Study guide · Area E

Ethical and Professional Issues

22 of the exam's 175 scored questions (13%) · 12 tasks

This area covers the professional and ethical conduct expected of BACB certificants under the Ethics Code for Behavior Analysts (2020 edition, in force January 1, 2022): its core principles, the risks of unethical conduct, competence, confidentiality, public statements, discontinuing and transitioning services and supervision, multiple relationships, professional skills, cultural humility and responsiveness, personal bias, and legal and regulatory requirements. Questions give a dilemma and ask what the behavior analyst should do FIRST or BEST; the right answer usually protects the client, stays within competence and the law, and addresses the problem directly and documents it.

A study feature written by ExamDragon, not part of the real exam. Each heading is one of the BACB's tasks for this content area (12 of them), in the BACB's words.

E.1Identify and apply core principles underlying the ethics codes for BACB certificants (e.g., benefit others; treat others with compassion, dignity, and respect; behave with integrity).

The Ethics Code for Behavior Analysts rests on four core principles: benefit others; treat others with compassion, dignity and respect; behave with integrity; and ensure competence. They guide interpretation of every standard and of situations no standard addresses.
Benefit others: act to maximize benefits and do no harm, put the client's interests first, protect the welfare and rights of clients above all others and of the other people they work with, and address one's own conditions that could harm others.
Treat others with compassion, dignity and respect: behave equitably and inclusively, respect privacy, autonomy and self-determination, and honor the right of clients and stakeholders to make their own choices.
Behave with integrity: be honest and truthful, keep commitments, follow through on obligations, own one's mistakes and address the misconduct of others when appropriate.
Ensure competence: work only within one's demonstrated competence, keep skills current, consider cultural and other differences and use evidence-based procedures.
When an ethical concern arises, a structured decision process helps: clarify the issue, identify the people affected and the relevant standards, consider likely outcomes of the options, consult when needed, act, document, and evaluate the result.

In practice: A parent asks a behavior analyst to keep her son in a highly restrictive program because it is convenient, though his data show he no longer needs it. The analyst explains the data, proposes a less restrictive plan, and supports the parent's right to choose while putting the child's welfare first, applying benefit others and respect for autonomy together.

Where questions turn: The core principles are not optional ideals beneath the standards; they are the basis for interpreting the standards and for acting when no standard fits exactly.

Practise E.1

E.2Identify the risks to oneself, others, and the profession as a result of engaging in unethical behavior.

To clients and stakeholders: unethical conduct can cause direct harm (ineffective or harmful treatment, exploitation, breaches of privacy), waste time and money, and destroy trust in services.
To oneself: disciplinary action by the BACB (from corrective requirements to suspension or revocation of certification), action by licensing boards, loss of employment, civil liability and, for some conduct, criminal charges.
To colleagues and organizations: damaged reputations, loss of funding or contracts, and harm to team functioning.
To the profession: unethical conduct erodes public trust in behavior analysis, can lead to restrictive regulation, and fuels criticism of the field.
Small departures (inaccurate notes, minor boundary crossings) can escalate; addressing concerns early, consulting, and documenting reduce risk for everyone.
Behavior analysts have obligations to address the unethical conduct of others: usually first by raising it directly with the person when that is appropriate and safe, then by reporting to the relevant authority (employer, BACB, licensure board) when needed or required. Criminal activity, or behavior that puts clients or others at risk of direct and immediate harm, is reported first to the relevant authorities (the Code's Application section).

In practice: A behavior analyst bills for sessions that were canceled. The client's family is overcharged, the funder may recover the money and refer the case for investigation, the analyst risks loss of certification, and every family who hears of it trusts the profession less.

Where questions turn: The risks of unethical conduct are not limited to the person who committed it; the exam expects you to see harm to clients, the profession and public trust together.

Practise E.2

E.3Develop and maintain competence by engaging in professional development activities (e.g., read literature, seek consultation, establish mentors).

