All individuals applying the CAVE Approach© in their professional practice, or who are otherwise involved in services, projects and scholarly activities relevant to the CAVE Approach©, need to be committed to a common set of principles and standards that reflect what we value as professionals and human beings in our global society. The CAVE Approach© Standards and Code of Ethics (from here on referred as “Code”) sets these principles and standards, which are in direct correspondence to the Aristotelian virtues that the CAVE Approach© aims to develop, as well as the principles of HD that this approach aims to ultimately aims to serve.
The Code, by establishing a benchmark for ethics and good practice for the CAVE Approach©, ensures that all people involved in it conduct their practice in a professional and ethical manner, so as to best serve the goals of the CAVE Approach©, and protect the welfare of the individuals participating in it as well as the reputation and integrity of the CAVE Approach©. The Code also provides guidance to educational mentoring bodies and professionals related to ethical or pedagogical education regarding the application of an appropriate Code of Ethics in their practice. Additionally, the Code is also meant to provide the necessary information to individuals interested in the CAVE Approach©, and to promote public confidence in it as a systematic process for personal and professional development that also serves HD.
The preservation of the highest standards of integrity and ethical principles is fundamental for any professional practice, and even more so for a practice that aims to provide ethical education and development, such as the CAVE Approach©. The Code provides these standards and guidelines for following them, while expecting individuals to apply their freedom of choice and judgment to make decisions and take actions in their everyday practice that meet the standards and uphold the spirit and purpose of the Code. Thus the Code is a reflection of the application of the CAVE Approach© in the context of a Code of Ethics for professional practice.
The foundations of this Code are the Principles and the Standards of Ethics. The concepts of Aristotelian Ethical Theory and the Aristotelian virtues provide the Principles of Ethics that offer the general guidelines for an ethical, professional practice, while the Standards of Ethics are explicit statements, referring to specific conditions that might raise ethical dilemmas, which define the minimum acceptable conduct in these specific conditions, according to the Principles of Ethics. The Standards of Ethics are indicative but not inclusive of all possible conditions that might raise ethical dilemmas, neither are they inclusive of all possible ethical dilemmas. These, however, along with the Principles of Ethics which shall be honored and followed as affirmative obligations under all conditions of professional practice, provide sufficient guidance to professionals in order to conduct their practice in a professional and ethical manner.
The Standards of Ethics, are divided in 3 subcategories, each addressing a different group of professionals. The first subcategory, Standards of Ethics Part I, addresses all professionals who serve projects, research or scholarly activities relevant to the CAVE Approach©; so it also addresses professionals that belong to the other two subcategories. The second subcategory, Standards of Ethics Part II, addresses professionals holding the CAVE Approach© Certificate of Competence for Mentors (CACCM) and/or for Trainers (CACCT); so it also addresses professionals of the third subcategory. The third subcategory, Standards of Ethics Part III, addresses only professionals holding the CAVE Approach© Certificate of Competence for Mentors (CACCM).
Advertising: Any form of communicating services, products, or publications to the public.
Capabilities (internal/ external): Opportunities and abilities (real freedoms) that a person has in order to select and use the functionalities that s/he has reason to value (Sen, 2001). Internal capabilities are “trained or developed traits and abilities, developed, in most cases, in interaction with the social, economic, familial, and political environment” (Nussbaum, 2011). So, internal capabilities could be intelligence, judgment, knowledge, soft skills etc., whereas external capabilities could be capabilities provided by external resources, i.e. education.
CAVE Approach© Board of Ethics Contact: The mailing address for self-reporting in writing is firstname.lastname@example.org.
CAVE Mentor©: An expert Mentor interested in establishing a working relationship with people in a series of dialectic sessions with the purpose of helping them to understand, develop and apply the virtues and principles of the CAVE Approach© and HD, in order to improve people’s performance and wellbeing.
Conflict of Interest: An opposition of a professional’s private or personal interest to his/her professional duties, responsibilities and objectives.
Crime: Any felony or misdemeanor involving dishonesty, physical harm or threat of physical harm to the person or property of another.
Common Good: Αnything that promotes the preservation and sustainable development of the community, which is shared and beneficial for all or most members.
Dialogues of Development (DD): A practice that aims to support people’s effort to elaborate their knowledge and understanding of the 14 Aristotelian virtues as described in Aristotle’s work Nicomachean Ethics, and to develop and apply them practically in their personal and professional life, in order to advance their role as HD agents; by promoting their individual wellbeing and the common good of the groups they belong to, the society and humanity as a whole.
