The Child and Adolescent Psychiatrist in Court



The Child and Adolescent Psychiatrist in Court


Sarghi Sharma

Christopher R. Thomas



This chapter is intended to serve as a guide for the child and adolescent psychiatrist who will need to work within the legal system; to help clarify and demystify the complex legal realm and hopefully empower child and adolescent psychiatrists when they interface this system (Table 7.3.1.1). Whether or not a child and adolescent psychiatrist has any interest in forensic work, there may come a time when he or she will have to deal with the legal system. There are many scenarios in which child and adolescent psychiatrists and the legal system may interact, involving not only those offering forensic testimony, but clinical practitioners with no intent for legal involvement. The chapter begins with a brief overview followed by sections that clarify the two distinct roles that a child and adolescent psychiatrist may serve within the judicial process. Many of the dilemmas encountered will not have a clear-cut answer and since factors within any legal situation are complex and often jurisdiction specific, it is more important for the child and adolescent psychiatrist to understand the general guiding principles and be able to apply them appropriately.


Overview

The court structure in the United States has both state and federal systems. The state and federal courts consist of general trial courts that can have appellate review. That means that at times a case can be decided by a lower court, but a party in the case can later appeal the decision or proceedings to a higher court. General courts in both systems handle criminal and civil cases. Civil cases encompass a wide variety of legal actions ranging from personal injury claims to breach of contracts, while criminal courts involve cases brought by the government against a defendant for allegedly committing illegal acts. Psychiatrists are increasingly being called upon to testify in cases involving children and adolescents for varying purposes in all types of legal proceedings.

The state legal systems also provide a series of specialized courts for matters that are better handled in a court of limited jurisdiction. Juvenile court is the type of specialized civil court that is most familiar to many child and adolescent psychiatrists. The creation of a juvenile court in 1909 focused on the rehabilitation of delinquents rather than their punishment and thus was meant to be different from adult criminal courts. The criminalization of juvenile justice over the past decades has resulted in what were previously adult forensic psychiatric evaluations, such as competency examinations, being requested in juvenile court.

The extent to which a child and adolescent psychiatrist needs to be familiar with the court system will depend upon their practice. Those who are involved in forensic work need to and will be held accountable to have an understanding of the various court systems and different procedures to a much greater extent than the child and adolescent psychiatrist whose only involvement with the court is when subpoenaed as a fact witness.

Many psychiatrists are understandably apprehensive of any contact with the court. Unfamiliarity with the processes and procedures of the judicial system is a major factor in these misgivings and anxieties. Most information child and adolescent psychiatrists have about the judicial system is based on fictional depictions from books, television, and movies, or from news reports about high profile cases. Imagine the distorted view others have of child and adolescent psychiatry based on the same sources and it is easy to see how unfamiliarity exists on both sides of psychiatry and the law. It is not only the difficulty of dealing with unfamiliar rules, but also very different approaches to evaluating information and making decisions from those used in medicine. While child and adolescent psychiatrists frequently must address conflict in the clinical care of patients, the methods of reaching resolution focus on reducing confrontation through amicable mediation or reconciliation. In contrast, the judicial system relies primarily on an adversarial approach, where opposing parties are allowed the opportunity to present their strongest arguments supporting their position and attacking the other so that a judge or jury may decide between the two. The aggression of cross-examination can be very intimidating and feel more like a personal attack rather than a dispute of ideas. Medical professionals are often baffled by judicial rulings that go against their opinions or recommendations when they fail to see that the court must consider and balance a wider range of viewpoints or evidence. Previous experience with litigious families and rising general concern about medical malpractice also add to misgivings about any contact with the courts for child and adolescent psychiatrists. As in any consultation setting, knowledge and practice can correct most uncertainties and improve the ability of the child and adolescent psychiatrist working with courts and attorneys.


Treatment or Fact Witness


Process of Involvement


Subpoena

At times child and adolescent psychiatrists becomes aware of their role in a legal situation by way of a subpoena. A subpoena is a legal document that, in most cases, will result in being compelled to either appear at a specified proceeding, produce specified documents, or both. In most cases being served with a subpoena does not mean that the child and adolescent psychiatrist has done something wrong. Generally, it simply means that the recipient possesses information that is relevant to a legal dispute involving other parties. If the child and adolescent psychiatrist works for an organization, be it state or private, they should contact their legal department and inform them of the subpoena as soon as possible. If a recipient is in private
practice, s/he may want to discuss the subpoena with an attorney as it may have later implications related to another type of legal claim. The attorney named on the subpoena does not need to be contacted, but may be called to clarify the reason for the issuance of the request. While the child and adolescent psychiatrist may ask the attorney questions about the pending legal case, it is important to remember that attorneys, including those who work for the state or other government agencies, can lack an understanding of privacy laws that direct clinical practice disclosure of information regarding protected health information. It is possible for the child and adolescent psychiatrist to violate the Health Insurance Portability and Accountability Act (HIPAA) Privacy Rule under these circumstances, as subpoenas do not necessarily provide the authority to release confidential personal health information.








