The Association of Private Institutions And Educators (APIE) acknowledges the importance of promoting ethical conduct and integrity within private universities and higher education institutions. In alignment with this commitment, APIE recognizes the significance of the Guidelines for an University/Institutional Code of Ethics in Higher Education. These Guidelines serve as a valuable resource for encouraging the adoption of comprehensive Institutional Codes of Ethics in higher education institutions that do not currently have such ethical codes in place. Additionally, they provide support for institutions in reviewing and enhancing their existing codes.
APIE recognizes the dynamic nature of the higher education landscape and commits to periodically reviewing and revising these Guidelines to ensure their continued relevance and effectiveness in meeting the evolving needs of Indian private universities.
By adhering to these Guidelines, APIE aims to foster a culture of ethical behavior, integrity, and accountability within the Indian private university sector.
1.Preamble
1.1 The landscape of higher education and research is continually evolving, driven by societal demands and expanding expectations of knowledge. Higher education institutions are at the forefront of pushing the boundaries of discovery, with unprecedented growth in their numbers worldwide.
1.2 These global changes, influenced by the belief in the Knowledge Economy/Society as a pathway to prosperity and advancements in technology and market forces, require the entire academic community to deepen their ethical self-awareness, act with integrity, and critically examine the ethical implications of their actions in the broader community.
1.3 In this rapidly changing context, higher education leaders, faculty members, staff, and students must be prepared to navigate complex ethical dilemmas. The legitimacy, credibility, support, and autonomy of higher education institutions rely on the quality of their activities, the transparency of their procedures, and their commitment to promoting academic integrity.
1.4 Despite these expectations, many higher education institutions lack an institutional code of ethics that explicitly articulates how they foster academic integrity and prevent academic dishonesty and unethical behavior.
1.5 While ethical principles may vary based on historical, cultural, and contextual factors, there are universal core values and principles that guide higher education and academic work. These ethical values and principles need to be clearly stated in an Institutional Code of Ethics.
1.6 Institutional Codes of Ethics in higher education complement codes of conduct established by national or international learned or professional societies. It is important to recognize that members of the academic community may also have affiliations with specific religious, philosophical, or cultural traditions. Additionally, these institutional codes coexist with, but do not replace, national and international legislation safeguarding human rights and other rights and obligations in higher education.
1.7 All higher education institutions are encouraged to develop and adopt an Institutional Code of Ethics. By doing so, they demonstrate their commitment to promoting ethical values and integrity through their exemplary conduct in educational and research functions, as well as through the discussion of ethical topics that they foster. APIE recognizes the importance of higher education institutions' role in shaping ethical values and invites its members to actively engage in this process.
2. Underlying values and principles for APIE
2.1 The Association of Private Institutions And Educators (APIE) acknowledges and upholds the universal core values that define higher education institutions. The foundational documents affirm the significance of academic freedom, institutional autonomy, and the corresponding responsibilities of higher education institutions to society. They emphasize that these principles are essential for the unhindered pursuit of truth and the unrestricted dissemination of knowledge within and by higher education institutions. They also highlight the vital role played by the higher education sector itself in overseeing and upholding these values. APIE is committed to embracing and promoting these core values and principles within the private university sector in India. By adhering to these values, private universities associated with APIE contribute to the advancement of knowledge, the fostering of academic freedom, and the fulfillment of their responsibilities towards society.
2.2 Recognizing the significant responsibility they hold, it is essential that higher education institutions establish a shared understanding of ethical academic behavior rooted in core universal values. This understanding should serve as the foundation for the Institutional Code of Ethics, which should further promote the following principles:
i. Academic integrity and ethical conduct of research: Upholding the highest standards of academic integrity and ensuring ethical practices in all research endeavors.
ii. Equity, justice, and non-discrimination: Fostering an inclusive and equitable environment that values diversity, promotes justice, and prohibits discrimination in all its forms.
iii. Accountability, transparency, and independence: Demonstrating accountability for actions, ensuring transparency in decision-making processes, and maintaining independence from undue influences.
iv. Critical analysis and respect for reasoned opinions: Encouraging critical thinking, embracing diverse perspectives, and promoting respectful dialogue based on well-reasoned opinions.
v. Responsibility for the stewardship of assets, resources, and the environment: Recognizing the importance of responsible management of institutional assets and resources, and promoting sustainable practices to protect the environment.
vi. Free and open dissemination of knowledge and information: Supporting the free exchange of knowledge, ideas, and information, while respecting intellectual property rights and ensuring responsible use of technology.
vii. Solidarity with and fair treatment of international partners: Promoting international collaboration, fostering solidarity with international partners, and ensuring fair and equitable treatment in all academic engagements. APIE emphasizes the significance of these principles in the pursuit of academic excellence and ethical conduct within the private university sector. It encourages its member institutions to incorporate these principles into their Institutional Codes of Ethics, thereby establishing a strong ethical framework for the advancement of higher education in India
3. Procedure, Practices, and Actors
3.1 In developing Institutional Codes of Ethics in Higher Education, it is imperative to engage in a transparent and inclusive process that involves consultation with diverse groups comprising the academic community. These groups include faculty members, students, staff, and governing bodies/leadership. Throughout this process, the rights and responsibilities of each group should be respected and acknowledged.
