Chapter 11 Assessment and diagnosis
Learning outcomes
Classification systems
Emil Kraepelin developed the first comprehensive classification system in the late ninetheenth century. Kraepelin classified all mental disorders known at the time into thirteen categories. He grouped the disorders according to common aetiology and descriptive categories based on symptom similarities. The descriptive diagnostic classification systems we use today are based on the one devised by Kraepelin (Schwartz 2000).
Classification systems provide a functional, standardised and validated means of grouping objects or phenomena (Weir & Oie 1996). A mental health professional classifies mental disorders according to patterns of behaviour, thought and emotion. Research has led to the development of a universal system of classifying mental disorders: the Diagnostic and Statistical Manual of Mental Disorders, 4th edition (text revision) (DSM-IV-TR) (American Psychiatric Association 2000) and the International Statistical Classification of Diseases and Related Health Problems (ICD-10-AM) (WHO 1992).
An understanding of classification systems enables mental health nurses to communicate effectively and professionally with other health disciplines, to participate collaboratively in client care, to contribute to clinical research, and to organise and use data in clinical problem solving and in choosing effective interventions (Clinton & Nelson 1996). McMinn (1995) discusses the dilemma of having two classification systems when working in multidisciplinary teams—that is, the nursing diagnostic system (which is used in some settings) and the more widely accepted classification systems for mental disorders, the DSM-IV-TR and the ICD-10-AM. The Australian National Standards for Mental Health (Australian Health Ministers National Mental Health Working Group 1996) advocate the introduction of universally accepted classification systems, which will be discussed in this chapter.
Assessment
Assessment is the first step in the diagnosis of mental disorders. A mental health assessment ‘is a complex intellectual activity that includes formulating hypotheses about a person, deciding what data are necessary to confirm or disconfirm these hypotheses, gathering the required data, interpreting them and finally drawing conclusions’ (Schwartz 2000, p 96). Mental health assessment occurs in conjunction with a full clinical assessment: ‘clinical assessment is the systematic evaluation and measurement of psychological, biological, and social factors in an individual presenting with a possible psychological disorder’ (Barlow & Durand 2005, p 69).
A broader definition of assessment is:
gathering, classifying, categorising, analysing and documenting patient information about health status. It starts with the process of establishing a therapeutic alliance between the patient and/or client and the mental health worker and forms the basis of care planning. The process of assessment should be approached with empathy and compassion to support the development of trust between the patient and/or client and the mental health worker (NSW Health 2001, p 21).
Assessment rarely involves one function. We might assess people to find out who they are, to describe and measure specific problems of living, or to describe their assets and personal and social resources (Barker 2003a). A comprehensive assessment involves all of these. Through assessment it is hoped that we gain some understanding of meaning and human significance of the person’s problem (Barker 2003a)
Assessment can be formal or informal. A formal assessment has an organised interview plan and uses tools such as checklists, questionnaires and rating scales to obtain relevant information to assist with the assessment interview. An informal assessment has less structure and questions are asked that the interviewer believes are relevant at the time. Barker (2003a) states that the formal interview has advantages over the informal interview as the tools and structured interview plan means that people are assessed in more or less the same way. He states that our biases, opinions and other ‘value judgments’ are less likely to influence the interview, as can occur in an informal assessment. The choice of formal or informal assessment methods is determined by the person in care and the standardised assessment protocols that the mental health services have adopted.
In Australia, The National Mental Health Policy (Australian Health Ministers 1992), National Standards for Mental Health (Australian Health Ministers National Mental Health Working Group 1996), and the National Mental Health Plan 2003–2008, building on the first and second National Mental Health Plans (Australian Health Ministers 2003) all emphasise the importance of a thorough and comprehensive assessment for con sumers accessing mental health services. Standard 11.3 of the National Standards relates to assessment and review, and provides criteria for mental health services to ensure that consumers and carers receive a com prehensive, timely and accurate assessment with a regular review of progress (Australian Health Ministers National Mental Health Working Group 1996). A summary of the criteria for achieving this standard is provided in Box 11.1.
Box 11.1 Criteria for national standards of assessment
Source: Australian Health Ministers National Mental Health Working Group 1996, p 31.
In accordance with these standards, mental health services have developed standardised assessment protocols which staff in all health disciplines are familiar with and have been trained in. The assessment of clients presenting to mental health services is standardised across all disciplines, with corresponding accurate documentation. For example the NSW Mental Outcomes and Assessment Training Tool (NSW Health 2001) provides a standard format for documentation, with a set of expectations including:
Similar standard formats and expectations with regard to assessment and documentation in other states and territories have been implemented as part of the Second National Mental Health Plan (Australian Health Ministers 1998) and these expectations have been restated in the National Mental Health Plan 2003–2008 (Australian Health Ministers 2003).
