Polygraph Examiners Penalties and Sanctions

 

Texas Occupations Code, Chapter 1703
16 Texas Administration Code, Chapter 88

Class A:

1st Violation: Reprimand to $100
2nd Violation: $200 to $1,000
3rd Violation: $1,100 to $2,000 000 and/or up to a 1 year full suspension

  • Failure to notify the Department in writing of a change in principal business location not later than the 30th day after the date the change was made 1703.301, 88.72
  • Failure to register with the county clerk of the county where the business address is maintained 1703.302, 88.23(a)
  • Failure to prominently display license at the place of business or place of internship 1703.303, 88.73
  • Failure to inform the subject of a written contract for examiner's services or a waiver of liability of the procedures to file a complaint against the examiner with the Department 1703.307(1) 88.78
  • Failure to include in a written contract for services or a waiver of liability the name, mailing address, and telephone number of the Department 1703.307(2)
  • Failure to register with the County Clerk of Travis County when holding a Texas license without a Texas address 88.23(b)
  • Failure to submit notice of the completion of an internship to the Department in the required manner within ten days 88.70(h)
  • Failure to notify the Department in writing of a name change or change in mailing address by the 30th day after the date the change was made 88.72
  • Failure to present the pocket license upon request when conducting a remote polygraph examination 88.73
  • Failure to mark in the required manner on each polygraph chart during a polygraph examination all questions asked a subject and all of the subject's answers 88.74(1)(A), 88.74(1)(E)
  • Failure to have a written question sheet while conducting an examination which contained the exact wording of every question asked 88.74(1)(B)
  • Used abbreviations while conducting an examination which were not defined on the question sheet 88.74(1)(C)
  • Failure to allow a minimum of twenty seconds between each question while conducting an examination 88.74(3)
Class B:

1st Violation: $500
2nd Violation: $600 to $1,500 and/or up to a 1 year full suspension
3rd Violation: $1,600 to $2,500 and/or a 2 year full suspension up to revocation

  • Conducted a polygraph examination with an expired license 1703.201(a) 88.21
  • Disclosed information acquired from a polygraph examination to another person other than one allowed 1703.306(a), 88.77(a)
  • Disclosed information acquired in private consultation to another person other than one allowed 1703.306(c), 88.77(c)
  • Sponsored more than two trainees at one time 88.70(b)
  • Failure to directly observe a sponsored trainee's polygraph examinations as required 88.70(c)(1)
  • Failure to be available to assist a sponsored trainee conducting a polygraph examination outside the direct observation of the sponsor 88.70(c)(2)
  • Failure to carefully review each polygraph examination administered by the trainee for accurate chart interpretation before a final opinion was given 88.70(d)
  • Failure to review at the conclusion of each week the report submitted by a trainee describing all polygraph related work conducted during the week 88.70(e)
  • Failure to prepare and keep a monthly report of all polygraph related work conducted by a trainee and all curriculum used in the course of supervised instruction 88.70(f)
  • Failure to include all required information in the monthly report of all polygraph related work conducted by a trainee and all curriculum used in the course of supervised instruction 88.70(f)
  • Failure to use the approved curriculum in the course of supervised instruction of a trainee 88.70(g)
  • Failure to notify a trainee in writing of a termination in sponsorship within ten days 88.70(i)(1)
  • Failure to notify the Department in the required manner of a termination in sponsorship within ten days 88.70(i)(2), 88.71(d)(2)
  • Failure to submit a copy of all monthly reports to the Department or the trainee within ten days of a termination in sponsorship 88.70(i)(3)
  • Failure by company to maintain records showing employment status of assigned licensee 75.71(a)(3)
  • Failure to retain all polygraph examiner internship records for at least two years 88.70(j)
  • Failure of trainee to observe a sponsor conduct a minimum of two polygraph examinations prior to beginning field work in the internship program 88.71(a)
  • Failure of trainee to provide the sponsor at the conclusion of each week a report describing all polygraph related work conducted during the week 88.71(b)
  • Failure of trainee to give a preliminary opinion of the results of a polygraph examination that was administered outside the direct observation of the sponsor, when requested by an examinee 88.71(c)
  • Failure to advise an examinee that a requested opinion was preliminary until the examination was reviewed and an opinion was given by the sponsor 88.71(c)
  • Failure of a trainee to notify a former sponsor in writing of a termination in sponsorship within ten days of the termination 88.71(d)(1)
  • Failure of trainee to notify a former sponsor in writing of a change in sponsorship within ten days of the change 88.71(e)(1)
  • Failure of trainee to notify the Department in the required manner of a change in sponsorship within ten days 88.71(e)(2)
  • Failure of trainee to pay the change of sponsor fee within ten days 88.71(e)(3)
  • Gave a verbal or written opinion based on chart analysis when the same relevant questions were not asked a minimum of two separate times 88.74(2)
  • Included questions in the testing phase that were intended to inquire into or develop information about an examinee's religious, racial or political beliefs when not relevant to a specific investigation 88.75(b)
  • Failure to give the examinee an opportunity to explain the results of the examination 88.76(b)
Class C:

