Ethics: Elevating Ethical Awareness & Decision-Making for the EA Professional

Transcription

1 Ethics: Elevating Ethical Awareness & Decision-Making for the EA Professional Bernard Beidel, M.Ed., CEAP Alabama Chapter s Annual Conference May 6, 2016

2 Acknowledgements Created by 2007 Ethics Subcommittee 2015 Ethics Education Panel Marilyn Rumsey, Chairperson Stephanie Beer Mark Cohen Jan Paul Jeff Christie Bob Johnson Dave Sharar Henri Menco Rebecca Williams Lisa Cooper-Lucas Henri Menco Judy Cantwell David Nix Bernard Beidel Jan Price 2

3 Goals To apply an ethical decision making process to employee assistance (EA) practice in areas such as: Multiple relationships (a core feature of EA practice) Client organization Employee clients Confidentiality within an EAP framework 3

4 Goals To provide some background to the general consideration of ethics and particularly its application in the EA field To consider some of the fundamental elements that comprise that framework To review some initial recommended elements for an EA ethic s toolkit To consider several models for ethical decisionmaking and identify one for your personal use 4

5 Goals Role of consultation in maintaining ethical practice Importance of professional association participation Boundaries/conflicts of interest Conflicting expectations of organizational & individual clients Ethical considerations when making referrals Distinction between ethical and legal issues Ethical Issues in EAP business practices 5

6 Objectives To educate EA Professionals on the role and significance of ethics in professional practice To identify the underlying tenets and codes of ethics relevant to EA practice To equip EA Professionals with tools and resources to support ethical decision-making 6

7 Ethics Your Perspective How do you know when you are dealing with an ethical dilemma or situation? 7

8 Ethics Your Perspective How do you define ethics or an ethical situation? Your most challenging ethical dilemma? 8

9 Ethics a Definition (two critical elements) Ethics is the discipline concerned with the evaluation of human conduct that is, with determining that which is right or wrong about human choices; the decisions, choices and actions we make that reflect and enact our values The study and development of one s ethical standards The moral element (#1) 9

10 Ethics a Definition (two critical elements) The principles/standards of conduct governing an individual or a profession (standards supported by consistent and well-founded reasons) tells us how human beings ought to act in situations in which they find themselves The mark of a profession The normative element (#2) 10

11 Ethics a Definition (a simpler approach) An ethical dilemma is the collision of two moral values (noble vs. noble; or noble vs. ignoble) where benefit or harm to another may result: Based on choice rather than mandate Based on the facts of the situation at hand can be very situational Examples? Leading to and requiring a decision 11

12 Ethics a Definition (a simpler approach) A set of principles to which one aspires or A set of prescriptions whose primary function is to keep one out of trouble 12

13 Some Inherent Challenges Disagreements on ideals Disagreements on definitions and facts Disagreements on appropriate behaviors or the application of one s ideals Focused on absolute or universal truth vs. the consequences of one s actions Examples? 13

14 and the Resulting Tensions or Distinctions Law vs. ethics Conduct vs. internalized principles Compliance vs. integrity Individual vs. organization micro vs. macro; EAP vs. company? Examples? 14

15 Importance of YOUR Perspective A further distinction between What s required by your organization s or association s policy or code And what is required by doing your best Aspirational ethics 15

16 Some of the EAP Challenges Being Encountered Along the Way Expansion of the EAP service delivery continuum Erosion of our foundation and our unique frame of reference The challenge of proving our value and the blurring of EAP for our customers and consumers No two EAPs are the same Neither are their host (company) or contracting organizations 16

17 Some of the EAP Challenges Being Encountered Along the Way Emerging technologies in the EAP field Growing complexity of ethical dilemmas in: EAP field? Business community? Society in general? The formation and development of the EA professionals of the future 17

18 Some Rooted in our History Our emergence as a profession, largely experienced based and made up of multiple disciplines The role of the EAP Core Technology (our unique body of knowledge ) The development and continuing evolution of our EAP Professional Standards Certification of EA professionals The evolving and changing model(s) of EA service delivery Other current and future influences on our ethical landscape? 18

19 And Some Arising from the Continuing Evolution of our Profession / Field EAP accreditation from practitioner focus (certification) to program focus Technological advances and related challenges (e.g., telephone counseling, online, Internet, Skype, video conferencing, etc.) Impact of integrated service delivery models, where EA is often part of a larger network of services (e.g., interface with wellness, etc.) Privacy and confidentiality issues not specific to EA practice (e.g., HIPAA, Privacy Act, etc.) Further regulatory developments? 19

20 Purpose of Professional Codes Practitioner s Behavior and a Profession s Identity A profession s identity is built upon the cumulative effect of the practitioner s behavior 20

