(1) Actions - Upon
a finding by the Board that any provision of the Tennessee Social Worker
Practice Act or the rules promulgated pursuant thereto has been violated, the
Board may impose any of the following actions separately or in any combination
deemed appropriate to the offense:
(a) Denial
of an application for licensure;
(b) "Letter of warning." This is a written
action. It is informal and advisory in nature and does not constitute a formal
disciplinary action;
(c) "Formal
reprimand." This is a written action. It is a formal disciplinary
action;
(d) "Probation." This is a
formal disciplinary action for a fixed period of time;
(e) "Licensure suspension." This is a formal
disciplinary action which suspends an individual's right to practice for a
fixed period of time. It contemplates the re-entry of the individual into the
practice under the licensure previously issued;
(f) "Licensure revocation." This is a formal
disciplinary action which removes an individual from the practice of the
profession and terminates the license previously issued. No new application for
licensure from a person whose license was revoked shall be considered prior to
the expiration of at least one (1) year unless otherwise stated in the Board's
revocation order;
(g) Conditions -
Any action deemed appropriate by the Board to be required of a disciplined
licensee in any of the following circumstances:
1. During any period of probation or
suspension;
2. As a prerequisite to
the lifting of probation or suspension; or
3. As a stand-alone requirement or
requirements in any disciplinary action.
(h) Civil penalty - A monetary disciplinary
action assessed by the Board pursuant to paragraph four (4) of this
rule.
(2) Order
Modifications - A licensee can petition the Board to modify a previously issued
disciplinary order if the licensee cannot fulfill the conditions of the imposed
discipline. This procedure is only available after all reconsideration and
appeal rights have been either exhausted or not timely pursued. This procedure
cannot be used to modify any findings of fact, conclusions of law, or the
reasons for the decision contained in the order.
(a) The Board will entertain petitions for
modification of the disciplinary portion of previously issued orders upon
strict compliance with the procedures set forth in subparagraph (b) only when
the petitioner can prove that compliance with any one (1) or more of the
conditions or terms of the discipline previously ordered is impossible. For
purposes of this rule the term "impossible" does not mean that compliance is
inconvenient or impractical for personal, financial, scheduling or other
reasons.
(b) Procedures
1. The petitioner shall submit a written and
signed Petition for Order Modification to the Board's Office that shall contain
all of the following:
(i) A copy of the
previously issued order;
(ii) A
statement of why the petitioner believes it is impossible to comply with the
order as issued; and
(iii) A copy
of all documents that prove that compliance is impossible. If proof of
impossibility of compliance requires testimony of an individual(s), including
that of the petitioner, the petitioner must submit signed and notarized
statements from every individual the petitioner intends to rely upon attesting,
under oath, to the reasons why compliance is impossible. No documentation or
testimony other than that submitted will be considered in making an initial
determination on, or a final order in response to, the petition.
2. The Board authorizes
administrative staff to make an initial determination on the petition and take
one (1) of the following actions:
(i) Certify
impossibility of compliance and forward the petition to the Office of General
Counsel for presentation to the Board as an uncontested matter; or
(ii) Deny the petition, after consultation
with the Office of General Counsel, if impossibility of compliance with the
provisions of the previous order is not proven and notify the petitioner of
what proof of impossibility of compliance was either not sufficient or not
submitted.
3. If the
petition is granted, a new order shall be issued reflecting the modifications
authorized by the Board that it deemed appropriate and necessary in relation to
the violations found in the previous order.
4. If the petition is denied either initially
by staff or after presentation to the Board and the petitioner believes
impossibility of compliance with the order has been sufficiently proven, the
petitioner may request, in writing, to appear before the Board not less than
thirty (30) days before the next regularly scheduled meeting of the
Board.
(3)
Order of Compliance - This procedure is a necessary adjunct to previously
issued disciplinary orders and is available only when a petitioner has
completely complied with the provisions of a previously issued disciplinary
order, including an unlicensed or uncertified practice civil penalty order, and
wishes or is required to obtain an order reflecting that compliance.
(a) The Board will entertain petitions for an
Order of Compliance as a supplement to a previously issued order upon strict
compliance with the procedures set forth in subparagraph (b) in only the
following circumstances:
1. When the
petitioner can prove compliance with all the terms of the previously issued
order and is seeking to have an order issued reflecting that compliance;
or
2. When the petitioner can prove
compliance with all the terms of the previously issued order and is seeking to
have an order issued lifting a previously ordered suspension or
probation.
(b)
Procedures
1. The petitioner shall submit a
Petition for Order of Compliance, as contained in subparagraph (c), to the
Board's Administrative Office that shall contain all of the following:
(i) A copy of the previously issued
order;
(ii) A statement of which
provision of subparagraph (a) the petitioner is relying upon as a basis for the
requested order; and
(iii) A copy
of all documents that prove compliance with all the terms or conditions of the
previously issued order. If proof of compliance requires testimony of an
individual(s), including that of the petitioner, the petitioner must submit
signed statements from every individual the petitioner intends to rely upon
attesting, under oath, to the compliance. The Board's consultant and
administrative staff, in their discretion, may require such signed statements
to be notarized. No documentation or testimony other than that submitted will
be considered in making an initial determination on or a final order in
response to the petition.
