Oath of Ethical Behavior

Updated March 2021

Qualified Applied Behavior Analysis

Credentialing Board®

QABA ETHICAL

CODE OF CONDUCT

QABA ETHICAL CODE of CONDUCT

INTRODUCTION

1.0 COMPLIANCE

1.1 Adherence to Code of Ethics

1.2 Ethical Responsibility

1.3 Ethical Dilemmas

2.0 COMPETENCE

2.1 Scope of Competence

2.2 Professional Development

2.3 Integrity

2.4 Impaired Certificants

3.0 PRIVACY/CONFIDENTIALITY

3.1 Confidential Information

3.2 Disclosure and Expressed Authorization

3.3 Inadvertent Disclosure of Confidential Communication

3.4 Informed Consent

3.5 Work Product

3.6 Maintaining Confidentiality

3.7 Confidential Communications After Termination of a Relationship

4.0 PROVISION OF SERVICE

4.1 Assessment

4.2 Explaining Results

4.3 Specialty Consultation

4.4 Programming

4.5 Behavior Change Plans

4.6 Environmental Variables

4.7 Punishment Procedures

4.8 Restrictive Interventions

4.9 Protect from Harm and Reinforcers

5.0 RESPONSIBILITY TO CLIENTS AND CLIENTS RIGHTS

5.1 Identifying the Client

5.2 Clients Rights

5.3 Obligations as a Mandated Reporter

5.4 Third Party Involvement in Services

6.0 HUMAN RELATIONS

6.1 Avoiding Harm

6.2 Unfair Discrimination

6.3 Harassment

6.4 Professional Relationships

6.5 Multiple Relationships

6.6 Exploitation

6.7 Sexual Relationships and Treatment

6.8 Conflict of Interest

6.9 Clarification of Roles

6.10 Interruption and Termination of Services

7.0 SUPERVISION and TRAINING

7.1 Guidelines

7.2 Supervisor to Monitor Performance

7.3 Informing the Client About Supervision

7.4 Supervision During a Crisis

7.5 Supervision Limitations

7.6 Supervisor Maintaining Active Certification

7.7 Supervisor Assisting Trainee with Certification Documentation

7.8 Fee for Supervision

8.0 RECORD KEEPING and FEES

8.1 Record Content/Record Context

8.2 Safeguarding of Records

8.3 Length of Record Keeping

8.4 Fees and Referrals Agreement

9.0 PUBLIC STATEMENTS

9.1 Accuracy and Adequacy/Completeness of Information

9.2 Citing Source and Copyright of Published Materials

9.3 Statement of Contractual Agreement

9.4 Advertisements and Announcements of Services

9.5 Statements on Behalf of Organizations/Places of Employment

10.0 RESEARCH

10.1 Obtaining Informed Consent in Research

10.2 Welfare in Research

10.3 Deception

10.4 Debriefing

10.5 Research Data and Results

10.6 Plagiarism and Research Publication Acknowledgment

INTRODUCTION

The QABA Ethical Code of Conduct applies to all credentialed providers, applicants and

approved CE providers. In keeping with our QABA mission to establish the highest standard of

care and to empower all professionals who provide behavior intervention services to

individuals with autism spectrum disorders and related disorders, our Ethical Code of Conduct

is intended to provide guidance for certified professionals and their employers as to standards

of conduct within the field of professional behavior analysis. The goal is to provide a framework

that will promote ethical behavior and enhance professional judgment. The Ethical Code of

Conduct is necessary to ensure professionals take the reasonable steps to safeguard: the

client’s welfare and rights, a standard of care and treatment, professional conduct, supervision,

conflict resolution, appropriate training/research and other applicable professional

responsibilities. If the Ethical Code of Conduct does not directly resolve an ethical dilemma, the

certificant is to consult and determine what the prevailing decision would be with other

professionals engaging in a similar capacity and/or activity. The Ethical Code of Conduct

addresses ethics for all levels of certificants and applicants. Though some codes may relate to a

specific certificate, the ethical standards are a comprehensive and universal guideline for the

professional field and the responsibility of all levels of professional development.

