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Guidance or Compliance: What Makes an Ethical Behavior Analyst?

Article · October 2018

DOI: 10.1007/s40617-018-00287-5

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DISCUSSION AND REVIEW PAPER

Guidance or Compliance: What Makes an Ethical Behavior Analyst?

Nancy E. Rosenberg1,2 & Ilene S. Schwartz1,2

# Association for Behavior Analysis International 2018

Abstract In 2016, the Behavior Analyst Certification Board (BACB) made effective a new, revised ethical code for behavior analysts, the Professional and Ethical Compliance Code for Behavior Analysts, replacing the code that had been in effect since 2001. In this revised code, the certification board has shifted the language of the code from that of a set of guidelines to that of a set of enforceable rules. This important shift has not been well discussed in the field. This article explores the potential implications and possible consequences of such a shift and describes other ways that ethical behavior has been approached historically. The authors then propose an ethical decision-making process that might provide a better area of focus for the field of behavior analysis in seeking to develop the highest levels of ethical behavior in its professionals and provide a case example using that process to resolve an ethical dilemma.

Keywords Ethics . Behavior analysis . BACB compliance code . Ethical dilemmas . Professionalism

The field of behavior analysis has experienced tremendous growth and change over the past 40 years. In 1977, there were approximately 1,100 members of the Association for Behavior Analysis International (ABAI; Deochand & Fuqua, 2016); in 2017, there were over 7,500 members (Dougher, 2017). In 1977, approximately 1,200 behavior analysts attended ABAI’s annual conference (Kangas & Vaidya, 2007); in 2017, over 5,000 attended the conference (Dougher, 2017). In 1977, there was no formal credentialing or licensing of behavior analysts anywhere in the world (behavior analysts, if licensed at all, had to be licensed under the umbrella of other disciplines, such as psychology); in 2017, there were over 25,000 master’s and doctoral-level behavior analysts credentialed by the inter- national Behavior Analyst Certification Board (BACB; www. bacb.com), and 26 states in the United States have mechanisms to license these professionals (Association of Professional Behavior Analysts, 2017).

* Nancy E. Rosenberg [email protected]

1 Special Education, College of Education, University of Washington, Box 357925, Seattle, WA 98195, USA

2 Haring Center, University of Washington, Box 357925, Seattle, WA 98195, USA

The growth in the field has been fueled primarily by the use of applied behavior analysis (ABA) with individuals with autism and by the concomitant health insurance funding for these services. Stemming largely from the seminal Lovaas (1987) study, which demonstrated a remarkable response to intervention by 9 of the 17 children with autism receiving intensive ABA therapy, and supported by an ever-increasing body of research (e.g., Wong et al., 2015), ABA has become the primary evidence-based treatment for autism. By 2017, 43 states and the national Medicaid program had mandated insur- ance coverage for ABA for children with autism spectrum disorder (Autism Speaks, 2017).

This explosive growth brings a corresponding increase in concerns about the ethical behavior of behavior-analytic prac- titioners, particularly because the growth in the field has pri- marily been in the area of developmental disabilities, involv- ing some of society’s most vulnerable members. There is a long history of mistreatment and abuse of this population, often in the name of therapeutic intervention (Dittrich, 2016; Donvan & Zucker, 2017). Some of this history of misconduct has unfortunately included the work of those claiming to be using behavioral treatments (e.g., Goldiamond, 1974; Kix, 2008; McAllister, 1972). Behavior analysts still combat this association, and it will likely take decades of exemplary eth- ical behavior for the field to break the link. Thus, an ongoing conversation about how to promote top-quality standards of professional and ethical behavior is paramount.

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As the primary accreditation body for behavior analysts, the BACB has taken the lead in articulating what the ethical behavior of a behavior analyst should look like. In 2001, at the advent of certification, the BACB published a code of conduct called Guidelines for Responsible Conduct for Behavior Analysts (BACB, 2001). Fifteen years later, the BACB made effective a revised code, the Professional and Ethical Compliance Code for Behavior Analysts (hereafter referred to as the BACB Code; BACB, 2014a). Any behavior analyst who wishes to obtain certification at any level through the BACB must agree to abide by this code. Hence, because of the number of behavior analysts choosing (or required by licensure or insurance requirements) to become certified, the BACB Code has become the de facto document articulating behavior-analytical ethics and professionalism.

Although the scholarly work offering in-depth discussion and analysis of ethics in behavior analysis is sparse, there have been a number of articles in the past decade that have delved into specific aspects of the BACB ethical code. LeBlanc, Heinicke, and Baker (2012), for example, explored ethical methods for behavior analysts to build boundaries of compe- tence. Several authors (e.g., Brodhead, 2015; Schreck & Miller, 2010) have provided discussion of how behavior ana- lysts can make ethical and professional decisions regarding the use of alternative and nonbehavioral treatments. O’Leary, Miller, Olive, and Kelly (2017) provide an in- depth discussion of social media and the ethical practice of behavior analysts. Several authors (Sellers, Alai-Rosales, & MacDonald, 2016; Turner, Fischer, & Luiselli, 2016) have addressed issues related to ethical supervision.

One aspect of the revised 2016 BACB Code that has not been discussed in the literature is the transition from the char- acterization of the code as a set of guidelines for ethical prac- tice to the characterization of the code as a set of enforceable rules. The original code that guided the ethical behavior of Board Certified Behavior Analysts (BCBAs) from 2001 to 2016 was called the Guidelines for Responsible Conduct for Behavior Analysts. The introduction to that code stated, “The Guidelines are provided for general reference to practitioners, employers, and consumers, of applied behavior analysis ser- vices … these Guidelines … are not separately enforced by the BACB” (BACB, 2001, p. 1; emphasis added). The word “guideline” was used throughout the code to refer to the indi- vidual elements guiding ethical practice.

The new code effective in 2016, on the other hand, is pre- sented as a list of enforceable rules rather than guidelines for behavior. The term “guideline” has been removed from the title, the Professional and Ethical Compliance Code for Behavior Analysts, and has also been completely removed from the document itself. In addition, the BACB has stated that “the Code will be enforceable in its own right and in its entirety” (BACB, 2014b). Thus, the BACB has moved from a stance of providing guidance on how to act ethically to a

stance of seeking compliance with a set of rules for practicing ethically.

This is a significant change. It assumes that there is a set of rules that can define ethical behavior for a behavior analyst in all circumstances and that ethical behavior can best be achieved by policing adherence to that set of rules. The pur- pose of this article is to explore this issue. We identify some of the perhaps unintended consequences of such a directive view of ethics and describe other ways that ethical behavior can be approached. Finally, we suggest an ethical decision-making process that we believe might provide a better area of focus for the field in seeking to develop the highest levels of ethical behavior in its professionals. As we are behavior analysts practicing in the field of developmental disabilities, we focus our examples from our scope of practice but hope that our exploration of the topic encourages behavior analysts from all areas to consider the questions we raise.

Rule-Based Ethics

The idea that there is an absolute set of rules that can govern moral behavior is called deontology, or rule-based ethics (Fisher, 2016, p. 38; Kant, 1785/1959). In deontology, the morality of an action is dictated by its adherence to a rule. Deontology is based on an assumption that it is possible to establish a set of rules or principles that can articulate ethical behavior in all circumstances and across all contexts and that if everyone then adheres to those rules, ethical behavior will be assured. Such an approach has great appeal in that it avoids any suggestion of a subjective approach to ethics: It keeps people from making selfish exceptions for themselves in what constitutes ethical behavior (Shafer-Landau, 2013, p. 442).