Assessment methods
The aim of assessment is simple but the process is complex. We aim to answer the question ‘What is really going on here, and how will this help us work out what we need to do, by way of a caring response?’ (Barker 2003b, p 66). Information about people can be collected in two ways: by the person themselves, or by other people who have observed the person’s behaviour, such as family and carers or the person’s treating team. What we need to know about the person will determine how we gather the information. If we need to know how a person thinks or feels, or their values and beliefs, we need to ask the person. If we need to know what other people think, feel or believe about the person, we need to ask those other people. If we need to know how a person might behave in certain circumstances, we ask the person to observe or reflect on their behaviour, or we ask someone to observe the behaviour, or both (Barker 2003b). Understanding the lived experience of consumers and carers is essential to assessment. Information essential for understanding the lived experience includes the consumer’s or carer’s way of interpreting or understanding what is happening to him or her, in addition to knowledge about the person’s life, including how previous aspirations and plans, personal and social resources and circumstances are affected by what is happening (Fossey 2007). Leggatt (2007) states that family members and significant others should be engaged with the treating staff as early as possible because they have in-depth information about the development of the symptoms and also knowledge of the social and emotional environments that may contribute to the symptoms. The family and significant others can also provide information about the person’s interests, abilities and personality characteristics.
Barker (2003b) has identified four major assessment methods:
Interviewing
An interview is the process of asking questions of a person in order to gather the information required for an assessment. The interview is usually semi-structured. In a semi-structured interview the person is asked exploratory questions on various topics. Other questions arise out of the person’s answers. The interview is orderly without being regimented and provides the latitude to follow different paths without losing the flow of the interview (Barker 2003b).
Diaries and personal records
This involves asking the person to keep a log or diary of thoughts, feelings and behaviours they experience during the day. The person needs to be aware of what information would assist the treating team (Barker 2003b).
Questionnaires and rating scales
Questionnaires and rating scales are designed to provide specific information on some aspect of a person’s functioning. Questionnaires can be completed by the person or as part of the interview process. Some questionnaires require only a yes/no answer to gain a score on the specific aspect of a person’s functioning. With rating scales the person is asked to rate the severity of the problem, or their performance, or to indicate the extent to which they agree or disagree with a certain statement. Rating scales can assess patterns of behaviour and measures of belief, values and attitudes. All rating scales end with a numerical score. The score will reflect the extent to which some emotions are felt, some behaviours performed, some thought experienced or some belief held (Barker 2003b).
Direct observation
Direct observation can be carried out by the person, members of the treating team or members of the person’s family. Self-monitoring is an extension of keeping a diary or log, where the person is helped to identify specific targets so some kind of measure can be taken over time. The targets are usually specific behaviours, thoughts and feelings. The person usually monitors the duration (how long the behaviour lasts) or frequency of a specific pattern of behaviour (how often the person engages in the behaviour). In some cases the person may be asked to record how long it takes to complete a certain task. Self-monitoring is not easy for the person, as they are required to monitor their behaviour all day long. Appropriate assessment targets and simple observational methods are important in order for the person to remain engaged in the process of self-monitoring (Barker 2003b). Barker advises that creative personalised ways of self-monitoring are important in ensuring that the person engages in this process.
Staff monitoring is assessment based on staff observation, such as how the person presented on interview, how they behaved during interview and during the course of inpatient assessment, and how they behaved during a family meeting or in a group. The observations are focused on what is visible or audible to the professional. This objective information needs to be augmented with information drawn from other sources, such as the person, family members and significant others, and other therapists and team members, in order to answer the question, ‘What is really going on here?’ (Barker 2003b).
Essential nursing skills
The assessment process is the first step in developing a therapeutic nurse–client relationship. The therapeutic relationship ‘represents a time-bound alliance between the nurse and client which is consciously entered into’ (Carson 2000, p 202). This relationship depends on communication skills, the most important being empathy and presencing.
Empathy represents a mutual interpersonal process in which the nurse is able to capture the inner struggle of the patient, bring together different aspects of the patient’s situation in a meaningful way, and communicate that understanding in a way that is understood as truth by the patient (Zderad 1969, cited in Carson 2000, p 217).
Egan has expressed empathy in the following stylised formula:
You feel … (name the correct emotion expressed by the client) … because or when … (here indicate the correct experiences and behaviours that give rise to the feelings (Egan 1998, p 83).
