Professional Documents
Culture Documents
Legal confidentiality
Lawyers are often required by law to keep confidential anything pertaining to the representation of a
client. The duty of confidentiality is much broader than the attorney-client evidentiary privilege, which
only covers communications between the attorney and the client.
Both the privilege and the duty serve the purpose of encouraging clients to speak frankly about their
cases. This way, lawyers will be able to carry out their duty to provide clients with zealous
representation. Otherwise, the opposing side may be able to surprise the lawyer in court with something
which he did not know about his client, which makes both lawyer and client look stupid. Also, a
distrustful client might hide a relevant fact which he thinks is incriminating, but which a skilled lawyer
could turn to the client's advantage (for example, by raising affirmative defenses like self-defense).
However, most jurisdictions have exceptions for situations where the lawyer has reason to believe that
the client may kill or seriously injure someone, may cause substantial injury to the financial interest or
property of another, or is using (or seeking to use) the lawyer's services to perpetrate a crime or fraud.
In such situations the lawyer has the discretion, but not the obligation, to disclose information designed
to prevent the planned action. Most states have a version of this discretionary disclosure rule under
Rules of Professional Conduct, Rule 1.6 (or its equivalent).
A few jurisdictions have made this traditionally discretionary duty mandatory. For example, see the
New Jersey and Virginia Rules of Professional Conduct, Rule 1.6.
In some jurisdictions the lawyer must try to convince the client to conform his or her conduct to the
boundaries of the law before disclosing any otherwise confidential information.
Note that these exceptions generally do not cover crimes that have already occurred, even in extreme
cases where murderers have confessed the location of missing bodies to their lawyers but the police are
still looking for those bodies. The U.S. Supreme Court and many state supreme courts have affirmed
the right of a lawyer to withhold information in such situations. Otherwise, it would be impossible for
any criminal defendant to obtain a zealous defense.
California is famous for having one of the strongest duties of confidentiality in the world; its lawyers
must protect client confidences at "every peril to himself or herself." Until an amendment in 2004,
California lawyers were not even permitted to disclose that a client was about to commit murder.
Recent legislation in the UK curtails the confidentiality professionals like lawyers and accountants can
maintain at the expense of the state. Accountants, for example, are required to disclose to the state any
suspicions of fraudulent accounting and, even, the legitimate use of tax saving schemes if those
schemes are not already known to the tax authorities.
Confidentiality.
You are a bachelor level human services professional working as a therapeutic aide (mental health
technician) in a community mental health center where you have a client who is 17. He reveals that he
has a baby on the way with his current girlfriend; he asks you not to tell his parents about this. He lives
with his parents and the girl lives with her parents - she has already told her parents and is receiving
pre-natal care through her doctor, but she has refused to name the father. What factors would you need
to know/consider to assist the client and address confidentiality issues? Would you consider breaking
his confidentiality to his parents? To his girlfriend's parents?
Mr. Zenner adheres to the Professional Code of Conduct for his practice which is
formulated by the Louisiana Licensing Board of Examiners, which governs his
practice. In addition, Mr. Zenner adheres to the Code of Ethics of the National
Association of Social Workers.
A client is anyone who makes contact with anyone on the staff, even one time, for the
purpose of personally seeking mental health information, referrals, counseling,
advocacy, and the like. The contact may be indirect, such as a phone contact, or direct,
like face-to-face.
We regard confidentiality in all matters concerning clients as essential to providing any
services and as the legal and ethical responsibility of all personnel associated with our
office. Observing client's confidentiality protects the safety, well-being and confidence
of people we serve. It also honors the trust which a client places in our personnel and in
Acadiana Counseling as a whole.
Confidentiality applies to any contacts with a client as well as to written client records,
documents, and/or files. Unless written authorization for the release and/or exchange of
confidential information is given, no knowledge of or revealing information about the
client may be shared outside the office. This written consent may be given by an adult
client or the parent/guardian of a minor client. Within the office, information-sharing
about a client is limited to what is necessary to providing coordinated, effective services
to the client.