However, a rule-based approach can sometimes present problems. We have encountered some of the inherent issues related to this approach in our workwith the BACBCode. The issues that can arise often fall into one of three categories: (a) situations where the context of the ethical dilemma seems to argue against the rules, (b) situations where two or more rules can conflict, or (c) situations where cultural considerations seem to suggest a different course. We consider each of these potential conflicts in turn.

Context Sometimes Matters

Ethicists have argued for centuries about whether there are moral absolutes that apply in every situation. Even with a seemingly straightforward moral admonition such as “Thou shalt not kill,” it is relatively easy to come up with scenarios where adhering to the rule might not be considered the ethical course. Many people who believe generally that killing is a bad thing would agree that to kill a terrorist as he prepares to detonate a bomb designed to kill thousands of innocent people

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would be the right ethical decision. Similarly, the moral state- ment that “one should tell the truth” seems to be a straightfor- ward ethical rule, but again, we can quickly imagine situations where telling the truth may not be the best, or most ethical, course of action. The classic example is that of a German citizen hiding a Jew during the Nazi regime of World War II. Nazis come to the house and demand to know whether any Jews are hidden inside. Most people today would agree that in this situation, lying is the most appropriate ethical behavior. As a guideline or rule of thumb for ethical behavior, “one should tell the truth” works well; however, as an inflexible rule applicable in every circumstance, it runs into problems.

There are a number of scenarios where rules from the BACB Code can be similarly affected by context. Consider code 1.05(d): “In their work-related activities, behavior ana- lysts do not engage in discrimination against individuals or groups based on … socioeconomic status.” As a guideline for behavior, the statement that behavior analysts will not dis- criminate against those without economic means is principled and unarguable. But what it implies, as an enforceable rule, is that a behavior analyst running an agency must take every client coming to his or her door, regardless of the client’s ability to pay either privately or throughmedical insurance; otherwise, a behavior analyst is discriminating based on socioeconomic status. Although most agency representatives would agree that they have some responsibility to provide services regardless of a client’s ability to pay, most would follow this with the state- ment that they would quickly go bankrupt if they took every client who did not have the ability to pay. Agencies grapple every day with the difficult moral dilemmas of how to serve low-income clients and still stay in business (arguably another moral imperative). As a guideline for ethical behavior, this code is strong; as an enforceable rule, true in every situation, the code is problematic and impossible to comply with.

Code 1.06(a) provides another example. The code states, “Due to the potentially harmful effects of multiple relation- ships, behavior analysts avoid multiple relationships.” The potential ethical and professional problems associated with multiple relationships is an important ethical concept for be- havior analysts to understand and, in general, to avoid. But it is also possible to find situations that might argue for an alter- native approach. Consider a behavior analyst named Clarice, living in a university town. Clarice’s 3-year-old daughter is diagnosed with a developmental delay and is exhibiting severe self-injurious behavior. At the local university, there is a be- havior analyst who has significant expertise in self-injurious behavior. Unfortunately, this professor is also Clarice’s former professor and has since become Clarice’s friend and col- league. Clearly, Clarice’s child receiving services from this behavior analyst constitutes a multiple relationship. But this is a complicated situation. Is it right that Clarice should have to forgo the expertise of a clear expert in her child’s presenting problem because this person happens to be a friend and

colleague? Is it possible to carefully set up the situation to avoid potential issues caused by the multiple relationship while still allowing Clarice to get the best for her daughter? The point here is not to say what the right course is in this instance but rather to illustrate that these dilemmas can some- times be difficult and complex situations, not easily addressed by a black-and-white rule.

Two or more Moral Rules can Conflict

In deontological ethics, you can also find situations where two moral rules conflict. This happens frequently in daily life. “Be honest” and “be kind” are two common moral rules. But when presented with a friend’s stunningly bad haircut and asked, “How do you like it?” it may be impossible to be both honest and kind. Similarly, there are situations where two or more rules in the BACB Code come into conflict, making it literally impossible for a behavior analyst to abide by all codes. Take, for example, a situation where a behavior analyst is dealing with a significant personal issue, such as a divorce, which is impacting her work. Code 1.05(f) states that “behavior ana- lysts refrain from providing services when their personal cir- cumstances may compromise delivering services to the best of their abilities.” On the other hand, this behavior analyst has also clearly made commitments to multiple clients to provide service. Code 1.04(c) states, “Behavior analysts follow through on obligations, and contractual and professional com- mitments with high quality work.” Both codes are right, but the behavior analyst cannot simultaneously do both.

In another example, consider the situation where a behavior analyst cannot come to an agreement with an insurance com- pany on what constitutes an appropriate level of service for a client. Code 2.04(d) says,

Behavior analysts put the client’s care above all others and, should the third party make requirements for ser- vices that are contraindicated by the behavior analyst’s recommendations, behavior analysts are obligated to re- solve such conflicts in the best interest of the client. If said conflict cannot be resolved, the behavior analyst’s services may be discontinued following appropriate transition.

This behavior analyst has advocated for the client without success and thus the code suggests she may need to end ser- vices. However, 1.04(c) again states that behavior analysts need to follow through on obligations and professional com- mitments. The family may very much want the behavior ana- lyst to continue, even at a level of service below that which the behavior analyst feels is necessary. Both codes are right, but the behavior analyst cannot simultaneously do both.

True ethical dilemmas are often not those where there is a clear right and a clear wrong. True ethical dilemmas often

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arise when ethical principles seem to require a person to do two (or more) actions but the person cannot do both (or all) of the actions. Thus, in a world of rules enforceable in their entirety, the person seems condemned to ethical and moral failure no matter what she or he does.

Culture Always Matters

In today’s multicultural world, cultural considerations, wheth- er spoken or unspoken, unequivocally matter in ethical deci- sion making. The need to understand and balance a respect for the different worldviews of clients is paramount in entering into a productive professional relationship with them; clients and behavior analysts may have different values, beliefs, and views of behavior analysis but need to come to a common understanding and place of respect to move the relationship forward. Several authors have highlighted instances where cultural values and beliefs of clients may affect a behavior analyst’s practice (Fong, Catagnus, Brodhead, Quigley, & Field, 2016; Fong & Tanaka, 2013). It is impossible to pro- pose a set of rules that fits every cultural situation. Cultural beliefs and practices vary widely and are influenced by a va- riety of personal, family, and societal issues. Probably one of the most debated codes in the 2016 revised edition of the BACB Code has been code 1.06(d): “Behavior analysts do not accept any gifts from or give any gifts to clients because this constitutes a multiple relationship.” Some behavior ana- lysts have interpreted this as applying to even the smallest gestures by a family, prohibiting behavior analysts from accepting a cup of tea or a token gift (Bailey & Burch, 2016). However, in many cultures, accepting a beverage or food when entering a house is considered a common courtesy and refusing is considered rudeness. In many school environ- ments, accepting a token gift at holiday time is part of school culture and being the one member of a school team to refuse the token gift from parents at the end of the year may be seen as a sign of arrogance or as an implication that other members of the school team are acting unethically. In both situations, refusing the gesture risks damaging relationships. Again, we are not proposing what the right or wrong thing to do is in these situations; rather, we are arguing that these situations are complex, that consequences of either action need to be weighed, and that a consideration deeper than a black-and- white rule is needed.

