GENERAL GOVERNMENT CABINET
Applied Behavior Analysis Licensing Board
(As Amended at ARRS, October 13, 2015)
201 KAR 43:050. Requirements for supervision.
RELATES
TO: KRS 319C.050(1) and 319C.060(2)(a)-(d)
STATUTORY
AUTHORITY: KRS 319C.060(2)(a)-(d)
NECESSITY,
FUNCTION, AND CONFORMITY: KRS 319C.060(2)(a) requires the board to promulgate
an administrative regulation governing the supervision of a licensed assistant
behavior analyst, temporarily licensed behavior analyst, and temporarily licensed
assistant behavior analyst. This administrative regulation establishes the
requirements for supervision.
Section
1. Definitions. (1) "Direct supervision" means in-person interactions
between the supervisor and the licensee under his or her supervision which includes
direct observation of actual service provision to individuals.
(2)
"General supervision" means interactions between the supervisor and
the licensee under his or her supervision involving real time visual and
auditory contact, conducted in-person or via electronic means.
Section
2. In order to provide supervision to a licensed assistant behavior analyst, a
temporarily licensed behavior analyst, or temporarily licensed assistant
behavior analyst, a licensed behavior analyst shall be currently certified by
the Behavior Analyst Certification Board as a:
(1)
Board Certified Behavior Analyst, BCBA; or
(2)
Board Certified Behavior Analyst - Doctoral, BCBA-D.
Section
3. Supervisor Responsibilities. (1) Except as provided in Section 16 of this
administrative regulation, a supervisory arrangement shall be submitted to the
board using the Application for Licensure Form, as incorporated by
reference in 201 KAR 43:010, with the supervisor and the licensed
assistant behavior analyst, temporarily licensed behavior analyst, or
temporarily licensed assistant behavior analyst petitioning the board in
writing.
(2)
The supervisor and licensed assistant behavior analyst, temporarily licensed
behavior analyst, or temporarily licensed assistant behavior analyst shall submit
to the board the description of the supervisory arrangement or a change in the
supervisory arrangement by submitting an updated Annual Supervisory Plan no
later than thirty (30) days after a change in the effective date of the arrangement
or change.
Section
4. (1) The supervisor shall assure[make all reasonable efforts
to be assured] that the practice of each licensed assistant
behavior analyst, temporarily licensed behavior analyst, or temporarily licensed
assistant behavior analyst is in compliance with this administrative
regulation. The supervisor shall include in the Annual Supervisory
Plan and keep in the record as required by subsection (6) of this section
review, discussions, and recommendations and shall focus on:
(a)
Case background information;
(b)
Planned behavioral assessment procedures;
(c)
Assessment outcomes;
(d)
data collection procedures;
(e)
Intervention procedures and materials;
(f)
Intervention outcome data;
(g)
Modifications of intervention procedures;
(h)
Ethical issues associated with behavior change services or employment; and
(i)
Professional development needs and opportunities.
(2)
The supervisor shall report to the board an apparent violation of KRS Chapter
319C on the part of the licensed assistant behavior analyst, temporarily
licensed behavior analyst, or temporarily licensed assistant behavior analyst.
(3)
The supervisor shall inform the board immediately of a change in the ability to
supervise, or in the ability of a licensed assistant behavior analyst, temporarily
licensed behavior analyst, or temporarily licensed assistant behavior analyst
to function in the practice as a licensed assistant behavior analyst,
temporarily licensed behavior analyst, or temporarily licensed assistant
behavior analyst in a competent manner.
(4)
The supervisor shall control, direct, or limit the
behavior analytic duties performed by the licensed assistant behavior analyst,
temporarily licensed behavior analyst, or temporarily licensed assistant
behavior analyst practicing under the direction of the supervisor[as
appropriate] to ensure[insure] that
these duties are competently performed.
(5)(a)
The supervisor of record shall be responsible for the behavior analytic duties
of the licensed assistant behavior analyst, temporarily licensed behavior
analyst, or temporarily licensed assistant behavior analyst practicing under
the direction of the supervisor.
