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BACB Ethics

ethics study guide

The behavior analyst maintains the high standards of professional behavior of the professional organization 1.0 Responsible conduct of a behavior analyst
behavior analysts rely on scientifically and professionally derived knowledge when making scientific or professional judgements in human service provision, or when engaging in scholarly or professional endeavors 1.01 Reliance on scientific knowledge
remains proficient in professional practice and the performance of professional functions by reading the appropriate literature, attending conferences and conventions, participating in workshops, and/or obtaining BACB certification 1.02 Competence and professional development
Behavior analysts provide services, teach, and conduct research only within the boundaries of their competence, based on their education, training, supervised experience, or appropriate professional experience 1.03(a) Competence
Behavior analysts provide services, teach or conduct research in new areas or involving new techniques only after first undertaking appropriate study, training, supervision, and/or consultation from persons who are competent in those areas or techniques 1.03(b) Competence
Behavior analysts who engage in professional activities maintain a reasonable level of awareness of current scientific and professional information in their fields of activity, undertake ongoing efforts to maintain competence in the skills they use 1.04 Professional development
The behavior analyst's behavior conforms to the legal and moral codes of the social and professional community of which the behavior analyst is a member 1.05(a) Integrity
The activity of a behavior analyst falls under these Guidelines only if the activity is part of his or her work-related functions or the activity is behavior analytic in nature 1.05(b) Integrity
If ethical responsibilities conflict with law, behavior analysts make known their commitment to these Guidelines and take steps to resolve the conflict in a responsible manner in accordance with law 1.05(c) Integrity
Behavior analysts provide behavioral diagnostic, therapeutic, teaching, research, supervisory, consultative, or other behavior analytic services only in the context of a defined, remunerated professional or scientific relationship or role 1.06(a) Professional and scientific relationships
When behavior analysts provide services, they use language that is fully understandable to the recipient of those services... prior to service delivery provide information about the nature of such services, and later about results and conclusions 1.06(b) Professional and scientific relationships
Where differences of age, gender, race, ethnicity, national origin, religion, sexual orientation, disability, language, or SES significantly affect analyst's work... obtain training (etc) to ensure competence of their service or make appropriate referrals 1.06(c) Professional and scientific relationships
do not engage in discrimination against individuals or groups based on age, gender, race, ethnicity, national origin, religion, sexual orientation, disability, SES, or any basis prescribed by law 1.06(d) Professional and scientific relationships
do not knowingly engage in behavior that is harrassing or demeaning to persons with whom they interact in their work based on factirs such as age, gender, race ethnicity, national origin, religion, sexual orientation, disability, language, or SES 1.06(e) Professional and scientific relationships
recognize that personal problems and conflicts may interfere with their effectiveness; refrain from providing services when their personal cicumstances may compromise delivering services to the best of their abilities 1.06(f) Professional and scientific relationships
in many situations, it may not be feasible to avoid social contact with persons; behavior analysts must always be sensitive to potential harmful effects of other contacts on their work and persons with whom they deal 1.07(a) Dual relationships
The behavior analyst adheres to job commitments, assesses employee interactions before intervention, works within his/her scope of training, develops interventions that benefit employees, and resolves conflicts with these Guidelines. 6.0 The behavior analyst and the workplace
The behavior analyst adheres to job commitments made to the employing organization. 6.01 Job commitments
The behavior analyst assesses the behavior-environment interactions of the employees before designing behavior analytic programs. 6.02 Assessing employee interactions
The behavior analyst implements or consults on behavior management programs for which the behavior analyst has been adequately prepared. 6.03 Preparing for consultation
develops interventions that benefit the employees as well as management. 6.04 Employees' interventions
develops interventions that enhance the health and well being of the employees. 6.05 Employee health and well being
If the demands of an organization conflict with these Guidelines, behavior analysts must clarify the nature of the conflict, make known their commitment to the Guidelines, and seek to resolve the conflict in adherence to them. 6.06 Conflicts with organizations
Behavior analysts design, conduct, and report research in accordance with recognized standards of scientific competence and ethical research with human and non-human subjects as approved by the local human research committee and IRB. 7.0 The behavior analyst and research
plan research so as to minimize the possibility that results will be misleading. 7.0(a) The behavior analyst and research
