Risk management

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Chapter 12 Risk management

Risk management in a mental health setting is the task of minimising the likelihood of an adverse outcome whilst maintaining a focus on good treatment.

The quote below first appears at the beginning of the book, but it is useful to cite it again here as the message is very important.

This problem becomes the nub of risk management within mental health. On the one hand clinicians try to treat the illness whilst at the same time managing the risk which is often a complication of the disease process rather than a symptom of the disease itself.

Given the examples that have been worked through in this book, it will be apparent by now that risk management is a combination of all the processes that have been described so far. The task now is to combine them into a whole and ensure that the effectiveness of the risk management can be evaluated.

Risk management on its own is meaningless. It is only when it is incorporated into the treatment of the patient’s illness with a focus on recovery that it develops meaning. Before considering anything else, consider the illness. Sometimes in mental health there is no choice but to live with high risk whilst instituting appropriate treatment for the illness. This is no different to any branch of medicine. A pitfall in risk management for clinicians is instituting containment to reduce the risk which does not necessarily improve the outcome for the illness and which may also generate other risks.

Trying to incorporate clinical management into risk management tends to lead to an approach in which the illness takes secondary importance. It is more effective to incorporate risk management into clinical management.

Risk management starts from the beginning of the first assessment and continues until the patient is discharged. It involves a series of decisions, some small and some large, made with the patient and often their family over the course of their path through mental health services.

Imminence and level of risk is assessed during each meeting with the patient and is guided by the risk management plan. (For inpatient settings, this may be formally undertaken on a daily basis but in an outpatient setting, this should occur each time the patient is seen.)

As well as routine management of clinical risk, good risk management should also be able to cover the following situations:

Risk management can be separated into two parts: management of the risk in the here and now and planning for the future. In practice, the two parts tend not to be divided as the management of the current situation should also be future oriented. A risk management plan can be used as a ‘decision support tool’4 both in the acute situation to facilitate immediate intervention as well as for implementing interventions over a longer period.

The tasks of risk management (after the assessment is complete)

2 Managing the risk factors (specific strategies)

To recap:

Once the decision has been made to follow a particular course of action, and the risk/benefit analysis has been documented, the management of the risk factors can be considered. This is no different to routine clinical practice.

The management of both the static and the dynamic risk factors is one which is discussed amongst the treatment team, the patient and family. The focus of trying to reduce the likelihood of the event occurring will invariably focus more on the dynamic factors as the static factors will not change. There is no rank order for predictors. The only change which may occur with the static factors is the patient’s adaptation to them. ‘The value for the clinician is in the interaction of the factors.’5

How frequently the risk factors are reviewed will be dependent on the setting. In services in which levels of risk are used, there should be a schedule for formal reviews to be undertaken whilst other services will determine the frequency of reviews dependent on clinical judgment. In either case, the process will be the same: a review of the risk factors. In services in which standardised rating scales are used, there will be specific risk factors which are reviewed on a regular basis. In those services in which structured clinical judgment is used without standardised rating scales, those risk factors specific to the patient will have been identified and can be considered individually. Some clinicians use simple scales — present, partially present or absent — whilst others may wish to review the efficacy of the interventions.

This step is usually indistinguishable from good clinical management of the disease process. As well as treating and managing risk factors, assessment and interventions for the early warning signs (EWS), triggers and relapse indicators should be undertaken. The aim of looking forward is to anticipate repetition of the context.6 This is the stage when the patterns which were identified as making the risk behaviour more likely are managed. This step is the central task of risk management.

EWS and triggers which may make the risk behaviour more likely are not the same as risk factors. EWS are often more subtle signs, such as irritability, loss of self-care, pre-occupation, etc. These will often be noticed by others before the patient notices them. Developing an awareness of precursors of the risk factors makes the likelihood of early intervention more possible. There will often be overlap between the risk factors, EWS and triggers. In practice it does not matter where they are documented as long as interventions are developed.

Identification of early warning signs (EWS)

Summary of specific strategies

Consideration will need to be given to the threshold for and imminence of the risk behaviour occurring. The concepts of signature risk signs (page 20), critical risk factors (page 20) and risk scenarios (page 34) will help in this regard. For example, if an impulsive patient has a history of being violent with little obvious provocation, violence may always be close by. For other patients, it may take immense provocation for them to become violent.

Sometimes it may be necessary to put short-term measures in place to reduce acute risk whilst waiting for the illness to settle.