(b)
If the board initiates an investigation concerning a licensed assistant
behavior analyst, temporarily licensed behavior analyst, or temporarily
licensed assistant behavior analyst practicing under the direction of the
supervisor, the investigation shall include the supervisor of record.
(6)(a)
For each person supervised, the supervisor shall maintain a record of each
supervisory session that shall include the type, place, and general content of
the session.
(b)
This record shall be maintained for a period of not fewer than six (6) years
after the last date of supervision.
Section
5. (1) In calculating the amount of time spent in full-time practice while
under supervision, 1,500 hours of satisfactory supervised practice shall be
equivalent to one (1) year of experience.
(2)
The board may require additional supervised practice if recommended by the
supervisor on a licensee’s Annual Supervisory Plan or Annual Report of
Supervision.
(3)(a)
The supervisor shall provide reports to the board of the supervision of each
licensed assistant behavior analyst, temporarily licensed behavior analyst, or
temporarily licensed assistant behavior analyst practicing under the direction
of the supervisor as follows:
1.
A licensed assistant behavior analyst with five (5) or more years of full-time
practice, or its equivalent, shall submit a report every two (2) years on the
anniversary of the date of licensure as a licensed assistant behavior analyst.
2.
A licensed assistant behavior analyst with fewer than five (5) years of
full-time practice, or its equivalent, shall submit a report annually on the
anniversary of the date of licensure as a licensed assistant behavior analyst.
3.
A temporarily licensed behavior analyst or temporarily licensed assistant
behavior analyst shall submit a report annually on the anniversary of the date
of licensure as a temporarily licensed behavior analyst or temporarily licensed
assistant behavior analyst.
(b)
The report shall be submitted on the Annual Report of Supervision which shall
include:
1.
A description of the frequency, format, and duration of supervision;
2.
An assessment of the functioning of the licensed assistant behavior analyst,
temporarily licensed behavior analyst, or temporarily licensed assistant
behavior analyst, including the strengths and weaknesses; and
3.
Any other information which the supervisor deems relevant to an adequate
assessment of the practice of the licensed assistant behavior analyst,
temporarily licensed behavior analyst, or temporarily licensed assistant
behavior analyst.
Section
6. (1) If a licensed assistant behavior analyst, temporarily licensed behavior
analyst, or temporarily licensed assistant behavior analyst has more than one
(1) board-approved supervisor, the supervisors shall be in direct contact with
each other at least once every six (6) months, and they shall provide
supervisory plans and reports to the board and copies to each other.
(2)
A request to have more than two (2) supervisors at one (1) time shall be
subject to board approval and shall be submitted by new applicants on the
licensure application and the Annual Supervisory Plan and by existing licensees
on the Annual Supervisory Plan, which shall include detailed information as to
how the supervisors shall communicate and coordinate with each other in
providing the required supervision.
Section
7. If a licensed assistant behavior analyst, temporarily licensed behavior
analyst, or temporarily licensed assistant behavior analyst practicing under
the direction of the supervisor is a behavior analyst with less than five (5)
years of full-time, post-certification practice, or its equivalent, or a
licensure candidate with temporary permission to practice, the supervisor of
record shall:
(1)
Read and countersign all assessments;
(2)
Review treatment plans, notes and correspondence on an as-needed basis to
assess the competency of the licensed assistant behavior analyst, temporarily
licensed behavior analyst, or temporarily licensed assistant behavior analyst
to render applied behavior analytic services;
(3)
Jointly establish a supervisory plan with the licensed assistant behavior
analyst, temporarily licensed behavior analyst, or temporarily licensed
assistant behavior analyst, which shall be submitted to the board at the
beginning of the supervisory relationship using the Annual Supervisory Plan.
