SPE 567 ASR 1

Objectives
At the end of this ASR, students will be able to:

1. Describe the Ethics Code of the BACB

2. Explain the origins and purpose of the BACB Ethics Code for Behavior
Analysts
3. List the Continuing Education (CE) requirements related to Ethics (&
Supervision)
4. Describe the Actions associated with an Ethical Complaint/Allegation
5. List and explain the possible Sanctions for an Ethical violation
6. List and explain the Core Principles that serve as a framework for the
Ethics Code for Behavior Analysts
7. Define “client” versus “stakeholder” in behavior analysis practice
8. Explain how to resolve simple and complex ethical dilemmas
BACB Ethics Code for Behavior Analysts
● 6 Standards
● Each Standard has a set of sub-standards
6 Standards of The Code
1. Responsibility as a Professional
2. Responsibility in Practice
3. Responsibility to Clients and Stakeholders
4. Responsibility to Supervisees and Trainees
5. Responsibility in Public Statements
6. Responsibility in Research
Origin & Purpose
● Behavior Modification, 1960s - “Aversive consequences were used with
abandon…With no code of ethics and essentially no restrictions, this “treatment”
quickly drifted into flat-out abuse” (Bailey & Burch, 2020, pp. 4-5)
● Blue Ribbon Committee Recommendations (following Sunland Miami case)
● Statewide Peer Review Committee for Behavior Modification (PRC; FL)
● 9 Ethical Principles for Psychologists (Koocher & Keith-Spiegel, 1998, as cited in
Bailey & Burch, 2016, p. 15-25):
Do no harm Accord Dignity
Respect Autonomy Treat Others with Care & Compassion
Benefit Others Pursue Excellence
Be Just Accept Accountability
Be Truthful & Honest
Origin & Purpose, Continued
● “In order for us to have a robust, responsible, and respectable profession,
we must be aware of the conduct of other behavior analysts and be
prepared to stand up for our clients’ right to effective treatment” (Bailey &
Burch, 2016, p. 40)
● “This ethics Code expresses the value system of our field, which states
that those professionals who want to call themselves behavior analysts
must conduct themselves in a way that reflects positively on the field -
very positively, in fact” (p. 58)
● As students of behavior analysis, you are expected to know and adhere to
the Code
● “Ignorance will not set you free” regarding the Code (p. 217)
Overarching Purpose of the Code
To protect the public from unethical
practitioners or those who would do
them harm.
Continuing Education Requirements for BCBAs
Code Enforcement
The BACB is “responsible for establishing and maintaining standards of
professional conduct in the practice of behavior analysis. To protect the public
from practitioners who do not meet these standards, the BACB has adopted
the Ethics Code for Behavior Analysts (Code) and the RBT Ethics Code (2.0)
(RBT Code)...The BACB provides due process to Subjects (the individual alleged
to have violated ethics standards) by giving them notice of the allegation(s)
and an opportunity to respond, having a neutral party determine the outcome
of the Notice, and providing an opportunity to appeal.” (BACB, 2020, p. 1)
Summary Actions
“In certain instances when BACB requirements are violated or an imminent
risk of harm is identified, the BACB is authorized to take action against an
applicant or certificant based on a staff determination. These actions are
referred to as summary actions. To the extent possible, the BACB will expedite
the processing of “summary-action matters”. There are four types of Summary
Actions:

● Summary Invalidation or Ineligibility Based on Fraud or Deceit

● Summary Suspension of Eligibility or Certificaiton for Failure to Respond
● Involuntary Inactivation
● Documentation Audit or Review
BACB 2022, p. 2
BACB 2022, p. 2
BACB 2022, p. 3
BACB 2022, p. 3
 Intake of a Notice
1. Evaluation
a. Evaluating a Notice
b. Declining a Notice
c. Deferring a Notice
d. Processing a Notice
2. Routing a Notice - if a subject does not respond within the designated period of time, their certification will be
suspended.
3. Educational Review - This system focuses on providing the Subject with guidance and support related to the
alleged violation(s). This system is used when it is determined that the allegations are best addressed through
nondisciplinary actions (e.g., feedback, professional-development tasks, coaching), and in inconclusive cases. (BACB 2022,
p. 5)
4. Disciplinary Review

