This document discusses liability issues in the settlement service sector. It provides examples of situations that could result in liability for settlement workers, such as a client making allegations of negligence. It emphasizes the importance of protecting workers through measures like hiring skilled professionals, developing mentorship training, setting clear guidelines and service standards, performing effective performance reviews, and adhering to ethical practices. The role of managers in monitoring staff, providing feedback, and ensuring proper policies and protections are in place is also discussed.

1. LIABILITY
YOLANDE CHARLES
&
SEVGUL TOPKARA- SARSU

2. AGENDA
• Introduction
• What is liability?
• How do we protect workers?
• Tools to reduce personal liability
• Role of managers
• Discussion and Q &A

3. RATIONALE
• Social Service work demands personal interaction with people in all
walks of life. As a social worker, you face situations daily where you
are open to the possibility of lawsuits and significant defense costs.
Clients could hold you responsible for malpractice, mistakes or
errors arising from your performance of professional services. As a
settlement worker there are no governing body regulating the
profession or setting standards. It is left up to the individual
organization to set internal ethical and legal standards for the
information provided by frontline workers. But what happens after
the forms are filled out and signed by a worker, and the client`s
perception is one of negligence by the worker or lack of knowledge
prevented them from getting citizenship, sponsoring a spouse, or
housing? How do we protect workers? What should you as
managers put in place to reduce personal liability?

4. Liabilities Issues in the Settlement
Service Sector
• Case Study
• “A female client discloses to settlement worker that she has been having a sexual relationship with her physician in the community. The
client reported that when she pressured the physician to leave his wife, he angrily rebuffed her, sending her into crisis and ultimately to
the emergency room.”
• The settlement worker is unsure if she has an obligation to report this matter to the College of Physicians and Surgeons of Ontario, the
regulatory body for physicians.
•
• Test
•
• Which of these situations constitutes an ethical dilemma?
• A. A client shares with you that he is HIV positive but does not want you to tell his wife
• B. A child very much wants to return to live with his birth mother, but you know there has been a history of drug abuse
• C. A managed care company calls and insists that you fax a client’s record immediately.
• D. All of the above.
•
• All of the following circumstances can negate privileged communication except for:
• A. The client is dangerous to himself and others
• B. The judge rules that the settlement worker’s testimony is essential to the case
• C. There is suspicion of child abuse or neglect.
• D. The settlement worker does not like to appear in court.
•
• Which statement is correct:
• A. It is easy to provide cultural competent services.
• B. Settlement services must be provided in the language of the client.
• C. Settlement workers must know in great detail cultural characteristics of their clients.
• D. Settlement workers should strive to know about their clients’ cultures.
•
• The following technological advances present ethical challenges:
• A. Case recording on computers
• B. Faxed case reports
• C. On line therapy
• D. All of the above

5. How do we protect workers?
• HIRE SKILLED PROFESSIONALS
• DEVELOP MENTORSHIP TRAINING
• SET CLEAR OPERATIONAL GUIDELINES
• SET SERVICE STANDARDS
• PERFORM EFFECTIVE PERFORMANCE APPRAISALS
• ADHERE TO ETHICAL PRACTICES
• UNDERSTAND:
PIPEDA, AODA, CONFIDENTIALITY, AND ETHICS
AND PROFESSIONAL CONDUCTS

6. HIRE SKILLED PROFESSIONAL
• Ensure interview questions are specific to the
job
• Professional has the skills as well as
qualifications to complete job scope
• Service rather than cultural practice
• Reflect client centered approach to service
• Able to self evaluate

7. DEVELOP MENTORSHIP TRAINING
• Hit the ground running with support from
seasoned staff
• Evaluation process to track progress
• Peer to peer forums
• Peer to peer accountability
• Organizational responsibility to provide proper
training and support

8. SET CLEAR OPERATIONAL GUIDELINES
• In person
• On the phone
• Email
• Social situations
• Cultural assumption
• Religious assumption
• Documentation

9. SET SERVICE STANDARDS
• What can clients expect?
– Friendly, respectful, supportive, knowledgeable
service
• What does organization promise?
– Responsibility for staffs` action
– Service accountability
• Accountability for action on the job
– Deal with issues as they are reported
– Make necessary changes to operation

10. PERFORM EFFECTIVE PERFORMANCE
APPRAISALS
• Annually evaluate service against standards
• Staff to staff
• Manager to staff
• Set mile stones
• Follow up on learning needs
• Give feedback weekly and monthly
• DO NOT SETTLE FOR LESS THAN STANDARDS!

11. ADHERE TO ETHICAL PRACTICES
• CANADIAN ASSOCIATION OF CASW CODE OF
ETHICS
• ADAPT TO MEET YOUR ORGANIZATIONAL
STANDARDS
• STAFF SIGN OFF ON ETHICAL PRACTICE AT
TIME OF HIRE

12. BREAK
• SELF CARE

13. UNDERSTAND:
PIPEDA, AODA, CONFIDENTIALITY, AND
ETHICS AND PROFESSIONAL
CONDUCTS
• PIPEDA
• AODA
• CONFIDENTIALITY
• CONSENT
• EITHICS AND PROFESSIONAL CONDUCTS

14. REMEMBER CON’T
“PIPEDA”
• Personal information is considered to be any
factual or subjective data, whether it is hand
written, electronic or verbal, about an
identifiable individual
• Example of items covered under personal
information:
name, gender, age, height, weight, physical
characteristics, and judgments or diagnoses
made about and individual

15. PIPEDA
• Personal information is considered to be any
factual or subjective data, whether it is hand
written, electronic or verbal, about an identifiable
individual
• Example of items covered under personal
information:
name, gender, age, height, weight, physical
characteristics, and judgments or diagnoses
made about and individual
• Not covered under PIPEDA is employee-related
information such as a person’s title, phone
number, email address, business

