Ethics Code Review

Disclaimer: All of the information included is coming directly from Bailey and Burch’s Book: Ethics for Behavior
Analysts, 3rd Edition. It is only intended to aid in my studies prior to taking the BCBA certification. I am not
currently a BCBA and all information can be verified and found in the Ethics book. (Pages 57- 218)
Bailey, Jon S., and Mary R. Burch. Ethics for Behavior Analysts. 3rd ed., Routledge, 2016.

Summarized By: Karina Valdez-Gonzalez M.S

Code 1: Responsible Conduce of Behavior Analysts (“High Standards”)

• 1.01-Reliance on Scientific Knowledge

o Reliance on scientific evidence is the basis of our practice
o Behavior analysts depend on objective data that is sufficient to allow a data-based intervention
• 1.02-Boudaries of Competence
o All behavior analysts provide services ONLY within the boundaries of their competence
o Services are provided ONLY after first undertaking appropriate study, training, supervision and/or
consultation from persons who are competent in those areas
o If we step outside our boundaries of competence, we risk harming our client and being held liable
• 1.03- Maintaining Competence through Professional Development
o Behavior analysts maintain knowledge of current scientific and professional information in their areas
of practice by reading appropriate literature, attending conferences and conventions, participating in
workshops, obtaining additional coursework and maintaining professional credentials.
o Appropriate literature includes peer-reviewed, evidence-based research that is current and relevant
• 1.04- Integrity
o Behavior Analysts are truthful and honest and arrange the environment to promote honest behavior
o Do not use contingencies that cause others to engage in fraudulent, illegal or unethical conduct
o Refrain from making professional commitments you cannot keep #knowyourlimits
o Conform to the legal and ethical codes of the social and professional community you belong to
o Solve legal or ethical conflicts in a responsible manner and in accordance to the law
• 1.05-Professional and Scientific Relationship
o Behavior analyst provide services in the context of a defined, professional, or scientific relationship
o Free advice to friends, neighbors, or relatives is unethical
o Must be at least bilingual to be effective as a BCBA (technical language and English layman’s-term)
when dealing with parents and caregivers
o Be aware of cultural and ethnic differences, when necessary call on someone with the proper cultural
expertise to expedite his or her services
o Do not engage in discrimination against individuals or groups based on age, sex, race, etc.
#dontbeanasshole
o Avoid inappropriate jokes or stories passed around about people with disabilities language
impairment, race, religions or ethnicity.
o Engage in self-monitoring and make other arrangements to have their work covered by other qualified
professionals.
• 1.06-Multiple Relationships and Conflicts of Interest
o Avoid multiple relationships due to potentially harmful effects
o Be sensitive to the potentially harmful effects of dual relationships, if a multiple relationship has
arisen seek to resolve it immediately. (dual relationships can create an impression of favoritism)
 o Recognize and inform clients and supervises about the potential harmful effects of multiple
relationships.
o WE DO NOT ACCEPT GIFTS (we are there as therapy providers not guest in the client’s homes)
• 1.07-Exploitative Relationships
o Do not exploit persons who you supervise, evaluate, or have other authority over
o Do not have sex with your client, student, or supervisees #2years
o Bartering must be written down and outlined by both parties if it is used for service repayment.
Code 2: Behavior Analysts Responsibility to Clients (Most Effective Treatment)

