Introduction Forensic anthropology is a relatively

Forensic anthropology is a relatively new field that developed out of

physical anthropology (ABFA, 2004; Ubelaker and Scammell, 1992: 27). The

first application of physical anthropology to forensic cases occurred during the

1950's and 1960's (Bass and Jefferson, 2003). However, forensic

anthropology was not recognized as a distinct field of study until 1977

(ABFA, 2004). Even now, the majority of forensic anthropologists still

receive their academic and methodological training through the field of

physical anthropology. There are an increasing number of institutions that

offer programs that give degrees in physical anthropology with an emphasis

on forensics.

Forensic anthropologists analyze human skeletal remains to discover

as much information as possible; this is done through the use of osteological

techniques and methodologies originally developed in the field of physical

anthropology to study archaeological populations and the evolution of humans

(Ferllini, 2002: 10; Nafte, 2000: 25). In addition to using these techniques,

forensic anthropologists use techniques from the field of forensic science to

collect evidence from remains. There are many different applications of

forensic anthropology. However, all of them focus upon the identification of

the remains and the collection of evidence within a medico-legal framework

(Park, 2005; Steadman 2003).

Mercedes Doretti and Clyde Snow, two famous forensic

anthropologists, have outlined three main objectives they use while working

on a case (Doretti and Snow, 2003). The first objective is to "collect,

preserve, and objectively interpret physical evidence that might be used to

bring the perpetrators to justice" (Doretti and Snow, 2003: 309). The second

objective is to document the findings so that the evidence will be useful to

obtaining justice and to have history acknowledge that these crimes did occur

(Doretti and Snow, 2003: 309-310). The last objective is to identify the victim

(Doretti and Snow, 2003: 310). These objectives outlined by Doretti and

Snow are useful in all the different types of cases in which forensic

anthropologists may be involved.

A typical forensic anthropological case is done on a consulting basis.

This means that most forensic anthropologists are practicing forensic

anthropology on a part-time or case by case basis. As such, many professional

forensic anthropologists are employed full-time elsewhere. Museums and

academia employ the vast majority of forensic anthropologists; however, they

are not limited to these areas (ABFA, 2004). For example, some forensic

anthropologists are employed by the government or private archaeological

firms (ABFA, 2004).

Forensic anthropologists are usually contacted by law enforcement

when their assistance is required. Most forensic anthropologists work on a

case every few months (Bass and Jefferson, 2003). However, some forensic

anthropologists see hundreds of cases a year. Several states are beginning to

employ a state forensic anthropologist, who is consulted on a regular basis by

law enforcement personnel (Bass and Jefferson, 2003). Also, the military and

Federal Bureau of Investigation employ forensic anthropologists full-time. In

the case of a mass disaster, such as a plane crash or bombing, forensic

anthropologists are often utilized by the national government. Forensic

anthropologists who are a part of the Disaster Mortuary Operational Response

Team (DMORT) are trained specifically for these special situations (DMORT,

2006). Additionally, forensic anthropologists might be consulted on human

rights cases, such as mass killings or genocide (Ferllini, 2002: 170). These

forensic anthropologists often travel abroad as part of special forensic teams

hired by the United Nations (UN) or specific countries (Ferllini, 2002: 170).

The application of forensic anthropology methodologies to human rights work

is a relatively new venture. The first human rights case that utilized forensic

anthropology was in the country of Argentina in 1984 by forensic

anthropologist Clyde Snow (EAAF, 2006; Magnarella, 2002: 365). Since this

preliminary application, forensic anthropologists have become increasingly

involved in human rights work. In recent years human rights cases have been

conducted by forensic anthropologists in Rwanda, Kosovo, Bosnia, Argentina,

Chile and various other countries across the globe (Koff, 2004).

Forensic anthropologists become involved in human rights cases in

which mass killing or genocide has occurred. Genocide has been defined as

"the deliberate destruction or murder of a particular group of people" (Totten

and King, 1989: 91). This group of people can be persecuted based upon

physical traits or a cultural identity defined by the perpetrators of these crimes

(Barnett, 1988:26). Mass killing is different from genocide because the

boundaries of the group being persecuted is not as accurately or narrowly

defined and usually involves fewer deaths (Staub, 2002: 11). In the case of

genocide or a mass killing, the perpetrators are members and/or leaders of the

government (Nafte, 2000: 155). While genocide has occurred throughout

history, it is only recently that it has become explicitly illegal (Totten and

King, 93). The first major human rights law outlawing genocide was passed in

1948, by the United Nations (Weaver, 2988: 74). The Universal Declaration

of Human Rights and the Convention on Genocide both specifically state that

genocide is a crime (Gourevitch, 1998: 149; Weaver, 1988: 74). The

Genocide Convention has been signed by 127 countries, see Appendix 1.1,

and clearly outlines the specific actions which fall into the category of

genocide (Totten, Parson and Hitchcock, 2002: 60; Magnarella, 2002: 311).

