Title 201 | Chapter 005 | Regulation 045
WITHDRAWN
This document is no longer current.
BOARD OF OPTOMETRIC EXAMINERS
(New Administrative Regulation)
201 KAR 5:045.Unprofessional conduct.
Section 1.
A Doctor of Optometry shall not practice optometry in an office if the instruments and equipment, including office furniture, fixtures and furnishings, contained therein are not maintained in a working, clean and sanitary manner.Section 2.
(1)
A Doctor of Optometry shall not give or receive a fee, salary, commission, or other remuneration or thing of value, in any manner, or under any pretext, to or from any person, firm, or corporation in return for the referral of optometric patients, or in order to secure optometric patients. Payment between health providers or from a health services industry, solely for the referral of a patient, is considered fee splitting and unprofessional conduct.(2)
A Doctor of Optometry shall not enter into a contract, agreement, or arrangement, for the hire or leasing of their professional services, except that upon the:(a)
Death of a Kentucky licensed Doctor of Optometry, the surviving spouse or estate of the deceased Doctor of Optometry may contract optometric services or employ a Kentucky licensed Doctor of Optometry for a period not to exceed eighteen (18) months from the time of death; or(b)
Permanent disability of a Kentucky licensed Doctor of Optometry, the spouse, legal guardian, or disabled Doctor of Optometry may contract optometric services or employ a Kentucky licensed Doctor of Optometry for a period not to exceed eighteen (18) months from the time of disability.(3)
Clinical patient care shall be determined by the Doctor of Optometry and not determined by outside influences or third parties.Section 3.
(1)
A Doctor of Optometry shall not practice in premises where others engage in any unlawful, grossly unprofessional, or incompetent practice, if that practice is known to the Doctor of Optometry, or would have been known to a person of reasonable intelligence.(2)
A Doctor of Optometry shall not be associated with or share an office or fees with a person who is engaged in the unauthorized practice of optometry.Section 4.
A Doctor of Optometry shall keep the visual welfare of the patient uppermost at all times and on dismissal of patient must provide adequate opportunity to obtain other eye care regardless of their person's financial status.Section 5.
A Doctor of Optometry shall treat with confidentiality the protected health information obtained from the patient, except as otherwise required by law.Section 6.
(1)
A Doctor of Optometry shall provide care that is consistent with established clinical practice guidelines, specifically those adopted by the American Optometric Association at the time of the provision of care, and shall only employ those clinical procedures and treatment regiments for which they are competent to perform and within the scope of practice.(2)
It is unprofessional conduct to fail to maintain in good working order, or to be unable to operate instruments and equipment necessary to provide competent clinical care as established in the clinical optometric guidelines adopted by the American Optometric Association at the time of the provision of care.Section 7.
The patient care performed in a patient's case shall be left to the professional judgment of the Doctor of Optometry and determined by the established American Optometric Association clinical practice guidelines in effect at that time.Section 8.
An act constituting a violation of KRS Chapter 320, or any applicable state or federal law related to provider-patient care shall be unprofessional conduct.WILLIAM REYNOLDS, O.D., President
APPROVED BY AGENCY: October 10, 2022
FILED WITH LRC: October 12, 2022 at 2:25 p.m.
PUBLIC HEARING AND COMMENT PERIOD: A public hearing on this administrative regulation shall be held on Wednesday, December, 21st 2022 at 2:00 p.m. at 2365 Harrodsburg Road, Suite A240, Lexington, Kentucky 40504. Individuals interested in being heard at this hearing shall notify this agency of their intent to attend in writing five workdays prior to the hearing. If no notification of intent to attend the hearing is received by that date, the hearing may be cancelled. This hearing is open to the public. Any person who wishes to be heard will be given an opportunity to comment on the proposed administrative regulation. A transcript of the public hearing will not be made unless a written request for a transcript is made. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted until 11:59 p.m. on December 31, 2022. Send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person.
REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT
Contact Person:
Carson Kerr
(1) Provide a brief summary of:
(a) What this administrative regulation does:
The regulation establishes standards for the professional practice of Optometry in Kentucky as authorized by existing statutory law.
(b) The necessity of this administrative regulation:
KRS 320.240 requires the Board to promulgate administrative regulations to establish standards for the professional practice of Optometry in Kentucky.
(c) How this administrative regulation conforms to the content of the authorizing statutes:
The regulation establishes the standards for the professional practice of optometry in Kentucky in conjunction with statutory authority and standards contained in KRS Chapter 320, and is narrowly tailored to this purpose.
