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Refusal to Provide Documentation

Ethics Scenario Archive
1. Approaching Former Adult Client
2. Medical Marijuana
3. Pro Bono Work
4. Supervision Has Multiple Relationships with Family Receiving Services
5. Parent Training Concerns
6. Parents Not Implementing Procedures
7. Soliciting Parent Testimonials
8. Retaliation Towards Mandated Reporting
9. Family Rejecting Safety Measures
10. Parental Collaboration
11. Hostile Work Enviornment
12. Creating Protocol to Prevent and Treat Trauma with Limited Functional Language
13. Parent ABA Practice Questions in OT & Speech
14. Potential Gifts From Clients on Social Media
15. Helping Close Relationships With ABA Tips
16. Parent Utilizing CBD & THC
17. Client Pre-Authorization Denied For Much Needed Services
18. Supervisee Slaps Child in School Setting
19. Changing Direction of Treatment from Previous BCBA
20. BCBA Subpoenaed in Family Court
21. Terminate Services Due To Parent Behavior
22. Parents Offering Token Items During Check Out/Transition
23. Family Doesn’t Want Details Released To Funding Source Without Permission
24. Resources for IRB Approval for Independent Researchers
25. Speech Therapist Refusing To Do PECS
26. BCBA Receives Cease & Desist
27. Unlicensed, Certified BCBA Provide Supervision
28. Rapid Prompting Method (RPM)
29. Parent as Witness to Accident
30. Website Testimonials
31. Student Using Social Media Inappropriately
32. Hiring Behavior Analyst Trainees at a School District
33. College Recommendation Letter for Client
34. Connecting Families That Are Clients
35. Employer Requiring Same Number of ABA Hours for All New Clients from New BCaBA
36. Do we have any ethical guidelines regarding shared work spaces among two companies that provide similar ABA services in a private property?
37. Client Assessment & Discontinuation
38. Caseload Concerns
39. Naptime
40. Systemic Supervision Concern – Clients & RBTs
41. BCBA’s Performing Diagnostics
42. Self-Reporting DUI to BACB
43. Multiple Relationship with RBT
44. Refusal to Provide Documentation
45. Telehealth Supervision
46. Role of a Lead RBT
47. Urgent – Unsupervised RBT
48. Clinic Owner Requesting Services
49. Inadequate Case Supervision
50. Language Barrier to Services
51. Withholding Fieldwork Hours
52. Reportable Trainee Behavior
53. Treating Others with Compassion, Dignity, and Respect
54. RBT Self-Reporting DUI


“I am having a disagreement with management at my company and would like some guidance. I believe that stakeholders are entitled to their child’s treatment plan in order to know the goals that are working on and current progress. When I meet with them we discuss the goals and progress together, they sign a copy and keep a copy. My company is telling me that they need a release of information to gain access to their child’s treatment plan and even then I can only give them a summary.”


Committee Input (e.g., considerations for pathways forward, potential barriers, potential solutions):

The committee recommends that the reportee review, in accordance with Ethics Code 2.04, Disclosing Confidential Information. The Ethics Code statute states, Behavior Analysts may share confidential information when informed consent is obtained – confidential information may be released about the client and stakeholders, among others.  In this example, the ‘client’ represents The direct recipient of the behavior analyst’s services, while ‘stakeholder’ would represent the legal guardian of the client.  

If the stakeholder in question is the client’s legal guardian, they are entitled to a thorough description of the entire scope of treatment including but not limited to client assessment procedures, therapeutic interventions, ongoing data collected, results from progress monitoring and ongoing, detailed documentation of services provided (Codes 2.08, 2.09, 2.14, 3.11).  Failure to provide information in an accessible manner could be considered a breach of these ethical codes on the part of the practitioner as well as a direct violation of Arizona Revised Statute 32-2091 under 12s of unprofessional conduct wherein client records are required to be made available promptly when requested.

Considerations for exploration, 

  • the stakeholder is not the client’s legal guardian –  it may be required to obtain additional consents for sharing the information.  
  • The same is true if the client is their own legal guardian and has not consented to the sharing of their private medical information.  

Further, the committee acknowledges that any breach in the BACB Ethics Code is also reportable to the Arizona State Licensure Board.  The Committee would encourage the reportee to explore filing a complaint with the licensure board, against the party in the organization who is implementing the policy, if mediation using other more informal methods does not yield an improved result.  


Ethics Codes (specific standards that could apply to support/oppose):

  • 2.04, 2.08, 2.09, 2.14, 3.11
  • A.R.S. 32-2091 (12) S
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