Reliance on scientific knowledge is a bedrock principle of behavior analysis and is included in several of the BACB Code rules, such as code 1.01, “Behavior analysts rely on professionally derived knowledge based on science,” and code 2.09(a), “Clients have a right to effective treatment (i.e., based on the research literature …). ” However, cultur- ally diverse clients may not have the same faith in scientific evidence that a behavior analyst has. Consider a situation where a behavior analyst is working to build a relationship

with a family who has recently moved to the United States from another country. This family is highly skeptical of be- havior analysis, and the behavior analyst has been working very hard to establish the trust necessary to do her work and help her client. The family wants to try a nonscientifically supported treatment popular in their culture and that has enjoyed favorable reports in the popular press. The behavior analyst believes that this treatment would be harmless and take very little time and that agreeing could greatly improve the relationship with the family. The behavior analyst also fears that without this collegial approach, the family will de- cide to abandon ABA altogether. This behavior analyst could reasonably decide, after a careful weighing of consequences, that in this situation, deciding to include this nonscientific treatment in a robust package of behavioral interventions is the most ethical course. Once again, it is not the final decision we are promoting, but rather the fact that these are complex situations requiring careful analysis rather than black-and- white rules.

It is important to remember that the culture of the behavior analyst also impacts ethical behavior. The belief that a rule- based system, where everybody following the rules produces the greatest good, is a Western-centric belief (Zheng, Gray, Zhu, & Jiang, 2014). Zheng et al. (2014) compare this Western stance with traditional Chinese ethical beliefs, which emphasize the maintenance and propriety of relations as the most important consideration in determining the greatest good. In traditional Chinese thinking, human relationships are considered more important than any other aspect of human life and a rule should not be followed if it promotes disharmo- ny (Zheng et al.). Thus, considering an ethical dilemma, a Chinese behavior analyst is likely to form a very different analysis than a Western-raised behavior analyst would. As behavior analysis spreads throughout the world, it becomes increasingly important that the profession has an approach to ethics that can respect cultural differences.

Other Approaches to Ethical Decision Making

Rule-based decision making, or deontology, is not the only way to approach ethical decisions. Ethicists and philosophers have proposed a number of different methods for ethical de- cision makers over the centuries, including virtue ethics and ends-based ethics.1

Virtue ethics, first expounded by Aristotle (trans. 1999), is very different from rule-based ethics. Virtue ethics involves a commitment to being a good and virtuous person. Ethical decisions are based on what a person decides is most virtuous in a given situation. Virtue ethics specifically says that what a

1 An excellent online resource for a nonspecialist’s introduction to ethics is The Stanford Encyclopedia of Philosophy (https://plato.stanford.edu/).

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person should do in a particular situation cannot be deter- mined beforehand or dictated by a set of rules (Shafer- Landau, 2013, pp. 609–686). Virtue ethics proposes that al- though ethical situations may have common aspects, each ethical situation is unique and complex and the contextual factors of each must be considered on their own.

Another approach to ethical decision making is ends-based ethics, also known as consequentialism or utilitarianism (Fisher, 2016, p. 38; Mill, 1861/1957). In ends-based ethics, a person focuses on the potential consequences of different actions in an ethical conundrum and then attempts to pick the action that will result in the best outcomes for the greatest number of people affected by the action. Again, this is very different from rule-based ethics. In rule-based ethics, an individual focuses on adherence to a general rule regardless of the consequences of complying with that rule in a given situation. Consequentialism focuses instead on the outcomes of different decisions in a particular situation.

All of these approaches to ethical decision making, not just deontology, have problems associated with them, which is probably why, after centuries of debate, none has been settled upon as the ideal approach to ethical decision making. An in-depth discussion of the pros and cons of each of the approaches is beyond the scope of this article. However, it is important for behavior analysts to know that there are other ways to think about ethical behavior. In fact, Kidder (2009) has argued that systematically considering an ethical dilemma through the lenses of different ethical approaches is fundamental to ethical decision making.

Ethical Decision Making as a Process

We have called into question whether there is a set of rules that can define ethical behavior for behavior analysts in all circum- stances. A stance that one cannot define such a set does not necessarily imply an ethical free-for-all where any decision goes. We in fact believe that a set of guidelines for ethical and professional behavior—an ethical code for our profession developed by experienced, knowledgeable, thoughtful, and diverse members of our profession—is critical in guiding eth- ical professional behavior. Behavior analysts at any level must start by studying this code, developing a deep understanding through discussion, practice, and role-playing of both the practical purpose of each guideline and the important reasons behind each one. We believe, however, that ethical decision making should then be a process of systematically evaluating an ethical dilemma, considering not only the profession’s eth- ical guidelines but also other factors that might influence an ethical decision. For someone to deviate from the published guidelines, this process would expect that person to

demonstrate that he or she has diligently and systematically thought about the issue, weighed carefully the pros and cons of each course of action, documented his or her deliberations, and then made a careful decision.

Ethical Fitness

The idea that fluent ethical behavior requires constant practice has been around since Aristotle, who maintained that to be truly virtuous, one must practice ethical behavior until it be- comes habit (Aristotle, trans. 1999). In a more modern version of this idea, Kidder (2009) talks about the need to have “eth- ical fitness.” Ethical fitness shares many similarities with physical fitness. Just as the achievement of physical fitness requires regular, ongoing exercise, true ethical fitness also requires regular, ongoing ethical practice. Every day, behavior analysts are confronted with situations in which they need to make decisions about how they will conduct themselves. Many of these occurrences are mundane situations requiring little thought, but others are complicated and delicate and have a variety of possible resolutions. To be able to consis- tently act ethically in both the mundane and the more complicated situations, behavior analysts must be fluent with the skills and knowledge required. And just as a structured fitness routine, practiced daily, can help one achieve physical fitness, we propose that a structured ethical decision-making process, practiced frequently, is an ideal way to achieve ethical fitness.

A Possible Ethical Decision-Making Process

Here we propose one version of an ethical decision-making process—one we have developed as we have struggled with students, colleagues, and other professionals to resolve ethical dilemmas. The process has gone through a number of itera- tions, and we suspect it will go through more as we invite a discussion in the behavior-analytic community about what such a process might look like. The process can be seen in Fig. 1. We address each step only briefly here, as the purpose of this article is not so much to propose a particular decision-making process as it is to propose the idea that focusing on an ethical decision-making process, rather than working toward an ever more detailed set of rules, is the best direction for behavior analysts in develop- ing an ethical profession.

Step 1: Why does this trigger your ethical radar?

& Identify the ethical dilemma. & If applicable, identify the client(s). & Identify the relevant codes in the BACB Code. & Identify personal values or biases that may influence your

decision making on this issue.

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Fig. 1 Ethical decision-making process

Step 3: Evaluate solu�ons. Consider what issues, conflicts, or tensions might poten�ally influence each solu�on. Also consider the following:

Client safety Client dignity and self-determina�on Client outcomes Impact on your rela�onships with other par�es Family preferences

YES

Step 4: Have you found an acceptable solu�on?

