64B21-504.001. Disciplinary Guidelines

(1) When the Department finds that a licensee has committed any of the acts set forth in Section 490.009(1) or 456.072(1), F.S., it shall issue a final order imposing one or more of the penalties listed in Section 456.072(2), F.S., as recommended in the following disciplinary guidelines. For applicants, all listed violations are sufficient for refusal to certify an application for licensure. In addition to any other discipline imposed, the Department, pursuant to Section 456.072(4), F.S., shall assess the costs related to the investigation and prosecution of a case. If the violation is for fraud or making false or fraudulent representation, the Department shall impose a fine of $10,000.00 per count or offense.

(a) Section 490.009(1)(a) or 456.072(1)(h), F.S.:

1. Attempting to obtain, obtaining, or renewing a license under Chapter 490, F.S., by bribery – a fine of $1,000.00 up to $5,000.00 and probation up to revocation. For a second offense, a fine of $5,000.00 up to $10,000.00 and suspension followed by probation up to revocation. After a second offense, a fine of $10,000.00 and revocation.

2. Attempting to obtain, obtaining, or renewing a license under Chapter 490, F.S., by fraudulent misrepresentation – a fine of $10,000.00 and from probation up to revocation. For a second offense, a fine of $10,000.00 and revocation.

3. Attempting to obtain, obtaining, or renewing a license under Chapter 490, F.S., through an error of the Department – a fine of $1,000.00 up to $5,000.00 and a reprimand up to probation. For a second offense, a fine of $5,000.00 up to $10,000.00 and suspension followed by probation up to revocation. After a second offense, a fine of $10,000.00 and revocation.

(b) Section 490.009(1)(b) or 456.072(1)(f), F.S.: having a license to practice a comparable profession acted against, including the denial of certification or licensure by another state, territory, or country – the penalty against a licensee shall be a penalty concurrent with that of the other jurisdiction and an administrative fine up to $10,000.00. After the first offense, action shall be consistent with the disciplinary guidelines for a repeat offense had the violation occurred in Florida. In the case of an applicant, the penalty shall range from probation to permanent denial of licensure and an administrative fine up to $10,000.00. If the violation included sexual misconduct, the penalty shall be permanent denial of licensure.

(c) Section 490.009(1)(c) or 456.072(1)(c), F.S.: entering a plea of nolo contendere to, regardless of adjudication, or guilt of a crime in any jurisdiction which relates to the practice or the ability to practice – for a misdemeanor, a fine of $1,500.00 up to $5,000.00 and probation up to suspension. For a felony, a fine of $7,500.00 up to $10,000.00 and probation up to revocation. After the first offense, for either a misdemeanor or a felony, the penalty shall be suspension of license until such time as the licensee can, to the Department’s satisfaction, demonstrate rehabilitation, and a fine up to $10,000.00. In the case of an applicant, the penalty shall be from probation to permanent denial of licensure and a fine up to $10,000.00.

(d) Section 490.009(1)(d), F.S.: false, deceptive, or misleading advertising, or obtaining a fee or other thing of value upon the licensee’s representation that beneficial results from any treatment will be guaranteed – a fine of $1,000.00 up to $5,000.00 and a reprimand. For a second offense, a fine of $2,500.00 up to $10,000.00 and probation. After the second offense, a fine of $10,000.00 and suspension up to revocation.

(e) Section 490.009(1)(e), F.S.: advertising, practicing, or attempting to practice under a name other than one’s own – a fine of $1,000.00 up to $5,000.00 and a reprimand. For a second offense, a fine of $2,500.00 up to $10,000.00 and probation. After the second offense, a fine of $10,000.00 and suspension up to revocation.

(f) Section 490.009(1)(f), F.S.: maintaining a professional association with any person who the licensee knows, or has reason to believe, is in violation of chapter 490, F.S., or of a rule of the Department – a fine of $1,000.00 up to $5,000.00 and a reprimand. For a second offense, a fine of $2,500.00 up to $10,000.00 and probation. After the second offense, a fine of $10,000.00 and suspension up to revocation.

(g) Section 490.009(1)(g) or 456.072(1)(j), F.S.: knowingly aiding, assisting, procuring, or advising a non-licensed person to practice school psychology or hold himself or herself out as a school psychologist – for a first offense a fine of $5,000.00 up to $10,000.00 and probation up to suspension followed by probation. After the first offense a fine of $7,500.00 up to $10,000.00 and revocation.

