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Continuing Professional
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The University of Maryland School of Social Work Office of Continuing Professional Education is authorized by the Board of Social Work Examiners in Maryland to sponsor social work continuing education programs and maintains full responsibility for this program. We are also approved to offer CE to Licensed Counselors and Psychologists. Clinicians in other states should verify with their licensing Board. For any questions, comments or concerns, please email cpe@ssw.umaryland.edu

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F25-501 Legal and Ethical Requirements for Clinical Record-Keeping: From the Basic to the Complicated

Total Credits: 3 including 3 Ethic CEs

Bundle(s):: Fall 2025 Ethics Workshops
Categories:: 500 Ethics | 700 Professional Growth & Development
Instructor:: Kathryn Krase, PhD, JD, MSW
Course Levels:: Intermediate
Duration:: 3 Hours 15 Minutes
Target Audience:: Social Workers, LCPCs, and Psychologists

Dates

Event Dates

Wed, Sep 17, 2025 - 9:00 AM to 12:15 PM EDT

Base Price is $70.00 ~~Price reduced from Late Fee pricing 90.00~~ Ends 09/03/2025

Description

Mental health professionals have a legal and ethical obligation to keep records to memorialize their work with their clients. However, what you record, and how it is recorded, can be confusing to navigate. This workshop will explore the legal and ethical requirements of clinical recordkeeping, while highlighting ethical challenges and the realities of busy professionals.

This workshop is in accordance with and compliance with the NASW Standards with a focus on service, dignity and worth of the person, importance of human relationships, integrity, competence, and social workers’ ethical responsibilities to clients, to colleagues, in practice settings, as professionals, to the social work profession, to the broader society.

This workshop is in compliance with the Maryland Board of Social Work Examiners’ COMAR 10.42.03.06.A(5) and with the District of Columbia Board of Social Work 17-70-7008.4.   This workshop meets the Ethics CE license renewal requirements for Maryland and the District of Columbia.   

Instructor

Kathryn Krase, PhD, JD, MSW Related Seminars and Products

Kathryn Krase, PhD, JD, MSW, principal consultant with Krase Consultant, is an expert on professional ethics and the intersection of ethics and legal responsibilities. She has years of experience consulting with government and community-based organizations to develop policy and practice standards.

Agenda & Learning Objectives

AGENDA:

8:50 am – 9:00 am Log on

9:00 am – 12:15 pm

There will be one 15-minute break.

Introductions (5 minutes)

Revisiting Ethics in Professional Practice (25 minutes)

Professional education introduces future practitioners to relevant Codes of Ethics. This portion of the program will revisit what professionals should already know about ethics, so that we are all on the same page as we explore further. What do we mean by “ethical”?

How is “ethical” related to “legal”? Where do we look in the law and codes of ethics for guidance on record keeping? Introduce case examples.

Protecting Yourself from Ethical & Legal Liability (20 minutes)

This section will outline the framework that professionals can use to prevent ethical conundrums, and protect themselves from legal liability in relation to expectations for clinical record-keeping

Defining Important Terms related to “Records” (45 minutes)

The focus of this discussion will be on what are “records”, and how are they different from other documentation like “notes”.

Distinguishing Ethical & Legal Requirements for Record Keeping (45 minutes)

This section will compare various professional codes and their expectations for record keeping. The language of the codes will be contrasted with the legal requirements in various states.

Exploring the Impact of Electronic Health/Medical Records (20 minutes)

The complications created by the use of electronic records will be highlighted.

Evaluating Case Examples (15 minutes)

Case examples will bring ethical and legal requirements to life for participants.

Conclusions/Questions (5 minutes)

LEARNING OBJECTIVES:

Upon the completion of this workshop, participants will be able to:

Describe the ethical responsibility of mental and behavioral health professionals to maintain client records.
Distinguish the ethical responsibility of mental and behavioral health professionals to maintain client records from related legal requirements.
Explain how to protect client confidentiality through recordkeeping practices.

Bibliography & References

BIBLIOGRAPHY & REFERENCES

American Psychological Association. (2017). Ethical principles of psychologists and code of conduct (2002, amended effective June 1, 2010, and January 1, 2017). https://www.apa.org/ethics/code/

American Counseling Association. (2014). 2014 ACA code of ethics. https://www.counseling.org/docs/default-source/default-document-library/2014-code-of-ethics-finaladdress.pdf

Barsky, A. E. (2017). Social work practice and technology: Ethical issues and policy responses. Journal of Technology in Human Services, 35(1), 8-19.

Isobel Cairns, Monique Jonas & Katharine Wallis (2018) The Ethics of Sharing: How Do Social Workers Decide What to Record in Shared Health Records?, Ethics and Social Welfare, 12:4, 348-369, DOI:10.1080/17496535.2017.1384849

Ennis, L., Rose, D., Callard, F., Denis, M., & Wykes, T. (2011). Rapid progress or lengthy process? electronic personal health records in mental health. BMC psychiatry, 11, 1-9.