This formula allows the client to feel heard and understood. ‘Presencing’ has been defined as ‘attempting to be non-judgmental and non-defensive while creating a conducive environment for an open constructive conversation and allowing the experience of the client to affect you’ (Glass 2003, p 55). Glass also states (p 55) that ‘presencing concerns a head and heart shift; it involves suppressing your own concerns and moving from your own space/happenings to the client’s space/ happening’. As such, presencing involves ‘being in the moment’ with the client and giving your undivided attention. This skill has also been referred to as immediacy (refer to Ch 23).
Chapter 23 addresses the communication skills that are needed to achieve empathy and immediacy when interviewing a client. The following issues also need to be considered:
The craft of interviewing
Barker (2003c) speaks of the craft of interviewing. People know who they are through their stories. Barker (2003a) talks of the background of human identity: the stories that people are born into and become part of, through the telling of their story. The story involves more than the events a person experiences; the background stories are important as they frame the developing script of the story of the person here and now. Therefore, in an assessment interview it is important to ask, ‘Who is this person?’. In this way you cannot divorce the person from all the stories that shaped the person’s life story (Barker 2003a). Barker (2003a) emphasises the importance of knowing why we do an interview. He believes our motto should be ‘to seek first to understand’ (p 65). To begin to understand, we are required to examine the situation with the person and enquire into their experience of what is happening. Then we need to understand why we have chosen one approach over another. But most importantly we need to understand how little we know about the person we are interviewing, and seek to understand through our interview something of value about the person and their experience (Barker 2003a).
No assessment can be expected to succeed without basically sound interview techniques (Meadows 2007c). Inadequate assessment will result in inadequate care (Barker 2003a). The goal of interviewing is to collect as much relevant information as possible by the shortest route, and in this, the questions and how they are asked is of importance (Barker 2003c).
An interview can be an uncomfortable experience for the person and may promote anxiety. People may disguise their anxiety through hesitant answers, short replies or apparent striving to please. Appropriate questioning can reduce this. An important question that should be asked at the beginning is: ‘Do you want to ask anything before we begin?’. Other simple questions such as ‘What have you brought along with you today?’ or ‘What brings you here?’ give the person a chance to influence the direction of the interview and foster a sense of partnership (Barker 2003c).
Meadows (2007c) provides the following strategies for encouraging a person to share their feelings later in the interview, after neutral information about them (such as age, address and occupation) has been collected:
Interviewers need to be non-judgmental: in some situations people may make statements that are disturbing, such as admissions concerning suicide intent, sexual practices, past misdeeds that have inspired guilt, or material considered bizarre or delusional. An expression of surprise, astonishment, reproach or even stunned silence will stifle any further admission or self-examination (Barker 2003c).
The concept of resistance is used to explain difficulties with the interview process. Barker (2003c) believes that, to prevent resistance developing, we should see the interview from the person’s perspective. He provides the following solutions for obstacles which may occur during the interview:
Other issues related to the interview include the interview setting and safety.
Critical thinking challenge 11.1
Horsfall, Stuhlmiller & Champ (2000) suggest the following exercise to sensitise you to the words used in practice and their associated meaning for distancing or labelling a client. This exercise can be conducted alone or with other mental health professionals in the clinical setting.
Source: Horsfall et al 2000, p 87.
The interview setting
Sometimes a key determinant of how the assessment will be conducted is where it occurs (Meadows 2007b). A person can be interviewed in their bedroom on the ward, the sitting room at home, a consulting room off the ward, or an interview room at the clinic (Barker 2003c). Meadows (2007b) states that the place in which a person is interviewed influences the power relationship of the interview and the actions that might follow. For example, in a family home, the assessor has been invited into the home, which gives control to the family members there. A difficulty with this is that the interviewer may be influenced by the dominant member of the family and it may be difficult for other members of the family to express their views.
Sole dwellings or bed sits are common types of accommodation for people living with a mental disorder. Often this accommodation has limited support structures and is a problematic environment in a practical sense. As such the person’s living skills may be modified and well attuned in order to survive in this type of accommodation. A functional assessment of the person’s living skills will need to take this into consideration. In contrast, institutions provide high levels of support and basic needs, so a person’s functional level may not be rated as high because the institution is providing for the person. In addition, privacy may be limited during the interview. People living on the street have very little privacy and their social networks are often broken. The person needs high levels of coping skills in order to survive in such an environment. If a person is creating a public disturbance, the mental health worker may feel pressured to label the person as mentally ill, as this provides resolution of the problem. Assessment may be made difficult by the inability to secure privacy, pressure on time, and other uncontrolled interventions by members of the public. Responsibilities may be unclear and negotiations about these responsibilities to other groups, such as the police, may be difficult and complex (Meadows 2007b).
