335.135 Social Work Licensure Compact.
9,892 words·~45 min read·
/ky/chapter-335/335-135A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
SECTION 1. PURPOSE The purpose of this compact is to facilitate interstate practice of regulated social workers by improving public access to competent social work services. The compact preserves the regulatory authority of states to protect public health and safety through the current system of state licensure. This compact is designed to achieve the following objectives: A. Increase public access to social work services; B. Reduce overly burdensome and duplicative requirements associated with holding
multiple licenses; C. Enhance the member states’ ability to protect the public’s health and safety; D. Encourage the cooperation of member states in regulating multistate practice; E. Promote mobility and address workforce shortages by eliminating the necessity for
licenses in multiple states by providing for the mutual recognition of other member
state licenses; F. Support military families; G. Facilitate the exchange of licensure and disciplinary information among member
states; H. Authorize all member states to hold a regulated social worker accountable for
abiding by a member state’s laws, regulations, and applicable professional
standards in the member state in which the client is located at the time care is
rendered; and I. Allow for the use of telehealth to facilitate increased access to regulated social work
services. SECTION 2. DEFINITIONS As used in this compact, and except as otherwise provided, the following definitions shall apply: A. "Active military member" means any individual with full-time duty status in the
active Armed Forces of the United States, including members of the National Guard
and Reserve; B. "Adverse action" means any administrative, civil, equitable, or criminal action
permitted by a state’s laws which is imposed by a licensing authority or other
authority against a regulated social worker, including actions against an individual’s
license or multistate authorization to practice such as revocation, suspension,
probation, monitoring of the licensee, limitation on the licensee’s practice, or any
other encumbrance on licensure affecting a regulated social worker’s authorization
to practice, including issuance of a cease and desist action; C. "Alternative program" means a nondisciplinary monitoring or practice remediation
process approved by a licensing authority to address practitioners with an
impairment; D. "Charter member states" means member states that have enacted legislation to
adopt this compact where such legislation predates the effective date of this
compact as described in Section 14 of this compact; E. "Compact commission" or "commission" means the government agency whose
membership consists of all states that have enacted this compact, which is known as
the Social Work Licensure Compact Commission, as described in Section 10 of this
compact, and which shall operate as an instrumentality of the member states; F. "Current significant investigative information" means:
1. Investigative information that a licensing authority, after a preliminary inquiry
that includes notification and an opportunity for the regulated social worker to
respond, has reason to believe is not groundless and, if proved true, would
indicate more than a minor infraction as may be defined by the commission;
or
2. Investigative information that indicates that the regulated social worker
represents an immediate threat to public health and safety, as may be defined
by the commission, regardless of whether the regulated social worker has
been notified and has had an opportunity to respond; G. "Data system" means a repository of information about licensees, including but not
limited to continuing education, examination, licensure, current significant
investigative information, disqualifying event, multistate license or licenses, and
adverse action information or other information as required by the commission; H. "Disqualifying event" means any adverse action or incident which results in an
encumbrance that disqualifies or makes the licensee ineligible to either obtain,
retain, or renew a multistate compact license; I. "Domicile" means the jurisdiction in which the licensee resides and intends to
remain indefinitely; J. "Encumbrance" means a revocation or suspension of, or any limitation on, the full
and unrestricted practice of social work licensed and regulated by a licensing
authority; K. "Executive committee" means a group of delegates elected or appointed to act on
behalf of, and within the powers granted to them by, the compact and commission; L. "Home state" means the member state that is the licensee’s primary domicile; M. "Impairment" means a condition or conditions that may impair a practitioner's
ability to engage in full and unrestricted practice as a regulated social worker
without some type of intervention and may include but are not limited to alcohol
and drug dependence, mental health impairment, and neurological or physical
impairments; N. "Licensee" means an individual who currently holds a license from a state to
practice as a regulated social worker; O. "Licensing authority" means the board or agency of a member state, or equivalent,
that is responsible for the licensing and regulation of regulated social workers; P. "Member state" means a state, commonwealth, district, or territory of the United
States of America that has enacted the compact; Q. "Multistate authorization to practice" means a legally authorized privilege to
practice, which is equivalent to a license, associated with a multistate license
permitting the practice of social work in a remote state; R. "Multistate license" means a license to practice as a regulated social worker issued
by a home state licensing authority that authorizes the regulated social worker to
practice in all member states under a multistate authorization to practice; S. "Qualifying national exam" means a national licensing examination approved by
the commission; T. "Regulated social worker" means any clinical, master’s, or bachelor’s social worker
licensed by a member state regardless of the title used by that member state; U. "Remote state" means a member state other than the licensee's home state; V. "Rule of the commission" means a regulation or regulations duly promulgated by
the commission, as authorized by the compact, that has the force of law; W. "Single state license" means a social work license issued by any state that
authorizes practice only within the issuing state and does not include multistate
authorization to practice in any member state; X. "Social work" or "social work services" means the application of social work
theory, knowledge, methods, ethics, and the professional use of self to restore or
enhance social, psychosocial, or biopsychosocial functioning of individuals,
couples, families, groups, organizations, and communities through the care and
services provided by a regulated social worker as set forth in the member state’s
statutes and regulations in the state where the services are being provided; Y. "State" means any state, commonwealth, district, or territory of the United States of
America that regulates the practice of social work; and Z. "Unencumbered license" means a license that authorizes a regulated social worker
to engage in the full and unrestricted practice of social work. SECTION 3. STATE PARTICIPATION IN THE COMPACT A. To be eligible to participate in the compact, a potential member state must currently
meet all the following criteria:
1. License and regulate the practice of social work at either the clinical, master’s,
or bachelor’s category;
2. Require applicants for licensure to graduate from a program that is:
a. Operated by a college or university recognized by the licensing
authority;
b. Accredited, or in candidacy by an institution that subsequently becomes
