Ethics Code for Behavior Analysts The Ethics Code for Behavior Analysts (Code) replaces the Professional and Ethical Compliance Code for Behavior Analysts (2014). All BCBA and BCaBA applicants and certificants are required to adhere to the Code effective January 1, 2022.

This document should be referenced as: Behavior Analyst Certification Board. (2020). Ethics code for behavior analysts. Littleton, CO: Author. Copyright © 2020, BACB®, All rights reserved.

Behavior Analyst Certification Board | Ethics Code for Behavior Analysts | 2Updated 09/2021, Copyright © 2020, BACB® | All rights reserved.

Table of Contents Introduction ……………………………………………………………… 3

Scope of the Code ……………………………………………………………………………………… 3 Core Principles …………………………………………………………………………………………… 4 Application of the Code ……………………………………………………………………………… 5 Enforcement of the Code …………………………………………………………………………… 6

Glossary ………………………………………………………………….. 7 Ethics Standards ………………………………………………………. 9

Section 1—Responsibility as a Professional ……………………………………………… 9

1.01 Being Truthful ………………………………………………………………………………. 9 1.02 Conforming with Legal and Professional Requirements……….. 9 1.03 Accountability……………………………………………………………………………… 9 1.04 Practicing within a Defined Role ………………………………………………. 9 1.05 Practicing within Scope of Competence ………………………………… 9 1.06 Maintaining Competence ………………………………………………………….. 9 1.07 Cultural Responsiveness and Diversity …………………………………… 9 1.08 Nondiscrimination ………………………………………………………………………. 9 1.09 Nonharassment ………………………………………………………………………….. 9 1.10 Awareness of Personal Biases and Challenges ……………………… 9 1.11 Multiple Relationships ………………………………………………………………… 10 1.12 Giving and Receiving Gifts ……………………………………………………….. 10 1.13 Coercive and Exploitative Relationships ………………………………… 10 1.14 Romantic and Sexual Relationships…………………………………………. 10 1.15 Responding to Requests …………………………………………………………… 10 1.16 Self-Reporting Critical Information …………………………………………… 10

Section 2—Responsibility in Practice ……………………………………………………… 10

2.01 Providing Effective Treatment…………………………………………………. 10 2.02 Timeliness ………………………………………………………………………………… 10 2.03 Protecting Confidential Information ………………………………………. 10 2.04 Disclosing Confidential Information …………………………………………11 2.05 Documentation Protection and Retention ………………………………11 2.06 Accuracy in Service Billing and Reporting ……………………………..11 2.07 Fees …………………………………………………………………………………………….11 2.08 Communicating About Services ………………………………………………11 2.09 Involving Clients and Stakeholders …………………………………………11 2.10 Collaborating with Colleagues ………………………………………………….11 2.11 Obtaining Informed Consent ………………………………………………………11 2.12 Considering Medical Needs ……………………………………………………..12 2.13 Selecting, Designing, and Implementing Assessments ………..12 2.14 Selecting, Designing, and Implementing Behavior-

Change Interventions ……………………………………………………………………12 2.15 Minimizing Risk of Behavior-Change Interventions ……………….12 2.16 Describing Behavior-Change Interventions

Before Implementation …………………………………………………………………12 2.17 Collecting and Using Data …………………………………………………………12 2.18 Continual Evaluation of the Behavior-Change Intervention ….12 2.19 Addressing Conditions Interfering with Service Delivery ……..12

Section 3—Responsibility to Clients and Stakeholders ………………………….13

3.01 Responsibility to Clients…………………………………………………………….13 3.02 Identifying Stakeholders …………………………………………………………..13 3.03 Accepting Clients………………………………………………………………………13 3.04 Service Agreement …………………………………………………………………..13 3.05 Financial Agreements ………………………………………………………………13

3.06 Consulting with Other Providers ……………………………………………..13 3.07 Third-Party Contracts for Services …………………………………………..13 3.08 Responsibility to the Client with Third-Party Contracts

for Services …………………………………………………………………………………….13 3.09 Communicating with Stakeholders About Third-Party

Contracted Services ……………………………………………………………………..14 3.10 Limitations of Confidentiality …………………………………………………….14 3.11 Documenting Professional Activity ……………………………………………14 3.12 Advocating for Appropriate Services ………………………………………14 3.13 Referrals ………………………………………………………………………………………14 3.14 Facilitating Continuity of Services …………………………………………….14 3.15 Appropriately Discontinuing Services ……………………………………..14 3.16 Appropriately Transitioning Services ……………………………………….14