Kariotis, T. C., Prictor, M., Chang, S., & Gray, K. (2022). Impact of electronic health records on information practices in mental health contexts: scoping review. Journal of Medical Internet Research, 24(5), e30405.

Lustgarten, S. D., & Elhai, J. D. (2018). Technology use in mental health practice and research: Legal and ethical risks. Clinical Psychology: Science and Practice, 25(2), e12234.National Association of Social Workers. (2020). NASW code of ethics. https://www.socialworkers.org/About/Ethics/Code-of-Ethics/Code-of-Ethics-English

Pozgar, G. D. (2005). Legal and ethical issues for health professionals. Boston: Jones and Bartlett Publishers.

Tracey, P., Garcia, P., & Punzalan, R. (2023). Recordkeeping, logistics, and translation: a study of homeless services systems as infrastructure. Archival Science, 1-27.

Course Completion & CE Information

Category I Maryland BSWE Requirement

The Office of Continuing Professional Education at the University Of Maryland School Of Social Work is authorized by the Board of Social Work Examiners in Maryland to sponsor social work continuing education programs. This workshop qualifies for 3 Category I Continuing Education Units for Ethics. The Office of Continuing Professional Education is also authorized by the Maryland Board of Psychologists and the Maryland Board of Professional Counselors to sponsor Category A continuing professional education.

Please refer to the tab "Live Interactive Webinar Policies & FAQs" for UMSSW Office of CPE policies regarding all live interactive webinar related matters.

Evaluation

Participants will have access to the evaluation after attendance has been verified. Evaluations will be available for one (1) week after the workshop has ended.

After one (1) week, participants will no longer have access to the evaluation and will have to contact CPE about reactivation.

Target Audience

Social Workers, LCPCs, and Psychologists

We welcome anyone interested in the topic!

Live Interactive Webinar Platforms

LIVE INTERACTIVE WEBINAR PLATFORMS

The Office of Continuing Professional Education hosts Live Interactive Webinars through Zoom. This platform offers a high quality and user-friendly webinar platform for our registrants.

System Requirements:

Operating Systems: Windows XP or higher; MacOS 9 or higher; Android 4.0 or higher.
Internet Browser: Google Chrome; Firefox 10.0 or higher.

Our system is not compatible with the Safari web browser.

Broadband Internet Connection: Cable, High-speed DSL and any other medium that is internet accessible.

**Please have your device charging at all times to ensure that your device does not lose power during the webinar.

Course Interaction Requirements:

To participate in Live Interactive Webinars, you MUST have a device that allows you to view the presentation on screen and hear the instructor at all times. We do not allow participants to call-in from their phones or mobile devices and solely listen to the presentation. Participation in Live Interactive Webinars is mandatory.

Our webinar policies can be found on our website by clicking here.

Webinar Policies & FAQs

Click The Link to View The Webinar Policies & FAQs

https://umbsswcpe.ce21.com/Page/live-interactive-webinar-procedures-policies-4129

Code of Conduct

The Office of Continuing Professional Education at the University of Maryland School of Social Work adheres to the NASW Code of Ethics. This policy is to ensure that the training environment for social work professionals remains respectful, productive, and conducive to learning. Disruptive behavior that interferes with the learning process, disrupts the training experience for others, or undermines the integrity of the program will not be tolerated.

Expectations for Participant Engagement:

In alignment with the NASW Code of Ethics and the University of Maryland Baltimore Code of Conduct, participants are expected to demonstrate professionalism, which includes respecting confidentiality, maintaining a collaborative and respectful tone, and contributing positively to the group dynamic. Disclosures made during the training (e.g., case studies or personal reflections) must be handled with care and in accordance with ethical and legal guidelines.

All participants in the training program are expected to:

Engage actively in the learning process and show respect for the opinions and contributions of others.
Demonstrate professionalism in both attitude and behavior, maintaining respect for instructors, peers, and the training environment.
Maintain open communication by expressing concerns or disagreements constructively and respectfully.
Follow the guidelines and expectations provided by instructors and facilitators.
Support a collaborative learning environment where all participants feel valued and safe to contribute.

Instructors and CPE staff reserve the right to dismiss participants who do not adhere to ethical/professional principles and standards. If removed, CEs will be adjusted to reflect the time attended, unless otherwise specified.

ADA Accommodations

If you are requesting ADA accommodations, please contact our office via email at least two weeks prior to the workshop date. Requests after that date may not be fulfilled.

Our email address is cpe@ssw.umaryland.edu.

Late Fees and Refunds

The base price is $70, which includes CE credit.

Late Fee: On 09/03/25, a non-refundable late fee of $20 is added to the base price. Late fees cannot be refunded or applied to account credit.

Cancellations: **ALL cancellations will be subjected to a $35.00 administration fee.** To be eligible for a refund or CPE account credit, cancellations must be made at least 24 hours before the workshop.

For more information, please read the general policies on our website.

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