2013 National Code of Ethics for Case Management

National Code of Ethics for Case Management Case Management Society of Australia Authors : Frieda Marfleet and Scott WT Trueman

COPYRIGHT © 2013 Case Management Society of Australia (“CMSA”). Previous editions copyrighted 2012.

All rights reserved. Apart from fair dealing for the purpose of study, research, criticism and review as permitted by the Copyright Act 1968, no part of these materials may be reproduced, modified, or reused or redistributed for any commercial purpose, or distributed to a third party for any such purpose, without the prior written permission of CMSA. Any permitted reproduction including fair dealing must acknowledge CMSA as the source of any such material reproduced and any reproduction made of the material must include a copy of this original notice. Published by the Case Management Society of Australia Limited.

Email: cmsa@cmsa.org.au Website: www.cmsa.org.au ISBN: 978-0-646-58328-0

TABLE OF CONTENTS

Purpose Statement of the Profession of Case Management ..................... 1

Scope and Purpose of the Case Management Code of Ethics .................... 1

Interpretation of the Code of Ethics ..................................................................... 1

Application of the Code of Ethics ........................................................................... 1

Incorporating the Code of Ethics ............................................................................ 1

Diagram 1 Application of the Code of Ethics for Case Management........ 2

Diagram 2 Putting Case Management Values into Action............................ 3

Case Management Values ......................................................................................... 4

Case Management Principles ................................................................................... 4

Case Management Practice and Conduct ............................................................ 5

Framework for Ethical Decision Making ............................................................... 9

Ethical Questions for Decision Making ...............................................................10

Definitions .....................................................................................................................11

References ....................................................................................................................12

PURPOSE STATEMENT OF THE PROFESSION OF CASE MANAGEMENT

INTERPRETATION OF THE CODE OF ETHICS

The profession of case management recognises the inherent rights of Clients to professional and effective case management services. Case Managers endeavour to provide quality, efficiency and effectiveness in case management services for Clients, the community, service and funding providers. Case Managers strive to support Clients in maximizing their quality of life. This is achieved through implementation of the guiding principles of the Case Management Society of Australia (CMSA) as outlined in the CMSA National Standards of Practice for Case Management.

In this Code unless the contrary intention appears: • words in the singular include the plural and words in the plural include the singular; • where any word or phrase is given a defined meaning, any other form of that word or phrase has a corresponding meaning; • headings are for convenience only and do not affect interpretation of the Code; and • where a reference is made to the Client this may also refer to the Client representative.

APPLICATION OF THE CODE OF ETHICS

SCOPE AND PURPOSE OF THE CASE MANAGEMENT CODE OF ETHICS

This Code applies to the conduct of Case Managers and commits members to comply with the ethical standards of the Code. A lack of awareness or misunderstanding of the Code of Ethics is not of itself a defence to an allegation of unethical conduct.

This Code of Ethics binds each member of CMSA (irrespective of membership status and/or classification) in the belief that in so doing it advances the profession of case management. This is achieved by embedding ‘professional responsibility’ into case management and an ethically uniform approach to case management practice. CMSA members make a commitment to read, understand, utilise and apply this Code of Ethics within all professional interactions. This commitment is renewable through annual membership and/or undertaking any certification processes of the CMSA. The Code of Ethics includes: • the Code of ethical practice and professional conduct expected of Case Managers by their colleagues, employer and society. The Values, Principles and Code of Ethics collectively and demonstratively support Case Managers to demonstrate professionally acceptable behaviour and forge a leadership role in managing ethical issues in the practice of case management. This Code is not intended to detract from any responsibilities which may be imposed by law or regulation. In applying the requirements outlined in this Code, Case Managers shall be guided, not merely by the words, but also by the spirit of this Code. • the Values of the case management profession; • the Principles that guide ethical decisions; and

INCORPORATING THE CODE OF ETHICS

The CMSA supports the use of this publication as a resource for member organisations to incorporate the content of the Code of Ethics into position descriptions, performance appraisals, performance management and policy and procedures specific to the case management role.

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National Code of Ethics for Case Management

APPLICATION OF THE CODE OF ETHICS FOR CASE MANAGEMENT

Acting professionally and with integrity is a Case Manager’s core responsibility. Treating and supporting Clients with respect are central tenants to case management. Advancing the profession of case management through ethical practice and professional conduct. Considering the ethical dimensions of all actions. These are CMSA’s core beliefs expressed in CMSA’s Code of Ethics.

How Case Managers present themselves Case Managers investing in relationships

What it’s like to work as a Case Manager Case Managers share and collaborate

Identity

Experience

What we stand for

Competency

What Case Managers are good at Case Managers investing in relationships

Culture

How Case Managers behave Individually and as a profession

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PUTTING CASE MANAGEMENT VALUES INTO ACTION

Values, Principles And Ethics - professionalism, teamwork, leadership and excellence

Professionalism Collective representation delivers superior results. Uniform competencies ensures best practice.