In most cases a forensic anthropologist first becomes involved in a human

rights case by participating "in a professional committee or with an invitation

by an organization or government" (Nafte, 2002: 154-155). If mass killing or

genocide is suspected in an area, a forensic team is constructed by either the

UN or the (new) government of the area in question for the specific purpose of

investigating any violations of human rights which may have occurred. These

forensic teams often consist of forensic pathologists, odontologists,

archaeologists and other forensic technicians, in addition to forensic

anthropologists (ABFA, 2004). After the team’s creation, the team will travel

to the area in question and do an extensive search for any mass graves that

may exist. The typical stay in an area is approximately six weeks (Koff,

2004). Forensic teams rely heavily on information from local informants,

government documents and any survivors. This information is then used to

determine the areas which most likely have a mass grave, if a location is not

already known. The forensic team then uses a variety of forensic techniques

and equipment to excavate the area of a suspected mass grave. The largest

difference in human rights work for a forensic anthropologist in comparison to

a typical case is "the perpetrators of the crime and the scale of the work"

(Nafte, 2000: 155).

Forensic anthropologists often aid in the excavation of the mass graves

(Ferllini, 2002: 170). As soon as bodies are discovered, forensic

anthropologists work closely with forensic pathologists to determine any

characteristics of the located body. These characteristic include: age, sex,

height and “race”. Bones are cleaned and analyzed by the forensic

anthropologist in order to determine this information (Koff, 2004).

Additionally, forensic anthropologists record any trauma that is noticeable on

the body. In order to discover this information forensic anthropologists will

have to reconstruct portions of the skeleton (Steadman 2003, 2; Ferllini, 2002:

11). This information is compiled in an attempt to match a description of a

missing person and to have evidence to use against the perpetrators of these

crimes.

Throughout their investigation of mass graves, forensic anthropologist

must keep in mind that they are dealing with a human body. This body must

be treated with the proper respect. Minimally, local traditions and religious

customs relating to the treatment and reburial of the body must be taken into

account. If these bodies are identified they will be returned to their families

for proper burial. It is important for a forensic anthropologist to remember

that these families will have expectations about the treatment of their loved

one (Koff, 2004).

The work that is conducted by forensic anthropologists in human

rights cases is often done under less than ideal circumstances. Lab facilities

are usually lacking the appropriate equipment or are absent all together. Part

of this is because many graves are located far from proper facilities and the

team does not have enough funding to construct the facilities that might be

needed. Time constraints are another problem the forensic team may face.

Time constraints make it difficult to process a large number of bodies which

may be interred in a mass grave. Additionally, the psychological stressors that

a forensic anthropologist undergoes can be very traumatic. It is not

uncommon to have death threats made against the forensic team. Also it is

difficult for forensic anthropologists to cope with the atrocities that they are

investigating every day (Koff, 2004). While forensic anthropologists work

under taxing conditions, many find the work to be extremely rewarding

because of the positive outcomes that occur.

After the forensic team has completed their time in an area to recover

information they typically return to their normal lives (Koff, 2004). If

sufficient evidence is collected it will be used by the UN to establish a war

crime tribunal (Berkeley, 2001: 251). Evidence that was gathered by the

forensic team will be presented against the perpetrators at the war crime

tribunal. The head of a forensic team is usually the only one required to

testify at such a tribunal (Koff, 2004). However, it is important that all

findings are properly documented so that evidence will be seen as valid in this

court of law and to aid the testimony of the head of the forensic team

(Steadman, 2003: 27). It is also important to maintain as much objectivity as

possible to keep findings scientifically sound (Steadman, 2003: 27).

Additionally, the ethical manner in which data is collected is important for the

validity of the evidence (Steadman, 2003: 27).

The ethical manner in which professional forensic anthropologist

should behave is not always clearly defined. This is due in part to the fact that

human rights forensic anthropology does not have an ethical guideline

designed for this emerging field. An ethical model is in need more than ever

due to the fact that human rights forensic anthropologists often face ethical

dilemmas both in the field and upon returning from the field.

The lack of an ethical standard has to do with many different factors.

A forensic anthropologist may have to incorporate different aspects of

professional ethics, governmental work, and academic responsibilities. This is

further complicated due to their responsibility to their subjects. This can create

difficult ethical situations in which there has been no set precedence for a

professional to follow. The goal of this thesis is to analyze existing ethical

paradigms in related fields and to develop a professional ethical guideline for

the field of human rights forensic anthropology.

In the past, forensic anthropologists have turned to ethical paradigms

in related fields to guide their behavior. However, a forensic anthropologist

can take any number of roles or titles in the field or during their professional

human rights work; these include: anthropologist, biomedical worker, forensic

scientist, human rights worker, professor, government employee, criminologist

and biologist (Niyirora, 2002). All of these are in addition to the title of

forensic anthropologist. While looking to these different fields is incredibly

helpful, it can also create further problems since not all of these fields have

compatible ethical standards. Therefore, a forensic anthropologist may be

faced with a choice regarding which of several conflicting ethical standard to

adhere. Chapter 2 will discuss and analyze existing ethical codes in these

differing professional fields in order to discover commonalities between them.

Furthermore, the differences amongst these codes will be examined to see

what is applicable to forensic anthropologists conducting human rights work.

As mentioned above, forensic anthropologists working with human

rights cases are rarely employed by the government year round. The most

common form of employment is within academia (Kingsolver, 2004:76).

