201 KAR 43:050. Requirements for supervision

Link to law: http://www.lrc.ky.gov/kar/201/043/050reg.htm
Published: 2015

Subscribe to a Global-Regulation Premium Membership Today!

Key Benefits:

Subscribe Now
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.