A risk management plan will always complement and be a component of a fuller clinical treatment/management plan. The risk documentation should be placed in the patient’s file in such a way that it is easily accessible for all clinicians and written in such a way so that the risk factors, early warning signs and relapse indicators can be cross-checked against the patient’s mental state and external circumstances on the day that they are seen. Working with the patient and their family so that they all have copies of the risk and treatment plans makes this easier. This will also go a long way to increasing the likelihood of the management plan being feasible, the patient having better support and being less likely to be exposed to destabilising influences. These latter three factors rate highly in the Historical/Clinical/Risk Management 20-item (HCR 20) scale7 risk management part of its scale as being of importance in preventing future episodes of violence.

Consideration should always be given to strengthening the protective factors. This is now being explored in one standardised rating scale.8

4 Managing the potential consequences (risk mitigation)

After the treatment direction has been chosen, there will always be some risk left. Management of the potential consequences is primarily systemic and involves discussing the likelihood of the event occurring with the patient and family. It involves discussing the risk within the multidisciplinary team (MDT) and, if necessary, discussion with the wider management team. It will also involve the usual risk mitigation strategies such as limiting access to the means to complete the risk act; for example, limiting access to medication in the risk of suicidality etc.

Are the following questions able to be answered?

5 Communicate to all concerned

This should be routine. For risk management plans, signatures of everybody who is involved in the treatment should be collected where possible. This is likely to include the patient, family, clinicians and possibly management. If this is not feasible, document who has been consulted in the development of the plan. Asking the patient to sign their plan is a therapeutic intervention, will improve rapport, ensure that the plan is feasible and also make it more likely that it has been written in plain English without ‘psychobabble’ (jargon) getting in the way. Signatories may also include chaplains, GP, medical wards, EDs and friends in more complicated plans.

Duty to warn and protect: a dilemma in communication

Occasionally a patient will threaten violence to a third party. The dilemma that a clinician finds themself in is: when can they breach patient–clinician confidentiality by informing the third party or legal authorities in order to protect them?

The background case which generated the current focus on this issue was the Tarasoff case. In 1969, Prosenjit Poddar told his treating psychologist that he planned to kill his former girlfriend, Ms Tatiana Tarasoff. In response to this, the clinician provided both oral and written warnings to the campus police who interviewed Mr Poddar and subsequently released him. Mr Poddar later insinuated himself with Ms Tarasoff’s family and then killed her. Her parents initiated a lawsuit. In the second court case, Tarasoff II, the court held that:

The onus on the mental health worker is to make him or herself aware of the current legal obligations with respect to duty to warn and protect. It is likely that this evolving area of law will continue to have a substantial impact on the care of the mentally ill.

There are some general guidelines that apply to most situations.

A full risk assessment should be undertaken before any action is taken.

The phrase ‘if the release of that information is necessary to prevent or lessen a serious or imminent risk to others’ should be considered as the litmus test for consideration of a breach of confidentiality.

The clinical conundrum of differentiating between fantasy which needs to be discussed within the context of treatment and the reality of a threat of violence is a difficult area. It is likely that there is a continuum between fantasies of violence and direct threats.

Laws about breaching confidentiality are slightly different in each country and, if uncertain, advice should be taken from a senior colleague or the legal services of the workplace.

The person or group at risk needs to be identifiable.

If usual clinical interventions such as admitting the patient to hospital cannot control the risk, it may be necessary to inform the third-party without the patient’s consent in order to manage the risk. Only enough information to protect the third party should be disclosed. It would be rare that disclosure of psychiatric information would be required.

Information may be passed on to an authority (e.g. the police) to protect the person at risk. If appropriate, the patient should be told that you are going to do this. If the patient’s condition will worsen as a result, the patient should be told at a later time.

This is a rare situation and the advice of senior colleagues should always be taken whenever possible.

For further reading see Gellerman (2005).11

6 Documentation of risk management

The level of risk is usually closely linked to acuity of illness. It is usually raised when a patient experiences deterioration of mental state or when situational factors re-occur. On the risk plan there should be spaces for documentation of risk factors, early warning signs and triggers along with recommendations for interventions should these occur in the acute situation. Although interventions may have been implemented to reduce the risk in the long term, crises can still occur. The risk management plan should include recommended interventions for these situations. The proposed interventions can only ever be recommendations. The final decision has to be left to the clinician on the spot because of the many variables which will need to be factored into each unique situation.