Thus when forensic anthropologists return from a human rights case, they

must resume their academic responsibilities. One of the major academic and

professional responsibilities is to engage in publishing books or articles about

their research. However, publishing work about human rights cases can create

even further ethical predicaments for forensic anthropologists. There is

additional sensitivity regarding the details of human rights forensic fieldwork;

and such work is often viewed as a taboo subject (Koff, 2004). One problem

that may arise is an inability to request permission to publish work about an

individual or a group. This may be compounded by an inability to identify the

personal identity of their subject(s) or their next of kin. When an entire group

of people has been killed, displaced or is missing, it is exceptionally difficult

to obtain permission to publish any sort of specific information (Peterson,

2002). It is also common for families to deny permission for forensic

anthropologists to do any additional research involving their loved one.

Moreover, war crime tribunals against those who have committed human

rights atrocities often take years to complete. This hinders publication efforts

even further. While these trials rarely have gag orders, it is not uncommon for

forensic anthropologists and other human rights workers to maintain their

silence until after the trials are over. Chapter 2 will also examine the

professional and academic responsibilities and expectations of a forensic

anthropologist involved in both human rights and academia.

Ethical concerns also arise because forensic anthropologists who are

investigating human rights cases are employed by either a specific government

or the United Nations. While it is not uncommon for forensic anthropologists

to be employed by the government, this creates some additional ethical

concerns. As scientists, forensic anthropologists are expected to be as

objective as possible. However, in human rights cases, the United Nations or

a government has hired the forensic anthropologist to find something specific.

This may create biases in the interpretation of their work making it much

harder to maintain objectivity. Forensic anthropologists also may have no say

in how their data is used by the government. There is also an added political

element when working for a government which can create further turmoil for

forensic anthropologists. For example, government expectations on

professionalism are not always consistent with the existing conflicting

professional ethics. This creates further problems for forensic anthropological

field work. Chapter 2 will address concerns related to governmental work for

forensic anthropologists.

The only way to reconcile all of these conflicting ethical guidelines,

academic responsibilities, and professional government work while

maintaining a responsibility to human remains is by looking at what has been

done in the past. By looking at past ethical behavior of forensic

anthropologists it is possible to create a set of ethical guidelines which can be

practical, moral, and conscientious of the ethical problems that forensic

anthropologists might face in the field. Chapter 3 will propose such an ethical

guideline. It will be built upon existing anthropological guidelines while

keeping in mind the unique nature of human rights work for forensic

anthropologists. Chapter 4 will discuss the implications of the proposed

guidelines. It will also look at the importance of this ethical guideline to the

field of forensic anthropology.

Chapter 2 Professional Ethics

Introduction

The field of forensic anthropology does not currently have an ethical

code that is designed specifically for this field. Furthermore, the application

of forensic anthropology to human rights cases does not have an ethical code

designed to specifically for this special application. This is problematic for

practicing professionals in the field of forensic anthropology due to the fact

that as ethical dilemmas arise in their professional careers there is no set of

guidelines to direct them. There are many professional codes of conduct in

related fields. These professional ethical codes are guidelines and not a set of

strict rules. While these relate to forensic anthropology, they do not address

the specific situations which forensic anthropologists encounter. As a result it

is necessary for forensic anthropologists to have their own set of ethical

guidelines. By looking at the existing ethical codes in the broader

professional fields that forensic anthropology is associated with, it is possible

to determine general trends and guidelines that should be applicable to

forensic anthropology.

Anthropological Ethics

First and foremost forensic anthropology is within the field of

anthropology. The ethical paradigm used by all types of anthropologists has

been developed by the American Anthropological Association (AAA). The

AAA Code of Ethics, Appendix 2.1, was constructed "to provide AAA

members and other interested persons with guidelines for making ethical

choices in the conduct of their anthropological work" (AAA, 1998). This

AAA Code of Ethics helps to uphold ethical accountability for anthropologists

(Binford, 1996: 199). Forensic anthropologists are practicing anthropological

work and thus can look to the AAA Code of Ethics for some guidelines on

ethical choices.

The AAA Code of Ethics has been updated several times. The most

recent version, updated in 1998, includes several different sections, all of

which are relevant to the field of forensic anthropology. Section III. A of the

Code of Ethics addresses responsibilities to people studied (AAA, 1998). This

section outlines that the people studied should be treated respectfully, and that

any research conducted should be done with the intent to preserve the safety,

dignity, and privacy of the people with whom they work (AAA, 1998).

This section is extremely relevant to forensic anthropology. In the case of

human rights work the people studied are interred in a mass grave. This

situation is different from other anthropologists because the people being

studied are deceased. However, the people studied should still be treated with

respect. Kingsolver notes; "professional anthropologists, whether working in

academic, or other contexts are bound by personal and professional ethics to

respect those with who we work, living or dead, at home or in any other

region" (2004: 72). Additionally, the dignity and privacy of those interred

should be upheld at all times.

The only shortcoming of this section for forensic anthropologists is in

Section III. A. 4 (AAA, 1998), which clearly states that permission should be

obtained in advance from the individuals who will be studied. This is

impossible for forensic anthropologists. The identities of the individuals

interred cannot be known ahead of time and often are not discovered at all.

Those studied by forensic anthropologists are already deceased so permission

cannot be obtained from the "subject studied" as recommended in the AAA

Code of Ethics. However, forensic anthropologists can follow this guideline

by requesting permission to obtain any additional data from bodies recovered

from the individual's family. This would allow for the family to consider the

wishes of the deceased in making their decision. Unfortunately this is not

always possible or practical because of the inability to identify remains or

locate family members.

