©2004 national association of social workers. all rights reserved. 1 nasw office of ethics and...
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©2004 National Association of Social Workers. All Rights Reserved. 1
NASWOFFICE OF ETHICS AND PROFESSIONAL
REVIEW
REVISED PROCEDURES FOR PROFESSIONAL REVIEW
2010
©2004 National Association of Social Workers. All Rights Reserved. 2
Introduction to OEPR
Dawn Hobdy, MSW, LICSW Manager, OEPR
Dawan Jones Professional Review Assistant
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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
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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.
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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
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The Call
DON’T PANIC…
It’s As Easy As 1 2 3
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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
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Offer a Consultant
Assign Consultant(s)
Be Available to Answer Questions
Step 2:
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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:
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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
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Intake
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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
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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
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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
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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
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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
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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
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Adjudication
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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
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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
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Planning for a Hearing
Chapter assumes primary role
Professional Review Time Table
National Office availableto support planning
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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
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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?
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Mediation
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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.
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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
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“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
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Planning for Mediation
Chapter assumes primary role
Professional Review Time Table
National Office availableto support planning
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When Mediation is Successful
Notification of Chapter and National Office
Follow Up by the Chapter
What happens next?
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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.
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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).
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Q & A
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Thank You
We appreciate your patience, support, commitment and contribution to the maintenance of Social Work standards.