(d) How this administrative regulation currently assists or will assist in the effective administration of the statutes:
The regulation establishes standards for the professional practice of Optometry in Kentucky as authorized by existing statutory law.
(2) If this is an amendment to an existing administrative regulation, provide a brief summary of:
(a) How the amendment will change this existing administrative regulation:
This is a new administrative regulation.
(b) The necessity of the amendment to this administrative regulation:
This is a new administrative regulation.
(c) How the amendment conforms to the content of the authorizing statutes:
This is a new administrative regulation.
(d) How the amendment will assist in the effective administration of the statutes:
(3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation:
Licensed Kentucky Optometrists totaling approximately 1,000 will be affected as will the Agency itself as it enforces these provisions.
(4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:
(a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment:
Only those Licensed Kentucky Optometrists against whom a Complaint is filed will be affected by this administrative regulations, as will the agency as it seeks to enforce these provisions.
(b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3):
There is no direct cost associated with these provisions as they simply establish the standards for unprofessional practice and not the procedure for adjudication and resolution of such matters.
(c) As a result of compliance, what benefits will accrue to the entities identified in question (3):
The agency will have more direct means of monitoring professional practice for licensing law violations. (5) Provide an estimate of how much it will cost to implement this administrative regulation:
(5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:
(a) Initially:
This will not cost the agency nor stakeholders any money to implement.
(b) On a continuing basis:
This will not cost the agency nor stakeholders any money to implement.
(6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation:
Agency Restricted Funds from Licensing Fees. The agency receives no unrestricted state or federal funds.
(7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change if it is an amendment:
No, that will not be necessary. (8) State whether or not this administrative regulation established any fees or directly or indirectly increased any fees: No it does not.
(8) State whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees:
No it does not.
(9) TIERING: Is tiering applied?
No. This administrative regulation treats all impacted entities the same.
FISCAL NOTE
(1) What units, parts, or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation?
The Board of Optometric Examiners
(2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation.
KRS 320.240
(3) Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect.
(a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year?
No revenue will be generated, unless fines are levied as a result of agency adjudication.
(b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years?
No revenue will be generated, unless fines are levied as a result of agency adjudication.
(c) How much will it cost to administer this program for the first year?
No costs to administer the first year directly.
(d) How much will it cost to administer this program for subsequent years?
No costs to administer directly.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Revenues (+/-):
Expenditures (+/-):
Other Explanation:
(4) Estimate the effect of this administrative regulation on the expenditures and cost savings of regulated entities for the first full year the administrative regulation is to be in effect.
There will be no effect on the regulated entities as it will not require a wholesale change to optometry practice.
(a) How much cost savings will this administrative regulation generate for the regulated entities for the first year?
There is no anticipated cost savings or cost increase for the regulated entities as these rules have generally been effect for years previously because the administrative regulation expired and this filing is substantially similar.
(b) How much cost savings will this administrative regulation generate for the regulated entities for subsequent years?
There is no anticipated cost savings or cost increase for the regulated entities as these rules have generally been effect for years previously because the administrative regulation expired.
(c) How much will it cost the regulated entities for the first year?
There are no explicit new costs nor any indirect costs associated with this filing.
(d) How much will it cost the regulated entities for subsequent years?
There are no explicit new costs nor any indirect costs associated with this filing.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Cost Savings (+/-):
Expenditures (+/-):
Other Explanation:
This filing reinitiates the KBOE’s Unprofessional Conduct Regulation which had previously been effect largely in this form. As such, there is no anticipated change in costs to regulated entities, who are optometrists, and therefore no applicable dollar estimates to provide.
(5) Explain whether this administrative regulation will have a major economic impact, as defined below.
"Major economic impact" means an overall negative or adverse economic impact from an administrative regulation of five hundred thousand dollars ($500,000) or more on state or local government or regulated entities, in aggregate, as determined by the promulgating administrative bodies. [KRS 13A.010(13)] No, that definition does not apply here for the reasons given above.
BOARD OF OPTOMETRIC EXAMINERS
(New Administrative Regulation)
201 KAR 5:045.Unprofessional conduct.
Section 1.
A Doctor of Optometry shall not practice optometry in an office if the instruments and equipment, including office furniture, fixtures and furnishings, contained therein are not maintained in a working, clean and sanitary manner.Section 2.
