©2004 National Association of Social Workers. All Rights Reserved. 1 NASW OFFICE OF ETHICS AND...

©2004 National Association of Social Workers. All Rights Reserved. 1

NASWOFFICE OF ETHICS AND PROFESSIONAL

REVIEW

REVISED PROCEDURES FOR PROFESSIONAL REVIEW

2010


Introduction to OEPR

Dawn Hobdy, MSW, LICSW Manager, OEPR

Dawan Jones Professional Review Assistant


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


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.


The NASW Professional Review Process

(PRP)The NASW PRP is a Chapter based peerreview process with national administration. There is 1 type of Request for ProfessionalReview:

1. Ethics Complaints: Allegations that a member violated the Code of Ethics

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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.

AdjudicationThis 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 whether there were findings of ethics violations. If there are substantiated findings, there are recommendations for Corrective actions and/or immediate or contingent sanctions


The Call

DON’T PANIC…

It’s As Easy As 1 2 3


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


Offer a Consultant

Assign Consultant(s)

Be Available to Answer Questions

Step 2:


MAIL OUT MATERIALS:

Instruction for downloading the Procedures and the Code from the web

A01 Response to Query

A02 Memo to Potential Complainant

Time Limits Waiver, if applicable

Step 3:


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


Intake


NASW Professional Review ProcessNASW Professional Review Process

Request for Professional Review (RPR)

Professional Review

Adjudication Mediation

Incident

NationalOffice (orig)

ChapterOffice (cc)

NEC Intake Subcommittee

ChapterPresident

ConsultantsAppointed

Respondent(cc)

A-Flow Chart Part 1

Intake


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


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


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


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 1st and 3rd Tuesdays of each month from 1-2:30pm 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


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


Adjudication


Panelists appointed

Hearing

If report or chapter recommend sanctions, national Executive Committee must approve.

When all appeal options areexhausted, a final reportis issued.

Corrective actions,if recommended, shouldcommence and a monitor should be appointed.

1. Request furtherinformation

2. Return for revision orre-hearing

1. Request furtherinformation

2. Return for revision orre-hearing

ReportComplainant

Appeal

Uphold Deny

RespondentAppeal

Deny Uphold

G-Flow Chart Part 4 (adjudication)

AdjudicationFlow Chart


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


Planning for a Hearing

Chapter assumes primary role

Professional Review Time Table

National Office availableto support planning


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


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?


Mediation


Mediator, NASW representative appointed

First Mediation Session•Mediation in Professional Review Explained (Ground Rules set)

•Mediator and NASW Representative roles reviewed

Agreement to Mediate

•Corrective actions, if part of the mediated settlement, should commence and a monitor appointed.•If mediated settlement includes sanctions, national Executive Committee must approve.

•When all issues are successfully resolved, a mediated settlement is drafted and signed by the parties•The NASW representative reviews the mediated settlement

Mediation Continues as Necessary

D-Flow Chart P arts 2 and 3 (mediati on)

MediationFlow Chart

•Corrective actions, if part of the mediated settlement, should commence and a monitor appointed.•If mediated settlement includes sanctions, national Executive Committee must approve.


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


“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 includingresources and safety issues that might influence the venue chosen for review of the matter

Certain ethics violations must go to adjudication for review


Planning for Mediation

Chapter assumes primary role

Professional Review Time Table

National Office availableto support planning


When Mediation is Successful

Notification of Chapter and National Office

Follow Up by the Chapter

What happens next?


When Mediation is Unsuccessful

Notification of Chapter and National Office

NEC Intake Subcommittee

Decision

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.


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).



Q & A


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. 1 NASW OFFICE OF ETHICS AND...

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