The plan shall:
(a)
Be updated or revised and submitted to the board with the regular report of
supervision;
(b)
Include intended format, and goals to be accomplished through the supervisory
process; and
(c)
Include methods that the licensed assistant behavior analyst, temporarily
licensed behavior analyst, or temporarily licensed assistant behavior analyst
practicing under the direction of the supervisor shall employ to evaluate the
supervisory process;
(4)
Have general supervision of the work performed by the licensed assistant
behavior analyst, temporarily licensed behavior analyst, or temporarily
licensed assistant behavior analyst practicing under the direction of the
supervisor at least twice per month;
(5)
Have direct supervision of the work performed by the licensed assistant
behavior analyst, temporarily licensed behavior analyst, or temporarily
licensed assistant behavior analyst practicing under the direction of the
supervisor at least once every three (3) months;
(6)
Have direct knowledge of the size and complexity of the caseload for each
licensed assistant behavior analyst, temporarily licensed behavior analyst, or
temporarily licensed assistant behavior analyst practicing under the direction
of the supervisor;
(7)
Limit and control the caseload as appropriate to the level of competence of
each licensed assistant behavior analyst, temporarily licensed behavior
analyst, or temporarily licensed assistant behavior analyst practicing under
the direction of the supervisor;
(8)
Have knowledge of the techniques being used by the licensed assistant behavior
analyst, temporarily licensed behavior analyst, or temporarily licensed
assistant behavior analyst; and
(9)
Have knowledge of the physical and emotional well-being of each licensed
assistant behavior analyst, temporarily licensed behavior analyst, or
temporarily licensed assistant behavior analyst practicing under the direction
of the supervisor when it has a direct bearing on his or her competence to
practice.
Section
8. If the licensed assistant behavior analyst or temporarily licensed behavior
analyst is a behavior analyst with more than five (5) years of full-time,
post-certification practice, or its equivalent, the supervisor of record shall:
(1)
Review and countersign assessments as needed or appropriate;
(2)
Review treatment plans, notes, and correspondence as needed or appropriate;
(3)
Jointly establish a supervisory plan with each licensed assistant behavior
analyst, or temporarily licensed behavior analyst practicing under the
direction of the supervisor, which shall be submitted to the board at the beginning
of the supervisory relationship using the Annual Supervisory Plan. The plan
shall:
(a)
Be updated or revised and submitted to the board with the regular report of
supervision;
(b)
Include intended format, and goals to be accomplished through the supervisory
process; and
(c)
Include methods that the supervisor and licensed assistant behavior analyst, or
temporarily licensed behavior analyst practicing under the direction of the
supervisor shall employ to evaluate the supervisory process;
(4)
Have general supervision of the work performed by each licensed assistant
behavior analyst or temporarily licensed behavior analyst practicing under the
direction of the supervisor at least once per month;
(5)
Have direct supervision of the work performed by each licensed assistant
behavior analyst or temporarily licensed behavior analyst practicing under the
direction of the supervisor at least twice a year;
(6)
Have direct knowledge of the size and complexity of the caseloads for each
licensed assistant behavior analyst or temporarily licensed behavior analyst
practicing under the direction of the supervisor;
(7)
Limit and control the caseload as appropriate to the level of competence of
each licensed assistant behavior analyst or temporarily licensed behavior
analyst;
(8)
Have knowledge of the techniques being used by each licensed assistant behavior
analyst or temporarily licensed behavior analyst; and
(9)
Have knowledge of the physical and emotional well-being of each licensed
assistant behavior analyst or temporarily licensed behavior analyst practicing
under the direction of the supervisor when it has a direct bearing on his or
her competence to practice.
Section
9. Supervision Requirements. (1)(a) A licensed assistant behavior analyst shall
meet these supervision requirements, even if he or she is not currently
providing behavior analytic services.
(b)
If the licensed assistant behavior analyst is not currently providing behavior
analytic services, supervision may focus on guiding the development and
maintenance of the licensed assistant behavior analyst’s professional knowledge
and skills and remaining current with the professional literature in the field.
(2)
Upon resumption of practice, the licensed assistant behavior analyst shall
document compliance with continuing education requirements and shall report on
his or her activities and employment related to behavior analysis during the
period in which the analyst did not practice.
Section
10. Supervision for Part-Time Practice. Supervision requirements for part-time
practice may be modified by[at the discretion of]
the board upon approval of the submitted plan. Additional modifications of the
format, frequency, or duration of supervision may be submitted for approval by
the board.