conduct research competently and with cue concern for the dignity and welfare of the participants. BA are permitted to perform only those tasks for which they are appropriately trained and prepared. 7.0(b) The behavior analyst and research
are responsible for the ethical conduct of research conducted by them or by others under their supervision or control. 7.0(c) The behavior analyst and research
when conducting applied research conjointly with provision of clinical or human services obtain required external reviews of said research and observe requirements for intervention and research involvement by client-participants. 7.0(d) The behavior analyst and research
In planning research, consider its ethical acceptability under these Guidelines. If unclear, seek consultation. 7.0(e) The behavior analyst and research
engaged in study and research is guided by the conventions of the science of behavior including the emphasis on the analysis of individual behavior and strives to model appropriate applications in professional life. 7.01(a) Scholarship and research
take reasonable steps to avoid harming their clients and to minimize harm where it is foreseeable and unavoidable. 7.01(b) Scholarship and research
are alert to guard against personal, financial, social, organizational, or political factors that might lead to misuse of their influence. 7.01(c) Scholarship and research
do not participate in activities in which it appears likely their skills or data will be misused by others, unless corrective mechanisms are available. 7.01(d) Scholarship and research
do not exaggerate claims for effectiveness of particular procedures or of behavior analysis in general. 7.01(e) Scholarship and research
if BA learn of misuse or misrepresentation of their individual work products, they take reasonable and feasible steps to correct or minimize the misuse or misrepresentation. 7.01(f) Scholarship and research
do not disclose their writings, lectures, or other public media, confidential, personally identifiable information concerning their individual or organizational clients that they obtained during the course of their work, unless consent/legal auth. 7.02(a) Using confidential information for didactic or instructive purposes
Ordinarily disguise confidential information concerning such persons or organizations so that they are not individually identifiable to others and so that discussions do not cause harm to participants who might identify themselves. 7.02(b) Using confidential information for didactic or instructive purposes
plan and conduct research in a manner consistent with federal and state regulations/laws, as well as professional standards governing the conduct of research, and particularly those standards governing research with humans/animals. 7.03 Conforming with laws and regulations
inform participants of the nature of the research; free to participate or decline/withdraw; foreseeable consequences of declining or withdrawing; significant factors that may influence willingness to participate; answer questions participants have. 7.04(a) Informed consent
for persons who are legally incapable of giving informed consent (1) provide an appropriate explanation, (2) discontinue research if the person gives clear signs of unwillingness (3) obtain appropriate permission from a legally authorized person. 7.04(b) Informed consent
do not conduct a study involving deception unless they have determined that the use of deceptive techniques is justified by the study's prospective scientific, educational, or applied value and that procedures that do not use deception are not feasible. 7.05(a) Deception in research
never deceive research participants about significant aspects that would affect their willingness to participate, such a physical risks, discomfort, or unpleasant emotional experiences. 7.05(b) Deception in research
Any other deception that is an integral part of the design and conduct of an experiment must be explained to participants as early as is feasible, preferably at the conclusion of their participation, but no later than at the conclusion of the research. 7.05(c) Deception in research
inform research participants of their anticipated sharing or further use of personally identifiable research data and of the possibility of unanticipated future uses. 7.06 Informing of future use
interfere with the participants or environment from which data are collected when conducting research only in a manner that is warranted by an appropriate research design and that is consistent with BA's roles as scientific investigators. 7.07 Minimizing interference
take reasonable measures to honor all commitments they have made to research participants. 7.08 Commitments to research participants
in presenting research, BA ensures participant anonymity unless specifically waived by the participant or surrogate. 7.09 Ensuring participant anonymity
informs the participant that withdrawal from the research may occur at any time without penalty except as stipulated in advance, as in fees contingent upon completing a project. 7.10 Informing of withdrawal
informs the participant that debriefing will occur on conclusion of the participant's involvement in research. 7.11 Debriefing
answers all questions of the participant about the research that are consistent with being able to conduct research. 7.12 Answering research questions
must obtain the written consent of the participant or surrogate before beginning the research. 7.13 Written consent
if recruiting participants from classes and the participants are provided additional credit for participating in the research, nonparticipating students must be provided alternative activities that generate comparable credit. 7.14 Extra credit