accredited, by an accrediting agency recognized by either:
i. The Council for Higher Education Accreditation, or its successor;
or
ii. The United States Department of Education; and
c. Corresponds to the licensure sought as outlined in Section 4 of this
compact;
3. Require applicants for clinical licensure to complete a period of supervised
practice; and
4. Have a mechanism in place for receiving, investigating, and adjudicating
complaints about licensees. B. To maintain membership in the compact, a member state shall:
1. Require that applicants for a multistate license pass a qualifying national
exam for the corresponding category of multistate license sought as outlined
in Section 4 of this compact;
2. Participate fully in the commission’s data system, including using the
commission’s unique identifier as defined in rules;
3. Notify the commission, in compliance with the terms of the compact and
rules, of any adverse action or the availability of current significant
investigative information regarding a licensee;
4. Implement procedures for considering the criminal history records of
applicants for a multistate license. These procedures shall include the
submission of fingerprints or other biometric-based information by applicants
for the purpose of obtaining an applicant’s criminal history record information
from the Federal Bureau of Investigation and the agency responsible for
retaining that state’s criminal records;
5. Comply with the rules of the commission;
6. Require an applicant to obtain or retain a license in the home state and meet
the home state’s qualifications for licensure or renewal of licensure, as well as
all other applicable home state laws;
7. Authorize a licensee holding a multistate license in any member state to
practice in accordance with the terms of the compact and rules of the
commission; and
8. Designate a delegate to participate in the commission meetings. C. A member state meeting the requirements of subsections A. and B. of this section
shall designate the categories of social work licensure that are eligible for issuance
of a multistate license for applicants in that member state. To the extent that any
member state does not meet the requirements for participation in the compact at any
particular category of social work licensure, such member state may choose, but is
not obligated to, issue a multistate license to applicants that otherwise meet the
requirements of Section 4 of this compact for issuance of a multistate license in
such category or categories of licensure. D. The home state may charge a fee for granting the multistate compact license. SECTION 4. SOCIAL WORKER PARTICIPATION IN THE COMPACT A. To be eligible for a multistate license under the terms and provisions of the
compact, an applicant, regardless of category, must:
1. Hold or be eligible for an active, unencumbered license in the home state;
2. Pay any applicable fees, including any state fee, for the multistate license;
3. Submit, in connection with an application for a multistate license, fingerprints
or other biometric data for the purpose of obtaining criminal history record
information from the Federal Bureau of Investigation and the agency
responsible for retaining that state’s criminal records;
4. Notify the home state of any adverse action, encumbrance, or restriction on
any professional license taken by any member state or nonmember state
within thirty
(30)days from the date the action is taken;
5. Meet any continuing competence requirements established by the home state;
and
6. Abide by the laws, regulations, and applicable standards in the member state
where the client is located at the time care is rendered. B. An applicant for a clinical-category multistate license must meet all of the
following requirements:
1. Fulfill a competency requirement, which shall be satisfied by either:
a. Passage of a clinical-category qualifying national exam; or
b. Licensure of the applicant in their home state at the clinical category,
beginning prior to such time as a qualifying national exam was required
by the home state and accompanied by a period of continuous social
work licensure thereafter, all of which may be further governed by the
rules of the commission; or
c. The substantial equivalency of the foregoing competency requirements
which the commission may determine by rule;
2. Attain at least a master’s degree in social work from a program that is:
a. Operated by a college or university recognized by the licensing
authority; and
b. Accredited, or in candidacy that subsequently becomes accredited, by an
accrediting agency recognized by either:
i. The Council for Higher Education Accreditation or its successor;
or
ii. The United States Department of Education; and
3. Fulfill a practice requirement, which shall be satisfied by demonstrating
completion of either:
a. A period of postgraduate supervised clinical practice equal to a
minimum of three thousand (3,000) hours;
b. A minimum of two
(2)years of full-time postgraduate supervised
clinical practice; or
c. The substantial equivalency of the foregoing practice requirements
which the commission may determine by rule. C. An applicant for a master’s-category multistate license must meet all of the
following requirements:
1. Fulfill a competency requirement, which shall be satisfied by either:
a. Passage of a master's-category qualifying national exam;
b. Licensure of the applicant in their home state at the master’s category,
beginning prior to such time as a qualifying national exam was required
by the home state at the master’s category and accompanied by a
continuous period of social work licensure thereafter, all of which may
be further governed by the rules of the commission; or
c. The substantial equivalency of the foregoing competency requirements
which the commission may determine by rule; and
2. Attain at least a master’s degree in social work from a program that is:
a. Operated by a college or university recognized by the licensing
authority; and
b. Accredited, or in candidacy that subsequently becomes accredited, by an
accrediting agency recognized by either:
i. The Council for Higher Education Accreditation or its successor;
or
ii. The United States Department of Education. D. An applicant for a bachelor’s-category multistate license must meet all of the
following requirements:
1. Fulfill a competency requirement, which shall be satisfied by either:
a. Passage of a bachelor’s-category qualifying national exam;
b. Licensure of the applicant in their home state at the bachelor’s category,
beginning prior to such time as a qualifying national exam was required
by the home state and accompanied by a period of continuous social
work licensure thereafter, all of which may be further governed by the
rules of the commission; or
c. The substantial equivalency of the foregoing competency requirements
which the commission may determine by rule; and
2. Attain at least a bachelor’s degree in social work from a program that is:
a. Operated by a college or university recognized by the licensing
authority; and
b. Accredited, or in candidacy that subsequently becomes accredited, by an
accrediting agency recognized by either:
i. The Council for Higher Education Accreditation or its successor;
or
ii. The United States Department of Education. E. The multistate license for a regulated social worker is subject to the renewal
requirements of the home state. The regulated social worker must maintain
compliance with the requirements of subsection A. of this section to be eligible to
renew a multistate license. F. The regulated social worker’s services in a remote state are subject to that member
state’s regulatory authority. A remote state may, in accordance with due process
and that member state’s laws, remove a regulated social worker’s multistate
authorization to practice in the remote state for a specific period of time, impose
fines, or take any other necessary actions to protect the health and safety of its