The next section of the AAA Code of Ethics outlines guidelines for

behaving responsibly in the fields of science and academia (AAA, 1998).

Section III. B. 4 of the AAA Code states, “Anthropological researchers should

utilize the results of their work in an appropriate fashion and, whenever

possible, disseminate their findings to the scientific and scholarly community"

(AAA, 1998). This is problematic for forensic anthropologists. The subject of

human rights is taboo in the field of anthropology due to cultural relativism.

Findings about methodology or standards of measure may be done in the field.

However, it may be difficult to design a valid, reproducible scientific

experiment that can be conducted in the field showing that these findings are

legitimate. Designing an experiment prior to going into the field is often

viewed as unethical because consent cannot be acquired. Also, forensic

anthropologists have no way of knowing what kind of situation they might

encounter in the field. Therefore, it would be impossible to know what kind

of conditions to consider in a research design. If research is conducted, the

same type of circumstances cannot be replicated, therefore any findings may

be considered invalid. These complications often discourage forensic

anthropologists from publishing or sharing their work with the

anthropological community. Also the legal proceedings, such as war crime

tribunals, discourage publication of information that is still being utilized in a

court of law. Again this complicates a forensic anthropologist’s ability to

disseminate their findings.

While this portion of the AAA Code of Ethics is clearly problematic

and impractical for forensic anthropologists it clearly demonstrates the

expectation that forensic anthropologists should be gaining knowledge in their

endeavors. Furthermore, this knowledge is expected to be valid scientifically

and shared with the anthropological community. Forensic anthropologists

tend to combat this problem by publishing on strategy and procedures relating

to human rights work. However, they rarely publish on information that is

gained about a specific population’s characteristics from a human rights case.

The next section, Section III. C, of the AAA Code of Ethics talks about

responsibilities anthropologists have to the public. Information given to the

public should be truthful and accessible (AAA, 1998). Again, this is

applicable to forensic anthropology. Legal ramifications often occur based

upon discoveries that forensic anthropologists make (Steadman, 2003). Thus

it is imperative for them to be as truthful as possible at all times. This

information should be highly accessible to the public so that they may have

the evidence to prove what atrocities have occurred.

Section III. C also explains that anthropologists should give careful

consideration to the social and political ramifications their research may have

(AAA, 1998). Human rights work has huge political and social implications.

The discovery of a violation of human rights may result in a political power

losing credibility or even control of the government. While other

anthropologists may have the choice of refraining from doing research in such

a volatile political and social situation this is not a choice for forensic

anthropologists who do human rights work. Thus it is essential for forensic

anthropologists to share all information that they possess in order to be

impartial in such a situation. Maintaining objectivity allows forensic

anthropologists in this situation to remain scientifically valid, and side step

ethical dilemmas which may arise if sides are taken based upon the political

atmosphere of the time. Steadman reiterates the importance of remaining as

objective as possible by stating, "forensic anthropologists are obligated to

report all of their findings, even if they seem contradictory to other lines of

evidence" (Steadman, 2003: 27).

The conflicting pressure to publish information, protect individuals

and remain scientifically valid creates a catch 22 for forensic anthropologists.

This demonstrates that further discussion and guidelines about these subjects

are needed in a professional code of ethics. By addressing these different

points and the interaction between them, a clearer concept of what is expected

of a professional forensic anthropologist doing human rights work can be

created.

Forensic anthropology is a field that falls within anthropology. The

above discussion illustrates that the AAA Code of Ethics applies to many

situations that forensic anthropologists might encounter. However, as noted in

Section I of the Code, this code is not relevant to all situations an

anthropologist might come across. Thus the AAA Code of Ethics clearly

outlines basic guidelines that should apply to forensic anthropologists.

However, specific circumstances that are not addressed in the AAA Code will

need to be discussed in a specific code for forensic anthropologists in order to

guide their ethical conduct.

The field of forensic anthropology is directly associated with the field

of physical anthropology. As discussed in Chapter 1 this is because forensic

anthropology uses techniques and methods first developed within the field of

physical anthropology. The American Association of Physical

Anthropologists (AAPA) also has a developed a Code of Ethics which can be

seen in its entirety in Appendix 2.2. This ethical code closely follows the

AAA Code of Ethics discussed above (AAPA, 2003). However, it was

designed to address more specific issues that a physical anthropologist may

encounter. Due to the fact that this ethical code closely adheres to the AAA

Code it is only necessary to discuss areas in which they differ.

In the AAPA Code of Ethics in Section III. A. 4 (AAPA, 2003) it

discusses informed consent much like the AAA Code of Ethics. However the

AAPA Code specifically states, "…informed consent, for the purposes of this

code, does not necessarily imply or require a particular written or signed form.

It is the quality of consent, not the format that is relevant" (AAPA, 2003).

This clearly shows that consent is still necessary in order to do research for

physical anthropologists. However, the consent does not have to be as

formalized as the AAA Code of Ethics implies. This still creates problems for

forensic anthropologists. Like many physical anthropologists their training is

done on skeletal collections collected long before such ethical standards were

in place. Additionally, it does not address what types of research may be

ethical if consent cannot be given.