Step 2: Brainstorm solu�ons. What solu�ons does the BACB Code suggest? What are other possible solu�ons?

Step 1: Why does this trigger your ethical radar? Iden�fy the ethical dilemma. If applicable, Iden�fy the client(s). Iden�fy the relevant codes in the BACB Code. Iden�fy personal values or biases that may influence your decision making on this issue.

NO

Step 6: Reflect upon the results/effects of your decision. Was it a successful resolu�on? Do you need to take any further steps in this par�cular situa�on? Have you learned anything that will affect future ethical decisions?

Step 5: Implement the solu�on with fidelity and carefully document all ac�ons taken.

Every good behavior analyst knows that before one at- tempts to change a behavior, one first needs to develop a clear operational definition of the behavior. The same is true in ethical decision making; before engaging in an analysis of an ethical dilemma, one must clearly articu- late the issue and identify the parties most affected by this issue.

As stated earlier, we believe that ethical decision making should start with adherence to a set of guidelines set forth by the profession. Currently, this is the BACB Code. Thus, the behavior analyst next must identify the specific codes in the BACB Code that apply to the stated issue. This requires that behavior analysts have a working knowledge of the BACB Code and are familiar enough with its contents to know which codes are relevant in a given situation.

Behavior analysts must also then think about the lenses through which they are viewing the potential ethical conflict. The personal lenses that influence our view of behavior and contexts may be influenced by culture, values, and beliefs. Although our study of ABA often ignores these influences,

it is impossible to examine ethics without acknowledging how these personal beliefs and values influence the interpretation of an ethical code and the decisions that we make around ethical and moral behavior (Tanaka-Matsumi, Seiden, & Lam, 1996). Abramson (1996) terms this awareness “ethical self-knowledge.”

Step 2: Brainstorm solutions.

& What solutions does the BACB Code suggest? & What are other possible solutions?

The next step in making an ethical and professional deci- sion is to brainstorm possible solutions. Behavior analysts can do this on their own, but talking through possibilities with a respected colleague or a group of colleagues will often result in a better set of options. Possible solutions should be influ- enced by the BACB Code, a behavior analyst’s professional experience, and other factors a behavior analyst considers rel- evant to a given ethical decision.

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Step 3: Evaluate solutions. Consider what issues, conflicts, or tensions might potentially influence each solution. Also consider the following factors when evaluating solutions:

& Client safety & Client dignity and self-determination & Client outcomes & Impact on your relationships with other parties & Family preferences

Once a behavior analyst has developed a list of po- tential solutions, it is time to evaluate the solutions and the effects each would have on involved parties. For each solution, it is important to consider both who will be affected by the decision and how. In our own work with individuals with developmental disabilities and their families, we have identified some specific factors that we believe should be part of this evaluation. These factors are derived from a set of universal moral values pro- posed by Kidder (2005): honesty, respect, responsibility, fairness, and compassion. In working with the decision- making process, we found these universal values to be too general to be particularly helpful; in consequence, we have developed a set of factors, derived from these prin- ciples but specific to our work with individuals with developmental disabilities, that we believe any ethical decision should take into account.

Step 4: Have you found an acceptable solution? Often, after working systematically through the possible ramifi- cations of different solutions, one solution will reveal it- self as clearly the best option. In this case, a behavior analyst can move ahead to Step 5, documenting the deci- sion and implementing it. Occasionally, however, a behav- ior analyst will carefully evaluate the solutions and feel that none is right; no solution will meet the behavior ana- lyst’s standard for ethical and professional behavior. In this case, the behavior analyst must go back to Step 2 and brainstorm new solutions. This is a point where true “out of the box” thinking is often needed. If colleagues have not been enlisted previously, this is an important time to bring them in. A number of professional organizations, including ABAI, provide an ethics consultation line that practitioners can call to discuss ethical dilemmas. An eth- ical behavior analyst will continue the process until a so- lution is found that meets his or her standard of ethical and professional behavior.

Step 5: Implement the solution with fidelity and carefully document all actions taken. When a behavior analyst de- velops a behavior plan to reduce or increase a client behavior, the behavior analyst must ensure that the plan is being imple- mented with fidelity before attempting to assess the

effectiveness of that plan. Similarly, an ethical behavior ana- lyst must implement an ethical solution with fidelity before assessing the outcome.

Careful documentation of the ethical decision-making process is critical throughout. We believe that systematic and thoughtful analysis of ethical dilemmas is the linch- pin of ethical behavior and that it is on this analysis that ethical behavior should be judged. Thus, it is crit- ically important that a behavior analyst documents the steps taken both in arriving at a decision and in carrying out the decision.

Step 6: Reflect upon the results/effects of your decision.

& Was it a successful resolution? & Do you need to take any further steps in this particular

situation? & Have you learned anything that will affect future ethical

decisions?

Finally, it is important to remember that settling on a solution to an ethical dilemma does not mean one can never change one ’s mind or adjust one’s course. Collecting information about the effects of an ethical de- cision enables a behavior analyst to evaluate the solution and to then engage in data-based decision making regard- ing future behavior. This type of evaluation may be less straightforward than evaluating behavior change on a line graph, but it is equally critical. It requires considering the effect a decision had on current clients, on other affected parties, and on one’s own feelings of confidence and competence.

This self-reflection on one’s behavior helps a behavior an- alyst decide whether a current dilemma has been successfully resolved or needs to be revisited. It is also critical to ethical fitness, helping a behavior analyst learn from both mistakes and successes, building both skill and fluency in ethical performance.

Case Example

To help illustrate our process, we consider the following eth- ical dilemma:

John works as a BCBA providing early intervention services for children with autism in a low-income, rural area. He is the only BCBAwithin a 160-km radius of his office. Recently, the 2-year-old son of John’s neighbor, a single mother three houses down, was diagnosed with autism. The family’s pediatrician referred the family to John for ABA services. John is struggling with how to handle the situation.

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Step 1: Why Does This Trigger Your Ethical Radar?

John first tries to clarify the ethical dilemma. He believes that accepting a neighbor as a client would constitute a multiple relationship and thus should be avoided. But he also is concerned that if he doesn’t provide service to this child, the child will not receive ABA services. Thus, his ethical dilemma is whether or not he should accept this child as a client.

Next, John tries to identify the clients in this dilemma. Although this family and this child are not officially his clients (he has not accepted them yet), he believes that in his analysis of the situation, he should consider the family and the child as clients, with the child being the prima- ry person of concern.

In reviewing the BACB Code, John believes the most per- tinent code is 1.06(a): “Due to the potentially harmful effects of multiple relationships, behavior analysts avoid multiple re- lationships.” However, he also highlights a statement from the introduction to code 2.0, “Behavior analysts have a responsi- bility to operate in the best interest of clients,” as he believes it may also be relevant to this situation.

Finally, John considers his own values and biases that may affect his decision. John acknowledges that he chose to live in this low-income, rural area because he was committed to serv- ing underserved populations. He feels that sometimes rules and regulations are made by people who do not understand the conditions he is operating under and thus he can feel dis- dain for those rules. He recognizes this tendency and tries to guard against it. Thus, he wants to make sure he is carefully considering why these rules exist and the dangers if they are not followed.

Step 2: Brainstorm Solutions

John believes the BACB Code suggests he should avoid this multiple relationship and refer the family elsewhere. He believes another possible solution is to take the family as a client but to try to set up safeguards against the dangers of the multiple relationship.