• 2.01-Accepting Clients
o “Client”: whomever you provide services to (client, parent, organization, etc.)
o Only accept individuals whose requested services fall under your education, training, resources and
experience #boundariesofcompetence
• 2.02-Responsibility
o When multiple parties are involved that could be defined as a client use a #hierarchyofparties and
communicate it to those involved since the offset of the relationship
o Our primary responsibility is for the student receiving direct therapy #applied
• 2.03-Consultation
o Arrange appropriate consultations and referrals based on the best interest of your client
o “Appropriate consultations” refer to those that are in an evidence-based field compatible with ABA
o Cooperate with other professionals in a matter that is consistent with principles of behavior #PER
o When presented with an approach that is not ABA based, listen and contribute to the intervention
within your competence #beagoodlistener
• 2.04- Third Party Involvement in Services
o At the outset of the relationship clearly define the nature of the relationship with each party and
discuss any potential issues
o When involved in a conflict with third parties: focus on the data-based methodology and only
provide information that falls under your scope of practice (i.e.: custody battle)
o Informed consent is extremely important when working with protected populations
o Always follow the individualized treatment for your client, if third parties request for treatment
that contradicts our recommendations it is our ethical duty to resolve these issues in the best
interest of our client.
• 2.05- Rights and Prerogatives of Clients
o Rights of the client are overriding, and behavior analysts support the client’s legal rights and
choices
o You must be able to provide your BCBA credentials upon request
o Electronic recording of interviews of services must have written consent.
o Clients and supervisees hold the right to lodge complaints about professional practices to our
employer, appropriate authorities and the BACB.
o Must comply with the completion of a criminal background check
• 2.06-Maintaining Confidentiality
o We must take reasonable precautions to protect the confidentiality of those with whom we work
o Confidentiality must be discussed at the outset of the relationship and thereafter as new
circumstances may warrant
o Only discuss confidential information obtained in clinical or consulting relationships with people
clearly concerned with such matters
o DON’T POST ON SOCIAL MEDIA #hippa
• 2.07- Maintaining Records
o Maintain confidentiality while creating, storing, accessing, transferring, disposing of client records
o Create a reliable method for keeping information about client confidential and secured
o Keep your records stored to meet law, corporate, and organizational policies
• 2.08-Disclosures
o Never disclose confidential information without WRITTEN consent, and only include what is
minimally necessary
o Collaborate with professional consultations to ensure understanding of the client’s needs
• 2.09-Treatment/Intervention Efficacy
o Educate the client about scientifically supported most-effective treatment procedures
o Clients have a right to an EFFECTIVE treatment which is evidence based #operantconditioning
o Advocate for the appropriate amount and level of service provision and oversight required to meet
behavior change program goals #billwhattheyneed
o Other factors to include when selecting interventions are efficiency, cost-effectiveness, risk and
side effects of the intervention, client preferences, and practitioner experience and training.
o Review and appraise the effects of ANY treatment which might impact the behavior change
programs #otherprofessions
• 2.10- Documenting Professional Work and Research
o Document all your work and any research findings #technical
o Create methods of documenting specific to your clients’ needs if necessary.
• 2.11-Records and Data
o DATA DATA DATA!!! (for client programs, meetings, trainings, etc.)
o Keep your records for #7years or whatever your company requires
• 2.12-Contracts, Fees, and Financial Arrangements
o At the outset of the professional relationship you must outline the responsibilities of all parties and
the scope of the behavior analytic services
o Reach an agreement with the clients regarding compensation and billing arrangement
o Keep your rates consistent with the law and do not misinterpret your fees
o If funding circumstances change the financial responsibility and limits must be revisited with the
client immediately
• 2.13-Accuracy in Billing Reports
o Accurately state the nature of the services provided, the fees or charges, the identify of the
provider, relevant outcomes and other required descriptive data #dontsteal
• 2.14-Referrals and Fees
o You cannot receive money, gifts or other enticements for any professional referrals
o Always provide several options for referrals so the client can choose who they work with
o If there is a dual relationship between you and the person you are referring to you must disclose it
to the client
• 2.15-Interrupting or Discontinuing Services
o Always act in the best interest of the client and supervisee to avoid interruption or disruption of
service
o Make considerable and timely efforts to facilitate continuation of services in case of an unplanned
interruption
o When entering in a contractual relationship make sure that the resolution of responsibility of
services is clearly outlined in case the relationship ends
o Clearly define transition or fading procedures
 o Discontinuation of services only occur after efforts to transition have been made or treatment is no
longer beneficial for the client
o NEVER ABANDON YOUR CLIENTS, discuss service needs, suggest further services, providers, and
reasonable steps to follow when services are being discontinued
Code 3: Assessing Behavior

• 3.01-Behavior-Analytic Assessment
o Always start with baseline of the behavior (operationally define and train observers appropriately)
o SHOW ME THE DATA!!!
o Conduct assessments prior to making recommendations or developing behavior-change programs
to find the FUNCTION of the behavior and the current repertoire of the client
o Describe the conditions in which the behavior is most likely to occur or not occur
o Collect and graph the obtained data to interpret it and make data-based recommendations
• 3.02-Medical Consultation
o Rule out any possible medical conditions prior to implementing any treatment #Parsimony
• 3.03-Behavior-Analytic Assessment Consent
o Before you conduct the assessment make sure the client understands the procedure used, who will
participate and how the resulting information will be utilized.
o Get written approval before starting the intervention procedures #signthetreatmentplan
• 3.04-Explaining Assessment Results
o Explain the assessment results using language and graphics that are reasonably understandable to
the client #laymansterms
• 3.05- Consent-Client Records
o Obtain the written consent of the client BEFORE obtaining or disclosing client records from or to
other sources for assessment purposes
o Blanket agreements are not adequate to preserve confidentiality
Code 4: Behavior Analysts and the Behavior-Change Program (Conceptually Systematic)