citizens. G. If a multistate license is encumbered, the regulated social worker’s multistate
authorization to practice shall be deactivated in all remote states until the multistate
license is no longer encumbered. H. If a multistate authorization to practice is encumbered in a remote state, the
regulated social worker’s multistate authorization to practice may be deactivated in
that state until the multistate authorization to practice is no longer encumbered. SECTION 5. ISSUANCE OF A MULTISTATE LICENSE A. Upon receipt of an application for multistate license, the home state licensing
authority shall determine the applicant’s eligibility for a multistate license in
accordance with Section 4 of this compact. B. If such applicant is eligible pursuant to Section 4 of this compact, the home state
licensing authority shall issue a multistate license that authorizes the applicant or
regulated social worker to practice in all member states under a multistate
authorization to practice. C. Upon issuance of a multistate license, the home state licensing authority shall
designate whether the regulated social worker holds a multistate license in the
bachelor's, master's, or clinical category of social work. D. A multistate license issued by a home state to a resident in that state shall be
recognized by all compact member states as authorizing social work practice under
a multistate authorization to practice corresponding to each category of licensure
regulated in each member state. SECTION 6. AUTHORITY OF INTERSTATE COMPACT COMMISSION AND MEMBER STATE LICENSING AUTHORITIES A. Nothing in this compact, nor any rule of the commission, shall be construed to
limit, restrict, or in any way reduce the ability of a member state to enact and
enforce laws, regulations, or other rules related to the practice of social work in that
state, where those laws, regulations, or other rules are not inconsistent with the
provisions of this compact. B. Nothing in this compact shall affect the requirements established by a member state
for the issuance of a single state license. C. Nothing in this compact, nor any rule of the commission, shall be construed to
limit, restrict, or in any way reduce the ability of a member state to take adverse
action against a licensee’s single state license to practice social work in that state. D. Nothing in this compact, nor any rule of the commission, shall be construed to
limit, restrict, or in any way reduce the ability of a remote state to take adverse
action against a licensee’s multistate authorization to practice in that state. E. Nothing in this compact, nor any rule of the commission, shall be construed to
limit, restrict, or in any way reduce the ability of a licensee’s home state to take
adverse action against a licensee’s multistate license based upon information
provided by a remote state. SECTION 7. REISSUANCE OF A MULTISTATE LICENSE BY A NEW HOME STATE A. A licensee may hold a multistate license, issued by their home state, in only one
member state at any given time. B. If a licensee changes their home state by moving between two
(2)member states:
1. The licensee shall immediately apply for the reissuance of their multistate
license in their new home state. The licensee shall pay all applicable fees and
notify the prior home state in accordance with the rules of the commission;
2. Upon receipt of an application to reissue a multistate license, the new home
state shall verify that the multistate license is active, unencumbered, and
eligible for reissuance under the terms of the compact and the rules of the
commission. The multistate license issued by the prior home state will be
deactivated and all member states notified in accordance with the applicable
rules adopted by the commission;
3. Prior to the reissuance of the multistate license, the new home state shall
conduct procedures for considering the criminal history records of the
licensee. These procedures shall include the submission of fingerprints or
other biometric-based information by applicants for the purpose of obtaining
an applicant’s criminal history record information from the Federal Bureau of
Investigation and the agency responsible for retaining that state’s criminal
records;
4. If required for initial licensure, the new home state may require completion of
jurisprudence requirements in the new home state; and
5. Notwithstanding any other provision of this compact, if a licensee does not
meet the requirements set forth in this compact for the reissuance of a
multistate license by the new home state, then the licensee shall be subject to
the new home state requirements for the issuance of a single state license in
that state. C. If a licensee changes their primary state of residence by moving from a member
state to a nonmember state, or from a nonmember state to a member state, then the
licensee shall be subject to the state requirements for the issuance of a single state
license in the new home state. D. Nothing in this compact shall interfere with a licensee’s ability to hold a single state
license in multiple states; however, for the purposes of this compact, a licensee
shall have only one
(1)home state, and only one
(1)multistate license. E. Nothing in this compact shall interfere with the requirements established by a
member state for the issuance of a single state license. SECTION 8. MILITARY FAMILIES An active military member, or their spouse, shall designate a home state where the individual has a multistate license. The individual may retain their home state designation during the period the service member is on active duty. SECTION 9. ADVERSE ACTIONS A. In addition to the other powers conferred by state law, a remote state shall have the
authority, in accordance with existing state due process law, to:
1. Take adverse action against a regulated social worker’s multistate
authorization to practice only within that member state, and issue subpoenas
for both hearings and investigations that require the attendance and testimony
of witnesses as well as the production of evidence. Subpoenas issued by a
licensing authority in a member state for the attendance and testimony of
witnesses or the production of evidence from another member state shall be
enforced in the latter state by any court of competent jurisdiction, according to
the practice and procedure of that court applicable to subpoenas issued in
proceedings pending before it. The issuing licensing authority shall pay any
witness fees, travel expenses, mileage, and other fees required by the service
statutes of the state in which the witnesses or evidence are located.
2. Only the home state shall have the power to take adverse action against a
regulated social worker’s multistate license. B. For purposes of taking adverse action, the home state shall give the same priority
and effect to reported conduct received from a member state as it would if the
conduct had occurred within the home state. In so doing, the home state shall apply
its own state laws to determine appropriate action. C. The home state shall complete any pending investigations of a regulated social
worker who changes their home state during the course of the investigations. The
home state shall also have the authority to take appropriate action and shall
promptly report the conclusions of the investigations to the administrator of the data
system. The administrator of the data system shall promptly notify the new home
state of any adverse actions. D. A member state, if otherwise permitted by state law, may recover from the affected
regulated social worker the costs of investigations and dispositions of cases
resulting from any adverse action taken against that regulated social worker. E. A member state may take adverse action based on the factual findings of another
member state, provided that the member state follows its own procedures for taking
the adverse action. F. Joint investigations.
