Difficult Students, Interns and Postdoctoral Residents: Identification, Assessment, and Interventions APPIC Pre Conference Workshop Nadine Kaslow, Ph.D., APPIC Chair Mona Koppel Mitnick, JD, APPIC Public Member Jeff Baker, Ph.D., APPIC Board Member Permission to utilize at Scott and White given November 2003 DEFINITIONS • Competence – Professional competence is the habitual and judicious use of communication, knowledge, technical skills, reasoning, emotions, values, and reflection in daily practice for the benefit of the individual and community being served (Epstein & Hundert, 2002) DEFINITIONS • Historically, the term impairment has been used • • • to describe problematic knowledge, skills, attitudes, and behaviors of trainees and professionals The term impairment has a specific meaning within the context of the ADA (e.g., medical or mental health disability) Therefore, we will focus on trainees with problems, referred to as “difficult” trainees Sometimes these trainees also have impairments according to the ADA DEFINITIONS (cont.) (Overholzer & Fine, 1990) • When supervisees have difficulties it is likely due to: – Lack of knowledge – Inadequate clinical skills – Deficient technical skills – Poor judgment – Disturbing interpersonal attributes DEFINITIONS (cont.) (Lamb et al., 1987) • Difficult trainees exhibit interference in their professional functioning as reflected in one or more of the following ways: DEFINITIONS (cont.) (Lamb et al., 1987) – Inability and/or unwillingness to acquire and integrate professional standards into one’s repertoire of professional behavior – Inability to acquire professional skills in order to reach an acceptable level of competency (performance problem) – Inability to control personal stress, interpersonal difficulties, psychological dysfunction, and/or excessive emotional reactions that interfere with professional functioning (conduct or emotional problem) DEFINITIONS (cont.) (Lamb et al., 1987) • An trainee’s behavior is considered difficult when characterized by one or more of the following: – The trainee does not acknowledge, understand, or address the problem when it is identified (lack of selfawareness and interpersonal responsiveness) – The behavior is not merely a reflection of a skill deficit that can be rectified by academic or didactic training – The quality of the trainee’s services is sufficiently negatively affected DEFINITIONS (cont.) – The problem is not restricted to one area of professional functioning – A disproportionate amount of attention by training personnel is required – The trainee’s behavior does not change as a function of feedback, remediation efforts, and/or time DEFINITIONS (cont.) (Chapman et al., 2002) • Incompetence in clinical skills or inadequate fund of knowledge • Lack of awareness or disregard for professional behavior and responsibility • Problematic interpersonal issues • Demonstrates problems in two or more areas DEFINITIONS (cont.) • These definitions of difficult trainees do not include a trainee’s behavior, attitudes, or characteristics that are developmentally normative, such as: – – – – – Transition issues Mild performance anxiety Mild discomfort with diverse client groups Initial lack of understanding of the facility’s norms Lack of certain skills sets, but an openness and readiness to acquire them CONTEXT • The identification of a trainee’s behavior as problematic needs to take the context into account. It is key to assess if trainee difficulties reflect a mismatch between the: – Philosophy of the site and the trainee’s orientation – Skills and competencies of the trainee and the demands of the site CONTEXT (cont.) • A number of contextual factors in the life of the trainee need to be considered when assessing problematic behavior – Adjustment issues to new setting (not site) – Adjustment to new site – Separate from established support systems – Status change – Personal life events/changes CONTEXT(cont.) (Sherman & Thelen, 1998) • Various life events are work factors are • • associated with different amounts of distress and functional difficulties; personal relationship problems and work with difficult clients are most troublesome People with the greatest number of life events/work factors have the greatest distress Non-work related activities and vacations are the best preventive behaviors CONTEXT (cont.) • When the aforementioned issues appear salient, recommend the following – Suggest options for better stress management and self-care – Provide more support to the trainee PERSONAL RISK FACTORS • History of childhood trauma • Substance use disorders • Major Axis I disorder • Axis II