216-RICR-40-05-7
216-RICR-40-05-7. Clinical Social Workers and Independent Clinical Social Workers (version Periodic Refile, 01/02/2002 to 10/18/2007)
RULES AND REGULATIONS
FOR LICENSING
CLINICAL SOCIAL WORKERS
AND
INDEPENDENT CLINICAL SOCIAL WORKERS
(R5-39.1 CSW/ICSW)
STATE OF RHODE ISLAND AND PROVIDENCE PLANTATIONS
Department of Health
February 1996
As Amended:
May 1997
May 2000
October 2001
January 2002 (re-filing in accordance
with the provisions of section 42-35-4.1
of the Rhode Island General Laws, as
amended)
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INTRODUCTION
These Rules and Regulations For Licensing Clinical Social Workers and
Independent Clinical Social Workers (R5-39.1 CSW/ICSW) are promulgated pursuant to the
authority conferred under section 5-39.1-5 of the General Laws of Rhode Island, as amended, and are
established for the purpose of adopting minimum standards pertaining to the licensure of clinical social
workers and independent clinical social workers in this state.
In accordance with the provisions of section 42-35-3(c) of the General Laws of Rhode Island, as
amended, consideration was given to: (1) alternative approaches to the regulations; (2) duplication or
overlap with other state regulations; and (3) any significant economic impact on small business as defined in
Chapter 42-35 of the General Laws. Based on available information, no known alternative approach,
duplication or overlap, or significant economic impact was identified.
These Rules and Regulations for Licensing Clinical Social Workers and Independent
Clinical Social Workers (R5-39.1 CSW/ICSW) shall supersede all previous rules and regulations
pertaining to the licensure of clinical social workers and independent clinical social workers promulgated by
the Department of Health and filed with the Secretary of State.
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TABLE OF CONTENTS
Page
PART I
Definitions
1
1.0
Definitions
1
PART II
License Requirements
3
2.0
License Requirements
3
3.0
Qualifications
4
4.0
Application/Fee
5
5.0
Examinations for Licensure
6
6.0
Issuance and Renewal of License - Continuing Education
7
7.0
Social Worker Privilege
8
PART III
Denial, Suspension, Revocation Or Violations
Procedure For Discipline And Severability
9
8.0
Grounds for Denial, Suspension or Revocation and Violations 9
9.0
Disciplinary Process
10
10.0
Disciplinary Sanctions
10
11.0
Rules Governing Practices and Procedures
11
12.0
Severability
11
1
PART I
DEFINITIONS
Section 1.0
Definitions
Wherever used in these rules and regulations the following terms shall be construed as follows:
1.1
"Act" refers to Chapter 5-39.1, entitled, "License Procedure for Social Workers" of the General
Laws of Rhode Island, as amended.
1.2
"Administrator" is the Administrator of the Division of Professional Regulation, Rhode Island
Department of Health.
1.3
"Board" is the Board of Social Work within the Division of Professional Regulation of the
Department of Health, established pursuant to the provisions of section 5-39.1-6 of the Act.
1.4
"Clinical social work practice" is defined as the professional application of social work
theories, methods and values in the diagnosis, assessment and treatment of cognitive, affective and
behavioral disorders arising from physical, environmental or emotional conditions. Clinical social
work services shall include, but shall not be limited to, diagnosis; assessment; evaluation;
psychotherapy and counseling for individuals, couples, families and groups; client-centered
advocacy; consultation and supervision.
The practice of case work, group work and community organization services under the supervision
of a licensed clinical social worker or the practice of basic data gathering and the formulation and
implementation of plans to achieve specific goals related to specific life issues for groups or for
individuals, or the assessment, evaluation and counseling of individuals or groups other than for a
specific mental illness or the conduct of a psychosocial evaluation, excluding the diagnosis and
treatment of a mental illness, such as may be performed by bachelor's level social workers in a
nursing care facility or similar setting shall not be considered to be the practice of clinical social
work for the purposes of these regulations.
Clinical social work services shall not include psychological testing and nothing in the Act or in
these rules and regulations shall be construed as permitting social workers to practice psychology.
1.5
"Continuing education hours" means actual hours earned in continuing education courses,
seminars, and workshops.
1.6
"Department" is the Rhode Island Department of Health.