2. The Board authorizes its consultant and
administrative staff to make an initial determination on the petition and take
one (1) of the following actions:
(i) Certify
compliance and have the matter scheduled for presentation to the Board as an
uncontested matter; or
(ii) Deny
the petition, after consultation with legal staff, if compliance with all of
the provisions of the previous order is not proven and notify the petitioner of
what provisions remain to be fulfilled and/or what proof of compliance was
either not sufficient or not submitted.
3. If the petition is presented to the Board
the petitioner may not submit any additional documentation or testimony other
than that contained in the petition as originally submitted.
4. If the Board finds that the petitioner has
complied with all the terms of the previous order an Order of Compliance shall
be issued.
5. If the petition is
denied either initially by staff or after presentation to the Board and the
petitioner believes compliance with the order has been sufficiently proven the
petitioner may, as authorized by law, file a petition for a declaratory order
pursuant to the provisions of T.C.A. §
4-5-223 and
rule
1200-10-01-.11.
(c) Form Petition
Petition for Order of Compliance
Board of Social Worker Licensure
Petitioner's Name: ________________________
Petitioner's Mailing Address: ________________________
________________________
Petitioner's E-Mail Address: ________________________
Telephone Number: ________________________
Attorney for Petitioner: ________________________
Attorney's Mailing Address:________________________
Attorney's E-Mail Address:________________________
Telephone Number:________________________
The petitioner respectfully represents, as substantiated by the
attached documentation that all provisions of the attached disciplinary order
have been complied with and I am respectfully requesting: (circle one)
1. An order issued reflecting that
compliance; or
2. An order issued
reflecting that compliance and lifting a previously ordered suspension or
probation.
Note - You must enclose all documents necessary to prove your
request including a copy of the original order. If any of the proof you are
relying upon to show compliance is the testimony of any individual, including
yourself, you must enclose signed statements from every individual you intend
to rely upon attesting, under oath, to the compliance. The Board's consultant
and administrative staff, in their discretion, may require such signed
statements to be notarized. No documentation or testimony other than that
submitted will be considered in making an initial determination on, or a final
order in response to, this petition.
Respectfully submitted this the _____ day of _______ , 20
_____.
_____________________________
Petitioner's Signature
(4) Civil Penalties - The purpose of this
rule is to set out a schedule designating the minimum and maximum civil
penalties which may be assessed pursuant to T.C.A. §
63-1-134.
(a) Schedule and Amount of Civil Penalties
1. A Type A civil penalty may be imposed
whenever the Board finds the person who is required to be licensed by the Board
is guilty of a willful and knowing violation of T.C.A. §§
63-23-101,
et seq. or regulations promulgated pursuant thereto, to such an extent that
there is, or is likely to be a substantial threat to the health, safety and
welfare of an individual client or the public. For purposes of this section, a
type A penalty may be imposed in instances including, but not limited to, those
in which a person is or was practicing social work without a license from the
Board. Type A civil penalties shall be assessed in the amount of not less than
five hundred ($500) dollars and not more than one thousand ($1000)
dollars.
2. A Type B civil penalty
may be imposed whenever the Board finds the person required to be licensed by
the Board is guilty of a violation of T.C.A. §§ 63-23101, et seq. or
regulations promulgated pursuant thereto in such manner as to impact directly
on the care of clients or the public. Type B civil penalties may be assessed in
the amount of not less than one hundred ($100) dollars and not more than five
hundred ($500) dollars.
3. A Type C
civil penalty may be imposed whenever the Board finds the person required to be
licensed, permitted, or authorized by the Board is guilty of a violation of
T.C.A. §§
63-23-101,
et seq. or regulations promulgated pursuant thereto, which is neither directly
detrimental to the clients or public, nor directly impacts their care, but has
only an indirect relationship to client care or the public. Type C civil
penalties may be assessed in the amount of not less than fifty ($50) dollars
and not more than one hundred ($100) dollars.
(b) Procedures for Assessing Civil Penalties
1. During a contested case proceeding the
Board may assess civil penalties in a type and amount which was not recommended
by the Office of General Counsel.
2. In assessing the civil penalties pursuant
to these rules the Board may consider the following factors:
(i) Whether the amount imposed will be a
substantial economic deterrent to the violator;
(ii) The circumstances leading to the
violation;
(iii) The severity of
the violation and the risk of harm to the public;
(iv) The economic benefits gained by the
violator as a result of noncompliance; and
(v) The interest of the public.
3. All proceedings for the
assessment of civil penalties shall be governed by the contested case
provisions of T.C.A. Title 4, Chapter 5.