Step 3: Evaluate Solutions

John first considers the solution of referring the family elsewhere. Given that he is the only BCBA for 160 km, he examines the options. One of the alternatives would be to try to find a distant BCBAwho is willing to travel to their small town to provide services. However, John is aware that this parent has very limited financial means, and so John is not certain this is feasible. Another possibility is to try to find a remote BCBA who is willing to provide services via telehealth, but John knows this family does not have good Internet service (very few people in the neighborhood do),

and so John doubts that this would be a good option. Overall, given the challenges this mother is facing as a single mother with a newly diagnosed child, John is skeptical that she could sustain the challenges of remote services. He sus- pects that if he does not provide services, the reality would be that the child would not receive services at all. In addition, John wonders whether, even if the challenges of remote su- pervision could be addressed, the quality of the services pro- vided remotely could compare to the services he could pro- vide for this child when he could be providing close and fre- quent supervision.

John contemplates his second option: accepting the child as a client, but attempting to set up procedures that could help mitigate the potential problems of the multiple relationship. John believes he could discuss the situation and the dangers of the multiple relationship with the mother. He could specify that during the time the child is receiving services, John would need to avoid social encounters with this family as much as possible, and if occasions did unexpectedly occur, they would be kept as brief as possible and he and the mother would not discuss the child or his treatment at all. If unexpected neigh- borhood issues were to arise that required attention, the moth- er would interact with John’s wife about these issues rather than John.

John believes he has thoroughly analyzed his options, but he wants a second opinion. Although his rural situation means he has no immediate associates, he has maintained close rela- tionships with several colleagues from graduate school. He calls up one of his most trusted colleagues, someone he has always considered truly ethical in her behavior, and goes over the dilemma with her. This colleague agrees with John’s analysis.

Step 4: Have You Found an Acceptable Solution?

Although John is uncomfortable stepping knowingly into a multiple relationship, he believes that in this situation, it is the right thing to do. He believes that if he does not accept this child as a client, the family will not receive ABA services at all, and he believes this would be a greater wrong than the multiple relationship. He feels he has a good plan to provide safeguards against the dangers of the multiple relationship and feels that he is truly acting in the best interest of the child in choosing this path. Thus, he decides, yes, he has found an acceptable solution.

Step 5: Implement the Solution With Fidelity and Carefully Document All Actions Taken

John first takes the time to write down his considerations. He knows he is acting against a rule in the BACBCode and he wants to document his careful weighing of the pros and cons of the different possibilities. He then writes up a clear list of

Behav Analysis Practice

the parameters he has developed for the relationship. He will use this in his conversation with the mother and will keep it with his documentation of his decision- making process. John then moves forward with his meeting with the mother.

Step 6: Reflect Upon the Results/Effects of Your Decision

Six months later, John reflects on his decision and its consequences. There is no question that the child has benefited hugely from the ABA therapy. He is making great progress: starting to talk, developing play skills, and learning self-care. John also feels that he has safely navigated the multiple relationship. He and the mother rarely see each other outside of the clinic, and they keep those interactions brief, effectively avoiding discussion about the child or his services. John does feel that the situation has affected his life in the neighborhood a bit—he now always checks to make sure the family is not outside if he goes out to take a walk, and he chose to not attend the neighborhood barbeque last month so that he would not run into the family. But he feels that these are small, personal inconveniences compared to the good he is doing in providing this child with life-changing therapy. Overall, he feels extremely positive about the choice he made and its impact on the affected parties.

Summary

Behavior analysts are currently practicing under a system that views ethical behavior as adherence to a set of rules. We believe that such an approach does not promote truly ethical behavior. On the contrary, we believe that a rule- governed approach can promote a mechanical, rigid ap- proach to ethical behavior that does not adequately reflect the complex, diverse world that behavior analysts practice in. Rather, we believe that our ability to practice ethical- ly—our ethical fitness—is enhanced by an expectation that one constantly must wrestle in a thoughtful, system- atic way with ethical issues and then resolve issues in such a way that one could stand in front of a court of peers and defend one’s resolution and the reasons for it. To do this, behavior analysts must be taught a struc- tured, systematic way to approach ethical problems. We have presented one possible process for doing this, but the main purpose of this article is not to present our particular process but rather to stimulate a discussion in our field about how behavior analysts should approach ethics more generally. We believe all behavior analysts want to work in a profession whose members are committed to ethical be- havior. The question to be debated is how this can best be achieved.

Compliance with Ethical Standards

Conflict of Interest Nancy Rosenberg declares she has no conflict of interest. Ilene Schwartz declares she has no conflict of interest.

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DISCUSSION AND REVIEW PAPER

When Rules Are Not Enough: Developing Principles to Guide Ethical Conduct

Elizabeth M. Kelly1 & Kaitlin Greeny1 & Nancy Rosenberg1 & Ilene Schwartz1

Accepted: 11 September 2020 # Association for Behavior Analysis International 2020

Abstract Currently, certified behavior analysts are required to adhere to the ethical rules established by the Behavior Analyst Certification Board® (BACB®) known as the Professional and Ethical Compliance Code for Behavior Analysts (BACB, 2014; hereafter referred to as the BACBCode). Applying these rules without context, however, can result in an overly simplified andmechanistic approach to ethical problem solving. Ethical rules that lack guiding principles may also pose dissemination challenges for behavior analysts tasked with communicating the field’s ethical ideals to nonbehavioral colleagues and stakeholders. This article describes the process that our applied behavior analysis organization used to develop a set of guiding ethical principles to supplement the BACB Code. These principles guide our members’ ethical decision making and assist them in disseminating our organization’s ideals. Following a description of the principle development process, we present our organization’s ethical principles and discuss how behavior analysts can use them to make clinical and ethical decisions, and address dissemination challenges.

Keywords Applied behavior analysis . Behavior analysis . Dissemination . Ethical decisionmaking . Ethics . Principles

Applied behavior analysis (ABA) is a natural science ap- proach to studying behavior in context. One of the most im- portant defining characteristics of ABA is its attention to the relationship between the behavior of interest and the context in which the behavior occurs. Baer, Wolf, and Risley (1968) initially addressed this idea when they proposed that behavior analysts study behaviors that are important to individuals in the environments in which they naturally occur, rather than those that may be more convenient for the researcher or the therapist. Since Baer et al. (1968), many other behavioral re- searchers have proposed a contextual approach to the analysis of behavior (e.g., Biglan & Hayes, 1996; Morris, 1988). This approach supposes that context contributes to a behavior’s relevance, and it therefore encourages ABA researchers and practitioners to consider context, as well as behavioral func- tion, when developing intervention strategies for the individ- uals they serve. Knowledge of both function and context is critical for effectively and meaningfully improving the quality

of life for individuals receiving ABA services (Carr et al., 2002; Moes & Frea, 2000; Verdugo, Schalock, Keith, & Stancliffe, 2005).

