Protecting Privacy in Fieldwork Learning and Instruction:
A Departmental Policy Statement

This document serves as a working paper for placement students, fieldwork instructors, and department staff who are involved in fieldwork teaching and learning, administration and moderation. It outlines the basic principle, presents a departmental policy statement, and provides detailed practical guidelines for all parties concerned. Instructors and students should also consult and follow the practice of fieldwork agencies. The Fieldwork Coordinating Team welcomes comments for the paper.

Basic Principle: Confidentiality

The social work code of ethics holds that social workers have a primary obligation to respect the confidentiality of information obtained in the course of their professional work. This is in line with the ethical codes of other professions.

All these code of ethics of the various professions generally hold that confidentiality is to be maintained unless (a) the client or the client's legal representative consents to the release of the information; (b) the client or someone else is in clear danger of harm; (c) the helping professional is under a clear legal obligation to inform an appropriate authority of suspected child or elder abuse.

As is apparent, the ethical requirements for confidentiality are relative, not absolute, standards that are constrained by other rights and values held by society. A social worker, therefore, should not convey to a client the impression that the client is free to divulge information of any kind without fear of having the confidence broken by the social worker. The social worker has an ethical responsibility to discuss the limits and extent of confidentiality with clients in advance of full initiation of services. The social worker must also inform the client prior to releasing information to any other professionals, or to such authorities including the courts or social service agencies.

Confidentiality is a relative concept, and professional judgment is often involved in deciding on its limits. In forming these limits, Biggs and Blocher (1987) recommend conceptualizing confidentiality at three basic levels.

First Level: At the first level, information is handled "in a fully professional manner that respects the dignity, privacy, and worth" (p.77) of clients by not divulging information in careless, casual, or irresponsible ways. The most frequent breaches of confidentiality occur at this level when social workers share information with colleagues over lunch or coffee, when clerical staff are given unlimited access to records, or when information is shared with administrators in schools or agencies without first obtaining a client's permission. Clearly, failure to safe-guard information at this level is unethical.

Second Level: The second level of confidentiality occurs most often in clinical settings and concerns the release of information that is in the best interests of the client. Examples of this include sharing information with another professional who may have some involvement with the client, sharing information with people who are "significant others" to the client, such as parents of a child client, or the spouse or family of an adult in treatment for a substance abuse problem. In each of these instances the client should be advised in advance of any plans to share information and should agree to that sharing. An issue at this level (and at the third level) arises when a social worker feels compelled, or is legally required, to divulge information without the client's consent and yet is still acting in the best interests of the client. Corey (1991) described four circumstances that require helping professionals to report information:

1. when the client poses a clear danger to self or others (referred to as the duty to warn principle);
   
2. when there is suspected child abuse of any kind;
   
3. when a client is diagnosed to require hospitalization; and
   
4. when ordered by a court to divulge the information.
   

In each of these instances the social worker is acting in the best interests of the client or at the request of the court and would not be acting contrary to either the ethical standard or the law. Once again, however, it must be emphasized that the ethical social worker explains these exceptions to the client before beginning formal professional helping.

Third Level: At the third level, all information divulged by a client is kept in confidence by the social worker, except in the rare instance where there is a clear and direct threat to human life. At this level the social worker understands that information cannot be shared, even when ordered to do so, and the social worker is willing, in extreme cases, to accept the consequences of noncompliance. Certainly, a social worker should not convey to a client that this level of confidentiality exists, unless the social worker fully understands the ramifications of such an agreement.

Legal requirements: The Personal Data (Privacy) Ordinance

While confidentiality is basically an ethical concern in social work, Hong Kong has recognized that it is a necessary component of any services (including social work) that require handling personal data and have therefore extended legal protection to clients who use such services. Social workers in Hong Kong, including social work placement students, are bound by law not to divulge information without a client's consent (unless there is imminent danger of loss of life or where other statutes delimit the right). Therefore, social work students should be clear about the legal definition of confidentiality. They should also be aware that the professional definition of confidentiality overlaps but goes beyond the legal definition.

Consequences of Violation of the Social Work Ethical Principle and the Law

A social work student who violates such ethical principles can be subjected to academic review by our Department. This can result in sanctions and can lead ultimately to the termination of the student's studies. The Department stresses the importance of assuring the public and future clients that social work placement students will respect clients' confidences and will be bound by this ordinance. Indeed, this assurance is considered so important that the Department, through its Fieldwork Practice Board, may continue its investigation even after a complaint is withdrawn.

