Standard 7. Professional Environment and
Procedures
Clinical social workers shall maintain professional work environments,
policies, and procedures.
Interpretation
Agencies providing clinical social work services and clinical social
workers in private practice shall develop and implement written policies
that describe their office or work environment procedures, such
as the client’s rights, including the right to privacy and confidentiality;
limits to confidentiality; required notices and authorizations; procedures
for release of information; fee agreements; procedures for payment;
cancellation policy; termination procedures; technology, social
media, and telehealth policies; coverage of services during emergency
situations or when the clinical social worker is not available; and
contact information for the appropriate licensing board. These policies
shall be made available to and reviewed with each client prior to
beginning services. Clinical social workers shall maintain appropriate
professional liability insurance and have a current working knowledge
of risk management issues.
Additionally, the work environment shall be properly maintained
to ensure a reasonable degree of comfort, privacy, and security for the
social worker and clients. In-person settings shall meet all local tribal/
state jurisdictions and federal as well as local requirements regarding
posting notices and professional licenses. If services are provided via
telehealth, clinical social workers must meet any licensure requirements
of the jurisdiction where they are licensed and the jurisdiction where the
client is physically located. Clinical social workers shall also verify the
rules and regulations of their professional liability insurance and thirdparty
payers to confirm that telehealth services are covered.
Standard 8. Documentation
Documentation of services provided to, or on behalf of, the client shall
be recorded in the client’s file or clinical record.
Interpretation
Clinical social workers must document services rendered to clients and
keep the notes in a secure location, maintaining them as private and
confidential records. Documentation, to meet their regulatory responsibilities
under HIPAA, may include assessment and diagnosis, treatment
plan goals, interventions, and other communications such as phone
calls, emails, or relevant clinical conversation outside of the treatment
milieu. Documentation shall be recorded after each encounter and be
consistent with all applicable requirements around record retention
(Hayes, 2024).
It should be noted that there is a difference between progress and
psychotherapy notes.
Progress notes document the client’s response to
treatment and are required in the clinical record. These notes are subject
to the HIPAA Privacy Rule and can include details such as the start
and stop times of counseling sessions, medication prescriptions and
monitoring, treatment modalities and their frequencies, and clinical test
results. Additionally, they provide a summary of the patient’s diagnosis,
functional status, treatment plan, symptoms, prognosis, and progress to
date (Hayes, 2024).
Psychotherapy notes are
notes recorded by a health care provider who is a mental health professional
documenting or analyzing the contents of conversation during
a private counseling session or a group, joint, or family counseling
session and that are separated from the rest of the patient’s medical
record. Psychotherapy notes do not include any information about
medication prescription and monitoring, counseling session start and
stop times, the modalities and frequencies of treatment furnished, or
results of clinical tests; nor do they include summaries of diagnosis,
functional status, treatment plan, symptoms, prognosis, and progress
to date. (U.S. Department of Health and Human Services [HHS],
n.d., p. 2)
If a clinical social worker would like to keep psychotherapy notes, they
must be in a secure file separate from the clinical record (NASW, 2022). Clinical social workers should refer to laws regarding important exceptions
to psychotherapy notes and HIPAA.
Standard 9. Independent Practice
Clinical social workers, when licensed to do so by state/jurisdiction laws,
shall have the right to establish an independent practice.
Interpretation
Clinical social workers may establish an independent solo or group
practice. When doing so, they shall ensure that all services, including
diagnoses and treatment planning, meet professional standards. When
clinical social workers employ staff, they, as employers, bear responsibility
for the competency of all services provided, maintaining clinical and
ethical standards.
To avoid conflicts of interest, clinical social workers who are both
employed by agencies and have independent practices shall not refer
agency clients to themselves without prior agreement with the agency
and informed consent of the client. As part of informed consent, clinical
social workers should provide clients with all available options, including
but not limited to transferring the client to another treatment provider
in or outside of the agency, referrals to other appropriate treatment
providers, and/or terminating services and supporting the client
in choosing the option most appropriate for them.
Clinical social workers in private practice may bill third-party
payers or their clients for services rendered. Clients shall be provided
with all invoices and receipts in a timely manner. When a client can no
longer afford services—or a third-party payer or an agency terminates
services—
reasonable efforts should be made to identify alternatives
with the client. For example, a referral, termination of services, a sliding
scale, or pro bono services could be offered. If services continue,
consideration must be given to any applicable laws and regulations as
well as insurance or managed care contracts that may limit the type of
continuing care.