(1)
A Doctor of Optometry shall not give or receive a fee, salary, commission, or other remuneration or thing of value, in any manner, or under any pretext, to or from any person, firm, or corporation in return for the referral of optometric patients, or in order to secure optometric patients. Payment between health providers or from a health services industry, solely for the referral of a patient, is considered fee splitting and unprofessional conduct.(2)
A Doctor of Optometry shall not enter into a contract, agreement, or arrangement, for the hire or leasing of their professional services, except that upon the:(a)
Death of a Kentucky licensed Doctor of Optometry, the surviving spouse or estate of the deceased Doctor of Optometry may contract optometric services or employ a Kentucky licensed Doctor of Optometry for a period not to exceed eighteen (18) months from the time of death; or(b)
Permanent disability of a Kentucky licensed Doctor of Optometry, the spouse, legal guardian, or disabled Doctor of Optometry may contract optometric services or employ a Kentucky licensed Doctor of Optometry for a period not to exceed eighteen (18) months from the time of disability.(3)
Clinical patient care shall be determined by the Doctor of Optometry and not determined by outside influences or third parties.Section 3.
(1)
A Doctor of Optometry shall not practice in premises where others engage in any unlawful, grossly unprofessional, or incompetent practice, if that practice is known to the Doctor of Optometry, or would have been known to a person of reasonable intelligence.(2)
A Doctor of Optometry shall not be associated with or share an office or fees with a person who is engaged in the unauthorized practice of optometry.Section 4.
A Doctor of Optometry shall keep the visual welfare of the patient uppermost at all times and on dismissal of patient must provide adequate opportunity to obtain other eye care regardless of their person's financial status.Section 5.
A Doctor of Optometry shall treat with confidentiality the protected health information obtained from the patient, except as otherwise required by law.Section 6.
(1)
A Doctor of Optometry shall provide care that is consistent with established clinical practice guidelines, specifically those adopted by the American Optometric Association at the time of the provision of care, and shall only employ those clinical procedures and treatment regiments for which they are competent to perform and within the scope of practice.(2)
It is unprofessional conduct to fail to maintain in good working order, or to be unable to operate instruments and equipment necessary to provide competent clinical care as established in the clinical optometric guidelines adopted by the American Optometric Association at the time of the provision of care.Section 7.
The patient care performed in a patient's case shall be left to the professional judgment of the Doctor of Optometry and determined by the established American Optometric Association clinical practice guidelines in effect at that time.Section 8.
An act constituting a violation of KRS Chapter 320, or any applicable state or federal law related to provider-patient care shall be unprofessional conduct.WILLIAM REYNOLDS, O.D., President
APPROVED BY AGENCY: October 10, 2022
FILED WITH LRC: October 12, 2022 at 2:25 p.m.
PUBLIC HEARING AND COMMENT PERIOD: A public hearing on this administrative regulation shall be held on Wednesday, December, 21st 2022 at 2:00 p.m. at 2365 Harrodsburg Road, Suite A240, Lexington, Kentucky 40504. Individuals interested in being heard at this hearing shall notify this agency of their intent to attend in writing five workdays prior to the hearing. If no notification of intent to attend the hearing is received by that date, the hearing may be cancelled. This hearing is open to the public. Any person who wishes to be heard will be given an opportunity to comment on the proposed administrative regulation. A transcript of the public hearing will not be made unless a written request for a transcript is made. If you do not wish to be heard at the public hearing, you may submit written comments on the proposed administrative regulation. Written comments shall be accepted until 11:59 p.m. on December 31, 2022. Send written notification of intent to be heard at the public hearing or written comments on the proposed administrative regulation to the contact person.
REGULATORY IMPACT ANALYSIS AND TIERING STATEMENT
Contact Person:
Carson Kerr
(1) Provide a brief summary of:
(a) What this administrative regulation does:
The regulation establishes standards for the professional practice of Optometry in Kentucky as authorized by existing statutory law.
(b) The necessity of this administrative regulation:
KRS 320.240 requires the Board to promulgate administrative regulations to establish standards for the professional practice of Optometry in Kentucky.
(c) How this administrative regulation conforms to the content of the authorizing statutes:
The regulation establishes the standards for the professional practice of optometry in Kentucky in conjunction with statutory authority and standards contained in KRS Chapter 320, and is narrowly tailored to this purpose.
(d) How this administrative regulation currently assists or will assist in the effective administration of the statutes:
The regulation establishes standards for the professional practice of Optometry in Kentucky as authorized by existing statutory law.
(2) If this is an amendment to an existing administrative regulation, provide a brief summary of:
(a) How the amendment will change this existing administrative regulation:
This is a new administrative regulation.
(b) The necessity of the amendment to this administrative regulation:
This is a new administrative regulation.
(c) How the amendment conforms to the content of the authorizing statutes:
This is a new administrative regulation.
