NASW OFFICE OF ETHICS AND PROFESSIONAL REVIEW REVISED

NASW OFFICE OF ETHICS AND PROFESSIONAL REVIEW REVISED PROCEDURES FOR PROFESSIONAL REVIEW 2010 © 2004 National Association of Social Workers. All Rights Reserved. 1

Introduction to OEPR Dawn Hobdy, MSW, LICSW Manager, OEPR Dawan Jones Professional Review Assistant © 2004 National Association of Social Workers. All Rights Reserved. 2

Learning Objectives Upon completion of this training, participants should: Be oriented to the NASW Professional Review process from start to completion Be equipped to serve in various roles in the professional review process including that of Consultant, CEC member, Hearing Panelist, and Corrective Action Monitor Understand the role of the Chapter throughout the process Be able to orient Chapter volunteers and staff to the revised procedures © 2004 National Association of Social Workers. All Rights Reserved. 3

Purpose of Professional Review NASW promotes the quality and effectiveness of social work practice. This mission encompasses the maintenance of ethical conduct under conditions of nondiscrimination with respect to age, race, color, religion, national origin, handicapping conditions, gender, and sexual orientation. To fulfill this obligation, NASW has the responsibility to study and adjudicate complaints of practices allegedly detrimental to this mission. The adjudication process seeks to uphold standards of practice by social workers, affording a means of redress for aggrieved parties. © 2004 National Association of Social Workers. All Rights Reserved. 4

The NASW Professional Review Process (PRP) The NASW PRP is a Chapter based peer review process with national administration. There is 1 type of Request for Professional Review: 1. Ethics Complaints: Allegations that a member violated the Code of Ethics © 2004 National Association of Social Workers. All Rights Reserved. 5

Possible Outcomes If an ethics complaint is accepted at intake, it is sent to mediation or adjudication for review. Mediation: This process does not conclude whether a violation occurred, rather, it seeks resolution of the presenting issues via agreement by both parties. A mediation resulting in an agreement may include corrective actions and/or sanctions. Adjudication This process is conducted by a hearing panel at the Chapter level. Representation from each party along with witness testimony and other pre-approved evidence is considered by the panel during a hearing. The hearing is summated in a Chapter Report that determines whethere were findings of ethics violations. If there are substantiated findings, there are recommendations for Corrective actions and/or immediate or contingent sanctions © 2004 National Association of Social Workers. All Rights Reserved. 6

The Call DON’T PANIC… It’s As Easy As 123 © 2004 National Association of Social Workers. All Rights Reserved. 7

Step 1: Ask for a brief description of the situation including: The name of the member The date of the incident and the nature of the complaint Verify membership at the time of the alleged incident © 2004 National Association of Social Workers. All Rights Reserved. 8

Step 2: Offer a Consultant Assign Consultant(s) Be Available to Answer Questions © 2004 National Association of Social Workers. All Rights Reserved. 9

Step 3: MAIL OUT MATERIALS: Instruction for downloading the Procedures and the Code from the web A 01 Response to Query A 02 Memo to Potential Complainant Time Limits Waiver, if applicable © 2004 National Association of Social Workers. All Rights Reserved. 10

Now Breathe… All materials are sent directly to the national office The national office will schedule the NEC Intake Subcommittee meeting The national office will contact the Chapter for two participants for the teleconference The national office will notify the Chapter and parties of the decision © 2004 National Association of Social Workers. All Rights Reserved. 11

Intake © 2004 National Association of Social Workers. All Rights Reserved. 12

© 2004 National Association of Social Workers. All Rights Reserved. 13

WHAT’S IMPORTANT AT INTAKE STAGE Clarification as to “Who Can File a Complaint” Respondent has an opportunity to submit information (limited to three pages) before the complaint is reviewed at Intake. Time Limits Waiver (TLW): An approved TLW will extend the time limit for submitting an RPR for one additional year from the time that the alleged unethical conduct occurred. No Opportunity to Appeal Intake Decision © 2004 National Association of Social Workers. All Rights Reserved. 14

National’s Role at Intake The National Office: Reviews materials submitted for accuracy and completeness Schedules review by the Intake Subcommittee Contacts chapters for two representatives for the call Sends materials for review Sets up teleconference © 2004 National Association of Social Workers. All Rights Reserved. 15

The Chapter’s Role at Intake Selects two voluntary representatives for intake call Provides volunteers with case material in a timely manner Ensures that volunteers have date and time of conference Remains available to answer questions © 2004 National Association of Social Workers. All Rights Reserved. 16

What Does the Intake Teleconference Look Like? WHO: -1 NEC Intake Subcommittee Chair -2 NEC Alternates -2 Chapter Representatives WHAT: -Reviews Criteria for Acceptance and makes decision WHEN: -The 1 st and 3 rd Tuesdays of each month from 1 -2: 30 pm ET HOW: -Via Teleconference. Scheduled participants provide a contact number and Premier Global contacts the parties as scheduled. WHY: -To allow Chapter input -To allow cases to be reviewed within the appropriate timeframes -Convenient and efficient © 2004 National Association of Social Workers. All Rights Reserved. 17

