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BACB Ethics Code Section 3: Responsibilities to Clients and Stakeholders

3.01 Responsibility to Clients

• Behavior analysts act in the best interest of clients, taking appropriate steps to support clients’ rights, maximize benefits, and do no harm. They are also knowledgeable about and comply with applicable laws and regulations related to mandated reporting requirements.

3.02 Identifying Stakeholders

• Behavior analysts identify stakeholders when providing services. When multiple stakeholders (e.g., parent or legally authorized representative, teacher, principal) are involved, the behavior analyst identifies their relative obligations to each stakeholder.

• They document and communicate those obligations to stakeholders at the outset of the professional relationship.

3.03 Accepting Clients

• Behavior analysts only accept clients whose requested services are within their identified scope of competence and available resources (e.g., time and capacity for case supervision, staffing).

• When behavior analysts are directed to accept clients outside of their identified scope of competence and available resources, they take appropriate steps to discuss and resolve the concern with relevant parties.

• Behavior analysts document all actions taken in this circumstance and the eventual outcomes.

3.04 Service Agreement

• Before implementing services, behavior analysts ensure that there is a signed service agreement with the client and/ or relevant stakeholders outlining the responsibilities of all parties, the scope of behavioral services to be provided, the behavior analyst’s obligations under the Code, and procedures for submitting complaints about a behavior analyst’s professional practices to relevant entities (e.g., BACB, service organization, licensure board, funder).

• They update service agreements as needed or as required by relevant parties (e.g., service organizations, licensure boards, funders).

• Updated service agreements must be reviewed with and signed by the client and/or relevant stakeholders.

3.05 Financial Agreements

• Before beginning services, behavior analysts document agreed-upon compensation and billing practices with their clients, relevant stakeholders, and/or funders.

• When funding circumstances change, they must be revisited with these parties.

• Pro bono and bartered services are only provided under a specific service agreement and in compliance with the Code.

3.06 Consulting with Other Providers

• Behavior analysts arrange for appropriate consultation with and referrals to other providers in the best interests of their clients, with appropriate informed consent, and in compliance with applicable requirements (e.g., laws, regulations, contracts, organization and funder policies).

3.07 Third-Party Contract for Services

• When behavior analysts enter into a signed contract to provide services to a client at the request of a third party (e.g., school district, governmental entity), they clarify the nature of the relationship with each party and assess any potential conflicts before services begin.

• They ensure that the contract outlines (1) the responsibilities of all parties, (2) the scope of behavioral services to be provided, (3) the likely use of the information obtained, (4) the behavior analysts’ obligations under the Code, and (5) any limits about maintaining confidentiality.

• Behavior analysts are responsible for amending contracts as needed and reviewing them with the relevant parties at that time.

3.08 Responsibility to the Client with Third-Party Contract • Behavior analysts place the client’s care and welfare above all others. If the third party

requests services from the behavior analyst that are incompatible with the behavior analyst’s recommendations, that are outside of the behavior analyst’s scope of competence, or that could result in a multiple relationship, behavior analysts resolve such conflicts in the best interest of the client.

• If a conflict cannot be resolved, the behavior analyst may obtain additional training or consultation, discontinue services following appropriate transition measures, or refer the client to another behavior analyst.

• Behavior analysts document all actions taken in this circumstance and the eventual outcomes.

3.09 Communicating with Stakeholders About Third-Party Contracted Services • When providing services at the request of a third party to a minor or individual who

does not have the legal right to make personal decisions, behavior analysts ensure that the parent or legally authorized representative is informed of the rationale for and scope of services to be provided, as well as their right to receive copies of all service documentation and data.

• Behavior analysts are knowledgeable about and comply with all requirements related to informed consent, regardless of who requested the services.

3.10 Limitations of Confidentiality

• Behavior analysts inform clients and stakeholders of the limitations of confidentiality at the outset of the professional relationship and when information disclosures are required.

3.11 Documenting Professional Activity

• Throughout the service relationship, behavior analysts create and maintain detailed and high-quality documentation of their professional activities to facilitate provision of services by them or by other professionals, to ensure accountability, and to meet applicable requirements (e.g., laws, regulations, funder and organization policies).

• Documentation must be created and maintained in a manner that allows for timely communication and transition of services, should the need arise.

3.12 Advocating for Appropriate Services

• Behavior analysts advocate for and educate clients and stakeholders about evidence-based assessment and behavior-change intervention procedures.

