lect 2

BACB Ethics Code Section 2: Responsibilities in Practice

2.01 Providing Effective Treatment

• Behavior analysts prioritize clients’ rights and needs in service delivery.

• They provide services that are conceptually consistent with behavioral principles, based on scientific evidence, and designed to maximize desired outcomes for and protect all clients, stakeholders, supervisees, trainees, and research participants from harm.

• Behavior analysts implement nonbehavioral services with clients only if they have the required education, formal training, and professional credentials to deliver such services.

2.02 Timeliness

Behavior analysts deliver services and carry out necessary service-related administrative responsibilities in a timely manner.

2.03 Protecting Confidential Information

Behavior analysts take appropriate steps to protect the confidentiality of clients, stakeholders, supervisees, trainees, and research participants; prevent the accidental or inadvertent sharing of confidential information; and comply with applicable Updated 09/2021, Copyright © 2020, BACB® | All rights reserved. Behavior Analyst Certification Board | Ethics Code for Behavior Analysts | 11 confidentiality requirements (e.g., laws, regulations, organization policies).

The scope of confidentiality includes service delivery (e.g., live, teleservices, recorded sessions); documentation and data; and verbal, written, or electronic communication.

2.04 Disclosing Confidential Information

Behavior analysts only share confidential information about clients, stakeholders, supervisees, trainees, or research participants: (1) when informed consent is obtained; (2) when attempting to protect the client or others from harm; (3) when attempting to resolve contractual issues; (4) when attempting to prevent a crime that is reasonably likely to cause physical, mental, or financial harm to another; or (5) when compelled to do so by law or court order.

When behavior analysts are authorized to discuss confidential information with a third party, they only share information critical to the purpose of the communication.

2.05 Documentation Protection and Retention

Behavior analysts are knowledgeable about and comply with all applicable requirements (e.g., BACB rules, laws, regulations, contracts, funder and organization requirements) for storing, transporting, retaining, and destroying physical and electronic documentation related to their professional activities.

They destroy physical documentation after making electronic copies or summaries of data (e.g., reports and graphs) only when allowed by applicable requirements. When a behavior analyst leaves an organization, these responsibilities remain with the organization.

2.06 Accuracy in Service Billing and Reporting

Behavior analysts identify their services accurately and include all required information on reports, bills, invoices, requests for reimbursement, and receipts.

They do not implement or bill nonbehavioral services under an authorization or contract for behavioral services. If inaccuracies in reporting or billing are discovered, they inform all relevant parties (e.g., organizations, licensure boards, funders), correct the inaccuracy in a timely manner, and document all actions taken in this circumstance and the eventual outcomes.

2.07 Fees

• Behavior analysts implement fee practices and share fee information in compliance with applicable laws and regulations.

• They do not misrepresent their fees.

• In situations where behavior analysts are not directly responsible for fees, they must communicate these requirements to the responsible party and take steps to resolve any inaccuracy or conflict.

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

2.08 Communicating About Services

• Behavior analysts use understandable language in, and ensure comprehension of, all communications with clients, stakeholders, supervisees, trainees, and research participants.

• Before providing services, they clearly describe the scope of services and specify the conditions under which services will end.

• They explain all assessment and behavior-change intervention procedures before implementing them and explain assessment and intervention results when they are available.

• They provide an accurate and current set of their credentials and a description of their area of competence upon request.

2.09 Involving Clients and Stakeholders

Behavior analysts make appropriate efforts to involve clients and relevant stakeholders throughout the service relationship, including selecting goals, selecting and designing assessments and behavior-change interventions, and conducting continual progress monitoring.

2.10 Collaborating with Colleagues

• Behavior analysts collaborate with colleagues from their own and other professions in the best interest of clients and stakeholders.

• Behavior analysts address conflicts by compromising when possible and always prioritizing the best interest of the client.

• Behavior analysts document all actions taken in these circumstances and their eventual outcomes.