1.0 COMPLIANCE

1.1 Adherence to Code of Ethics

a. Certificants dedicate themselves to read, understand, and utilize the

Ethical Code of Conduct as a standard of care. Lack of knowledge of the

code of conduct does not excuse accountability.

b. Certificants recognize a duty to adhere to all laws, rules and regulations,

policies and ethical standards that apply to the practice of applied behavior

analysis.

c. Certificants follow the ethical codes and supervision standards as required

by other additional licenses, certifications, or memberships held. They abide by

pertinent laws, institutional rules, or professional behavior standards within

their provision of service.

1.2 Ethical Responsibility

a. If certificants are aware of any Code of Ethics violation by a fellow

certificant, they are responsible for informing the certificant of the violation.

If the unethical conduct continues, the certificant will report the violation to

the QABA board. Awareness of any violation by a fellow certificant that

involves neglect, endangerment, safety, or legal consequences should be

reported to the QABA board immediately and to local authorities. Any

certificants under professional/employer investigations or facing legal

charges should report to the QABA board within three business days of

becoming aware of the investigations and/or charges.

1.3 Ethical Dilemmas

Concern over adherence to professional standards and/or compliance with the

QABA Ethical Code of Conduct will be reported to a supervisor/leadership

within the scope of service. When in doubt, it is best to review the code of

conduct and utilize supervision relationships for further discussion. Discussion

of individual situations provides learning experiences for all professionals and

ensures integrity of the profession.

2.0 COMPETENCE

2.1 Scope of Competence

a. Certificants practice within their scope of competence as established by their

education, training and experience. Any requests to provide services outside of

the certificant’s role are to be directed to a supervisor or qualified authority.

b. Paraprofessional certificants always provide services under supervision as

outlined in QABA Policies and Procedures and the ABAT Candidate Handbook.

c. Certificants submit qualified referrals to clients when asked to provide

services outside of their scope of competence or their current training. In

emergency situations, certificants consult with a supervisor and/or receive

training for the requested service but referrals are provided as soon as possible.

2.2 Professional Development

Certificants maintain competence through continuing education requirements

and will self-initiate any additional training and education to provide the highest

level of best practice standards of the field.

2.3 Integrity

a. Credentialed professionals maintain the highest standards of professional

behavior and always act in the best interest of the client.

b. Certificants always demonstrate trustworthiness, honesty, fairness, and

sincerity.

c. Certificants uphold the principals of behavior analysis, utilizing scientific

methods for treatment and intervention.

d. Certificants engage with clients, colleagues, families, and stakeholders in a

manner that promotes honest and trustworthy working environments.

e. Certificants provide truthful, thorough, and accurate information to the

QABA board.

f. Certificants adhere to rules and regulations regarding examination and

testing procedures, audits, and safeguard any and all materials related to

examination and QABA materials.

g. Certificants provide accurate and prompt information to QABA regarding

application, certification and renewal. It is the responsibility of the certificant

to maintain current and accurate contact information, records, up-to-date

public registry and current employment status.

2.4 Impaired Certificants

Certificants cease treatment if there are physical, psychological or legal factors

impeding their ability to provide objective and effective treatment, or if other

issues render them ineligible to maintain the certificate. Consultation,

supervision, and transition of clients is to occur without delay. The certificant is

encouraged to seek the appropriate help to restore their work preparedness.

3.0 PRIVACY/CONFIDENTIALITY

3.1 Confidential Information

a. All information regarding clients, identifying information, diagnosis,

assessment, treatment, and prognosis are confidential. Certificants are to

comply with all privacy and confidentiality rules in the state or country of

residence/practice. In the U.S., certificants follow the Health Insurance

Portability and Accountability Act of 1996 (HIPAA) rules and/or individual state

rules/guidelines, whichever is more stringent. Outside of the U.S., if a country

has no existing privacy or confidentiality guidelines, certificants abide by the

minimum standards described in HIPAA laws and ensure the safeguarding of the

client’s privacy.

b. In countries other than the U.S., all communications and identifying

information in email, fax, or other written documents are to comply with HIPAA

and/or state laws and country of residence guidelines. Certificants utilize

appropriate security measures or encryption when transferring confidential

information.

c. All supervision through video recording or tele-supervision will be

compliant with state/country’s privacy and confidentiality laws, and HIPAA-

compliant where applicable.

d. Certificants keep confidential all QABA examination information, other

proprietary information and will prevent unauthorized disclosures of exam

information.