On the other hand, the client may file a tort action for invasion of privacy seeking financial compensation for harm resulting from a wrongful disclosure of information obtained in the course of social work intervention, including fieldwork practice. Also, where there has been a "publication" (i.e., an unauthorized release to a third party, such as a book or a speech by a social work student describing case histories) of confidential information injuring the reputation of the client, the client may pursue a legal action based upon the tort of defamation. If the publication is oral, the tort is typically referred to as slander; if it is written, the tort is called libel.

Protecting Privacy in Fieldwork Learning and Instruction: Departmental Policy Statement

The Department respects the integrity and the protection of the welfare of all persons with whom the social work students are directly working. It has an obligation to safeguard information about them that has been obtained through teaching, learning, administration, and moderation processes, during or after fieldwork placements. It should also be remembered that the staff acting as fieldwork instructors are directly or indirectly involved and are bound by the confidentiality rules.

• All records kept on a client, or client groups are stored or disposed of in a manner that assures security and confidentiality.

Lock all files and instead of using names, students ought to create their own coding system. Files should only be identified and accessed by those concerned. No records regarding the individuals with whom students are working should be stored in a hard disk. All information regarding the helping process should be on a floppy disk and stored in the same safe place as the paper files. Do not give anyone an opportunity to break into the files whether they are kept on the floor (a filing cabinet) or on your desk (a computer).

• We treat all communications from clients with professional confidence.

Records prepared by students should be geared only for their own personal recall as to the process of the social work intervention. They do not have to be understandable to anyone else unless the student has obtained a contract from the client(s). A statement should be given to every new client coming for social work services regarding the practice of confidentiality, its extent, and its limitations.

• Except in those situations where the identity of the client is necessary to the understanding of the case, we use only the first names of our clients, an initial, or a code name when engaged in fieldwork supervision or consultation.

It is our responsibility to convey the importance of confidentiality to the student/ fieldwork instructor/supervisor/consultant; this is particularly important when the supervision is shared by other professionals who are members of a supervisory group.

• We do not disclose client confidences to anyone, except: as mandated by law; to prevent a clear and immediate danger to someone; in the course of a civil, criminal or disciplinary action arising from the social work process where the social work student is a defendant; for purposes of supervision or consultation; or by previously obtained written permission from the client.

In cases involving children, or the mentally incompetent, or more than one person (as client), written permission must be obtained from all legally accountable persons before any disclosure can be made. Make sure to obtain written permission for disclosure of information. When consulting an individual's doctor or seeking information from a previous social worker or counselor, written permission from the client(s) for such disclosure must be obtained.

• We obtained the informed written consent of clients before audio or video tape recording or permitting third party observation of sessions with them.

The word "informed" is equally important as "written". A tape recorder or a video camera or an one/two-way mirror can be an intrusive force. Careful explanation must be made in order that the individual will experience such a recording or observation as assistance to the process. A form has been designed for use by the students.

• We do not use these standards of confidentiality to avoid social work intervention when it is necessary, e.g. when there is evidence of abuse of child, minority, the elderly, the disabled, the physically or mentally incompetent.

It is necessary for the student to know whom to contact regarding such abuse in a social service agency. Fieldwork instructors who have been informed of students whom they are supervising about such abuse must be certain that action is being taken or else they are to report to whom it may concern of what they know. If someone reports to the social worker or to the social work student an abusing situation, the latter must make clear to that individual that he/she must report what they he/she knows to the authorities, preferably in person.

• When current or former clients are referred to in a publication, while teaching or in a public presentation, their identity must be thoroughly disguised.

The Practice Board's files are confidential files. Former and current members of the Board must maintain that confidentiality. If there be any claim against a student or an instructor, there are proper channels to follow regarding files and communications.

  For students:

1. Collect only information that is related to the intervention;
   
2. Explain to the client, implicitly or explicitly in the process of intervention:
   
   • the aims and objectives for collecting the required information (including for learning purpose);
     
   • the procedures of handling and storing information;
     
   • the rights to refuse to disclose information and the possible consequences;
     
   • the persons who may get access to the information;
     
   • the duration of storing of the information;
     
   • the destruction of data and tapes on or before a specified date (see 5 & 8).
     
3. Video or audio taped recordings of the social work intervention process are encouraged. However, it has been a Departmental policy to require students to get client consent before taping and to explain the purposes of such taping to the clients involved;
   
4. 4. Seek clients' consent before involving third party or fieldwork instructor in the social work intervention process, e.g. participate in the program/ interview, live supervision etc..
   