ACTIVITY 2 1. Review the Mock RPR 2. As a Committee, go through the Criteria for acceptance in your package 3. Are there any other Codes that you would include? 4. Select a venue for review i. e. mediation or adjudication © 2004 National Association of Social Workers. All Rights Reserved. 18

Adjudication © 2004 National Association of Social Workers. All Rights Reserved. 19

© 2004 National Association of Social Workers. All Rights Reserved. 20

What’s Important at Adjudication If there are no findings, there can be no recommendations made for corrective actions or sanctions If there are findings, a rationale will be necessary for the recommendation of corrective action and sanctions © 2004 National Association of Social Workers. All Rights Reserved. 21

Planning for a Hearing Chapter assumes primary role Professional Review Time Table National Office available to support planning © 2004 National Association of Social Workers. All Rights Reserved. 22

The Chapter Report Basic Elements • • • Cover page Summary of RPR Summary of Findings and Recommendations Chronology Position of Complainant (includes witness testimony) Position of Respondent (includes witness testimony) Findings of Facts and Conclusions (address each item in scope of hearing) Recommendations Appendix (evidence) Signatures - front page: Chapter President - last page: Panel chair © 2004 National Association of Social Workers. All Rights Reserved. 23

Corrective Action and Sanction Guidelines Does the Corrective Action provide an opportunity for the Respondent to be educated? Does the Corrective Action remedy the ethical misconduct? Do the sanctions provide appropriate consequences based on the nature of the ethical misconduct? Are the Recommendations fair and proportional to the nature of the ethical misconduct? Is there a clearly stated and reasonable timeframe for the initiation and completion of the recommended corrective action? © 2004 National Association of Social Workers. All Rights Reserved. 24

Mediation © 2004 National Association of Social Workers. All Rights Reserved. 25

• Corrective actions, if part of the mediated settlement, should commence and a monitor appointed. • If mediated settlement includes sanctions, national Executive Committee must approve. © 2004 National Association of Social Workers. All Rights Reserved. 26

What’s Important at Mediation NASW Representative will receive case information Chapter will receive copy of mediated agreement Surveys provided for all participants post mediation © 2004 National Association of Social Workers. All Rights Reserved. 27

“Must” vs. “May” Chapter 5 of the Procedures addresses referral to mediation or adjudication: Chapter representatives should provide information during the intake call about extenuating circumstances faced by chapters and parties including resources and safety issues that might influence the venue chosen for review of the matter Certain ethics violations must go to adjudication for review © 2004 National Association of Social Workers. All Rights Reserved. 28

Planning for Mediation Chapter assumes primary role Professional Review Time Table National Office available to support planning © 2004 National Association of Social Workers. All Rights Reserved. 29

When Mediation is Successful What happens next? Notification of Chapter and National Office Follow Up by the Chapter © 2004 National Association of Social Workers. All Rights Reserved. 30

When Mediation is Unsuccessful Notification of Chapter and National Office NEC Intake Subcommittee Decision © 2004 National Association of Social Workers. All Rights Reserved. 31

Automatic Revocation of Membership • • Automatic revocation of membership will be implemented based on action taken by a state licensing board to revoke a member’s license or as a result of a criminal felony conviction in a publicly reported forum. The action taken will be as follows: If a social work licensing board action requires revocation of the member’s license: NASW membership will be revoked. If a member is convicted of a felony: NASW membership will be revoked. This will not require a review by the National Ethics Committee or NASW Board of Directors’ Executive Committee. Membership Services will facilitate the revocation of membership by notifying the member. © 2004 National Association of Social Workers. All Rights Reserved. 32

Self Reports • • • When a chapter becomes aware of a substantiated criminal or social work licensure violation by a social worker member based on information available in the public domain that has resulted in an action less than a felony or revocation of a social work license, the chapter will forward the information to the national office for review. The NASW national office will notify the member, in writing, of the information received from the public domain, provide a recommendation that the member self-report, and provide notice that failure to self-report within 30 days will result in automatic suspension of NASW membership. This will not require a review by the National Ethics Committee or NASW Executive Committee. Suspension of membership will be facilitated by the Office of Ethics and Professional Review and processed by Membership Services. If a self-report is filed, the matter will be handled according to the process available under the Procedures for Professional Review, Revised (see, pp. 2 -3). © 2004 National Association of Social Workers. All Rights Reserved. 33

Q&A © 2004 National Association of Social Workers. All Rights Reserved. 34

Thank You We appreciate your patience, support, commitment and contribution to the maintenance of Social Work standards. © 2004 National Association of Social Workers. All Rights Reserved. 35