Section 4—Responsibility to Supervisees and Trainees ………………………..15

4.01 Compliance with Supervision Requirements ………………………….15 4.02 Supervisory Competence ………………………………………………………..15 4.03 Supervisory Volume …………………………………………………………………15 4.04 Accountability in Supervision …………………………………………………..15 4.05 Maintaining Supervision Documentation ……………………………….15 4.06 Providing Supervision and Training ………………………………………..15 4.07 Incorporating and Addressing Diversity …………………………………15 4.08 Performance Monitoring and Feedback ………………………………..15 4.09 Delegation of Tasks ………………………………………………………………….15 4.10 Evaluating Effects of Supervision and Training ………………………16 4.11 Facilitating Continuity of Supervision ………………………………………..16 4.12 Appropriately Terminating Supervision ……………………………………16

Section 5—Responsibility in Public Statements ………………………………………16

5.01 Protecting the Rights of Clients, Stakeholders, Supervisees, and Trainees …………………………………………………………..16

5.02 Confidentiality in Public Statements ……………………………………….16 5.03 Public Statements by Behavior Analysts………………………………..16 5.04 Public Statements by Others …………………………………………………..16 5.05 Use of Intellectual Property ……………………………………………………..16 5.06 Advertising Nonbehavioral Services ……………………………………..16 5.07 Soliciting Testimonials from Current Clients

for Advertising ………………………………………………………………………………. 17 5.08 Using Testimonials from Former Clients for Advertising …….. 17 5.09 Using Testimonials for Nonadvertising Purposes ………………… 17 5.10 Social Media Channels and Websites …………………………………….. 17 5.11 Using Digital Content in Public Statements …………………………….. 17

Section 6—Responsibility in Research …………………………………………………….. 17

6.01 Conforming with Laws and Regulations in Research ……………. 17 6.02 Research Review ……………………………………………………………………… 17 6.03 Research in Service Delivery ………………………………………………….. 17 6.04 Informed Consent in Research ……………………………………………….18 6.05 Confidentiality in Research………………………………………………………18 6.06 Competence in Conducting Research …………………………………..18 6.07 Conflict of Interest in Research and Publication ……………………18 6.08 Appropriate Credit ……………………………………………………………………18 6.09 Plagiarism …………………………………………………………………………………..18 6.10 Documentation and Data Retention in Research …………………..18 6.11 Accuracy and Use of Data …………………………………………………………18

Behavior Analyst Certification Board | Ethics Code for Behavior Analysts | 3Updated 09/2021, Copyright © 2020, BACB® | All rights reserved.

Introduction As a diverse group of professionals who work in a variety of practice areas, behavior analysts deliver applied behavior analysis (ABA) services to positively impact lives. The Behavior Analyst Certification Board® (BACB®) exists to meet the credentialing needs of these professionals and relevant stakeholders (e.g., licensure boards, funders) while protecting ABA consumers by establishing, disseminating, and managing professional standards. The BACB facilitates ethical behavior in the profession through its certification eligibility and maintenance requirements, by issuing the ethics standards described in this document, and by operating a system for addressing professional misconduct. The Ethics Code for Behavior Analysts (Code) guides the professional activities of behavior analysts over whom the BACB has jurisdiction (see Scope of the Code below). The Code also provides a means for behavior analysts to evaluate their own behavior and for others to assess whether a behavior analyst has violated their ethical obligations. An introduction section describes the scope and application of the Code, its core principles, and considerations for ethical decision making. The core principles are foundational concepts that should guide all aspects of a behavior analyst’s work. The introduction is followed by a glossary that includes definitions of technical terms used in the Code. The final section includes the ethics standards, which are informed by the core principles. The standards are organized into six sections: 1) Responsibility as a Professional, 2) Responsibility in Practice, 3) Responsibility to Clients and Stakeholders, 4) Responsibility to Supervisees and Trainees, 5) Responsibility in Public Statements, and 6) Responsibility in Research.

