Report of the Legal Workgroup:

Continuity of Care Advisory Panel

Workgroup Members: Margaret Garrett (Co-Chair), Randall Nero (Co-Chair), Evelyn Burton, Laura Cain, Ed Kelley, Dan Martin, Sarah Rhine, Nevett Steele,

Denise Sulzbach, Stacy Reid-Swain, Crista Taylor

Active Participants: Janet Edelman, Mike Finkle, Scott Rose, Susan Kneller, Dan Malone, Kathleen Ellis

October 4, 2013

AgendaIntroduction and Workgroup Charge

Legal Barriers: Issues Raised and Issues to AddressHousingForced MedicationConfidentialityAdvance Directives Guardianship Inpatient and Outpatient Involuntary CommitmentDischarge Planning and Accountability from Providers

Comments from Workgroup Members and the Public

Legal Workgroup ChargeTo support the work of the broader Advisory

Panel by examining studies, data, and reports related to legal barriers to care for the SMI population

To provide recommendations to the Advisory Panel on ways to better address legal barriers to care, prevent interruptions in treatment, and improve health outcomes

HousingOverarching Issue: SMI population should have access

to housing so that continuity of care is not disrupted

Issues Raised: Cannot prevent discharge from hospital if there is no housing

available If patient has capacity and wants to leave, hospital has to

discharge Various housing options available to SMI population:

Housing FirstPublic Housing/Section 8RRP/Provider Supported HousingHUD HousingPrivate Rental HousingAssisted Living Project HomeHomeless Shelters

HousingRecommendations (consensus reached):

Expand Housing First statewide Without reducing funding elsewhere

Update vulnerability index for Housing First applicants to better capture SMI population

Those on waiting lists not be required to continually update application

Standardize admission and termination procedures statewide for public housing and section 8

Support legislation preventing landlords from discriminating based on sources of income (SSI, Sect. 8, etc.)

Housing Issues to Address (no consensus reached):

Standardize and mandate a process for admission and termination procedures for RRP housing

Convene a smaller workgroup to examine housing issuesConsider not tying housing to level of care/other services

Change regulations for assisted living to separate the needs for people with a mental illness living in assisted living from the needs of the elderly and the disabled

Standardize admission and termination procedures for emergency sheltersEstablish “wet” sheltersConcerns regarding impact on small nonprofit shelters

Forced MedicationOverarching Issue: The Kelly decision

and redefining ‘dangerousness’

MD Health-General Code Ann. § 10-708(g):“The panel may approve [forced medication] if the

panel determines that [w]ithout the medication, the individual is at substantial risk of continued hospitalization because of: (1) Remaining seriously mentally ill with no significant

relief of the mental illness symptoms that cause the individual to be a danger to the individual or to others;

(2) Remaining seriously mentally ill for a significantly longer period of time with mental illness symptoms that cause the individual to to be a danger to the individual or others” (emphasis added).

Forced MedicationDep’t of Health & Mental Hygiene v. Kelly, 918

A.2d. 470 (Md. 2007):The Kelly decision defined “danger to the individual

or to others,” as that phrase is used in § 10-708(g)(1) and (2), to mean “danger to the individual or to others in the context of his confinement within the institution” (emphasis added).

Issues Raised:Clinical Review Panel (CRP) process does serve as

a check, and the CRP’s decision can be appealed Concern that CRP is only a check in terms of clinical

appropriateness of prescribed medication and is not a legal proceeding

Forced MedicationIssues Raised (cont.):

At administrative hearings patients without financial resources are hampered by inability to present a physician expert and thus the decision usually comes down to ‘danger to others’ standard

Allows for the treatment of SMI patients who lack insight into their condition If SMI patients are properly treated, they can be

released earlier Concern that there is no data for this, and state interest

will not override right to bodily integrity

Concern that lack of insight is not a legal standard – it is lack of capacity and/or dangerousness

Forced MedicationIssues Raised (cont.):

Requiring a showing of ‘dangerousness’ within the institution can lead to unnecessarily long and potentially indefinite confinement of patients who are not dangerous within the confines of an institutionInstitutional providers are unable to forcibly treat

non-dangerous patients with severe mental illness even if treatment is in the patient’s best interest

