[2016] VCAT 35
General information, not legal advice.
Victorian Civil and Administrative Tribunal
2016-01-08
Original judgment source is linked above.
Review and Regulation List ─ registered psychologist ─ intimate personal relationship with a former client close to termination of professional relationship and before client had been referred to an alternate psychologist ─ intimate personal relationship commenced after psychologist visited client's tattoo shop for tattoo work and then agreed that client come and live in his home ─ no steps taken to ensure client received independent advice about entering into the relationship and no supervision sought by psychologist before entering into the relationship ─ highly vulnerable young client with a high risk of harm to her ─ agreed findings of professional misconduct - determination ─ APS Code of Ethics and Guidelines for Managing Professional Boundaries and Multiple Relationships ─ Health Practitioner Regulation National Law (Victoria) Act 2009: sections 5, 196
Psychology Board of Australia v IVX (Review and Regulation) [2016] VCAT 35
Under section 196 of the Health Practitioner National Law (Victoria) Act 2009 the Tribunal finds that:
From mid-February 2012, IVX, while working as a psychologist, engaged in conduct constituting professional misconduct in that he engaged in an intimate personal relationship with Client A, a client he had been treating since August 2011 and whose final consultation was 6 February 2012, and whom he knew to be vulnerable to emotional and physical exploitation, in circumstances where:
1.1 At the time the relationship commenced, Client A was yet to be referred to an alternate psychologist;
1.2 At the time the relationship commenced, Client A had not been formally discharged back to the general practitioner who had referred her to IVX;
1.3 At the time the relationship commenced, IVX had taken no or insufficient steps to ensure Client A had received independent advice about entering into the intimate personal relationship; and
1.4 At the time the relationship commenced, IVX had not sought supervision from a peer regarding his decision to enter the intimate personal relationship.
2.1 The Guidelines for managing professional boundaries and multiple relationships;
2.2 The Guidelines on the prohibition of sexual relationships with clients; and
2.3 The Guidelines for psychological practice with women and girls.
1.1 At the time the relationship commenced Client A was yet to be referred to an alternate psychologist;
1.2 At the time the relationship commenced Client A had not been formally discharged back to the general practitioner who had referred her to IVX;
1.3 At the time the relationship commenced IVX had taken no or insufficient steps to ensure Client A had received independent advice about entering into the intimate personal relationship; and
1.4 At the time the relationship commenced IVX had not sought supervision from a peer regarding his decision to enter the intimate personal relationship.
At all relevant times IVX was a registered psychologist and worked as a psychologist.
At all relevant times IVX was bound by the Code of Ethics and Ethical Guidelines prepared and distributed by the Australian Psychological Society, including:
Client A was referred to IVX by her general practitioner for treatment for anxiety. The referral referred to a history of abuse, depression and self-harm.
In the course of the professional relationship Client A disclosed a history of long term sexual, emotional and physical abuse and current practice of self-harming.
On 6 February 2012 IVX told Client A's general practitioner in writing that he believed Client A might be experiencing a long standing psychotic episode and that she might benefit from a trial of psychiatric medication.
There were no further consultation sessions after 6 February 2012.
From early to mid-February 2012 IVX saw Client A on multiple occasions for the purposes of her tattooing him at her tattoo parlour.
The intimate personal relationship commenced in mid February 2012.
IVX and Client A have lived together since February or March 2012.
On or about 17 February 2012 IVX and Client A attended a music concert together.
On 19 February 2012 IVX and Client A visited Client A's father and his wife and informed them they were in a personal relationship together.
On 14 March 2012 Client A was referred by another general practitioner to an alternate psychologist.
On 15 March 2012, in a letter to the GP who had referred Client A to him, IVX informed the GP that he had attended upon Client A for tattooing services in mid February 2012 and that she had decided that she would continue a friendship with him and seek psychological services from another practitioner.
On or about 7 and 8 April 2012 IVX socialised with Client A's family, including boating and dinner, during which he was physically affectionate to Client A.
On 10 April 2012, IVX sent a text message to Client A's parents in which he referred to his love for Client A and to the fact Client A calmed him down and made him feel at ease.
In June and / or July 2012 IVX and Client A travelled overseas together.
IVX and Client A remain in an intimate personal relationship.
Determinations available under the National Law
A disciplinary tribunal protects the public by making orders which will prevent persons who are unfit to practice from practising, or by making orders which will secure the maintenance of proper professional standards. A disciplinary tribunal will also consider the protection of the public, and of the relevant profession, by making orders which will assure the public that appropriate standards are being maintained within the relevant profession.