(d) How the amendment will assist in the effective administration of the statutes:
(3) List the type and number of individuals, businesses, organizations, or state and local governments affected by this administrative regulation:
Licensed Kentucky Optometrists totaling approximately 1,000 will be affected as will the Agency itself as it enforces these provisions.
(4) Provide an analysis of how the entities identified in question (3) will be impacted by either the implementation of this administrative regulation, if new, or by the change, if it is an amendment, including:
(a) List the actions that each of the regulated entities identified in question (3) will have to take to comply with this administrative regulation or amendment:
Only those Licensed Kentucky Optometrists against whom a Complaint is filed will be affected by this administrative regulations, as will the agency as it seeks to enforce these provisions.
(b) In complying with this administrative regulation or amendment, how much will it cost each of the entities identified in question (3):
There is no direct cost associated with these provisions as they simply establish the standards for unprofessional practice and not the procedure for adjudication and resolution of such matters.
(c) As a result of compliance, what benefits will accrue to the entities identified in question (3):
The agency will have more direct means of monitoring professional practice for licensing law violations. (5) Provide an estimate of how much it will cost to implement this administrative regulation:
(5) Provide an estimate of how much it will cost the administrative body to implement this administrative regulation:
(a) Initially:
This will not cost the agency nor stakeholders any money to implement.
(b) On a continuing basis:
This will not cost the agency nor stakeholders any money to implement.
(6) What is the source of the funding to be used for the implementation and enforcement of this administrative regulation:
Agency Restricted Funds from Licensing Fees. The agency receives no unrestricted state or federal funds.
(7) Provide an assessment of whether an increase in fees or funding will be necessary to implement this administrative regulation, if new, or by the change if it is an amendment:
No, that will not be necessary. (8) State whether or not this administrative regulation established any fees or directly or indirectly increased any fees: No it does not.
(8) State whether or not this administrative regulation establishes any fees or directly or indirectly increases any fees:
No it does not.
(9) TIERING: Is tiering applied?
No. This administrative regulation treats all impacted entities the same.
FISCAL NOTE
(1) What units, parts, or divisions of state or local government (including cities, counties, fire departments, or school districts) will be impacted by this administrative regulation?
The Board of Optometric Examiners
(2) Identify each state or federal statute or federal regulation that requires or authorizes the action taken by the administrative regulation.
KRS 320.240
(3) Estimate the effect of this administrative regulation on the expenditures and revenues of a state or local government agency (including cities, counties, fire departments, or school districts) for the first full year the administrative regulation is to be in effect.
(a) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for the first year?
No revenue will be generated, unless fines are levied as a result of agency adjudication.
(b) How much revenue will this administrative regulation generate for the state or local government (including cities, counties, fire departments, or school districts) for subsequent years?
No revenue will be generated, unless fines are levied as a result of agency adjudication.
(c) How much will it cost to administer this program for the first year?
No costs to administer the first year directly.
(d) How much will it cost to administer this program for subsequent years?
No costs to administer directly.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Revenues (+/-):
Expenditures (+/-):
Other Explanation:
(4) Estimate the effect of this administrative regulation on the expenditures and cost savings of regulated entities for the first full year the administrative regulation is to be in effect.
There will be no effect on the regulated entities as it will not require a wholesale change to optometry practice.
(a) How much cost savings will this administrative regulation generate for the regulated entities for the first year?
There is no anticipated cost savings or cost increase for the regulated entities as these rules have generally been effect for years previously because the administrative regulation expired and this filing is substantially similar.
(b) How much cost savings will this administrative regulation generate for the regulated entities for subsequent years?
There is no anticipated cost savings or cost increase for the regulated entities as these rules have generally been effect for years previously because the administrative regulation expired.
(c) How much will it cost the regulated entities for the first year?
There are no explicit new costs nor any indirect costs associated with this filing.
(d) How much will it cost the regulated entities for subsequent years?
There are no explicit new costs nor any indirect costs associated with this filing.
Note: If specific dollar estimates cannot be determined, provide a brief narrative to explain the fiscal impact of the administrative regulation.
Cost Savings (+/-):
Expenditures (+/-):
Other Explanation:
This filing reinitiates the KBOE’s Unprofessional Conduct Regulation which had previously been effect largely in this form. As such, there is no anticipated change in costs to regulated entities, who are optometrists, and therefore no applicable dollar estimates to provide.
(5) Explain whether this administrative regulation will have a major economic impact, as defined below.
"Major economic impact" means an overall negative or adverse economic impact from an administrative regulation of five hundred thousand dollars ($500,000) or more on state or local government or regulated entities, in aggregate, as determined by the promulgating administrative bodies. [KRS 13A.010(13)] No, that definition does not apply here for the reasons given above.