3.2 Disclosure and Expressed Authorization

Disclosure of confidential communication is prohibited unless such disclosure is

made by written or expressed authorization, or when it is mandated by law to

avoid serious threat to the health and safety of the client or any other person.

3.3 Inadvertent Disclosure of Confidential Communication

Procedures to prevent inadvertent or unauthorized disclosure of confidential

information should be observed. In the event of unauthorized disclosure, the

client should be immediately notified of the confidentiality breach. Clients are

to also be informed of all procedures to prevent additional re-disclosure and to

mitigate any impact.

3.4 Informed Consent

a. Certificants obtain informed consent prior to conducting assessments,

treatment, consultative services, research, other professional services, or

any change in treatment

b. Informed consent will provide an explanation of the process, procedures

and/or assessment being conducted.

c. Informed consent will be provided in writing or approved electronic

signature form and maintained in the client’s file. Consent information is

expressed in language that is understandable to the client receiving services.

d. Informed consent is obtained only from the individual receiving services, legal

caregiver, or other person legally authorized to represent the client.

e. Consent to share any information is obtained in writing by clients for each

specific and individual incident; except where this information protects the

client from mortal harm or when required by law.

3.5 Work Product

All client-related work product remains confidential and archived up to 7 years

after treatment or as indicated by HIPAA or state/country laws, whichever is

more stringent.

3.6 Maintaining Confidentiality

Certificants maintain confidentiality of all client information. Certificants avoid

social media content with client or client-related information, disclosure of

client records, data, photographs, videos and discussion of clients to

unauthorized individuals. Utilizing client information for clinical discussion or

presentations will only be on a need-to-know basis and all identifying

information should remain closely guarded.

3.7 Confidential Communications After Termination of a Relationship

All privileged communications between client and organization and/or certificant

remains confidential for the life of the client and after the client’s death.

4.0 PROVISION OF SERVICE

4.1 Assessment

a. Certificants conduct and interpret only the assessments which are supported

by research and within their scope of practice, training and educational

understanding.

b. Certificants make recommendations based on results from assessments

supported through research to properly address the behavior and/or medical

diagnosis of the client. Results from these assessments, in conjunction with

environment and functional bases of behaviors, drive the recommendations for

treatment.

c. Certificants engage in data-based decision making.

4.2 Explaining Results

Certificants explain results of assessments and/or client progress in clear terms

that are jargon-free.

4.3 Specialty Consultation

Certificants advise clients to seek assessment and consultation with a specialty

outside the scope of behavior analysis when deemed a behavior may relate to

other factors. Specialties may include, but are not limited to: medical,

biological, developmental, speech and language, occupational therapy, physical

therapy, psychological, psychiatric, nutrition, or other related disciplines.

Certificants coordinate client care with other professionals who may contribute

to overall treatment efficacy.

4.4 Programming

a. Certificants develop treatment plans with input and consent from the

client and/or legal guardian.

b. Certificants ensure that proposed interventions are in alignment with the

client’s needs, values, beliefs and social significance.

4.5 Behavior Change Plans

a. Certificants tailor behavior programs to meet the needs of individual clients.

b. Certificants develop clear and concise behavior change programs that

can be implemented by all team members. All behavior change programs

will be supported by data and/or research.

c. Certificants develop goals and objectives that have clear mastery

criteria.

d. Client consent is obtained prior to any alteration of a behavior change

program which significantly changes the direction of the treatment (e.g.,

change in behavior, change in procedures not previously discussed, addition or

modification of goals).

e. Language used in the behavior change program is written in a way that is

understandable to the client receiving services.

f. Behaviors and goals outlined in the behavior change program has a clear

definition and topography that is observable and measurable by all members

of the team.

g. Behavior plans provide clear goals necessary to client success, including

objectives, expectations and environmental factors.

4.6 Environmental Variables

a. Environmental variables are evaluated on an ongoing basis to promote the

best opportunity for success.

b. In order to increase treatment efficacy, certificants communicate with the

appropriate parties about any recommended modifications or alternatives to the

client’s environment.