in presenting research, the BA acknowledges the contributions of others who contributed to the conduct of the research by including them as co-authors or footnoting their contributions. 7.15 Acknowledging contributions
principle authorship and other publication credits accurately reflect the relative scientific or professional contributions of the individuals involved, regardless of their relative status. Mere institutional positions do not justify authorship credit. 7.16 Principal authorship and other publication credits
the BA who pays participants for research involvement or uses money as a reinforcer must obtain IRB or HRC approval of this practice and conform to any special requirements that may be established in the process of approval. 7.17 Paying Participants
the BA who withholds part of the money earned by the participant until the participant has completed their research involvement must inform the participant of this condition prior to beginning the experiment. 7.18 Withholding payment
the BA who serves on a grant review panel avoids conducting any research described in grant proposals that the behavior analyst reviewed, except as replications fully crediting the prior researchers. 7.19 Grant reviews
BA who conduct research involving animals treat them humanely and are in compliance with the Federal Animal Welfare Act. 7.20 Animal research
has a responsibility to support the values of the field, to disseminate knowledge to the public, to be familiar with these guidelines, and to discourage misrepresentation by non-certified individuals. 8.0 The behavior analyst's ethical responsibility to the field of behavior analysis
upholds and advances the values, ethics, principles, and mission of the field of behavior analysis; participation in both state and national or int'l organizations is strongly encouraged. 8.01 Affiliating principles
assists the profession in making behavior analysis methodology available to the general public. 8.02 Disseminating behavior analysis
have an obligation to be familiar with these Guidelines, other applicable ethics codes, and their application to behavior analysts' work. Lack of awareness is not itself a defense. 8.03 Being familiar with these Guidelines
discourage non-certified practitioners from misrepresenting that they are certified. 8.04 Discouraging misrepresentation by non-certified individuals
an obligation to bring attention to and resolve ethical violations by colleagues, to make sure their data are accurate and presented truthfully, and they share data with colleagues. 9.0 The behavior analyst's responsibility to colleagues
When BA believe that there may have been an ethical violation by another BA, they attempt to resolve the issue by bringing it to the attention of that individual if an informal resolution is appropriate and no confidentiality rights have been violated. 9.01 Ethical violations by colleagues
do not fabricate data or falsify results in their publications. If BAs discover significant errors in their published data, they take reasonable steps to correct such errors in a correction, retraction, etc. 9.02 Accuracy of data
do not present portions or elements of another's work or data as their own, even if the other work or data source is cited, nor do they omit findings that might alter others interpretations of their work or behavior analysis in general. 9.03 Authorship and findings
do not publish, as original data, data that have been previously published. This does not preclude republishing data when they are accompanied by proper acknowledgment. 9.04 Publishing data
after research results are published, BA do not withhold the data on which their conclusions are based from other competent professionals who seek to verify the substantive claims through reanalysis and who intend to use such data only for that purpose. 9.05 Withholding data
The BA promotes the general welfare of society through the application of the principles of behavior 10.0 The behavior analyst's ethical responsibility to society
should promote the application of behavior principles in society by presenting a behavioral alternative to other procedures or methods. 10.01 Promotion in society
should promote the analysis of behavior per se as a legitimate field of scientific inquiry. 10.02 Scientific inquiry
comply with these Guidelines in public statements relating to their professional services, products, or publications or to the field of behavior analysis. 10.03(a) Public statements
public statements include but are not limited to paid or unpaid advertising, brochures, printed matter, directory listings, etc. 10.03(b) Public Statements
BA who engage others to create or place public statements that promote their professional practice, products, or activities retain professional responsibility for such statements. 10.04(a) Statements by others
make reasonable efforts to prevent others whom they do not control from making deceptive statements concerning behavior analysts' practices or professional or scientific activities. 10.04(b) Statements by others
If BA learn of deceptive statements about their work made by others, BA make reasonable efforts to correct such statements. 10.04(c) Statements by others
A paid advertisement relating to the behavior analysts' activities must be identified as such, unless it is already apparent from the context. 10.04(d) Statements by others