Fraud: Any behavior, action, omission, or concealment intended to deceive others to their disadvantage.
Human Development: “The process of enlarging people’s choices” (UNDP, 1990).
Individual Wellbeing: The perceived and actual state of being (physical, emotional, functional) that reflects and promotes people’s happiness.
Informed consent: The verbal or written consent provided by persons served, or participants in research or other activities, or parents and/or guardians of these persons, after they have been adequately informed about expected outcomes and potential risks of the relevant services and activities.
Jurisdiction: The “personal jurisdiction” and authority of the CAVE Approach© Board of Ethics over an individual holding the certifications CΑCCT or CACCM and/or membership, regardless of the individual’s geographic location.
May vs. shall: May denotes an allowance for discretion; shall denotes no discretion.
Misrepresentation: Any verbally expressed or otherwise implied declaration that is untrue, and made either with conscious ignorance or irresponsible disregard for the truth.
Negligence: Failure to conform to a standard or requirement due to which harm, loss or damage is caused to another person, and/or failure to act and behave as any prudent person would in the circumstances to protect the wellbeing of another person.
Plagiarism: To present as new and original an idea or work (i.e. manuscript, service or product, research, result etc.) derived from an existing source without crediting the source.
Right: Anything that promotes individual wellbeing and common good.
Principles of Ethics
The Principles of Ethics provide the foundation of any human conduct that aims to promote individual wellbeing (of self and others), and the common good of the community, while protecting and fostering HD and the sustainable development of humanity.
- Honors and respects the notion of HD which aims for the sustainable development of humanity, acknowledging the dignity of all humanity, respecting diversity and promoting equal opportunities.
- Acknowledges his/her role as the most important agent of HD (as a human being), and is committed to functioning from a position of dignity, autonomy and personal responsibility in order to serve HD.
- Holds as paramount priority and responsibility the promotion of the common good.
- Is committed to promoting the individual wellbeing of self and others.
- Applies rationale and evidence-based Judgment to discern what is true from not true about any matter, and to assess what promotes common good and individual wellbeing in every situation and context, and what does not.
- Applying his/her freedom of choice and rational Judgment, values and chooses to “be and do” what promotes his/her individual wellbeing and the common good in every situation and context.
- Applies his/ her Prudence to use all available capabilities efficiently in order to “be and do” what s/he values (in a way that also promotes individual wellbeing and common good).
- Courageously faces challenges, endures adversities, and takes rational risks in order to do what promotes his/her individual interest and the common good in every situation.
- Keeps a genuine Friendly attitude towards others, caring to please them and promoting peaceful and harmonious relationships, but is primarily willing to defend the truth, and do what is right in every situation.
- Uses Humor appropriately; s/he makes jokes that both himself/herself and others enjoy, for the purpose of having fun and not for any other purpose that might hurt or displease others; s/he enjoys the similarly appropriate jokes made by others
- Is Honest about himself/herself, telling the truth about his/her qualities and abilities and not misrepresenting them to others.
- Considers Honor and recognition the highest reward, and seeks it only for his/her true exceptional qualities and accomplishments, from the people that have the same or higher level of the relevant qualities and accomplishments. Honor and recognition that is sought or offered shall be proportional to the exceptional quality or accomplishment.
- Has Temperance, desiring things the nature and magnitude of which does not harm his/her individual wellbeing and common good.
- Prefers to remain Calm, and when s/he gets justifiably angry about things that threaten his/her wellbeing and common good, expresses his/her anger in a way that best promotes his/her wellbeing and common good.
- Is Generous with his/her tangible and intangible assets (e.g. budget, equipment, tools, knowledge, information etc.) preferring to use them than to withhold them, but does so thoughtfully, in a way that promotes his/her wellbeing and common good.
- Is Magnificent when his/her true status (e.g. social, economic, academic, etc) exceeds other people’s relevant true status, acting and behaving according the level of their true status but not in a way that makes other people feel uncomfortable. He or she voluntarily contributes to significant projects that promote the common good by wholeheartedly offering the most required to ensure that the projects’ purpose is best served.