Develop Teamwork The best outcomes are achieved from working together with colleagues and Clients. Effective teamwork requires relationships, respect and sharing.

Professionalism

Inspired Leadership Leading care to Clients and community through leadership. Leadership demands knowledge, skill and integrity.

Teamwork

Leadership

Excellence

Achieve Excellence Delivering on promises and adding value beyond what is expected. To achieve excellence through learning and innovation.

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1.7 Loyalty Loyalty means being faithful and loyal to those with whom one has dealings. This means safeguarding the ability to make independent professional judgments by scrupulously avoiding undue influence and conflicts of interest. 1.8 Fairness Fairness means being open-minded, willing to admit an error, not overreaching or taking undue advantage of another’s adversities, avoiding arbitrary or capricious favouritism. It means treating people equally and making decisions based on notions of justice. 1.9 Respect Respect for others means recognising each person’s right to privacy and self-determination and having respect for human dignity. It means being courteous, prompt, decent and providing others with information they need to make informed decisions. Case Managers identify, acknowledge, adhere to and implement the four (4) foundational Principles which underpin ethical conduct. The following foundational Principles apply to decisionmaking in case management. 2.1 Beneficence Beneficence is a principle of positive obligation to not act in ways which are detrimental to Clients and others. Beneficence requires Case Managers to act in the best interests of their Clients. Case Managers benefit their Clients and others through their conduct, actions and professionalism. 2.2 Non-malfeasance Non-malfeasance is a principle to refrain from providing ineffective treatments or acting with malice toward Clients. Case Managers prevent and do not knowingly cause harm to their Clients and others (“above all do no harm”). 2.3 Social Justice Case Managers strive to provide Clients with access to services and resources consistent with their need(s). Justice is the principle for consideration when attempting to make decisions about competing interests, or allocation of resources. In dealing with and/or acting for Clients and others, Case Managers adhere to fairness at all times. 2. CASE MANAGEMENT PRINCIPLES

1. CASE MANAGEMENT VALUES

The Values apply to interactions and communications with Clients, colleagues, professionals (health and otherwise), society and between Case Managers themselves. The Values identify and commit to quality outcomes for Clients, appropriate use of resources, and the empowerment of Clients in a manner that is supportive and objective. The Values reflect a belief that case management is a means for improving Client health, wellness and autonomy through advocacy, communication, education, identification of service resources, and service facilitation and a recognition of the dignity, worth and rights of all people (necessarily including Clients). 1.1 Integrity Integrity means using independent judgment and avoiding conflicts of interest, restraining from self-aggrandisement and resisting economic pressure. It means being faithful to one’s deepest beliefs, acting on one’s conviction and not adopting an ends-justifies-the-means philosophy that ignores principle. 1.2 Caring Caring means treating people as ends in themselves, not as a means to an end. It means having compassion, treating people courteously and with dignity, helping those in need and avoiding harm to others. 1.3 Honesty Honesty means being truthful, not deceiving, misleading or distorting. Deceptions undermine the capacity for open exchange and erode credibility. 1.4 Accountability Accountability means accepting the consequences of one’s actions and accepting the responsibility for one’s decisions and their consequences. This means setting an example for others and avoiding even the appearance of impropriety. 1.5 Promising Keeping a promise means keeping one’s commitments. When promises have been made, they are supported by the fact that the obligation to keep promises is among the most important of generally accepted obligations. Promises and agreements with stakeholders create expectations of performance and establish obligations. 1.6 Pursuit of excellence Pursuit of excellence means striving to be as good as one can be. It means being diligent, industrious and committed. It means being well informed and well prepared. It is not enough to be content with mediocrity, but it is also not a right to win “at any cost”.

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2.4 Autonomy Autonomy is the principle to support the individual to be free from both controlling interferences by others and from personal limitations that prevent meaningful choice. Autonomous individuals act intentionally, with understanding, and without controlling influences. At all times Case Managers respect the rights of Clients to self-determination and autonomy. 3. CASE MANAGEMENT PRACTICE AND CONDUCT Case Managers commit to ethical practice that guides their professional conduct. Case Managers have a duty in their ethical practice and professional conduct to: • Clients and the Community; • their Employer; • the Profession of Case Management; and • their Colleagues. 3.1 Duties to Clients and the community 3.1.1 Consent Case Managers obtain informed consent from Clients (or lawfully designated others acting on behalf of the Client) by providing the Client with all of the relevant information, allowing sufficient time and/or opportunity for the Client to consider the material, provide and explain reasonable options and/or alternative courses of action or services and any potential negative consequences or results (which are reasonably foreseeable). In the process of obtaining consent, Case Managers never engage in misleading, deceptive, oppressive, undue pressure or unconscionable conduct. Case Managers ensure that Clients understand the principle of informed consent and the circumstances in which it may be required. Where Clients have limited capacity to comprehend or give informed consent, Case Managers will provide information in accordance with the Clients’ level of understanding and/ or language. Informed consent will be obtained in writing, from the Client or representative, prior to the commencement of services; except in the most rare and exceptional circumstances. Case Managers advise Clients that their informed consent may be withdrawn at any time. 3.1.2 Accurate and timely information Case Managers ensure that Clients and others receive accurate, current, complete and non-misleading information in a timely manner. This relates to, but is not limited to, information concerning:

• the nature, type and extent of the services available to Clients and any consequences of utilising these services; • the commitment and obligations required of the Client; • Client and others rights; and • financial and/or fees for case management services and other associated costs. Case management services and advice is grounded in best evidence practice and/or evidence based practice. Any promotional, advertising or informational materials must be accurate, not misleading and reflect positively on the profession of case management. 3.1.3 Professional Competence Case Managers make sure that on all occasions they meet the Case Managers maintain their competencies to practice in a professional manner and fashion. In particular, Case Managers: • continually monitor, update and add to their professional knowledge and skills through professional development, and/or adhering to the principles of lifelong learning; • communicate to other team members and colleagues in a timely manner so as not to bring disadvantage to Clients; • ensure that Clients receive appropriate services, advice and referrals to enable them to receive professional treatment, services and resources in a timely manner; • do not practice beyond their scope of practice; • keep and maintain current and accurate documentation, correspondence and recordings; and • comply with CMSA`s National Standards of Practice for Case Management. 3.1.4 Confidentiality In the course of acting for Clients and others and in providing professional services, Case Managers shall treat all information as confidential, unless otherwise required by law. Case Managers shall inform the Client about the limits of confidentiality in a given situation, the purposes for which information is obtained, and how it may be used. Case Managers shall obtain informed consent from the Client before the commencement of providing services. Case Managers shall not discuss, gossip or identify a Client outside of their work environment. Case Managers do not disclose information about Clients, or confidences made by Clients and others, unless: • Client’s consent is in existence; • required by law; or • there exists compelling and overwhelming moral and ethical reasons for disclosure. highest standards of professional competence. Undertakings to Clients are honoured and fulfilled.

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3.1.5 Records Case Managers will record information impartially, accurately and only report essential and/or relevant details. When, and if, records are required to be shared/disclosed across professions or agencies, information will be recorded/ disclosed only to the degree and/or extent that it reasonably addresses/supports/advances the Clients’ needs and meets the essential requirements of those to be notified. In such communications, whether verbally, via post or electronically, the protection of the Clients privacy is paramount. Case Managers will protect Clients’ records, store them securely and, where applicable, retain them for any required statutory period. When destroying or disposing of confidential records, data and information, paper files will be shredded and electronic records will be cleared and deleted, in accordance with any relevant organisational/employer and/or legal guidelines. 3.1.6 Client Relationships Case Managers shall possess and maintain integrity, fidelity and dignity in their professional relationships. Case Managers do not exploit, manipulate or take advantage of relationships with Clients or others for any gain and/ or benefit, whether tangible or not (emotional, sexual or financial). Case Managers shall not attempt in any way to influence a Clients choice of Case Manager or service provider. Case Managers shall cooperate with colleagues to promote At all times CaseManagers are committed and strive to ensure equity of access to services, resources and advice for Clients. Equity being determined by the objective consideration of need and not compromised by prejudice or favour. Case Managers evaluate their services and provision of resources on an ongoing basis to ensure that they are as efficacious as reasonably possible. Services, resources and advice is recommended and/or provided only if Clients and others can reasonably expect to benefit from their provision. Advocacy, for and on behalf of Clients, for services and resources is on the basis of identified needs and/or service/ resource gaps and never for the benefit of the Case Manager. Case Managers, where appropriate, will embrace and embed into their practice a strengths-based approach and principles of the recovery model and empowerment. Case Managers will act, where applicable, in a culturally safe and culturally appropriate manner. The protection of the Clients interests and others is paramount. 3.1.8 Safety and Welfare Case Managers ensure the safety of their Clients and others in the provision of professional services, resources and advice. professional interests and concerns. 3.1.7 Service Planning and Provision