1st Violation: $1,000 to $2,000 and/or up to a 1 year full suspension
2nd Violation: $2,100 to $4,000 and/or up to revocation
3rd Violation: $4,100 to $5,000 plus a 2 year full suspension up to revocation

  • Conducted a polygraph examination without holding a license 1703.201(a)
  • Represented oneself as a polygraph examiner without holding a license 1703.201(b)
  • Engaged in a polygraph examiner internship without holding a license 1703.208(a)
  • Used an instrument that does not comply with the instrumentation requirements 1703.305(b)
  • Failure to inform the examinee of the nature of the examination and that the subject's participation in the examination was voluntary 1703.351(a)(7)
  • Failure to inform the examinee of the results on request or prior to the termination of the examination 1703.351(a)(8), 88.76(a)
  • Failure to provide within a reasonable time information requested by the Department as the result of a formal complaint 1703.351(a)(11)
  • Failure to immediately surrender a suspended or revoked license to the Department 1703.353
  • Failure to have an insurance policy or surety bond guaranteeing payment of up to $5,000 against the examiner for any wrongdoing 88.40(a)
  • Failure to maintain an insurance policy, surety bond or continuation bond at all times during a license period 88.40(b)
  • Failure to keep insurance policy or bond in effect for two years after the effective cancellation date 88.40(d)
  • Failure to make all polygraph examiner internship records available to the Department upon request 88.70(j)
  • Failure to retain for inspection all required records and other relevant documents for at least two years from the date of the examination 88.79(a)
  • Failure to make available to the Department, upon request, all required records and other relevant documents 88.79(b)
Class D:

1st Violation: $2,000 to $4,000 plus up to a 1 year full suspension
2nd Violation: $3,000 to $5,000 plus a 1 year full suspension up to revocation
3rd Violation: $5,000 plus revocation

  • Aided or abetted another to violate a law or rule regulating polygraph examiners 1703.351(a)(3)
  • Allowed license to be used by an unlicensed person 1703.351(a)(4)
  • Made a willful misrepresentation or false promise or caused the printing of a false or misleading advertisement to obtain business or trainees 1703.351(a)(6)
  • Administered a polygraph examination to a child taken into custody by a law enforcement or probation officer but not transferred to criminal court for prosecution and failed to get the consent of the child's attorney or the juvenile court 1703.351(a)(9)
  • Made a false report concerning an examination for polygraph examination purposes 1703.351(a)(10)
  • Demonstrated unworthiness or incompetency to act as a polygraph examiner 1703.351(a)(12)
  • Conducted an examination when the licensee had reason to believe the examination was intended to circumvent or defy the law 88.75(a)
  • Interrogated or conducted an examination on a subject's sexual behavior when not a specific issue, relevant or necessary to develop comparison questions 88.75(c)
  • Conducted a polygraph examination when the licensee believed the subject was physically or psychologically unfit for an examination 88.75(d)
Class E:

1st Violation: $3,000 up to 5,000 and/or revocation
2nd Violation: $3,000 up to 5,000 and/or revocation
3rd Violation: $3,000 up to 5,000 and/or revocation

  • Failed to comply with previous order of Commission/Executive Director 51.353(a), 88.90
  • Obtained a license by fraud or false representation 1703.351(a)(5), 60.23(a)(1)
  • Failed to pay the Department for a dishonored check 60.82