Standard 10. Cultural Competence
Clinical social workers shall demonstrate culturally congruent and inclusive
service delivery in accordance with the NASW (2015)
Standards and
Indicators for Cultural Competence in Social Work Practice
. An increasingly growing diverse population seeking clinical supports requires that clinical
social workers optimize and commit to diversity, equity, and inclusion
to ensure individuals, families, groups, and communities are provided
with opportunities to grow. Clinical social workers shall acknowledge
clients as experts of their own lived experiences.
Interpretation
Culture is conceptualized as the shared values, norms, traditions, customs,
arts, history, folklore, and institutions that influence a group of
people; a learned internalized perspective that is central to that person’s
identity implicitly and explicitly; and underlying expectations from the
individual and the group.
Understanding culture requires
- a willingness to examine and grasp its many elements and to
comprehend how they come together.
- increasing knowledge of the values, beliefs, customs, behaviors,
traditions, institutions, arts, folklore, and lifestyles.
- enhancing cross-cultural knowledge, understanding, and application
of differences through self-reflection in race, gender, religion,
sexual orientation, ethnicity, nationality, socioeconomic
status, language, disability, religion, history, traditions, beliefs,
values, worldviews, lived experience, geographic regions, and
family systems as they relate to clinical practice with individuals,
families, groups, and communities.
- sensitivity to intersectional sociocultural trauma and a complex
understanding of the institutional and societal context along with
culturally congruent clinical responses for effective therapeutic
outcomes.
Equity is the active process of identifying and eliminating the structural
barriers related to race, class, disability, and gender. Equity requires
understanding the root causes of disparities and identifying the barriers
to inclusion, particularly as they apply to historically underrepresented
groups in our society. Equity works to ensure justice, access, opportunity,
and advancement for individuals in the policies, practices, procedures,
processes, and distribution of resources by institutions, systems,
and clinical services.
Clinical social workers shall foster inclusion and belonging through
creating inviting environments based on policies and practices. They must also be self-aware of personal biases that may be interpreted as
a barrier to treatment. Clinical social workers shall be knowledgeable
about diverse groups and apply appropriate practice skills. Inclusion is
the intentional act to include differences and create a therapeutic environment
where any individual or group is welcomed, respected, supported,
valued, and given the opportunity to fully participate. Inclusion
fosters a sense of belonging through centering, valuing, and amplifying
the voices and perspectives of all individuals and includes eliminating
practices and behaviors that marginalize groups of people or individuals.
Antiracism means actively resisting and dismantling the existing system
of racism to obtain racial equity. It involves acknowledgment of the
existence of racism throughout history including in the social work profession.
Clinical social workers must take a stand against racial hatred,
bias, violence, systemic racism, and the oppression of specific groups on
individual, interpersonal, institutional, and structural levels. In clinical
practice, clinical social workers shall demonstrate cultural humility by
applying critical reflection, self-awareness, and self-regulation to manage
the influence of bias, power, privilege, and values in working with
clients and constituencies.
Standard 11. Professional Development
Clinical social workers shall assume personal responsibility for and are
obligated to engage in continuing professional development across the
entirety of their career.
Interpretation
Competent, ethical, evidence-based, and effective practice is actuated
through the clinical social worker’s continuing professional development
efforts. Clinical social workers are obligated to routinely engage in
approved continuing education opportunities. These professional development
opportunities shall reinforce foundational knowledge, ethics, and
skills for social work practice—and they shall provide comprehensive
professional development related to emerging theories and interventions;
enhancing cultural diversity, equity, and inclusion; endorsing compliance
with existing and new standards of care in the social work profession;
and confirming changes to policies and regulatory reforms. Clinical social
workers must stay abreast of research in social work and their related areas
of specialization to ensure that their practice aligns with evidence-based knowledge, skills, and interventions. Clinical social workers are additionally
obligated to maintain currency with state (and other relevant authorities’)
regulations around the definition and scope of clinical social work
practice. Areas in which clinical social workers should maintain currency
in their continuing education efforts include the following:
- Reporting requirements related to vulnerable populations
- HIPAA
- Part 2—Confidentiality of Substance Use Disorder Patient
Records (42 C.F.R., 2017)
- Technology, telehealth, and electronic health records (EHRs)
- Risk management and liabilities
- Interprofessional and emerging science in specialized areas of
practice
- Implicit personal biases, knowledge of social and health inequities
across populations, and best practice standards in working
with cultural differences and diverse clients
- Federal and state statutes and regulations regarding social work
practice
Reliable and valid opportunities for professional development are available
through NASW as well as other professional organizations, institutions,
and agencies. Clinical social workers shall regularly engage with
advancing the profession through attending, providing, and participating
in professional conferences or continuing education trainings and
contributing to social work education (e.g., as faculty), field education
(e.g., as a field instructor), or professional or scholarly publications.