Behavior analysts practice only within the boundaries of their competence, as established by education, training and supervised experience (Code standard 1.05), and take steps to maintain and improve it (1.06).
Professional development activities include reading the peer-reviewed literature, attending continuing education, seeking consultation and supervision, establishing mentors, and participating in study groups.
Before taking on a new population, setting or procedure, the behavior analyst obtains the training, supervised experience or consultation needed, or refers the client to a qualified professional.
Continuing education required to maintain certification is a minimum; competence also means keeping up with changes in the evidence and in practice standards.
Behavior analysts recognize when personal circumstances (illness, stress, conflicts) could impair their competence and take action, such as seeking help, reducing caseload or arranging coverage.

In practice: A behavior analyst experienced with children is asked to treat an adult with a feeding disorder. Before accepting, she arranges consultation with a colleague who specializes in feeding, reads the current literature, and makes sure medical professionals are involved; if she could not secure that support, she would refer.

Where questions turn: Certification does not establish competence in every area; competence is specific to populations, settings and procedures, and a new area requires training or consultation first.

Practise E.3

E.4Identify and comply with requirements for collecting, using, protecting, and disclosing confidential information.

Behavior analysts protect the confidentiality of clients, stakeholders, supervisees and trainees, and recognize that confidentiality extends to all records and communications, in every format (Code standard 2.03).
They inform clients and stakeholders, at the outset, of the limits of confidentiality, such as mandated reporting of abuse or neglect, threats of harm, and legal requests.
Confidential information is shared only (1) with informed consent, (2) to protect the client or others from harm, (3) to resolve contractual issues, (4) to prevent a crime reasonably likely to cause physical, mental or financial harm to another, or (5) when compelled by law or court order (2.04), and then only the information critical to the purpose.
Records are stored, transmitted, retained and disposed of securely according to law and organizational policy; electronic data use protected systems.
Confidential information is not discussed in public places, on social media, or with people who do not need it; in public statements identifying details are protected (5.02), informed consent is obtained before client information is shared publicly through digital content (5.11), and informed consent is obtained before data from service delivery are disseminated to the scientific community, such as in a conference presentation or article (6.04).
Collecting information: collect only what is needed for the services, with consent, and use it only for the purposes agreed.

In practice: A teacher calls asking for details of a client's home program. The behavior analyst checks whether a signed release covering the school exists; finding none, she explains she cannot share information, then asks the parent whether they wish to sign a release specifying what may be shared.

Where questions turn: Wanting to help or collaborating with a professional does not permit disclosure; without consent or another condition in Code 2.04 (protecting someone from harm, a contractual issue, preventing a crime, a law or court order), confidential information is not shared, even with another provider.

Practise E.4

E.5Identify and comply with requirements for making public statements about professional activities (e.g., social media activity; misrepresentation of professional credentials, behavior analysis, and service outcomes).

Behavior analysts do not make public statements that are false, deceptive, misleading or exaggerated about their work, their credentials, behavior analysis or service outcomes.
Credentials are described accurately: degrees from accredited institutions in relevant fields, certifications held (not pending), and licenses in good standing; titles that imply credentials not held are avoided.
Statements about behavior analysis and outcomes are based on evidence: no promises of cures, guaranteed outcomes or claims that go beyond the data.
Behavior analysts are responsible for public statements made on their behalf by others (employers, advertisers) and correct misrepresentations they learn about.
Social media and websites (5.10): they never publish client information or digital content on personal accounts; on professional accounts, each publication requires informed consent first, a disclaimer that consent was obtained and that the content should not be reused without permission, posting in a way that limits sharing, and efforts to prevent and correct misuse.
Testimonials: they do not solicit testimonials from current clients or stakeholders for advertising (5.07; unsolicited reviews on sites they cannot control are not a violation, but are not used or shared). Testimonials from former clients used in advertising are identified as solicited or unsolicited, state the relationship accurately and follow privacy law, and those asked are told where and how it will appear, its risks and that they can rescind it (5.08). Testimonials may be used for nonadvertising purposes, such as fundraising (5.09).