• 4.01-Conceptual Consistency
o PUNISHMENT, EXTINCTION, REINFORCEMENT
o All interventions must be consistent with behavior analytic principles
o If it is not evidence based, then we will not implement interventions #weightedvests
• 4.02- Involving Clients in Planning and Consent
o Involve the cline in the planning of and consent for behavior change programs
o It is important for us to be in tune with the values of individual clients #ACT
• 4.03-Individualized Behavior-Change Programs
o All programs must be tailored to the unique behaviors, environmental variables, assessment
results, and goals of each client
o Do not plagiarize treatment plants #individualizedtreatment #stopcopypaste
• 4.04-Approving Behavior-Change Programs
o Get signatures BEFORE implementing and when any significant modifications have been made
• 4.05-Describing Behavior-Change Program Objectives
o Describe in writing the objectives of the behavior-change program and include information
regarding the risk benefit analysis
o Ensure the client understands the goals, methods, and timeline of treatment to avoid
disappointment with the results #settingexpectations
o Don’t allow parents to be blindsided by unexpected effects #extinctionburst
 • 4.06-Describing Conditions for Behavior-Change Program Success
o Describe to the client the environmental conditions that are needed to ensure the effectiveness of
treatment #cooperation #necessaryresources
• 4.07-Environmental Conditions that Interfere with Implementation
o Identify conditions that prevent the implementation of behavior change programs and adjust or
give recommendations when needed #additionalstaff
o Work to eradicate any conditions that hinder the implementation of the programs #eliminate
#barrierstotreatment
• 4.08-Considerations Regarding Punishment Procedures
o REINFORCEMENT ALWAYS GOES FIRST
o If punishment is necessary, make sure you include reinforcement procedures for alternative
behaviors in the behavior-change program
o Make sure reinforcement procedures have been implemented and justify the need to implement
punishment #showmethedata
o If punishment procedures are necessary ensure that there is an increased level of training,
supervision, and oversight during the implementation of the aversive condition
o Always include the plan to discontinue the use of aversive procedures when no longer needed
• 4.09-Least Restrictive Procedures
o Recommend the least restrictive procedures likely to be effective
o Do not interfere with the client’s ability to contact reinforcers
o Provide client with freedom of choice #matchinglaw
• 4.10-Avoiding Harmful Reinforcers
o Minimize the use of potentially harmful reinforcers or those that require excessive motivating
operations to be effective
• 4.11-Discontinuing Behavior-Change Programs and Behavior Analytic Services
o Establish understandable and objective criteria for the discontinuation of the behavior program
and describe them to the client #vv-mapp
Code 5: Behavior Analysts as Supervisors

• 5.01-Supervisory Competence
o Supervise only within the areas of defined competence
o “Defined competence”: types of specific training and supervision that was obtained in graduate
school or sometime later, receiving a certificate of completion of training ensures that this
constitutes as a defined competence
• 5.02-Supervisory Volume
o Only accept a volume of supervisory activity that is equal with the supervision remaining effective
o Ensure all supervisees will have their regularly scheduled one-on-one observations and feedback
sessions #knowyourlimits
• 5.03-Supervisory Delegation
o Only delegate to supervisees those responsibilities that they are able to perform competently,
ethically and safely
o If the supervisee does not possess the skills to perform competently, ethically and safely it is our
responsibility to provide conditions for the acquisition of those skills
o Ensure supervisee is observed sufficiently- live, through videotape or via role play- to understand
weaknesses and strengths
 • 5.04-Designing Effective Supervision and Training
o Use behavioral procedures when it comes to training and supervision
o Ensure supervision and training help the supervisee meet the requirement for licensure,
certification or other defined goals
o Avoid topics like mindfulness or non-behavior-analytic methods #tasklistfocused
• 5.05-Communication of Supervision Conditions
o At the outset of the supervision relationship the contract is written to describe what is expected of
the supervisee prior to the start of the supervisory experience #settingexpectations
• 5.06-Providing Feedback to Supervisees
o Design feedback and reinforcement systems in a way that improves supervisee performance
o Provide documented and timely feedback regarding the performance of a supervisee on an
ongoing basis #BST
• 5.07-Evaluating the Effects of Supervision
o Design systems for obtaining ongoing evaluations of their own supervision activities
o Specify in writing what is expected of each supervisee including the timeline for meeting goals
o Most supervisors could benefit from occasional feedback from another supervisor who is asked to
give feedback or view a supervision session
o Conduct regular evaluations from supervisees (on a scale from 1 – 5 how prepared do you feel?...)
Code 6: Ethical Responsibility to the Profession of Behavior Analysis