Ethical behavior warrants the same contextual consider- ation as all other behavior. Currently, certified behavior analysts are required to adhere to the ethical rules established by the BACB®, known as the Professional and Ethical Compliance Code for Behavior Analysts (BACB, 2014; hereafter referred to as the BACB Code). Applying a set of rules without context, however, can re- sult in an overly simplified and mechanistic approach to ethical problem solving. Ethical rules alone do not provide sufficient guidance to address the multiple contexts and complex challenges faced by professionals (Brodhead, Cox, & Quigley, 2018; Noddings, 2015). Many profes- sional organizations, such as the American Psychological Association (APA), American Medical Association (AMA), and American Speech-Language-Hearing Association (ASHA), have addressed this by developing overarching principles (e.g., beneficence, nonmaleficence, integrity) that help contextualize their ethical rules (AMA, 2016; APA, 2017; ASHA, 2016). Many revisions to the BACB Code have been made since the BACB first established rules to guide behavior analysts’ ethical

* Elizabeth M. Kelly [email protected]

1 College of Education, University of Washington, Box 357925, Haring Center, 1981 NE Columbia Rd., Seattle, WA 98195, USA

https://doi.org/10.1007/s40617-020-00515-x

/ Published online: 23 October 2020

Behavior Analysis in Practice (2021) 14:491–498

behavior (BACB, 2001); however, none of the revisions have included a set of guiding principles.

The Use of Principles to Contextualize Ethical Rules

Ethical principles are broad statements that help individuals transform conceptual and philosophical beliefs into ethical behavior (Allan & Love, 2010; Gauthier, Pettifor, & Ferrero, 2010). Principles provide overarching information and guid- ance that can be used to interpret, prioritize, and contextualize ethical rules (Kidder, 2005). Thus, principles are mechanisms that can encourage behavior analysts to consider both function and context during the ethical decision-making process. They are translational; they remind members of a profession about the core values that guide their work and the ideals that mem- bers of their professions use to make decisions about ethical dilemmas (Allan & Love, 2010; Seitz & O’Neill, 1996).

One of the most challenging activities that certified behavior analysts experience throughout their careers is addressing ethical dilemmas. These are, by definition, difficult situations that pres- ent competing value propositions—not simple situations where there is a clear right or wrong answer (Kidder, 2009). Behavior analysts routinely encounter ethical dilemmas and must decide how to interpret and solve them. They are also required to comply with the BACB Code, but this list of ethical rules is likely inadequate to provide the guidance that behavior analysts need to address all ethical situations. It is impossible to create a code of ethical conduct that provides a rule for every ethical dilemma that behavior analysts will encounter given the breadth of clients, contexts, and cultures1 that they work with. Principles provide an overarching framework to guide ethical decision making when contextual or cultural variables suggest actions that are in conflict with the BACB Code or when two or more ethical rules are incompatible (Allan and Love, 2010; Rosenberg & Schwartz, 2019; Sinclair, Poizner, Gilmour- Barrett, & Randall, 1987).

Another challenge commonly faced by behavior analysts is describing their work in a manner that is both technically accurate and understandable to nonbehavioral colleagues and stakeholders (Critchfield, 2014). This dissemination challenge is present in ethical work and exacerbated when behavior analysts attempt to explain to non-behavior analysts all of the discrete rules that gov- ern their ethical behavior.Many behavior analysts do not have the discrimination and fluency necessary to describe the 71 separate ethical codes in the BACB Code. Having an understanding of specific, relevant ethical principles may improve behavior ana- lysts’ ability to communicate the ideals that frame their work to other nonbehavioral colleagues and stakeholders. Behavior

analysts who communicate ideals, rather than codified rules, can likely better contribute to the dissemination of ethics in ways that are understandable and meaningful to others (Limentani, 1999).

Thus, ethical principles can contribute to improved ethical decision making and dissemination for behavior analysts in critical and meaningful ways. The purpose of this article is to describe our organization’s process of principle development and the resulting outcome. We are a university-based ABA program responsible for teaching and supervising future be- havior analysts, providing ABA services, and conducting ap- plied behavioral research. Although we believe that the field of ABA would benefit from guiding principles to contextual- ize current ethical rules, we are not positioned to engage in the work at that level. Therefore, we developed guiding principles for our own organization. In developing principles to supple- ment the BACB Code, behavior analysts within our organiza- tion are provided a critical tool to guide ethical decision mak- ing in line with our organization’s ideals. Guiding principles assist our behavior analysts in making ethical decisions that are compliant with the BACB Code and aligned with our organization’s professional and ethical ideals.

Ethical principles have been noted in some behavior- analytic literature. Bailey and Burch (2016) described princi- ples in their ethical text for behavior analysts; however, these principles are absent in the BACB Code (BACB, 2014). Furthermore, these principles were not informed and devel- oped by behavior analysts; they were borrowed from the broader field of psychology and other allied professions (Koocher & Keith-Spiegel, 1998). Additionally, Brodhead et al. (2018) mention principles from the field of bioethics in their text addressing practical ethics. Our work was not fueled by disagreement with the principles stated by previous au- thors. Rather, our work was guided by what we see as the critical importance of developing a shared set of values that includes the voices of our organization’s members to better guide the ethical decisions theymake daily in their profession- al practice and to disseminate our organization’s values. As we began our process of principle development, we were reminded of Sidman’s call for behavior analysts to have their feet firmly planted in their convictions while being open to other points of view (cf. Sidman, 1960, p. 41). We met this call by developing ethical principles for our organization root- ed in the implicit values of the BACB Code and our field’s ethical literature (e.g., Brodhead, 2015; Witts, Brodhead, Adlington, & Barron, 2018) and guided by the work that other disciplines have already done to develop ethical principles to contextualize their ethical rules (e.g., Allan & Love, 2010).

The Process for Developing Ethical Principles

The process of developing ethical principles for our organiza- tion was informed conceptually by a long history of work in

1 For a more comprehensive discussion of ethics and culture, see Conners and Capell (2020) and Fong and Tanaka (2013).

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professional ethics. First, we drew upon the work of ethicist Rushworth Kidder as a process model for establishing shared ethical principles across our organization’s members. We agreed with an important premise proposed by Kidder (2005) that some universal ethical values remain constant across contexts and cultures. This premise is consistent with the work of bioethicist Beaucamp, who proposed that a com- mon value system exists “as a set of norms shared by all persons committed to the objectives of morality” (Beauchamp, 2003, p. 260). Both theories suggest that univer- sal ethical values exist across groups and environments to improve the quality of life for all individuals. Though partic- ular behavioral rules or standards may change over time and across environments, universal ethical values are more likely to remain permanent (Beauchamp & Childress, 1994). This ethical framework, along with two different models of princi- ple development, informed our process.

The Process of Principle Development for Our ABA Organization

We began our process by forming an ethics workgroup consisting of two ABA faculty members (doctoral-level Board Certified Behavior Analysts) and two ABA doctoral candidates (Board Certified Behavior Analysts). All four members of the ethics workgroup identify as White women. All members have extensive knowledge of the BACB Code and experience teaching the BACBCode to graduate students. We teach ethics using multiple perspectives, resources, and decision-making tools. The context of the ABA program in which we work and our own backgrounds and experiences influenced the conversations that we had regarding ethical principles and, ultimately, the principles that we developed for our organization.

