STIPULATED CONCLUSIONS OF LAW AROUND 2008. NARCOPIG KEPT HIRING THERAPISTS THAT HAD NO LICENSE THOUGH

BEFORE THE SOCIAL WORKER,
MARRIAGE AND FAMILY
THERAPIST, AND MENTAL HEALTH
COUNSELOR BOARD
CAUSE NO. 2008 BHSB 0003
IN THE MATTER OF THE LICENSE OF )
FILED
)
MARK SMITH, LCSW
)
JUN 2 6 2008
)
LICENSE NO: 3400! 845A
)
Indiana Professional
Ucensin^genc^
)
STIPULATED FINDINGS OF FACT. STIPULATED CONCLUSIONS OF LAW.
ULTIMATE CONCLUSIONS OF LAW AND ORDER
The Petitioner, the State of Indiana, by Heather C. Kennedy, Deputy Attorney
General, Division of Consumer Protection ("Petitioner"), the Respondent, Mark Smith,
LCSW ("Respondent"), and Respondent's counsel, Peter Pogue of Schultz & Pogue,
LLP, signed an Agreement that purports to resolve all issues involved in the action by the
Petitioner before the Social Worker, Marriage and Family TTierapist, and Mental Health
Counselor Board ("Board") regarding Respondent's license, and that Agreement has been
submitted to the Board for approval.
The Board, after reviewing the Agreement at the June 23, 2008 meeting, now
finds it has been entered into fairly and without fraud, duress or undue influence, and is
fair and equitable between the parties. The Board hereby incorporates the Agreement as
if fully set forth herein and approves and adopts in full the Agreement as a resolution of
this matter. The Board approved this Agreement by a vote of 5 in favor, 0 against, and 0
abstaining. Incorporated into the Agreement was the consensus of both parties to the
following Stipulated Findings of Fact, Stipulated Conclusions of Law, Ultimate
Conclusions of Law and Order. The Board, hereby issues the following Stipulated
1
Respondent's address on file with the Board is 14164 Camden Lane,
Westfield, IN 46704 and he is a duly licensed Clinical Social Worker in the State of
#
Findings of Fact, Stipulated Conclusions of Law, Ultimate Conclusions of Law and
Order:
STIPULATED FINDINGS OF FACT

Indiana having been issued license nximber 34001845A.
At all time pertinent to this Complaint, Respondent practiced as a clinical

social worker at Family Tree Counseling ("Family Tree") in Carmel, Indiana. At the
time of the consumer complaint, Respondent was the President and sole owner of Family
Tree and has held that position each year since.
While acting as President of Family Tree, Respondent submitted all claims

to Magellan Health Services ("Magellan") in his name, while services were actually
rendered by other Family Tree employees.
On or about May 4, 2004, Respondent was notified by his insurance

carrier, Magellan, that all contracts and/or agreements with them were terminated due to:
quality of care concerns related to allowing an unlicensed therapist in Respondent's
practice to treat a member referred by Magellan, failure to adequately supervise the
unlicensed provider, and submission of claims to Magellan under Respondent's name for
that treatment, when in fact Respondent's subordinate rendered the services.
On or about July 7, 2004, Magellan filed an Adverse Action Report

against the Respondent, in order to be maintained within The Healthcare Integrity and
Protection Data Bank.
2
STIPULATED CONCLUSIONS OF LAW
Respondent's conduct described above constitutes a violation of Indiana

Code § 25-l-9-4(a)(l){B), in that, the Respondent engaged in material deception in the
course of professional services or activities, as evidenced by Respondent submission of
claims to Magellan for services he did not render, thus failing to maintain billing
practices consistent with the manner in which services were provided, to wit: 839 lAC 1-
3-4(b) The competent practice of social work and clinical social work includes, acting
within generally accepted ethical principles and guidelines of the profession and
maintaining an awareness of personal and professional limitations. These ethical
principles include, but are not limited to: NASW Ethics Code 3.05: Social workers
should establish and maintain billing practices that accurately reflect the nature and
extent of services provided and that identify who provided the service in the practice
setting.
ULTIMATE CONCLUSIONS OF LAW
The Respondent's failure to comply with the above referenced standards is cause
for disciplinary sanctions that may be imposed singly or in combination such as censure,
a letter of reprimand, probation, suspension, or a revocation of license, and a fine up to
the amount of $1000.00 per violation, as detailed at Indiana Code § 25-1-9-9.
ORDER
Based upon the above Stipulated Findings of Fact and Stipulated Conclusions of
Law, the Board issues the following Order:
The Board has jurisdiction over the Respondent and the subject matter in

this disciplinary action commcnced on April 2, 2008.