1. In addition to the authority granted to a member state by its respective social
work practice act or other applicable state law, any member state may
participate with other member states in joint investigations of licensees.
2. Member states shall share any investigative, litigation, or compliance
materials in furtherance of any joint or individual investigation initiated under
the compact. G. If adverse action is taken by the home state against the multistate license of a
regulated social worker, the regulated social worker’s multistate authorization to
practice in all other member states shall be deactivated until all encumbrances have
been removed from the multistate license. All home state disciplinary orders that
impose adverse action against the license of a regulated social worker shall include
a statement that the regulated social worker’s multistate authorization to practice is
deactivated in all member states until all conditions of the decision, order, or
agreement are satisfied. H. If a member state takes adverse action, it shall promptly notify the administrator of
the data system. The administrator of the data system shall promptly notify the
home state and all other member states of any adverse actions by remote states. I. Nothing in this compact shall override a member state’s decision that participation
in an alternative program may be used in lieu of adverse action. J. Nothing in this compact shall authorize a member state to demand the issuance of
subpoenas for attendance and testimony of witnesses or the production of evidence
from another member state for lawful actions within that member state. K. Nothing in this compact shall authorize a member state to impose discipline against
a regulated social worker who holds a multistate authorization to practice for lawful
actions within another member state. SECTION 10. ESTABLISHMENT OF SOCIAL WORK LICENSURE COMPACT COMMISSION A. The compact member states hereby create and establish a joint government agency
whose membership consists of all member states that have enacted the compact
known as the social work licensure compact commission. The commission is an
instrumentality of the compact states acting jointly and not an instrumentality of
any one
(1)state. The commission shall come into existence on or after the
effective date of the compact as set forth in Section 14 of this compact. B. Membership, voting, and meetings.
1. Each member state shall have and be limited to one
(1)delegate selected by
that member state’s licensing authority.
2. The delegate shall be either:
a. A current member of the licensing authority at the time of appointment,
who is a regulated social worker or public member of the licensing
authority; or
b. An administrator of the licensing authority or their designee.
3. The commission shall by rule or bylaw establish a term of office for delegates
and may by rule or bylaw establish term limits.
4. The commission may recommend removal or suspension of any delegate from
office.
5. A member state’s state licensing authority shall fill any vacancy of its
delegate occurring on the commission within sixty
(60)days of the vacancy.
6. Each delegate shall be entitled to one
(1)vote on all matters before the
commission requiring a vote by commission delegates.
7. A delegate shall vote in person or by such other means as provided in the
bylaws. The bylaws may provide for delegates to meet by telecommunication,
videoconference, or other means of communication.
8. The commission shall meet at least once during each calendar year.
Additional meetings may be held as set forth in the bylaws. The commission
may meet by telecommunication, video conference, or other similar electronic
means. C. The commission shall have the following powers:
1. Establish the fiscal year of the commission;
2. Establish code of conduct and conflict of interest policies;
3. Establish and amend rules and bylaws;
4. Maintain its financial records in accordance with the bylaws;
5. Meet and take such actions as are consistent with the provisions of this
compact, the commission’s rules, and the bylaws;
6. Initiate and conclude legal proceedings or actions in the name of the
commission, provided that the standing of any state licensing authority to sue
or be sued under applicable law shall not be affected;
7. Maintain and certify records and information provided to a member state as
the authenticated business records of the commission and designate an agent
to do so on the commission’s behalf;
8. Purchase and maintain insurance and bonds;
9. Borrow, accept, or contract for services of personnel including but not limited
to employees of a member state;
10. Conduct an annual financial review;
11. Hire employees, elect or appoint officers, fix compensation, define duties,
grant such individuals appropriate authority to carry out the purposes of the
compact, and establish the commission’s personnel policies and programs
relating to conflicts of interest, qualifications of personnel, and other related
personnel matters;
12. Assess and collect fees;
13. Accept any and all appropriate gifts, donations, grants of money, other
sources of revenue, equipment, supplies, materials, and services, and receive,
utilize, and dispose of the same; provided that at all times the commission
shall avoid any appearance of impropriety or conflict of interest;
14. Lease, purchase, retain, or otherwise to own, hold, improve, or use, any
property, real, personal, or mixed, or any undivided interest therein;
15. Sell, convey, mortgage, pledge, lease, exchange, abandon, or otherwise
dispose of any property real, personal, or mixed;
16. Establish a budget and make expenditures;
17. Borrow money;
18. Appoint committees, including standing committees composed of members,
state regulators, state legislators or their representatives, and consumer
representatives, and such other interested persons as may be designated in this
compact and the bylaws;
19. Provide and receive information from, and cooperate with, law enforcement
agencies;
20. Establish and elect an executive committee, including a chair and a vice chair;
21. Determine whether a state’s adopted language is materially different from the
model compact language such that the state would not qualify for
participation in the compact; and
22. Perform such other functions as may be necessary or appropriate to achieve
the purposes of this compact. D. The executive committee.
1. The executive committee shall have the power to act on behalf of the
commission according to the terms of this compact. The powers, duties, and
responsibilities of the executive committee shall include to:
a. Oversee the day-to-day activities of the administration of the compact,
including enforcement and compliance with the provisions of the
compact, its rules and bylaws, and other duties as deemed necessary;
b. Recommend to the commission changes to the rules or bylaws, changes
to this compact legislation, fees charged to compact member states, fees
charged to licensees, and other fees;
c. Ensure compact administration services are appropriately provided,
including by contract;
d. Prepare and recommend the budget;
e. Maintain financial records on behalf of the commission;
f. Monitor compact compliance of member states and provide compliance
reports to the commission;
g. Establish additional committees as necessary;
h. Exercise the powers and duties of the commission during the interim
between commission meetings, except for adopting or amending rules,
adopting or amending bylaws, and exercising any other powers and
duties expressly reserved to the commission by rule or bylaw; and
i. Other duties as provided in the rules or bylaws of the commission.
2. The executive committee shall be composed of up to eleven
(11)members:
a. The chair and vice chair of the commission shall be voting members of
the executive committee;
b. Five
(5)voting members who are elected by the commission from the
current membership of the commission;
c. Up to four
(4)ex officio, nonvoting members from four
(4)recognized
national social worker organizations; and
d. The ex officio members will be selected by their respective
organizations.
3. The commission may remove any member of the executive committee as
provided in the commission’s bylaws.
4. The executive committee shall meet at least annually.
a. Executive committee meetings shall be open to the public, except that
the executive committee may meet in a closed, nonpublic meeting as
provided in subsection F.2. of this section.
b. The executive committee shall give seven
(7)days’ notice of its
meetings, posted on its website and as determined to provide notice to
persons with an interest in the business of the commission.
c. The executive committee may hold a special meeting in accordance with
subsection F.1.b. of this section. E. The commission shall adopt and provide to the member states an annual report. F. Meetings of the commission.
1. All meetings shall be open to the public, except that the commission may
meet in a closed, nonpublic meeting as provided in paragraph 2. of this
subsection.
a. Public notice for all meetings of the full commission of meetings shall
be given in the same manner as required under the rulemaking
provisions in Section 12 of this compact, except that the commission
may hold a special meeting as provided in paragraph 1.b. of this
subsection.
b. The commission may hold a special meeting when it must meet to
conduct emergency business by giving forty-eight
(48)hours’ notice to
all commissioners, on the commission’s website, and other means as
provided in the commission’s rules. The commission’s legal counsel
shall certify that the commission’s need to meet qualifies as an
emergency. 2. The commission, the executive committee, or other committees of the
commission may convene in a closed, nonpublic meeting for the commission,
executive committee, or other committees of the commission to receive legal
advice or to discuss:
a. Noncompliance of a member state with its obligations under the
compact;
b. The employment, compensation, discipline, or other matters, practices
or procedures related to specific employees;
c. Current or threatened discipline of a licensee by the commission or by a
member state’s licensing authority;
d. Current, threatened, or reasonably anticipated litigation;
e. Negotiation of contracts for the purchase, lease, or sale of goods,
services, or real estate;
f. Accusing any person of a crime or formally censuring any person;
g. Trade secrets or commercial or financial information that is privileged
or confidential;
h. Information of a personal nature where disclosure would constitute a
clearly unwarranted invasion of personal privacy;
i. Investigative records compiled for law enforcement purposes;
j. Information related to any investigative reports prepared by or on behalf
of or for use of the commission or other committee charged with
responsibility of investigation or determination of compliance issues
pursuant to the compact;
k. Matters specifically exempted from disclosure by federal or member
state law; or
l. Other matters as promulgated by the commission by rule. 3. If a meeting, or portion of a meeting, is closed, the presiding officer shall state
that the meeting will be closed and reference each relevant exempting
provision, and such reference shall be recorded in the minutes. 4. The commission shall keep minutes that fully and clearly describe all matters
discussed in a meeting and shall provide a full and accurate summary of
actions taken, and the reasons therefor, including a description of the views
expressed. All documents considered in connection with an action shall be
identified in such minutes. All minutes and documents of a closed meeting
shall remain under seal, subject to release only by a majority vote of the
commission or order of a court of competent jurisdiction. G. Financing of the commission.
1. The commission shall pay, or provide for the payment of, the reasonable
expenses of its establishment, organization, and ongoing activities.
2. The commission may accept any and all appropriate revenue sources, as
provided in subsection C.13. of this section.
3. The commission may levy on and collect an annual assessment from each
member state and impose fees on licensees of member states to whom it
grants a multistate license to cover the cost of the operations and activities of
the commission and its staff, which must be in a total amount sufficient to
cover its annual budget as approved each year for which revenue is not
provided by other sources. The aggregate annual assessment amount for
member states shall be allocated based upon a formula that the commission
shall promulgate by rule.
4. The commission shall not incur obligations of any kind prior to securing the
funds adequate to meet the same; nor shall the commission pledge the credit
of any of the member states, except by and with the authority of the member
state.
5. The commission shall keep accurate accounts of all receipts and
disbursements. The receipts and disbursements of the commission shall be
subject to the financial review and accounting procedures established under its
bylaws. However, all receipts and disbursements of funds handled by the
commission shall be subject to an annual financial review by a certified or
licensed public accountant, and the report of the financial review shall be
included in and become part of the annual report of the commission. H. Qualified immunity, defense, and indemnification.
1. The members, officers, executive director, employees, and representatives of
the commission shall be immune from suit and liability, both personally and
in their official capacity, for any claim for damage to or loss of property or
personal injury or other civil liability caused by or arising out of any actual or
alleged act, error, or omission that occurred, or that the person against whom
the claim is made had a reasonable basis for believing occurred within the
scope of commission employment, duties, or responsibilities; provided that
nothing in this paragraph shall be construed to protect any such person from
suit or liability for any damage, loss, injury, or liability caused by the
intentional or willful or wanton misconduct of that person. The procurement
of insurance of any type by the commission shall not in any way compromise
or limit the immunity granted hereunder.
2. The commission shall defend any member, officer, executive director,
employee, and representative of the commission in any civil action seeking to
impose liability arising out of any actual or alleged act, error, or omission that
occurred within the scope of commission employment, duties, or
responsibilities, or as determined by the commission that the person against
whom the claim is made had a reasonable basis for believing occurred within
the scope of commission employment, duties, or responsibilities; provided
that nothing herein shall be construed to prohibit that person from retaining
their own counsel at their own expense; and provided further, that the actual
or alleged act, error, or omission did not result from that person’s intentional
or willful or wanton misconduct.