TABLE 7.3.1.1 DEFINITIONS OF LEGAL TERMS




Confidentiality:
Secrecy; the state of having the dissemination of certain information restricted.
Cross-examination:
The questioning of a witness at a trial of hearing by the party opposed to the party who called the witness to testify. The purpose of cross-examination is to discredit a witness before the fact-finder in any of several ways, as by bringing out contradictions and improbabilities in earlier testimony, by suggesting doubts to the witness, and by trapping the witness into admissions that weaken the testimony. The cross-examiner is allowed to ask leading questions, but is traditionally limited to matters covered on direct examination and to credibility issues.
Defendant:
A person sued in a civil proceeding or accused in a criminal proceeding.
Deposition:
A witness’s out-of-court testimony that is reduced to writing (usually by a court reporter) for later use in court for discovery purposes.
Direct examination:
The first questioning of a witness in a trial or other proceedings, conducted by the party who called the witness to testify.
Expert witness:
A witness qualified by knowledge, skill, experience, training, or education to provide a scientific, technical, or other specialized opinion about the evidence or a fact issue.
Fact witness:
A witness who may testify only to information that is based on firsthand knowledge.
Guardian ad litem:
A caretaker, usually a lawyer, appointed by the court to appear in a lawsuit on behalf of an incompetent or minor party.
Plaintiff:
The party who brings a civil suit in a court of law.
Preponderance of evidence:
The greater weight of the evidence; superior evidentiary weight that, though not sufficient to free the mind wholly from all reasonable doubt, is still sufficient to incline a fair and impartial mind to one side of the issue rather than the other. It is also referred to as preponderance of proof or balance of probability.
Privilege:
A special legal right, exemption, or immunity granted to a person or class of persons; an exception to a duty.
Reasonable doubt:
The doubt that prevents one from being firmly convinced of a defendant’s guilt, or the belief that there is a real possibility that a defendant is not guilty.
Redirect examination:
A second examination, after cross-examination, the scope ordinarily being limited to matters covered during cross-examination.
Subpoena:
A writ commanding a person to appear before a court or other tribunal, subject to a penalty for failing to comply.
Subpoena duces tecum:
A subpoena ordering the witness to appear and to bring specified documents or records.
Voir dire:
A preliminary examination to determine the qualifications of a prospective witness or evidence.

When it is time for the child and adolescent psychiatrist to provide the information requested in the subpoena, he or she needs to ensure that the patient or the individual who controls the privilege, as in the case of a minor child, has consented to the information’s release, there has been a judicial determination that the privilege does not apply or has been waived by some conduct of the patient’s, such as making their mental health a part of the legal claim. If there has been no waiver by the patient or when it is uncertain who has the ability to consent, such as in the course of custody disputes or with divorced parents, the child and adolescent psychiatrist should contact the issuing attorney to notify him or her that they will not be able to provide any information about the patient without authorization by the patient, the valid representative, or a court order. If the child and adolescent psychiatrist is not provided with any of the above, then he or she must still appear at the court proceeding or deposition and provide information about himself, but when asked information regarding the patient the psychiatrist would respond that the information is confidential and privileged and follow the direction of the judge if in court (1).

There are occasions when the underlying legal dispute may involve, or have the potential to involve, professional liability claims that could expose the practitioner to legal liabilities and would involve different HIPAA regulations that are not covered in this chapter and for which the reader is referred to Chapter 7.3.4 on medical malpractice.


As mentioned above, the subpoena could also require the production of all the relevant medical records. Child and adolescent psychiatrists that work for an institution or do contract work are not responsible for maintaining the information and will not be the custodian of record for the medical records. They would thus not have any documents that are responsive to a subpoena. For clinicians in private practice however, arrangements for the entire medical record that is responsive to the subpoena must be made available.

The child and adolescent psychiatrist may be asked by the family of their patients or the patients themselves to provide legal testimony regarding psychiatric treatment rendered. This may at times be appropriate to agree to as it may offer more flexibility regarding appearance versus a subpoena. However, when the testimony requested is regarding an expert opinion and not a rendition of treatment facts, the requesting party should be informed of the impropriety of the request and that this type of service is best handled by a nontreating psychiatrist. Further information regarding the role of forensic testimony by child and adolescent psychiatrists is detailed in the following section. The child and adolescent psychiatrist should avoid serving as both treating clinician and forensic expert for any given individual.


