Policy on Professional Ethics
Approved by the Council, July 1, 2003
The American Antiquarian Society is both a learned society and an
independent research library specializing in American history and culture
through 1876. Scholars and other academic professionals in the humanities
disciplines use its library collections.
The American Antiquarian Society (AAS), its staff, and the scholars who
use its collections identify themselves as citizens committed to upholding
universal standards of scholarly conduct, in service to society through
free inquiry, whether innovative or traditional, and through interpretive
study of the past. AAS expects, and provides the conditions to ensure,
that its employees and the academic community of library users meet the
highest standards of intellectual honesty.
Recognizing that every act of misconduct in scholarship undermines the
credibility of the scholarly community and jeopardizes free academic
inquiry, the American Antiquarian Society presents this statement as a
reminder of the responsibilities inherent in research. The American
Antiquarian Society defines research misconduct as intentional, knowing,
or reckless fabrication, falsification, or plagiarism in proposing,
performing, or reviewing published research, or in reporting research
results. Research misconduct does not include differences of opinion or
honest error.
The American Antiquarian Society assumes responsibility for an initial
inquiry into allegations of research misconduct involving its staff or
charges of research misconduct made against its research
fellows. Allegations against a fellow, regardless of the source of
fellowship funds, will initially be reviewed by a committee (hereafter
known as the Committee) made up of the President of the Society, the Vice
President for Collections and Programs, and at least one department
head. If this review discloses sufficient evidence of research misconduct
to warrant a full investigation, the procedures to be followed will depend
on the primary source of financial support for the research and the
scholar/fellow under review.
In the case of allegations made against a scholar whose research is funded
by the National Endowment for the Humanities ("NEH") or other Federal
agency, such as a long-term American Antiquarian Society-National
Endowment for the Humanities Fellow, the allegation will be reported to
the NEH or other Federal agency, pursuant to Section V.2 of the NEH
Research Misconduct Policy, promulgated electronically on September 1,
2002. Because of its relatively small size and limited financial and
staff resources, AAS anticipates that it will not itself be able to
conduct the extensive investigation required by the NEH. Under these
circumstances AAS will refer the allegations and the record and results of
its initial review back to the Inspector General of the NEH (or other
relevant Federal agency) to permit the NEH to proceed with its own
investigation. AAS will cooperate with the NEH (or other Federal
agency) to the extent its resources permit, and reserves the right to take
such interim or further action with regard to the scholar/fellow under
investigation as it deems necessary to protect the intellectual integrity
and reputation of the American Antiquarian Society.
In the case of allegations made against a fellow whose research is
supported solely by non-Federal funds, the Committee will initially
investigate the allegations. Should such initial review find cause to do
so, AAS will report the allegations and the preliminary and any subsequent
findings of the Committee to that scholars home institution, and defer to
that institution for further investigation. AAS will cooperate with the
home institution to the extent its resources permit, and reserves the
right to take such interim or further action with regard to the fellow
under investigation as it deems necessary to protect the intellectual
integrity and reputation of the American Antiquarian Society.
If the individual against whom a charge of scholarly misconduct has been
brought is an employee of the American Antiquarian Society, the Committee
(with an appropriate substitution made if the person so charged would
normally sit on the Committee) will initially investigate the
allegations. Should such initial review find cause to do so, the
Committee will report the allegations and the preliminary and any
subsequent findings to the AAS Council (trustees) for further action,
which might include, but is not limited to, the Councils appointing a
special committee or engaging outside legal counsel to conduct the
investigation.
In all cases, the American Antiquarian Society reserves the right to
impose any or all of the administrative remedies outlined in Section VII.3
of the NEH Research Misconduct Policy, as appropriate, and without
limiting its rights to take such other measures as it deems appropriate to
protect its intellectual integrity and reputation. In the case of a staff
member, such measures might include termination of employment.
The American Antiquarian Society is committed to fairness in investigating
allegations of misconduct. This includes a commitment to
confidentiality. AAS will make the best effort possible to preserve the
confidentiality of any investigation of misconduct. It also includes, in
cases where the Committee decides that the individual in question might
have committed scholarly misconduct, an obligation to inform the
individual in writing of its findings in a timely way, so as to give the
scholar an opportunity to respond before deciding to proceed to the next
step.
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