APA Statement on Professional Ethics
The American Philological Association has in recent years received a number of requests to intervene on behalf of individual members in situations involving violations and alleged violations of professional ethics. There has been and will continue to be considerable debate as to how the APA should respond to such requests. At the very least, however, these appeals for support suggest the need for a clear statement of those ethical principles which should regulate the conduct of all those who participate in the profession. Accordingly, the Board of Directors at its meeting of October 1986 appointed an ad hoc Committee on Professional Ethics and charged this Committee to draft such a code. The present document represents the results of the Committee's deliberations. It is intended as a description of the responsibilities that we all share to provide a humane and just working environment for the welfare of the discipline. The document offers an expression of consensus on appropriate behavior in the face of what have been seen by some as genuine abuses. The statements made here, however, are only guidelines for desirable behavior and have no legal force except where stated. It is hoped that classicists will use the document as a frame of reference for professional conduct.
I. Employment and Professional Service
In all matters relating to employment, the American Philological Association strongly endorses the 1976 AAUP Statement on Discrimination. Moreover, classicists should be protected against discrimination based on race, gender, religion, national origin, age, disability, marital status, or sexual orientation, gender identity, and actual or perceived medical conditions, including being HIV positive, whether symptomatic or asymptomatic. The American Philological Association supports the principles of affirmative action and urges Classics departments to pursue affirmative action programs and policies aggressively.
The general well being of the classical profession as a whole depends in large measure on the extent to which classicists succeed in carrying out their responsibilities to their students, to their departments, to their college or university community, and to the profession at large. The success of individual members depends not only upon individual ability and endeavor, but upon the work that others have done and upon a free and honest sharing of that work. In order to safeguard the interests of the profession, classicists should be encouraged to play an active part in the collective decision making processes of their institutions. Scholars can make a substantial contribution to their profession by promoting organizations and events that provide a forum for the dissemination of classical scholarship, by respecting the work of others, and by sharing with other scholars and students the fruits of their own work and experience. Only by such manifest commitment to the common cause will our discipline survive and flourish into subsequent generations.
Hiring and Placement
All available positions for classicists should be publicized, whether they are temporary, regular tenure track, or tenured. Listings should clearly outline the desired qualifications for the job and provide information about the procedure for application and the filing deadline. Available positions should be listed with the APA-AIA Placement Service for publication in Positions for Classicists andArchaeologists, and the Guidelines for operation and use of the Placement Service should be followed by institutions throughout the course of a search. For adjunct or part-time positions that are not officially publicized, departments are expected to follow the spirit of affirmative action. All applications should be acknowledged, prompt notification made when candidates are no longer under consideration, and any interviewing connected with the search should be conducted in accord with the letter and spirit of the Guidelines and in accordance with applicable antidiscrimination law. Every candidate for appointment should be evaluated exclusively on professional criteria. The confidentiality of letters of recommendation should be respected. Institutions should keep applicants informed about the status of applications. Offers and acceptances should be made in writing, and candidates should have a reasonable opportunity to consider an offer before being required to respond. Unsuccessful candidates should be informed immediately. Candidates for positions and members of the profession who believe that hiring departments or institutions engaged in a search have not carried out their procedures in accordance with APA guidelines should report all violations to the Placement Committee of the APA. Candidates are responsible for the accuracy of the credentials which they submit in application for employment. Submission of false claims constitutes fraud which should, if discovered, also be reported to the Placement Committee of the APA. The APA Placement Committee is responsible for investigation of any problems associated with hiring and placement, and will report any findings to the Board of Directors. Individuals filing complaints will be informed of measures taken.
The APA cannot legislate the activities of individual Classics departments, but the organization subscribes to the view that the general interests of the discipline will be best served when all members of the profession enjoy favorable working conditions. Such conditions will more likely prevail where the following principles govern the administration of departments. Within departments tasks and responsibilities should be shared and privileges fairly awarded. Teaching loads should be distributed fairly, and individuals should have some choice in the scheduling and assignment of courses. Facilities and services for research and teaching should be made available to all members of a department. All faculty members of a department should have the opportunity to participate in decisions regarding curriculum and governance, and faculty should participate in personnel decisions, when appropriate. Established members of the profession have an obligation to advise and counsel their junior colleagues, including those in part-time and temporary positions, and should provide, at the department level, an environment that encourages intellectual growth, scholarly achievement, and career development. Those in part-time or temporary positions should be adequately compensated for the work they perform and should be given serious consideration for full-time or permanent positions when such positions become available.
Promotion, Tenure, and Dismissal
The American Philological Association strongly endorses the AAUP 1940 Statement of Principles on Academic Freedom and Tenure and the 1970 Interpretive Comments subsequently appended to that document. Classicists should be advised, at the time of their initial appointment, of all substantive criteria used by their institution for decisions about promotion and tenure, and they should be informed of the institution's priorities in evaluating scholarship, teaching, and service. There should be clearly defined procedures of evaluation; these procedures should be broadly promulgated and strictly followed. The procedures should include professional review of teaching and scholarship. All procedures should be fair and consistently applied. Candidates should have the opportunity to submit materials in support of their professional activities and achievements. The evaluation of candidates for promotion and tenure should be thorough, well documented, and consistent with the standards of academic freedom and fair professional practice. Candidates should be evaluated exclusively on their performance in carrying out the professional and collegial responsibilities of their position. All decisions, at each administrative level, should be promptly reported in writing. Where institutions do not have well established appeal and grievance procedures, tenured classicists should actively promote their adoption.
Sexual harassment may be broadly defined as any unsolicited or objectionable emphasis on the sexuality or sexual identity of another person (whether student, colleague or employee) that might limit that individual's full participation in the academic community. This includes not only sexual advances, requests for sexual favors, or sexual assault, but also sexist remarks or jokes. Such behavior is an abuse of authority and undermines the atmosphere of trust essential to academic inquiry, and when directed to a subordinate (whether student, colleague or employee) may be legally actionable. Classicists should not condone such behavior when they know it exists nor should they disregard complaints from students or colleagues. Complaints about sexual harassment should be filed with the appropriate administrative office of the institution where the offense has occurred.
Academic freedom is as essential to teaching as it is to scholarly research and publication, but freedom carries with it responsibilities: to one's subject matter, students, institution, and the profession at large.
The Institution and the Profession
The APA seeks to encourage among its membership the highest standards in teaching through its annual Excellence in Teaching Awards and through the programs and activities of its Education Division. Excellence in teaching is a responsibility classicists have not only to their own institutions but also to the profession and the larger community. Classicists have a responsibility to introduce classical languages and culture to as wide a population as possible, to train a sufficient number of professional classicists to carry on the tasks of teaching and research, and to ensure that the richness of classical traditions will be available for future generations.
Classicists have an obligation to present material accurately and fairly, with due attention to recent developments in scholarship. Topics introduced in the classroom should be relevant to the subject of the course. Intellectual controversy is healthy, and for that reason, instructors should be ready to present without falsification or misrepresentation opinions or positions with which they may disagree. Every effort should be made to respect legitimate differences in approach (e.g., philological, literary, critical, historical), and to create an environment in which free enquiry is encouraged and the efforts of students and colleagues are accorded respect.
Standards of integrity apply both inside and outside of the classroom. Teachers should make explicit at the outset of a course the material to be covered and the standards and procedures for evaluation of students. Every reasonable effort should be made to adhere to this plan. Students' work should be returned promptly with useful critique and assessment. Final grading should be fair, and if teaching assistants participate in grading, they should be informed of the instructor's criteria for grading. An instructor's pedagogical responsibility in a course extends to teaching assistants, who should be carefully supervised. Classicists should respect the personal integrity of their students at all times and should make every effort to create an atmosphere that is respectful of personal diversity. A faculty member's position of authority should never be abused. Classicists should recognize that advising and supervision are an important part of teaching. A faculty member, therefore, has an obligation to be available to students, to provide informed and disinterested advice, and to respect confidentiality. Those classicists who participate in the training of graduate students have a particular responsibility. A graduate supervisor's obligation to such students includes clarification of procedural requirements, honest assessment of progress, careful supervision of any teaching responsibilities, and frank advising about career decisions and professional development. Letters of recommendation should be submitted on time and should not misrepresent the qualifications of the student. A teacher who cannot in honesty support a candidate should decline to write on that student's behalf. In the advising, recruitment, admission, and retention of graduate students, all classicists, both at graduate institutions and at any institution from which candidates graduate and apply, should make every effort to avoid misrepresentation; they should represent honestly the strengths and weaknesses of the various programs, both their own and others'; and they should treat candidly such issues as the prospects of eventual employment. They should also encourage applicants, where possible, to visit the institutions from which they will make their selections. All classicists should also be aware that it is a national policy, agreed on by the Council of Graduate Schools, that no institution may expect a student to respond to an offer before April 15. There should be no attempt, direct or subtle, to compel or urge such response before the applicants have all the information they need, which may be only shortly before that date.
III. Scholarship and Research
Classicists have an obligation to advance the understanding of the field by the careful conduct and prompt publication of their research. This obligation requires respect for ancient evidence and alternative interpretations, accurate citations to help readers assess evidence, explicit acknowledgment of the support, personal, intellectual, and material, that has assisted the research, and forthright clarity about premises and assumptions upon which the work is based. Classicists working abroad have an obligation to respect the laws and regulations of foreign governments and institutions and to honor any conditions of permits granted. Members of the profession should abide by the 1970 UNESCO convention on the means of prohibiting and preventing the illicit import, export and transfer of ownership of cultural property (including monuments, artifacts and manuscripts), and should not cooperate with institutions that do not respect this agreement. At the same time, however, the objective of advancing knowledge about classical antiquity demands that scholars challenge unnecessary restrictions on research and publication. The criteria for assessing research in classical studies must always include the extent to which the work contributes to a continuing scholarly dialogue. Hence fairness in presenting and courtesy in discussing the views of others are essential to the proper conduct of classical scholarship.
Responsibilities of the author: The most fundamental ethical obligation of any scholar is to give full and proper credit to all sources involved in research, whether these sources be the published work of other scholars or the unpublished work of students or colleagues. Material taken verbatim from another person's published or unpublished work must be explicitly identified with reference to its author. Borrowed ideas or data, even if not directly quoted, must be explicitly acknowledged. Revised reprints and translations of earlier work should be identified as such.
Submission of a manuscript
Submission of a manuscript to a professional journal or publisher clearly grants that publisher first claim to publish unless prior arrangements have been made. In cases where the editor or publisher has kept a manuscript for an undue length of time without rendering a decision to publish, an author can submit the manuscript elsewhere provided that the first editor is informed in writing.
Editorial Policy and the Refereeing Process
Journals should have well defined and clearly stated editorial policies and should publish for readers the procedures for submission of articles. Editorial decisions should be informed by appropriate scholarly criteria. Editors have an obligation to ensure that all submissions are properly refereed. When inviting referees, editors should specify their requirements and ask for a commitment that a decision be rendered within a stated period of time(preferably within 6 weeks). In order to encourage fair and objective judgments, manuscripts should always be assessed as anonymous submissions, and the substance of referees' assessments should be conveyed in writing to the author. Editors should choose referees from qualified scholars who are open minded, impartial and not unsympathetic to the subject matter and approach of the manuscript. A good referee's report is one that provides a fair, accurate, and informed assessment of the submission under consideration. Scholars who are asked to referee a manuscript should decline in cases where they might have conflicts of interest which would impair their ability to make an objective assessment, or when such requests cannot be completed within the time requested. A referee has an obligation to inform an editor in cases where that referee has previously reviewed a manuscript. A commitment to publish a manuscript, once communicated to the author, is binding on the journal or publisher.
The Review Process for Published Work
The review process can play a critical role in a scholar's professional development as well as in the public reception of scholarly work. It is therefore imperative that the process be conducted according to the highest ethical standards. In sending out publications for review, editors should make every effort to ensure that those solicited for reviews are qualified scholars who can provide fair, accurate, and informed assessments. Classicists who commit themselves to review a publication should complete the review within a reasonable period of time. Those asked to review publications should decline in cases where conflicts of interest might impair their ability to make an objective assessment of the work. Reviewers should render a balanced and constructive evaluation in order to give the reader a fair idea of the contents and value of the work.
IV. Complaints and Grievances
The American Philological Association must make every effort to see that its own activities live up to the high standards set forth in this document. Questions or complaints about the conduct of any of the Association's programs should be addressed to the editor, committee chairperson or person in charge, or to any officer or member of the Board of Directors. Issues that do not find a routine resolution may be considered by the Board of Directors at their regular meetings or in cases of special urgency by the Executive Committee of the Board. The Association is particularly concerned to prevent the abuse of its Placement Service or of its various publication programs. The APA urges other classical institutions, departments, journals and regional associations to maintain the highest professional standards and to follow the guidelines set out in this document. In pursuing this goal the Directors are prepared to consider questions, suggestions and well reasoned and documented complaints from members or other concerned parties. The Association's primary role is to collect and disseminate information, to suggest possible improvements, and to encourage constructive change. This does not preclude the possibility that the Directors from time to time may wish to make a statement of concern or even censure. Members of the Association who feel that they have not been treated fairly by their home institution in matters of employment or advancement should recognize that the Association becomes involved in such cases only in the most exceptional circumstances, and that this policy is unlikely to change. The Association lacks the staff, legal counsel, and professional liability insurance to risk becoming a party to legal proceedings. Members are therefore urged to use the grievance procedures of their own institutions. If these prove unresponsive, complaints should be directed to the local chapter or national headquarters of the American Association of University Professors. Classicists have a professional obligation to encourage the establishment of and to support guidelines and procedures for professional conduct, grievance, and appeal in their employing institutions. Further, the health of the classical profession as a whole will be greatly enhanced if all classicists assume personal responsibility to take appropriate action when confronted by violations of the profession's code of ethics.
V. Procedure for Amendment
Additions or amendments to this statement may be submitted in writing to the Executive Director for review and approval by the Board of Directors and adoption through referendum by the membership.
NOTE: The APA Statement on Professional Ethics came about as follows:
1. - In April, 1986 the APA Board of Directors appointed an ad hoc Committee of the Board, chaired by Deborah W. Hobson, to investigate the procedures and experiences of other learned societies in handling grievances from individual members.
2. - In October, 1986 the Directors approved the recommendation of this Committee that the Association prepare a statement of professional ethics for consideration and approval by the membership. In December, 1986 a second Committee, the ad hoc Committee on Professional Ethics, was appointed to draft a statement, with Susan Guettel Cole as Chair. The other members were: Robert A. Bauslaugh (representing the APA Committee on Placement), W. R. Connor, Judith Ginsburg (representing the APA Committee on the Status of Women and Minority Groups), Deborah W. Hobson, Matthew S. Santirocco, and Harry B. Evans, APA Secretary-Treasurer, ex officio.
3. - The ad hoc Committee on Professional Ethics prepared several drafts for review by the Board of Directors, the last of which was published as a working document in the Spring, 1988 Newsletter (vol. 11.2, pp. 3-5). This Committee also sponsored a panel on Professional Ethics on Saturday, January 7, 1989, at the Association's 120th Annual Meeting in Baltimore, Maryland to solicit reactions and responses from the membership.
4. - On January 8, 1989 the Directors unanimously approved plans for adoption of the Statement by written ballot of the membership.
5. - The Statement on Professional Ethics was approved by the membership of the Association with overwhelming support in the Annual Election, Fall 1989.
6. - The Statement was amended by the membership of the Association in the Annual Election, Fall 1991.
7. - The Statement was further amended by the membership of the Association in the Annual Election, Summer 2006.
8. - The Statement was further amended by the membership of the Association in the Annual Election, Summer 2011.