Our workgroup initially followed a process similar to that of Allan and Love (2010), who guided the development of ethical principles for the Australian Psychological Association. All four members of our ethics workgroup first conducted an extensive literature review of ethical principle development. We reviewed articles and texts describing the process of principle development frommultiple fields, includ- ing psychology (Allan, 2011; Allan & Love, 2010; Seitz & O’Neill, 1996), bioethics (Baker, 2005), and education (Campbell, 2000), as well as literature related to universal ethical values (Gauthier et al., 2010; Kidder, 2005; Schwartz, 1994). Next, our workgroup members analyzed ethics codes from allied professional organizations (see Table 1), comparing each profession’s ethical values and principles.

After reviewing the literature and analyzing other professional ethics codes, our workgroup moved to a process used by Kidder (2005) to develop a shared set

of ethical principles. First, workgroup members defined the word principle to achieve a shared understanding of the term and limit confusion. We defined principle as “a broad statement that helps individuals transform concep- tual and philosophical beliefs into behavior.” Next, we generated a list of 11 relevant principles informed by our ethical literature review, allied professional organiza- tions’ principles and values, and our own professional experiences as ABA practitione rs, educators, and re- searchers. These initial principles were nonmaleficence, beneficence, respect for people’s rights and dignity, social justice, fairness, inclusion, professional excellence, re- sponsibility, autonomy, self-determination, and integrity.

Over the course of several meetings, we discussed each principle, its importance to our organization, and its relevance to the broader field of ABA. We then separately identified three principles that we felt best represented our program. We compared our individual lists, noting that at least two principles overlapped for each workgroup member. We fur- ther discussed each overlapping principle, its definition, and its relevance to our organization until we came to a consensus on five guiding principles for our program.

Following the initial development of these five prin- ciples, we engaged in an iterative process of feedback, validation, and revision with non-workgroup members of our ABA organization. Non-workgroup members were faculty who had taught or supervised students in our university-based ABA program within the past 12 months. Soliciting contributions from organization or professional membership is widely accepted as an im- portant procedural step in the development of ethical principles and standards, and we did not want to adopt a set of principles without input from our membership, as a lack of input leads to a lack of buy-in, belief, and belonging (Gauthier et al., 2010; Hobbs, 1948).

We distributed multiple web-based surveys to all nonworkgroup colleagues (n = 16) to solicit anonymous feedback on our proposed principles. All surveys were de- signed and distributed using Qualtrics, an online survey platform for designing, distributing, collecting, and analyz- ing survey data. Survey questions asked participants to rate their agreement with each proposed ethical principle and its definition using a 5-point Likert scale (1 = strongly disagree, 2 = disagree, 3 = neither agree nor disagree, 4 = agree, 5 = strongly agree). We also included write-in options for respondents to provide more detailed feedback. Demographic information was not collected. In the final survey, members were given the option to forego anonym- ity to allow workgroup members to follow up on individual respondent results. Ten non-workgroup members responded. Of the 10 respondents, 8 agreed or strongly agreed with all five principles and their definitions. Two respondents agreed or strongly agreed with four principles;

493Behav Analysis Practice (2021) 14:491–498

they neither agreed nor disagreed with one principle. One respondent provided further feedback. Following the in- corporation of the feedback, we finalized our principles.

Our Organization’s Guiding Principles

The principles that guide the mission of our ABA organization are as follows:

& Beneficence. Behavior analysts have a responsibility to engage in practices that maximize their clients’2

well-being and avoid those that cause harm. We un- derstand that behavior-analytic services are most likely to benefit our clients when they are provided in the context of a trusting and compassionate rela- tionship. Where conflicts of interest arise between consumers of behavior analysis, we prioritize out- comes for the most vulnerable clients.

& Inclusion. Behavior analysts have a responsibility to pro- vide clients of all backgrounds and abilities access to and authentic participation in meaningful activities that pro- mote relationships, a sense of community, and an im- proved quality of life.

& Professional excellence. Behavior analysts have a respon- sibility to be honest and transparent. We engage in ongo- ing professional development and analyze our own prac- tices. Professional excellence requires respectful and ef- fective collaboration with individuals from other disci- plines, while maintaining a commitment to data-based de- cision making. Analyzing evidence from different meth- odologies is encouraged as a way of collaborating with others and improving practice.

& Self-determination. Behavior analysts respect clients’ rights and promote client dignity, privacy, and autonomy. We assist clients in setting and achieving their own goals, developing their own agency, and making decisions about their own lives.

& Social justice. Behavior analysts have a responsibil- ity to attend to injustice where they see it, avoid perpetuating inequitable systems, and advocate for change to produce equitable systems. We are uniquely qualified to identify controlling and contex- tual variables that contribute to inequitable

2 Client is broadly defined as an individual, group of individuals, organization, or community receiving ABA services by a Board Certified Behavior Analyst. These services may include the instruction, supervision, research, or profes- sional practice of ABA.

Table 1. Common Ethical Principles/Values Across Six Allied Professional Organizations

Principle AOTA APA ASHA CEC NASW AMA

Respect for people’s rights and dignity X X X X X X

Integrity X X X X X X

Autonomy/self-determination X X X X X

Safeguarding the welfare of persons served X X X X X

Responsibility X X X X

Professional competence or excellence X X X X

Maintaining collaborative professional relationships X X X

Beneficence X X X

Nonmaleficence X X X

Altruism or service to others X X X

Justice/equality/fairness X X X

Social justice X X X

Nondiscrimination X X

Privacy/confidentiality X X

Fidelity/loyalty X

Inclusion X

Maintain challenging expectations for persons served

X

Promoting diversity X

Human relationships as central tenant X

Note. AOTA = American Occupational Therapy Association; APA = American Psychological Association; ASHA= American Speech-Language-Hearing Association; CEC = Council for Exceptional Children; NASW = National Association of Social Workers; AMA = American Medical Association

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educational and service-delivery systems and devel- op solutions to supplant them.

We are focused on ABA education and intervention for community members, education of future behavior analysts, and applied research. Four of our principles (beneficence, inclusion, self-determination, and social justice) are client cen- tered. Our professional excellence principle specifically speaks to our responsibility to the broader ABA profession and to interdisciplinary collaboration. Our principles are situ- ated in culturally responsive contexts, recognizing that all cli- ents and ABA practitioners have experiences, beliefs, and cultural practices that influence the way they apply these prin- ciples to guide their ethical decision making. These principles assist our organization’s behavior analysts to better collabo- rate with all individuals within their unique communities.

To disseminate our principles, we created a document3

containing a preamble, important definitions, and descriptions of each principle. The preamble provides an explanation of how these principles are situated within context and culture and describes how we hope that they evolve over time. It serves as a guide for interpreting and applying the principles. The values of our ABA organization are reflected in this doc- ument and embedded in themission statement of our program. This document provides a strong framework for our graduate coursework, where students are encouraged to consider how their own cultures, values, and beliefs influence their ethical decision making.

Discussion

The purpose of this article was to describe the process that our ABA organization used to develop principles to guide our work in training, research, and practice. Our guiding princi- ples do not replace the ethical codes that all certified behavior analysts are obligated to follow. Rather, they provide a useful context for applying the rules of the BACB Code, especially when ethical dilemmas arise for which there is no simple solution. Guiding principles and the BACB Code are both necessary to help us engage in complex ethical decision mak- ing as behavior analysts. These principles also improve our ability to describe our ethical ideals and practices more effec- tively to nonbehavioral colleagues and stakeholders. Finally, we have found that our organization’s principles provide our behavior analysts and ABA students with guidance about how to answer the why questions often posed in ABA practice. Why choose one intervention over another?Why target behav- ior X before behavior Y? These principles help the behavior

analysts in our organization make ethical decisions in service of our shared values. In lay terms, you could say that they serve as our North Star.