Section
11. Supervisory Changes. (1) Upon a change of supervisor, an updated Annual
Supervisory Plan shall be submitted by the supervisor and licensed assistant
behavior analyst, temporarily licensed behavior analyst, or temporarily
licensed assistant behavior analyst to the board for approval. This plan may
require additional supervision than was previously approved by the board.
(2)
Upon termination of the supervisory relationship, the final Annual Report of
Supervision shall be submitted to the board within thirty (30) days of the
termination.
Section
12. Responsibilities of the licensed assistant behavior analyst, temporarily
licensed behavior analyst, or temporarily licensed assistant behavior analyst.
The licensed assistant behavior analyst, temporarily licensed behavior analyst,
or temporarily licensed assistant behavior analyst shall:
(1)
Keep the supervisor adequately informed at all times of his or her activities
and ability to function;
(2)
Seek supervision as needed in addition to a regularly scheduled supervisory
session;
(3)
Participate with the supervisor in establishing supervisory goals and in
completing the regular supervisory reports;
(4)
Be jointly responsible with the supervisor for ensuring that a supervisory
report or plan has been sent to the board in accordance with the reporting
schedule established in Section 5 of this administrative regulation; and
(5)
Report to the board any apparent violation of KRS Chapter 319C on the part of
the supervisor.
Section
13. Identification of Provider in Billing. The actual deliverer of a service
shall be identified to the client. A billing for a rendered service shall
identify which service was performed by the assistant behavior analyst,
temporarily licensed behavior analyst, trainee, or other provider and
supervised by the licensed behavior analyst.
Section
14. Disciplinary Procedures and Supervision of a Disciplined License Holder.
(1) The board shall appoint an approved supervisor to supervise a disciplined
license holder for the period of time defined by the final order or settlement
agreement conferring the discipline.
(2)
When specified by the final order or settlement agreement, the disciplined
license holder shall be responsible for paying the costs of supervision.
(3)
The supervisor shall:
(a)
Review the originating complaint, agreed order, or findings of the disciplinary
hearing;
(b)
Meet with the disciplined license holder and the board liaison to:
1.
Summarize the actions and concerns of the board;
2.
Review the goals and expected outcomes of supervision submitted by the board
liaison;
3.
Develop a specific plan of supervision; and
4.
Review the reporting requirements that shall be met during the period of
supervision;
(c)
Meet with the disciplined license holder at least weekly, on an individual
face-to-face basis for a minimum of one (1) hour unless modified by the board;
(d)
Submit a quarterly report to the board which reflects progress, problems, and
other information relevant to the need for board-mandated supervision;
(e)
Ensure[Make all reasonable efforts to insure] that
the disciplined license holder's practice is in compliance with KRS Chapter
319C and 201 KAR Chapter 43;
(f)
Report to the board any apparent violation of KRS Chapter 319C on the part of
the disciplined license holder;
(g)
Immediately report to the board, in writing, a change in the ability to
supervise, or in the ability of the disciplined license holder to function in
the practice of a licensed behavior analyst in a competent manner;
(h)
Review and countersign assessments as needed or appropriate;
(i)
Review treatment plans, notes, and correspondence as needed or appropriate;
(j)
Have direct observation of the disciplined license holder's work on an
as-needed basis;
(k)
Have direct knowledge of the size and complexity of the disciplined license
holder's caseload;
(l)
Have knowledge of the therapeutic modalities and techniques being used by the
disciplined license holder; and
(m)
Have knowledge of the disciplined license holder's physical and emotional well-being
when it has direct bearing on the disciplined license holder's competence to
practice.
(4)
The supervisor shall control, direct, or limit the disciplined license holder's
practice[as appropriate] to ensure that the disciplined
license holder's practice is competent.
(5)
The supervisor shall contact the board liaison with any concern or problem with
the disciplined license holder, his or her practice, or the supervision
process.
(6)(a)
A final meeting shall be scheduled within thirty (30) days of the end of the
established supervision period to summarize the supervision.
