1. LMSW & LCSW - Licensing - Professional Practice - Public Protection
David Hamilton, Ph.D. LMSW ACSW
Executive Secretary
State Board for Social Work
March 4, 2015

2. Agenda for today Background on licensure in New York
Requirements for licensure in New York
Licensed Master Social Worker
Licensed Clinical Social Worker
“R” Psychotherapy Privilege
Professional Practice
Registration and practice
Continuing education (1/1/2015)
Public Protection
Professional Misconduct
Disciplinary Actions

3. New York’s Regulation of Professions is Unique
Board of Regents is responsible for the license, practice and discipline of 50 professions and 850,000 licensees
Regents appoint the Commissioner and members of the State Boards
Education Department administers the license, practice and discipline
Deputy Commissioner for the Office of the Professions
State Boards, under an Executive Secretary appointed by the Board of Regents, assist the Department and Regents
Members include licensees and public members

4. Social workers are licensed across the US and Canada
Jurisdictions in U.S. & Canada use at least 41 professional titles:
One Category of License/Registration– 12 jurisdictions
Two Categories of License/Registration– 10 jurisdictions
Three Categories of License/Registration – 18 jurisdictions
Four Categories of License/Registration – 15 jurisdictions
Five Categories of License/Registration – 4 jurisdictions
Six Categories of License/Registration – 1 jurisdiction
Seven Categories of License/Registration – 1 jurisdiction
Eleven Categories of License/Registration – 1 jurisdiction
Some may be title protection only; others may be title and scope protection
Jurisdiction where you want to be licensed is your best source of information about requirements, accepting experience or examination or recognition of licensure in another jurisdiction
Access all jurisdictions through ASWB (

5. Ensuring Public Protection
Chapter 420 of the Laws of 2002
Established two social work professions with distinct requirements for licensure:
Licensed Master Social Worker (LMSW)
Acceptable MSW and ASWB Masters Exam
Licensed Clinical Social Worker (LCSW)
Acceptable clinical MSW, 3 years of supervised clinical experience, and ASWB Clinical Exam
Retained the psychotherapy reimbursement
Restricts the practice and use of titles
Exemption for individuals employed in certain settings until July 1, 2016

6. Exemptions are necessary to protect some activities
Individual with a BSW degree, or the equivalent, who engages in certain activities under supervision of an LMSW or LCSW
Other professions and occupations
Medicine, psychology, nursing, etc.
Pastoral counselors, addictions counselors
Students completing internships
Advice, support, encouragement & information provided by individuals and organizations

7. Requirements for Licensure in New York
Licensed Master Social Worker
Licensed Clinical Social Worker

8. LMSW Requirements Submit application (Form 1)
Submit fee ($115 application + $179 for initial 3-year registration)
School verifies completion of MSW degree (Form 2)
Pass ASWB Master’s examination
Approved based on application for licensure & verification of acceptable MSW degree
Exam given daily across the U.S.
Be of good moral character

9. Limited Permit Authorizes Practice under Supervision
Applicants for licensure may only practice with a limited permit
Supervised by LMSW or LCSW
Submit application and fee for licensure;
Meet all requirements except examination
Permit application and fee ($70)
Valid for one year only
Requires LCSW supervisor to practice clinical social work
Provisional school social work certification substitutes for permit

10. Passing Masters Exam for licensure
Eligibility notice to applicant & ASWB based on Form 1, fee and Form 2
Candidate registers at by submitting application and $230 fee
Exam offered 5 days/week across the U.S.
Items screened to eliminate bias and pre-tested for reliability and validity
Blueprints and KSA at

11. Pearson Waiting Area
The Pearson Professional Centers offer you the most secure, consistent and comfortable testing experience available. From the moment you enter a test center, you notice a difference. Our professional, courteous staff greets you as you enter. A comfortable waiting room with lockers for your personal belongings and ample seating helps you relax before you check in to begin your exam.

12. Check In: Biometrics
Before you begin your exam, our test center administrator will ask you to check in. The administrator will check your two forms of identification, one of which must be a photo ID, and in some instances an authorization letter from the testing organization. Your digital photo, signature, and fingerprint or palm vein scan will be taken, as required by the testing organization.