4.7 Punishment Procedures

a. Reinforcement procedures are used prior to considering punishment

procedures.

b. If punishment procedures are necessary following evidenced-based

assessment, they are used in conjunction with a functionally equivalent

reinforcement procedure and an appropriate schedule of reinforcement.

c. If a punishment procedure is implemented, certificants monitor the

behavior to ensure the procedure is not having an adverse effect on the

client or behavior. If the client’s behavior puts the client’s health or safety at

risk, becomes more frequent or more intense, the procedure is immediately

removed.

4.8 Restrictive Interventions

Certificants first consider least restrictive interventions for the client.

4.9 Protect from Harm and Reinforcers

Certificants actively protect their client from harm throughout treatment.

Reinforcers are chosen so they are not potentially hazardous to the

client’s health or safety. In addition, client specific abilities are taken into

consideration when choosing reinforcers.

5.0 RESPONSIBILITY TO CLIENTS AND CLIENTS’ RIGHTS

5.1 Identifying the Client

a. Clients should consent to treatment prior to services and be provided

guidelines for services, confidential information, and rules for mandatory

reporting.

b. At the onset of services, certificants discuss and document criterion for

completion of services or criteria for discontinuing or transferring services.

5.2 Clients Rights

a. Certificants are aware of client’s legal and ethical rights and will act if those

rights have been violated or are at risk of violation.

b. Certificants do not engage in unfair discrimination based on age, race,

ethnicity, gender or gender identity, sexual orientation, socioeconomic status,

religion, disability or any other basis prescribed by law.

c. Clients will receive accurate and thorough data, reports, and treatment

progress information that is jargon-free and presented in a clear and

comprehensible manner.

d. Clients may request the current valid credentials of any service provider.

5.3 Obligations as a Mandated Reporter

Suspected misconduct or known child, elder, and/or dependent adult

abuse/neglect is immediately reported to a supervisor or department

leadership, including additional agencies as required by the certificant’s state

or country’s laws.

5.4 Third Party Involvement in Services

a. At the onset of services provided at the request of a third party, a clear

explanation is provided to all parties as to the relationship, financial

responsibility to the client, and any potential conflicts and limits to

confidentiality.

b. Certificants’ ultimate responsibility lies with the care of the client. If a conflict

of interest arises with a third party, active steps are taken to resolve the

conflict, make all issues transparent, and transition services if no resolution can

be made in the best interest of the client.

6.0 HUMAN RELATIONS

6.1 Avoiding Harm

Certificants serve within their scope of practice and take reasonable steps to

avoid harming their clients, supervisees and others with which they work.

Certificants take reasonable steps to minimize harm where it is unavoidable

and foreseeable.

6.2 Unfair Discrimination

Certificants will not engage in unfair discrimination based on age, race,

ethnicity, gender or gender identity, sexual orientation, socioeconomic status,

religion, disability or any other basis mandated by law.

6.3 Harassment

Certificants will not engage in any type of behavior that is demeaning or

harassing, including any form of sexual harassment towards subordinates,

supervisees, clients, colleagues, or others with which they engage in their

professional capacity.

6.4 Professional Relationships

Certificants follow QABA’s Non-Discrimination Policy as found in the Candidate

Handbooks on the QABA website. Certificants refrain from unprofessional

conduct that contradicts general ethical standards of practice, and they maintain

professional boundaries while maximizing self-reliance and independence in

those they serve.

6.5 Multiple Relationships

Certificants avoid multiple relationships with clients, supervisors, supervisees,

colleagues, and stakeholders. They also avoid accepting gifts which could

negatively impact the certificants’ effectiveness, objectivity or competence in

their current function. Exceptions may be made in the case of cultural

consideration, where gifts (i.e., food, tokens of appreciation) may be customary

and to refuse would be insensitive. If a multiple relationship has inadvertently

occurred, the certificant takes reasonable steps to resolve the matter and

immediately contacts the supervisor or the supervisor’s superior.

6.6 Exploitation

Certificants refrain from engaging in exploitative relationships with

subordinates, supervisees, clients, and any others they interact with in a

professional capacity.

6.7 Sexual Relationships and Treatment

Certificants avoid sexual or intimate relationships with subordinates,

supervisees, clients and their family members or those close to clients.

Relationships with former adult clients should be avoided for a minimum of two

years.