Many mental illnesses have an enduring nature and the associated risks will often be increased before florid signs and symptoms emerge. Frequently, the risks will be identified by family and friends. Incorporating this into a plan can be invaluable.

An intervention recommending admission to hospital — voluntarily or involuntarily — dependent on level of insight may be built into a risk management plan. Once it has been identified that the risks are more likely to occur with the onset of a relapse of illness, the issue of enforced compliance with medication will be raised. For those countries that have community treatment orders (CTOs) built into their mental health legislation, life has become easier as it is simpler to work with a seamless continuum between the community and hospital. However, there is a huge debate about the legal and ethical principles behind CTOs which may make their introduction in some countries less likely.

The debate about whether there should be a separate risk management plan or whether it should be incorporated into the treatment plan has not been resolved. If there is a separate risk management plan, at the very least interventions for the dynamic factors, early warning signs and triggers for relapse should be included in the patient’s overall treatment plan as well.

Where possible, the patient should have a copy of their risk and treatment plans.

8 Review and evaluate the effectiveness of the intervention

Set a date for the review. Make sure that this is communicated to everybody concerned. Preferably, review dates should be built into administrative processes.

The next two exercises in this section focus on the identification of interventions for the risk factors, early warning signs and triggers. The interventions are likely to be utilised in the treatment plan even if they are generated initially through the pathway of risk management. As described previously, the ability to ‘cut and paste’ makes the process of moving interventions from risk management plans to treatment plans easy. In the exercises, the plans have been partially completed. There is new information for both Colin and Monique and all that is required is for the early warning signs, triggers and interventions to be written in. Be creative with your answers and imagine that you are working alongside your patients whilst you are completing the exercises. The final part of the risk management form is a review of the efficacy of the interventions. Make sure you add a review date. This should be planned after determining how frequently the patient needs to be monitored.

Exercise 1 — Colin (continued)

You will remember Colin from Chapter 9 (exercises 3 and 6) and Chapter 10 (exercise 1).

The original example appears below, along with some new information.

Colin is a 37-year-old man who has just moved down from another city. You are asked to see him in the Emergency Department (ED). He was brought in by the police after a report of a disturbance in the main shopping street where he was shaking his fist angrily at all and sundry and chanting. He is staring at you intently and says to you, ‘There’s nothing wrong with me’. There is a smell of cannabis in the room.

In ED, Colin allows you to take a history. There is a significant family history of abuse, mental health issues and substance misuse. For the last 10 years Colin has been smoking five joints of cannabis per day and tends to drink between 10 and 20 cans of beer per week. He says that approximately 6 months ago, he felt that his flatmate became more interested in his girlfriend and wondered if the flatmate was putting cameras in the ceiling to watch him making love to her. Initially he thought that this was a ridiculous idea but he became sufficiently concerned over a period of time to start checking around his room for hidden cameras and tape recorders. Shortly after this, Colin developed an unshakable idea — the newsreader on the television was giving him special messages.

These thoughts went on for some time and became more problematical for him. His girlfriend thought he was going crazy and left. In the end, Colin decided to leave his flat and moved to your town to start afresh. He has no family support in your town and finds himself wandering the streets where he recites prayers to try and distract himself from thinking that people are talking about him. Approximately 1 month ago, Colin noticed that when he smoked more cannabis, the ‘paranoid’ ideas became stronger and he wondered if the cannabis was the problem. He has used speed (methamphetamine) occasionally. He decided to stop the cannabis and, over the last few weeks, the paranoia has settled slightly, but it has certainly not gone away. Colin has found himself wondering if people on the streets are talking about him and has also wondered if his new flat mate is watching him. Colin has past convictions for assault; when he was 19 years old and again at 21 and 24. He tells you that he has learned to control himself since that time and wouldn’t hurt anybody now. These assaults occurred in the context of brawls, which he got into when he was drunk. He says he normally wouldn’t hurt a fly.

Colin says that he is getting increasingly angry about what is going on. Despite your best efforts to persuade him to take medication, Colin feels that he can manage this on his own using willpower and prayer. He thanks you for your help and says that he will be all right.

At the end of the interview, Colin has declined to take any medication and is making it clear to you that he does not need any further treatment and he can sort all his problems out on his own. You feel that you have developed a reasonably good rapport with him and he has said that he will come back to see you in a few weeks to let you know how he is going. On the other hand, you are concerned about the possibility of him acting on his delusional preoccupations and wonder if he needs to be brought into hospital for treatment involuntarily. He says that he can control his anger and will not be violent.