1.7
"Director" is the Director of the Rhode Island Department of Health.
1.8
"Division" is the Division of Professional Regulation, Rhode Island Department of Health.
1.9
"Experience" is defined as three thousand (3,000) hours of post-master's practice of clinical
social work during a twenty-four (24) month to seventy-two (72) month period of time immediately
preceding the date of application for licensure. One thousand five hundred (1,500) hours must
consist of providing clinical social work services directly to clients.
If performed in Rhode Island, said experience shall be completed while the person is licensed in
Rhode Island as a clinical social worker or while performing clinical social work services in a
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statutorily exempt setting (e.g., a state employee).
1.10
"Supervision" is defined as face-to-face contact with a licensed independent clinical social
worker for the purpose of apprising the supervisor of the diagnosis, assessment, and treatment of
each client; receiving oversight and guidance from the supervisor in the delivery of clinical social
work services to each client; and being evaluated by the supervisor. This contact must consist of:
(a)
A minimum of two (2) hours of supervision every two (2) weeks; and
(b)
A minimum of one (1) hour of supervision per twenty (20) hours of direct contact with
clients whether or not the number of hours of supervision required for a two (2) week
period have been met; and
(c)
One-to-one contact with the supervisor at least seventy-five percent (75%) of the time with
group supervision of no more than ten (10) supervisees during the balance of the time; and
(d)
Supervision by an individual other than the applicant's parents; spouse; former spouse;
siblings; children; employees; or anyone sharing the same household or any romantic,
domestic, or familial relationship.
(e)
Supervisors shall be responsible for assuring that supervisees are appropriately licensed in
clinical social work or are otherwise exempt from licensure.
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PART II
SOCIAL WORKER LICENSING REQUIREMENTS
Section 2.0
License Requirements
2.1
Pursuant to section 5-39.1-3 of the Act, to safeguard the welfare and health of the people of the
state of Rhode Island, it is unlawful for any person to engage in the practice of clinical social work
or to represent him or herself as a licensed clinical social worker or a licensed independent clinical
social worker in this state or to use any title, abbreviation, sign or device to indicate that such
person is a clinical social worker or independent clinical social worker, unless such a person has
been duly licensed pursuant to the provisions of the Act and the rules and regulations herein.
2.1.1 Any person who holds a license to practice as a clinical social worker or independent
social worker in this state shall have the right to use the titles and abbreviations "L.C.S.W."
and "L.I.C.S.W.". No other person shall assume such title or use the abbreviation
L.C.S.W. OR L.I.C.S.W. or other words, or letters, signs, figures or devices to indicate
that the person using the same is a licensed clinical social worker or licensed independent
clinical social worker or unless exempted under the Act.
2.1.2 All persons licensed under the provisions of the Act and these rules and regulations shall
adhere to the current standards of practice and to such code(s) of professional ethics as
adopted by the Board.
2.1.3 No individual shall use "licensed social worker", "clinical social worker", "psychiatric social
worker", or any other designation implying qualification to practice clinical social work
unless she or he is licensed as a "licensed clinical social worker" or "licensed independent
clinical social worker" pursuant to the Act.
2.1.4 Any individual licensed as a "licensed clinical social worker" and under supervision, as
defined in the Act, is permitted to practice clinical social work, whether in a private
practice or in association with a public or private agency or institution.
2.1.5 Any individual licensed as a "licensed independent social worker" is permitted to practice
clinical social work autonomously, whether in a private practice or in association with a
public or private agency or institution.
2.1.6 No individual shall engage in the practice of clinical social work unless she or he holds an
active license as a "licensed clinical social worker" or "licensed independent clinical social
worker."