disorder • Wounded healer • False self • Attachment difficulties PROCESSES ASSOCIATED WITH PROBLEMATIC BEHAVIOR (Lamb et al., 1991) • Setting the Stage • Orientation – Direct communication of the site’s expectations regarding professional standards, skill competency, personal functioning – Communication regarding evaluation guidelines and processes – Provision of Due Process Guidelines PROCESSES (cont.) • Reconnaissance and Identification – Gathering on-going evaluative information and observing the trainee’s initial response to the setting, training experience, and feedback – Discussion among all training faculty/staff – Identify areas of concern orally and in writing – express concerns as hypotheses and define problem behaviors in concrete and specific terms – Early and continuous monitoring – This process often enough to manage many problems PROCESSES (cont.) • Discussion and Consultation when problem behavior persists – Discussion among all training personnel regarding other interventions and next steps – Such discussion should consider • Actual behaviors of concern (e.g., nature, frequency, severity) • Settings that behaviors occur in • Negative consequences of the behaviors • Trainee’s response to feedback PROCESSES (cont.) • Discussion and Consultation (cont.) – Review of these questions is likely to be time consuming and stressful – Important to thoroughly explore the behaviors in question, full range of interventions, and effects of interventions on all concerned – Interventions (see remediation section) PROCESSES (cont.) • Implementation and Review – Implement intervention plans – Review progress and response to interventions – Communicate with all relevant parties – Provide ongoing feedback – Document all problem behaviors and changes in behavior PROCESSES (cont.) • Implementation and Review (cont.) – Ongoing meetings of faculty/staff for review – Consultation from other training personnel – Consideration of possible alternative actions – External consultation PROCESSES (cont.) • Anticipating and Responding to Organizational Reaction in Cases of Termination – Support trainee and help him/her consider alternatives – Support training personnel – Determine how to communicate what and to whom (e.g., other current and future trainees, staff) – Management of clinical services REMEDIATION CONSIDERATIONS (Lamb et al., 1987) • Once problems have been identified, there need to be several meaningful ways to address them. These need to be clearly stated and presented in a written document and the remediation plan needs to be discussed and agreed upon. Possible and perhaps concurrent courses of action designed to remediate problems include, but are not limited to, the following: REMEDIATION CONSIDERATIONS (cont.) – Increasing supervision, either with the same or other supervisors – Changing the format, emphasis, and/or focus of supervision – Recommending and/or requiring personal therapy in a way that all parties involved have clarified the manner in which therapy contacts will be used in the evaluation process REMEDIATION CONSIDERATIONS (cont.) – Reducing and/or shifting the trainee’s workload – Requiring specific academic coursework – Recommending, when appropriate, a leave of absence and/or a second internship or residency – Collaborating with the graduate department on the remediation plan in accord with the CCTC Communication Guidelines REMEDIATION CONSIDERATIONS (cont.) • When a combination of the above interventions do not, after a reasonable time period, rectify the problem, or when the trainee seems unable or unwilling to alter his/her behavior, the program may need to take more formal action in accord with their due process guidelines FORMAL ACTIONS (Lamb et al., 1991) • Probation – In writing, • Identify specific behaviors or areas of professional functioning of concern • Directly relate these behaviors to written evaluations • Provide specific ways deficiencies can be remedied • Identity specific probationary period • Stipulate how functioning will change at site during probation, of applicable • Reiterate the availability of due process procedures FORMAL ACTIONS (cont.) • Giving the trainee a limited endorsement, • • including the specification of those settings in which he/she could function adequately Terminating the trainee from the program and communicating this to the appropriate parties Recommending and assisting in implementing a career shift for the trainee *All of the above steps need to be documented appropriately and implemented in accord with the due process guidelines TERMINATION (Lamb et al., 1991) • Steps to take prior to notifying trainee – Review agency and institutional implications of the decision – Letter sent to trainee and other relevant parties reiteration probationary conditions, trainee’s response, and reasons for dismissal – How and when the trainee’s status will change at the site needs to be determined TERMINATION (cont.) • Steps (cont.) – Trainee must be given the opportunity to appeal in accord with due process guidelines – Proposed action and corresponding written statement should be reviewed in consultation with relevant internal and external parties – Consult with legal counsel at the facility – Notify up the chain of command TERMINATION (cont.) • Once these steps have been taken – Hold meeting between the trainee and relevant training and site personnel – Inform trainee of the decision – Provide a written statement – Provide statement of revised responsibilities – Remind trainee of due process guidelines CHALLENGES IN EVALUATING INTERNS & RESIDENTS (Robiner, 1993) • Definition and Measurement Issues – Lack of clear criteria and objective measures of competence/incompetence in psychology – Lack of clear criteria and objective measures of problematic behavior in psychology – Supervisor awareness of subjectivity inherent in evaluation – Apprehension about defending evaluations due to lack of clear criteria and objective measures EVALUATION CHALLENGES (cont.) • Legal and Administrative Issues – Concern that negative evaluations may result in administrative inquiry, audit, grievance or litigation – Lack of awareness of internship/residency or institutional policies and procedures involved in negative evaluations – Social and political dynamics – concerns about lack of support from administrators and colleagues EVALUATION CHALLENGES (cont.) • Legal and Administrative Issues (cont.) – Concern that failing to “pass” an intern or resident may result in loss of future training funds or slots or the need to find additional funds to extend the trainee’s training – Concern that failing to “pass” an intern or resident may result in adverse publicity that could affect institutional reputation and the number of applicants EVALUATION CHALLENGES (cont.) • Interpersonal Issues – Fear of diminishing rapport or provoking hostility from supervisees – Fear of eliciting backlash from current or future trainees – Anguish about damaging a supervisee’s career or complicating or terminating their graduate training (in the case of an intern) EVALUATION CHALLENGES (cont.) • Supervisor Issues – Supervisors’ wish to avoid scrutiny of their own behavior, competence, ethics, expectations, or judgment of their clinical or supervisory practices – Limited supervisory experience with problem trainees – Difficulties in imparting negative evaluations – Indifference to personal responsibility for upholding the standards of the profession EVALUATION CHALLENGES (cont.) • Supervisor Issues (cont.) – Inappropriate optimism that problems will resolve without intervention – Preference to avoid the substantial energy and time commitment necessary to address or remediate the behavior of problem interns and residents EVALUATION CHALLENGES (cont.) • Supervisor Issues (cont.) – Discomfort with “gatekeeper” role – Identification with supervisee’s problems – Inadequate attention to supervisee’s performance or problems – Supervisors’ presumption of supervisee competence – Minimization of supervisee’s problem behavior TYPOLOGY OF MENTORSHIP DYSFUNCTION (Johnson & Huwe, 2002) • Dysfunction connotes a relationship that is • unproductive,characterized primarily by conflict, or is no longer functioning effectively for one or both partners Dysfunction may be rooted in – – – – Behavior or personality features of either person Contextual factors Poor matching Effects of otherwise healthy maturation MENTORSHIP DYSFUNCTION (cont.) • Typology – Faulty mentor-protégé matching – Mentor technical incompetence – Mentor relationship incompetence – Mentor neglect – Relational conflict – Boundary violations MENTORSHIP DYSFUNCTION (cont.) • Typology (cont.) – Exploitation – Attraction – Unethical or illegal behavior – Abandonment – Cross-gender and cross-race issues – Protégé traits and behaviors MENTORSHIP DYSFUNCTION (cont.) • Common Self-Defeating Responses to Mentorship Dysfunction Include: – Paralysis – Distancing – Provocation – Sabatoge MENTORSHIP DYSFUNCTION (cont.) • Strategies for Preventing and Responding to Mentorship Dysfunction – Administrative Strategies • Create a culture of mentoring • Scrutinize new hires • Prepare faculty/staff for the mentor role • Monitor and reinforce mentoring MENTORSHIP DYSFUNCTION (cont.) • Strategies (cont.) – Individual