Exercise 2 — Monique (continued)

You will remember Monique from Chapter 9 (exercises 1 and 5). The original example appears below, along with some new information.

Monique is a 28-year-old woman with schizophrenia. Her boyfriend has recently left her and staff in the supported accommodation home in which she lives report that she is tearful, distraught and withdrawn. They wonder if she is going to kill herself.

Monique’s illness is characterised by both positive and negative symptoms. She continues to have auditory hallucinations which comment on her actions and occasionally put her down. Sometimes her voices tell her to hurt herself. Her self-care has deteriorated over the last few years, she has lost some of her outgoing vivaciousness and she has fewer friends. She continues to smoke cannabis from time to time. Six years ago, she became pregnant and had a termination. One year later, she became pregnant again and the baby was adopted out. She now uses a depot injection for contraception.

In her childhood, she says that she was happy and describes no major problems. She cannot remember too much about her childhood. She did not do well at school and left at the age of 16 with no qualifications. Monique’s father has a diagnosis of schizophrenia. Her mother is well and she visits Monique about once a fortnight.

In her history, Monique has made three serious suicide attempts. The first attempt was 5 years ago and the last one 18 months ago. On each occasion, she was suffering a relapse of her schizophrenia and took overdoses of her medication.

Monique was in a relationship with another resident at the hostel.

Two weeks ago that relationship broke down after the boyfriend had a relapse and became violent. Since then, Monique has been frequently tearful and has withdrawn. Staff at the hostel have always felt that Monique is vulnerable to abuse by others but now say that they have a gut feeling that she is suicidal.

New information

Unfortunately, over the next 3 weeks, Monique has a relapse of her schizophrenia with a worsening of her positive symptoms and increasing difficulty not acting on the voices which are now telling her to kill herself. She is increasingly withdrawn, uncommunicative and preoccupied with her psychotic experiences. Her self-care worsens and she is admitted to your inpatient unit for restabilisation and review of treatment. Over the next 3 weeks, Monique slowly settles and feels ready to return to her supportive accommodation. She is now also on an antidepressant as well as her antipsychotic medications.

Parts of the risk management plan (Figure 12.2) have been completed for you. Fill out some EWS, triggers and relapse indicators for the risk management plan. Use your clinical judgment to think of some interventions which may help. Add in a date for when you think the plan should be reviewed.

Notes

1 Undrill G. The risks of risk assessment. Advances in Psychiatric Treatment. 2007;13:291–297.

2 Maden A. Violence risk assessment: the question is not whether but how. Psychiatric Bulletin. 2005;29:121–122.

3 Maden A. Risk assessment in psychiatry. British Journal of Hospital Medicine. 56, 1996. No2/3.

4 McNeil D., Gregory A.L., Lam J.N., Binder R.L., Sullivan G.R. Utility of decision support tools for assessing acute risk of violence. Journal Consult Clin Psychol. 2003;71:945–953.

5 Maden A. Treating Violence: a Guide to Risk Management in Mental Health. Oxford: Oxford University Press; 2007.

6 Grounds A. Risk assessment and management in clinical context. In: Crichton J., ed. Psychiatric Patient Violence: Risk and Response. London: Duckworth; 1995:43–59.

7 Webster C.D., Douglas K.F., Eaves D., et al. HCR-20: Assessing risk of violence (version 2). Vancouver: Mental Health Law and Policy Institute, Simon Fraser University; 1997.

8 Webster C.D., Nicholls T.L., Martin M.L., Desmarais S.L., Brink J. Short-Term Assessment of Risk and Treatability (START): The case for a New Structured Professional Judgment Scheme. Behavioural Science and the Law. 2006;24:747–766.

9 Chaimowitz G.A., Glancy G.D., Blackburn J. The duty to warn and protect — impact on practice. Canadian Journal of Psychiatry. 2000;45:899–904.

10 Applebaum P.S., Gutheil T.G. Clinical Handbook of Psychiatry and the Law, 2nd edn, Baltimore: Williams and Wilkins, 1991.

11 Gellerman D.M., Suddath R. Violent fantasy, dangerousness, and the duty to warn and protect. The Journal of the American of Psychiatry and the Law. 2005;33:484–495.

12 Gutheil T.G. Paranoia and progress notes: a guide to forensically informed psychiatric record keeping. Hospital and Community Psychiatry. 1980;31(7):479–482.

13 Case of AB (1999). Ballarat Coroners Court. 129/1999.

14 Gutheil, above, n 12.