(h) Section 490.009(1)(h) or 456.072(1)(k), F.S.: failing to perform any statutory or legal obligation placed upon the licensee under chapter 490 or 456, F.S., or any rules promulgated pursuant to those chapters – a fine up to $2,500.00 and a letter of concern up to probation. For a second offense, a fine up to $7,500.00 and suspension followed by probation. After the second offense, a fine up to $10,000.00 and revocation.

(i) Section 490.009(1)(i) or 456.072(1)(l), F.S.: willfully or negligently filing of a false report or record, or failing to file a report or record required by law – a fine of $2,500.00 up to $5,000.00 and a reprimand up to probation. After the first offense, a fine of $5,000.00 up to $10,000.00 and suspension followed by probation up to revocation.

(j) Section 490.009(1)(j), F.S.: kickback, rebate, bonus, or other remuneration for receiving or referring a patient or client – a fine of $1,000.00 up to $5,000.00 and a reprimand. For a second offense, a fine of $2,500.00 up to $7,500.00 and probation up to suspension followed by probation. After the second offense, a fine of $5,000.00 up to $10,000.00 and suspension followed by probation up to revocation.

(k) Section 490.009(1)(k) or 456.072(1)(v), F.S.: committing any act upon a patient or client which would constitute sexual battery or which would constitute sexual misconduct as provided in Section 490.0111 or 456.063, F.S. – a fine of $7,000.00, a PRN evaluation and probation up to suspension followed by probation with a PRN evaluation. After the first offense, a fine of $7,000.00 up to $10,000.00 and PRN evaluation and suspension followed by probation, or in the alternative, revocation. “Sexual misconduct” means, to the extent applicable, the sexual misconduct defined by Florida Administrative Code Rule 64B19-16.003 (amended 05-14-2001), which is incorporated by reference and available at http://www.flrules.org/Gateway/reference.asp?No=Ref-14975.

(l) Section 490.009(1)(l) or 456.072(1)(a), F.S.: making misleading, deceptive, untrue, or fraudulent representations in the practice of school psychology – a fine of $2,500.00 up to $5,000.00 per count or offense and a reprimand up to probation. After the first offense, a fine of $5,000.00 up to $10,000.00 per count or offense and suspension followed by probation up to revocation. If it is determined that the violation included fraudulent conduct, then the fine shall be $10,000.00 per count regardless of whether it is a first or subsequent offense.

(m) Section 490.009(1)(m), F.S.: soliciting patients or clients personally or through an agent, through the use of fraud, intimidation, undue influence, or any form of overreaching or vexatious conduct – a fine of $1,000.00 up to $10,000.00 and probation up to suspension followed by probation. For a second offense, a fine of $5,000.00 up to $10,000.00 and suspension followed by probation, or in the alternative, revocation. If it is determined that the violation included fraudulent conduct, then the fine shall be $10,000.00 per count regardless of whether it is a first or subsequent offense.

(n) Section 490.009(1)(n), F.S.: failing to provide upon written request, copies of test results, reports or documents – a fine of $1,000.00 up to $5,000.00 and a letter of concern up to a reprimand. For a second offense, a fine of $2,500.00 up to $5,000.00 and a reprimand up to probation. After the second offense, a fine up to $10,000.00 and suspension followed by probation, or in the alternative, revocation.

(o) Section 490.009(1)(o), F.S.: failing to respond within thirty days or to make available any relevant records to the Department concerning any investigation by the Department with respect to the investigation – a fine of $1,000.00 up to $5,000.00 and a letter of concern up to a reprimand. For a second offense, a fine of $3,000.00 up to $10,000.00 and suspension followed by probation or suspension until such time as the licensee demonstrates, to the Department’s satisfaction, that an appropriate response has been made by the licensee, or revocation.

(p) Section 490.009(1)(p) or 456.072(1)(y), F.S.: unable to practice with reasonable skill or competence – the penalty shall be suspension until such time as the licensee demonstrates rehabilitation satisfactory to the Department, then probation and mental or physical evaluations by Department approved professionals.