Standard 12. Technology
Clinical social workers shall have access to computer technology and the
internet, as the need to communicate via email and to seek information
on the internet for purposes of education, networking, and resources
is essential for efficient and productive clinical practice. Clinical social
workers who provide telehealth services shall be knowledgeable of all
rules and regulations that govern the jurisdiction in which the social
worker and client are located. Clinical social workers shall be transparent
and technologically knowledgeable about using artificial intelligence
(AI), as well as the use of applications, avatars, and metaverse in
psychotherapy assessment and treatment.
Interpretation
The NASW, ASWB, CSWE, & CSWA Standards for Technology in Social Work Practice (NASW et al., 2017) has become the standard for how technology is used in social work practice. The major areas covered in the standards include provision of information to the public; designing and delivering services; gathering, managing, and delivering information; and social work education and supervision through videoconferencing. Use of technology to provide treatment also requires an informed consent form that outlines the limits of communication to include email, texting, and social media. A videoconferencing platform that is HIPAA compliant (i.e., provides a business associate agreement) should be used. Payment for services should include a platform that is encrypted and password protected. Clinical social workers also have an ethical responsibility to safeguard their client’s protected health information when storing their records using a HIPAA-compliant EHR.
Clinical social workers shall also be aware of the benefits and risks associated with using technology. When providing telehealth, clinical social workers shall educate clients on the benefits and risks while assessing appropriateness for services. It is imperative that clinical social workers have a clear understanding of the way matters of diversity, equity, and inclusion are impacted in the use of technology. Some clients are not skilled in the use of technology in ways that maintain confidentiality and do not have access to a computer or smartphone with video capacity. Alternative options such as in-person visits or provider referrals should be offered to clients when virtual services are not appropriate. Audio-only treatment is another option for clinical social workers. Finally, new ways of receiving treatment from clinical social workers through technology are in need of evaluation and should be approached with caution, with each client’s needs carefully considered.
Clinical social workers who use technology to provide services must be aware of the ethical guidelines, standards of care in their professional community, and any regulations that impact the use of technology-based services.
As AI continues to evolve, clinical social workers should exercise judgment in incorporating it into practice and should also stay informed on AI advancements and their practice implications. AI can negatively impact privacy, confidentiality, and the medical record. Ethical issues in using AI in the clinical social work setting also include client autonomy, transparency, and algorithmic bias (Reamer, 2023). The NASW (2021) Code of Ethics states that social workers should respect the dignity of
the client, maintain confidentiality, and obtain informed consent. These
ethical principles are also applicable when using AI-based interventions.
While AI tools such as chatbots for mental health and predictive analytics
in risk assessment may improve service delivery, careful oversight is
needed to avoid unintended harm to clients and protect the quality of
care.
NASW, ASWB, CSWE, & CSWA Standards for Technology in Social
Work Practice
(NASW et al., 2017) also emphasizes that AI should not
replace human judgment and clinical decision making. Clinical social
workers should ensure that the AI tools employed are ethical and client
focused and do not perpetuate systemic biases or limit access to equitable
care.
Standard 12. Termination
Clinical social workers shall prepare clients for termination of services.
Interpretation
Clinical social workers shall consider termination of services as an ethical
and necessary procedure with clients. Termination can occur for
a variety of reasons. If a client has met all treatment goals and is no
longer in need of services, the clinical social worker shall prepare them
for termination. If a client’s treatment ends prior to attaining their
treatment goals, the clinical social worker shall follow policies and best
practices regarding engagement for follow-up. When appropriate, the
clinical social worker shall refer the client to another qualified treatment
provider.
If a clinical social worker leaves a role, agency, or private practice
prior to achieving treatment goals, the clinical social worker shall provide
both the agency (if treatment setting) and clients with reasonable
notice, when possible. The clinical social worker should discuss issues
surrounding termination in the therapeutic setting as appropriate and
provide clients with information regarding the process (the transfer of
the clients to another treatment provider in the agency or referrals to
providers outside of the agency).