2.11 Obtaining Informed Consent

• Behavior analysts are responsible for knowing about and complying with all conditions under which they are required to obtain informed consent from clients, stakeholders, and research participants (e.g., before initial implementation of assessments or behavior-change interventions, when making substantial changes to interventions, when exchanging or releasing confidential information or records).

• They are responsible for explaining, obtaining, reobtaining, and documenting required informed consent. They are responsible for obtaining assent from clients when applicable.

2.12 Considering Medical Needs

• Behavior analysts ensure, to the best of their ability, that medical needs are assessed and addressed if there is any reasonable likelihood that a referred behavior is influenced by medical or biological variables.

• They document referrals made to a medical professional and follow up with the client after making the referral.

2.13 Selecting, Designing, and Implementing Assessments • Before selecting or designing behavior-change interventions behavior

analysts select and design assessments that are conceptually consistent with behavioral principles; that are based on scientific evidence; and that best meet the diverse needs, context, and resources of the client and stakeholders.

• They select, design, and implement assessments with a focus on maximizing benefits and minimizing risk of harm to the client and stakeholders.

• They summarize the procedures and results in writing.

2.14 Selecting, Designing, and Implementing Behavior-Change Interventions • Behavior analysts select, design, and implement behavior-change interventions that:

• (1) are conceptually consistent with behavioral principles;

• (2) are based on scientific evidence;

• (3) are based on assessment results;

• (4) prioritize positive reinforcement procedures; and

• (5) best meet the diverse needs, context, and resources of the client and stakeholders. Behavior analysts also consider relevant factors (e.g., risks, benefits, and side effects; client and stakeholder preference; implementation efficiency; cost effectiveness) and design and implement behavior-change interventions to produce outcomes likely to maintain under naturalistic conditions.

• They summarize the behavior-change intervention procedures in writing (e.g., a behavior plan).

2.15 Minimizing Risk of Behavior-Change Interventions • Behavior analysts select, design, and implement behavior-change interventions (including the

selection and use of consequences) with a focus on minimizing risk of harm to the client and stakeholders.

• They recommend and implement restrictive or punishment-based procedures only after demonstrating that desired results have not been obtained using less intrusive means, or when it is determined by an existing intervention team that the risk of harm to the client outweighs the risk associated with the behavior-change intervention.

• When recommending and implementing restrictive or punishment-based procedures, behavior analysts comply with any required review processes (e.g., a human rights review committee).

• Behavior analysts must continually evaluate and document the effectiveness of restrictive or punishment-based procedures and modify or discontinue the behavior-change intervention in a timely manner if it is ineffective.

2.16 Describing Behavior-Change Interventions Before Implementation • Before implementation, behavior analysts describe in writing the objectives and

procedures of the behavior-change intervention, any projected timelines, and the schedule of ongoing review.

• They provide this information and explain the environmental conditions necessary for effective implementation of the behavior-change intervention to the stakeholders and client (when appropriate).

• They also provide explanations when modifying existing or introducing new behavior- change interventions and obtain informed consent when appropriate.

2.17 Collecting and Using Data

• Behavior analysts actively ensure the appropriate selection and correct implementation of data collection procedures.

• They graphically display, summarize, and use the data to make decisions about continuing, modifying, or terminating services.

2.18 Continual Evaluation of the Behavior- Change Intervention • Behavior analysts engage in continual monitoring and evaluation of behavior-change

interventions.

• If data indicate that desired outcomes are not being realized, they actively assess the situation and take appropriate corrective action.

• When a behavior analyst is concerned that services concurrently delivered by another professional are negatively impacting the behavior-change intervention, the behavior analyst takes appropriate steps to review and address the issue with the other professional.

2.19 Addressing Conditions Interfering with Service Delivery • Behavior analysts actively identify and address environmental conditions (e.g., the

behavior of others, hazards to the client or staff, disruptions) that may interfere with or prevent service delivery.

• In such situations, behavior analysts remove or minimize the conditions, identify effective modifications to the intervention, and/or consider obtaining or recommending assistance from other professionals.

• Behavior analysts document the conditions, all actions taken, and the eventual outcomes.