Section III. B discusses the responsibility to science and scholarship

(AAPA, 2003). This specific section also differs slightly from the AAA Code.

The AAPA ethical code lays out guidelines in which data and research should

be preserved and shared in order to inform the anthropological community

(AAPA, 2003). The concept of preserving data is important to forensic

anthropologists. The preservation of their data is what allows their findings to

be used against criminals in courts of law. However, in a more literal sense, it

is difficult for an entire subject or population of subjects to be preserved for

future research on specific measurements or traits of their bodies. Bodies must

be given back to their loved ones for proper burial. Thus it is not possible for

in-depth research on that specific population to be conducted in many cases.

The inability to keep samples or the bodies of individuals in a mass grave may

prevent other scientists from being able to reproduce results that may be

found. The reproduction of result is something that is extremely important for

scientific validity.

These responsibilities to science and scholarship have been designed

with the idea that research does not have to be conducted by a strict

experimental design. However the idea of science in anthropology is more

broadly focused to include participant observation, ethnography and

archaeology. These types of fieldwork do not always require scientific design

and are often not reproducible. Forensic anthropologists can publish

information gathered based upon their experience and their observation.

Nonetheless, to develop or improve a standard of measurement or prove the

validity of a new technique, there are expectations that this type of research

will be conducted with a scientific design with valid qualitative

measurements. In part this is due to the fact that forensic anthropology is

closely correlated with the field of forensic science. Forensic science does not

have the same foundations in the humanities and social sciences that

anthropology does. As a result, any information gained from observation does

not conflict with the AAA Code or the AAPA Code. However, research

conducted to improve methodology used in the field is expected to be valid

not only in the field of anthropology but also in the field of forensic science.

Therefore, the AAA Code or AAPA Codes are not always sufficient in

addressing the types of research conducted by forensic anthropologists.

As noted above the AAPA Code of Ethics is based primarily on the

AAA Code of Ethics. However, the AAPA Code of Ethics attempts to create a

more science based interpretation of these guidelines. This aids in the

interpretation of these codes for forensic anthropologists. However it does not

resolve the issues of obtaining consent from those who cannot be identified,

conducting valid and ethical research under these circumstances, and the

expectation to publish or share certain types of knowledge that may be gained

from human rights work.

Forensic Science Ethics

While forensic anthropology is associated with the field of

anthropology, it also overlaps into other fields. As stated above, forensic

science is one of these fields. Forensic anthropologists often use techniques

developed by forensic science and, in the case of human rights work, they may

participate in other types of forensic work. For example, forensic

anthropologists might analyze clothes, excavate the burial and take samples in

addition to their own forensic work (Koff, 2004). This demonstrates that

forensic anthropologists actively participate in forensic science and should

therefore keep in mind the ethical guidelines of this field as well.

The American Academy of Forensic Science (AAFS) has a Code of

Ethics and Conduct, which is provided in Appendix 2.3 (AAFS, 2004).

Sections 1. a, 1. b and 1. d of this code are based upon representing the AAFS

appropriately. While it is important for forensic anthropologists to act

appropriately, it is not stated explicitly by AAFS what this appropriate

behavior would entail. Thus the AAA and AAPA guidelines would serve as a

better basis for a forensic anthropologist to base their professional behavior

upon.

Section 1. d of the AAFS Code of Ethics and Conduct applies more

directly to forensic anthropologists. Section 1. d states, "every member and

affiliate of the AAFS shall refrain from providing any material

misrepresentation of data upon which an expert opinion or conclusion is

based" (AAFS, 2004). Thus it is unethical to falsify data or testimony. This

code is written with an implication that the forensic scientist will be testifying

and providing expert opinions in a court of law. While this implication is not

present in the AAA and AAPA Codes of Ethics the meaning is very similar.

The AAA and AAPA codes both state that it is unethical to falsify information.

It is therefore valid to continue with the assumption that forensic science

ethical guidelines are geared towards scientific work that has legal

implications while closely coinciding with the ethical ideology in the

anthropological field.

Professional Human Rights Work

Forensic anthropologists who conduct human rights cases are part of

the larger field of professionals doing human rights work. The International

Forensic Centre of Excellence for the Investigation of Genocide (INFORCE)

is a professional organization of people who do such work. Their Code of

Conduct and Ethical Guidance, see Appendix 2.4, demonstrates professional

expectations in situations that a human rights forensic anthropologist will

likely encounter (INFORCE, 2006).

Part 1 of the INFORCE Code of Conduct and Ethical Guidance

discusses the overall expectations that INFORCE maintains (2006). The

following closely applies to forensic anthropology and coincides with the

codes already discussed above:

• to at all times uphold respect for human life and dignity

• to act with integrity and honesty in all circumstances

• to be apolitical

• to provide confidential informed and impartial advice

• to practice within relevant current legal and regulatory frameworks

• to respect the cultural and religious values of the host country,

community or society

(INFORCE, 2006)

Each of these points is closely related to ethical guidelines of the AAA and

AAPA.