In practice: A clinic's new website says its program cures autism in two years and lists a staff member as a BCBA while she is still awaiting her exam result. The behavior analyst who directs the clinic has the claim removed and the staff member's title corrected before the site goes live.

Where questions turn: A behavior analyst is responsible for misleading statements made about their services by others, such as an employer's marketing, not only for statements they make themselves.

Practise E.5

E.6Identify the conditions under which services or supervision should be discontinued and apply steps that should be taken when transitioning clients and supervisees to another professional.

The Code (3.15) lists when to consider discontinuing services: the client has met all behavior-change goals; the client is not benefiting; the behavior analyst or their supervisees or trainees are exposed to potentially harmful conditions that cannot reasonably be resolved; the client or a stakeholder requests it; stakeholders do not comply with the intervention despite efforts to address barriers; or services are no longer funded.
Discontinuation is planned: the circumstances are set out in the service agreement, the reasons are discussed with the client and stakeholders, they receive a written discontinuation plan whose acknowledgment is documented, and the plan is reviewed throughout discharge (3.15).
Services are not abandoned: the behavior analyst helps arrange continuity of care, such as referral to another provider, and does not leave a client without services in a way that causes harm.
When transitioning a client to another professional, the behavior analyst provides a written plan, transfers records with consent, communicates with the receiving provider, and minimizes disruption.
Supervision follows the same logic: it is ended when appropriate, with notice and a plan, and supervisees are helped to secure continued supervision so their experience is not disrupted, with documentation completed.

In practice: A family moves to another city mid-treatment. The behavior analyst meets with them, writes a transition summary with current goals and data, sends it with their consent to the new provider, offers a call with the new behavior analyst, and documents each step.

Where questions turn: Ending services because they are inconvenient, or ending them abruptly without a plan, is abandonment; even when ending is required, the behavior analyst plans the transition.

Practise E.6

E.7Identify types of and risks associated with multiple relationships, and how to mitigate those risks when they are unavoidable.

A multiple relationship exists when a behavior analyst has a professional role with a person and also another role (personal, financial, social or professional) with that person or someone close to them.
Multiple relationships risk conflicts of interest, impaired objectivity, exploitation and harm to the client, and are to be avoided (Code standard 1.11).
Common types: providing services to a friend's or relative's child, hiring a client's parent, accepting a social or business relationship with a stakeholder, and supervising a family member. Romantic or sexual relationships with current clients, stakeholders, supervisees or trainees are prohibited (1.14); with former clients and stakeholders, for at least two years from the date the professional relationship ended; with former supervisees or trainees, until the parties can document that the professional relationship has ended. A former romantic or sexual partner is not accepted as a supervisee or trainee until at least six months after that relationship ended.
Gifts (1.12): behavior analysts do not give gifts to or accept gifts from clients, stakeholders, supervisees or trainees with a monetary value of more than US$10 (or the equivalent purchasing power), and tell clients and stakeholders this at the start. A gift is acceptable if it is an infrequent expression of gratitude with no financial benefit to the recipient; ongoing or cumulative gifts can violate the standard if they become a regularly expected source of income or value.
When a multiple relationship cannot be avoided (a small community, an unexpected change), the behavior analyst informs the relevant parties of the risks, sets clear boundaries, consults, documents the safeguards, and develops a plan to eventually resolve the multiple relationship (1.11), such as transferring the case when another provider becomes available.
When a multiple relationship arises after services begin, the behavior analyst acts promptly to resolve it in the best interest of the client.

In practice: In a rural town, the only behavior analyst is asked to serve the child of her neighbor. She discusses the risks with the family, agrees not to discuss the case at neighborhood events, arranges peer consultation for objectivity, documents the plan, and plans to transfer the case once another provider is available, or sooner if a conflict develops.

Where questions turn: The key test is risk to the client's welfare and to objectivity, and the first step when one is unavoidable is to disclose and manage it, not to ignore it or end services abruptly.