Compliance with all relevant legislation, standards, protocols and procedures to avoid injury and disadvantage to Clients and others is a paramount consideration at all times for Case Managers. 3.1.9 Delegation Case Managers take all reasonable care to protect the well-being, interests and safety of Clients and others when delegating to staff, carers, third parties, subcontractors and volunteers. 3.1.10 Private Benefits and Gains Case Managers do not sell, buy, endorse, provide or promote the sale of services or products in ways that exploit their relationships with Clients and others. 3.2 Duties to the Employer 3.2.1 Professional Conduct Case Managers work with, support and in conjunction with their employers to provide safe, high quality services, resources and advice. Case Managers acknowledge and strive to fulfill and achieve the stated aims and objectives of their employing organisation, agency or service provider, consistent with the requirements and obligations of this Code and the CMSA National Standards of Practice for Case Management. Responsibilities and obligations owed by Case Managers to their employers include, but are not limited to: • exercising due care and attention; • providing cost-effective services, resources and advice whilst ensuring quality of care; • contributing to the development of the employers’ policies, protocols and procedures; • being vigilant and proactive by alerting and advising employers of gaps and/or substandard services, resources and/or advice and proactively offering best practice solutions; • identifying, understandingandobserving relevant statutes, legislation and regulations in their professional practice; and • observing, abiding and implementing any employers’ Codes of Conduct and/or policies and protocols. When, and if, policies, procedures or protocols of the employer contravene this Code or the CMSA National Standards of Practice for Case Management, Case Managers will endeavour to effect change through consultation, using appropriate organisational/employer channels. 3.2.2 Professional Competence Case Managers strive for the best possible standards of service provision and are accountable for their practice. Case Managers are committed to quality service and pursue excellence in a commitment to optimise their professional competence, as embodied in the qualities of knowledge, ability, experience and judgment.

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Case Managers are guided by and implement best practice standards. In particular, they: • continually strive to update and extend their professional knowledge and skills; and • maintain quality and safe care and advice to their Clients and others. 3.2.3 Views of Employers Case Managers maintain loyalty, honesty, support and fidelity for, and on behalf of, their employers. 3.2.4 Confidentiality Confidential information obtained in the workplace remains confidential and regulated as part of the employee/employer relationship at law. 3.2.5 Private Gain/Benefit No Case Manager: • conducts a private practice in competition with their employer without their knowledge and/or consent; • uses the resources/intellectual property or take advantage of an employer for private gain; nor • directly or indirectly solicits, encourages, demands or accepts any rewards, bribes, substantial gifts, gratuities or benefit in respect of acting as a Case Manager. Case Managers will not exploit a dispute between a colleague and an employer to obtain a position or otherwise advance their interests and/or career. 3.2.6 Self Care Case Managers engage in self-care and strive to achieve work-life balance. 3.3 Duties to the Profession of Case Management and Colleagues 3.3.1 Professional Standards Case Managers recognise, advocate, support, uphold and advance the values, ethics, knowledge and skills of the profession of case management. This Code is reflected in their everyday practice, interactions and dealings with Clients and others. In particular, but not limited to the following, Case Managers: • hold appropriate qualifications; • shall not misrepresent professional qualifications, education, experience or affiliations; • operate within their scope of practice and in accordance with their level of education, training and expertise; • maintain, consolidate and extend their level of competence; • exercise professional judgment at all times; and • identify, support and appropriately act on legitimate concerns about colleagues’ professional competencies and/or conduct.

Case Managers shall cooperate with colleagues to promote professional interests and concerns. 3.3.2 Acknowledgment Case Managers actively acknowledge any contribution by colleagues and any other source of original material in any printed or electronic resource, presentation or lecture. 3.3.3 Professional Reputation Upholding, supporting, advancing and maintaining the reputation of the profession of case management is a goal of each and every Case Manager. Any Case Manager who replaces, or is replaced by a colleague in professional practice will act with consideration for the interests, character and reputation of the replaced colleague. Case Managers will avoid conduct or behaviour that brings the profession into disrepute, such as, but not limited to: • delivering/providing services, resources and advice which is objectively ineffective and counter to best evidence practice; • not fulfilling commitments made implicitly or explicitly; • engaging in conduct or behaviour which lowers or brings into question the reputation and standing of the profession of case management; and • engaging in conduct or behaviour which brings into question whether the Case Manager is a fit and proper person to provide case management services. 3.3.4 Supervision Case Managers actively and appropriately provide and/or offer supervision and support to colleagues. Any clinical and support staff, students, third parties, subcontractors and volunteers who are assigned to a Case Manager will be supported and professionally supervised. Case Managers take all reasonable steps to ensure that those being supervised: • understand and apply the CMSA National Code of Ethics (2012) and the CMSA National Standards of Practice for Case Management; • are provided with professional and adequate supervision; and • operate within their scope of practice. 3.3.5 Development of the Case Management Profession Case Managers contribute to the knowledge and expertise of the profession of case management by: • sharing research, practice and knowledge with colleagues while maintaining Client confidentiality; • maintaining accurate and timely records of professional services; • identifying and addressing critical issues pertaining to the profession of case management by participating in discussion within appropriate professional forums,