• They also advocate for the appropriate amount and level of behavioral service provision and oversight required to meet defined client goals.

3.13 Referrals

• Behavior analysts make referrals based on the needs of the client and/or relevant stakeholders and include multiple providers when available.

• Behavior analysts disclose to the client and relevant stakeholders any relationships they have with potential providers and any fees or incentives they may receive for the referrals.

• They document any referrals made, including relevant relationships and fees or incentives received, and make appropriate efforts to follow up with the client and/ or relevant stakeholders.

3.14 Facilitating Continuity of Services

• Behavior analysts act in the best interests of the client to avoid interruption or disruption of services.

• They make appropriate and timely efforts to facilitate the continuation of behavioral services in the event of planned interruptions (e.g., relocation, temporary leave of absence) and unplanned interruptions (e.g., illness, funding disruption, parent request, emergencies).

• They ensure that service agreements or contracts include a general plan of action for service interruptions.

• When a service interruption occurs, they communicate to all relevant parties the steps being taken to facilitate continuity of services. Behavior analysts document all actions taken in this circumstance and the eventual outcomes.

3.15 Appropriately Discontinuing Services

• Behavior analysts include the circumstances for discontinuing services in their service agreement. They consider discontinuing services when:

• (1) the client has met all behavior-change goals,

• (2) the client is not benefiting from the service,

• (3) the behavior analyst and/or their supervisees or trainees are exposed to potentially harmful conditions that cannot be reasonably resolved,

• (4) the client and/or relevant stakeholder requests discontinuation,

• (5) the relevant stakeholders are not complying with the behavior-change intervention despite appropriate efforts to address barriers, or

• (6) services are no longer funded.

• Behavior analysts provide the client and/or relevant stakeholders with a written plan for discontinuing services, document acknowledgment of the plan, review the plan throughout the discharge process, and document all steps taken.

3.16 Appropriately Transitioning Services

• Behavior analysts include in their service agreement the circumstances for transitioning the client to another behavior analyst within or outside of their organization.

• They make appropriate efforts to effectively manage transitions; provide a written plan that includes target dates, transition activities, and responsible parties; and review the plan throughout the transition.

• When relevant, they take appropriate steps to minimize disruptions to services during the transition by collaborating with relevant service providers.

BACB Ethics Code Section 3: Responsibilities to Clients and Stakeholders

3.01 Responsibility to Clients

• Behavior analysts act in the best interest of clients, taking appropriate steps to support clients’ rights, maximize benefits, and do no harm. They are also knowledgeable about and comply with applicable laws and regulations related to mandated reporting requirements.

3.02 Identifying Stakeholders

• Behavior analysts identify stakeholders when providing services. When multiple stakeholders (e.g., parent or legally authorized representative, teacher, principal) are involved, the behavior analyst identifies their relative obligations to each stakeholder.

• They document and communicate those obligations to stakeholders at the outset of the professional relationship.

3.03 Accepting Clients

• Behavior analysts only accept clients whose requested services are within their identified scope of competence and available resources (e.g., time and capacity for case supervision, staffing).

• When behavior analysts are directed to accept clients outside of their identified scope of competence and available resources, they take appropriate steps to discuss and resolve the concern with relevant parties.

• Behavior analysts document all actions taken in this circumstance and the eventual outcomes.

3.04 Service Agreement

• Before implementing services, behavior analysts ensure that there is a signed service agreement with the client and/ or relevant stakeholders outlining the responsibilities of all parties, the scope of behavioral services to be provided, the behavior analyst’s obligations under the Code, and procedures for submitting complaints about a behavior analyst’s professional practices to relevant entities (e.g., BACB, service organization, licensure board, funder).

• They update service agreements as needed or as required by relevant parties (e.g., service organizations, licensure boards, funders).

• Updated service agreements must be reviewed with and signed by the client and/or relevant stakeholders.

3.05 Financial Agreements

• Before beginning services, behavior analysts document agreed-upon compensation and billing practices with their clients, relevant stakeholders, and/or funders.

• When funding circumstances change, they must be revisited with these parties.

• Pro bono and bartered services are only provided under a specific service agreement and in compliance with the Code.

3.06 Consulting with Other Providers

• Behavior analysts arrange for appropriate consultation with and referrals to other providers in the best interests of their clients, with appropriate informed consent, and in compliance with applicable requirements (e.g., laws, regulations, contracts, organization and funder policies).