(b)
The meeting shall include the supervisor, disciplined license holder, and board
liaison.
(c)
A written summary of the supervision shall be submitted by the supervisor to
the board two (2) weeks following this meeting with a copy to the board
liaison.
Section
15. Board Liaison for Disciplined License Holder. The board shall appoint a
board member to serve as a liaison between the board and the approved
supervisor. The board liaison shall:
(1)
Recruit the supervising licensed behavior analyst from a list provided by the
board;
(2)
Provide the supervising licensed behavior analyst with the originating
complaint, agreed order or findings of the hearing and supply other material
relating to the disciplinary action[as deemed appropriate by the
liaison];
(3)
Ensure that the supervising licensed behavior analyst is provided with the
necessary documentation for liability purposes to clarify that he or she is
acting as an agent of the board and has immunity commensurate with that of a
board member;
(4)
Provide the supervising licensed behavior analyst with a written description of
the responsibilities of the supervisor and a copy of the responsibilities of
the liaison;
(5)
Ensure that the board has sent a written notification letter to the disciplined
license holder. The notification letter shall:
(a)
State the name of the supervising licensed behavior analyst; and
(b)
Specify that the disciplined license holder shall meet with the supervising
licensed behavior analyst and the liaison within thirty (30) days of the date
of the notification letter;
(6)
Meet with the supervising licensed behavior analyst and disciplined license
holder within thirty (30) days of the date of the notification letter to
summarize the actions of the board, review the applicable statutes and
administrative regulations regarding supervision requirements for a disciplined
license holder, and assist with the development of a plan of supervision. The
plan of supervision shall be written at the first meeting;
(7)
Submit the report of supervision to the board for approval.
(a)
The liaison shall place the report of supervision on the agenda for review and
approval at the next regularly scheduled board meeting.
(b)
In the interim, the supervising licensed behavior analyst and disciplined
license holder shall continue to meet;
(8)
Remain available to the supervising licensed behavior analyst to provide
assistance and information as needed;
(9)
Report any problem or concern to the board regarding the supervision and
communicate a directive of the board to the supervising licensed behavior
analyst;
(10)
Review the quarterly report of supervision and forward to the supervision
committee of the board for approval; and
(11)
Meet with the supervising licensed behavior analyst and the disciplined license
holder at the end of the term of supervision to summarize the supervision.
Section
16. Graduate Training. Applied behavior analysis graduate students.
Graduate-level applied behavior analysis students who are providing services in
mental health care settings including independent practice settings shall:
(1)
Be supervised by a behavior analyst licensed by the board in the state in which
the training program exists, or by a licensed mental health professional
approved by the training program who is affiliated with either the university
training program or the practice setting;
(2)
Be registered for credit in his or her course of study;
(3)
Clearly identify his or her status as unlicensed trainees to all clients and
payors;
(4)
Give to all clients and payors the name of the licensed behavior analyst
responsible for his or her work; and
(5)
Not accept employment or placement to perform the same or similar activities following
the completion of his or her university-sanctioned placement, regardless of the
job title given, unless the student holds a license from the board.
Section
17. Incorporation by Reference. (1) The following material is incorporated by
reference:
(a)
ABA-003, "Annual Report of Supervision", July 2015[October
2012]; and
(b)
ABA-002, "Annual Supervisory Plan", July 2015[October
2012].
(2)
This material may be inspected, copied, or obtained, subject to applicable
copyright law, at the Division of Occupations and Professions, 911 Leawood
Drive, Frankfort, Kentucky 40602, (502) 564-3296, Monday through Friday, 8 a.m.
to 4:30 p.m.
DR.
TAMMY HAMMOND-NATOF, PhD, BCBA, Chairperson
APPROVED
BY AGENCY: August 13, 2015
FILED
WITH LRC: August 13, 2015 at 2 p.m.
CONTACT
PERSON: Lindsey Melton, Board Administrator, Division of Occupations and
Professions, 911 Leawood Drive, Frankfort, Kentucky 40602, phone (502) 782-8809, fax (502) 696-4961.