There are legal exceptions to the rule of confidentiality. One exception occurs in the
case of suspected or acknowledged child abuse. State law identifies the obligation to
report cases of child abuse is encountered in the course of duty. The law outlines the
legal consequences of failure to report and also provides protection for the reporter
unless the information if given maliciously or without reasonable grounds for
suspicion. Reports of suspected or known child abuse will be made to the Louisiana
Office of Human Development. In making such reports, whatever information
necessary to the allegation of child abuse will be given. Another exception relates to life
threatening situations. The law requires a report to law enforcement of knowledge from
a client of serious intent to harm others or if someone is a real danger to her or his own
self. Reports of this type will be made in compliance with the law and only necessary
client information would by revealed in such reports.
Statutory Duties
Every state provides that certain conditions are reportable to prosecuting authorities. For example, in
Illinois, gunshot injuries are reportable conditions. Every physician who comes to treat a gunshot
wound must report the injury to a local law enforcement agency. The logic of this duty is that it is better
for society to know who is being injured by guns than to have that information shielded as a matter of
individual medical records. In effect, this kind of reporting duty presumes that every gunshot injury
involves a crime until proven otherwise.
In fact, Illinois statute provides that physicians are obliged to report any injury sustained in the
commission of a crime or any injury sustained as the result of a crime. For example, physicians are
obliged as a matter of statute to report the sexual abuse of children and the physical abuse of elderly
people.
So strongly is the view held that child abuse must be reported that Illinois statutes go to great length to
impose a duty to report on a very broad class of people who may come into contact with injured
children: physicians, residents, interns, hospitals, hospital administrators, surgeons, dentists, dental
hygienists, chiropractors, podiatrists, substance abuse treatment counselors, Christian Science
practitioners, coroners, medical examiners, crisis hotline personnel, truant officers, social workers,
nurses, licensed practical nurses, nursery school directors, and so on.
In Illinois, these reports are ultimately filed with the Department of Children and Family Services,
though they may be filed by way of local law enforcement agencies.
Reporting instances of suspected abuse may require physician testimony in court, as to the nature and
extent of the injuries and their probable origin. Certain statements made by patients in these
circumstances may be admissible in court even if they constitute hearsay. That is, the patient may tell
the physician how he or she came to have the injuries in question, and the physician may be called
upon to report those statements to a court even though the physician was not a witness to the
circumstances and has no independent ability to confirm whether those statements are accurate or not.
Physicians are liable with both criminal and civil penalties failure to report injuries specified by statute.
Physicians who fail to refer will also be referred to the state medical disciplinary board for
consideration of the effect of their failure on their medical license to practice.
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Court Order
Patient records may sometimes be opened to public scrutiny by reason of a court order. For example,
the investigation of a physician for criminal activity may require prosecutors to examine that
physician’s records. For example, a Maryland physician was using his own sperm in inseminating
women patients, but he had represented that sperm as coming from a donor sperm bank. A court order
permitted a full examination of the relevant records in this case. A court may also permit prosecutors to
examine the medical record of a patient who is being investigated for criminal wrong-doing. In these
instances, the courts have concluded that an important public good is served by the breach of
confidentiality.
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Legal Defense
Should a patient or other party accuse a physician of criminal or civil wrong-doing, every state has
some provision for the introduction of patient records into the defense of the physician. For example, if
a patient accuses a physician of failure to diagnose and treat a particular condition, the physician is
entitled to use documents regarding the diagnosis and treatment of that patient in defense proceedings.
These state provisions rectify what had been a problem in some jurisdictions earlier in the century,
namely the claim that because medical records were confidential they could not be used in court
proceedings.
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Study Questions
1. Would Dr. Fullerton be within his rights to conduct a paternity test on the child without
consulting Mr. Robertson?
2. If Dr. Fullerton did conduct a paternity test, would he be within his rights to withhold the test
results from Mr. Robertson?
3. What, if any, genetic tests should Dr. Robertson be running on this child, and which parent has
entitlement to the results of those tests?
4. Could Dr. Fullerton decline to offer any paternity tests or genetic tests to the child?