- Is Magnanimous when his/her true status (e.g. social, economic, academic, etc.) exceeds other people’s relevant true status, drawing reasonable satisfaction from his/her superior status without demanding other peoples’ honor and acknowledgment. He or she does not get offended or annoyed if s/he does not get the recognition s/he deserves by those of inferior to him/her status.
- Acts and behaves fairly to other people in every context, by generally applying the above principles in every situation, and particularly by distributing benefits and damages between the self and others, as well as among others, based on what every person logically deserves in every context and analogically to the person’s contribution.
Standards of Ethics Part I
Professionals who lead, manage or support services, projects, research and scholarly activities relevant to the CAVE Approach©, and applicants of CAVE Approach© certification:
- Shall be committed to the provision of the highest possible quality of services by serving their roles competently, and efficiently using all the available resources and capabilities, both internal and external. If in doubt about their professional competence, shall take reasonable steps to ensure it, so as to protect their wellbeing and the wellbeing of the people they serve.
- Shall assume personal responsibility for the wellbeing of the people they serve, exercising their free professional judgment to identify what best promotes peoples’ wellbeing. They do their best to ensure that people are served in a way that promotes their wellbeing and that no harm is caused to them, even if it is needed to oppose a referral resource or an administrative mandate.
- Shall operate within the limits of their own professional practice and competence, as these are defined by their education and training, personal study, certification status, and professional experience.
- Shall be willing and able to make appropriate referrals and to collaborate with professionals in their field or other fields (mental health, counseling, psychotherapy, etc.), when appropriate, in order to offer the highest quality of service.
- Shall undertake ongoing efforts to maintain and develop their professional competence through lifelong learning relevant to their professional practice.
- If their professional practice is partially or totally impaired due to any physical or mental health- related condition shall seek professional assistance and, if appropriate, withdraw from practice.
- Shall provide reasonable notice in the event that they cannot permanently or temporarily support a service, project, research, or scholarly activity.
- Shall not discriminate in their professional relationships and interactions with any individuals, on the basis of race, sex, gender, sexual orientation, age, culture, religion, national origin, disability, social status, economic status etc.
- Shall represent the intended purpose of a service, project, research and scholarly activity, following the established guidelines for the relevant educational, consulting, coaching, counseling, therapeutic, research etc. practice.
- Shall obtain the informed consent of the persons they serve, after having adequately informed them about the nature, effects and possible risks of the activities, tools and practices to be used. Individuals shall enroll and include persons as participants in training workshops, Mentees in the DD sessions, as well as participants in research or presentations etc. only on the basis of voluntary participation, without coercion, and with informed consent.
- Shall maintain accurate and timely records of the provided services, projects, research, and scholarly activities conducted. They shall take measures to protect the confidentiality and security of these records, access to which shall be permitted only when it is legally authorized or enforced by the law, or is otherwise required to protect the wellbeing of the person or the common good.
- Shall maintain strict levels of confidentiality of any professional or personal information referring to the recipients of services or participants in projects, research and scholarly activities. They shall disclose confidential information only when it is legally authorized or enforced by the law, or is otherwise required to protect the wellbeing of the person or the common good.
- If they have evidence that a colleague or a member of another profession violates the professional and ethical standards, they shall immediately react to protect the wellbeing of the people affected (whether they are being served by the colleague/professional or participating in projects, research and scholarly activities). They shall work collaboratively with the colleague/ professional to resolve the situation and, if necessary, formally report the person to the appropriate internal or external authorities, regulatory bodies or associations.
- Shall be alert of any violations of the professional and ethical standards by the people under their supervision, and actively take immediate, appropriate measures to prevent them from engaging in such a practice.
- Shall not require or permit people under their control and supervision to engage in services, research, and activities that exceed their competence, as this is defined by their education and training, certification status, and experience.
- If involved in research, shall comply with all institutional and governmental laws and regulations about the relevant research.
- Shall make use of technological media and tools within the framework of the accepted professional guidelines in the area of their practice, and shall ensure their proper function in order to best serve the goals of the services, projects, research and scholarly activities in the context of which they are used.
- Shall be honest about their professional qualifications such as education, training, competence, credentials, experience etc., ensuring that the way they talk about them or otherwise present them reflects the accurate truth about them.
- Shall be honest about the characteristics, impact and results of the products dispensed, the services provided, the projects undertaken, and the research and the scholarly activities conducted, ensuring that the way they talk about them or otherwise present them reflects the accurate truth about them.