13. Testing Room
Laminated boards and markers and any other client specific exhibits or directions will be given to you prior to entering the testing room. The proctor will show you to a workstation where a computer, monitor and mouse are ready for you to begin your exam. Your proctor ensures that the exam is ready and waiting for you to begin and can answer any other questions you may have. You will be in a comfortable, distraction free environment so you can focus on what you are there to do – perform your best on your exam.

14. Proctor Station
During your exam, a proctor sits in a viewing room, where he/she has direct line sight of all the testing stations. Testing sessions are audio and video recorded and the proctor can view each station independently on his/her monitor as well. If your exam requires a scheduled break, the exam will ask if you would like to break. Once you raise your hand, a proctor will immediately come over to you and escort you out of the testing room. Likewise, if you have any questions during the exam, simply raise your hand and the proctor will come over to you immediately to address your concerns.

15. ADA Room
All Pearson Professional Centers are fully ADA (Americans with Disabilities Act) compliant. Each center contains a workstation with fully adjustable work surface and chair. Many centers also contain a separate testing room designed specifically to accommodate persons with disabilities.
Special accommodations staff is available to assist persons with disabilities. Readers or other ADA accommodations staff is provided only when authorized in legitimate ADA situations defined and approved in advance by the test sponsor

16. Front Desk: Check in/Check out
Once your exam is completed you will sign out of the test center and any exhibits and scratch paper, or laminated boards and markers, will be collected by the test center administrator. At this time, you will receive a score report or exam confirmation statement depending on the exam. OP will receive the scores electronically within 2-3 weeks. You may be contacted for additional information.

17. ASWB exams used across US
4-hour test window for 170 items (150 scores and 20 pre-tested)
Score report shows areas needing improvement
90-day waiting period for retest
ESL arrangements are not acceptable

18. First-time test taker results on the ASWB 2013 Masters Examination
1st Time Takers
Pass rate
North America Masters
13,043
82.3%
New York Masters
2,717
79.2%
University at Albany grads Masters
137
87%

19. LMSW Practice

20. Licensed and registered to practice as a LMSW
Registered for 36 months after date of licensure
Must notify SED within 30 days of a change in name and/or address
Renewal notice sent 4 months before end of registration period
Exempt from continuing education for the first registration period

21. Practice is defined in law
Professional application of social work theory, principles and the methods to assess, evaluate, formulate and implement a plan of action based on client needs and strengths,
Intervene to address and prevent mental, social, emotional behavioral, developmental, and addictive disorders and the psychosocial aspects of illness and injury.

22. Practice defined in law (cont’d)
Administer tests and measures of psychosocial functioning
Engage in social work advocacy, case management, counseling, consultation, research, administration, management and teaching
Supervise other than the practice of the LCSW
Licensee may only engage in those activities he/she is competent to perform.

23. LMSW practice includes activities that do not require licensure
Facilitate community organization
Provide supervision (other than clinical social work)
Case management and coordination of services
Serve as a client advocate
Assist individuals or groups with difficult day-to-day problems such as, locating sources of assistance and self-help systems
Assess, evaluate and formulate a plan of action based on client needs
Serve as faculty member or instructor in an educational setting (not a field instructor)

24. LMSW practice of clinical social work is restricted
LMSW may only practice clinical social work under an LCSW, psychologist or psychiatrist employed by the setting
LMSW permit holder may only practice clinical social work under the supervision of an LCSW
Setting must be authorized to provide clinical social work services and psychotherapy (operating certificate or waiver)
Applicant must be supervised in accordance with law and regulations:
At least 100 hours of supervision distributed over a period of not less than 36 months (74.6(c))
Two hours/month of supervision if applicant is not completing experience toward the LCSW (74.6(d))
Regulations: Clarify requirements
At least 2,000 client contact hours & 36 months

25. Clinical supervisor employed by the setting, not the applicant
Setting is responsible for providing a qualified, clinical supervisor licensed and registered to practice
LMSW may not employ a supervisor
Supervisor is responsible for clinical services provided by LMSW to the clients
If the setting hires 3rd party supervisor, supervisor is responsible for patients and patients must have access to the supervisor