Part 1 of this code also differs from what is discussed above. For

example, the INFORCE Code of Conduct and Ethical Guidance states that it

is imperative "to promote the improvement of standards and service through

the development and adoption of protocols and standard operating procedures

as well as professional bodies, education, research and best practice"

(INFORCE, 2006). Thus INFORCE believes that human rights work is an

opportunity to learn and fine tune any methodologies which may be practiced.

For a forensic anthropologist this would include gathering data on subjects

that would allow them to develop or improve identification methodologies

currently in use. This implies that it is acceptable to do research on any

evidence recovered in order to gain information to help in future endeavors.

The INFORCE code also differs because it notes in Part 1 that individuals

should "keep up-to-date with developments in the field and/or laboratory

techniques as appropriate" (INFORCE, 2006). While this is something

practiced by most professionals in any field, this statement is not directly

stated in any of the codes previously discussed.

Part 2 of the INFOCE Code of Conduct and Ethical Guidance

addresses operation and contractual guidelines. Many of these address

upholding contracts and charging reasonable fees (INFORCE, 2006). These

are imperative to maintaining quality relationships and ethical integrity with

those a forensic anthropologist may work with. This section also discusses the

need to maintain objectivity, which has already been discussed in depth above

(INFORCE, 2006).

The main difference in Part 2 of this code is the last statement. It says,

"to refrain from working with non-police or other informal investigative

agencies or to jeopardize on-going police or other formal inquires"

(INFORCE, 2006). Much like the AAFS statements this is directly developed

for those who are working within a legal framework. This statement holds

true for human rights forensic anthropologists because informal investigation

is rarely done and undermining any investigation is clearly unethical.

However a typical forensic anthropologist consulting on a case should be able

to work for an informal investigative agency such as a family or private

investigator if the police or government investigation is not meeting

expectations. Thus it is important for forensic anthropologists as a whole to

first work and cooperate with police or government agencies and then

secondly aid non-police groups. However it is imperative that an

investigation is never jeopardized based upon this outside consulting.

Part 3 of the INFORCE Code of Conduct and Ethical Guidance directly

discusses the treatment of human remains. This is the most applicable part of

the INFORCE code to forensic anthropology because forensic anthropologists

deal directly with the human remains. Several of the statements made under

Part 3 discuss respecting the cultural, religious and emotional needs of

families or communities during the process of investigation. By treating the

body with the proper respect according to cultural and religious traditions it

shows respect for the individual interred.

Additionally it allows for the family to begin the recovery process.

Part 3 of the INFORCE Code of Conduct and Ethical Guidance notes

what is acceptable for research in the following statements:

• to make all possible efforts to obtain the consent of

communities and families for tissue sampling, where to obtain

such is possible

• to refrain from removing samples from human remains for

forensic or research purposes unless commensurate with legal,

religious and cultural dictates where such a judgment is

possible

• to ensure, wherever possible, that all human material taken for

sampling or removed in the process of sampling, is ultimately

interred with the remains

• to avoid undertaking research using material or data derived

from unethical contexts

• to undertake research based only upon sound scientific

principles, such research should be based upon research

designs approved by the INFORCE Executive

• to disseminate, where possible, the results of research and

field work which may increase knowledge or provide

beneficial information for future work

(INFORCE, 2006)

These statements clearly state what acceptable practice is for obtaining

samples and research using human remains, specifically when consent cannot

be given. This is extremely important because it addresses the issue that was

found to be a shortcoming of all of the other codes discussed thus far. As

stated in the codes above, consent is to be obtained from families when

possible. Samples for research purposes cannot be taken from bodies if it is

believed to be against the cultural or religious practices of that individual.

This practice requires generalizing about an individual based upon the area in

which they are discovered in many cases, especially if an individual’s identity

is unknown. Additionally it is important to return any samples taken

whenever possible after information has been gathered. INFORCE feels it is

important to do research just under ethical contexts (INFORCE, 2006).

Part 4 of the INFORCE Ethical Code of Conduct and Ethical Guidance

provides guidance about expectations of acting as an expert witness

(INFORCE, 2006). This is more applicable to forensic anthropologists than it

is to human rights anthropologists because human rights anthropologists may

not be required to testify at a war crimes tribunal. However, it is important to

consider these statements in case testimony was needed, and also for all

documentation. Again, much like earlier codes of ethics, objectivity and

honesty are highlighted as having the utmost importance.

A discussion of the responsibilities human rights workers have to the

public is provided in Part 5 of the INFORCE Code of Conduct and Ethical

Guidance (INFORCE, 2006). This section has the same theme as many of the

codes discussed above. Unlike the previous codes most of this section focuses

on respecting and protecting the data and any photographic material due to the

fact human remains are involved. However it does reiterate the importance of

sharing knowledge with the public and education of individuals at all levels of

society.

The INFORCE Code of Conduct and Ethical Guidance approach many

issues that other codes did not. Due to the fact that this code is designed

specifically for those doing human rights work it more clearly addresses issues

that a human rights forensic anthropologist may face in the field. However, it

does not touch upon ethical behavior to a profession in the same manner that

AAA or AAPA codes did. Therefore it is important for a human rights

forensic anthropologist to include several aspects of this code, especially the

sections on the treatment of human remains, while still incorporating AAA

and AAPA ethics into their practice of forensic anthropology.