• 6.01- Affirming Principles

o Always uphold and advance the values, ethics, and principles of the profession
o We all have a rock-solid commitment to the study of socially significant, individual human behavior
and the methodology for changing that behavior of the betterment of the individual and society
o Primary commitment is to the study of learned behaviors and the use of positive reinforcement
o Obligation to participate in behavior analytic professional and scientific organizations or activities
o Stay connected and informed with new developments in the field by reading journals or attending
conferences
• 6.02- Disseminating Behavior Analysis
o Strive to make information about ABA available to the public through presentations, discussions,
and other media.
o Utilize layman’s terms when communicating with clients, advocates, and average citizens who
could benefit from knowing more about our principles and procedures
Code 7: Ethical Responsibility to Colleagues

• 7.01- Promoting an Ethical Culture

o When possible create company policies that include references to the ethics standards and the
ethics Code #thefieldisgrowing
• 7.02- Ethical Violations by Others and Risk of Harm
o If you believe there is a legal or ethical violation there are steps to determine whether there is a
violation, the first step is establishing if there is potential for harm.
o If the client’s legal rights are being violated or there is potential harm behavior analysts must take
the necessary actions to protect the client
o If there is an immediate risk of harm: a mandated reporting call to CPS or APS is in order.
o If there is a legal violation: contact the appropriate agency, such as police or sheriff’s department
o If there is no immediate risk of harm: attempt to resolve the issue by bringing it to the attention of
that individual and documenting their efforts to address the matter, the best scenario would
 include them recognizing the violation and correcting it immediately. If the individual resists the
correction the it is necessary to report the individual to the BACB or other appropriate authority.
o If it meets the reporting requirements: file a formal complaint and be ready to submit supporting
documentation of the violation
Code 8: Public Statements

• 8.01- Avoiding False or Deceptive Statements

o Do not make public statements that are false, deceptive, misleading, exaggerated or fraudulent.
o Do not claim other non-behavior analytic degrees when implementing ABA #noOTorSLP
o Do not exaggerate or misrepresent behavior analysis in order to gain attention or build a positive
business reputation.
o Do not implement, advertise, or bill for any non-behavior analytic intervention as behavior analytic
• 8.02- Intellectual Property
o Obtain permission to use trademarked or copyrighted materials as required by law #payforreleases
o Give appropriate credit to authors when delivering lectures, workshops, or presentations or
referencing research or any conceptual breakthroughs
o Give credit where credit is due #dontlie
• 8.03- Statements by Others
o You are responsible for statements and the content included when advertising products or services
o Make reasonable efforts to prevent others from making deceptive statements
o Correct any deceptive statements ASAP
o Paid advertisement must be identified as such, unless it is apparent from the context
• 8.04- Media Presentations and Media-Based Services
o Obtain and maintain knowledge regarding security and limitations when using electronic media
o You are responsible for maintaining and controlling data we create, receive, and modify
o Do no disclose personally identifiable information concerning clients, supervisees, students,
research participants or other recipients, unless you have #writtenconsent
o Disguise confidential information when necessary
o Do not include photos of clients on web pages or presentations, it exposes people with an ASD
diagnosis or those receiving behavioral services
o Take reasonable precautions to ensure that:
▪ Statements are based on appropriate behavior-analytic literature and practice
▪ Statements are consistent with the code
▪ Advice or comment does not create an agreement for service
• 8.05- Testimonials and Advertising
o Do not solicit or used testimonials from current clients for publication, only former clients
#defineclient #conflictofinterest
o If you obtain a testimonial, ensure it is identified as solicited or unsolicited
• 8.06- In-person Solicitation
o Do not engage, directly or through agents, in uninvited in-person solicitation of business from
actual potential users #dontshowupattheoffice
Code 9- Behavior Analysts and Research

