Instructions
Although not foolproof, research suggests public affirmations of ethical behavior are helpful for maintaining such behavior. Remember to reinforce those around you for making strides to being ethical behavior analysts!
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