General Court Procedures

For the child and adolescent psychiatrist who has never been to court before, it is strongly recommended to visit the courthouse prior to testifying. Knowing where to park, where the courtroom in located, where to sit, and the general layout of the courtroom can be helpful to alleviate anxiety and increase the overall comfort level. Juvenile, or family, courts are generally not open to the public and only the parties involved in the current case are allowed attendance without prior permission.

The child and adolescent psychiatrist should dress appropriately for court, with either a suit or blazer for both men and women. If bringing files into court they should be contained properly and organized for ease. Avoid unnecessary items to avoid delay with security clearance. Cell phones and pagers are not allowed to be on during court, so other arrangements for coverage will be required. When the physician arrives at court it is important to let the attorneys be aware of the arrival and any time constraints. Although the psychiatrist will be given a specific time for testimony there is often a significant wait time which is why is it wise to keep the day clear of clinical duties. Many people will bring reading materials to court, but watching the legal process is an interesting way to spend the time as well.

In general, the layout of the courtroom will have a judge presiding on an elevated podium, referred to as a bench, with the court personnel below and to the side of the bench. The attorneys, as there may be several, will be seated at tables facing toward the judge. There will also be a court officer present. If it is an open court, there may be many other people not involved in the case in attendance in the gallery. Depending upon the type of case and the state, a jury may be seated for testimony. When the child and adolescent psychiatrist is called to testify, he or she is sworn in by the officer of the court and then allowed to sit in the witness box which is usually to the side of the judge. The psychiatrist will be asked to state name and business address. It may be helpful to bring a business card to give to the court reporter for difficult spellings, although many courtrooms now do not have court reporters, but audio record proceedings. Either way, the testimony will be put into the official court record. The psychiatrist will be asked to state his or her credentials, training and experience in a process known as voir dire.

The psychiatrist may not bill the patient or an insurance company for time spent for testimony or any aspect of the subpoena. In general there will be no reimbursement for the time spent in court as a fact witness.


Testimony

There may be many lawyers involved in the case and all of them will have an opportunity to question the psychiatrist. There will be initial questioning by the side that has asked the fact witness to testify, usually the patient’s attorney, which is called direct testimony, after which they will be asked further questions related to the topic of the earlier testimony or submitted records by an opposing attorney, referred to as cross-examination. The first attorney then is able to ask the physician further questions if they choose to “redirect”, after which the other attorney has the right again to ask questions. The types of questions and the goals of the questioning will vary depending upon the case and the attorney’s relationship to it. When the witness is finished with his testimony, the judge will excuse him and the psychiatrist will now be free to leave the courtroom. There may be times when the psychiatrist may have to return to court the next day or on a later date. The court will try to work within the physician’s schedule, so a prudent physician may wish to bring an appointment book to expedite the process of rescheduling.

When testifying in court, it is important to speak clearly and loudly and allow time to think about a question before supplying an answer. Since the testimony is being recorded or transcribed, all the responses must be verbal. It is important to remain calm and professional regardless of the actions of the attorneys or others involved in the case. The fact witness should give only factual information and not speculate or give an opinion in their answer. The simplest and best advice for testifying in court seems to often be the hardest to follow: Answer the question asked and do not offer further information. There will be times when a question can not be answered as posed and the psychiatrist should feel free to say so to the attorney or presiding judge. This may be the case when the fact witness is asked to give a yes or no only answer to misleading questions, which at times the psychiatrist would be able to clarify if given the opportunity. The psychiatrist does not have to be able to answer each question asked. He or she should feel comfortable saying that aspect was not evaluated or s/he simply does not know the answer to the question. The psychiatrist should expect to understand the question and be comfortable in asking for it to be repeated or rephrased. If a question of a fact is asked, the witness has the option, which should be exercised liberally, of checking it against the medical records before responding. The law requires that the fact witness testify according to the best memory or with the aid of written records. This allows the psychiatrist to indicate either uncertainty regarding the answers or no recollection regarding the specific question. Sometimes, attorneys and judges may ask questions regarding the psychiatrist’s opinion as an expert. It is very important to not cross the boundary as a clinician testifying as a fact witness and become instead an expert witness, as this can compromise treatment. If this occurs, the psychiatrist can politely raise the issue and express to the judge the problem of providing expert opinion and serving as therapist. Sometimes, questions for expert opinion can be deflected by the fact witness clinician by stating that the question was never addressed or evaluated as part of the routine care of the patient.

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Jul 20, 2016 | Posted by in PSYCHIATRY | Comments Off on The Child and Adolescent Psychiatrist in Court

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