ISSUE NUMBER 5 • WINTER 2020
The Compliance Toolkit is a regular feature of the Board Bulletin that will provide you with tools for handling common ethical dilemmas and issues related to the Standards of Practice found in the Minnesota Social Work Practice Act. Consider the following scenario:
I am a licensed social worker and I just received a letter from the Board stating that my practice is being reviewed because of a complaint the Board received. I have been practicing for 15 years and have never had this happen before. I am a good, competent social worker and this complaint is very upsetting. What will happen to my license? How should I respond to the Board’s letter? What are the steps in the process?
Complaint Investigation and Resolution Process
The Board’s complaint resolution process is one of the most important ways the Board protects the public and ensures that licensed social workers meet professional standards. In the rare instances where a licensed social worker violates standards, the Board has the authority to act against their license. Receiving a letter from the Board notifying you of a complaint about your social work practice is likely surprising and unsettling. It is important to understand that the letter from the Board is one part of the investigative process that the Board must follow. It is not a decision that you have violated the Standards of Practice or done something wrong.
While a complaint investigation is open, the complaint is classified as confidential data under the Minnesota Government Data Practices Act (Minnesota Statutes section 13.41). The existence of the complaint is not known or disclosed to anyone other than the person(s) who filed the complaint, the licensee, Board staff who manage complaints, Board members who decide the outcome, and the Assistant Attorney General providing legal counsel to the Board.
When the Board receives a complaint on a licensed social worker, the Board asks the question, “If the allegations were true, would they be a violation of the Social Work Practice Act?” If the answer is, “Yes,” the Board must open an investigation. An investigation could include many kinds of information and steps such as, requests for employment records, client records, interviews with individuals who might have information about the allegations, and a request for a response from the licensee.
Responding to a Complaint
In responding to a letter from the Board about a complaint against your practice, it is important to respond to each allegation listed and to answer any additional questions asked of you. The Board is not only attempting to determine what happened, but also to understand your level of insight into the situation and knowledge of the Standards of Practice. If you include any client data in your response, consider whether you have a signed release of information from the client and, if not, whether you need to redact identifying information (Minnesota Statutes section 148E.250).
Compliance Panel Review & Decision
Once the Board receives your response, all the data collected related to the complaint must be reviewed by a group of Board members, called a Compliance Panel. Board staff and an Assistant Attorney General advise the Compliance Panel. By law, only Board members can decide the outcome of a complaint. The Compliance Panel considers all available information, including the response from the licensee, to determine if there is any evidence the licensed social worker violated the Standards of Practice. If there is evidence of a violation, the Compliance Panel must decide whether public corrective or disciplinary action is needed to protect the public. If the Compliance Panel decides public action is necessary, there are several due process protections required to ensure a fair process and outcome for the licensee.
In most cases, complaints are ultimately dismissed without public action. However, there are rare times when licensed social workers fail to meet standards and their conduct may put clients at risk or even cause harm. While it can be distressing to know that a complaint was filed against your practice, it is important to remember that the Board has a legal duty to protect the public. Investigation and resolution of complaints to confirm standards are met is one of the most effective ways the Board can ensure the residents of Minnesota receive competent social work services.
For more information about the Board’s complaint resolution process, review the brochure “Filing a Complaint,” view the Board’s Compliance Process Video, and review the information on the Board’s website.