3. The commission shall indemnify and hold harmless any member, officer,
executive director, employee, and representative of the commission for the
amount of any settlement or judgment obtained against that person arising out
of any actual or alleged act, error, or omission that occurred within the scope
of commission employment, duties, or responsibilities, or that such person
had a reasonable basis for believing occurred within the scope of commission
employment, duties, or responsibilities, provided that the actual or alleged act,
error, or omission did not result from the intentional or willful or wanton
misconduct of that person.
4. Nothing in this compact shall be construed as a limitation on the liability of
any licensee for professional malpractice or misconduct, which shall be
governed solely by any other applicable state laws.
5. Nothing in this compact shall be interpreted to waive or otherwise abrogate a
member state’s state action immunity or state action affirmative defense with
respect to antitrust claims under the Sherman Antitrust Act, 15 U.S.C. sec. 1
et seq.; Clayton Act, 15 U.S.C. sec. 12 et seq.; or any other state or federal
antitrust or anticompetitive law or regulation.
6. Nothing in this compact shall be construed to be a waiver of sovereign
immunity by the member states or by the commission. SECTION 11. DATA SYSTEM A. The commission shall provide for the development, maintenance, operation, and
utilization of a coordinated data system. B. The commission shall assign each applicant for a multistate license a unique
identifier, as determined by the rules of the commission. C. Notwithstanding any other provision of state law to the contrary, a member state
shall submit a uniform data set to the data system on all individuals to whom this
compact is applicable as required by the rules of the commission, including:
1. Identifying information;
2. Licensure data;
3. Adverse actions against a license and information related thereto;
4. Nonconfidential information related to alternative program participation, the
beginning and ending of such participation, and other information related to
such participation not made confidential under member state law;
5. Any denial of application for licensure, and the reasons for such denial;
6. The presence of current significant investigative information; and
7. Other information that may facilitate the administration of this compact or the
protection of the public, as determined by the rules of the commission. D. The records and information provided to a member state pursuant to this compact or
through the data system, when certified by the commission or an agent thereof,
shall constitute the authenticated business records of the commission, and shall be
entitled to any associated hearsay exception in any relevant judicial, quasi-judicial,
or administrative proceedings in a member state. E. Current significant investigative information pertaining to a licensee in any member
state will only be available to other member states. It is the responsibility of the
member states to report any adverse action against a licensee and to monitor the
database to determine whether adverse action has been taken against a licensee.
Adverse action information pertaining to a licensee in any member state will be
available to any other member state. F. Member states contributing information to the data system may designate
information that may not be shared with the public without the express permission
of the contributing state. G. Any information submitted to the data system that is subsequently expunged
pursuant to federal law or the laws of the member state contributing the information
shall be removed from the data system. SECTION 12. RULEMAKING A. The commission shall promulgate reasonable rules in order to effectively and
efficiently implement and administer the purposes and provisions of the compact. A
rule shall be invalid and have no force or effect only if a court of competent
jurisdiction holds that the rule is invalid because the commission exercised its
rulemaking authority in a manner that is beyond the scope and purposes of the
compact, or the powers granted hereunder, or based upon another applicable
standard of review. B. The rules of the commission shall have the force of law in each member state,
provided however that where the rules of the commission conflict with the laws of
the member state that establish the member state’s laws, regulations, and applicable
standards that govern the practice of social work as held by a court of competent
jurisdiction, the rules of the commission shall be ineffective in that state to the
extent of the conflict. C. The commission shall exercise its rulemaking powers pursuant to the criteria set
forth in this section and the rules adopted thereunder. Rules shall become binding
on the day following adoption or the date specified in the rule or amendment,
whichever is later. D. If a majority of the legislatures of the member states rejects a rule or portion of a
rule, by enactment of a statute or resolution in the same manner used to adopt the
compact within four
(4)years of the date of adoption of the rule, then the rule shall
have no further force and effect in any member state. E. Rules shall be adopted at a regular or special meeting of the commission. F. Prior to adoption of a proposed rule, the commission shall hold a public hearing and
allow persons to provide oral and written comments, data, facts, opinions, and
arguments. G. Prior to adoption of a proposed rule by the commission, and at least thirty
(30)days
in advance of the meeting at which the commission will hold a public hearing on
the proposed rule, the commission shall provide a notice of proposed rulemaking:
1. On the website of the commission or other publicly accessible platform;
2. To persons who have requested notice of the commission’s notices of
proposed rulemaking; and
3. In such other way as the commission may by rule specify. H. The notice of proposed rulemaking shall include:
1. The time, date, and location of the public hearing at which the commission
will hear public comments on the proposed rule and, if different, the time,
date, and location of the meeting where the commission will consider and
vote on the proposed rule;
2. If the hearing is held via telecommunication, video conference, or other
electronic means, the commission shall include the mechanism for access to
the hearing in the notice of proposed rulemaking;
3. The text of the proposed rule and the reason therefor;
4. A request for comments on the proposed rule from any interested person; and
5. The manner in which interested persons may submit written comments. I. All hearings will be recorded. A copy of the recording and all written comments
and documents received by the commission in response to the proposed rule shall
be available to the public. J. Nothing in this section shall be construed as requiring a separate hearing on each
rule. Rules may be grouped for the convenience of the commission at hearings
required by this section. K. The commission shall, by majority vote of all members, take final action on the
proposed rule based on the rulemaking record and the full text of the rule.
1. The commission may adopt changes to the proposed rule provided the
changes do not enlarge the original purpose of the proposed rule.
2. The commission shall provide an explanation of the reasons for substantive
changes made to the proposed rule as well as reasons for substantive changes
not made that were recommended by commenters.