While all of these different ethical codes are applicable to forensic

anthropology, none of them were designed specifically for or by forensic

anthropologists. The only existing ethical code written by forensic

anthropologists was done in relation to human rights work. However, it is

lacking in many aspects. The Argentine Forensic Anthropology Team (EAAF)

has developed Six Main Ethical Objectives that they attempt to maintain while

doing human rights work (Doretti and Snow, 2003: 293). It should be noted

that this forensic team is the most experienced and well known in human

rights work across the globe.

The Six Main Ethical Objectives of the EAAF, see Appendix 2.5

(Doretti and Snow, 2003: 293), are very broad. In fact many of the statements

sound like statements of purpose instead of ethical objectives. For example,

the first objective states, "We apply forensic scientific methodology to the

investigations and documentation of human rights violations" (Doretti and

Snow, 2003: 293). This statement does not state anything about ethics or

expectations. Instead it is a statement about the type of work they are

undertaking.

These ethical objectives do address the expectation for forensic

anthropologists to be expert witnesses, teachers, and trainers of other teams

(Doretti and Snow, 2003: 293). These statements are closely related to

statements made by the AAA and AAPA. Thus these ethical codes are

consistently applicable to human rights forensic anthropology.

The only unique statement from the EAAF Six Main Ethical

Objectives was the third objective (Doretti and Snow, 2003: 293). This

objective reads, "through the identification of the victims, we can provide

some solace to their families who are at last able to properly mourn and bury

their dead" (Doretti and Snow, 2003: 293). The EAAF has the standpoint that

identification of the victims is an ethical responsibility if possible. However,

it should be noted that the same team believes that identification is the last

objective of their work (see Chapter 1).

The discussion above has demonstrated that professional ethics in the

fields of human rights, forensic science and anthropology are all extremely

important for human rights forensic anthropologists to consider during their

work. Forensic anthropologists who engage in human rights cases must also

consider the added political element of working for a government.

Governments may have different professional expectations and may place

additional political pressure on forensic anthropologists.

Professional Ethics and Government Work

The nature of government work is very distinct from other employment

for anthropologists. This is because of biases and compromises that may occur

due to the nature of the work. However, anthropologists should never

compromise their professional ethics to accommodate an employer. Being

employed by the government is not common for many anthropologists; however,

it is a frequent occurrence for forensic anthropologists. Human rights forensic

anthropologists work solely for a government agency.

The American Anthropological Association (AAA) includes statements in

their ethical guidelines, discussed above, specifically for anthropologists who are

undertaking a job with a government agency (see Appendix 2.1; AAA, 1998).

For example, in Section V. 2, it states:

Prior to making any professional commitments, they

[anthropologists] must review the purposes of prospective

employers, taking into consideration the employer's past

activities and future goals. In working for governmental

agencies or private businesses, they should be especially

careful not to promise or imply acceptance of conditions

contrary to professional ethics or competing commitments.

(AAA:1998)

This statement shows that governmental jobs are viewed with additional

awareness of potential conflicts over jobs in areas such as academia.

Additionally, this statement clearly shows that the AAA holds the standpoint

that professional ethics should not only carry through to governmental work,

but should trump any governmental expectations. The AAPA Code of Ethics

contains the exact same statement written above, see Appendix 2.2 (AAPA,

2003). The INFORCE states in their ethical code "to be apolitical", see

Appendix 2.4 (INFORCE, 2006). Thus it is important for forensic

anthropologists to remain as unbiased as possible in political contexts.

Many anthropologists have written extensively about the problems that

might arise out of government work. For example, Fluehr-Lobban writes that,

"anthropologists contemplating or accepting employment in government

agencies in other than policy-making positions should recognize they will be

committed to agency missions and policies" (Fluehr-Lobban, 1991: 222).

Therefore, it can become problematic for anthropologists to undertake this

type of work if their ethical standards or their professional ethical standards

conflict with a governmental agency's polices or missions. Kingsolver

expands on this concept by stating:

Anthropologists must recognize that by agreeing to work for

the government they might be promoting an agenda, they might

be accountable for other parts of a project not related to them,

and there is a discrepancy about whether they work for the

government or the project. (Kingsolver, 2004: 74)

Thus anthropologists should be careful in avoiding situations where they

might be used to promote an agenda whether it is social, political or economic.

In order to avoid this type of tricky situation some anthropologists shy away

from working for the government. Others make sure that they will not be

expected to compromise any professional or personal ethics that they may

possess (Fluehr-Lobban, 1991: 222).This might be done by discussing ethics

prior to being hired by a governmental agency.

However, forensic anthropologists do not have the opportunity to

avoid working for the government. As noted in Chapter 1, the vast majority of

consulting cases are for police or government agencies. Additionally, all

human rights applications of forensic anthropology to date have been done

under the employment of the UN or a specific country's government. In these

situations it is imperative to maintain professional ethical standards to remain

as objective as possible. Professional forensic anthropologists are hired as

professionals. As such their professional ethical standards, which have been

developed for the field of forensic anthropology, should apply to a

governmental position they may hold.

Human rights forensic anthropologists are hired by a government for a

specific purpose. In most cases they are hired to located mass graves,

excavate them, and identify any bodies that may be discovered. Thus there is

a clear objective to their work. While this component of human right forensic

anthropology does not seem ethically complicated it can become so by

considering the larger picture of their work.