There is high authority for the proposition that the powers given to the disciplinary committee to discipline a practitioner are entirely protective in character and no element of punishment is involved... But to say that is merely to say that the powers are to be exercised for the purpose of, and in a manner seen to be likely to achieve, the maintenance of that high standard of conduct within the profession which will continue its good reputation, and protect, not only the future of the profession, but also protect its clients from harm.
With this object in mind, the committee is required to look to the future. Even if the practitioner's conduct be relatively slight, he may yet be struck off, if his capacities and attitude have been revealed to be such that his continuance in practice constitutes a threat to the profession. On the other hand, conduct which is itself more grave in nature, may not warrant striking off, if it is seen as a temporary and explicable departure from the practitioner's own high standards. The committee's task is to uphold the dignity and standards of the profession.... The order which the committee is called upon to make is that order which, in its opinion, is necessary, and no more than is necessary, to maintain professional discipline and high standards of conduct.
CONSIDERATION OF THE EVIDENCE AND THE SUBMISSIONS
APS Code of Ethics (2007) as supplemented by the Ethical Guidelines of the APS
The general principle, Integrity, reflects the need for psychologists to have good character and acknowledges the high level of trust intrinsic to their professional relationships, and impact of their conduct on the reputation of profession.
Psychologists recognise that their knowledge of the discipline of psychology, their professional standing, and the information they gather place them in a position of power and trust. They exercise their power appropriately and honour this position of trust. Psychologists keep faith with the nature and intentions of their professional relationships. Psychologists act with probity and honesty in their conduct.
Psychologists recognise that their position of trust requires them to be honest and objective in their professional dealings. They are committed to the best interests of their clients, the profession and their colleagues. Psychologists are aware of their own biases, limits to their objectivity, and the importance of maintaining proper boundaries with clients. They identify and avoid potential conflicts of interest. They refrain from exploiting clients and associated parties.
Psychologists refrain from engaging in multiple relationships that may:
(a) Impair their competence, effectiveness, objectivity, or ability to render a psychological service;
(b) Harm clients or other parties to a psychological service;
(c) Lead to the exploitation of clients or other parties to a psychological service.
APS Guidelines for Managing Professional Boundaries and Multiple Relationships (2008)
The Guidelines for Managing Professional Boundaries and Multiple Relationships (2008) state explicitly that the professional relationship between psychologists and their clients is one based on trust and so is essentially a fiduciary relationship.
Maintaining appropriate professional boundaries, it is asserted, provides the foundation for professional relationships by fostering a sense of trust and safety for clients.
Professional relationships create power imbalances between the parties, because of the different roles each has in the relationship. Such power imbalances mean that the client can be vulnerable to exploitation.
Psychologists owe a duty of care to ensure that the client is not harmed by his or her actions - the ethical principle of nonmaleficence (Beauchamp & Childress 1994).
While this ethical imperative can be easier to observe in relatively uncomplicated cases, increased complexity can make it harder to adhere to these standards, increasing risks of ethical transgressions. In particular, the power imbalance can frequently create ethical dilemmas when the professional relationship is combined with other relationships. These events are referred to as dual or multiple relationships. They are potentially problematic because it is generally accepted that the objectivity or judgement of the psychologist can be compromised or impaired by the competing demands and obligations of two or more relationships with the same client.
[The Guidelines] expand on the relevant standard of The Code and emphasise that while not always harmful, multiple relationships are potentially exploitative and/or harmful and may impair the judgement of the psychologist due to possible conflicts of interest. In particular, they note the risk of "slippery slope" phenomena, where small and ethically ambiguous but possibly justifiable boundaries crossings can deteriorate into fully fledged boundary violations.
To obviate this process, psychologists are encouraged to reflect carefully on each and every contemplated boundary crossing, only taking such actions when there are over-riding ethical considerations to do so (The Code, standard C3.3). Otherwise, self-interest can alter the equation and contribute to poor decision-making on the part of the psychologist, which can often be justified by reference to the clients' interests without consideration of the part played by more selfish motives. The result is harm can be done to the client.
[The Guidelines] identify several risk factors for boundary violations that research has shown to increase individual vulnerability. In summary, these factors are:
[The Guidelines] indicate that in determining the advisability of entering into multiple relationships with clients, psychologists need to consider:
The Guidelines on Prohibition of Sexual Relationships with Clients (2008) refer to the relevant Standards in th_e Code_ that prohibit sexual relationships with current and former clients. They emphasise that the definition of sexual relationships is broader than one involving sexual intercourse and includes other behaviours that sexualise the psychologist - client relationship. They prompt psychologists to be mindful of this broader definition in their relationships with clients and former clients.
