the fact that a patient received from a health facility or community care facility, as defined in Cal. Health & Safety Code §§ 1250 and 1502, exhibits a physical injury or condition which, in the opinion of the nurse or social worker, reasonably appears to be the result of neglect or abuse. A physician must confirm this opinion as is required for mandatory reporting. (Cal. Penal Code § 11161.8).

d. Immunity

No person shall incur any civil or criminal liability as a result of making a report authorized by this section. (Cal. Penal Code § 11161.8).

9. Unusual Occurrence

General acute care hospitals and acute psychiatric hospitals are required to report any occurrence such as an epidemic outbreak, poisoning, fire, major accident, disaster, or other catastrophe or unusual occurrence which threatens the welfare, safety, or health of patients, personnel, or visitors, as soon as reasonably practicable, by telephone or telegraph, to the local

health officer and to the state Department of Health Services. The hospital must furnish other pertinent information related to the occurrences as may be requested by the local health officer or the state Department of Health Services. 22 C.C.R. §§ 70737(a) (general acute care hospitals), 71535 (acute psychiatric hospitals).

 

10. Violence Against Hospital Personnel

Any act of assault or battery against any on-duty hospital personnel that results in injury or involves the use of a firearm or dangerous weapon, must be reported to local law enforcement within 72-hours of the incident, regardless of whether an injury results. Any other assault or battery against any on-duty hospital personnel may be reported. The law does not specify whether the report must be made orally or in writing. The law also does not specify the content of the report. For confidentiality reasons, it is recommended that hospital not report the names of patients or employees involved in these incidents. (Cal. Health & Safety Code § 1257.7(d)).

 

Go to Table of Contents

Return to CAMHPRA Home Page