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including conferences and publications; • participating in the clinical education and supervision of university and work experience students; • creating and maintaining research opportunities and supporting research; and • providing opportunities for and supporting colleagues to develop their professional identity, integrity and ethical practice. 3.3.6 Conflict of Interest Case Managers identify and avoid conflicts of interest. In particular, but not limited to, they do not: • use false and/or misleading means to promote services and resources; • accept private financial benefits (including gifts, commissions, or other rewards); • use and/or access employers resources inappropriately for personal usage or benefit, unless consent from the employer has been obtained; or • promote or provide services and resources to Clients unless they are of benefit. 3.3.7 Research In undertaking research, where appropriate, Case Managers ensure that the relevant research protocols: • respect the rights of the research participants; and • comply with the ‘Health and Research Guidelines’ of the National Health and Medical Research Council (2007). Case Managers assist in professional efforts to expand the knowledge needed to more effectively serve Clients in need of case management services. Case Managers communicate, share and where appropriate publish the results of their research or other professional advancements in a professional manner to facilitate the advancement of the profession of case management. 3.4 Duties to our Colleagues 3.4.1 Professional Standards Case Managers treat and communicate with colleagues with honesty, fairness, respect and in good faith. Case Managers work co-operatively with colleagues to meet the needs of Clients, the community and the profession.

Case Managers support colleagues to reflect on their practice and professional conduct and assist them to access relevant continuing education and support when required. Professional relationships with our colleagues, students or supervisors are not exploitable. Case Managers manage, supervise or employ staff by: • treating them fairly and without discrimination, bullying or harassment; • proactively and respectfully seeking to resolve conflict; • respecting their industrial and professional rights; • ensuring that they have equitable access to resources and/or opportunities; • providing regular supervision, feedback, and access to continuing education and mentoring; • recognising and, where appropriate, formally acknowledging their contributions to case management practice, teaching, research or administration; and • classifying and remunerating them appropriately. Case Managers relate to and respect colleagues from other disciplines by: • respecting integrity, being courteous, and seeking to understand differences in viewpoints and practice; • utilising the expertise of other disciplines for the benefit of Clients when working in teams; and • cooperating and working collaboratively with other disciplines to promote and expand ideas, knowledge, theory and skills, experience and opportunities that improve professional expertise and service provision. 3.4.2 Conflict of Interest Case Managers identify, disclose and resolve any potential, perceived or actual conflicts of interest proactively. This may include situations such as: • the selection, supervision and/or assessment of a member of family or someone with whom they have a close personal, business or professional relationship; or • referring Clients to those with whom they have a personal relationship. 3.4.3 Independent of Debate Case Managers defend and promote their own rights and the rights of colleagues to participate fully and openly in public debate for the advancement of the profession of case management and on behalf of their Clients and others.

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FRAMEWORK FOR ETHICAL DECISION MAKING

As a guide in deciding on a course of action, ask yourself these questions:

Recognise and identify the event, decision, action or issue. • Are you being asked to do something that you think might be wrong?

• Are you aware of potentially illegal, immoral or unethical conduct on the part of colleagues or Clients? • Are you attempting to make a decision and are you unsure and/or confused about the ethical course of action?

Think before you act. • Summarise, clarify and analyse the issue. • Ask yourself, why and how does the dilemma arise or exist? • Consider all options and possible consequences.

• Consider who may be affected, either directly or indirectly. • Consult with others and obtain other opinions and advice. • Do I have all the facts relevant to the situation? • Am I making assumptions? If so, could any facts be identified to replace these assumptions? • Is it really your problem? Can anybody else help?

Decide on a course of action. • Determine your responsibility. • Review all relevant facts and information. • Refer to applicable policies, guidelines, protocols or professional standards.

• Assess the risks and how you could reduce them. • Contemplate and determine the best course of action. • Consult others to review to date.

Test your decision. • Review the “ethics questions to consider.” • Apply the CMSA`s values to your decision. • Ensure you have considered any policies, laws and professional standards. • Consult others–enlist their opinion of your planned action.

Implement the course of action and monitor its progress. • It is in your best interests to document your thought processes, discussions and the decisions taken. • Written records will be useful if you need to justify your course of action. • Reflect upon the process for future reference. • Share the process with relevant others.

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ETHICAL QUESTIONS FOR DECISION MAKING

1. Is it against or not in accordance with the CMSA National Standards of Practice for Case Management?

2. Does it feel right?

3. Is it illegal?

4. Will it reflect negatively, poorly, or badly on you or your employer?

5. Who could your decision or action injure?

6. Could you disclose without qualm your decision or action to your colleagues, your manager, your CEO, the board of directors, your family, society as a whole?