26. Compliance with social work continuing education law
Must complete acceptable CE starting 1/1/15 to register for practice as an LMSW or LCSW
Not required in first three-year registration period
Not required if licensee is “inactive” and not practicing as an LMSW or LCSW in New York
Complete CE when returning from inactive status
Requirement may be adjusted for good cause (illness, active military duty), acceptable to SED
One-year conditional registration allows licensee to make up the deficiency from prior period PLUS the hours required during the conditional registration
The law and regulations provide from exceptions from the continuing education requirement. You do not need to complete CE
In the first registration period after you are licensed;
If you are inactive, not practicing the profession or using the restricted title.
When a licensee returns from inactive status, or from practice in another state, he or she must complete continuing education that would have been required.
The Department may adjust the requirement for a licensee who:
has a health condition that prevents him/her from completing CE;
Is on active duty with the U.S. military; or
Any other condition that, in the determination of the Department, justifies an adjustment.
A licensee who has not completed the CE requirement by the deadline, may apply for a conditional registration. This provides up to one year, during which the licensee has to complete the deficiency, as well as any CE that is required during that conditional period. The licensee will have to submit certificates of completion for review by the Board, before he/she can apply to register for the remainder of the 3-year period.
The addendum form is available on our website and must be submitted with the $224 registration fee. If the licensee completes the deficiency and applies for the two-year registration, that also requires a $224 fee.

27. Requirements for LCSW license
Submit application (Form 1) & $294 fee
Grad school verifies completion of clinical MSW degree (Form 2)
Individual transcript evaluation for graduate of program other than NYS registered LCSW
Supervisor(s) verifies clinical experience for licensure (Form 4B)
Pass ASWB Clinical examination
Entry based on SED approval of clinical education and clinical experience
Be of good moral character

28. Clinical Experience for LCSW
Law establishes requirement: 36 months of post-MSW supervised experience in diagnosis, psychotherapy & assessment-based treatment planning, over period of not less than 36 and not more than 72 months, under LCSW, psychologist or psychiatrist in allowed setting
Must complete at least
36 months of practice (school social worker will need more than 3 calendar years) +
2,000 client contact hours +
100 hours of individual/group in-person supervision
May only practice under supervision until licensed as an LCSW

29. Acceptable clinical experience for licensure is narrowly defined in the Education Law
Law requires experience in diagnosis, psychotherapy and assessment-based treatment planning to ensure competence when licensed
Acceptable activities are determined by the supervisor, but typically are consistent with third-party reimbursement for psychotherapy and diagnosis as defined in Insurance Law
Other direct client activities, such as case management, psychosocial assessments, supportive counseling, discharge planning, etc., would not constitute acceptable experience, as defined in law and not meet the requirements for licensure

30. First-time test taker results on the ASWB 2013 Clinical Examination
1st Time Takers
Pass rate
North America Clinical
10,803
77.9%
New York Clinical
1,149
81.1%
University at Albany grads Clinical 95
84%

31. LCSW Scope of Practice
May make LMSW “inactive” at next renewal time and just register to practice as LCSW
LCSW practice includes LMSW practice plus:
Diagnosis of mental, emotional, behavioral, addictive and developmental disorders and disabilities;
Psychosocial aspects of illness, injury, disability and impairment within a psychosocial framework;
Administration and interpretation of tests and measures of psychosocial functioning;
Development and implementation of appropriate assessment-based treatment plans;
(continued on next slide)

32. LCSW Practice (cont)
Development and implementation of appropriate assessment-based treatment plans;
Provision of crisis-oriented psychotherapy and brief, short-term and long-term psychotherapy and psychotherapeutic treatment to individuals, couples, families and groups, habilitation, psychoanalysis and behavior therapy;
All undertaken for purpose of preventing, assessing, treating, ameliorating and resolving psychosocial dysfunction with the goal of maintaining and enhancing the mental, emotional, behavioral and social functioning and well-being of individuals, couples, families, small groups, organizations, communities and society.