Exemptions from Licensure
2.2
The provisions of the Act do not apply to the following individuals:
2.2.1 Qualified members of other professions or occupations engaging in practices similar in
nature to clinical social work; provided, that they are authorized by the laws of this state to
engage in similar practices, do not represent themselves as a "licensed clinical social
worker" or "licensed independent clinical social worker," and do not characterize their
practices as clinical social work;
2.2.2 Students engaged in master's level study in a school of social work accredited by the
4
Council on Social Work Education or students engaged in doctorate level study in clinical
social work in a duly accredited college or university; provided, that the students are
practicing as part of a supervised course of study and designated by such titles as "social
work intern," "social work trainee," "social work student" or others clearly indicating
training status; or
2.2.3 State employees.
Section 3.0 Qualifications For Licensure
3.1
Any applicant for licensure shall submit to the Board written evidence on forms furnished by the
Division, verified by oath that said applicant meets all of the following requirements:
3.1.1 Prerequisites – "Licensed clinical social worker" – A license as a "licensed clinical
social worker" is issued to an applicant who meets the following qualifications:
(1)
Has a doctorate in clinical social work from a duly accredited college or university
or master's degree from a school of social work accredited by the Council on
Social Work Education, and
(2)
Has satisfactorily completed an examination for this license, or
(3)
Has a comparable license, certification, or registration from the state, or another
state or territory of the United States that imposes qualifications substantially similar
to those of the Act, as determined by the Board.
3.1.2 Prerequisites – "Licensed independent clinical social worker" – A license for a
"licensed independent clinical social worker" is issued to an applicant who meets the
following qualifications:
(1)
Is licensed under the Act as a "licensed clinical social worker", and
(2)
Has twenty-four (24) months of experience acceptable to the Board, which
experience shall only be acceptable if the applicant was licensed as a licensed
clinical social worker (if required in the jurisdiction where the experience was
attained) and under appropriate supervision, and
(3)
Has fulfilled the continuing education requirements for this license, and
(4)
Has satisfactorily completed an examination for this license, or
(5)
Has a comparable license, certification, or registration from the state, or another
state or territory of the United States that imposes qualifications substantially similar
to those of the Act.
3.2
In addition to the qualification stated in section 3.1 above, an applicant for any of the these titles
must prove to the Board's satisfaction that he/she:
a)
is at least twenty-one (21) years of age;
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b)
is of good moral character and merits the public trust;
c)
has graduated with a master's degree from a school of social work accredited by the
Council on Social Work Education or has graduated with a doctoral degree in clinical
social work from a duly accredited college or university;
d)
has passed, to the satisfaction of the Board, a national examination at the appropriate level
as specified herein;
e)
is a United States citizen or legal resident of the United States;
f)
has no record of the conviction of a felony. This requirement is subject to waiver by the
Board upon presentation of satisfactory evidence that such conviction does not impair the
ability of the person to conduct with safety to the public the practice authorized by this
license; the applicant shall bear the burden of proving that his/her conviction does not
impair his/her ability to conduct with safety to the public the practice authorized by this
license;
g)
has no record of disciplinary sanction by the NASW or by a board of social work in this or
another jurisdiction for violation of statute, rules and regulations or code of ethics. This
requirement is subject to waiver by the Board upon presentation of satisfactory evidence
that such sanction does not impair the ability of the person to conduct with safety to the
public the practice authorized by this license; the applicant shall bear the burden of proving
that his/her conviction does not impair his/her ability to conduct with safety to the public the
practice authorized by this license;
h)
that the applicant has not been declared mentally incompetent by any court, and if any such
decree has been rendered, that there has been a subsequent court determination that the
applicant is competent;
i)
that the applicant is free from the use of any controlled substance or any alcoholic beverage
to the extent that said use impairs the ability of the person to conduct with safety to the
public the practice authorized by this license. The applicant bears the burden of proving
that he/she is free from use of any controlled substance or any alcoholic beverages which
impair his/her ability to conduct with safety to the public the practice authorized by this
license.
Section 4.0
Application for Licensure and Fee
4.1
Application for licensure to practice social work in this state, shall be made on forms provided by
the Division, which shall be completed, notarized and submitted to the Board thirty (30) days prior
to the scheduled date of the Board meeting at which they are to be reviewed. Such application
shall be accompanied by the following documents:
a)
for U. S. Citizens:
a certified copy of birth certificate;
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for Non-U.S. Citizens:
documented evidence of lawful entry into the country;
b)
two (2) references from responsible professional persons attesting to applicant's good
moral character;
c)
supporting official transcripts of education credentials as required in section 3.0 herein sent
directly from the school;
d)
a statement from the board of social work in each state in which the applicant has held or
holds licensure to be submitted to the Board of this state, attesting to the licensure status of
the applicant during the time period the applicant held licensure in said state;
e)
the official results of the appropriate level written examination:
(1)
for licensure as a clinical social worker this shall be the intermediate level of the
examination administered by the Association of Social Work Boards (ASWB) or
such other examination as the Board shall consider to be acceptable;
(2)
for licensure as an independent clinical social worker this shall be the clinical level
of the examination administered by the ASWB or such other examination as the
Board shall consider to be acceptable;
f)
a passport-type photograph of the applicant;
g)
the non-refundable application fee of one hundred twenty-five dollars ($125.00) made
payable by check or money order to the General Treasurer, state of Rhode Island;
h)
for applicants for licensure at the independent social work level; statement(s) documenting
the required hours of post-master's supervised practice under a licensed independent
clinical social worker.
Section 5.0 Examinations for Licensure of Social Workers
5.1
By Examination:
Applicants, except those exempt pursuant to sections 5.2 herein, shall be required to pass a written
examination as the Board deems most practical and expeditious to test the applicant's fitness to
engage in the practice of social work.
5.1.1 For written examination, the Division may administer a national examination approved by
the ASWB, or such other national examination as may be determined by the Board.
5.1.2 In lieu of a written examination, the Division may, at its discretion, administer a computer
based examination which requires the applicant to mark answers electronically, rather than
a pen and paper format.
5.1.3 Examinations shall be given at least four (4) times per year.
5.1.4 Applicants shall be responsible for the payment of the examination/re-examination fee in
7
accordance with the fee schedule and instructions developed by the examination vendor.
5.1.5 Requests for testing accommodations under the Americans with Disabilities Act or inquiries
concerning other issues involving the examination process shall be directed to the Board.
5.2
Without Examination by Endorsement
A license to practice social work may be issued without examination to an applicant who has been
duly licensed by administration of the appropriate level of examination as a social worker under the
laws of another state or territory or District of Columbia, if, in the opinion of the Board, the
applicant meets the qualifications required of clinical social workers in this state. Said applicant
must submit, thirty (30) days prior to the scheduled meeting of the Board, completed licensure
application forms and fee, in accordance with section 4.0 herein, including such additional
supporting documentation as may be required.
5.2.1 Until such time as a license has been issued, the candidate for licensure by endorsement
may not practice as a clinical social worker in Rhode Island.
5.3
Re-Examination
5.3.1 In the case of the failure of any applicant to satisfactorily pass an examination, such
applicant shall be entitled to a re-examination upon submission of an additional fee to the
examination service without making further application to the Board. In making application
for re-examination the applicant shall be subject to any standards imposed by the ASWB
or other examination vendor regarding the minimum time interval between administrations
of the examination.
5.3.2 In order to qualify for re-examination after three (3) failures, the applicant must request a
formal meeting with the Board, at which time requirements (consisting of additional course
work and/or training) for re-examination may be determined. If such requirements are
determined by the Board, they must be fulfilled prior to admittance to a future examination.
Section 6.0 Issuance & Renewal Of License - Continuing Education
6.1
Upon the recommendation of the Board, the Director shall issue to applicants who have
satisfactorily met the licensure requirements herein, a license to practice clinical social work in this
state. Said license, unless sooner suspended or revoked, shall expire on the first day of May of the
next odd year following the date of issuance of the original license.
6.2
On or before the first day of March of each odd year, the Administrator of the Division shall mail
an application for renewal of license to every person to whom a license has been issued or
renewed during the current licensure period. Every person so licensed who desires to renew his/her
license shall file with the Division such renewal application, duly executed, together with a renewal
fee of one hundred twenty-five dollars ($125.00) payable to the General Treasurer, state of Rhode
Island, on or before the fifteenth (15th) day of April of each odd year.
6.3
Every person desiring to renew his or her license shall present such evidence as may be required by
the Board attesting to the completion of thirty (30) contact hours of continuing social work
education during the preceding twenty-four (24) months in accordance with the following
requirements:
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a)
a minimum of three (3) contact hours shall be in the area of cross-cultural practice to
include the alleviation of oppression;
b)
a minimum of three (3) contact hours shall be in the area of social work professional ethics;
c)
credit may be claimed for serving as a supervisor for students duly enrolled in a program of
studies at an accredited social work program at a college or university in accordance with
the following: A maximum of six (6) hours credit may be claimed during a renewal period
for both the supervision of a master's level social work student for a full academic year; or
for the supervision of a bachelor's level social work student for a full academic year.
d)
upon prior agreement with the Board, credit may be claimed for serving as a supervisor to
an impaired practitioner or to a practitioner under disciplinary sanction by the Board at the
rate of six (6) hours for a one (1) year period of supervision.
6.3.1
Continuing education hours will be accepted by the Board for course work which has been
presented, accepted or approved by the NASW or its local chapter, the ASWB, other
recognized social work professional organizations, any department or school of social work
accredited by the Council on Social Work Education (CSWE) to offer the Master's in Social
Work (MSW) degree or such other professional or accrediting agency as may be approved by
the Board.
6.3.2
At the time of license renewal, each licensee will be required to attest to the fact of having
complied with the above requirements. Course descriptions, proof of attendance or other
documentation of completion will be retained by the licensee for a minimum of two years and is
subject to random audit by the Board. Failure to produce satisfactory documentation of
completion upon request by the Board constitutes grounds for disciplinary action under the
provisions of 5-39.1-10 (4).
6.4
Upon receipt of such renewal application, documentation of continuing education and payment of
said fee, the accuracy of the application shall be verified, and the Administrator shall grant a
renewal license effective the second day of May, and expiring of the first day of May of the next
odd numbered year.
6.5
Any person who allows his or her license to lapse by failing to renew it on or before the first day of
May of the next odd year, as provided above may be reinstated by the Administrator on payment
of the current renewal fee of one hundred twenty-five dollars ($125.00) plus an additional fee of
twenty-five dollars ($25.00).
6.5.1 Any person using the title "clinical social worker" or "independent clinical social worker" or
practicing clinical social work during the time that his or her license has lapsed shall be
subject to the penalties provided for violations of these regulations and the Act.
Section 7.0
Social Worker Privilege
7.1
No licensee under the Act or an employee of a licensee may disclose any information acquired
from clients or persons consulting with the licensee to render professional services except:
(1)
With the written consent of the person(s) or, in the case of death or disability, of the
9
individual's personal representative, or person authorized to sue, or the beneficiary of an
insurance policy on an individual's life, health, or physical conditions;
(2)
When there is a clear and present danger to the safety of the patient or client or to other
individuals;
(3)
When a person is a minor under the laws of this state and the information acquired by the
licensee involves abuse of the minor the licensee is required to report this pursuant to § 40-
11-3 and may be required to testify fully in an examination, trial, or other proceeding in
which the commission of this crime is the subject of inquiry;
(4)
When the person licensed or certified under the Act is a party defendant to a civil, criminal,
or disciplinary action arising from a complaint filed by the patient or client, in which case the
waiver is limited to that action;
(5)
When the licensee is called upon to testify in court or administrative hearings concerning the
potential for abuse or neglect in foster and adoptive placements; or
(6)
When the licensee is collaborating or consulting with an administrative superior on behalf of
the client.
