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Behavior Analysts Penalties and Sanctions

Texas Occupations Code Chapter 50616 Texas Administrative Code Chapter 121
Texas Occupations Code Chapter 5116 Texas Administrative Code Chapter 60
Texas Health and Safety Code, Chapter 181

Class A Violations:

Penalty Range:

$500 up to $1,000

Administrative Violations

Failed to report to the Department within 10 days of the event the expiration of the licensee’s certification – §121.50(a)(1)

Failed to report to the Department within 10 days of the event the commencement of the licensee’s inactive status of the licensee’s certification by the certifying entity – §121.50(a)(10)

Failed to Report to the Department within 30 days of the event changes in name, mailing address, phone number, or email contact – §121.50(b)(2)

Failed to notify each client or minor client’s parent or authorized representative of the Department’s name, website, email address, mailing address, and telephone number for the purpose of directing complaints to the Department – §121.70(b)(4)

Posting and Public Information Violations

Failed to display license in the primary location of the practice – §121.70(b)(12)

Displayed a photograph or otherwise reproduced image of a license – §121.70(b)(12)

Class B Violations:

Penalty Range:

$750 up to $3,000 and/or up to 6-month full suspension

Recordkeeping Violations

Failed to provide a client or a minor client’s parent or authorized representative with a written agreement for services prior the commencement of behavior analysis services – §121.70(b)(8)

Failed to maintain legible and accurate records of behavior analysis services – §121.70(b)(9)

Failed to maintain records of behavior analysis services rendered in an environment for the period of time required by the service setting or certifying entity, provided that those requirements are more stringent that those stated by the Department – §121.70(b)(9)

Failed to maintain records of behavior analysis services for the time required by Department rules – §121.70(b)(10)

Administrative Violations

Failed to report to the Department within ten days of the event the surrender or voluntary termination of the license holder’s certification – §121.50(a)(2)

Failed to report to the Department within ten days of the event the settlement of a or judgment rendered in a civil lawsuit filed against the license holder and relating to the license holder’s professional behavior analysis practice – §121.50(a)(7)

Failed to report within ten days of the event any complaints, investigations, or actions against the licensee by a governmental agency or by a licensing or certification body – §121.50(a)(8)

Failed to report within ten days of the event any other limitation on, or termination of, the license holder’s certification – §121.50(a)(11)

Failed to report within thirty days of the event the initiation of disciplinary action against the license holder by a behavior analysis certifying entity – §121.50(b)(1)

Failed to report within the specified time the commencement of inactive status of the person’s certification by the certifying entity – §121.50(b)(10)

Failed to promptly provide upon request by the Department any documents or information satisfactory to demonstrate the license holder’s qualifications for certification by the certifying entity or for licensure by the Department – §121.70(a)

Failed to report the Department any fact that may affect the license holder’s qualifications to hold a certification or license in accordance with §121.50 – §121.70(b)(3)

Unlicensed Activity

Practiced, attempted, offered to practice applied behavior analysis with an expired license – §506.251(a)

Used the title “licensed behavior analyst,” “licensed assistant behavior analyst,” or any facsimile of those titles with an expired license – §506.251(b); §121.26(e)

Practiced applied behavior analysis or engaged in any activity for which a license is required while license was on inactive status – §121.27(b)(1) and (2)

Advertising Violations

Used an advertisement or announcement that causes confusion or misunderstanding as to the credentials, education, or licensing of a professional – §121.75(c)(4)

Represented in the use of a professional name, a title or professional identification that is expressly or commonly reserved to or used by another profession or professional, unless the license holder is licensed or otherwise authorized to use the title or professional identification – §121.75(c)(6)

Class C Violations:

Penalty Range:

$2,000 up to $5,000 and/or 1-year suspension up to revocation

Administrative Violations

Failed to report to the Department within the specified time the surrender or voluntary termination of the license holder’s certification – §121.50(a)(2)

Failed to report within the specified time a violation by the license holder of the certifying entity’s requirements, the Act or the rules – §121.50(a)(3)

Failed to report within the specified time the suspension, probation, reprimand, or any other discipline or revocation of the license holder’s certification – §121.50(a)(4)

Failed to report within the specified time the license holder’s arrest, deferred adjudication, or criminal conviction, other than a Class C misdemeanor traffic offense – §121.50(a)(5)

Failed to report within the specified time the filing of a criminal case against the licensee – §121.50(a)(6)

Failed to report within the specified time the settlement or judgement rendered in a civil lawsuit filed against the license holder and relating to the license holder’s professional behavior analysis practice – §121.50(a)(7)

Failed to report within the specified time any complaints, investigations, or actions against the licensee by a governmental agency or by a licensing or certifying body – §121.50(a)(8); §121.50(b)(1)

Failed to report within the specified time the initiation of disciplinary action or other proceedings against the licensee by an employer or other entity that may result in civil liability or criminal charges or that may result in disqualification for certification by the certifying entity in accordance with the certifying entity’s requirements – §121.50(a)(9)

Failed to report within the specified time the limitation of or termination of the licensee’s certification – §121.50(11)

Recordkeeping and Confidentiality Violations

Failed to obtain written consent from a client or a client’s parent or authorized representative in order to use a client’s data or information for research or teaching activities – §121.75(b)(11)