7. Is there an alternative action that does not pose an ethical conflict?

8. What’s your conscience telling you?

9. What would a reasonable person think?

10. Under what conditions would you allow exceptions to your decision?

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DEFINITIONS

For the purposes of this Code, unless the context indicates otherwise:

Advocacy

refers to the activities associated with negotiating or representing on behalf of a person.

Autonomy

means a form of personal liberty whereby the individual possesses sufficient mental capacity to determine his or her course of action in accordance with a plan chosen and developed by himself or herself.

Beneficence

the obligation or duty to promote good, to further another’s legitimate interests, and to actively prevent harm or diminish its impact as much as possible.

Case Manager

means a member, of any status, of the Case Management Society of Australia.

Client

means the individual to whom a Case Manager provides services for or on behalf of.

Code

means this National Case Management Code of Ethics (2012) as amended from time to time, and includes the definitions and interpretation, the application of the Code, all general principles, and the ethical standards.

Code of Ethics

are documents that aim to identify the broad values, principles and standards of ethical conduct on which a particular profession is based.

Colleagues

includes other Case Managers, students, staff and others lawfully involved in the care of the Client.

Community

refers to Australian society as a whole regardless of geographic location and any specific group the Client receiving case management defines as community; including those identifying as culturally connected through ethnicity, shared history, religion, gender and age.

Conduct

means any act or omission by Case Managers.

Confidentiality

means respecting private and personal information, unless there are overriding ethical reasons for not doing so.

Culture

means the distinctive ways of life and shared values, beliefs and meanings common to groups of people.

Culturally competent practice

means culturally appropriate service delivery and a culturally appropriate workplace environment.

Informed consent

means that for consent to be considered valid six standards must be met: (1) coercion and undue influence must not have played a role in the Client’s decision; (2) Clients must be mentally capable of providing consent; (3) Clients must consent to specific procedures or actions; (4) the consent forms and procedures must be valid; (5) Clients must have the right to refuse or withdraw consent; and (6) Clients’ decisions must be based on adequate information.

Justice

means achieving a fair distribution of benefits and burdens.

Member

means a member, of any status, of the Case Management Society of Australia.

Non-malfeasance

means refraining from harming others or, if harm is inevitable, ensuring that as little harm occurs as possible.

Others

may include the family, friends, relatives and other significant members of a Client’s nominated social network, and people who are associated with the person who is the recipient of the case management service.

Professional relationship

(or role) is the relationship between a Case Manager and a Client which involves the delivery of case management services.

Social justice

refers to the concept of a society in which justice is achieved in every aspect of society, rather than merely through the administration of law. It is generally considered as a social world which affords individuals and groups fair treatment, equality and an impartial share of the benefits of membership of society.

Values

are a particular grouping and ordering of values within a professional context.

Veracity

means telling the truth.

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REFERENCES

Accounting Profession & Ethical Standards Board – Code of Ethics. (2010). Sydney, Australia.

Australian Psychological Society. (2007). Code of Ethics. Melbourne, Australia.

Beauchamp, T., & Childress, J. (2001). Principles of Biomedical Ethics, Oxford University Press, New York.

Case Management for Ending Homelessness - Standards of Practice. (2011). Canadian Accreditation Council of Human Services. Edmonton, Alberta, Canada.

Coady M., & Bloch, S. (1996). Code of Ethics and the Professions, Melbourne University Press, Melbourne.

Code of Professional Conduct for Case Managers with Standards, Rules, Procedures, and Penalties. (2009). Commission for Case Management Certification. New Jersey, USA.

Congress, E. (2010), ‘Code of ethics’, in M Gray & S Webb (eds), Ethics and value perspectives in social work, Palgrave Macmillan, Basingstoke (UK), p. 19–30.

Fry, S., & Johnstone, M. (2008). Ethics in Nursing Practice: A guide to ethical decision making, 3rd revised edition, Blackwell Science/ International Council of Nurses, London/ Geneva.

Guy, M., E. (1990). Ethical Decision Making in Everyday Work Situations. Quorum Books, New York.

Ife, J. (2010), ‘Human rights and social justice’, in M Gray & S Webb (eds), Ethics and value perspectives in social work, Palgrave Macmillan, Basingstoke (UK), p. 148–159.

Nash, L. (1981). Ethics Without the Sermon. Harvard Business Review, p. 59.

Reamer, F. (2006). Social work values and ethics, 3rd ed, Colombia University Press, New York.