BA do not make public statements that are false, deceptive, misleading, or fraudulent, either because of what they state or what they omit, concerning their research, practice, or other work activities or those of persons or affiliated orgs. 10.05 Avoiding false or deceptive statements
When BA provide advice or comment by means of public lectures, demonstrations, media, they take reasonable precautions to ensure that (1) statements are based on BA lit and practice (2) consistent with these Guidelines (3) recipients do not infer rel. 10.06 Media presentations
do not solicit testimonials from current clients or patients or other persons who because of their particular circumstances are vulnerable to undue influence. 10.07 Testimonials
do not engage in uninvited in-person solicitation of business from actual or potential users of services who because of their particular circumstances are vulnerable to undue influence 10.08 In-Person solicitation
refrains from entering into or promising a personal, or other such relationship if it appears likely that such a relationship might impair objectivity or otherwise interfere with ability to perform, or might harm other party 1.07(b) Dual relationships
if potentionally harmful multiple relationship has arisen, behavior analysts attempt to resolve it with due regard for the best interests of the affected person and maximal compliance with Guidelines 1.07(c) Dual relationships
do not exploit persons over whom they have supervisory, evaluative, or other authority such as students, supervisees, employees, research participants, and clients 1.08(a) Exploitative relationships
do not engage in sexual relationships with clients, students, or supervisees in training with whom the behavior analyst has evaluative or direct authority, because such relationships easily impair judgement 1.08(b) Exploitative relationships
behavior analysts are cautioned against bartering with clients because it is often (1) clinically contraindicated, and (2) prone to formation of an exploitative relationship 1.08(c) Exploitative relationships
The behavior analyst has a responsibility to operate in the best interest of clients. 2.0 The behavior analyst's responsibility to clients
The term client as used here is broadly applicable to whomever the behavior analyst provides services whether an individual person, parent or guardian, and institutional rep, a public or private agency, a firm or corporation 2.01 Definition of client
The behavior analyst's responsibility is to all parties affected by behavioral services 2.02 Responsibility
arrange for appropriate consultations and referrals based principally on best interests of their clients, with appropriate consent, subject to relevant considerations including law and contractual obligation 2.03(a) Consultation
behavior analysts cooperate with other professionals in order to service their clients effectively and appropriately; recognize that other professions have ethical codes that may differ from these Guidelines 2.03(b) Consultation
when behavior analyst agrees to provide services at request of third party, clarify to the extent feasible, at the outset of service, the nature of relationship with each party: role, uses of services, limits to confidentiality 2.04(a) Third-party requests for services
if there is forseeable risk of behavior analyst being called to perform conflicting roles, clarify the nature and direction of responsibilities, keep all parties informed, and resolve situations in accordance with Guidelines 2.04(b) Third-party requests for services
The behavior analyst supports individual rights under the law. 2.05(a) Rights and prerogatives of clients
The client must be provided on request an accurate, surrent set of the behavior analyst's credentials 2.05(b) Rights and prerogatives of clients
Permission for electronic recording of interviews is secured from clients and all other settings. Consent for different uses must be obtained specifically and separately. 2.05(c) Rights and prerogatives of clients
Clients must be informed of their rights, and about procedures to complain about professional practices of the behavior analyst. 2.05(d) Rights and prerogatives of clients
primary obligation and take reasonable precautions to respect confidentiality of those with whom they work or consult, recognizing that confidentiality may be established by law, institutional rules, or professional or scientific relationships 2.06(a) Maintaining confidentiality
Clients have a right to confidentiality. Unless it in not feasible or contraindicated, discussion of confidentiality occurs at outset of relationship and as new circumstances warrant 2.06(b) Maintaining confidentiality
In order to minimize intrusions on provacy, include only information germane to the purpose for which the communication is made in written and oral reports, consultations, and the like. 2.06(c) Maintaining confidentiality
discuss confidential information obtained in clinical or consulting relationships (etc) only for appropriate scientific or professional purposes and only with persons clearly concerned with such matters 2.06(d) Maintaining confidentiality
maintain appropriate confidentiality in creating, storing, accessing, transferring, and disposing of records in accordance with applicable federal or state law or regulation, and corporate policy, in a manner that permits compliance with Guidelines 2.07 Maintaining records
disclose confidential information without consent only as mandated by law for valid purpose: (1) provide needed professional services, (2) obtain appropriate consultations, (3) protect client or others, (4) obtain payment for services (minimum disclosure) 2.08(a) Disclosures