Primary care settings provide similar features to public places. General practice clinics provide mental health services, but given the nature of the setting they can be problematic, as the setting and time constraints may limit assessments. If mental health workers are required to conduct assessments in such settings they need to be aware of their status as guests. It is often helpful to have an understanding of the dynamics of the particular practice, including the reactions of the administrative and reception staff. Medical care facilities include hospitals, accident and emergency departments and inpatient settings. The power relationship is skewed towards the mental health worker as the client is in less familiar and possibly threatening territory. Finally, assessment may be conducted at the police station, remand centre or prison. Such settings have their own particular rules and hierarchies. Awareness of the legal context in which the interview is being conducted is important in understanding the person’s situation. The mental health worker needs to establish the purpose of the interview and the limitations of the assessment interview within this legal context (Meadows 2007b).
Safety
Meadows (2007b) provides key points for mental health workers to follow, to ensure their safety:
Biopsychosocial model of assessment
A biopsychosocial assessment involves a comprehensive assessment of all aspects of the client’s problem—biological, psychological, sociological, developmental, spiritual and cultural—with information derived from interviews with the client and their family, or others as appropriate. Concerns need to be addressed regarding how they may have led to the illness developing and how they may be maintaining the problem behaviour for the client (Onyett 1998).
Assessment is completed with all clients, regardless of the setting. The forms used and details sought may vary, but the principal information gathered is similar. Broadly speaking, the information gathered in an assessment interview provides the framework for a comprehensive biopsychosocial assessment of the client’s current presentation to mental health services.
Psychiatric assessment
Presenting problem
You will need to obtain the following information:
First, determine the consumer’s perception of the situation.
Example
Nurse: | Mary, Dr Smith asked me to see you today because he is concerned about some of the things you have been saying and doing. Can you tell me what you think has been going on? |
Mary: | I have been feeling really confused and upset for the last few months and just not right. |
Nurse: | What are some of the things that may be making you feel just not right? |
Mary: | I don’t seem to be able to cope with everyday living and lately I have been hearing voices, which are really upsetting me. |
Nurse: | How are the voices upsetting you? |
Mary: | They are in my head all the time and they keep telling me to kill myself. It’s horrible. |
Second, get an overview of the precipitating factors/events. Ensure that the chronology of the events and the emergence of the symptoms is clear. The context of the presenting problem is also important. Box 11.2 details the social and environmental precipitating events that may have triggered the episode or be maintaining the behaviour.
Box 11.2 Precipitating environmental and social problems
(Source: adapted from NSW Health 2001, p 93.)
Example
Nurse: | How long have you been feeling ‘not right’? |
Mary: | It seemed to happen soon after Jenny was born. At first, I would cry all the time and couldn’t manage any of the housework. It was really difficult trying to look after Jenny and the other kids. Sometimes I would go to bed because I just didn’t want to face the day. I thought there was something really wrong, because I wasn’t sleeping or eating and I kept getting headaches, muscle aches and pains and an upset stomach. I have been seeing Dr Smith a lot, hoping he could fix me up. |
Nurse: | When was Jenny born? |
Mary: | June the 18th. She will be three months old tomorrow. |
Nurse: | You said you told Dr Smith about the voices this morning. Have the voices been bothering you ever since you felt not right, after Jenny was born? |
Mary: | No, the voices only started about a month ago, but they are getting worse and I don’t know what to do. It feels like I’m going mad. |
Mental health/medical/drug history
Mental health history
Example
Nurse: | Mary, what you are experiencing must be pretty scary. Has this ever happened before? |
Mary: | No, this is the first time I have ever felt like I have been going mad and the voices really frighten me. |
Nurse: | What about after the other three kids were born. How did you feel then? |
Mary: | I had no problem at all. Everyone has always said how together I am. That’s why this is really freaking me out. |
Medical history
Example
Nurse: | Have you ever been in hospital for an operation or a medical complaint? |
Mary: | No, I was just in hospital for the birth of the kids. The last one was pretty tiring and hard. |
Nurse: | Did you have any medical problems after the birth? |
Mary: | No, I just have long births and lots of pain. |
Nurse: | Do you have any physical problems for which the doctor is treating you? |
Mary: | No, apart from the last three months with the headaches and stomach aches. |
Nurse: | To help us obtain a better picture of your health, will you give us your consent to obtain information from your doctor if we need to? |