Forced MedicationIssues to Address (no consensus reached):

Need to redefine ‘dangerousness’ standardPatients are being involuntarily committed because

they are dangerous in the community, but may not be considered dangerous once committed for forced medication purposes unless the patient commits dangerous acts in the future

‘Dangerousness’ needs to be defined more broadly, not just focusing on the patient’s dangerousness in a hospital setting

Patients are automatically re-paneled when facts change overtime

ConfidentialityOverarching Issue: Balancing the need to

protect PHI while ensuring such information is able to be shared with appropriate providers

HIPAA and Other Federal Statutes

MD Health-General Code Ann. § 4-307(c):“When a medical record developed in connection

with the provision of mental health services is disclosed without the authorization of a person in interest, only the information in the record relevant to the purpose of disclosure is sought may be released.”

ConfidentialityMD Health-General Code Ann. § 4-307(j)(1):

“A health care provider may disclose a medical record without the authorization of a person in interest:(i) To the medical or mental health director of a

juvenile or adult detention or correctional facility if: 1) The recipient has been involuntarily committed under

State law or a court order to the detention or correctional facility requesting the medical record; and

2) After review of the medical record, the health care provider who is the custodian of the record is satisfied that disclosure is necessary for the proper care and treatment of the recipient.”

ConfidentialityMD Health-General Code Ann. § 4-307(k)(1):

“A health care provider shall disclose a medical record without the authorization of a person in interest to the medical or mental health director of a juvenile or adult detention or correctional facility or to another inpatient provider of mental health services in connection with the transfer of a recipient from an inpatient provider, if: (i)1) The health care provider with the records has determined

that disclosure is necessary for the continuing provision of mental health services; and

2) The recipient is transferred:A) As an involuntary commitment or by court order to the

providerB) Under State law to a juvenile or adult detention or

correctional facility; orC) To a provider that is required by law or regulation to

admit the recipient”

ConfidentialityIssues Raised:

Current federal and state statutes have addressed issues concerning the PHI of SMI patientsMental health records are treated more securely than

general medical records

MD does have a statewide health information exchange (CRISP) that allows medical records to be queried

ConfidentialityIssues Raised (cont.):

Not having access to mental health records prevents providers from effectively treating SMI patients in both the inpatient and outpatient settingMost significant barrier to ensuring continuity of care

for SMI patients as they move through health care system

Mental health records are not able to be queried by CRISPCan only pull the entire medical record, not specific

sectionsHospitals are the only participants

ConfidentialityIssues to Address (no consensus reached):

Need to clarify what ‘minimum necessary’ means in § 4-307(c)“[O]nly the information in the record relevant to the

purpose for which disclosure is sought may be released.”

Promote pilots to expand CRISP to include mental health providers

Have DHMH draft memo on whether CRISP can query specific information in a medical record

Allow correctional and juvenile facilities to participate in CRISP

ConfidentialityIssues to Address (cont.):

Have DHMH update document comparing federal privacy statutes and regulations with MD privacy statutes and regulations Has not been updated since 2003Include section devoted to mental health records

Have DHMH clarify when providers can release information without consent in order to facilitate care transitionsProvide specific examples of when and what

information can be released

Advance Directives Overarching Issue: The Role of Advance

Directives

MD Health-General Code Ann. § 5-602.1 “An individual who is competent may make an

advance directive to outline the mental health services which may be provided to the individual if the individual becomes incompetent and has a need for mental health services either during, or as a result of, the incompetency.”

Advance DirectivesMD Health-General Code Ann. § 5-604

“An advance directive may be revoked at any time by a declarant by a signed and dated written or electronic document, by physical cancellation or destruction, by an oral statement to a health care practitioner or by the execution of a subsequent directive.”

