The Behavior Analyst’s
Responsibility to Clients
PRESENTED BY CHRISTINA SLATEN
A Little History….
 Early behavior analysts were responsible to the
employer, sometimes the parents
 1974 – Wyatt vs. Stickney
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Institutionalized mental patients had right to individualized
treatment or to be discharged into the community
Highlighted “client’s rights”
Wyatt Standards
Service delivery within a humane environment
 Sufficient qualified staff members
 Individualized treatment plans
 Least restricted environment

Responsibility to all involved, with a focus on the person directly receiving
the intervention to make sure no harm was done
Responsibility to Clients
 Guideline 2: The behavior analyst has a
responsibility to operate in the best interest of
clients.
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Who is the client? (2.01)
Anyone to whom services are provided
 Examples?
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Clear and detailed list of obligations that behavior
analysts must adhere to when providing treatment
involving behavioral procedures

Always ask , “What is in the best interest of my client?”
Definition of Client (2.01)
 Broad application
 Anyone to whom behavior analyst provides services
 Individual (service recipient)
 Parent/guardian of service recipient
 Institutional representative
 Public/private agency
 Firm/corporation
 Most vulnerable individuals in the chain of services
are considered primary clients
Accepting Clients (2.02)
Only accept clients whose
behavioral concerns are in line
with behavior analyst’s
education, training and
experience
• If outside expertise, must be under
supervision/consultation of BCBA who
has credentials with the particular
situation
Responsibility (2.03)
 Responsible to all parties effected by the behavioral
services.
 Obligation to make sure that all principles of ethics
extend to everyone involved
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Service recipient
Parent/guardian
Other people in the specific environment (e.g., other students
in classroom)
Consultation (2.04)
Appropriate consults and
referrals
• Based on best interest of client
• Appropriate consent
• Subject t0 relevant
considerations (e.g., applicable
laws, contractual obligations)
Cooperation with other
professionals to provide
effective and appropriate
services
• Recognize various ethical codes
of other professions
Third-Party Requests for Services (2.05)
 Clarify nature of relationship with each party at
onset of service
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Role of behavior analyst
Probable uses of services /information obtained
Limits to confidentiality?
 If there are any risks of conflicting roles
 Clarify nature and direction of responsibilities
 Keep all parities informed
 Resolve situation according to Guidelines
Rights and Prerogatives of Clients (2.06)
Supports individual rights
under the law
Provide client with accurate
credentials
Inform clients of rights
and procedures to
complain about
professional practices
Secure permission (for each
use of) electronic recording
of interviews/service
delivery sessions
Meet requirements
for criminal
background checks
Maintaining Confidentiality (2.07)
 Primary obligation to take reasonable precautions to
respect confidentiality

Law, institutional rules, professional, and/or professional/scientific
relationships
 Clients have a right to confidentiality – should be
discussed at onset of relationship and ongoing as needed

Unless not feasible or contraindicated

Examples?
 Include only pertinent information in written or oral
communication
 Discuss confidential information only for appropriate
scientific/professional purposes and with people clearly
concerned with info
Maintaining Records (2.08)
Review current
Health Insurance
Portability and
Accountability
Act (HIPPA,
2003) legislation
Creating
Maintain and
dispose of
records in
accordance to
applicable laws,
regulations or
corporate policy
AND in a
manner that
complies with
the BCBA
guidelines.
Transferring
Maintain
appropriate
confidentiality
Accessing
Storing/Disposing
Disclosures (2.09)
 A.) Disclose confidential
information without
consent of the
individuals only as
mandated/permitted by
law for a valid purpose
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To provide professional
services to client
Obtain professional
consultations
To protect client/others
from harm
To obtain payment for
services
 B.) Disclose confidential
information with
appropriate consent

Examples of appropriate
consent?
Treatment Efficacy (2.10)
 Responsible to recommend scientifically supported most effective
treatment procedures

Both long and short term benefits to clients and society
 Right to effective treatment
 Based on research literature
 Adapted to individual client
 Responsible for review and assessment of likely effects of all
alternative treatments
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Including those provided by other disciplines and no intervention
 Consideration of multiple, scientifically-supported treatments, may
include, but not limited to…
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Efficiency
Cost-effectiveness
Risks/side-effects
Client preference
Practitioner experience/training
Documenting Professional and Scientific Work
(2.11)
 Appropriately document to facilitation replication,
ensure accountability & meet requirements of
institution/law
 If used in legal proceedings, must create and maintain
documentation that would be consistent with the quality
consistent with reasonable scrutiny in a judicial forum

Good idea to imagine all documentation WILL be used in legal
proceedings
 Always obtain and document
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Institutional Review Board (IRB) or local Human Research
committees
Confirmation of compliance with institutional requirements
Records and Data (2.12)
maintain
Dispose
disseminate
Compliance
with
guidelines and
applicable
laws or
regulations
Retain
Store
store
create
Fees, Financial Arrangements and Terms of
Consultation (2.13)
 Agreement reached re: detailing compensation and
billing arrangements as early in
professional/scientific relationship as possible
 Fees consistent with law
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Limitations of service due to financing discussed as early as
possible
Do not misrepresent fees
 Provide term of consultation, specific requirements
for providing services & responsibilities of all parties
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Prior to implementation of services
Contract or Declaration of Professional Services
Accuracy in Reports to Those Who Pay for
Services (2.14)
 Accurately state
 Nature of service/research
 Fees or charges
 Identity of provider
 Findings
 Other required descriptive data

Examples?
Referrals and Fees (2.15)
 Disclose if there is payment received or fees divided
with another professional (other than employer –
employee relationship
Interrupting or Terminating Services (2.16)
 Make reasonable efforts to plan for continuing
service in the event there will be an interruption of
service
 Include resolution of services in contract
 Do not abandon client – end service when it is
reasonably apparent client no longer needs services
 Pre-termination services
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Suggest other service providers
Transfer responsibility to other providers if necessary
Questions?
References
 Bailey, J.S., &Burch, M.R. (2001). Ethics for
behavior analysts (2nd Expanded Edition).
Routledge.