Ethics for the Employee Assistance Professional: Act II

Ethics for the Employee Assistance Professional:Act II Bernard E. Beidel, M.Ed., CEAP Director, Office of Employee Assistance U.S. House of Representatives ValueOptions October 8, 2009 B. Beidel – 10.8.2009

Focus of Three Acts • Act I (September 24, 2009): General Introduction to Ethics and EAP Ethics • Act II – Today: Exploring Ethical Decision-Making Processes • Act III (November 12, 2009): Experiencing the Decision-Making Process B. Beidel – 10.8.2009

Why an “ethical code”? • Purpose… (Charles M. Beem, M.Div., MA, CAC) • Provides a position on standards to assist members of the profession • Helps clarify the professional’s role • Assures the profession that the practices of the members will not be detrimental to its purpose or function • Assures society of the profession’s regard for social and moral expectations • Offers the professional some grounds for safeguarding his/her own privacy and integrity B. Beidel – 10.8.2009

Why an “ethical code”? • Functions… (Charles M. Beem, M.Div., MA, CAC) • Protecting clients • Providing guidance to professionals • Insuring the autonomy of professionals • Increasing and enhancing the prestige of the profession • Increasing the client’s and the public’s trust and faith in members of the profession • Identifying desirable conduct between and among professionals B. Beidel – 10.8.2009

Ethics is… • Based on choice rather than mandate • Contingent on a specific set of facts and often situational • Examples: confidentiality; management referrals; proprietary information and products • Derived from experience (“reasonable person”) • Considerate of others’ interests • Different from morality alone B. Beidel – 10.8.2009

Ethics is… • Not about law, or about policy • Not judgmental, or about the imposition of personal values (although personal values are often critical to one’s ethical decision) • Not merely a set of lofty principles which, although noble in theory, are impossible to practice B. Beidel – 10.8.2009

…but often generates the resulting Distinctions or Tensions • Law vs. ethics • Conduct vs. internalized principles • Compliance vs. integrity • Individual vs. organization – micro vs. macro B. Beidel – 10.8.2009

…and results in the following Four Common Types of Dilemmas • Truth vs. loyalty • Individual vs. community (micro vs. macro) • Short-term vs. long-term • Justice vs. mercy B. Beidel – 10.8.2009

The “Touchstones” for EA Ethical Practice… • EAP “core technology” • Professional standards of practice, e.g. EAPA, EASNA • Program accreditation standards, e.g. COA, CARF, others • EAPA Code of Ethics • EACC Code of Professional Conduct • Other professional codes of conduct, e.g. EASNA, NASW, APA, etc. • Laws, regulations, company and EAP policies • Others? B. Beidel – 10.8.2009

Act II – October 8, 2009 Exploring Ethical Decision-Making Processes • Codes of ethics or professional conduct • Consider the proposed revisions to EAPA’s Code of Ethics • Consider several decision-making models and methodologies B. Beidel – 10.8.2009

EAPA Code of Ethics • More generic in nature • Interface with the EAPA Standards • Areas of focus: • Professional Competency • Professional Conduct • Confidentiality • Conflict of Interest • Consumer Protection • Business Practices • Public Responsibility • Electronic Communication and Record Keeping B. Beidel – 10.8.2009

Proposed 2009 Revision to EAPA Code of Ethics • Preamble: Codes of Ethics Purpose • Ethical Principles: promotion of high standards • Service • Beneficence • Fidelity • Integrity • Respect for client’s rights • Competence B. Beidel – 10.8.2009

Proposed 2009 Revision to EAPA Code of Ethics (cont’d) • Areas of focus: • Responsibility to colleagues and other professionals (e.g., impairment or incompetence of colleagues; responsibility to supervisees and interns) • Responsibility to employees as clients (e.g., informed consent; privacy and confidentiality; referrals; sexual conduct;) • Responsibility as professionals (e.g., boundaries of competence) • Responsibility to employers or work organizations (e.g., contracting truthfully; accuracy in reporting utilization; billing; pricing and rate setting) • Responsibility in conducting research (e.g., informed consent; reporting results) • Responsibility to vendors and providers (e.g., selection, contracting and pricing; conflict of interest) • Responsibility to the Employee Assistance profession and broader society (e.g., public statements concerning the EA field and/or EAPA; advertising) B. Beidel – 10.8.2009

EACC Code of Professional Conduct • More specific than the EAPA Code of Ethics • Specific protocol to lodge a complaint with the EACC and for the actions of the EACC • Two primary focuses: • Section 1 – Client Bill of Rights • Section 2 – Code of Conduct B. Beidel – 10.8.2009