- Shall be honest in any verbal or written statements they make relevant to their professional practice, included methodology of conduct, tools and techniques used, finances etc. Likewise, they shall be honest while applying for certifications (CACCT or CACCM), making disclosures, completing applications and disclosure materials, etc.
- Shall be aware of potential conflicts of interest of a commercial, financial or emotional nature that might influence or compromise their ability to efficiently serve the goals of the relevant service, project, research or activity. They shall deal with them quickly and effectively to ensure there is no detriment to the persons involved.
- Shall not initiate or contribute to any act of defraud, intentionally or unintentionally due to ignorance or negligence, involving gains in any form coming from products dispensed, services provided, projects and research conducted.
- Shall use accurate statements complying with prevailing professional standards to announce, advertise and promote professional products, services, practices and activities, and to report results of these to any receiver (e.g. the public, colleagues, authorities etc.).
- Shall not engage in any form of conduct that harms the common good, adversely reflecting on their professional role or hurts their individual wellbeing, impairing their ability to meet the standards of their role.
- Shall not engage in any form of power abuse, and harassment, sexual or other.
- Shall not engage in sexual activities with individuals under their supervision, authority, power or control (e.g. persons receiving services, subordinates, research participants etc.), unless a prior consensual relationship exists.
- Shall recognize the contribution of others to a product, service or research project, publication, or presentation, and assign credit to them proportional to their true contribution. Credit shall be assigned by people that have the adequate knowledge to correctly assess others’ true contribution, and only with the contributor’s consent.
- Shall not engage in any form of plagiarism, intentionally or unintentionally due to ignorance or negligence. Individuals shall adequately reference the source adequately when using and communicating ideas, concepts, data, products or fragments of such that have been conceived by, developed or otherwise belong to another person.
- Shall not use the CAVE Approach© Standards and Code of Ethics to promote personal interests that are against the Principles of Ethics, e.g. making false complaints or false statements of facts, exaggerating about facts, ignoring or withholding facts that are vital to fairly adjudicate the complaints etc. out of personal animosity, or for personal gain or as a means to retaliate.
- Shall acknowledge the CAVE Approach© Board of Ethics as the ultimate internal authority to discuss, adjudicate upon and resolve complaints of alleged violations of the CAVE Approach© Standards and Code of Ethics, and shall fully comply with its policies and regulations.
- Shall fully comply with local, state, and federal laws and regulations applicable to any specific field of professional practice.
- Shall cooperate in ethics investigations and proceedings, and shall acknowledge that they are bound to conform to any resulting requirements imposed by the professional body to which they belong.
Standards of Ethics Part II
Professionals holding the CAVE Approach© Certificate of Competence for Mentors (CACCM) and/or for Trainers (CACCT) shall apply the Standards of Ethics I referring to all professionals but they also:
- Shall not delegate tasks that require the unique knowledge, expertise, and credentials that are within the scope of their role as CAVE© Mentors or Trainers
- May delegate to other people (e.g. support personnel, assistants, technical staff etc.) tasks relevant to the services they have been certified for, but they shall only do so if they are sure that the other people are adequately competent to perform the tasks, and/or are appropriately supervised.
- Shall follow the corresponding training and mentoring guidelines, processes and principles defined in the CAVE Approach© Manual and CAVE Approach© Standards and Code of Ethics, but may also define, based on their independent and evidence-based Judgment, the exact steps and means they will use in every context of their role as CAVE© Mentors or Trainers.
- Shall evaluate the effectiveness of the chosen steps and means (e.g. technological means, exercises, tools, techniques etc.), and apply them only if they reasonably expect that they serve the specific learning and developmental goals of their practice, protecting and promoting the wellbeing of the people being served.
- Individuals who do not hold the CACCT and CACCM may not provide the corresponding training and mentoring services; however, individuals who are in the certification process may engage in these services under adequate supervision and within the limits defined by the CAVE Approach© Certification Process.
- If have entered a plea of guilty or have been found guilty of having committed any felony or misdemeanor of penal or civil law, shall notify the CAVE Approach© Board of Ethics which serves the current Code at email@example.com. The notification shall be made by the person him/her self in written format within 60 days of the plea or finding of guilt, accompanied by the certified copies of the relevant official documents.
- If have been denied professional credentials by any professional regulatory body such as association, authority, board etc., shall notify the CAVE Approach© Board of Ethics which serves the current Code at firstname.lastname@example.org. The notification shall be made by the person him/her self in written format within 60 days of the final action, accompanied by the certified copies of the relevant official documents.