16. CONSIDER: “AODA”
Accessibility standards for customer
service
• The Accessibility for Ontarians with
Disabilities Act, 2005 (AODA) was passed by
the Ontario legislature with the goal of
creating standards to improve accessibility
across the province . One of the specific
standards that has been developed, and
made law, is the Accessibility Standards for
Customer Service. This standard details
specific requirements for all service providers
2012

17. CONSIDER
“Confidentiality”
Confidentiality: “ the right to privacy in general
contexts is otherwise know as confidentiality
in the context of professional relationships.
Confidentiality highlights a
professional, ethical responsibility to respect
the client’s right to control personal
information and access to it” (Stadlerin
Herlihy and Golden 1990)

18. CONFIDENTIALITY CLAUSE
• CONSENT TO RELEASE INFORMATION
• I, _____________________________________, authorize Liability
Community Services to share information, documents and/or
records at their possession for the purpose of assisting me with
services that are funded by the Government of
Canada, Government of Ontario and the City of Toronto. I also
understand that this information may be used to generate statistical
reports and for program evaluation purposes.
•
• Date:__________________________________
•
• Signature:______________________________

19. Ethics & Professional Conduct
Canadian Association of CASW Code of Ethics
• Professional conduct expected by your
organization and clients. To be treated with
respect and dignity. Conflict of interest are
declared and personal relationships not
developed with clients under 2 years. We are
role models in ways to conduct business in the
Canadian work force. Power- with should be
our work approach rather than power- over.

20. TOOLS TO REDUCE PERSONAL
LIABILITY
• ETHICAL AND PROFESSIONAL PRACTICE
• RULE TO GOVERN CODE OF CONDUCT
• NEED TO BE UNDERSTOOD BY ALL(
CLIENT, STAFF, COMMUNITY AND
STAKEHOLDERS)
• POST PROCESS
• DEAL WITH ISSUES AS NOTED

21. ROLE OF MANAGERS
• MONITOR STAFF
• GIVE FEEDBACK
• DOCUMENTATION
• DEAL WITH SITUATIONS THE FIRST TIME
• BE KNOWLEDGEABLE IN LEGISLATION CHANGE
• SEPARATE ROLES/ SUPERVISOR/FRIEND/STAFF
• PROTECTION PLANS IN PLACE: Disciplinary
defense coverage, personal injury
protection, professional, general, disciplinary
liability, office contents, legal entity coverage

22. Liabilities Issues in the Settlement Service
Sector
• LIABILITY CHECKLIST
• “Good practice is the best defense to possible liability.”
• Agencies should provide adequate orientation, training and supervision for their employees.
• Do your staff:
• have a clear understanding of guidelines for ethical practice-ethical responsibilities to clients, colleagues, in professional relationships, and to the
workplace?
• have a clear understanding of what is expected of them?
• have access to appropriate professional consultation or supervision for professional settlement practice?
• have access to ongoing training and professional education?
• know the essential elements of their responsibilities and authority?
• know what actions they can take on their own initiative and what actions requires supervisory approval?
• know and understand related law, agency policies and practices?
• know how to protect privacy and confidentiality of the clients?
• understand the high risk situations for liability concerns?
•
• Does your agency:
• have a code of conduct policy and/or guidelines for ethical practice which explain in detail:
• Off-duty conduct
• Reporting obligations
• Maintenance and handling of client records
• Privacy and confidentiality of information
• Protecting information
• Accepting gifts and discounts
• Conflict of interest
• Appropriate, professional boundaries
• Practices for termination or interruption of services and so on.
• have clearly formulated record-keeping requirements together with forms and instructional materials?
• have clearly formulated “acceptable standards of service”?

23. Liabilities Issues in the Settlement
Sector
• References
• CAMH. Privacy Policy. 2009.
• http://www.camhx.ca/About_CAMH/Privacy/CAMH%20%20Health%20Privacy%20Policy.pdf
•
• CAMH. Privacy notice. 2004.
• http://www.camhx.ca/About_CAMH/Privacy/CAMH_Privacy_Notice.pdf
•
• Canadian Association of Social Workers (CASW) Code of Ethics, 2005.
• http://www.casw-acts.ca/en/what-social-work/casw-code-ethics
• Canadian Association of Social Workers (CASW), Guidelines for Ethical Practice, 2005.
• http://www.casw-acts.ca/en/what-social-work/casw-code-ethics
•
• City of Toronto-Social Housing Unit. Confidentiality Policy Development Tool.
• http://www.toronto.ca/housing/social_housing/otherdocs/oprevtool_confidentiality.pdf
•
• City of Toronto. Conflict of Interest Policy.2005.
• http://www.toronto.ca/calldocuments/conflict_of_interest_policy.htm
•
• Information and Privacy Commissioner, Ontario, Canada (IPC). Best Practices and Professional Guidelines.
http://www.ipc.on.ca/english/resources/best-practices-and-professional-guidelines/
•
• IPC. Ontario’s Freedom of Information and Protection of Privacy Act: A Mini Guide. 2011
• http://www.ipc.on.ca/images/Resources/up-mini_p_e.pdf
•
• Ontario College of Social Workers and Social Service Workers. Practice Notes.
• http://www.ocswssw.org/en/practice_notes.htm
•
• Ontario College of Social Workers and Social Service Workers. Code of Ethics and Standards of Practice Handbook. 2008.
• http://www.ocswssw.org/docs/codeofethicsstandardsofpractice.pdf

24. Q&A
• Next steps for my organization!!