Using Principles to Guide Practice Decisions

Principles can help behavior analysts select intervention tar- gets and strategies. Behavior analysts have the luxury of accessing multiple lists of evidence-based practices for indi- viduals with autism spectrum disorder (ASD; e.g., Steinbrenner et al., 2020; Wong et al., 2015). Not all evidence-based practices, however, are culturally or contextu- ally appropriate in all environments. For an intervention to be successful, strategies must be selected that consider clients’ needs and preferences, the professionals’ or caregivers’ abili- ties and willingness to implement the strategies, issues sur- rounding intervention fidelity, the skill(s) being taught, and so on. Principles can help practitioners more successfully match evidence-based practices to specific teaching opportu- nities. They help practitioners remember to consider why they are seeking specific outcomes, rather thanwhat they are teach- ing. For example, there are multiple function-based interven- tions effective for preventing escape-maintained challenging behaviors (Geiger et al., 2010). However, some may be more likely to cause a sudden increase in harm and lack consider- ation of client autonomy (e.g., extinction), whereas others honor client autonomy and minimize harmful side effects (e.g., choice). Behavior analysts who consider principles such as beneficence and self-determination when recommending function-based interventions for their clients may be more likely to recommend interventions that maximize their clients’ well-being while maintaining their dignity and autonomy.

Using Principles to Guide Ethical Decision Making

Principles can guide behavior analysts to make ethical deci- sions when faced with dilemmas in which two or more ethical rules seem to conflict with each other. Consider this example: A behavior analyst in a rural community is working in the home with a family that has two children with ASD. The parents report feeling overwhelmed and stressed most of the time. The behavior analyst has provided many suggestions and strategies for reducing the children’s challenging behavior and increasing their daily living and leisure skills. Despite ongoing training, both parents generally implement fewer than 25% of the behavior analyst’s suggestions. The behavior analyst is empathetic but also sees that the children are not mastering functional skills and their challenging behaviors are not improving. In consulting the BACB Code, she feels that she is being confronted by conflicting codes. After consider- ing Code 2.09(a), which states that “clients have the right to effective treatment,” and Code 4.07(a), which states that “if environmental conditions prevent implementation of a

3 The document containing the preamble and ethical principles can be found on our ABA program website at https://education.uw.edu/programs/graduate/ special-education/aba

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behavior-change program, behavior analysts recommend that other professional assistance . . . be sought,” the behavior analyst concludes that she should consider transferring care, as she is not being effective (BACB, 2014, pp. 8–12). However, she knows in her rural community there is no alter- native professional assistance available. Code 2.15(e) tells her that “behavior analysts do not abandon clients” (BACB, 2014, p. 10). Principles might provide this behavior analyst with an additional tool for consideration in this scenario. Suppose that she first considers the principle of professional excellence be- fore making a decision. She analyzes her own professional practice and recognizes that this is not the first time she has struggled with parent-implementation challenges. Though she is providing instructions and modeling evidence-based behav- ioral strategies for reducing challenging behavior, she may not be using other critical evidence-based training methods, thus directly contributing to a lack of implementation fidelity. She also realizes that she has not been empathetic to the parents’ stressful situation, thus inadvertently ignoring their needs. As a result of analyzing her own professional behavior, she de- cides to improve both her technical and interpersonal skills before considering the option of transferring services to an- other provider.

Using Principles to Communicate Ideals

Principles can help behavior analysts communicate ethical and professional ideals to nonbehavioral colleagues and stakeholders. The use of technical behavior-analytic termi- nology has been recognized as a barrier to effective com- munication with nonbehavioral colleagues and stake- holders (e.g., Kelly, Martin, Dillenburger, Kelly, & Miller, 2019). Behavior analysts who use broad principles to describe their ethical ideals may be less likely to miscommunicate these ideals to non-behavior analysts. Take the example of the term punishment. In conversations with laypeople about punishment, behavior analysts can often get bogged down in making distinctions between their technical use of the term punishment and the collo- quial use of the term. The precise, technical language of the BACB Code, although helpful to behavior analysts in guiding their use of punishment, can further confuse and even alienate consumers. Principles might help behavior analysts communicate their ethical position on punish- ment. Consider the common scenario in which an educator requests that her colleague, a school-based behavior ana- lyst, help her to design a classroom-wide behavior chart that uses response cost to decrease students’ out-of-seat behavior. Behavior analysts are aware that even minimally invasive punishment-based strategies such as response cost can induce harmful side effects such as anger, aggression, and avoidance (Balsam & Bondy, 1983). Rather than recit- ing Codes 4.08a–d governing the use of punishment

procedures, behavior analysts might communicate their commitment to the principle of beneficence: maximizing student benefit and doing no harm. Ethical principles like beneficence are embedded in both the ethical codes of oth- er professions and in common consumer understandings of ethical behavior, thus constituting a shared, nontechnical language between behavior analysts and nonbehavioral colleagues.

Conclusion

There has been a shift in the field of ABA toward adopting and integrating cultural humility, responsivity, and compassion into clinical practice (e.g., Brodhead, 2019; Taylor et al., 2018; Wright, 2019). These considerations are equally rele- vant to ethical practice. This shift creates many challenges for behavior-analytic professionals, but it is critical for the surviv- al of our field. This journey toward compassion may be the 2020 version of ABA’s search for its heart (Wolf, 1978). It is an exciting time to be a behavior analyst. The number of training programs in our field has increased dramatically, as have the number of newly certified professionals (BACB, n.d.; Carr & Nosik, 2016). Behavior-analytic services are now covered by medical insurance in all 50 states (Autism Speaks, 2020). Although these are positive changes, they may also make it difficult for our profession to identify and follow its North Star. At this time when there are so many opportunities to commercialize work in behavior analysis, it may be relatively easy to lose sight of the values that drew us to this field in the first place.

In this article we described the process we used to establish the ethical principles for our ABA organization. These princi- ples do not supplant the BACB’s set of ethical codes—they enhance them. They provide our organization’s members with additional guidance for making ethical decisions, particularly when faced with difficult situations, all while balancing the science of behavior and the sought-after outcomes for clients. These principles also help us describe our values to consumers and address criticisms about our practice. Most importantly, they provide an important ethical foundation to help guide our graduate students’ and new colleagues’ ethical decision mak- ing, and share with them the values inherent in our work. Our process of developing these principles may serve as a model for other ABA organizations, university programs, and indi- vidual practitioners eager to develop guiding ethical princi- ples. Our hope, though, is that ethical leaders within the pro- fession of behavior analysis use a similar process to arrive at a set of principles that can guide our profession as a whole. Just as behavior analysts who are currently practicing would not consider addressing ethical dilemmas without the assistance of the BACB Code, we hope that in the near future all behav- ior analysts will use guiding principles to help them translate those rules into effective and sustainable ethical practices.

496 Behav Analysis Practice (2021) 14:491–498

Funding The authors did not receive funding for this manuscript.

Compliance with Ethical Standards

Conflict of Interest The authors declare that they have no conflict of interest.

Informed Consent This manuscript did not involve human or animal participants; therefore informed consent was not collected.

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