21 Employee Assistance Definition ( 2003) Employee Assistance is the work organization's resource that utilizes specific core technologies to enhance employee and workplace effectiveness through prevention, identification, and resolution of personal and productivity issues. 21

22 Employee Assistance Definition ( 2003) In general, an EAP is a set of professional services specifically designed to improve and/or maintain the productivity and healthy functioning of the workplace and to address a work organization s particular business needs through the application of specialized knowledge and expertise about human behavior and mental health. 22

23 Your Assessment of the EAP Field? What issue do you see having the highest prevalence for an ethical dilemma in the EAP field? Prevalence in the EAP field today? Prevalence in your personal EAP experience? Prevalence in the EAP field in the next 5 years? Issue you feel least equipped to face? 23

24 Purpose of Professional Codes The Fundamental Tenets: Foster Good (Benevolence; Beneficence) Do No Harm Resolve controversial issues Codes of ethical conduct date back to at least 400 B.C. (Hippocratic oath) 24

25 The Touchstones for EA Ethical Practice EAP core technology Professional standards of practice, e.g., EASNA Program accreditation standards, e.g. COA, CARF, others Code of Ethics EACC Code of Professional Conduct Other professional codes of conduct, e.g. EASNA, NASW, APA, etc. Laws, regulations, company/organization s and EAP s policies Others? 25

26 EA Professional Codes Code of Ethics revised 2009 Voluntary CEAP Code of Conduct (EACC) revised 2010 & 2011 (Section II, A & C) Client s Bill of Rights: Complaint, investigation, hearing, adjudication 26

27 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 27

28 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 28

29 Ethics and Morality Ethics: the study of moral behavior Normative ethics: norms or standards of conduct (e.g., ethical codes) 29

30 Ethics Frameworks Utilitarian approach Rights approach Fairness approach Common Good approach Virtue approach 30

31 Ethics Frameworks Utilitarian approach (Jeremy Bentham UK legal reformer in 18 th -19 th century) Calculating Consequences the morally right course of action in any situation is the one that produces the greatest balance of benefits over harms for everyone affected Asks: Will this produce the best outcomes for everyone? Are we maximizing good and minimizing harm for everyone affected? 31

32 Ethics Frameworks Rights approach (Immanuel Kant 18 th century philosopher; American Constitution) Rights a justified claim on others Kant maintained that each of us has a worth or dignity that must be respected. This dignity makes it wrong for others to abuse us or use us against our will. He saw this as a moral principle: humanity must always be treated as an end, not merely as a means. Asks: Are we respecting human rights? 32

33 Ethics Frameworks Fairness approach (Plato; Aristotle) Justice and Fairness justice means giving each person what he or she deserves or, in more traditional terms, giving each person his or her due. Justice and fairness are closely related terms that are often today used interchangeably. Asks: Is this a fair distribution of benefits and burdens? 33

34 Ethics Frameworks Common Good approach (Plato; Aristotle; Cicero; John Rawls contemporary ethicist) Common Good certain general conditions that are equally to everyone s advantage. The sum of those conditions of social life which allow social groups and their individual members relatively thorough and ready access to their own fulfillment. Asks: Are we doing our part to look out for the common good in this situation? 34

35 Ethics Frameworks Virtue approach (Immanuel Kant) Ethics and Virtue the fundamental question of ethics is, What should I do? or How should I act? Ethics is supposed to provide us with moral principles or universal rules that tell us what to do. Everyone is obligated to do whatever will achieve the greatest good for the greatest number. Asks: Does this action represent the kind of person I am or want to be? Does it represent my organization s reputation or vision of the kind of enterprise it wants to be? 35

36 Ethics Definitions Ethical dilemma: the collision of two values; benefit or harm may result 36

37 Ethics is Based upon choice rather than mandate Contingent on a specific set of facts contextual; situational Derived from experience ( reasonable person ) Consideration of all others with legitimate interests 37

38 Ethics is Not about law, or about policy Choosing between two goods or the lesser of two evils Not judgmental or imposition of personal values 38

39 Ethics Differs From Law Ethics are rules of conduct. Laws are rules developed by government in order to provide balance in society and protection to its citizens. Ethics comes from people s awareness of what is right and wrong. Laws are enforced by government in governing its people. 39

40 Ethics Differs From Law Ethics are moral codes to which every person/association/group is asked to conform. Laws are codifications of ethics meant to regulate society. Ethics may not carry any punishment to anyone who violates it. The law will punish anyone who happens to violate it. 40

41 Ethics is Not the same as feelings Not solely about following the law, or about policy Not religion Not science Not about following culturally accepted norms 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 41

42 Ethical Principles Service Beneficence Fidelity Integrity Respect for client s rights Competence Non-malfeasance Confidentiality 42