3.07 Third-Party Contract for Services

• When behavior analysts enter into a signed contract to provide services to a client at the request of a third party (e.g., school district, governmental entity), they clarify the nature of the relationship with each party and assess any potential conflicts before services begin.

• They ensure that the contract outlines (1) the responsibilities of all parties, (2) the scope of behavioral services to be provided, (3) the likely use of the information obtained, (4) the behavior analysts’ obligations under the Code, and (5) any limits about maintaining confidentiality.

• Behavior analysts are responsible for amending contracts as needed and reviewing them with the relevant parties at that time.

3.08 Responsibility to the Client with Third-Party Contract • Behavior analysts place the client’s care and welfare above all others. If the third party

requests services from the behavior analyst that are incompatible with the behavior analyst’s recommendations, that are outside of the behavior analyst’s scope of competence, or that could result in a multiple relationship, behavior analysts resolve such conflicts in the best interest of the client.

• If a conflict cannot be resolved, the behavior analyst may obtain additional training or consultation, discontinue services following appropriate transition measures, or refer the client to another behavior analyst.

• Behavior analysts document all actions taken in this circumstance and the eventual outcomes.

3.09 Communicating with Stakeholders About Third-Party Contracted Services • When providing services at the request of a third party to a minor or individual who

does not have the legal right to make personal decisions, behavior analysts ensure that the parent or legally authorized representative is informed of the rationale for and scope of services to be provided, as well as their right to receive copies of all service documentation and data.

• Behavior analysts are knowledgeable about and comply with all requirements related to informed consent, regardless of who requested the services.

3.10 Limitations of Confidentiality

• Behavior analysts inform clients and stakeholders of the limitations of confidentiality at the outset of the professional relationship and when information disclosures are required.

3.11 Documenting Professional Activity

• Throughout the service relationship, behavior analysts create and maintain detailed and high-quality documentation of their professional activities to facilitate provision of services by them or by other professionals, to ensure accountability, and to meet applicable requirements (e.g., laws, regulations, funder and organization policies).

• Documentation must be created and maintained in a manner that allows for timely communication and transition of services, should the need arise.

3.12 Advocating for Appropriate Services

• Behavior analysts advocate for and educate clients and stakeholders about evidence-based assessment and behavior-change intervention procedures.

• They also advocate for the appropriate amount and level of behavioral service provision and oversight required to meet defined client goals.

3.13 Referrals

• Behavior analysts make referrals based on the needs of the client and/or relevant stakeholders and include multiple providers when available.

• Behavior analysts disclose to the client and relevant stakeholders any relationships they have with potential providers and any fees or incentives they may receive for the referrals.

• They document any referrals made, including relevant relationships and fees or incentives received, and make appropriate efforts to follow up with the client and/ or relevant stakeholders.

3.14 Facilitating Continuity of Services

• Behavior analysts act in the best interests of the client to avoid interruption or disruption of services.

• They make appropriate and timely efforts to facilitate the continuation of behavioral services in the event of planned interruptions (e.g., relocation, temporary leave of absence) and unplanned interruptions (e.g., illness, funding disruption, parent request, emergencies).

• They ensure that service agreements or contracts include a general plan of action for service interruptions.

• When a service interruption occurs, they communicate to all relevant parties the steps being taken to facilitate continuity of services. Behavior analysts document all actions taken in this circumstance and the eventual outcomes.

3.15 Appropriately Discontinuing Services

• Behavior analysts include the circumstances for discontinuing services in their service agreement. They consider discontinuing services when:

• (1) the client has met all behavior-change goals,

• (2) the client is not benefiting from the service,

• (3) the behavior analyst and/or their supervisees or trainees are exposed to potentially harmful conditions that cannot be reasonably resolved,

• (4) the client and/or relevant stakeholder requests discontinuation,

• (5) the relevant stakeholders are not complying with the behavior-change intervention despite appropriate efforts to address barriers, or

• (6) services are no longer funded.

• Behavior analysts provide the client and/or relevant stakeholders with a written plan for discontinuing services, document acknowledgment of the plan, review the plan throughout the discharge process, and document all steps taken.

3.16 Appropriately Transitioning Services

• Behavior analysts include in their service agreement the circumstances for transitioning the client to another behavior analyst within or outside of their organization.

• They make appropriate efforts to effectively manage transitions; provide a written plan that includes target dates, transition activities, and responsible parties; and review the plan throughout the transition.

• When relevant, they take appropriate steps to minimize disruptions to services during the transition by collaborating with relevant service providers.