• Access to information
  

  For students:

1. Allow only those who are directly involved in the intervention or administration of the service to get access to the information;
   

• Report and Recording:
  

1. Technically avoid any names in recordings or notes except in official records;
   
2. Reflection made in the log, which might be kept by students for future learning, should avoid recording any specific details of clients;
   
3. Use facts instead of judgments, in your recordings as far as possible. Facts must be accurate, substantiable and verifiable.
   

• Storage of information
  

  For students:

1. Keep the information in a safe place in your office, e.g. locked storage cabinet;
   
2. Make every effort to keep the information only in your office and carry the information away from office only when it is necessary;
   
3. If kept in any place other than the office, every effort should be made to ensure that it is safe and that it will not be exposed to anyone who has no right of access to the information;
   
4. Do not store information in a computer which can be accessed by an unauthorized person.
   

  For instructors:

1. Keep the information in a safe place in your office or home;
   
2. Do not keep any unnecessary or excessive information about clients in places other than the agency.
   

• Disposal of information
  

  For students and instructors:

1. No recordings, in any form other than human memory, including written and printed copies, notes, and disk copies, concerning any given specific client should be kept by students after the termination of their placement. All unofficial records which contain client information should be destroyed when the fieldwork ended, moderation completed and no disputes on the grade given (please refer to regulations governing examination);
   
2. For the records handed in to the agencies, their procedures should be followed;
   
3. 3. Only records which do not contain clients' identification or any other information which can lead to the identification of the clients can be selectively preserved for academic purpose;
   

• Communication of information
  

  For students and instructors:

1. Do not use fax to communicate the information and;
   
2. If such form of communication is required, make every effort to prevent unnecessary disclosure of information, e.g. delete all the personal information; arrange a definite time for sending and receiving fax in person;
   
3. Try not to ask any third party who is not an approved person to deliver the communication and make sure he/she understands the responsibility for the consequences of disclosing information;
   
4. Do not communicate and discuss clients information in an open area, such as restaurants. If this is necessary, do not disclose any identifying information about the clients;
   
5. For discussion among students in fieldwork experiences, no clients' identifying data or any unnecessary information should be disclosed to others. The disclosure of the rest is purely for academic purposes.
   

  For communication between students/instructors and fieldwork coordinators:

1. All clients identifying information, such as name, has to be covered up;
   
2. No clients' information, other than that which is entirely necessary, should be included in the communication;
   
3. Direct form of communication (telephone contact, meeting in person etc.) is preferred.
   

• Fieldwork Moderation
  

For those involved in moderation:

1. All the clients' identifying information should be covered up by the student before the portfolio, recordings and any reports be passed to persons (Moderators, Members of Practice Board, Coordinators, External Examiners etc.) who are directly involved in the moderation process.
   

• Portfolio:
  

  For students and instructors:

1. Portfolio should be submitted to the department directly by the student to a designated person within the department at a specified period;
   
2. The portfolio should be sufficiently covered so that no person can easily observe the information inside;
   
3. No client's identifying information should be found in any recordings in the structured tasks included in the Portfolio before submission to the Department.
   

  For department staff:

1. The portfolio should be kept in a safe place and should not be accessed by any unauthorized person;
   
2. The portfolio will be returned to students within a specified period of time as determined by the Department from time to time, after the date of announcement of the results by the Registrar, unless appeal received from student or required by any situation as required. Students are required to sign a declaration form (Appendix 5.21) before collecting back the portfolio from the Department and destroy it within 3 days from reception. Any uncollected Portfolio will be destroyed by the Department.
   

• Enquiry & Complaint:
  

1. For any enquiry concerning the practice of protecting privacy, complaints on our students, instructors or concerned departmental staff's practice of protecting privacy, and request to access to the written work, such as recordings and reports, prepared by the student, please contact the Department's Fieldwork Development Officer at the following address:
   
2. Fieldwork Development Officer
   
3. Department of Applied Social Studies
   
4. University of Hong Kong
   
5. Chee Avenue
   
6. Kowloon
   
7. Any request to access to written work, such as recordings and reports, prepared by the student, which are stored in the concerned fieldwork agencies, should be directed to the agencies concerned.
   

References

• Biggs, D., and Blocher, D. (1987). Foundations of ethical counseling. New York: Springer.
  

• Corey, G. (1991). Theory & practice of counseling and psychotherapy (4th ed). Pacific Grove, CA:Brooks/Cole.
  

• Fisher, C. B., and Hennessy, J. (1994). "Ethical Issues" in Ronch, J.L., Ornum, V., and Stilwell, N.C. (Eds.). The counseling source book: A practical reference on contemporary issues. New York: Crossroad.