Quinn, M. (2009). ‘Towards anti-racist and culturally affirming practices’, in J Allan, L Briskman & B Pease (eds), Critical social work: theories and practices for a socially just world, 2nd edn, Allen & Unwin, Crows Nest (NSW), p. 91–104.

Soydan, H. (2010). ‘Anti-racist practice’, in M Gray & S Webb (eds) Ethics and value perspectives in social work, Palgrave Macmillan, Basingstoke (UK), p. 135–147.

Speech Pathology Australia - Code of Ethics. (2010). The Speech Pathology Association of Australia Limited, Melbourne, Australia.

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NOTES

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NOTES

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Case Management Society of Australia (CMSA) Email: cmsa@cmsa.org.au Website: www.cmsa.org.au Facebook: Case Management Society of Australia (CMSA)

National Code of Ethics for Case Management Case Management Society of Australia and New Zealand Authors : Frieda Marfleet and Scott WT Trueman

COPYRIGHT © 2013 Case Management Society of Australia and New Zealand (“CMSA”). Previous editions copyrighted 2012. All rights reserved. Apart from fair dealing for the purpose of study, research, criticism and review as permitted by the Copyright Act 1968, no part of these materials may be reproduced, modified, or reused or redistributed for any commercial purpose, or distributed to a third party for any such purpose, without the prior written permission of CMSA. Any permitted reproduction including fair dealing must acknowledge CMSA as the source of any such material reproduced and any reproduction made of the material must include a copy of this original notice. Published by the Case Management Society of Australia and New Zealand Limited.

Email: cmsa@cmsa.org.au Website: www.cmsa.org.au ISBN: 978-0-646-58328-0

TABLE OF CONTENTS

Purpose Statement of the Profession of Case Management ..................... 1

Scope and Purpose of the Case Management Code of Ethics .................... 1

Interpretation of the Code of Ethics ..................................................................... 1

Application of the Code of Ethics ........................................................................... 1

Incorporating the Code of Ethics ............................................................................ 1

Diagram 1 Application of the Code of Ethics for Case Management........ 2

Diagram 2 Putting Case Management Values into Action............................ 3

Case Management Values ......................................................................................... 4

Case Management Principles ................................................................................... 4

Case Management Practice and Conduct ............................................................ 5

Framework for Ethical Decision Making ............................................................... 9

Ethical Questions for Decision Making ...............................................................10

Definitions .....................................................................................................................11

References ....................................................................................................................12

PURPOSE STATEMENT OF THE PROFESSION OF CASE MANAGEMENT

INTERPRETATION OF THE CODE OF ETHICS

The profession of case management recognises the inherent rights of Clients to professional and effective case management services. Case Managers endeavour to provide quality, efficiency and effectiveness in case management services for Clients, the community, service and funding providers. Case Managers strive to support Clients in maximizing their quality of life. This is achieved through implementation of the guiding principles of the Case Management Society of Australia and New Zealand (CMSA) as outlined in the CMSA National Standards of Practice for Case Management.

In this Code unless the contrary intention appears: • words in the singular include the plural and words in the plural include the singular; • where any word or phrase is given a defined meaning, any other form of that word or phrase has a corresponding meaning; • headings are for convenience only and do not affect interpretation of the Code; and • where a reference is made to the Client this may also refer to the Client representative.

APPLICATION OF THE CODE OF ETHICS

SCOPE AND PURPOSE OF THE CASE MANAGEMENT CODE OF ETHICS

This Code applies to the conduct of Case Managers and commits members to comply with the ethical standards of the Code. A lack of awareness or misunderstanding of the Code of Ethics is not of itself a defence to an allegation of unethical conduct.

This Code of Ethics binds each member of CMSA (irrespective of membership status and/or classification) in the belief that in so doing it advances the profession of case management. This is achieved by embedding ‘professional responsibility’ into case management and an ethically uniform approach to case management practice. CMSA members make a commitment to read, understand, utilise and apply this Code of Ethics within all professional interactions. This commitment is renewable through annual membership and/or undertaking any certification processes of the CMSA. The Code of Ethics includes: • the Code of ethical practice and professional conduct expected of Case Managers by their colleagues, employer and society. The Values, Principles and Code of Ethics collectively and demonstratively support Case Managers to demonstrate professionally acceptable behaviour and forge a leadership role in managing ethical issues in the practice of case management. This Code is not intended to detract from any responsibilities which may be imposed by law or regulation. In applying the requirements outlined in this Code, Case Managers shall be guided, not merely by the words, but also by the spirit of this Code. • the Values of the case management profession; • the Principles that guide ethical decisions; and

INCORPORATING THE CODE OF ETHICS

The CMSA supports the use of this publication as a resource for member organisations to incorporate the content of the Code of Ethics into position descriptions, performance appraisals, performance management and policy and procedures specific to the case management role.

