KRS § 335.135 — KY Code / Title XXVI / Chapter 335 / Section 335.135
335.135 Social Work Licensure Compact
Status: reserved

335.135 Social Work Licensure Compact.

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 (1)

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.