PART III
GROUNDS FOR DENIAL, SUSPENSION, REVOCATION OR VIOLATIONS
PROCEDURES FOR DISCIPLINE AND SEVERABILITY
Section 8.0
Grounds for Denial, Suspension or Revocation of License/Violations
8.1
Licensees subject to these regulations shall conduct their activities, services, and practice in
accordance with Chapter 5-39.1 of the Rhode Island General Laws. The Board may recommend
to the Director the refusal to grant a license, suspension, revocation, conditioning, restriction or
limitation of the license of any individual who the Board, after a hearing, determines:
a)
is incompetent to practice under the provisions of the Act, or is found to engage in the
practice of social work in a manner harmful or dangerous to a client or to the public;
b)
has obtained or attempted to obtain a certificate or license, or renewal therefore, by
bribery or fraudulent representation;
c)
has knowingly made a false statement on a form required by the Board for licensing or
renewal therefore;
d)
has failed to obtain the continuing education credits required by the Board;
e)
has engaged in or solicited sexual relations with a client, or committed an act of sexual
abuse or sexual misconduct against a past or current client;
f)
has failed to remain free from use of any controlled substance or any alcoholic beverages to
the extent that the use impairs the ability of the person to conduct with safety to the public
the practice authorized by this license. The applicant shall bear the burden of proving that
he/she is free from use of any controlled substance or any alcoholic beverages which impair
his/her ability to conduct with safety to the public the practice authorized by this license;
10
g)
has been convicted of a felony, which is subject to waiver by the Board upon presentation
of satisfactory evidence that such conviction does not impair the ability of the person to
conduct with safety to the public practice authorized by this license. The applicant shall
bear the burden of proving that his/her conviction does not impair his/her ability to conduct
with safety to the public the practice authorized by this license;
h)
has disciplinary action pending or has revocation, suspension, or probation taken against
the licensee in another state;
i)
assists or permits unlicensed persons under the licensee's supervision to perform services
for which a license is required under the Act and these rules and regulations;
j)
has failed to maintain confidentiality, except as required or permitted by law;
k)
has engaged in false or misleading advertising;
l)
has a mental disability which significantly impairs the ability of the person to conduct with
safety to the public the practice authorized by this license. (Mental disability shall include,
but not be limited to, an order by a court that a licensee is in need of mental treatment for
incompetence); or
m)
has violated any provisions of Chapter 5-39.1 of the General Laws of Rhode Island, as
amended, or the provisions of any code of ethics adopted by the Board.
Complaints
8.2
All complaints concerning a licensee's business or professional practice shall be received by either
the Board or the state agency. Each complaint received shall be logged, recording at a minimum
the following information:
•
Licensee's Name;
•
Name of the complaining party;
•
Date of complaint;
•
Brief statement of complaint; and
•
Disposition.
Section 9.0 Disciplinary Process
Disciplinary procedures under the Act shall be conducted in accordance with Chapter 42-35 of the
General Laws of the state of Rhode Island.
9.1
The Board or its designee shall hear evidence produced in support of the formal charges and
contrary evidence produced by the licensee. At the conclusion of the hearing, the Board or its
designee shall make recommendation to the Director who shall issue an order.
Section 10.0 Disciplinary Sanctions
10.1
The Board may recommend that the Director impose any of the following sanctions, singly or in
combination, when it finds that a licensee is guilty of any offenses described in section 5-39.1-10 of
the Rhode Island General Laws, as amended:
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a)
revocation of the license;
b)
suspension of the license for any period of time;
c)
censure of the licensee;
d)
issue a letter or reprimand;
e)
place a licensee on probationary status and require the licensee to submit to any of the
following:
(i)
report regularly to the Board upon matters which are the basis of probation;
(ii)
continue to renew professional education until a satisfactory degree of skill has
been attached in those areas which are basis of probation;
f)
refuse to renew a license; or
g)
revoke probation which has been granted and impose any other discipline provided in this
section when the requirements of probation have not been fulfilled or have been violated.
10.2
The Board may recommend that the Director reinstate any licensee to good standing under the Act
and these rules and regulations, if after hearing, the Board is satisfied that the applicant's renewed
practice is in the public interest.
10.3
Upon the suspension or revocation of a license issued under the Act and these rules and
regulations, a licensee shall be required to surrender the license or registration to the Director and
upon failure to do so, the Director shall have the right to seize the same.
10.4
The Director shall make available annually a list of the names and addresses of all licensees under
the provisions of these rules and regulations, and of all persons who have been disciplined within
the proceeding twelve (12) months.
10.5
Any person convicted of violating the provisions of the Act and these rules and regulations shall be
guilty of a misdemeanor, punishable by a fine of not more than one thousand dollars ($1,000.00).
Section 11.0
Rules Governing Practices & Procedures
11.1
All hearings and reviews required under the provisions of Chapter 5-39.1 of the General Laws of
Rhode Island, as amended, shall be held in accordance with the provisions of the Act and of the
Rules and Regulations of the Rhode Island Department of Health Regarding
Practices and Procedures Before the Department of Health and Access to Public
Records of the Department of Health (R42-35-PP).
Section 12.0 Severability
12.1
If any provision of these rules and regulations or the application thereof to any person or
circumstance shall be held invalid, such invalidity shall not affect the provisions or application of the
rules and regulations which can be given effect, and to this end the provisions of the rules and
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regulations are declared to be severable.
October 17, 2001
socialworkers-final regs-october01.doc