(q) Section 490.009(1)(q), F.S.: performing any treatment or therapy which constitutes experimentation on human subjects without written consent – a fine of $1,000.00 up to $5,000.00 and a reprimand up to probation. After the first offense, the penalty shall be a fine of $5,000.00 up to $10,000.00 and suspension followed by probation, or in the alternative, revocation.

(r) Section 490.009(1)(r), F.S.: failing to meet the minimum standards of performance – a fine of $1,000.00 up to $5,000.00 and a reprimand. For a second offense, a fine of $2,500.00 up to $7,500.00 and probation up to suspension followed by probation. For a third offense, a fine of $5,000.00 up to $10,000.00 and suspension followed by probation, or in the alternative, revocation.

(s) Section 490.009(1)(s) or 456.072(1)(p), F.S.: delegating professional responsibilities to an unqualified person – a fine of $1,000.00 up to $5,000.00 and a reprimand up to probation. After the first offense, a fine of $5,000.00 up to $10,000.00 and suspension followed by probation, or in the alternative, revocation.

(t) Section 490.009(1)(t) or 456.072(1)(q), F.S.: violating any lawfully issued order or subpoena – a fine of $1,000.00 up to $5,000.00 and a letter of concern up to a reprimand or probation. For a second offense, a fine of $2,500.00 up to $7,500.00 and probation up to suspension followed by probation. After the second offense, a fine of $7,500.00 up to $10,000.00 and suspension followed by probation up to revocation.

(u) Section 490.009(1)(u), F.S.: failing to maintain confidence of client communication – a fine of $1,000.00 up to $5,000.00 and a reprimand. For a second offense, a fine of $2,500.00 up to $10,000.00 and probation up to suspension followed by probation. After the second offense, the penalty shall be revocation.

(v) Section 490.009(1)(v), F.S.: making public statements which are derived from test data, client contacts, or behavioral research and which identify or damage research subjects or clients – a fine of $1,000.00 up to $5,000.00 and a reprimand up to probation. For the second offense, a fine of $2,500.00 up to $7,500.00 and probation up to suspension followed by probation. After the second offense, a fine of $5,000.00 up to $10,000.00 and suspension followed by probation, or in the alternative, revocation.

(w) Section 490.009(1)(w) or 456.072(1)(cc), F.S.: violating any provision of this chapter or Chapter 456, F.S., or any rules adopted thereto – a fine of $1,000.00 up to $5,000.00 and a letter of concern up to a reprimand. For a second offense, a fine of $5,000.00 up to $10,000.00 and probation. After the second offense, a fine of $7,500.00 up to $10,000.00 and suspension followed by probation or revocation. If the violation is for engaging or attempting to engage in sexual misconduct, then the penalty shall be a $10,000.00 fine and revocation.

(x) Section 456.072(1)(s), F.S.: failing to comply with the continuing education requirement for domestic violence – a fine of $250.00 up to $2,500.00 and a letter of concern up to probation until compliance. After the first offense, a fine of $1,000.00 up to $10,000.00 and probation until compliance up to suspension until compliance.

(y) Section 456.072(1)(n), F.S.: exercising influence on the patient or client for the purpose of financial gain of the licensee or a third party – a fine of $1,000.00 up to $5,000.00 and a reprimand up to probation. For a second offense, a fine of $2,500.00 up to $7,500.00 and probation up to suspension followed by probation. After the second offense, a fine of $5,000.00 up to $10,000.00 and suspension followed by probation, or in the alternative, revocation.

(z) Section 456.072(1)(r), F.S.: improperly interfering with an investigation or inspection authorized by statute, or with any disciplinary proceeding – a fine of $1,000.00 up to $5,000.00 and a letter of concern up to a reprimand. After the first offense, a fine of $3,000.00 up to $10,000.00 and suspension followed by probation, or in the alternative, revocation.

(aa) Section 456.072(1)(gg), F.S.: being terminated from a treatment program for impaired practitioners, which is overseen by an impaired practitioner consultant as described in Section 456.076, F.S., for failure to comply without good cause, with the terms of the monitoring or treatment contract entered into by the licensee, or for not successfully completing any drug or alcohol treatment program – from suspension and a fine of up to $1,000 to revocation. For a second offense, from suspension and a fine of up to $5,000.00 to revocation. After a second offense, from suspension and a fine of up to $7,500.00 to revocation.