What is the relevance of the impact on the client?
However, it is very difficult for us to look at the conduct of the respondent in isolation without having the benefit of whether such conduct was detrimental, of benefit or otherwise to [the client].
Evidence about the impact of the conduct on Client A
[psychologists] who wish to engage in sexual activity with former clients after a period of two years from the termination of the service, must first explore with a senior psychologist the possibility that the former client may be vulnerable and at risk of exploitation, and encourage the former client to seek independent counselling on the matter.
My relationship with [IVX] has been very different from other relationships I have been in. From the start it was purely based on conversation and an intellectual connection. In the past I've had people who just want me on their arm or for their image. It was the first time someone wanted to get to know me for what was in my mind and not on a physical basis. It was quite unique.
As I said in my letter from November 2012, I know this case is not about me and that it is about [IVX] and his professional obligations. But I would like to say that I never felt taken advantage of by him. I feel that [IVX] is one of the first people in my life who made me feel equal and he respected my thoughts and opinions.
Psychology Board v Garcia [2015] VCAT 128 (Garcia)
General deterrence is a more important factor in the case. Psychologists treat vulnerable people. There is an inherent imbalance in the professional relationship. If this is allowed to transfer into a personal relationship, the potential exists for damage to the client. This is why there are rules designed to prevent such occurrences. These rules are fundamental to the regulation of the psychologist/client relationship. The disposition must reflect the Tribunal's support of this regulation and the requirement to illustrate that failing to meet the standard has disciplinary consequences.
Psychologists Registration Board of Victoria v Pallini [2008] VCAT 2632 (Pallini)
Psychology Board of Australia v Huson [2013] VCAT 145 (Huson)
Psychology Board of Australia v Cicconi [2013] VCAT 516 (Cicconi)
Medical Board of Australia v Chiappalone [2014] QCAT 170 (Chiappalone).
It is professional misconduct to exploit a discontinued professional relationship. Thus, a medical practitioner should only commence or continue an association with the former patient if they can be no suggestion that he or she is exploiting a dependency in the course of the professional relationship.
Psychology Board of Australia v Cook [2014] QCAT 162 (Cook)
Psychologists Registration Board of Victoria v Mair [2010] VCAT 534 (Mair).
There has been no evidence put before us as to the effect that the respondent's conduct had upon ON. When we say this, it is not a criticism of the applicant because the applicant subpoenaed ON to give evidence. However, ON refused to obey the subpoena and thus, we were deprived of the advantage of knowing what effect, if any, the relationship with the respondent had on ON. In our view, we should not accept the fact that ON's psychological state worsened in any way because of the respondent's behaviour. It is not suggested, in any way, that the lack of evidence as to any causal relationship between the acts of the respondent and ON's psychiatric state excuses the respondent for her wrongful conduct.[our emphasis] [38]
However, it is very difficult for us to look at the conduct of the respondent in isolation without having the benefit of whether such conduct was detrimental, of benefit or otherwise to ON.
In this particular instance, we find that the respondent in having a romantic and sexual relationship with ON did not conduct herself with reckless indifference to the possible consequences of her acts.
In practice, major boundary violations are frequently preceded by lack of attention to minor boundary crossing. The process of boundaries gradually eroding is sometimes referred to as the "slippery slope" phenomenon.
[2] Unreported, Supreme Court of Tasmania. See also Chiropractic Board of Australia v Hooper [2013] VCAT 1346 at [22]
[3] We note that individual practice and practising in a small community were both factors present in this case.
[4] [1995] 2 Qd R 154 at 163
[5] Similarly, in Psychologists Registration Board of Australia v Gerald Egan [2011] VCAT 2443, the Tribunal recorded [at 25] that Mr Egan's sworn evidence help them understand his appreciation of the wrongfulness of his conduct and the reasons for his various lapses. They observed, "most significantly, we are impressed by his candour and the insight he has exhibited. We take this very much into account when considering the appropriateness of the joint proposals.
[6] Buttsworth v Walton [1991] NSWCA 40 at p 8 per Samuels JA.
[7] Buttsworth v Walton [1991] NSWCA 50 at p 8 per Samuels JA.
[8] Varnavides v Dental Board of Victoria, unreported, Vic Sup Ct, 1 May 1998 per Mandie J.
Psychology Board of Australia
IVX