3.2 The Institutional Code should articulate the ethical standards of conduct and provide clear guidelines on how these standards apply to every member of the academic community. Furthermore, it should prioritize the following areas:
a. Fostering academic integrity in teaching and research through:
i. Instituting, publicizing, and overseeing guidelines and protocols pertaining to matters of integrity.
ii. Providing sufficient information, support, and recognition to empower all members of the academic community to uphold ethical practices.
iii. Ensuring that institutional research policies emphasize individual and group responsibilities for ethical conduct within the framework of academic freedom.
iv. Implementing appropriate sanctions for academic misconduct.
b. Developing educational programs to uphold ethical values and academic integrity by:
i. Integrating discussions on academic integrity into the curriculum.
ii. Encouraging extracurricular activities that raise awareness of contemporary ethical dilemmas.
iii. Emphasizing the vital significance of academic integrity and its broader societal role within higher education.
c. Upholding equity, justice, equal opportunity, fairness, and non-discrimination as an employer and as an institution of higher learning by:
i. Demonstrating a commitment to fairness in all interactions and dealings with members of the academic community, adhering fully and publicly to the principle of fairness.
ii. Establishing clear standards, practices, and monitoring procedures for personnel hiring, promotion, dismissal, student admissions, and related activities.
iii. Ensuring that all complaints and appeals are handled fairly, promptly, and transparently.
d. Ensuring accountability and transparency in all operations and when investigating cases of academic misconduct by:
i. Establishing clear and transparent internal mechanisms for quality enhancement and regularly disseminating information on performance and achievements both internally and externally.
ii. Interpreting the principle of confidentiality in a way that allows for thorough and objective research of all data and analysis in cases of potential academic misconduct.
iii. Applying rules of conduct equally to the institution and individual members of the academic community.
e. Promoting individual and/or institutional reputation and publicity based on and guided by:
i. Commitment to providing accurate and factual information.
ii. Alignment with the stated institutional mission and principles of academic freedom.
iii. Imposing sanctions for the use of inappropriate, illegal, or untruthful means to enhance personal or institutional prestige or seek material rewards.
f. Preventing the abuse of power by any member of the academic community for political, economic, or personal gain by:
i. Creating and distributing explicit definitions and regulations pertaining to conflicts of interest and the misuse of power, encompassing areas such as political, economic, sexual, and moral harassment.
ii. Establishing mechanisms for confidentially lodging complaints related to such abuses and ensuring that investigations follow.
g. Fostering critical analysis, freedom of speech, and reasoned debate among members of the academic community by:
i. Guaranteeing academic freedom and allowing all members to freely express themselves as professionals and engaged members of society.
ii. Cultivating students' capacity for reasoned dialogue, argument, and debate.
h. Encouraging social responsibility at both the institutional and individual levels, including promoting equity in access and success in higher education, sustainable development, human rights, and democratic citizenship, among other areas, by:
i. Integrating these issues into educational and research activities and institutional governance.
ii. Raising public awareness, including within the institution, about these topics.
iii. Sensitizing all members of the academic community to their individual and collective responsibility to lead by example in these critical areas.
i. Ensuring vigilance in the application and receipt of external funds to safeguard academic freedom and the freedom to disseminate research results by:
i. Establishing clear rules and procedures for individuals applying for external financial support for research, teaching, and outreach services.
ii. Creating an open and transparent environment for contracts between the academic community and external partners, ensuring these relationships do not compromise the academic integrity of the institution.
iii. Identifying and addressing potential risks and dangers when accepting external funds.
iv. Informing all members of the academic community of their individual responsibility to ensure compliance with relevant institutional rules before accepting funds from external sources.
j. Fairly managing intellectual property and promoting the free and open dissemination of knowledge and information by:
i. Establishing a clear, comprehensive, and fair legal framework to regulate intellectual property and prevent internal and external abuses.
ii. Facilitating and rewarding the implementation of open access principles.
k. Promoting solidarity, respect for diversity, and equitable international partnerships and collaboration by:
i. Building international linkages and cooperation based on core values such as academic freedom, institutional autonomy, and responsibilities to both local and global society.