BACB Ethics Code Section 2: Responsibilities in Practice

2.01 Providing Effective Treatment

• Behavior analysts prioritize clients’ rights and needs in service delivery.

• They provide services that are conceptually consistent with behavioral principles, based on scientific evidence, and designed to maximize desired outcomes for and protect all clients, stakeholders, supervisees, trainees, and research participants from harm.

• Behavior analysts implement nonbehavioral services with clients only if they have the required education, formal training, and professional credentials to deliver such services.

2.02 Timeliness

Behavior analysts deliver services and carry out necessary service-related administrative responsibilities in a timely manner.

2.03 Protecting Confidential Information

Behavior analysts take appropriate steps to protect the confidentiality of clients, stakeholders, supervisees, trainees, and research participants; prevent the accidental or inadvertent sharing of confidential information; and comply with applicable Updated 09/2021, Copyright © 2020, BACB® | All rights reserved. Behavior Analyst Certification Board | Ethics Code for Behavior Analysts | 11 confidentiality requirements (e.g., laws, regulations, organization policies).

The scope of confidentiality includes service delivery (e.g., live, teleservices, recorded sessions); documentation and data; and verbal, written, or electronic communication.

2.04 Disclosing Confidential Information

Behavior analysts only share confidential information about clients, stakeholders, supervisees, trainees, or research participants: (1) when informed consent is obtained; (2) when attempting to protect the client or others from harm; (3) when attempting to resolve contractual issues; (4) when attempting to prevent a crime that is reasonably likely to cause physical, mental, or financial harm to another; or (5) when compelled to do so by law or court order.

When behavior analysts are authorized to discuss confidential information with a third party, they only share information critical to the purpose of the communication.

2.05 Documentation Protection and Retention

Behavior analysts are knowledgeable about and comply with all applicable requirements (e.g., BACB rules, laws, regulations, contracts, funder and organization requirements) for storing, transporting, retaining, and destroying physical and electronic documentation related to their professional activities.

They destroy physical documentation after making electronic copies or summaries of data (e.g., reports and graphs) only when allowed by applicable requirements. When a behavior analyst leaves an organization, these responsibilities remain with the organization.

2.06 Accuracy in Service Billing and Reporting

Behavior analysts identify their services accurately and include all required information on reports, bills, invoices, requests for reimbursement, and receipts.

They do not implement or bill nonbehavioral services under an authorization or contract for behavioral services. If inaccuracies in reporting or billing are discovered, they inform all relevant parties (e.g., organizations, licensure boards, funders), correct the inaccuracy in a timely manner, and document all actions taken in this circumstance and the eventual outcomes.

2.07 Fees

• Behavior analysts implement fee practices and share fee information in compliance with applicable laws and regulations.

• They do not misrepresent their fees.

• In situations where behavior analysts are not directly responsible for fees, they must communicate these requirements to the responsible party and take steps to resolve any inaccuracy or conflict.

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

2.08 Communicating About Services

• Behavior analysts use understandable language in, and ensure comprehension of, all communications with clients, stakeholders, supervisees, trainees, and research participants.

• Before providing services, they clearly describe the scope of services and specify the conditions under which services will end.

• They explain all assessment and behavior-change intervention procedures before implementing them and explain assessment and intervention results when they are available.

• They provide an accurate and current set of their credentials and a description of their area of competence upon request.

2.09 Involving Clients and Stakeholders

Behavior analysts make appropriate efforts to involve clients and relevant stakeholders throughout the service relationship, including selecting goals, selecting and designing assessments and behavior-change interventions, and conducting continual progress monitoring.

2.10 Collaborating with Colleagues

• Behavior analysts collaborate with colleagues from their own and other professions in the best interest of clients and stakeholders.

• Behavior analysts address conflicts by compromising when possible and always prioritizing the best interest of the client.

• Behavior analysts document all actions taken in these circumstances and their eventual outcomes.