6.8 Conflict of Interest

Certificants make a reasonable attempt to identify their

personal/professional biases. They refrain from engaging in professional roles

where personal, scientific, legal, financial, or other interests impacts their

effectiveness, objectivity, or competence in their performance.

6.9 Clarification of Roles

Prior to the onset of services and thereafter where appropriate, certificants

identify the client’s rights, including parental/caretaker rights, scope of services,

role of all participants in services, and limits to confidentiality.

6.10 Interruption and Termination of Services

a. Certificants take reasonable steps to transfer client care if services are

interrupted or terminated and will make a reasonable effort to coordinate care

for all aspects of treatment.

b. Certificants provide sufficient notice (minimum 2 weeks) to clients and

employers when there is an impending change of service.

c. Certificants ensure any pending client-related documentation is

complete when terminating treatment and provide any information post

transition that serves in the best interest of the client’s care.

d. Discontinuation of services occurs if: the client requests termination, the

client is not benefiting from treatment, or the client no longer needs the

service. Referrals and alternative steps towards treatment are completed

prior to discontinuation if treatment is ineffectual unless precluded by the

client or third-party payors.

7.0 SUPERVISION and TRAINING

7.1 Guidelines

a. Paraprofessionals provide treatment only when receiving the prescribed

supervision as outlined in QABA Policies and Procedures.

b. Paraprofessionals who practice independently without the appropriate

supervision and/or knowingly assist other participants to obtain certification or

re-certification by fraud or deception may be grounds for immediate revocation

or denial of certification.

c. Only qualified professionals as outlined in the QABA Policies and Procedures

in Candidate Handbooks) may provide supervision. Supervision is not delegated

to unqualified individuals.

d. Supervisors do not need to be employed at the same site as supervisees, but

remain available in-person, via phone, email, or other appropriate technology.

e. Supervisors and supervisees comply with the QABA regulations, as well as

institutional rules as they relate to supervision.

7.2 Supervisor to Monitor Performance

a. Supervisors take responsibility for those they supervise and ensure that

best practice is always adhered to, and that supervisees are in compliance

with the QABA policies and regulations, ethical code of conduct, and any

governing laws as it relates to treatment of client and client care.

b. Supervisors are responsible for the accuracy and effectiveness of service

provision, confidentiality, and professional development of each supervisee.

c. Supervisors obtain client background information and clinical/medical

history for each client for which they supervise care.

d. Supervisors provide data-driven ethical treatment of all clients under

their supervision.

e. Supervisors provide ongoing clear and objective feedback in keeping with

the individualized goals and criteria for the supervisee at the onset of

supervision.

f. Supervisors ensure that all training is effectively designed and relevant to

the nature of the supervisee’s profession.

7.3 Informing the Client About Supervision

At the onset of treatment, supervisors ensure that clients are notified when

treatment is being provided by a trainee, and that services will include

supervisor oversight, including disclosure of all treatment-related information.

7.4 Supervision During a Crisis

Supervisor have a crisis plan in place and are available in-person or by phone

to assist trainees in the event of a client emergency.

7.5 Supervision Limitations

a. Supervisors should not supervise family members, a spouse, or others

with whom they share a close relationship. In situations where this is

unavoidable, supervisors will contact the QABA board for guidance in

adhering to supervision requirements.

b. Supervisors refrain from supervising if they do not feel professionally,

psychologically or physically competent to provide appropriate supervision.

c. Supervisors do not require supervisees to disclose personal information

except when used to evaluate the supervisee’s competency to provide

services.

7.6 Supervisor Maintaining Active Certification

Supervisors maintain an active certificate, complete required CEUs, obtain the

appropriate training and relevant experience needed to effectively supervise

trainees. Supervisors are unable to supervise if their certification status becomes

inactive.

7.7 Supervisor Assisting Trainee with Certification Documentation

a. Prior to beginning supervision, supervisors ensure that agreements

are in place between the supervisor and supervisee that is clear, legally

binding, and identifies objective outcomes, criteria and termination

provisions. Both supervisor and supervisee maintain all documentation

of supervision at all times. The supervisor guides and assists the trainee

in correctly completing all required documentation. Only the time

periods that adhere to the restricted definition of supervision in QABA

Policy and Procedures are calculated toward fieldwork and

acknowledged on logs and verification forms.