The parties execute this Agreement voluntarily.

Respondent and Petitioner voluntarily waive their rights to a pubHc

hearing on the Complaint and all other proceeding in this action to which either party
may be entitled by law, including judicial appeal or review.
Petitioner agrees that the terms of this Agreement will resolve any and all

outstanding claims or allegations or potential claims or allegations relating to disciplinary
action against Respondent's license for the period between April 2, 2008 and the date of
the Final Order.
Respondent has carefully read and examined this Agreement and ftilly

understands its terms and that, subject to a final order issued by the Board, this
Agreement is a final disposition of all matters and not subject to further review.
Respondent's clinical social worker license shall be placed on
6.
INDEFINITE PROBATION. Respondent may petition the Board after six (6) months
of successfully complying with his probation for withdrawal of said probation.
During the Probationary period, Respondent's license shall be governed

by the following TERMS AND CONDITIONS:
a. Respondent shall keep the Board apprised of his home address, mailing
address and residential telephone number at all times.
b. Respondent shall keep the Board apprised of his place of employment,
employment telephone number and name of his supervisor at all times.
c. Respondent shall keep the Board informed of his occupation title and
work schedule, including the number of hours worked at all times.
4
d. Respondent shall provided a copy of all Board orders imposing discipline
or limiting practice to any social work employer who shall sign and return
a copy of such order to the Board within seven (7) days of employment or
receipt of this order.

e. Respondent shall be supervised by a Board approved supervisor twice a
month for the length of his probation to discuss ethics and supervision.
Said supervisor shall submit quarterly reports to the Board that
Respondent is in compliance with the Order.
f Respondent shall complete 50% of his Continuing Education
requirements, ten (10) hours for the 2008-2010 year in Category 1
supervision and billing.
g. Respondent shall make quarterly personal appearances before the Board
for the length of his probation. At each personal appearance. Respondent
shall inform the Board that he is supervising employees in accordance
with the applicable supervising statutes.
Respondent agrees to pay for a copy of the transcript of the presentation of

this Agreement to the Board.
It is further agreed that any information received by any other regulatory

agency that indicates non-compliance with the statutes or regulations regarding the
competent practice of a Clinical Social Worker or a violation of the Final Order, may
result in the State requesting an emergency suspension of Respondent's license, as well
as possible reinstatement of the initial action giving rise to this resolution, an Order to
Show Cause as may be issued by the Board, or a new cause of action being filed pursuant
5
to Indiana Code § 25-l-9-4(a)(10), any or all of which could lead to additional sanctions,
up to and including a revocation of Respondent's license.
10. The Parties agree to the continuing jurisdiction of the Board.
(^(/) day of June, 2008
SO ORDERED this
SOCIAL WORKER, MARRIAGE AND FAMILY
THERAPIST, AND MENTAL HEALTH
COUNSELOR BOARD
Byf

Fn

EKecutive^irector y
mdiana Professional LiceH^ng Agency
Copies:
Mark Smith, LCSW
14164 Camden Lane
Westfield, IN 46704
SENT CERTIFIED MAIL NO.: 7006 2760 0003 4661 7414
RETURN RECEIPT REQUESTED
Schultz & Pogue, LLP
Peter Pogue
520 Indiana Avenue
Indianapolis, IN 46202
SENT CERTIFIED MAIL NO.: 7006 2760 0003 4661 7421
RETURN RECEIPT REQUESTED
Deputy Attorney General - Heather C. Kennedy
OFFICE OF THE ATTORNEY GENERAL
Indiana Government Center South
302 West Washington Street, 5'*^ Floor
Indianapolis, IN 46204-2770
6