Scope of the Code

The Code applies to all individuals who hold Board Certified Behavior Analyst® (BCBA®) or Board Certified Assistant Behavior Analyst® (BCaBA®) certification and all individuals who have completed an application for BCBA or BCaBA certification. For the sake of efficiency, the term “behavior analyst” is used throughout this document to refer to those who must act in accordance with the Code. The BACB does not have separate jurisdiction over organizations or corporations. The Code applies to behavior analysts in all of their professional activities, including direct service delivery, consultation, supervision, training, management, editorial and peer-review activities, research, and any other activity within the ABA profession. The Code applies to behavior analysts’ professional activities across settings and delivery modes (e.g., in person; in writing; via phone, email, text message, video conferencing). Application of the Code does not extend to behavior analysts’ personal behavior unless it is determined that the behavior clearly poses a potential risk to the health and safety of clients, stakeholders, supervisees, or trainees.

Specific terms are defined in the Glossary section; however, two definitions are provided here because they are frequently used in the Core Principles section.

Client: The direct recipient of the behavior analyst’s services. At various times during service provision, one or more stakeholders may simultaneously meet the definition of client (e.g., the point at which they receive direct training or consultation). In some contexts, the client might be a group of individuals (e.g., with organizational behavior management services). Stakeholder: An individual, other than the client, who is impacted by and invested in the behavior analyst’s services (e.g., parent, caregiver, relative, legally authorized representative, collaborator, employer, agency or institutional representative, licensure board, funder, third-party contractor for services).

Behavior Analyst Certification Board | Ethics Code for Behavior Analysts | 4Updated 09/2021, Copyright © 2020, BACB® | All rights reserved.

Core Principles

Four foundational principles, which all behavior analysts should strive to embody, serve as the framework for the ethics standards. Behavior analysts should use these principles to interpret and apply the standards in the Code. The four core principles are that behavior analysts should: benefit others; treat others with compassion, dignity, and respect; behave with integrity; and ensure their own competence.

1. Benefit Others. Behavior analysts work to maximize benefits and do no harm by:

• Protecting the welfare and rights of clients above all others

• Protecting the welfare and rights of other individuals with whom they interact in a professional capacity

• Focusing on the short- and long-term effects of their professional activities

• Actively identifying and addressing the potential negative impacts of their own physical and mental health on their professional activities

• Actively identifying potential and actual conflicts of interest and working to resolve them in a manner that avoids or minimizes harm

• Actively identifying and addressing factors (e.g., personal, financial, institutional, political, religious, cultural) that might lead to conflicts of interest, misuse of their position, or negative impacts on their professional activities

• Effectively and respectfully collaborating with others in the best interest of those with whom they work and always placing clients’ interests first

2. Treat Others with Compassion, Dignity, and Respect. Behavior analysts behave toward others with compassion, dignity, and respect by:

• Treating others equitably, regardless of factors such as age, disability, ethnicity, gender expression/identity, immigration status, marital/ relationship status, national origin, race, religion, sexual orientation, socioeconomic status, or any other basis proscribed by law

• Respecting others’ privacy and confidentiality • Respecting and actively promoting

clients’ self-determination to the best of their abilities, particularly when providing services to vulnerable populations

• Acknowledging that personal choice in service delivery is important by providing clients and stakeholders with needed information to make informed choices about services

3. Behave with Integrity. Behavior analysts fulfill responsibilities to their scientific and professional communities, to society in general, and to the communities they serve by:

• Behaving in an honest and trustworthy manner • Not misrepresenting themselves,

misrepresenting their work or others’ work, or engaging in fraud

• Following through on obligations • Holding themselves accountable for their work

and the work of their supervisees and trainees, and correcting errors in a timely manner

• Being knowledgeable about and upholding BACB and other regulatory requirements

• Actively working to create professional environments that uphold the core principles and standards of the Code

• Respectfully educating others about the ethics requirements of behavior analysts and the mechanisms for addressing professional misconduct

4. Ensure their Competence. Behavior analysts ensure their competence by:

• Remaining within the profession’s scope of practice

• Remaining current and increasing their knowledge of best practices and advances in ABA and participating in professional development activities

• Remaining knowledgeable and current about interventions (including pseudoscience) that may exist in their practice areas and pose a risk of harm to clients

• Being aware of, working within, and continually evaluating the boundaries of their competence

• Working to continually increase their knowledge and skills related to cultural responsiveness and service delivery to diverse groups

Behavior Analyst Certification Board | Ethics Code for Behavior Analysts | 5Updated 09/2021, Copyright © 2020, BACB® | All rights reserved.