Strategies • Slow down the process • Honestly evaluate personal contributions • Consider ethical/professional obligations as a mentor • Be proactive, cordial, and clear in communicating concerns to protégés • Seek consultation • Document TIPS • Provide thorough due process guidelines • Make expectations clear from the outset • Identify problems early • Provide rationale for change • Be aware of the consequences of failure to act • Consult colleagues (internal, external) TIPS (cont.) • Monitor in multiple ways • Document • Keep the lines of communication open • Inform relevant parties • Stay informed of current practices • Use APPIC’s Informal Problem Resolution Process and Consultation Service as a Resource FUTURE DIRECTIONS • Guidelines on handling difficult trainees • Better articulation of assessment strategies • More rehabilitation programs for professionals • Greater support for seeking assistance • Continued education LEGAL ISSUES AND DUE PROCESS • Simple and easy to understand • Written and communicated to each • • intern/trainee/post doc at the time he/she begins the internship or post doc Applied uniformly and in a timely fashion to all such problem or substandard interns/trainees/post docs and to any intern/trainees/post docs complaints about the actions of training program staff Applied to all serious performance, conduct, and ethical problems of interns/trainees DUE PROCESS PROVISIONS • Description of the types of problems and behavior covered, which should be • • • • • • broad enough to cover all performance, conduct, and ethical deficiencies, as well as any combination of these deficiencies Description of the persons covered., making clear that all interns/trainees/post docs, at whatever stage of training, are covered A clear statement of the time limits at different stages of the process, and whether and for what reasons) such time limits may or may not be waived Both informal and formal procedures for correcting deficiencies, and appealing any dissatisfaction with the program’s compliance with the procedures, the notification of deficiencies and any penalties A clear statement at each stage identifying the decision maker, and the contents of the decision A clear statement at each stage of whether and to whom the complainant or training program official may appeal the decision A clear statement of when the decision becomes final SUGGESTIONS FOR DEVELOPING DUE PROCESS • Informal Stage • Formal Stage INTERN/POSTDOC COMPLAINTS • Filing of Informal Complaint • Decision on Informal Complaint • Filing of Formal Complaint (ASARC) • Decision on Formal Complaint • Appeal from Decision on Formal Complaint DISABILITY ISSUES • A great deal of confusion has arisen among interns/postdoctoral residents and their sites /programs as to what constitutes disability, as defined by the Rehabilitation and Americans with Disabilities Acts; and what, if any, obligation an internship/program site has to provide reasonable accommodation to an applicant or an intern/postdoc after selection CLAIMING AND PROVING DISABILITY • Qualified • Responsibility for Determination • Toyota vs. Williams • Rehabilitation Act or ADA • Correctible ACCOMMODATION • When and to What Extent Reasonable Accommodation is Required – Reasonable Accommodation – Establish Meeting the Definition HANDICAP DISCRIMINATION • Avoiding a Successful Claim of Handicap Discrimination REFERENCES • Rehabilitation Act of 1973, as amended (29 U.S.C. sec. 791 et seq.; and Americans with Disabilities Act of 1990 (ADA (42 U.S.C. sec. 12101 et seq.; 29 C.F.R. sec. 1630; 1997; EEOC Enforcement Guidance on the Effect of Representations Made in Applications for Benefits on the Determination of Whether a Person Is a "Qualified Individual with a Disability" Under the Americans with Disabilities Act of 1990 (ADA) (Feburary 12, 1997); Enforcement Guidance: Reasonable Accommodation and Undue Hardship Under the Americans With Disabilities Act (March 1, 1999). TYPES OF DIFFICULT TRAINEES Slackers Mild Manipulative Behaviors Personality Disorders Unusual Situations REFERENCES: DEVELOPMENTAL PERSPECTIVE • Developmental Issues in Internship & Postdoc Training – Kaslow, N. J., & Rice, D. (1985). Developmental stresses of psychology internship training: What a training staff can do to help. Professional Psychology: Research and Practice, 16, 253261. – Kaslow, N.J., McCarthy, S.M., Rogers, J.H., & Summerville, M.B. (1992). Psychology Postdoctoral training: A developmental perspective. Professional Psychology: Research and Practice, 23, 369-375. – Lamb, D. H., Baker, J., Jennings, M., & Yarris, E. (1982). Passages of an internship in professional