EACC Code of Professional Conduct (cont’d) • Section 2 – Code of Conduct • Responsibility • Competence • Moral and Legal Standards • Confidentiality • Responsibility to Colleagues • Research, Measurement & Evaluation • Professional Representation • Consulting B. Beidel – 10.8.2009

EASNA Code of Professional Conduct • Very detailed and specific • Areas of focus: • Competence • Misrepresentation • Public Statements • Client’s Informed Consent • Relation with the Client • Confidentiality and Anonymity • Client Records • Withdrawal of Services B. Beidel – 10.8.2009

EASNA Code of Professional Conduct (cont’d) • Areas of focus (cont’d): • Referrals • Relationship with other Practitioners and Professionals • Personal Relationship and Activities • Business Practices: • Pricing/Billing • Reporting • Marketing and Sales • Policies and Procedures for Processing Ethical Complaints B. Beidel – 10.8.2009

Ethical Conduct in EAP • Personal conduct • Professional conduct - business • Conduct in relation to clients B. Beidel – 10.8.2009

Ethical Conduct: Personal • Violating community standards of law/morality • Alcohol and drug abuse • Self-care • Use of knowledge from professional role for personal gain B. Beidel – 10.8.2009

Ethical Conduct: Professional • Boundaries of competence • Representation of credentials and capabilities • Referral and follow-up practices • Withdrawal of service • Fiduciary relationships – no fraud or kick-backs • Proprietary information and products B. Beidel – 10.8.2009

Ethical Conduct: Clients • Confidentiality • Management of mandatory referrals • Documentation • Informed consent • Client self-determination • Sexual relationships B. Beidel – 10.8.2009

Focusing on the right question… “ It appears to me that in Ethics, as in all other philosophical studies, the difficulties and disagreements, of which history is full, are mainly due to a very simple cause: namely, to the attempt to answer questions without first discovering precisely what question it is which you desire to answer.” - George Edward Moore (1903) B. Beidel – 10.8.2009

Focusing on the right question… B. Beidel – 10.8.2009

De-mystifying our professional ethics… (Finding a framework for making ethical decisions) Option A: EAPA’s “Ethical Decision-Making Model”(Ethical Dilemmas in Workplace Counseling: A Casebook / Jeffrey P. Christie & Marilyn Rumsey) 1. What is the potential ethical issue in this situation? • What are the competing values or interests? (“x “ vs. “y”) • What are your personal values on this issue and which ones are in conflict? • Are there any ethical guidelines (e.g. laws, corporate policies, codes of ethics, practice standards, etc.) that apply to this issue? B. Beidel – 10.8.2009

EAPA’s “Ethical Decision-Making Model” (cont’d) 2. Who are the stakeholders (any individual or group impacted by the decision – e.g. corporation/organization, employee, family members, other individuals, public, yourself)? • What are the corporate consequences or rewards? • What are the financial consequences or rewards? • What are the job consequences or rewards? • What are the key variables that would cause you to respond differently? B. Beidel – 10.8.2009

EAPA’s “Ethical Decision-Making Model” (cont’d) 3. Describe the environment in which this issue takes place (e.g. oppressive, supportive, etc.). 4. List all possible choices of action. • Which choices benefit the client? • Which choices benefit the sponsoring organization? • Which choices benefit you? • Which choices benefit society? 5. Which choice is the most ethically feasible? 6. Make your decision. B. Beidel – 10.8.2009

De-mystifying our professional ethics… (Finding a framework for making ethical decisions) Option B: Workplace “Ethical Decision-Making”(Ethical Dilemmas in Workplace Counseling: A Casebook / Diana C. Dale, D.Min., LMFT) 1. What are the facts of the case? 2. Who are the constituencies involved (stakeholders, interested parties, etc.)? 3. What are your perceived obligations to each stakeholder? 4. What principles come into play in this situation? What are the major issues? 5. What balance do you perceive? What is most important? What is the cost? B. Beidel – 10.8.2009

Workplace “Ethical Decision-Making” (cont’d) 6. What are the options or alternatives? Are there creative solutions that may have been overlooked? 7. Given your system of beliefs (ethics) and the beliefs you hold in highest esteem (values), what do you think you ought to do in this situation? What would your peers say you ought to do in this situation? 8. What concrete actions will you most likely pursue and why? B. Beidel – 10.8.2009

De-mystifying our professional ethics… (Finding a framework for making ethical decisions) Option C: An alternate “Decision-making Framework” (Markkula Center for Applied Ethics at Santa Clara University) 1. Recognize a moral or ethical issue • Could the decision be damaging to someone or some group? • Does the decision involve a choice between a good and bad alternative, or perhaps two “goods”…or two “bads”? • Does the issue go deeper than what is legal? If so, how? B. Beidel – 10.8.2009

Markkula Center for Applied Ethics (cont’d) 2. Get the facts • What are the relevant facts of the case/situation? • What facts are not known? Can I learn more? Do I know enough to make a decision? • What individuals/groups have an important stake in the outcome? • What is at stake for each? • What are the options for acting? • Have all the relevant individuals/groups been consulted? B. Beidel – 10.8.2009

Markkula Center for Applied Ethics (cont’d) 3. What individuals/groups have an important stake in the outcome? • What is at stake for each of them? B. Beidel – 10.8.2009

Markkula Center for Applied Ethics (cont’d) 4. Evaluate the alternative actions from various moral perspectives • Which option does most good, and least harm? (utilitarian) • Which option respects the rights and dignity of all stakeholders? (rights) • Will everyone be treated fairly or equally? (fairness/justice) • Which option best serves the community? (common good) • Which option deepens or develops the virtues or character traits that we value as individuals/profession/society? (virtue) B. Beidel – 10.8.2009

Markkula Center for Applied Ethics (cont’d) 5. Make a decision and test it • Considering these perspectives, which option best addresses the situation? • If you told someone you respect why you chose this option, what would they say? • Would you like to see it on 60 Minutes? • How would your mother react to your decision? “An act has no ethical quality whatever unless it is chosen out of several all equally possible.” - William James (1890) B. Beidel – 10.8.2009

Markkula Center for Applied Ethics (cont’d) 6. Act, then reflect on the decision and outcome • How can the decision be implemented with the greatest care and attention to the concerns of stakeholders? • If you had to do it over again, what, if anything, would you do differently? • How did the decision turn out and what have we learned from this specific situation? • What information, if you had it, might cause you to change your action? B. Beidel – 10.8.2009

De-mystifying our professional ethics… (Finding a framework for making ethical decisions) Option D: Charles L. Beem – Ethics and the EAP Manager 1. Decide the parameters of the situation. 2. Define the potential issues involved. 3. Evaluate the rights, responsibilities and welfare of the affected parties. 4. Consult the guidelines, if any, already available that might apply to the resolution of each issue. 5. Generate the alternate decisions possible for each issue. B. Beidel – 10.8.2009

Charles L. Beem – Ethics and the EAP Manager (cont’d) 6. Enumerate the consequences of making each decision. 7. Present any evidence that the various consequences or benefits resulting from each decision will actually occur. 8. Make a decision. 9. Assume responsibility for the consequences of the decision/action, including correcting any negative consequences, or re-engaging in the decision-making process if the ethical issue is not resolved. B. Beidel – 10.8.2009

So, in short, consider the following as you work through your dilemmas: • Facts / issues • Stakeholders • Environment / context of dilemma • Options / alternatives • Most ethically feasible choice • Decide • Act / review B. Beidel – 10.8.2009

So, where do our ethical issues or situations come from? • Confidentiality problems • Issues of informed consent • Exploitation of clients • Conflicts of interest/loyalty conflicts • Personal behavior/conduct/competence of EA professional • Business practices/fiduciary relationships • Whistle-blowing • Others? B. Beidel – 10.8.2009

And finally…what is the future of EA ethics? • Our personal stake in the future of our profession • Academic preparation balanced with that vital on-the-job experience • Mentoring as a critical “ethical development” function • Internships • CEAP advisement • Our personal and ongoing ethical “tune-up” B. Beidel – 10.8.2009

Some personal thoughts… • Ethical dilemmas are best solved through a group process • The ethical decision-making model/ framework provides a route through the “ethical maze” • What would your mother think or do in this situation? • Are you willing to have your decision exposed to the “light of day”? (the 60 Minutes principle) B. Beidel – 10.8.2009

What did you think of today? B. Beidel – 10.8.2009

Act III – November 12, 2009 Experiencing the Decision-Making Process • Ethical dilemmas and scenarios to work through • Some further resources/references • Issues or dilemmas for consideration: b.beidel@att.net 202-225-2400 B. Beidel – 10.8.2009

Ethics for the Employee Assistance Professional: Act II