3. The commission shall determine a reasonable effective date for the rule.
Except for an emergency as provided in subsection L. of this section, the
effective date of the rule shall be no sooner than thirty
(30)days after issuing
the notice that it adopted or amended the rule. L. Upon determination that an emergency exists, the commission may consider and
adopt an emergency rule with forty-eight
(48)hours’ notice, with opportunity to
comment, provided that the usual rulemaking procedures provided in the compact
and in this section shall be retroactively applied to the rule as soon as reasonably
possible, in no event later than ninety
(90)days after the effective date of the rule.
For the purposes of this provision, an emergency rule is one that must be adopted
immediately in order to:
1. Meet an imminent threat to public health, safety, or welfare;
2. Prevent a loss of commission or member state funds;
3. Meet a deadline for the promulgation of a rule that is established by federal
law or rule; or
4. Protect public health and safety. M. The commission or an authorized committee of the commission may direct
revisions to a previously adopted rule for purposes of correcting typographical
errors, errors in format, errors in consistency, or grammatical errors. Public notice
of any revisions shall be posted on the website of the commission. The revision
shall be subject to challenge by any person for a period of thirty
(30)days after
posting. The revision may be challenged only on grounds that the revision results in
a material change to a rule. A challenge shall be made in writing and delivered to
the commission prior to the end of the notice period. If no challenge is made, the
revision will take effect without further action. If the revision is challenged, the
revision may not take effect without the approval of the commission. N. No member state’s rulemaking requirements shall apply under this compact. SECTION 13. OVERSIGHT, DISPUTE RESOLUTION, AND ENFORCEMENT A. Oversight.
1. The executive and judicial branches of state government in each member state
shall enforce this compact and take all actions necessary and appropriate to
implement the compact.
2. Except as otherwise provided in this compact, venue is proper and judicial
proceedings by or against the commission shall be brought solely and
exclusively in a court of competent jurisdiction where the principal office of
the commission is located. The commission may waive venue and
jurisdictional defenses to the extent it adopts or consents to participate in
alternative dispute resolution proceedings. Nothing herein shall affect or limit
the selection or propriety of venue in any action against a licensee for
professional malpractice, misconduct, or any such similar matter.
3. The commission shall be entitled to receive service of process in any
proceeding regarding the enforcement or interpretation of the compact and
shall have standing to intervene in such a proceeding for all purposes. Failure
to provide the commission service of process shall render a judgment or order
void as to the commission, this compact, or promulgated rules. B. Default, technical assistance, and termination.
1. If the commission determines that a member state has defaulted in the
performance of its obligations or responsibilities under this compact or the
promulgated rules, the commission shall provide written notice to the
defaulting state. The notice of default shall describe the default, the proposed
means of curing the default, and any other action that the commission may
take, and shall offer training and specific technical assistance regarding the
default.
2. The commission shall provide a copy of the notice of default to the other
member states. C. If a state in default fails to cure the default, the defaulting state may be terminated
from the compact upon an affirmative vote of a majority of the delegates of the
member states, and all rights, privileges, and benefits conferred on that state by this
compact may be terminated on the effective date of termination. A cure of the
default does not relieve the offending state of obligations or liabilities incurred
during the period of default. D. Termination of membership in the compact shall be imposed only after all other
means of securing compliance have been exhausted. Notice of intent to suspend or
terminate shall be given by the commission to the Governor, the majority and
minority leaders of the defaulting state’s legislature, the defaulting state’s state
licensing authority, and each of the member states’ state licensing authority. E. A state that has been terminated is responsible for all assessments, obligations, and
liabilities incurred through the effective date of termination, including obligations
that extend beyond the effective date of termination. F. Upon the termination of a state’s membership from this compact, that state shall
immediately provide notice to all licensees within that state of such termination.
The terminated state shall continue to recognize all licenses granted pursuant to this
compact for a minimum of six
(6)months after the date of said notice of
termination. G. The commission shall not bear any costs related to a state that is found to be in
default or that has been terminated from the compact, unless agreed upon in writing
between the commission and the defaulting state. H. The defaulting state may appeal the action of the commission by petitioning the
United States District Court for the District of Columbia or the federal district
where the commission has its principal offices. The prevailing party shall be
awarded all costs of such litigation, including reasonable attorney’s fees. I. Dispute resolution.
1. Upon request by a member state, the commission shall attempt to resolve
disputes related to the compact that arise among member states and between
member and nonmember states.
2. The commission shall promulgate a rule providing for both mediation and
binding dispute resolution for disputes as appropriate. J. Enforcement.
1. By majority vote as provided by rule, the commission may initiate legal action
against a member state in default in the United States District Court for the
District of Columbia or the federal district where the commission has its
principal offices to enforce compliance with the provisions of the compact
and its promulgated rules. The relief sought may include both injunctive relief
and damages. In the event judicial enforcement is necessary, the prevailing
party shall be awarded all costs of such litigation, including reasonable
attorney’s fees. The remedies herein shall not be the exclusive remedies of the
commission. The commission may pursue any other remedies available under
federal or the defaulting member state’s law.
2. A member state may initiate legal action against the commission in the United
States District Court for the District of Columbia or the federal district where
the commission has its principal offices to enforce compliance with the
provisions of the compact and its promulgated rules. The relief sought may
include both injunctive relief and damages. In the event judicial enforcement
is necessary, the prevailing party shall be awarded all costs of such litigation,
including reasonable attorney’s fees.
3. No person other than a member state shall enforce this compact against the
commission. SECTION 14. EFFECTIVE DATE, WITHDRAWAL, AND AMENDMENT A. The compact shall come into effect on the date on which the compact statute is
enacted into law in the seventh member state.
1. On or after the effective date of the compact, the commission shall convene
and review the enactment of each of the first seven
(7)member states
("charter member states") to determine if the statute enacted by each such
charter member state is materially different than the model compact statute.
a. A charter member state whose enactment is found to be materially
different from the model compact statute shall be entitled to the default
process set forth in Section 13 of this compact.
b. If any member state is later found to be in default, or is terminated or
withdraws from the compact, the commission shall remain in existence
and the compact shall remain in effect even if the number of member
states should be less than seven (7).