Practise E.7

E.8Identify and apply interpersonal and other skills (e.g., accepting feedback, listening actively, seeking input, collaborating) to establish and maintain professional relationships.

Professional relationships are built with behavior-analytic interpersonal skills: listening actively (attending, reflecting, summarizing), seeking input, showing empathy and compassion, communicating without jargon, and following through on commitments.
Accepting feedback means listening without defending, asking clarifying questions, thanking the giver and changing one's behavior where appropriate; giving feedback means being specific, timely, balanced and behavior focused.
Collaboration with families, teachers and other professionals means sharing goals, respecting their expertise and constraints, making decisions together, and resolving disagreements with the client's interest in mind.
Compassionate care research suggests caregivers value behavior analysts who listen, show empathy and include them in decisions; technical skill alone does not build a working relationship.
Conflict resolution: name the issue, focus on shared goals, look for options that meet the client's needs, and escalate through appropriate channels only when needed.

In practice: A parent says the home program feels like it is run without her input. The behavior analyst listens without interrupting, summarizes the concerns, asks which routines matter most to the family, and revises two goals together with her, then checks in a week later.

Where questions turn: When a stakeholder disagrees, the best first response is usually to listen and seek their input, not to defend the plan with data or authority.

Practise E.8

E.9Engage in cultural humility in service delivery and professional relationships.

Cultural humility is a lifelong stance of self-reflection and learning: recognizing that one's own culture shapes one's views, approaching others with curiosity rather than assumptions, and accepting that the client and family are experts on their own culture.
It differs from cultural competence understood as a fixed body of knowledge about groups; humility treats each person as an individual and avoids stereotyping based on group membership.
In practice it includes asking about the family's values, goals, language, routines and beliefs, recognizing power imbalances between provider and family, and inviting correction.
The Ethics Code requires behavior analysts to actively engage in professional development about cultural responsiveness and diversity and to evaluate their own biases (Code standards 1.07 and 1.10).
Cultural humility applies to supervisees and colleagues as well as clients.

In practice: A behavior analyst plans to target independent eating with utensils, but the family eats many meals with their hands as part of their culture. She asks about mealtime customs, learns what the family values, and rewrites the goal around the family's practices.

Where questions turn: Cultural humility is not knowing facts about a group and applying them to a family; it is asking, listening and adapting to the specific people you serve.

Practise E.9

E.10Apply culturally responsive and inclusive service and supervision activities.

Culturally responsive services adapt assessment, goals, procedures and communication to the client's and family's culture, language, values and context, while keeping them effective and evidence based.
Practical steps: offer services and materials in the family's preferred language, with qualified interpreters when needed; choose goals and reinforcers that fit the family's values; match procedures to routines and resources; involve the family in every decision.
Inclusive services remove barriers to access and participation related to disability, gender, sexual orientation, religion, socioeconomic status, age or other differences, and avoid discrimination (the Code prohibits discrimination and harassment).
In supervision, culturally responsive activities include discussing cultural variables in cases, adapting supervision to the supervisee's background, and modeling respectful practice.
Social validity checks (asking stakeholders whether goals, procedures and outcomes are acceptable) are a direct way to evaluate cultural fit.

In practice: A family whose first language is Spanish receives parent training in English with written materials only. The behavior analyst arranges a qualified interpreter, provides materials in Spanish, and schedules sessions at times compatible with the parents' work shifts.

Where questions turn: Culturally responsive does not mean abandoning effective procedures; it means adapting them so they fit the family and remain effective.

Practise E.10

E.11Identify personal biases and how they might interfere with professional activity.