2.11 Obtaining Informed Consent

• Behavior analysts are responsible for knowing about and complying with all conditions under which they are required to obtain informed consent from clients, stakeholders, and research participants (e.g., before initial implementation of assessments or behavior-change interventions, when making substantial changes to interventions, when exchanging or releasing confidential information or records).

• They are responsible for explaining, obtaining, reobtaining, and documenting required informed consent. They are responsible for obtaining assent from clients when applicable.

2.12 Considering Medical Needs

• Behavior analysts ensure, to the best of their ability, that medical needs are assessed and addressed if there is any reasonable likelihood that a referred behavior is influenced by medical or biological variables.

• They document referrals made to a medical professional and follow up with the client after making the referral.

2.13 Selecting, Designing, and Implementing Assessments • Before selecting or designing behavior-change interventions behavior

analysts select and design assessments that are conceptually consistent with behavioral principles; that are based on scientific evidence; and that best meet the diverse needs, context, and resources of the client and stakeholders.

• They select, design, and implement assessments with a focus on maximizing benefits and minimizing risk of harm to the client and stakeholders.

• They summarize the procedures and results in writing.

2.14 Selecting, Designing, and Implementing Behavior-Change Interventions • Behavior analysts select, design, and implement behavior-change interventions that:

• (1) are conceptually consistent with behavioral principles;

• (2) are based on scientific evidence;

• (3) are based on assessment results;

• (4) prioritize positive reinforcement procedures; and

• (5) best meet the diverse needs, context, and resources of the client and stakeholders. Behavior analysts also consider relevant factors (e.g., risks, benefits, and side effects; client and stakeholder preference; implementation efficiency; cost effectiveness) and design and implement behavior-change interventions to produce outcomes likely to maintain under naturalistic conditions.

• They summarize the behavior-change intervention procedures in writing (e.g., a behavior plan).

2.15 Minimizing Risk of Behavior-Change Interventions • Behavior analysts select, design, and implement behavior-change interventions (including the

selection and use of consequences) with a focus on minimizing risk of harm to the client and stakeholders.

• They recommend and implement restrictive or punishment-based procedures only after demonstrating that desired results have not been obtained using less intrusive means, or when it is determined by an existing intervention team that the risk of harm to the client outweighs the risk associated with the behavior-change intervention.

• When recommending and implementing restrictive or punishment-based procedures, behavior analysts comply with any required review processes (e.g., a human rights review committee).

• Behavior analysts must continually evaluate and document the effectiveness of restrictive or punishment-based procedures and modify or discontinue the behavior-change intervention in a timely manner if it is ineffective.

2.16 Describing Behavior-Change Interventions Before Implementation • Before implementation, behavior analysts describe in writing the objectives and

procedures of the behavior-change intervention, any projected timelines, and the schedule of ongoing review.

• They provide this information and explain the environmental conditions necessary for effective implementation of the behavior-change intervention to the stakeholders and client (when appropriate).

• They also provide explanations when modifying existing or introducing new behavior- change interventions and obtain informed consent when appropriate.

2.17 Collecting and Using Data

• Behavior analysts actively ensure the appropriate selection and correct implementation of data collection procedures.

• They graphically display, summarize, and use the data to make decisions about continuing, modifying, or terminating services.

2.18 Continual Evaluation of the Behavior- Change Intervention • Behavior analysts engage in continual monitoring and evaluation of behavior-change

interventions.

• If data indicate that desired outcomes are not being realized, they actively assess the situation and take appropriate corrective action.

• When a behavior analyst is concerned that services concurrently delivered by another professional are negatively impacting the behavior-change intervention, the behavior analyst takes appropriate steps to review and address the issue with the other professional.

2.19 Addressing Conditions Interfering with Service Delivery • Behavior analysts actively identify and address environmental conditions (e.g., the

behavior of others, hazards to the client or staff, disruptions) that may interfere with or prevent service delivery.

• In such situations, behavior analysts remove or minimize the conditions, identify effective modifications to the intervention, and/or consider obtaining or recommending assistance from other professionals.

• Behavior analysts document the conditions, all actions taken, and the eventual outcomes.