Application of the Code

Behavior analysts are expected to be knowledgeable about and comply with the Code and Code-Enforcement Procedures. Lack of awareness or misunderstanding of an ethics standard is not a defense against an alleged ethics violation. When appropriate, behavior analysts should inform others about the Code and Code-Enforcement Procedures and create conditions that foster adherence to the Code. When addressing potential code violations by themselves or others, behavior analysts document the steps taken and the resulting outcomes. Behavior analysts should address concerns about the professional misconduct of others directly with them when, after assessing the situation, it seems possible that doing so will resolve the issue and not place the behavior analyst or others at undue risk. The BACB recognizes that behavior analysts may have different professional roles. As such, behavior analysts are required to comply with all applicable laws, licensure requirements, codes of conduct/ethics, reporting requirements (e.g., mandated reporting, reporting to funding sources or licensure board, self-reporting to the BACB, reporting instances of misrepresentation by others), and professional practice requirements related to their various roles. In some instances, behavior analysts may need to report serious concerns to relevant authorities or agencies that can provide more immediate relief or protection before reporting to the BACB (e.g., criminal activity or behavior that places clients or others at risk for direct and immediate harm should immediately be reported to the relevant authorities before reporting to the BACB or a licensure board). The standards included in the Code are not meant to be exhaustive, as it is impossible to predict every situation that might constitute an ethics violation. Therefore, the absence of a particular behavior or type of conduct from the Code standards does not indicate that such behavior or conduct is ethical or unethical. When interpreting and applying a standard, it is critical to attend to its specific wording and function, as well as the core principles. Additionally, standards must be applied to a situation using a functional, contextualized approach that accounts for factors relevant to that situation, such as variables related to diversity (e.g., age, disability, ethnicity, gender expression/identity, immigration status, marital/relationship status, national origin, race, religion, sexual orientation, socioeconomic status) and possible imbalances in power. In all instances of interpreting and applying the Code, behavior analysts should put compliance with the law and clients’ interests first by actively working to maximize desired outcomes and minimize risk. Ethical decision making. Behavior analysts will likely encounter complex and multifaceted ethical dilemmas. When faced with such a dilemma, behavior analysts should identify problems and solutions with care and deliberation. In resolving an ethical dilemma, behavior analysts should follow the spirit and letter of the Code’s core principles and specific standards. Behavior analysts should address ethical dilemmas through a structured decision-making process that considers the full context of the situation and the function of relevant ethics standards. Although no single ethical decision-making process will be equally effective in all situations, the process below illustrates a systematic approach behavior analysts can take to document and address potential ethical concerns.

1. Clearly define the issue and consider potential risk of harm to relevant individuals. 2. Identify all relevant individuals. 3. Gather relevant supporting documentation and follow-up on second-hand information to confirm that there is an

actual ethical concern. 4. Consider your personal learning history and biases in the context of the relevant individuals. 5. Identify the relevant core principles and Code standards. 6. Consult available resources (e.g., research, decision-making models, trusted colleagues). 7. Develop several possible actions to reduce or remove risk of harm, prioritizing the best interests of clients in

accordance with the Code and applicable laws.

Throughout all of the following steps, document information that may be essential to decision making or for communicating the steps taken and outcomes (e.g., to the BACB, licensure boards, or other governing agencies). For example, consider documenting: dates, times, locations, and relevant individuals; summaries of observations, meetings, or information reported by others. Take care to protect confidentiality in the preparation and storage of all documentation.

Behavior Analyst Certification Board | Ethics Code for Behavior Analysts | 6Updated 09/2021, Copyright © 2020, BACB® | All rights reserved.

8. Critically evaluate each possible action by considering its alignment with the “letter and spirit” of the Code, its potential impact on the client and stakeholders, the likelihood of it immediately resolving the ethical concern, as well as variables such as client preference, social acceptability, degree of restrictiveness, and likelihood of maintenance.

9. Select the action that seems most likely to resolve the specific ethical concern and reduce the likelihood of similar issues arising in the future.

10. Take the selected action in collaboration with relevant individuals affected by the issue and document specific actions taken, agreed-upon next steps, names of relevant individuals, and due dates.

11. Evaluate the outcomes to ensure that the action successfully addressed the issue.

Enforcement of the Code

The BACB enforces the Code to protect clients and stakeholders, BCBA and BCaBA certificants and applicants, and the ABA profession. Complaints are received and processed according to the processes outlined in the BACB’s Code-Enforcement Procedures document.

Behavior Analyst Certification Board | Ethics Code for Behavior Analysts | 7Updated 09/2021, Copyright © 2020, BACB® | All rights reserved.