(bb) Section 456.072(1)(hh), F.S.: being terminated from a treatment program for impaired practitioners without good cause – a fine of $500.00 up to $5,000.00 and a reprimand. After the first offense, a fine of $1,000 and suspension up to revocation.

(cc) Section 456.072(1)(ii), F.S.: being convicted of or entering a plea to any misdemeanor or felony under 18 U.S.C. s. 669, ss. 285-287, s. 371, s. 1001, s. 1035, s. 1341, s. 1343, s. 1347, s. 1349, or s. 1518, or 42 U.S.C. ss. 1320a-7b, relating to Medicaid – for a misdemeanor, a fine of $1,000.00 to $5,000.00 and probation up to suspension followed by two years of probation. For a felony, a fine of $3,000.00 up to $10,000.00 and suspension up to revocation. After the first offense, a fine of $10,000 and revocation.

(dd) Section 456.072(1)(jj), F.S.: failing to remit the sum owed for an overpayment from the Medicaid program or pursuant to a final order, judgment, stipulation, or settlement – a fine of $500.00 to $2,500.00 and from a reprimand to two years of probation. After the first offense, a fine of $1,500.00 to $10,000.00 and probation to revocation.

(ee) Section 456.072(1)(kk), F.S.: termination from a state Medicaid program or from the federal Medicare program unless participation eligibility restored – a fine of $500.00 to $7,500.00 and probation to revocation. After the first offense, a fine of $2,500.00 to $10,000.00 and probation to revocation.

(ff) Section 456.072(1)(ll), F.S.: being convicted of or entering a plea to any misdemeanor or felony relating to health care fraud – for a misdemeanor, a fine of $10,000.00 and probation to revocation. For a felony, a fine of $10,000.00 and from suspension to revocation. For a second offense, a fine of $10,000 and revocation.

(gg) Section 456.072(1)(oo), F.S.: willfully failing to comply with Section 627.64194 or 642.513, F.S., with such frequency as to indicate a general business practice – a fine of $1,000.00 up to $5,000.00 and a letter of concern up to a reprimand. For a second offense, a fine of $5,000.00 up to $10,000.00 and probation. After the second offense, from suspension and a fine of $7,500.00 up to $10,000.00 to revocation.

(hh) Section 456.072(1)(rr), F.S.: failing to comply with the parental consent requirements of Section 1014.06, F.S. ‒ a fine of $1,000 up to $5,000 and a reprimand up to one (1) year probation. For a second offense, a fine of $5,000 and one (1) year probation up to revocation.

(ii) Section 456.072(1)(ss), F.S.: being convicted or found guilty or entering a plea of guilty or nolo contendere, regardless of adjudication, or committing or attempting, soliciting, or conspiring to commit an act that would constitute a violation of any of the offenses listed in Section 456.074(5), F.S., or a similar offense in another jurisdiction – revocation up to $10,000 fine and revocation. For a second offense, revocation and a $10,000 fine.

(2) Based upon consideration of aggravating and mitigating factors present in an individual case, the Department may deviate from the penalties recommended above. The Department shall consider as aggravating or mitigating circumstances the following:

(a) The danger to the public;

(b) The length of time since the date of violation;

(c) The number of complaints filed against the licensee;

(d) The length of time the licensee has practiced without complaint or violations;

(e) The actual damage, physical or otherwise, to the patient;

(f) The deterrent effect of the penalty imposed;

(g) The effect of the penalty upon the licensee’s livelihood;

(h) Any efforts the licensee has made toward rehabilitation;

(i) The actual knowledge of the licensee pertaining to the violation;

(j) Attempts by the licensee to correct or stop violations, or refusal by the licensee to correct or stop violations;

(k) Related violations found against the licensee in another state including findings of guilt or innocence, penalties imposed and penalties served; and,

(l) Any other mitigating or aggravating circumstances that are particular to that licensee or to the situation so long as the aggravating or mitigating circumstances are articulated in the Department’s final order.

(3) The provisions of this rule shall not be construed to prohibit civil action or criminal prosecution as provided by law, nor may the provisions of this rule be construed to limit the ability of the Department to enter into binding stipulations as per Section 120.57(4), F.S.

Rulemaking Authority 456.079, 490.015 FS. Law Implemented 456.072, 456.079, 490.009, 1014.06 FS. History–New 9-11-03, Amended 7-5-06, 10-28-10, 3-14-17, 12-29-22.