7.8 Fee for Supervision

Contracts for independent supervision services will contain set fees that are fair

and commensurate with the services provided in that location, and with

objectively defined terms for services. Services are not provided under a barter

agreement, unless a clear and legally binding agreement is in place and

customary for the area where services are provided.

8.0 RECORD KEEPING and FEES

8.1 Record Content/Record Context

Certificants appropriately and accurately document all professional work, to

include progress, data, reports, disclosure of confidential information,

electronic communications, records in a manner consistent with scientific and

legal representation.

8.2 Safeguarding of Records

Certificants ensure that all records (electronic, written, and other medium) are

created, maintained, transferred, stored and disposed of in accordance with

applicable state/country laws, HIPAA regulations, and QABA Policies and

Procedures.

8.3 Length of Record Keeping

Certificants maintain all client records in a confidential manner for a

minimum of 7 years after termination of services or as otherwise required by

law.

8.4 Fees and Referrals Agreement

a. Certificants accurately state services, fees, provider information,

outcomes and any relevant information in order to correctly bill services.

b. Fees, gifts, or other benefits will not be accepted for professional

referrals, preferential advertising or any arrangement that establishes a quid

pro quo relationship.

9.0 PUBLIC STATEMENTS

9.1 Accuracy and Adequacy/Completeness of Information

Before disclosure of any public statement or information, certificants ensure the

accuracy, context of the information and completeness of the communication.

9.2 Citing Source and Copyright of Published Materials

Certificants obtain consent of the publisher and/or copyright holder before

citing any published or copyrighted material. All sources will be properly cited.

9.3 Statement of Contractual Agreement

Any contractual agreement will be made in good faith, with clear objectives

and expectations of the certificant and the client.

9.4 Advertisements and Announcements of Services

a. Certificants will not make any misrepresentative advertisement

or announcement.

b. To avoid any misrepresentation or misunderstanding, certificants use

professional titles, degrees, and credentials that accurately represent their

education and training.

c. Certificants obtain permission before using QABA approved logos, approved

coursework or continuing education provider logos as outlined in QABA Policy

and Procedures and approved-provider policy and guidelines.

9.5 Statements on Behalf of Organizations/Places of Employment

Statements on behalf of organizations/places of employment are not made

without prior consent of the organization or place of employment.

10.0 RESEARCH

Research is to be conducted only after approval is obtained by an institutional

review board and will be conducted using approved

research protocol. The certificant’s primary goal is to maintain the client’s welfare

while contributing to scientific, educational, or applied value in a significant way.

10.1 Obtaining Informed Consent for Research

Informed Consent is obtained from the participant(s) prior to conducting any

research. Informed consent includes the nature of the study, limits of

confidentiality, rights to decline, unforeseen consequences, the use of data

obtained and results of the study, the researcher’s contact information, and any

other requirements set forth by the institutional review board.

10.2 Welfare in Research

Research should not cause physical or psychological harm to participants,

students, clients, and/or subordinates. All attempts are made to minimize

discomfort or stress during participation.

10.3 Deception

a. Deception should be avoided when conducting research unless it has been

determined that the research will add scientific, educational, or applied value

and it would not be possible to conduct without the use of deception. The

researcher will consult with their educational institution and/or other

overseeing regulation board regarding deception and apply the most stringent

regulation.

b. Participants will not be offered excessive inducements for participating in or

reporting specific results.

10.4 Debriefing

All participants will be debriefed at the conclusion of their participation or as

indicated by the applicable regulation board. Debriefing includes but is not

limited to explaining the purpose of the study, reviewing results (when

available), answer the participant’s questions, and offer a copy of the research

publication once complete.

10.5 Research Data and Results

a. The researcher will not use misleading or fabricated data. Reasonable steps

to correct errors in data are taken if/when errors occur. Duplication of data is

not permissible when presented as new/original data.

b. The researcher makes his/her data available for verification purposes

when requested.

10.6 Plagiarism and Research Publication Acknowledgement

Plagiarism is unacceptable and appropriate citation must be used in

publications when using another’s work. Researchers will credit those who

added substantial contribution to the research when publishing his/her work.