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    Waivers from Corporate Practice Restrictions

    David Hamilton, Ph.D., LMSW, ACSWExecutive Secretary

    State Board for Social WorkOffice of the Professions

    New York State Education DepartmentMarch 29, 2011


    How did we get to this point?

    Who does or does not need a waiver?

    How does an entity apply for a waiver?

    What does it mean to have a waiver?

    How is a waiver renewed?

    Questions and answers

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    Education Law amended 2002 Previously, Education Law provided title

    protection for the Certified Social Worker and Psychologist but did not restrict services

    No license for mental health practitioners and no restriction on services, including psychotherapy, by individuals or agencies

    Enactment of scope and restricted practice changed the world, although no one saw it coming or the extent to which licensees were employed in other settings

    Practice is restricted by law Only an individual licensed or authorized can

    practice the profession and use the restricted title, as defined in law, unless authorized (e.g., permit holder, supervised intern) Effective 9/1/2003 for psychology Effective 9/1/2004 for social work (LMSW, LCSW) Effective 1/1/2006 for mental health practitioners

    (MHC, MFT, CAT, PsyAn) Education Law sections 6512 and 6513 define

    practice by an unauthorized person or entity as Illegal Practice (class E felony)

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    How did the problem come to light?

    Office of the Professions must review experience for licensure and setting for legally completed supervised experience OP could not issue limited permit for mental

    health practitioners to start experience OP could not accept supervised experience

    for LMSWs who completed experience Agencies could not legally employ staff to

    provide necessary services

    Coalescing around issue

    SED convened stakeholders in 2008 to explain issue and explore solutions Legislation drafted by SED; introduced in

    2009 and 2010 Unintended consequences for not-for-profits,

    religious and education corporations Tied to extension of exemption and good

    faith provisions for those in pipeline Chapters 130 and 132 of Laws of 2010

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    Entity eligible for waiver

    In existence prior to June 18, 2010 and a: Not-for-profit corporation formed for

    charitable, educational, or religious purpose or other purposes acceptable to SED; OR

    Education corporation as defined in 216-a of the Education Law

    Must apply within 120 days of SED posting application (Feb. 16, 2011) and have waiver by July 1, 2012

    Certain entities are exempt

    Operating certificate from state or local government to authorize services

    Faculty practice corporation College providing services to students,

    faculty, staff and their families License-qualifying programs Professional corporation, PLLC, or PLLP Other entity that may be identified

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    2013 exemption from licensure

    Until July 1, 2013, an individual in a program regulated, funded, operated or approved by OMH, OPWDD, OASAS, OCFS, local social service or mental hygiene district may provide psychology services without license; same agencies plus DOH, DOCS and SOFA for social work and mental health practitioners

    Does not authorize use of restricted titles

    Other provisions in law

    Waiver is not to supplant or replace the authority of other state agency to certify, license, contract or authorize an entity

    Collaboration between SED and other state agencies to ensure public protection

    Not-for-profit entities providing services under 2013 exemption do not require a waiver and shall be considered approved settings for supervised experience

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    Exemptions and waivers

    Provides services within scope of 153, 154 and 163 under contract with OPWDD Exempt from licensure until July 1, 2013 After that date, only licensed persons can

    provide services restricted under law Section 6503-a waiver may only be issued

    after July 1, 2012 upon demonstration of need for entitys services

    Hence, Agency may wish to apply now

    Waiver applications

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    Applying for waiver

    Submit application (Form CE) with Certificate of incorporation or charter Attestations including professional services,

    supervision, resources & records retention Moral character attestation (CE-1) from each

    director, officer, trustee of entity Apply (CE-2) for certificate(s) for additional

    site(s) in New York where entity provides services to the public

    Professional services under waiver

    Entity will provide services under articles 154 and 163 for which licensure would be required or

    Services constituting psychotherapy provided by article 131, 139 or 153

    Does not authorize the provision of other services within the scopes of nursing and medicine (e.g., injections, medications)

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    Attestation for waiver

    Persons allowed to practice only under supervision will receive such supervision

    Entity will comply with section 18 of Public Health Law related to access to records

    Adequate fiscal and financial resources Any prior or current action or investigation

    by oversight agency against the entity Prompt notice to SED of any changes

    Moral character attestation

    Entity must include with application a list of directors, officers, trustees

    Each director, officer or trustee must complete moral character form (CE-1) that is submitted with the entitys application

    Responses that raise question of moral character will be investigated and reviewed, pursuant to 28.2 of Regulations

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    Multi-purpose entities may need waiver for certain programs

    Entity with a single board of directors, trustees, officers (Agency A) that provides social work services to the public

    Clinic with operating certificate from OPWDD does not require a waiver under the law

    Outreach program under contract with local government or grant does require a waiver

    Apply for waiver (CE) with moral character attestations (CE-1)

    Apply (CE-2) for certificate for each site where services are provided

    Affiliated entity may need more than one waiver

    Overarching entity is established for general purpose under the law (Agency B) Establishes separate programs, each with a

    board of directors, would need waiver for each program (B-1, B-2, B-3)

    Same rules apply to each program: submit waiver application (CE), moral character (CE-1) and, if needed, additional site(s) (CE-2)

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    Notification of changes

    Entity is responsible to notify State Board within 60 days of any change in: Name and term of directors, officers, trustees Address at which services are provided Name or identity of contact person,

    responsible for application, or Transfer or assignment of interest

    Waivers are not transferable

    Important dates

    Waiver applications were posted 2/16/11 Entity must have existed on 6/18/2010 Entity must apply within 120 days (6/16/11) Application allows entity to continue providing

    services to the public Entity must cease provision of services if

    application is denied by the State Board Entity must have approved waiver by 7/1/12

    or cease providing services to the public

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    Public protection

    Law was required to address corporate practice restrictions, not because entities are providing bad services

    Waivers are not required of all entities that provide services and should not be seen as a mark of distinction or superiority

    But, entities are accountable under the Education Law and Regents Rules

    Waiver is same as license

    Entity must display waiver where services are provided, same as licensee

    Entity can be charged with misconduct under Part 29, same as a licensee or professional entity, and sanctioned/fined

    Entity has same rights under Education Law and Regents Rules as a licensee or professional entity

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    Law, Rules and Regulations

    OP on the web: www.op.nysed.gov for: Section 6503-a of the Education Law, Part 59.14 of

    the Commissioners Regulations define application requirements and process

    Part 29.18 of the Regents Rules define unprofessional conduct

    Articles 131, 139, 153, 154 and 163 define practice of the professions and definition of psychotherapy

    Link to applications and FAQs on waivers Find Answers tab for updated answers

    Contact information

    State Board for Social Work (SWBD) SWBD@mail.nysed.gov 89 Washington Ave., 2nd

    Floor, East Wing, Albany, NY 12234-1000

    (518) 474-3817 ext. 1-450


  • Application for Waiver

    This application must be submitted by an entity that is seeking a waiver of the corporate practice prohibitions under section 6503-a of theEducation Law. The application will not be deemed complete until all the information required in this application and a Moral CharacterAttestation of Director, Trustee or Officer (Form CE-1) for each director, trustee and officer of the entity have been submitted to the StateBoard. Please note that you must submit a Request for Additional Setting (Form CE-2) for each site at which professional services areprovided.

    1. Name of the entity seeking a waiver of corporate practice prohibitions:


    2. Primary address of the entity seeking a waiver:

    Street and Number: __________________________________________________________________________________________