43 Code of Ethics (2009) Areas of focus: 1. Responsibility to colleagues and other professionals (e.g., impairment or incompetence of colleagues; responsibility to supervisees and interns) 2. Responsibility to employees as clients (e.g., informed consent; privacy and confidentiality; referrals; sexual conduct; delivery of services via telephone or other remote technologies) 3. Responsibility as professionals (e.g., boundaries of competence) 4. Responsibility to employers or work organizations (e.g., contracting truthfully; accuracy in reporting utilization; billing; pricing and rate setting) 43

44 Code of Ethics (2009) Areas of focus: 5. Responsibility in conducting research (e.g., informed consent; disclosure of sponsors; avoiding plagiarism; reporting results) 6. Responsibility to vendors and providers (e.g., selection, contracting and pricing; conflict of interest; non-discrimination) 7. Responsibility to the employee assistance profession and broader society (e.g., public statements concerning the EA field and/or ; advertising, marketing, representation and other public statements) 44

45 EACC Code of Professional Conduct More specific than the Code of Ethics Important Distinction from 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 45

46 EACC Code of Professional Conduct Section 2 Code of Conduct Responsibility Competence Moral and Legal Standards Confidentiality Responsibility to Colleagues Research, Measurement & Evaluation Professional Representation Consulting 46

47 Responsibilities of the Employee Assistance Professional To colleagues and other professionals To employees as clients As professionals To employers or work organizations In conducting research To vendors and providers To the employee assistance profession and broader society 47

48 Ethical Decisions are Situational Things to consider: Confidentiality Informed consent Greater well-being of society and the workplace Avoiding harm Colleague impairment and work with clients Professional responsibilities, such as seeking consultation 48

49 Ethical Conduct in EA Practice Personal conduct Professional conduct Conduct in relation to clients 49

50 Ethical Conduct: Personal Violating community standards of law/morality Alcohol and drug use Self-care Use of knowledge from professional role for personal gain 50

51 Ethical Conduct: Professional Boundaries of competence Representation of credentials Referral and follow-up practices Withdrawal of service Proprietary information and products 51

52 Ethical Conduct: Clients Confidentiality Management of mandatory or formal referrals Documentation Informed consent 52

53 Ethical Decision-Making Model 1. What are the potential ethical issues 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 (laws, corporate policies, codes of ethics, practice standards, etc.) that apply to this issue? 2 Who are the stakeholders? (i.e., any individual or group impacted by or with a legitimate interest in the decision, e.g., the corporation, employee, family, public, yourself) 3. List all possible choices of action Which choice benefits the client? Which choice benefits the sponsoring organization? Which choice benefits you? Which choice benefits society? 4. Make your decision 53

54 Six Steps to PLUS Ethical Decision Making Model Step 1: Define the problem Step 2: Identify alternatives Step 3: Evaluate the alternatives Step 4: Make the decision Step 5: Implement the decision Step 6: Evaluate the decision 54

55 Consider the Following as You Work Through the Case Studies Facts / issues Stakeholders Environment / context of dilemma Options / alternatives Most ethically feasible choice Decide Act / review 55

56 Ethics Decision-Making Worksheet DESCRIPTION OF ISSUE / INCIDENT / SITUATION FACTS / ISSUES STAKEHOLDERS ENVIRONMENT / CONTEXT OPTIONS MOST ETHICALLY FEASIBLE CHOICE DECISION ACTION / REVIEW 56

57 Some Helpful Guidelines to Evaluate Your Decision-Making Process Do you have all the information is it correct and complete? Do you know who the stakeholders are? Are there any ground rules to follow? Have you weighed all the options and possible actions? Have you balanced those actions with applicable laws, standards, codes, values, principles, ground rules? 57

58 Some Helpful Guidelines to Evaluate Your Decision-Making Process How will your planned course of action stand up under scrutiny? Has any precedent already been set is it good or are you setting one of your own? Any short or long-term risks for the organization? Will all parties follow through on the action? What specific steps must be carried out? (Source: Guidelines and Cases to Resolve Ethical Dilemmas in Business, Larry L. Axline, 1996) 58

59 CASE STUDIES 59

60 Support for Ethical Decision Making Normative ethics involves personal discussion and interaction with others including sharing experiences and concerns with: Workplace Associates Workplace Supervisor Professional Association Colleagues chapter/branch members 60

61 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 61

62 And a few final Personal Thoughts Ethical dilemmas are best solved through a group process Don t worry alone! (Henri Menco) 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) The value of that final question What, if you knew it, might prompt you to make a different decision? 62

63 Summary Codes of ethics, or conduct help define a profession Ethics is the study of moral decision making Ethics differs significantly from law and policy statements Ethical dilemmas are created by two opposing values, principles, interests, etc. The value of a decision-making model and group process 63

64 Thank you for participating! Bernard E. Beidel, M.Ed., CEAP Director, Office of Employee Assistance U.S. House of Representatives (Direct)