- Shall demonstrate respect for the variety of different approaches to personal development, training, mentoring and other.
Standards of Ethics Part III
Professionals holding the CAVE Approach© Certificate of Competence for Mentors (CACCM) shall apply the Standards of Ethics I & II but they also:
- Shall ensure that their capability is sufficient to enable them to operate according to this Code and any standards for CAVE© Mentors that may subsequently be produced.
- Maintain a relationship with a suitably-qualified supervisor, who will regularly assess their competence and support their development. A “suitably-qualified” supervisor is a person who has at least 5 years of DD practice and has significantly developed the core competencies (as described at 3.b.3.2 , “CAVE© Mentor’s Competencies”).
- Shall fully acknowledge that DD practice and their role as Mentors in it, falls outside the scope of mental health services. They shall clearly deny providing such services to individuals even if they are asked to, unless they are adequately qualified mental health professionals as well.
- Shall adequately inform (publicly or privately) any person that is involved or is interested in being involved with the DD practice or in learning about it that the DD practice falls outside the scope of mental health services.
- Shall seek to create the right environment for the DD to take place; an environment that fosters learning and development.
- Shall make and honor clear, mutually understood agreements with Mentees, and with the Sponsor (if a Sponsor exists, i.e. company or organization) in which at least the following are explicitly defined:
- The Context in which the DD practice is applied, and the agreed purpose and goals
- The DD Relationship, the Role of the Mentor, and the Role of the Mentee
- General information, purpose and goal of the CAVE Approach© and DD practice
- The Ethical Code provisions
- The Schedule of DD practice in the specific context: locations, session’s duration, frequency of sessions, number of sessions etc.
- Fees and payment conditions, where applicable
- Right of the Mentee to terminate
- Shall understand the expectations of the Mentee and the Sponsor, and ensure that these are realistic and appropriate for the context of the DD sessions. They shall help the Mentee and the Sponsor to set realistic and appropriate expectations, and to clearly understand how these will be met.
- Shall make and honor a clear agreement about how information will be exchanged among Mentor, Mentee and Sponsor.
- Shall maintain the strictest levels of confidentiality of any personal or professional information about the Mentees and Sponsor (as defined in Standards of Ethics I), but may disclose information if it is explicitly agreed with the Mentee and Sponsor, and only under the condition that the disclosure of information will not harm the individual wellbeing of either of them or the common good.
- When acting as a CAVE Mentor©, DD Supervisor or CAVE Trainer©, shall adequately inform the Mentee and Sponsor, as well as the supervisees or students about the conditions under which confidentiality may not be maintained (see also Standards of Ethics I), making sure that they all voluntarily and knowingly agree in writing to that limit of confidentiality.
- Shall respond to the Mentee’s virtues’ development needs in a way that best promotes his/her individual wellbeing and the common good.
- Shall not exploit the Mentee or the Sponsor in any manner (see also Standards of Ethics I), ensuring that the duration of the DD contract is no longer than required for the Mentee.
- Shall maintain beyond the termination of any DD relationship, their professional commitment to:
- Keep the agreed confidentiality of all information about Mentees and Sponsors
- Avoid any unfair and inappropriate exploitation of the former relationship
- Provide agreed upon follow-up services
- Protect the confidentiality and security of all related records and data.
- Shall continually represent DD practice in a way which reflects positively on the profession.
- Shall adequately inform the Mentee and Sponsor about the appropriate complaints and disciplinary procedure to be followed, in order to enable them to use it if they believe that a CAVE© Mentor has acted in a way which is in breach of this Code. CAVE© Mentors shall provide a copy of this document upon Mentee’s or Sponsor’s written request to the CAVE Approach© Board of Ethics at email@example.com. The CAVE Approach© Board of Ethics is responsible to inform the CAVE Mentors© about the relevant steps of the complaints and disciplinary procedure.
Any professional body or organization that offers the CAVE Approach© services shall make it a condition of membership that their members abide by this Code.
Lastly, if CAVE© Mentors’ ethical responsibilities as defined in this Code conflict with the law, professionals shall comply with the applicable law. In cases of doubt, professionals may approach the professional body to which they belong to resolve the conflict in a responsible manner, according the basic principles of human rights.
Copyright©2016 Manual of the CAVE Approach© for Human Development