may disclose confidential information with the appropriate consent of the individual or organizational client, unless prohibited by law 2.08(b) Disclosures
always has the responsibility to recomend scientifically supported most effective treatment procedures that have been validated as having both long-term and short-term benefits to clients and society 2.09(a) Treatment efficacy
Clients have a rght to effective treatment (i.e., based on the research literature and adapted to the individual client) 2.09(b) Treatment efficacy
Behavior analysts are responsible for review and appraisal of likely effects of all alternative treatments, including those provided by other disciplines and no intervention. 2.09(c) Treatment efficacy
appropriately document their professional and scientific work in order to facilitate provision of services later by them or other professionals, to ensure accountability, and meet other requirements of institutions under the law 2.10(a) Documenting professional and scientific work
reason to believe their records will be used in legal proceedings... have responsibility to create and maintain documentation in the kind of detail and quality that would be consistent with resonable scrutiny in an adjudicative forum 2.10(b) Documenting professional and scientific work
create, maintain, disseminate, store, retain, and dispose of records in accordance with applicable federal and state laws or regulations and corproate policy and in a manner that permits compliance with Guidelines 2.11 Records and data
as early as is feasible, reach an agreement specifying the compensation and the billing arrangements 2.12(a) Fees and financial arrangements
fee practices are consistent with law and not misrepresented; if limitations to services can be anticipated this is discussed with patient, client, etc as early as is feasible 2.12(b) Fees and financial arrangements
in reports to those who pay for services, accurately state the nature of the research or service provided, the fees or charges, and where applicable, the identity of the provider, findings, and other descriptive data 2.13 Accuracy in reports to those who pay for services
When a behavior analyst pays, receives payment from, or divides fees with another professional other than in an employer-employee relationship, the referral shall be disclosed to the client. 2.14 Referrals and fees
make reasonable efforts to plan for facilitating care in the event that behavior analytic services are interrupted by factors such as illenss, death, unavailability, relocation, or financial limitations 2.15(a) Interrupting or terminating services
when entering into emplyment or contract, provide for orderly and apporpriate resolution of responsibility for client care in the event that employment ends, with paramount consideration given to welfare of client 2.15(b) Interrupting or terminating services
Behavior analysts do not abandon clients. Terminate a professional relationship when it becomes reasonably clear that the client no longer needs services, is not benefitting, or is being harmed by service 2.15(c) Interrupting or terminating services
Prior to termination, discuss the client's views and needs, provide appropriate pre-termination services, suggest alternative service providers, facilitate transfer of responsibility to another provider if client needs one immediately 2.15(d) Interrupting or terminating services
Behavior analysts who use behavioral assessment techniques do so for purposes that are appropriate in light of the research. 3.0 Assessing behavior
assessments, recommendations, reports, and evaluative statements are based on information and techniques sufficient to provide appropriate substantiation of findings 3.0(a) Assessing behavior
refrain from misuse of assessment techniques, interventions, results, and interpretations and take reasonable steps to prevent others from misusing the information the techniques provide 3.0(b) Assessing behavior
recognize limits to the certainty with which judgements or predictions can be made about individuals 3.0(c) Assessing behavior
do not promote the use of behavioral assessment techniques by unqualifies persons, i.e., those who are unsupervised by experienced professionals and have not demonstrated valid and reliable assessment skills 3.0(d) Assessing behavior
if environemental condition preclude implementation of a behavior analytic program, the behavior analyst recommends that other professional assistance be sought 3.01 Environmental conditions that preclude implementation
if environmental conditions hamper implementation of the behavior analytic program, the behavior analyst seeks to eliminate the environmental constraints, or identifies in writing the obstacles to doing so 3.02 Environmental conditions that hamper implementation
the behavior analyst consucts a functional assessment to provide the necessary data to develop an effective behavior change program 3.03(a) Functional assessment
includdes a variety of systematic imformation-gathering activities regarding factors influencing the occurrence of a behavior including interview, direct observation, and experimental analysis 3.03(b) Functional assessment
accept as clients only those individuals or entities whose behavior problems or requested service are commensurate with the analyst's education, training, and experience; or function under supervision of appropriately credentialed analyst 3.04 Accepting clients
obtain the written consent of the client or client-surrogate before obtaining or disclosing client records from or to other sources 3.05 Consent-client records