33. Psychotherapy Privilege “R”

34. Insurance law authorizes the “R” privilege for certain LCSWs
An LCSW must meet the requirements in insurance law and commissioner’s regulations
NY insurer that reimburses a psychiatrist for psychotherapy must reimburse an LCSW with the “R”
Defines psychotherapy that is eligible for reimbursement
Does not apply to policies for a self-insuring entity or an exempt ERISA plan
Does not change the scope of practice or CE requirement
Privilege is not required to practice clinical social work

35. Requirements for “R” Psychotherapy Privilege
Applicant must licensed as an LCSW
LCSW must submit Form 1SWPR and $100 fee
Supervisor must submit Form 6SWPR Plan for Privilege
Supervisor provides consultation in accordance with Regulations 74.5
LCSW responsible for patient services
Supervisor verifies completion on Form 4SWPR
Privilege renews as part of license

36. Acceptable experience for “R”
Experience must be after date of licensure as LCSW and completed under a plan approved by Board
Requires at least 36 months and 2,400 client contact hours in diagnosis & psychotherapy
No less than 400 client contact hours in a year for that time to be acceptable
Experience may take more than 72 months

37. Qualified supervisor for “R”
Supervisor must be licensed and registered to practice as:
LCSW with the “R” privilege
Licensed Psychologist
Licensed Psychiatrist (Physician)
Individual or group consultation of no less than 2 hours/month
Setting must know if there is an outside consultant directing services
Applicant may pay the consultant

38. School Social Work

39. School Social Work has special requirements for practice
Office of Teaching Initiatives issues provisional and permanent certification
Application and requirements are online at and available to interns and graduates
Provisional certification is valid for 5 years while meeting Master’s exam and credential experience; no limited permit
School social work does not necessarily meet requirements for LCSW

40. Preschool/School Supportive Health Services Program for Medicaid

41. Office of Professional Discipline Regents Actions
Public Protection
Office of Professional Discipline
Regents Actions

42. Professional Responsibility
Applicant who meets all requirements is issued a professional license and registration
New York license is valid for life, unless annulled, suspended or revoked
Licensee must register every three years
As of January 1, 2015, New York requires 36 hours of continuing education in triennial registration period
Exemption in first registration period
Register on-line today – apply on-line soon!

43. Unprofessional Conduct
Education Law and Regents Rules define unprofessional conduct in the practice of all 50 professions
Includes practicing beyond scope or competence; with neglect or while impaired; moral unfitness to practice the profession
May include specific prohibitions for the profession
Record-keeping; invasive procedures

45. Disciplinary Actions
The Board of Regents is responsible for all disciplinary actions
Final actions are searchable on the Office of the Professions website:
Verify licensure and registration online:
Application for restoration of a license requires demonstration of rehabilitation, remorse and restitution

46. Recent disciplinary actions
Robert Scott Schreiner, Richmondville, NY and Albany, NY
Profession: Licensed Clinical Social Worker; Lic. No ; Cal. No
Regents Action Date: January 15, 2013
Action: Application for summary suspension granted.
Summary: Probable cause was found to believe that licensee committed professional misconduct, and it was determined that the public health, safety and welfare imperatively required emergency action to suspend his license.
Susan M. Woollett, Jamestown, NY
Profession: Licensed Clinical Social Worker; Lic. No ; Cal. No
Action: Action for consent order granted; Penalty agreed upon: 1 year stayed suspension, 1 year probation, $2,250 fine.
Summary: Licensee admitted to the charge of violating patient confidentiality.

47. More disciplinary actions
Cathrine Burke, East Elmhurst, NY
Profession: Licensed Master Social Worker; Lic. No
Regents Action Date: June 18, 2013
Action: Application for consent order granted; Penalty agreed upon: 1 month actual suspension, 35 month stayed suspension, 3 years probation to commence upon return to practice, $3,500 fine.
Summary: Licensee admitted guilt to the charge of failing to maintain appropriate professional boundaries with a client.
Paul Victor Loiselle, Locke, NY
Profession: Licensed Clinical Social Worker; Lic. No
Action: Application to surrender license granted.
Summary: Licensee admitted to charges of having committed boundary violations.

48. Conclusions
Licensing laws serve to protect the public by restricting certain activities and titles to those who meet minimum standards for competency
Effective discipline system enforces the law and ensures that standards and practice are relevant and practitioners are qualified
State Boards represent the public and assist the Board of Regents and the Education Department in an effective regulatory system

49. Questions & Answers

50. Contacts and Resources
Office of the Professions Website:
Facebook:
Association of Social Work Boards:
Council on Social Work Education: