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Ethics

Higher Education

As members of the academic community, faculty and students have a responsibility to abide by ethical principles regarding academic freedom, intellectual integrity, and the fair and respectful treatment of others. The notion of academic freedom lies at the very heart of the academic enterprise. In the "1940 Statement of Principles on Academic Freedom and Tenure," the American Association of University Professors (AAUP) states, "Academic freedom … applies to both teaching and research. Freedom in research is fundamental to the advancement of truth. Academic freedom in its teaching aspect is fundamental for the protection of the rights of the teacher in teaching and of the student to freedom in learning" (p. 3). Intellectual integrity involves using sound and ethical methods in the pursuit of knowledge as well as embracing honesty in the dissemination of knowledge. Individuals' expectation of fair and respectful treatment by faculty and students applies not only to interactions with one another, but also to administrators, staff, and others with whom they interact in their role as members of the academic community. Fair and respectful treatment also extends, for example, to the evaluation of students' academic work and colleagues' scholarly work.

The ethical principles that guide the behavior of faculty are reflected in standards of ethics described in the documents of professional associations for faculty in higher education, such as the "Statement on Professional Ethics (1987)" published by the American Association of University Professors, and codes of ethics published by disciplinary associations, such as the American Chemical Society, the American Psychological Association, the American Sociological Association, and the Modern Language Association. In addition, college and university faculty handbooks often include a section that addresses ethical standards or expectations regarding the behavior of faculty. Ethical standards for students may be found in official student handbooks or college and university catalogues, although standards for graduate students are also addressed in some of the professional and disciplinary association codes of ethics. These various documents embody shared beliefs that are intended to guide both the activities and the behavior of those engaged in the academic enterprise.

Faculty

Faculty are guided by ethical principles that address their professional responsibilities as teachers, scholars, and, more generally, members of college and university communities. While some aspects of documents concerning ethical standards describe the behavior to be embraced, other aspects make clear what actions must be avoided.

Plagiarism. Representing the ideas, words, or data of another person or persons as one's own constitutes plagiarism. Thus, a person's words, ideas, or data, whether published or unpublished, must be acknowledged as such. For example, the MLA (Modern Language Association) Style Manual states, "To use another person's ideas or expressions in your writing without acknowledging the source is to plagiarize" (Gibaldi, sec. 1.8). "The most blatant form of plagiarism is reproducing someone else's sentences more or less verbatim, and presenting them as your own" (Achten and Gibaldi, sec. 1.4). Although scholars have long recognized the importance of citing both published and unpublished work, those engaged in teaching or research also recognize that information from electronic resources must be properly credited. Proper citation allows others to trace the origin and development of ideas, theories, and research outcomes and helps support the integrity of the academic enterprise and needed mutual trust between those seeking and those disseminating knowledge.

Acknowledgement of contributions. Acknowledgement of the contributions of others means appropriately recognizing and crediting those who have contributed to a scholarly work whether the work is a manuscript, exhibit, or performance. Both recognition and accountability come with allocations of credit. Depending on their contributions, such others, including students, may be deserving of credit ranging from acknowledgement in a footnote to coauthorship. Regardless of whether faculty members work with students or colleagues, the work of all parties should be equitably acknowledged in a manner appropriate to the norms of their discipline.

Data. Researchers must acknowledge the source(s) of their data and accurately describe the method by which their data was gathered. Moreover, the fabrication or falsification of data or results constitutes a violation of ethical standards. While fabrication is defined as "making up data or results," falsification is "changing or misreporting data or results" (Committee on Science, Engineering, and Public Policy, p.16). Both of these actions interfere with the search for knowledge and truth and undermine trust both within and outside the academic community.

Conflict of interest. Research funded by corporate sponsors potentially leads to a situation in which a conflict of interest may arise. Researchers may feel pressure, for example, to conduct research in a way that would bias the results toward the desires of the sponsor or to reveal only those results that benefit the sponsor. Biomedical research, in particular, brings forth such concerns. Conflict of interest issues are not limited to corporate-sponsored research projects; conflict of interest situations may occur with government-sponsored research as well. Non-profit organizations and social advocacy groups also have the potential to place college and university researchers in situations that make it potentially difficult to conduct the sponsored research in an unbiased manner. Researchers must be able to publicly disclose their sources of funding and the intent of the research, as well as conduct their research in a manner consistent with the ethical standards for investigation in their respective disciplines. Scholars must not let the source of their funding nor the sponsors' goals cloud their own professional and scientific judgments regarding their research.

Other research concerns. The prevalence of the discussion of particular ethical concerns varies across disciplines because of the nature of the research process. For example, the American Sociological Association's "Code of Ethics" describes the importance of informed consent for research involving human subjects. That is, human subjects must be aware of the nature of the research as well as voluntarily agree to be a part of such research. The American Psychological Association discusses not only informed consent in their code of ethics, but also the importance of the humane use and care of animals in research. Disciplines that rely more heavily on archival research may say little about informed consent from human subjects, but may focus on the importance of obtaining permission to use archival data. Professional associations in the sciences, such as the American Chemical Society, are additionally concerned with providing safe working conditions for those who work in research laboratories.

Harassment. The most frequently discussed form of harassment is sexual harassment. As the AAUP statement on sexual harassment states, "no member of the academic community may sexually harass another" (p. 209). Such policies are applicable to faculty and students as well as to administrators, staff, other employees, and research subjects. The American Sociological Association notes that "sexual harassment may include sexual solicitation, physical advance, or verbal or non-verbal conduct that is sexual in nature" (p. 7). Some types of sexual harassment are quid pro quo, in which the sexual favors are presumably requested in exchange for a promised or implied future benefit, such as a higher grade or appointment to a position. Other conduct, namely that which creates a hostile or uncomfortable work environment, including the classroom environment, also constitutes sexual harassment. The code of ethics of many professional and disciplinary associations addresses the issue of sexual harassment, and faculty handbooks and other institutional documents typically include a set of procedures for dealing with situations in which alleged sexual harassment has occurred.

In addition, members of the academic community should not harass others on the basis of other personal and demographic characteristics, including race, ethnicity, age, religion, national origin, sexual orientation, and disability. Regardless of the basis of harassing or demeaning behavior, victims of harassment may find it helpful to consult with faculty and administrators for advice on avenues of action in such situations.

Nondiscrimination and fair evaluation. In their work, members of the academic community should not engage in discrimination "based on age, gender, race, ethnicity, national origin, religion, sexual orientation, disability, socioeconomic status, or any basis proscribed by law" (American Psychological Association, sec. 1.10). With regard to employment, members of the academic community should not "discriminate in hiring, promotion, salary, treatment, or any other conditions of employment or career development" (American Sociological Association, sec. 8). Furthermore, professors who have agreed to serve as reviewers of manuscripts, grant proposals, or other scholarly submissions, should evaluate those materials in a fair, objective, professional, and timely manner. These standards are also applicable to the evaluation of students' academic work. In "A Statement of the Association's Council: Freedom and Responsibility" the AAUP further explains, "Students are entitled to an atmosphere conducive to learning and to even-handed treatment in all aspects of the teacher-student relationship" (p. 135). The principle of fair and respectful treatment also applies to interactions with and evaluation of the work of other members of the academic community.

Allegations of ethical misconduct. Alleged ethical violations on the part of faculty are dealt with in a number of ways. A student or faculty member may choose to approach the faculty member thought to have engaged in ethical misconduct. One could also speak with another faculty member, chair of the department, or administrator about the alleged misconduct and seek advice about possible avenues of action. A hearing on the matter is one of the possible outcomes. Faculty members accused of ethical misconduct are entitled to academic due process. That is, the educational institution should follow a set of procedures already in place for dealing with such allegations. For faculty, the AAUP also sets forth a number of parameters related to the allegations of various types and methods for proceeding to pursue such allegations, particularly within the confines of the employing educational institution. Although most incidents of alleged misconduct are handled within such institutional frameworks, many disciplinary and professional associations have provisions for pursuing breaches of ethical conduct through mechanisms within those associations.

Students

Students are guided by the same general ethical principles as faculty regarding their academic work. Academic honesty and intellectual integrity are central in the educational process. These two principles apply to academic work, including, but not limited to, papers, theses, assignments, laboratory reports, exams, quizzes, oral presentations, exhibits, and performances. Students can avoid plagiarism by proper citation of the resources that provide them with the ideas, words, and data that they present in their academic work. Although intellectual theft may not have been intended, careless note taking can also result in inadvertent plagiarism. Students must also not engage in the fabrication or falsification of sources, data, or results. If students work on a project together, the work of those students should be equitably acknowledged. Moreover, students must not engage in unauthorized collaboration nor give or receive inappropriate assistance with their academic work. Violation of ethical standards would be grounds for action against a student. The situational context of the violation along with the institutional norms and regulations affect the path of action. Although some situations involving a student's alleged violation of ethical standards may warrant action on the part of a faculty member or an administrative officer, other situations may warrant a hearing by a duly constituted committee to determine whether the alleged act occurred as well as the appropriate sanctions.

Some institutions of higher education have an honor code that makes clear that cheating and other forms of academic dishonesty are violations of ethical standards. These codes typically obligate students to practice academic integrity and avoid engaging in academic misconduct, but also to take action when they believe others have engaged in academic misconduct. The action taken by a fellow student who witnesses the ethical digression can range from directly confronting the alleged perpetrator to reporting the alleged act to individuals acting on the part of the institution, who may find it appropriate to convene a hearing panel for a judicial process in which students usually play an important role.

Broader Concerns

Some ethical standards apply to members of the academic community in their relationship with wider society. The Committee on Science, Engineering, and Public Policy says, "Society trusts that the results of research reflect an honest attempt by scientists to describe the world accurately and without bias" (preface). Many codes of ethics for professional disciplinary associations specifically recognize the consequences of research beyond its intended goal. For example, the American Chemical Society indicates that, "Chemists should understand and anticipate the environmental consequences of their work. Chemists have responsibility to avoid pollution and to protect the environment." Under the heading "Social Responsibility," the American Sociological Association says, "Sociologists are aware of the their professional and scientific responsibility to the communities and societies in which they live and work …. When undertaking research, they striveto advance the science of sociology and to serve the public good" (Principle E). Both faculty and students need to be aware that their ideas and implications of their research may reach well beyond their own immediate goal.

Socialization to ethical principles needs to be more explicit and the mechanisms of social control within academic profession need to be strengthened in order to improve adherence to ethical principles. To improve faculty adherence to ethical principles, John M. Braxton and Allen E. Bayer suggest, in particular, that faculty and administrations need to (1) better articulate and codify the norms of professional behavior; (2) more explicitly socialize graduate students about the profession and its ethical obligations; (3) increasingly provide incentives for teaching [and research] behavior that is consistent with the standards of the profession; and (4) when necessary, impose sanctions for violations of those standards. Undergraduate and graduate students need to be made more aware of the expectations for their behavior as well as the consequences of the failure to meet those expectations.

If the ethical standards were more explicit, members of the academic community might be more likely to both act in accordance with such standards and speak out against the ethical misconduct of others in the academic community. In fact, the Committee on Science, Engineering, and Public Policy says, "someone who has witnessed misconduct has an unmistakable obligation to act" (p. 18). Yet, allegations of misconduct may require certain types of confidentiality because of the situations or the parties involved. However, if colleges and universities deal with alleged misconduct in a less clandestine manner, it will be easier for members of the academic community, particularly newcomers, to distinguish between ethical and unethical behavior.

BIBLIOGRAPHY

ACHTEN, WALTER S., and GIBALDI, JOSEPH. 1985. The MLA Style Manual. New York: Modern Language Association of America.

AMERICAN ASSOCIATION OF UNIVERSITY PROFESSORS (AAUP). 2001. AAUP Policy Documentsand Reports, 8TH EDITION. WASHINGTON, DC: AMERICAN ASSOCIATION OF UNIVERSITY PROFESSORS.

BRAXTON, JOHN M., and BAYER, ALAN E. 1999. Faculty Misconduct in Collegiate Teaching. Baltimore: The Johns Hopkins University Press.

COMMITTEE ON SCIENCE, ENGINEERING, AND PUBLIC POLICY. 1995. On Being a Scientist: Responsible Conduct in Research. Washington, DC: National Academy Press.

GIBALDI, JOSEPH. 1999. MLA Handbook for Writers of Research Papers. New York: Modern Language Association of America.

MODERN LANGUAGE ASSOCIATION OF AMERICA. 1992. "Statement of Professional Ethics." Profession 92:75–79.

INTERNET RESOURCES

AMERICAN CHEMICAL SOCIETY. 1994. "The Chemist's Code of Conduct and ASC Ethical Guidelines." <www.acs.org/membership/conduct.html>.

AMERICAN PSYCHOLOGICAL ASSOCIATION. 1992. "Ethical Principles of Psychologists and Code of Conduct." <www.apa.org>.

AMERICAN SOCIOLOGICAL ASSOCIATION. 1997. "American Sociological Association Code of Ethics." <www.asanet.org>.

CAROL J. AUSTER

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