Glossary Assent Vocal or nonvocal verbal behavior that can be taken to indicate willingness to participate in research or behavioral services by individuals who cannot provide informed consent (e.g., because of age or intellectual impairments). Assent may be required by a research review committee or a service organization. In such instances, those entities will provide parameters for assessing assent.

Behavior Analyst An individual who holds BCBA or BCaBA certification or who has submitted a complete application for BCBA or BCaBA certification.

Behavior-Change Intervention The full set of behavioral procedures designed to improve the client’s wellbeing.

Behavioral Services Services that are explicitly based on the principles and procedures of behavior analysis and are designed to change behavior in meaningful ways. These services include, but are not limited to, assessment, behavior-change interventions, training, consultation, managing and supervising others, and delivering continuing education.

Client The direct recipient of the behavior analyst’s services. At various times during service provision, one or more stakeholders may simultaneously meet the definition of client (e.g., the point at which they receive direct training or consultation). In some contexts, the client might be a group of individuals (e.g., with organizational behavior management services).

Clients’ Rights Human rights, legal rights, rights codified within behavior analysis, and organization rules designed to benefit the client.

Conflict of Interest An incompatibility between a behavior analysts’ private and professional interests resulting in risk or potential risk to services provided to, or the professional relationship with, a client, stakeholder, supervisee, trainee, or research participant. Conflicts may result in a situation in which personal, financial, or professional considerations have the potential to influence or compromise professional judgment in the delivery of behavioral services, research, consultation, supervision, training, or any other professional activity.

Digital Content Information that is made available for online consumption, downloading, or distribution through an electronic medium (e.g., television, radio, ebook, website, social media, videogame, application, computer, smart device). Common digital content includes documents, pictures, videos, and audio files.

Informed Consent The permission given by an individual with the legal right to consent before participating in services or research, or allowing their information to be used or shared.

Service/Research: Providing the opportunity for an individual to give informed consent for services or research involves communicating about and taking appropriate steps to confirm understanding of: 1) the purpose of the services or research; 2) the expected time commitment and procedures involved; 3) the right to decline to participate or withdraw at any time without adverse consequences; 4) potential benefits, risks, discomfort, or adverse effects; 5) any limits to confidentiality or privacy; 6) any incentives for research participation; 7) whom to contact for questions or concerns at any time; and 8) the opportunity to ask questions and receive answers. Information Use/Sharing: Providing the opportunity for an individual to give informed consent to share or use their information involves communicating about: 1) the purpose and intended use; 2) the audience; 3) the expected duration; 4) the right to decline or withdraw consent at any time; 5) potential risks or benefits; 6) any limitations to confidentiality or privacy; 7) whom to contact for questions or concerns at any time; and 8) the opportunity to ask questions and receive answers.

Legally Authorized Representative Any individual authorized under law to provide consent on behalf of an individual who cannot provide consent to receive services or participate in research.

Multiple Relationship A comingling of two or more of a behavior analyst’s roles (e.g., behavioral and personal) with a client, stakeholder, supervisee, trainee, research participant, or someone closely associated with or related to the client.

Behavior Analyst Certification Board | Ethics Code for Behavior Analysts | 8Updated 09/2021, Copyright © 2020, BACB® | All rights reserved.

Public Statements Delivery of information (digital or otherwise) in a public forum for the purpose of either better informing that audience or providing a call-to-action. This includes paid or unpaid advertising, brochures, printed material, directory listings, personal resumes or curriculum vitae, interviews, or comments for use in media (e.g., print, statements in legal proceedings, lectures and public presentations, social media, published materials).

Research Any data-based activity, including analysis of preexisting data, designed to generate generalizable knowledge for the discipline. The use of an experimental design does not by itself constitute research.

Research Participant Any individual participating in a defined research study for whom informed consent has been obtained.

Research Review Committee A group of professionals whose stated purpose is to review research proposals to ensure the ethical treatment of human research participants. This committee might be an official entity of a government or university (e.g., Institutional Review Board, Research Ethics Board), an independent committee within a service organization, or an independent organization created for this purpose.

Scope of Competence The professional activities a behavior analyst can consistently perform with proficiency.

Social Media Channel A digital platform, either found through a web browser or through an application, where users (individuals and/or businesses) can consume, create, copy, download, share, or comment on posts or advertisements. Both posts and advertisements would be considered digital content.

Stakeholder  An individual, other than the client, who is impacted by and invested in the behavior analyst’s services (e.g., parent, caregiver, relative, legally authorized representative, collaborator, employer, agency or institutional representatives, licensure board, funder, third-party contractor for

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