BACB 2022, p. 5
BACB 2022, p. 4
BACB 2022, p. 4
BACB 2022, p. 4
Disciplinary Consequences: Corrective Actions
1. Professional Development:
a. “The Subject must engage in relevant professional-development activities (e.g., earn continuing
education credits or university course credits on a topic relevant to the violation[s], obtain additional
training)” BACB 2022, p. 4
2. Mentorship:
a. “The Subject is required to receive mentorship from an approved individual for the indicated duration to
address professional development related to the specific violation(s) and any other areas identified” (p.
4)
3. Verification of Competence:
a. “This may be requested when evidence suggests, or when the Subject has disclosed a condition that may impact
their ability to practice or when documentation warrants verification. Examples include, but are not limited to,
reports of a mental health condition (or treatment for a condition) that prevents or significantly impacts work for a
period of time, physical injuries that prevent or impact work, and conditions or actions that may impede the safe
delivery of behavior-analytic services and that raise questions about the Subject’s safe and competent practice” (p.
4)
4. Paper or Product Submission:
a. “The Subject must read one or more relevant articles and submit a paper related to the relevant code violation(s)
and/or create and submit other related products (e.g., policies, procedures, tracking systems, handbooks)” (p. 4)
 Disciplinary Consequences: Sanctions
1. Certification or Eligibility Invalidation:
a. “The Subject’s certification or eligibility is invalidated because the eligibility requirements were not met or falsified
information was provided to the BACB. The Subject whose certification is invalidated was, in effect, never legitimately
certified” (p. 5)
2. Certification or Eligibility Revocation:
a. “The Subject’s certification or elgibility is terminated. After the duration of the revocation period, the Subject must apply
for post-revocation reentry to be reviewed by a committee that will make a decision to approve or deny. They are not
permitted to qualify for examination via past certification. In instances of extreme risk, an individual’s eligibility or
certification may be revoked indefinitely. In such instances, the individual is permitted to submit a request for
reconsideration of the revocation every 10 years” (p. 5)
3. Certification or Eligibility Suspension:
a. “The Subject’s certification may not be used for a specified period of time or the Subject is not eligible to apply for a
period of time” (p. 5)
4. Practice Restriction:
a. “The Subject’s ability to practice behavior analysis under BACB certification is limited” (p. 5)
5. Mandatory Disciplinary Supervision:
a. “The Subject is required to receive supervision from an approved individual for the indicated duration to address
concerns related to the specific violation(s) and any other areas identified” (p. 5)

“Violating the terms of the sanctions will result in immediate suspension of certification or eligibility” (p. 5)
Appeal Process

BACB, 2022, p.6

To Report or Not To Report (BACB, 2019)
Being Ethical
Core Principles
Benefit Others
“Behavior analysts work to maximize benefits and do no harm by…

1. “Protecting the welfare and rights of clients above all others…

2. “Protecting the welfare and rights of other individuals with whom they interact in a professional
capacity…
3. “Focusing on the short-term and long-term effects of their professional activities…
4. “Actively identifying and addressing the potential negative impacts of their own physical and mental
health on their professional activities…
5. “Actively identifying potential and actual conflicts of interest and working to resolve them in a
manner that avoids or minimizes harm…
6. “Actively identifying and addressing factors (e.g., personal, financial, institutional, political, religious,
cultural) that might lead to conflicts of interest, misuse of their position, or negative impacts on their
professional activities…
7. “Effectively and respectfully collaborating with others in the best interest of those with whom they
work and always placing clients’ interests first.”

Bailey & Burch, 2022, pp. 39-42

Treat Others with Compassion, Dignity, and Respect
“Behavior analysts behave toward others with compassion, dignity, and respect by…

1. “Treating others equitably, regardless of factors such as age, disability, ethnicity, gender
expression/identify, immigration status, marital/relationship status, national origin, race,
religion, sexual orientation, soceoeconomic status, or any other basis prescribed by law…
2. “Respecting others’ privacy and confidentiality…
3. “Respecting and actively promoting clients’ self-determination to the best of their abilities,
particularly when providing services to vulnerable populations…
4. “Acknowledging that personal choice in service delivery is important by providing clients and
stakeholders with needed information to make informed choices about services”

Bailey & Burch, 2022, pp. 42-44

 Philosophy of Educating Students
with Disabilities
• Students with Disabilities Should Receive…
– Quality, equal Education
– Individualized Education to Meet their Needs & Maximize their Development
– Spend time with Others without Disabilities
– An Education that is “not Unnecessarily Intrusive or Different from Others”
– An Education that “Promotes Independence and Self-Sufficiency”

Westling & Fox (2004), as cited in Boutot, Raulston, & Dukes, 2017, p. 36
The Goal of Education for Persons
with Disabilities
• To provide them with “opportunities to
participate actively and successfully in the
mainstream of society, by promoting the
principles of self-determination, independence,
and functionality” (Boutot et al., 2017, p. 36)
 The Principle of
Self-Determination
• One is said to be self-determined if they can:
– Make choices
– Make decisions about their actions
– Set goals for themselves
– Recognize their own abilities (strengths and needs)
– Advocate for themselves
–
From Boutot et al., 2017
 The Principle of Independence
• A goal of education is to promote maximum independence in
all activities and settings
• Independence is achieved when an individual uses only those
supports that are absolutely necessary for functioning
• Prompts and cues must be faded to promote independence
• Independence cannot be achieved until an individual has
opportunities to do things for him or herself and is provided
training in doing so successfully

From Boutot et al., 2017

 The Principle of Functionality
• A skill is functional if it is meaningful to a child
• A skill is functional when: if the child cannot do it
himself, someone else will have to do it for him
• A skill is functional if it is necessary for current or future
independence

From Boutot et al., 2017

Behave with Integrity
“Behavior analysts fulfill responsibilities to their scientific and professional communities, to society in general, and to the
communities they serve by…

1. “Behaving in an honest and trustworthy manner…

2. “Not misrepresnenting themselves, misrepresenting their work or others’ work, or engaging in fraud…
3. “Following through on obligations…
4. “Holding themselves accountable for their work and the work of their supervisees and trainees, and correcting errors
in a timely manner….
5. “Being knowledgeable about and upholding BACB and other regulatory requirements…
6. “Actively working to create professional environments that uphold the core principles and standards of the code…
7. “Respectfully educating others about the ethics requirements of behavior analysts and the mechanisms for
addressing professional misconduct.”

Bailey & Burch, 2022, pp. 44-46

Ensure Their Competence
“Behavior analysts ensure their competence by…

1. “Remaining within the profession’s scope of practice…

2. “Remaining current and increasing their knowledge of best practices and advances in ABA and participating in
professional development activities…
3. “Remaining knowledgeable and current about interventions (including pseudoscience) that may exist in their practice
areas and pose a risk of harm to clients…
4. Being aware of, working within, and continually evaluating the boundaries of their competence…
5. Working to continually increase their knowledge and skills related to cultural responsiveness and service delivery to
diverse groups.”

Bailey & Burch, 2022, pp. 46-48

 A client is the direct recipient of
behavior analytic services (p. 49)

A stakeholder is someone other

than the client who is “directly
impacted by and invested in” the
Client vs. Stakeholder behavior analytic services (p. 49)

Know the Difference… Sometimes the stakeholder is the

client - for example, when
receiving parent training a parent
is both a stakeholder and a client
of the behavior analyst
 Simple Ethics
Resolutions
1. Define the issue
2. If it does not involve one of the
Standards of the Code, “drop it and
move on”
3. If it does involve one of the Standards
of the Code, first try to “make it right”
4. Once an attempt to make it right has
been made, evaluate to ensure it was, in
fact, resolved Bailey & Burch, 2022, p. 53
Complex Ethics Resolutions
1. Define the issue & consider risks
2. Identify everyone involved
3. Gather supporting documentation
4. Consider your own biases and past experiences/learning
history
5. Identify relevant Core Principles and Standards of the
Code
6. Consult resources and sources
7. Create possible solutions to reduce harm - “prioritize
client best interest”
8. Evaluate each possible solution for it’s relevance to the
Code, impact on clients and stakeholders, ability to
resolve the issue, etc.
9. Choose the best solution
10. Take action
11. Evaluate the outcomes Bailey & Burch, 2022, p. 55
“To have a robust, responsible, and respectable profession, we must
be aware of the conduct of other behavior analysts and be prepared
to stand up for our clients’ right to effective treatment”

Bailey & Burch, 2022, p. 61

References
Bailey, J.S. & Burch, M.R (2022). Ethics for behavior analysts, 4th ed. Routledge.

Behavior Analyst Certification Board (2020). Code-enforcement procedures.

BACB.
https://www.bacb.com/wp-content/uploads/2020/05/BACB-Code-Enforcement
-Procedures_191106.pdf

Boutot, E.A., Raulston, T.J., & Dukes, C. (2017). Evidence based practices for
educating students with autism spectrum disorders, in E.A. Boutot (Ed.) Autism
Spectrum Disorders: Foundations, Characteristics and Effective Strategies (2nd ed)
(pp. 21-39). Pearson.
A Look Ahead…
In Chapter 6 of Bailey and Burch (2022) you will learn…

● The first Ethics Code for behavior analysts was published in 2014 - 15
years after the BACB was formed
● The BACB reviews the Ethics Code every 5 years
● The newest Code contains 6 Sections (or sets of standards):
○ Responsibility as a Professional
○ Responsibility in Practice
○ Responsibility to Clients and Stakeholders
○ Responsibility to Supervisees and Trainees
○ Responsibility in Public Statements
○ Responsibility in Research
ASR