REPORTING ALLEGED VIOLATIONS AGAINST CERTIFICANTS

If you are concerned that a BACB certificant may have violated one or more of the BACB’s ethics requirements, you can report your concern to the BACB’s Ethics Department using the Notice of Alleged Violation form below. Before proceeding though, we highly recommend you use the accordions below to learn more about reporting against a specific type of BACB certificant, and what you may need to consider before submitting a notice.


Considerations for Reporting a Notice of Alleged Violation against an RBT

Before submitting a Notice of Alleged Violation against an RBT, review the information in the Considerations for Reporting an Alleged Violation and the RBT Ethics Code (2.0). RBTs have different ethics requirements than BCBAs and BCaBAs. Additionally, because RBTs have a limited area of practice and must be closely supervised, there are unique considerations to be made before filing an alleged violation against an RBT.

Because RBTs receive frequent and direct supervision, all alleged violations should be brought to the RBT's Requirements Coordinator and/or RBT Supervisor. The Requirements Coordinator and/or RBT Supervisor must take steps to investigate and document the alleged violation. If the Requirements Coordinator and/or RBT Supervisor determines that a violation did occur, they should determine if the matter should be addressed internally or by submitting a Notice of Alleged Violation to the BACB. To find an RBT’s Supervisor and/or Requirements Coordinator, please refer to the RBT’s BACB Certificant Registry Record.

When completing the Notice of Alleged Violation, you will be required to enter information about the Subject, your relationship to the subject or incident, the alleged violation, and supporting documentation. If the notice is accepted, the BACB gives the Subject due process by providing the Subject a copy of the notice and supporting documentation. The Subject is also given an opportunity to respond and submit their own supporting documentation. In the sole discretion of the BACB, the BACB may ask the Notifier to verify or refute information provided in the Subject’s response; otherwise, the Notifier is not provided with the response or a rebuttal process.

For information about what happens once a notice is submitted, and possible outcomes, see the Code-Enforcement Procedures document.

The BACB recognizes that an RBT leaving a job without adequate notice is unprofessional and may, in some circumstances, be a violation of their employment contract. The BACB, however, does not interpret or enforce RBT employment contracts. Similarly, continuity of services is the responsibility of the behavior analyst and the provider organization, not the RBT. Thus, an RBT leaving a job with little, or no notice typically would not, in and of itself, constitute an ethics violation. Do not submit a Notice of Alleged Violation for an RBT’s untimely departure from employment unless there is corollary evidence of an Ethics Code Violation that is not solely based on the untimely departure.

Submit a Notice of Alleged Violation against the RBT if the alleged violation:

  • involves abuse or neglect of a client
  • resulted in the RBT being charged with, or convicted of, a violation of the law
  • is a violation of 1.03, 1.05, 3.01, 3.02, 3.03, 3.04, or 3.05 obligations to the BACB outlined in the RBT Ethics Code (2.0) or
  • has occurred repeatedly despite reasonable attempts to address the problem with the RBT

If none of the above situations apply, the Requirements Coordinator and/or RBT Supervisor should develop and implement an written, individualized corrective action plan for the RBT and document the outcome. The BACB reserves the right to audit the Requirements Coordinator or RBT Supervisor for documentation of the complaint, investigation, and resolution.

Note: The BACB reserves the right to generate a Notice of Alleged Violation against an RBT if they are suspected of noncompliance with any BACB standard, rule, ethics requirement, or procedure.


Considerations for Reporting a Notice of Alleged Violation against a BCBA, BCaBA, or BCBA-D (PDF)

Before submitting a Notice of Alleged Violation against a BCaBA, BCBA, or BCBA-D applicant or certificant, review the information in the Considerations for Reporting an Alleged Violation and the Ethics Code for Behavior Analysts.

When completing the Notice of Alleged Violation, you will be required to enter information about the Subject, your relationship to the subject or incident, the alleged violation, and supporting documentation. If the notice is accepted, the BACB gives the Subject due process by providing the Subject a copy of the notice and supporting documentation. The Subject is also given an opportunity to respond and submit their own supporting documentation. In the sole discretion of the BACB, the BACB may ask the Notifier to verify or refute information provided in the Subject’s response; otherwise, the Notifier is not provided with the response or a rebuttal process.

For information about what happens once a notice is submitted, and possible outcomes, see the Code-Enforcement Procedures document.

Please review the following process agreement before starting the Notice of Alleged Violation form.

  • I am of legal age to sign this Notice.
  • I have direct knowledge of the alleged violation(s).
  • I agree to the terms and conditions stipulated in this Notice, and I affirm that I have only provided truthful and accurate information to the best of my knowledge.
  • I waive any right or claim I may have against the BACB for the processing of this Notice and/or the release of information related to this Notice, the Subject’s response, or the BACB’s determination.
  • If applicable, I consent to and agree to assist with the investigation, including, but not limited to, the submission of any and all information required by the BACB.
  • I agree that I will not engage in vexatious or harassing communications with BACB staff. I will immediately comply with any cease and desist notice issued by the BACB. I understand and agree that I am responsible for communicating with the BACB Ethics Department regarding this Notice; I will refrain from corresponding with other BACB personnel (e.g., other BACB departments, BACB leadership) until a final determination has been reached by the Ethics Department regarding this matter.
  • If I am not the direct recipient of services or legal guardian of the direct recipient of services, and the basis for the Notice arises out of the delivery of services to a specific client, I have obtained permission to file this Notice from the recipient of services or parent or legal guardian of the recipient of services.
  • I understand that I may not appeal BACB determinations in which I am a Notifier. I understand that I will not be provided with a copy of the BACB’s case files, including, but not limited to, the Subject’s response, related documentation, and records of Review Committee or Appeal Committee deliberations. I agree not to subpoena the BACB or name the BACB as a defendant in any litigation or third-party action.
  • I understand that the BACB may release this Notice and related documentation to the Subject of the Notice, including, but not limited to, my information as the Notifier. I understand that if I am submitting this Notice against an RBT or BCaBA, a copy of this Notice will be provided to the relevant supervisor, requirements coordinator, and/or consulting supervisor.
  • I understand that the BACB may release this matter, including, but not limited to, my identity, the identities of the client and certificant, the Subject’s response, and the Notice’s outcome, if such information is required or requested by any state or government official or agency. The BACB may, in its sole discretion, comply with any governmental agency request for release of this Notice, the Subject’s response, and determinations, if any, by the BACB at any time during or following the BACB’s processing of this Notice.
  • I agree to participate in the investigation of the Notice, including, but not limited to, providing consent for the behavior analysts named herein and their agency, school or organization, to release the comprehensive case file (including client or student service records) as may be needed to defend against the allegations provided herein.

Notice of Alleged Violation

The BACB cannot provide legal or ethics advice under any circumstances. There are a number of resources available for anyone seeking guidance related to ethics in the Ethics Resources section. U.S. residents of states that regulate the practice of behavior analysis may contact their state disciplinary boards. For more information about regulation in the U.S., the Association of Professional Behavior Analysts has a resource page on licensure and regulation. Whenever possible, we encourage, but do not require you to consult with a behavior analyst who specializes in the matter before filing a Notice of Alleged Violation. For legal advice, please consult with a licensed attorney in your jurisdiction. For additional guidance on ethics-related matters, please see the Ethics Codes section.