describe, prefereably in writing, the objectives of the behavior change program to the client ot client-surrogate before attempting to implement the program 3.06(a) Describing program objectives
client-surrogate refers to someone legally empowered to make decisions for the person(s) whose behavior the program is intended to change; parents, guardians, legally designated representatives 3.06(b) Describing program objectives
must obtain the client's or client-surrogate's approval in writing of the behavior assessment procedures before implementing them 3.07 Behavioral assessment approval
The behavior analyst describes to the client or client-surrogate the environmental conditions that are necessary for the program to be effective. 3.08 Describing conditions for program success
ensure that an explanation of results is provided using language that us reasonable understandable to the person assessed ot other legally authorized person 3.09 Explaining assessment results
The behavior analyst desgins programs that are based on behavior analytic principles, including assessments of effects or other intervention methods, involves client in planning, obtains consent, and respects right of client to terminate at any time 4.0 The behavior analyst and the individual behavior change program
The behavior analyst must obtain the client's or client-surrogate's approval in writing of the behavior intervention procedures before implementing them. 4.01 Approving interventions
recommend reinforcement rather than punishment whenever possible; if punishment is necessary, always include reinforcement procedures for alternative behavior in the program 4.02 Reinforcement/punishment
minimize the use of items as potential reinforcers that may be harmful to the long-term health of the client or participant, or that may require undesirably marked deprivation procedures as establishing operations 4.03 Avoiding harmful reinforcers
The behavior analyst collects data, or asks the client, client-surrogate, or designated others to collect data needed to assess progress within the program. 4.04 On-going data collection
The behavior analyst modifies the program on the basis of data. 4.05 Program modifications
The behavior analyst explains the program modifications and the reasons for modifications to the client or client-surrogate and obtains consent to implement the modifications 4.06 Program modifications consent
The behavior analyst reviews and appraises the restrictiveness of alternative interventions and always recommends the least restrictive procedures likley to be effective in dealing with a behavior problem. 4.07 Least restrictive procedures
The behavior analyst establishes understandable and objective criteria for the termination of the program and describes them to the client or client-surrogate. 4.08 Termination criteria
The behavior analyst terminates the relationship with the client when the established criteria for termination are attained, as in when a series of planned or revised intervention goals has been completed. 4.09 Terminating clients
Behavior analysts delegate to their employees, supervisees, and research assistances only those responsibilities that such persons can reasonable be expected to perform competently. 5.0 The behavior analyst as teacher and/or supervisor
Those responsible for eduxation and training programs seek to ensure that the programs are competently designed, provide the proper experiences, and meet the requirements for licensure, certification, or other goals for which the program claims 5.01 Designing competent training programs
do not teach use of techniques or procedures that require specialized training, licensure, or expertise to individuals who lack prerequisite training, except as techniques may be used in evaluation of effects of various treatments, etc 5.02 Limitations on training
The behavior analyst provides a clear description of the objectives of a course, preferably in writing, at the beginning of the course. 5.03 Providing course objectives
The behavior analyst provides a clear description of the demands of a course at the beginning of the course. 5.04 Describing course requirements
The behavior analyst provides a clear description of the requirements for the evaluation of student performance at the beginning of the course. 5.05 Describing evaluation requirements
The behavior analyst provides feedback regarding the performance of a student or supervisee as frequently as the conditions allow. 5.06 Providing feedback to students/supervisees
The behavior analyst utilizes as many principles of behavior analysis in teaching a course as the material, conditions, and academic policies allow. 5.07 Providing behavior analysis principles in teaching
behavioral requirements of supervisee must be in repertoire of supervisee; if not, attempt to provide conditions for acquisition of required behavior, or refer for remedial skill development, permitting them to meet minimum performance requirements 5.08 Requirements of supervisees
provide proper training and supervision to their employees or supervisees and take reasonable steps to ensure services are performed responsibly, competently, and ethically; if institution hampers this, modify role to correct situation to extent feasible 5.09 Training and supervision
The behavior analyst provides feedback to the supervisee in a way that increases the probability that the supervisee will benefit from the feedback. 5.10 Feedback to supervisees
The behavior analyst uses positive reinforcement as frequently as the behavior of the supervisee and the environmental conditions allow. 5.11 Reinforcing supervisee behavior
Created by: abbyg325



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