Enforcement, discipline, and prohibited conduct
Domain 9 - Enforcement, discipline, and prohibited conduct
This domain tests how the Board investigates complaints and what conduct leads to discipline.
Core rules
- The Board may investigate complaints, hold contested-case hearings, and impose discipline including reprimand, probation, suspension, revocation, civil penalties, and cease-and-desist orders.
- Prohibited conduct includes unlicensed practice, false or misleading advertising, solicitation at the scene of a death or in hospitals, paying or receiving kickbacks, falsifying records, and handling remains without authorization.
- Licensees must cooperate with investigations and maintain confidentiality of client information; retaliation against a complainant is separate misconduct.
- Establishments can be disciplined for acts of their employees or agents, even if the owner did not personally participate.
- Criminal violations may proceed separately from Board discipline; an acquittal or dismissal does not bar administrative action.
Worked example
A funeral director pays a hospital nurse $100 for each death referral. This is a kickback and prohibited solicitation. The Board may discipline the director and the establishment, and the nurse may face separate referral.
Traps that cost marks
- Assuming only a criminal conviction can trigger discipline.
- Thinking a licensed owner is immune from staff misconduct.
- Treating a Board subpoena as optional.
- Overlooking confidentiality and retaliation rules.