2. Member states enacting the compact subsequent to the seven
(7)initial charter
member states shall be subject to the process set forth in Section 10.C.21. of
this compact to determine if their enactments are materially different from the
model compact statute and whether they qualify for participation in the
compact.
3. All actions taken for the benefit of the commission or in furtherance of the
purposes of the administration of the compact prior to the effective date of the
compact or the commission coming into existence shall be considered to be
actions of the commission unless specifically repudiated by the commission.
4. Any state that joins the compact subsequent to the commission’s initial
adoption of the rules and bylaws shall be subject to the rules and bylaws as
they exist on the date on which the compact becomes law in that state. Any
rule that has been previously adopted by the commission shall have the full
force and effect of law on the day the compact becomes law in that state. B. Any member state may withdraw from this compact by enacting a statute repealing
the same.
1. A member state’s withdrawal shall not take effect until one hundred eighty
(180)days after enactment of the repealing statute.
2. Withdrawal shall not affect the continuing requirement of the withdrawing
state’s licensing authority to comply with the investigative and adverse action
reporting requirements of this compact prior to the effective date of
withdrawal.
3. Upon the enactment of a statute withdrawing from this compact, a state shall
immediately provide notice of such withdrawal to all licensees within that
state. Notwithstanding any subsequent statutory enactment to the contrary, the
withdrawing state shall continue to recognize all licenses granted pursuant to
this compact for a minimum of one hundred eighty
(180)days after the date of
such notice of withdrawal. C. Nothing contained in this compact shall be construed to invalidate or prevent any
social work licensure agreement or other cooperative arrangement between a
member state and a nonmember state that does not conflict with the provisions of
this compact. D. This compact may be amended by the member states. No amendment to this
compact shall become effective and binding upon any member state until it is
enacted into the laws of all member states. SECTION 15. CONSTRUCTION AND SEVERABILITY A. This compact and the commission’s rulemaking authority shall be liberally
construed so as to effectuate the purposes, and the implementation and
administration of the compact. Provisions of the compact expressly authorizing or
requiring the promulgation of rules shall not be construed to limit the commission’s
rulemaking authority solely for those purposes. B. The provisions of this compact shall be severable and if any phrase, clause,
sentence, or provision of this compact is held by a court of competent jurisdiction to
be contrary to the constitution of any member state, a state seeking participation in
the compact, or of the United States, or the applicability thereof to any government,
agency, person, or circumstance is held to be unconstitutional by a court of
competent jurisdiction, the validity of the remainder of this compact and the
applicability thereof to any other government, agency, person, or circumstance shall
not be affected thereby. C. Notwithstanding subsection B. of this section, the commission may deny a state’s
participation in the compact or, in accordance with the requirements of Section
13.B. of this compact, terminate a member state’s participation in the compact, if it
determines that a constitutional requirement of a member state is a material
departure from the compact. Otherwise, if this compact shall be held to be contrary
to the constitution of any member state, the compact shall remain in full force and
effect as to the remaining member states and in full force and effect as to the
member state affected as to all severable matters. SECTION 16. CONSISTENT EFFECT AND CONFLICT WITH OTHER STATE LAWS A. A licensee providing services in a remote state under a multistate authorization to
practice shall adhere to the laws, regulations, and applicable standards of the remote
state where the client is located at the time care is rendered. B. Nothing herein shall prevent or inhibit the enforcement of any other law of a
member state that is not inconsistent with the compact. C. Any laws, statutes, regulations, or other legal requirements in a member state in
conflict with the compact are superseded to the extent of the conflict. D. All permissible agreements between the commission and the member states are
binding in accordance with their terms. SECTION 17. APPLICABILITY OF KENTUCKY STATE GOVERNMENT In order to clarify the effect of certain provisions of this compact and to ensure that the rights and responsibilities of the various branches of government are maintained, the following shall be in effect in this state: A. By entering into this compact, this state authorizes the licensing authority as
defined in Section 2.O. of this compact and as created by KRS 335.050 to
implement the provisions of this compact. B. Notwithstanding any provision of this compact to the contrary:
1. When a rule is adopted pursuant to Section 12 of this compact, the licensing
authority of this state as defined by Section 2.O. of this compact shall have
sixty
(60)days to review the rule for the purpose of filing the rule as an
emergency administrative regulation pursuant to KRS 13A.190 and for filing
the rule as an accompanying ordinary administrative regulation, following the
requirements of KRS Chapter 13A. Failure by the licensing authority of this
state as defined by Section 2.O. of this compact to promulgate a rule adopted
by the Social Work Licensure Compact Commission as an administrative
regulation pursuant to KRS Chapter 13A shall result in withdrawal as set forth
in Section 14 of this compact. Nothing in these provisions shall negate the
applicability of a commission rule or Section 12 of this compact to this state.
2. If the proposed administrative regulation is found deficient and the deficiency
is not resolved pursuant to KRS 13A.330 or 13A.335, Section 14 of this
compact shall apply. If the deficiency is resolved in a manner determined by
the commission to be inconsistent with this compact or its rules, or if the
procedures under Section 13 of this compact fail to resolve an issue, the
withdrawal provisions of Section 14 of this compact shall apply.
3. If a court of competent jurisdiction determines that the Social Work Licensure
Compact Commission created by Section 10 of this compact exercises its
rulemaking authority in a manner that is beyond the scope of the purposes of
this compact, or the powers granted under this compact, then such an action
by the commission shall be invalid and have no force or effect. C. Section 10.G. of this compact pertaining to the financing of the commission shall
not be interpreted to obligate the general fund of this state. Any funds used to
finance this compact shall be from money collected pursuant to KRS 335.140. D. This compact shall apply only to those regulated social workers who practice or
work under a compact privilege.