Personal biases are attitudes, preferences and assumptions, explicit or implicit, that can shape judgments about clients, families, colleagues and supervisees.
Biases can interfere with every stage of practice: which goals seem important, how behavior is interpreted, which families seem cooperative, who is given opportunities, how feedback is given.
Behavior analysts evaluate their own biases and their ability to address the needs of people of diverse backgrounds (Code standard 1.07), and stay aware that personal biases or challenges may interfere with their work, taking steps to resolve the interference and documenting them (1.10), for example through reflection, consultation, supervision and training.
Strategies include examining one's learning history and assumptions, comparing decisions across clients to detect patterns, using data rather than impressions, and seeking feedback from colleagues and stakeholders.
When a bias or personal problem could impair services, the behavior analyst seeks consultation and, if needed, refers the client.

In practice: A behavior analyst notices that she sets lower communication goals for children from families who speak little English. Reviewing her caseload, she sees the pattern is not explained by assessment data, discusses it with a peer, and revises her goal-setting to rely on assessment results.

Where questions turn: Bias is not only conscious prejudice; implicit biases that show up in decisions, detected through data and feedback, are part of what the task covers.

Practise E.11

E.12Identify and apply the legal, regulatory, and practice requirements (e.g., licensure, jurisprudence, funding, certification) relevant to the delivery of behavior-analytic services.

Behavior analysts comply with the legal and regulatory requirements that apply where they work, in addition to the Ethics Code: licensure laws, jurisprudence requirements, and laws about privacy, education records, mandated reporting, and the rights of people with disabilities.
Licensure: in many US states and some other jurisdictions, practicing behavior analysis requires a state license in addition to BACB certification; requirements, titles and scope of practice vary by jurisdiction.
Certification: BCBAs maintain certification by meeting BACB requirements, such as continuing education, supervision rules, self-reporting obligations and compliance with the Code.
Funding: services paid by insurers, government programs or schools are subject to the funder's rules on documentation, authorization, credentials, service delivery and billing; billing must accurately reflect services provided.
The 2020 Code has no single standard on conflicts with law or with organizations: behavior analysts follow the law (1.02) and, in applying the Code, put compliance with the law and clients' interests first (the Code's Application section). With an organization, they raise and work to resolve the concern with the relevant parties and document it (for example, 3.03 when directed to accept clients outside their competence or resources, and the duty in 5.06 to 5.09 and 5.11 to make reasonable efforts to remediate an employer's violation).
Behavior analysts stay informed about changes in these requirements and seek legal or professional guidance when unsure.

In practice: A BCBA relocates to another state and is offered a job starting next week. Before she sees clients, she checks the new state's licensure law, applies for the license, and confirms which insurance plans require it, starting work only when she is legally permitted to practice.

Where questions turn: BACB certification is not a license; where state law requires a license to practice, holding the certification alone does not permit practice.

Practise E.12

Key terms

Core principles: Benefit others; treat others with compassion, dignity and respect; behave with integrity; ensure competence.
Stakeholder: A person other than the client affected by and invested in the services, such as a parent, caregiver, teacher or funder.
Scope of competence: The professional activities a behavior analyst can consistently perform with proficiency (Code glossary).
Informed consent: Permission given by a person with the legal right to consent, after the purpose, procedures, risks, benefits, limits of confidentiality and right to withdraw are explained and understood.
Confidentiality: The obligation to protect client information and disclose it only with consent or under the other conditions in Code 2.04.
Multiple relationship: A professional relationship combined with another role with the same person or someone close to them.
Conflict of interest: A situation in which personal interests could compromise professional judgment.
Testimonial: Any solicited or unsolicited recommendation from a client, stakeholder, supervisee or trainee affirming the benefits of a behavior analyst's services; restricted in advertising (5.07, 5.08).
Abandonment: Ending services without a plan, notice or transition that protects the client.
Cultural humility: Ongoing self-reflection and openness to learning from others about their culture and values.
Implicit bias: Attitudes or associations that affect decisions without awareness.
Licensure: Government authorization to practice in a jurisdiction, separate from BACB certification.

After this guide: Given an ethical or professional dilemma, you should be able to name the core principles and Code requirements at stake, the risks to each party, and the action a behavior analyst should take first and best, including how to document it.

Practise area E