Issues Raised:Allow individuals to establish desired end-of-life care

decisions ahead of time It can be rescinded by the patient at any time

regardless of competency and guardianshipConcerns about purpose and effectiveness when a

patient lacks capacity

Advance DirectivesRecommendations (consensus reached):

Waive the Advance Directive Registry Fee for those who cannot afford it

Provide education on advance directives

Issues to Address (no consensus reached): Insert Ulysses clause into advanced directives

so that if there is an advance directive, it cannot be rescinded until patient has capacityHave a person with capacity choose for it to be non-

revocable, which becomes legally binding Concern about coercion

Advance DirectivesIssues to Address (cont.):

Create a delay in terms of revoking an advance directive so that revocation does not take effect until 72 hours after revocation

Amend Maryland Health-General Code Ann. § 10-632 to allow for a determination by an ALJ as to whether or not someone has the capacity to sign voluntarily to be admitted to a facility for psychiatric treatment so that individuals under guardianship who are competent do not lose their civil rights

Guardianship Overarching Issue: Balancing individual liberty

with care decisions

Issue: Processes available for establishing guardianship

Issues Raised: Involuntary commitment procedures protect

due process rights A hospital cannot hold a non-psychiatric patient

who lacks capacity in order to establish a guardian without committing them

Establishing guardianship can be a burdensome and expensive process, particularly for families

Guardianship Issues Raised (cont.):

Even with guardian, involuntary commitment can be a burdensome process

Guardians cannot voluntarily admit someone without a hearing

Although the guardianship statute directs that courts shall appoint a guardian if the criteria are met (see § 13-705(b)), a court may still not appoint a guardian if the guardian is unable to meet the needs of the individual or have the authority to compel treatmentSee Johns Hopkins Bayview Medical Center v. Carr where

despite finding an individual incompetent, guardianship was not appointed based on the individual’s objection to guardianship and anticipated lack of cooperation.

GuardianshipRecommendations (consensus reached):

Provide education on what guardianship coversGuardian’s ability to consent to psychotropic

medications and ECTSome states allow guardians to admit people to the

hospital, some do not

Clarification by legal aid about guardianship process to support and educate families Address issues that include: prohibitive costs and time

delayFamilies need more support and education to go

through the process

Guardianship Issues to Address (no consensus reached):

If guardianship has been filed (from time of second certification) the institution can retain an individual for three business days (or until next day courts are in session) and courts can consider an expedited emergency process Potential concerns regarding discrimination if

targeted at individuals with suspected mental illness

Allow a guardian to voluntarily admit someone with two physician certifications

Inpatient Involuntary Commitment

Overarching Issues: Individual freedom, competency, safety

Issue: Involuntary Commitment Standards

Issues Raised: Dangerousness Requirement: Whether the individual

presents a danger to the life or safety of the individual or of others. MD Health-General Code Ann. § 10-632(e).Some misinterpret dangerousness requirement to mean

imminent danger Is an individual with guardianship able to voluntarily admit Lack of a gravely disabled component in Maryland Need a more accountable system that meets needs System will not provide access to a patient with mental

illness unless they meet dangerousness standard

Inpatient Involuntary Commitment

Issues to Address (no consensus reached): Add a gravely disabled component to mental illness

definitionSome believe use of clinical criteria would result in selection

of a more appropriate population and allow for earlier intervention

Concern that this it isn’t necessary to differentiate broader danger from imminent risk of violence because Maryland’s dangerous standard does not require an imminent risk or threat of serious bodily injury to self or others and thus includes less serious and/or immediate harms

The current “dangerous” standard is interpreted by ALJs as including non-violent behavior that presents a danger to the person’s health and well-being

Concern that defining the boundaries of “danger” eliminates the ability of clinical evaluators to use their experience and expertise

Inpatient Involuntary Commitment

Issues to Address (cont.):Develop and implement training program for

emergency department Should include follow-up to test competency and

procedures to address problems identified

Outpatient Involuntary Commitment

Issue: Court ordered outpatient treatment is currently not an option in Maryland

Issues Raised: Can be effective in providing care to persons with mental illness

who refuse treatment or don’t realize they are ill Contribute identifying persons at risk of violence against self and

others and preventing that violence Encourage people to enter treatment willingly, help to better

manage their illness Can help prevent episodes of deterioration and related negative

outcomes Less restrictive alternative to inpatient commitment Reduce inpatient stay, potentially save dollars, relieve strain on

families and caretakers

Outpatient Involuntary Commitment

Issues Raised (cont.):Potential civil liberties issues Could unfairly target persons or groups (i.e. African