psychology. Professional Psychology: Research and Practice, 13, 661-669. – Solway, K. (1985). Transition from graduate school to internship: A potential crisis. Professional Psychology: Research and Practice, 16, 50-54. MODEL BEHAVIOR • Model Behavior – – – – Energetic Responsible Keeps up in their readings Keeps appointments, has great foundation in treatment, assessment, and professional behavior – Takes on more responsibilities than expected, but has excellent follow through – Looks for ways to increase their skills and is appreciative of training experience LESS THAN DESIRABLE BEHAVIOR • Less than Desirable Behavior – Slacker, does less than expected – Hides important information (i.e. has only seen an MMPI in the book, has only read about CBT, etc) – Never volunteers for important tasks (i.e. applicant interviews, lit searches, etc) – Criticizes experience, concerned about how much time they are putting in within the first week of the program – Spends less and less time with other trainees and/or supervisors – Lack of Competence (little or no therapy experience, no assessment experience) DISRUPTIVE BEHAVIORS • Disruptive Behaviors – Mildly manipulative behavior (gets others to do their work, implies they do not recall certain conversations, etc) – Shows up late for supervision – Unprepared for didactics – Unprepared for treatment with patients – Encourages subgrouping and divisiveness among intern/residents – Interpersonal Difficulties (avoids relationships, focuses on own projects, not a team player) – Never attends social functions AXIS I DISORDERS • Axis I Disorders – – – – – – – Difficult, but some are manageable Have made it through a rigorous program Has some strengths and compensatory strategies Can be disruptive to others Can lead to withdrawal or break in program Poor performance may lead to dismissal Substance Abuse AXIS II DISORDERS • Axis II Personality Disorders – Passive Aggressive (i.e. misses didactics for dental/dr appointments, uses copier for personal convenience, leaves work early often) – Dependent (overly dependent on others) – Narcissistic (needs constant attention for the smallest of tasks or acts out in other ways) – Borderline (impassioned relationships with colleagues, looking for intense support, ends up destroying any chance of cohesiveness in trainee group) – Avoidant (no desire for relationship with fellow trainees, cannot connect with patients) – Antisocial (substance abuse, walks off with textbooks, etc.) AXIS II DISORDERS (cont.) • Combination of Axis II and lack of competence will usually be extremely disruptive to the training program UNUSUAL SITUATIONS • Unusual Situations – Pregnancy – Death or serious illness of a child – Death or serious illness of a close relative – Death of a fellow trainee – Serious illness – Chronic medical condition – Acute psychiatric difficulty PURPOSES OF SUPERVISORY EVALUATION • Necessary to ensure that training programs achieve educational objectives and produce competent trainees • Provide objective assessment of trainees’ competence and progress • Summative assessment provides input for decisions of warning, probation, or dismissal EVALUATION DIFFICULTIES • Evaluation is an essential aspect of supervision • Develop explicit standards and more uniform • expectations regarding the knowledge, skill, and judgment necessary for practice Clearer competencies and standards for verifying the readiness of interns for practice EVALUATION OF PERFORMANCE BY SUPERVISORS • Greater consensus on evaluation seems possible • through research and dialogue within the profession. A procedure for comparison of ratings across supervisors may increase the reliability of evaluation. – Fosters consensual expectations and by exposing personal biases. Robner, W., Fuhrman, M., and Ristvedt, S. (1993) The Clinical Psychologist, Vol 45, 1. Guidelines for Supervision • Expectation of meetings (format, frequency and content, missed • • • • • • • • • meetings, etc) Goals and outcomes of supervision Establishing expectation of ongoing feedback including strengths and areas of weakness (Both written and verbal feedback) Supervisors have an ongoing awareness of the patients who comprise the intern or postdoc’s caseload Reviewing and signing co-signing all notes Awareness of agency policies and procedures Contact supervisor for input regarding all “at risk” patients Supervisors are aware of and behave consistently with the Ethical Priniciples Supervisors are aware of the power differential that exists Supervisors and intern or resident keeps supervision notes DOCUMENTATION • Orientation – Evaluation Forms (See New Innovations) – Suggested