ii. Considering the short-term and long-term impacts on participants and wider society when planning collaborations.
iii. Prioritizing shared interests, mutual benefits, and the avoidance of adverse effects in all international exchanges
3.3 The ethical standards of conduct outlined in the Institutional Code apply to all members of the academic community, including institutional leadership, faculty members, administrative staff, and students. Each community member should be aware of their rights and personal responsibility to adhere to the Code, particularly regarding:
i. Upholding academic integrity and independence, based on the principle of honest and open pursuit and dissemination of knowledge, free from internal institutional censorship and external pressures from social movements, industry lobbies, governments, and political or religious groups that compromise or threaten this principle.
ii. Avoiding any form of fraud, including plagiarism, deliberate data fabrication or falsification, unauthorized duplication, unwarranted authorship, thesis or project piracy, and the use of ghostwriters or unwarranted co-authorship.
iii. Promoting merit-based decision-making for the selection, compensation, and promotion of faculty members, technical and administrative staff, and students.
iv. Preventing conflicts of interest in policy and decision-making across areas such as research, student admissions and evaluation, faculty performance, promotion, and compensation.
v. Establishing policies and resources that ensure high-quality teaching, proper student supervision, and fair and transparent evaluation of student performance based on pre-defined criteria.
vi. Fostering mutual respect, non-discrimination, trustworthiness, and preventing abuse of power and harassment between teachers and students.
vii. Preventing corruption, including the exchange or receipt of favors related to admissions, examination results, qualification granting, hiring, and promotion.
viii. Maintaining a high level of confidentiality by protecting the integrity and security of university information systems, including student records, employee files, patient records, and contract negotiation documents.
ix. Ensuring the exclusive use of university resources, staff time, supplies, equipment, services, and travel budgets for university-related purposes.
x. Respecting and safeguarding university property.
xi. Avoiding misrepresentation of institutional interests when establishing international collaborative partnerships or engaging in international cooperation projects.
xii. Granting all members of the academic community access and the right to a fair hearing in cases of alleged abuse or misuse of power, discrimination, or harassment, as well as the right to appeal.
xiii. Fostering a strong commitment to institutional and individual social responsibility.
3.4 In addition to the aforementioned rights and responsibilities applicable to all members of the academic community, the Institutional Code should include, or refer to, a specific set of rights and responsibilities for students as they enter the higher education community. These include behaving with dignity and respect towards teachers, staff members, and fellow students, while expecting to be treated in the same manner, cultivating a culture of academic honesty, ethical behavior, and social responsibility, and demonstrating respect for institutional property and facilities.
4. Implementation of an Institutional Code of Ethics, awareness raising and sanctions
4.1 Higher education institutions must not only develop and adopt an Institutional Code of Ethics but also go beyond mere declaration of values and principles. These institutions should fully integrate these ethical standards into their institutional strategies, curriculum, management processes, and relationships with external stakeholders, including international partner institutions. It is essential to regularly update the Code and ensure its relevance and applicability by continuously monitoring its implementation.
4.2 The responsibility for implementing the Institutional Code, monitoring compliance, and developing related documents, such as definitions and glossaries of terms, lies with the institutional leadership. They should be supported by an institution-wide committee and actively involve all members of the academic community and external partners in the process. To foster transparency, accountability, and constructive dialogue, institutions should conduct periodic self-evaluations to assess compliance with the Code. The findings, recommendations, and resulting policy or practice changes should be publicly reported and discussed.
4.3 Individuals or groups engaging in ethically sensitive activities are responsible for seeking guidance and, if necessary, approval. The Institutional Code should outline clear and specific procedures for review and approval that members of the academic community should follow.
4.4 Wide dissemination of the Institutional Code within the institution is crucial to ensure understanding and ownership by all members. The Code and its underlying ethical principles should be referenced in the University Statute and prominently displayed on the institution's website.
4.5 To promote and uphold the principles of the Institutional Code, regular discussions and training seminars should be conducted for faculty members, technical and administrative staff, and students, including international students. These sessions aim to provide clear information about the expected conduct of all members of the academic community, fostering awareness and understanding of the Code.
4.6 Institutional accountability necessitates the identification and investigation of all forms of academic malpractice and misconduct, with appropriate sanctions applied as needed. Comprehensive information regarding the definition of such misconduct, investigative procedures, and available reporting mechanisms should be widely accessible to the entire academic community. It is the responsibility of each higher education institution, which is accountable to society for delivering quality education and research, to safeguard and promote the highest level of integrity and ethical behavior.
By adopting an Institutional Code of Ethics, the institution demonstrates its unwavering commitment to upholding these values and principles, further reinforcing its dedication to their implementation