Revealed confidential or personal information about a client without authorization other than as required by law, a certifying entity, compelled by a court, or as required to protect the welfare of the client or the community – §121.75(b)(12)

Failed to document any confidential or personal information disclosed, the person or entity to whom it was disclosed, and the justification for the disclosure in the client’s record if the licensee reveals such information without authorization – §121.75(b)(13)

Failed to maintain confidentiality of records – Chapter 181, Texas Health and Safety Code

Standard of Care Violations – Related to Supervision

Participated in a supervision relationship with another licensee or unlicensed person while license was on inactive status – §121.27(b)(3)

Delegated services, functions, or responsibilities requiring professional competence to a person not competent or not properly credentialed – §121.70(b)(11)

Standard of Care Violations – Related to Treatment

Offered to perform or performed behavior analysis services for which the license holder was not qualified, or which were out of scope of the license holder’s certification, license, or competence, considering level of education, training, and experience – §121.75(b)(3)

Failed to fully and accurately inform clients of the nature and possible outcomes of services rendered – §121.75(b)(5)

Failed to be knowledgeable of all available information relevant to the behavior analysis services being provided to the client – §121.75(b)(6)

Failed to take reasonable measures to ensure a safe environment for clients – §121.75(b)(7)

Failed to maintain objectivity in all matters concerning the welfare of the client – §121.75(b)(8)

Participated in inappropriate or exploitative multiple relationships – §121.75(b)(9)

Guaranteed, directly or by implication, the results of any behavior analysis services other than making a reasonable prognosis – 1§21.75(b)(10)

Overtreated a client persistently or flagrantly – §121.75(b)(20)

Failed to terminate a professional relationship when it is reasonably clear that the client is not benefitting from the services being provided or when it is reasonably clear that the client no longer needs the services – §121.75(b)(21)

Failed to attempt to identify competent, dependable referral sources for clients or failed to make a referral when requested or appropriate – §121.75(b)(22)

Used an advertisement that compares a professional’s services with another professional’s services unless the comparison can be factually substantiated – §121.75(c)(3)

Misrepresentation

Represented his or her education, training, credentials, or competence inaccurately or untruthfully – §121.75(b)(4)

Misled clients to expect results that cannot be predicted from reliable evidence – §121.75(b)(10)

Used false, misleading, inaccurate, incomplete, out of context, deceptive, or not readily verifiable information in an advertisement or announcement – §121.75(c)

Used advertising that makes a material representation of fact or omits a fact necessary to make the statement as a whole not materially misleading – §121.75(c)(1)

Used an advertisement likely to create an unjustified expectation about the results of a professional service – §121.75(c)(2)

Used an advertisement that causes confusion or misunderstanding as to the credentials, education, or licensing of a professional – §121.75(c)(4)

Used an advertisement designed to take advantage of the fears or emotions of a particularly susceptible type of client – §121.75(c)(5)

Unlicensed Activity

Engaged in the practice of applied behavior analysis without a license – §506.251(a)

Used the title ‘licensed behavior analyst’ without a license – §506.251(b)

Used the title ‘behavior analyst’ without a license – §506.251(c)

Unprofessional or Unethical Conduct – Billing Violations

Failed to provide in plain language a written explanation of the charges for behavior analysis services previously made on a bill or statement upon the written request of a client or client’s parent or authorized representative – §121.75(b)(14)

Persistently or flagrantly overcharged a client or a third party – §121.75(b)(19)

Knowingly submitted a bill for treatment to a client or third-party payor a bill for services not provided or that were improper, unreasonable, or clinically unnecessary – Tex. Health & Safety Code §311.0025(a)

Unprofessional or Unethical Conduct

Violated the BACB Professional and Ethical Compliance Code for Behavior Analysts – §121.75(a)

Discriminated in the provision of behavior analysis services on the basis of race, color, national origin, religion, gender, age, or disability – §121.75(b)(2)

Failed to accurately represent and describe any product created or recommended by the license holder – §121.75(b)(15)

Required the purchase by a client of any product created or produced by the license holder – §121.75(b)(16)

Used his or her professional relationship with a client to promote any product for personal gain or profit without disclosing to the client the nature of the licensee’s personal gain or profit – §121.75(b)(17)

Class D Violations:

Penalty Range:

$5,000 and/or revocation

Engaged in sexual contact or sexually exploitive behavior or therapeutic deception with a client – §121.75(b)(24)

Practiced behavior analysis when incapable of practicing with reasonable skill due to illness, use of alcohol, drugs, medications, narcotics, chemicals or other substances, or from mental or physical conditions – §121.75(b)(25)

Failed to surrender a license issued by the Department on demand – §121.70(a)

Obtained a license by fraud, misrepresentation, or concealment of a material fact – §506.351(2); §60.23(a)(1); §60.23(a)(2)

Violated an order of the Commission or Executive Director – §506.351(2); §51.353(a); §60.23(a)(2)

Sold, bartered, or offered to barter or sell a license – §506.351(3); §121.75(b)(23)

Used or provided unauthorized assistance in connection with an examination – §60.52(a)

Failed to pay the Department for a dishonored payment or processing fee – §60.82