Preventing and Responding to Licensing Board Complaints - NASW

Mental health providers in any practice setting are potential targets of licensure complaints from clients or other sources. The consequences of such complaints can be serious and may have a significant impact on a provider’s ability to practice. This course will describe the role of state licensing boards and the concept of due process as it applies to state board proceedings. The course will provide an overview of the guidance, laws, and regulations that govern the mental health professions, including psychologists, professional counselors, social workers, and marriage and family counselors, followed by a discussion of five risk management strategies that can help mental health providers avoid licensure complaints or respond to them more effectively if they occur. In addition, there will be a description of the general processes followed by licensing boards in investigating and resolving complaints from clients. The hope is that by understanding the role of the boards and the processes they follow in dealing with complaints, providers faced with complaints may be less anxious and more proactive in responding to complaints, or may be able to prevent such situations in the first place.

The target audience is any licensed behavioral health provider who may face a board complaint at some time in their practice. This webinar applies to any allied healthcare professional who may face a complaint based on their work as a licensee.

Learning Objectives

On completion of this workshop, participants will be able to:

• List five risk management strategies and how they relate to preventing or improving responses to a licensing board complaint.
• Describe the general process followed by licensing boards in responding to complaints.
• Explain what due process rights are and how they relate to licensing board complaints.
• Recognize ways to inadvertently waive due process rights during the investigative and adjudicative process.
• Identify the connection between the professional ethics codes and the state laws and regulations related to the practice of psychotherapy.
• State the role, mission, and composition of state licensing boards.

Agenda:

Legal Issues

• Common Claims
• What Do the Courts Look At
• Standard of Care

The Medical Record

• Importance of Policies Regarding Documentation
• Importance of Documentation
• What May/May Not Need to be Documented
• Electronic Medical Record/Written Record
• Documentation of Patient’s Compliance/Non-Compliance with 
• Treatment

Record Retention/Request for Records

• Retention
• Patient Record Request
• Case Example
• Family Member Request
• Third Party Request

Addendums/Corrections:

Privacy and Security

• HIPAA/State Privacy Requirements
• Psychotherapy Notes

Documentation via Electronic Means

• Via Mobile Devices
• Via Text
• Via Email

Documenting Informed Consent

• Minors, Incapacitated Persons
• Termination

Storing, Examining, Destruction of Records

Begin earning CE credits now!

• Get details and objectives, select a webinar, register and create an account.
• View the webinar at your convenience (in whatever time increments are convenient).
• Pass an online exam and complete a brief online webinar evaluation.
• Download and print or save your CE certificate.

You are required to achieve a passing score of 80% or higher.

Important Notice

Because this webinar is on-demand, once you are registered and have created a login account, you can view the webinar at any time in whatever time increments are most convenient.

This online course is self-paced/non-interactive. Course questions can be directed to: contact@trustrms.com.

Having technical issues?

Please contact TRMS at contact@trustrms.com. For questions, concerns, or to request special accommodations, please call 800-477-1200.

Continuing Education Credits

This 2-credit course was developed for social work professionals. The course will familiarize professionals with strategies and techniques to reach outcomes quickly, effectively, and demonstrably, providing a rationale and theory supporting ethical therapy and by incorporating information and strategies to reduce risk.

This program is approved by the National Association of Social Workers (Approval #886836501-2913) for (2) continuing education contact hours.

Approval Date: 9/1/2023
Expiration Date: 9/30/2025

Trust Risk Management Services, Inc. Continuing Education Grievance Policy for NASW Courses

Trust Risk Management Services, Inc. (TRMS) is fully committed to conducting all activities in strict conformance with the National Association of Social Workers, Code of Ethics. TRMS will comply with all legal and ethical guidelines for non-discrimination in promotional activities, program content, and in the treatment of CE participants. TRMS will comply with all legal and ethical guidelines for non-discrimination in promotional activities, program content, and in the treatment of CE participants. The TRMS CE Director is responsible for complying with these standards. While TRMS strives to assure fair treatment for all participants and to anticipate problems before they occur, occasionally grievances may be filed. In cases where a participant files a written or oral grievance, the following actions are taken:

• If the grievance concerns the content of a live workshop, on-demand webinar, or the continuing education test, a TRMS representative will mediate and will be the final arbitrator. If the participant requests action, the CE Director or a TRMS representative will either provide a credit for a subsequent CE offering, or provide a partial or full refund of the CE fee already paid.
• Actions involving a credit or a refund will require a written note documenting the grievance for record-keeping purposes. The aggrieved individual does not need to sign the note. If the grievance specifically concerns TRMS, the CE Director or a TRMS representative will attempt to arbitrate.
• The timeframe for the grievance will be resolved within 30 days from the date of the complaint.

Direct correspondence to: 
Continuing Education
Trust Risk Management Services, Inc. (TRMS)
111 Rockville Pike, Suite 700
Rockville, MD 20850
Phone: (800) 477-1200
Email:  grievances@trustinsurance.com

Presenter

Julie Jacobs, Psy.D., J.D.

Julie Jacobs, Psy.D., J.D. is a licensed psychologist and attorney who practices in the area of mental health provider law.  Prior to attending law school, Dr. Jacobs practiced for 12 years as a clinical psychologist in a variety of settings, including private practice, college counseling centers, and the United States Air Force.  Several years ago, she decided to change the path of her career and focus on helping mental health providers understand the interaction between law and mental health practice.  This decision brought her to Boulder, where she obtained her J.D. at the University of Colorado Law School in 2014. 

Dr. Jacobs uses her own experiences as the basis for understanding the needs of her clients, particularly in the area of mental health provider law.  Her focus is on optimizing the work of mental health providers by addressing issues of risk management, ethical decision-making, and licensure defense.  She currently works as an attorney in Boulder, Colorado, and is developing a practice focused on the needs of mental health providers.   She also offers educational programs for mental health providers on a variety of topics related to mental health practice and law.