Americans) with mental illnesses, creates stigma May wrongly assess individuals as being at imminent

risk of danger toward others Could drive people away from treatment Draw resources away from other issues such as lack

of access to careThere is a general lack of data (which is mixed) on

the effectiveness of outpatient involuntary commitment

Outpatient Involuntary Commitment

Issues raised (cont.): Some research shows that persons with a mental illness,

alone, pose no statistically greater risk of violence than the general public

Studies do not conclusively show that a court-order is necessary to achieve the reported positive results of a well-funded IOC system

Maryland does not currently have the robust and coordinated voluntary services array that all agree are needed – involuntary commitment may not be answer

Without significant increases in funding (that is sustained long-term), IOC diverts resources from those who want and use services

Studies on IOC leave out the consumer voice, raising serious questions about claims of effectiveness, certainly in terms of long-term engagement

Discharge Planning & Accountability from

ProvidersIssue: Contacting family when discharging

a patient if the family is part of the continuing care

Issues Raised:Ensuring families can be involved in discharge and

continuity of careTJC/CMS COP requirement already supports thisFamily may not want to be involved; patient may

not want family involved May be more of a clinical practice issue rather

than legislative; currently not required by statute (unless consent is obtained; see COMAR § 10-809(a)).

Discharge Planning & Accountability from

ProvidersIssues to Address (no consensus reached):

Require a time notification (i.e. at least 24 hours before discharge)

Notify the family if there is a history of violence against the familyNeed to take into account other side where the

patient may have history of being abused, must also consider how to protect individual

Discharge Planning & Accountability from

ProvidersIssue: Provision of housing services

Issues Raised:Make hospitals more accountable for housing effortsThe aftercare statute doesn’t say there has to be a

plan for supportive housing, so this would enforce that need

Social problem vs. legal problem

Discharge Planning & Accountability from

ProvidersRecommendation (consensus reached):

Clarification on when families need to be/can be included in the discharge process (discussion in after-plan, clarification of public agencies on discharge of wards from psychiatric facilities)

Issues to Address (no consensus reached):Accountability for finding housing services at

discharge Require at least more documentation of what efforts

were made to find housing or services – need more oversight of hospitals

Discharge Planning & Accountability from

ProvidersIssues to Address (cont.):

Shouldn’t discharge to homelessness, there needs to be more case management and the hospital should connect to care coordination in pre-discharge plans Maybe not something that can be effectively

addressed legally

Bed-holds or housing guarantees for individuals that have housing and have to be hospitalizedRevolving door problem Could pose a problem with fee for service

environment and private pay facilities

Discharge Planning & Accountability from

ProvidersIssue: Jackson limits for IST cases

Jackson v. Indiana, 406 U.S. 715 (1972): “a[n incompetent] defendant cannot be held more than the reasonable period of time necessary to determine whether there is a substantial probability that he will attain competency in the foreseeable future…. Due process requires that the nature and duration of commitment bear some reasonable relation to the purpose for which the individual is committed”

Maryland Statute: “the court shall dismiss the charge against a defendant found incompetent to stand trial:When charged with a capital offense, after the expiration of 10

years;When charged with a felony or crime of violence…, after the lesser

of the expiration of 5 years or the maximum sentence for the most serious offense charged; or

When charged with an offense not covered under paragraph (1) or (2)… after the lesser of the expiration of 3 years or the maximum sentence…” [MD Code-Annotated, Criminal Procedure §3-107(a)]. 

Discharge Planning & Accountability from

Providers Issues Raised:

The limits may be too long; resulting in people occupying beds far longer than necessary because they are held until a judge thinks the treatment plan is adequate.

Cases may be held open for lack of discharge plan Charges can get folded into each other affecting time

requirements The MD requirements are much longer than other states.

Issues to Address (no consensus reached): Put limits on treatment (there should be shorter

timeframes) Statutory change to give discretion to courts to not follow

minimum or maximum time frames Concern that if statute gets opened, judiciary will take

control

Comments from Workgroup Members and

the Public