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National Code of Ethics for Case Management

APPLICATION OF THE CODE OF ETHICS FOR CASE MANAGEMENT

Acting professionally and with integrity is a Case Manager’s core responsibility. Treating and supporting Clients with respect are central tenants to case management. Advancing the profession of case management through ethical practice and professional conduct. Considering the ethical dimensions of all actions. These are CMSA’s core beliefs expressed in CMSA’s Code of Ethics.

How Case Managers present themselves Case Managers investing in relationships

What it’s like to work as a Case Manager Case Managers share and collaborate

Identity

Experience

What we stand for

Competency

What Case Managers are good at Case Managers investing in relationships

Culture

How Case Managers behave Individually and as a profession

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National Code of Ethics for Case Management

PUTTING CASE MANAGEMENT VALUES INTO ACTION

Values, Principles And Ethics - professionalism, teamwork, leadership and excellence

Professionalism Collective representation delivers superior results. Uniform competencies ensures best practice.

Develop Teamwork The best outcomes are achieved from working together with colleagues and Clients. Effective teamwork requires relationships, respect and sharing.

Professionalism

Inspired Leadership Leading care to Clients and community through leadership. Leadership demands knowledge, skill and integrity.

Teamwork

Leadership

Excellence

Achieve Excellence Delivering on promises and adding value beyond what is expected. To achieve excellence through learning and innovation.

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National Code of Ethics for Case Management

1.7 Loyalty Loyalty means being faithful and loyal to those with whom one has dealings. This means safeguarding the ability to make independent professional judgments by scrupulously avoiding undue influence and conflicts of interest. 1.8 Fairness Fairness means being open-minded, willing to admit an error, not overreaching or taking undue advantage of another’s adversities, avoiding arbitrary or capricious favouritism. It means treating people equally and making decisions based on notions of justice. 1.9 Respect Respect for others means recognising each person’s right to privacy and self-determination and having respect for human dignity. It means being courteous, prompt, decent and providing others with information they need to make informed decisions. Case Managers identify, acknowledge, adhere to and implement the four (4) foundational Principles which underpin ethical conduct. The following foundational Principles apply to decisionmaking in case management. 2.1 Beneficence Beneficence is a principle of positive obligation to not act in ways which are detrimental to Clients and others. Beneficence requires Case Managers to act in the best interests of their Clients. Case Managers benefit their Clients and others through their conduct, actions and professionalism. 2.2 Non-malfeasance Non-malfeasance is a principle to refrain from providing ineffective treatments or acting with malice toward Clients. Case Managers prevent and do not knowingly cause harm to their Clients and others (“above all do no harm”). 2.3 Social Justice Case Managers strive to provide Clients with access to services and resources consistent with their need(s). Justice is the principle for consideration when attempting to make decisions about competing interests, or allocation of resources. In dealing with and/or acting for Clients and others, Case Managers adhere to fairness at all times. 2. CASE MANAGEMENT PRINCIPLES

1. CASE MANAGEMENT VALUES

The Values apply to interactions and communications with Clients, colleagues, professionals (health and otherwise), society and between Case Managers themselves. The Values identify and commit to quality outcomes for Clients, appropriate use of resources, and the empowerment of Clients in a manner that is supportive and objective. The Values reflect a belief that case management is a means for improving Client health, wellness and autonomy through advocacy, communication, education, identification of service resources, and service facilitation and a recognition of the dignity, worth and rights of all people (necessarily including Clients). 1.1 Integrity Integrity means using independent judgment and avoiding conflicts of interest, restraining from self-aggrandisement and resisting economic pressure. It means being faithful to one’s deepest beliefs, acting on one’s conviction and not adopting an ends-justifies-the-means philosophy that ignores principle. 1.2 Caring Caring means treating people as ends in themselves, not as a means to an end. It means having compassion, treating people courteously and with dignity, helping those in need and avoiding harm to others. 1.3 Honesty Honesty means being truthful, not deceiving, misleading or distorting. Deceptions undermine the capacity for open exchange and erode credibility. 1.4 Accountability Accountability means accepting the consequences of one’s actions and accepting the responsibility for one’s decisions and their consequences. This means setting an example for others and avoiding even the appearance of impropriety. 1.5 Promising Keeping a promise means keeping one’s commitments. When promises have been made, they are supported by the fact that the obligation to keep promises is among the most important of generally accepted obligations. Promises and agreements with stakeholders create expectations of performance and establish obligations. 1.6 Pursuit of excellence Pursuit of excellence means striving to be as good as one can be. It means being diligent, industrious and committed. It means being well informed and well prepared. It is not enough to be content with mediocrity, but it is also not a right to win “at any cost”.

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National Code of Ethics for Case Management

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