Guidelines for Supervision – Due Process/Grievance Documents – Time/Activity Sheets – Ethical/Problematic Situations • Expectations of Behaviors (dating, interaction with supervisors, attendance, professional responsibilities MONTHLY ACTIVITY SHEETS • Hours of supervision • Contact with diverse populations by ethnicity/age • Writing (Reports) • Didactics • Other professional activities (consultations, library research, etc) DUE PROCESS GUIDELINES EUGHS • 1) an inability and/or unwillingness to acquire • • and integrate professional standards into one's repertoire of professional behavior, 2) an inability to acquire professional skills in order to reach an acceptable level of competency, and/or 3) an inability to control personal stress, psychological dysfunctions, and/or excessive emotional reactions which interfere with professional functioning. Due Process at Scott & White VIGNETTES • Vignette #1 – The psychology intern has been slowly withdrawing from their cohorts and you as the TD notice this. When asked, her response is they just seem to be on different wave lengths. You also are getting a couple of complaints from patients that the psychology intern is rude. She seems pleasant to you and has denied this problem with patients and you acknowledge that patients with chronic pain can be difficult to work with. On further inquiry, the secretary in the office notices that the psychology intern is very short with her and other office personnel. What do you do? VIGNETTES • Vignette #2 – The psychology postdoc has very good clinical skills and seems to have very good work habits the first 6 months. You have noticed that he is not taking much initiative lately and seems to be slacking off. He has begun looking depressed and lacks energy. This problem was addressed 1 month ago but the number of sick days have increased substantially and non attendance at grand rounds and other functions has become non existent. He always seems to have a good excuse (dental appointment, need to see physician, etc.). What do you do? VIGNETTES • Vignette #3 – The psychology intern is a quad that ambulates in a motorized wheelchair. She is quite eccentric in her dress (always extra nice) and has fingernails that draw a lot of attention (extra long and ornate). She also has several visible body piercings that she is quite proud of and discusses the importance of her individuality at length. Her skills are average and she has an aide that helps with moving things around (files, test protocols, etc). She has recently received complaints about racing her wheelchair (going at fast speeds) through the hallways of the rehab unit sometimes startling patients. What do you do? VIGNETTES • Vignette #4 – The psychology postdoc has several research projects going on and has not been very good about following through on their responsibilities. You are not sure if they are overwhelmed, just a poor organizer or poor research skills. What interventions might you consider before it becomes a major problem? VIGNETTES • Vignette #5 – The psychology intern has been unusually helpful during the year and has always completed tasks in a reasonable fashion. He is very independent and you sometimes wonder if they are expressing contempt for their colleagues and supervisors. Several things have happened to initiate you taking a closer look: – 1) An MMPI was returned by mail from the prison system and he claims the hospital inmate had taken it while they must not have been looking. – 2) One patient called to state dissatisfaction with the way she was treated by this intern stating that the intern blew up and lashed out at her by tearing up her MMPI and saying it was just worthless. He states that never happened. – 3) The secretary went to lunch with him one day and reported to you, the training director, that the intern had made disparaging remarks about the program, the training director and one supervisor, stating the supervisor had made sexual advances toward the intern. The intern and the secretary met with the TD and the intern claimed they had never made those remarks, that everything was fine. How would you proceed? REMEDIATION OPTIONS • Remediation – Informal Problem Resolution with Supervisor – Contracts that spell out expectations – Formal Sanctions (videotape all sessions, coursework, etc.) – Options RESOURCES • Lamb, Presser, Pfost, Baum, Jackson, & Jarvis • (1987) Confronting Professional Impairment During the Internship: Identification, Due Process, and Remediation Lamb, Cochran, and Jackson (1991) Training and Organizational Issues Associated with Identifying and Responding to Intern Impairment