• 9.01- Confirming with Laws and Regulations

o Conduct research in a manner consistent with all applicable and regulations
o Be aware and abide by “applicable” state laws regarding the involvement of anyone participating in
their research
• 9.02- Characteristics of Responsible Research
o Obtain an approval for research from an independent, formal research review board
o Submit revisions when needed to meet the high standards
o Baseline is considered part of the research project so first WAIT
o Respect the needs of settings and clients right to treatment in those settings
o Conduct research competently and with concern for client dignity and interest in their welfare
o Plan research to minimize the possibility that results will be misleading #usetherightIOA
o Only perform task which you are appropriately trained and prepared on
o If there is an ethical issue, analysts seek to resolve the issue through consultation with the formal
review board
o Only conduct research after you have done it with direct supervision
o This code item draws a fine line separating practice from research
o Mitigate risks with procedures by training those involved in the research
o If you learn of a misuse or misrepresentation of individual work and take appropriate steps to
correct the misuses
o Avoid conflicts of interest when conducting research and minimize interference with the
participants or the environment
o Never: deprive food, rest, comfort, friends, or intrude on the participant’s right to privacy,
movement, and choice.
• 9.03- Informed Consent
o Inform participants in an understandable language about the nature of the research, that they are
free to participate, to decline to participate, or withdraw from research at any time without penalty
o Always have documented evidence that the individual was informed of how the experiment would
proceed and agreed in writing to participate
• 9.04- Using Confidential Information for Didactic or Instructive Purposes
o Do not disclose personally identifiable information concerning their individual or organizational
clients, unless the person or organization has consented in writing or there is a legal authorization
for doing so
o Disguise confidential information concerning participants, so they are not individually identifiable
o Assign numbers to participants and simple present them as “participant 14”
• 9.05- Debriefing
o Inform the participant that debriefing will occur at the conclusion of the participants involvement
in the research
o The true purpose of the research is kept from the participant so as not to bias their responses
#responsebias
• 9.06- Grant and Journal Reviews
o If you serve on grant review panels or as manuscript reviewers avoid conducting any research
described in grant proposals, except as replications fully crediting prior research
o Peer review processes are created for each manuscript submitted for review
• 9.07- Plagiarism
o Fully cite the work of others
o Do not present portions or elements of another’s work or data as your own
o Don’t plagiarize it is #academictheft
• 9.08- Acknowledging Contributions
o Acknowledge the contributions of others to research by including them as co-authors or footnoting
their contributions
o It is considered poor form to exclude someone who has worked diligently for months on end
 • 9.09- Accuracy and Use of Data
o Do not fabricate data or falsify results in their publications
o If you discover errors in published data, you must take necessary steps to correct errors
o Always train those collecting data #ioa #believability
o Do not omit findings that may alter interpretations of your work #outliers #donotexcludedata
o Do not publish, as original data, data that has been previously published #citeyourwork
o Do not withhold the data on which their conclusions are based form other competent professionals
o Share your data, this is how the field grows, gains credibility and becomes established as a
discipline worthy of public support
Code 10: Ethical Responsibility to the BACB

• 10.01- Truthful and Accurate Information Provided to the BACB

o Provide truthful and accurate information in applications and documentation submitted to the
board
o Be careful in your preparation of documents presented to the BACB #checkyourwork
o Correct any inaccurate information that is submitted immediately
• 10.02- Timely Responding, Reporting, and Updating of Information Provided to the BACB
o Notify the board within 30 days if:
▪ There is a violation of the ethics code or disciplinary investigation opened against you
▪ If you are convicted of a felony directly related to behavior analysis practice and/or public
health and safety (Won’t be able to apply for recertification for a period of 3 years form
the exhaustion of appeals, completion of parole/probation, or final release from
confinement)
▪ You receive a public or safety-related fine which includes your name #speedingtickets #DUIs
▪ A physical or mental condition which impairs your ability to competently practice ABA
▪ A change of name, address, or email contact
• 10.03- Confidentiality and BACB Intellectual Property
o Do not infringe on the BACB’s intellectual property rights #logo #credentials #certificates
o Expressly prohibited from disclosing the content of any BACB examination materials
o If you observe cheating during an exam, this should be also reported immediately to the exam
proctor and the BACB
• 10.04- Examination Honesty and Irregularities
o Report suspected cheaters or any unauthorized access to BACB Examinations #answersheets
• 10.05- Compliance with BACB Supervision and Coursework Standards
o You must ensure that your supervision and coursework abide the BACB standards
o Supervisors may be sanctioned if they have been found to have retroactively dated forms
• 10.06- Being Familiar with this Code
o It is your obligation to be familiar with this code, and other licensure requirements for ethical
conducts
o Lack of awareness or misunderstanding of a conduct is not itself a defense #ignoranceaintbliss
• 10.07- Discouraging Misrepresentation by Non-Certified Individuals
o Report non-certified practitioners to the appropriate state licensing board and the BACB if they are
misrepresenting BACB certification or registration status
o Don’t call your self a BCBA until you become certified #earnthoseletters