Governments hire forensic teams to locate mass graves only when they

are convinced that an act of genocide or mass killing has occurred. At this

point either survivors, records, or the mass grave itself has been exposed to an

outside government. Thus evidence for the genocide or mass killing is already

beginning to be compiled long before the forensic team is even contacted.

Thus there is an expectation that a grave will be discovered which will contain

certain individuals or types of individuals. This may add additional pressure

to forensic anthropologists to make identifications of bodies before their

proper scientific procedures have been conducted. In this case objectivity is

clearly compromised in order to accommodate pressures for the government

that hired the forensic anthropologist (Koff, 2004). Things are further

complicated when you consider other legal ramifications of discovering mass

graves. For example, in the case of the Rwandan genocide, the UN was

legally responsible to do everything in its power to stop any genocidal acts

from occurring (Koff, 2004). However, in this case they did just the opposite,

pulling the vast majority of their troops out of the area. The unfortunate result

was the death of over 1 million people in less than 3 months (Peterson, 2002).

Later the UN was responsible for hiring the forensic team to excavate mass

graves and collect evidence of this

atrocity. Additionally, the UN held the war crime tribunals punishing those

who participated in the genocide.

In this case findings could implicate the employer of the forensic team.

The UN was legally bound by the Genocide Convention to do anything

possible to stop or prevent the genocide from occurring. However, the UN

had withdrawn troops from Rwanda during the genocide (Peterson, 2002).

The UN could be held accountable for its lack of action during this atrocity.

While no legal actions were ever taken, discoveries made by these teams,

which included forensic anthropologists, clearly showed that the Rwandan

genocide was not a tribal war or civil war as the UN had tried to claim in the

press while the genocide was occurring (Peterson, 2002). As a result the

disaster was partially blamed on poor decision making by the UN (Peterson,

2002). While it was clear that forensic anthropologists and other forensic

scientists did not alter their findings to clear the UN from ethical

responsibility, the fact that they were employed by the UN was an added

political complication to their work.

Another example comes from Bosnia. In Bosnia reports of ethnic

cleansing were continually being reported to the Western World. However, no

evidence could be discovered of these acts. As a result the killings continued

for another five years (Bringa, 2002:197). Thus the lack of evidence that

could be discovered in this case allowed killings to continue.

While the evidence teams that originally looked for evidence did not include

forensic anthropologists, situations like this added even additional political

pressures to make specific discoveries.

The best way for a forensic anthropologist to handle one of these

difficult situations is to remain as objective as possible. This can be done by

continually sticking to the scientific standards and methodologies in which a

forensic anthropologist is trained. Thus their scientific findings continue to

hold validity and they will avoid taking sides in a political environment. Both

are important for their findings to be legitimate in a court of law.

The problems arising from governmental work can be challenging.

However, by emphasizing the importance of remaining objective and

apolitical in these situations, forensic anthropologists can avoid biasing their

work. By remembering that professional ethics continue to hold true and can

be viewed as guidelines for government work, additional advice can be found.

The examples outlined above clearly demonstrate that any ethical code of

conduct designed for forensic anthropologists should include a specific section

on dealing with government work. This is especially true for professionals

like human rights forensic anthropologists who may regularly find themselves

employed by the government.

Conclusion

All of the ethical codes discussed above have similarities in what they

outline. They all state that professional anthropologists, physical

anthropologists, human rights workers, forensic scientists or human rights

forensic anthropologists have a responsibility to the subject they are studying.

This responsibility includes asking for consent to do research, keeping

anonymity of subjects, and keeping in mind religious or cultural aspects that

might affect their research. Professionals have the responsibility to be honest

at all times. Also professionals, especially those within academia, have the

duty to publish and share any information they might gain. Plus there is an

expectation that this information will also be shared with the public. In

addition, maintaining objectivity is a necessity to keep research valid.

Despite all of these commonalities there are some differences. The biggest

difference is the way in which consent is expected to be handled for research.

Many of these codes are designed for researchers who will not encounter the

same problems as a human rights forensic anthropologist. The INFORCE code

was the only one that specifically addressed some of the research situations

that a human rights forensic anthropologist might encounter. Another

difference comes from expectations by the government which may be

employing a forensic anthropologist. Some codes of ethics discuss what can

be taught to groups and what is expected as an expert witness, whereas others

codes do not address these issues at all.

Clearly, there is a wide variety of ethical codes that a human rights

forensic anthropologist could refer to while doing human rights work.

However, none of them addresses all of the specific needs of a forensic

anthropologist. For example, the INFORCE code does an excellent job of

trying to reconcile situational problems for a human rights worker but does not

address professional responsibilities that a forensic anthropologist would also

have. The AAA code and AAPA codes address the professional

responsibilities but not the more in depth contextual differences. The AAFS

and EAAF codes do not explicitly explain what they believe ethical behavior

would entail, just that it should exist. Therefore, forensic anthropologists can

look to these different codes for guidance but would have to make a choice as

to which code they felt was more important. While no code can cover every

situation a professional will encounter, it is important to have the same set of

standards that professionals can use as guidelines. Thus, by taking the

commonalities and problems of the codes above, a code specifically for

human rights forensic anthropologists can be developed. This will reduce the

amount of choice allowed in ethical situations, maintaining an ethical standard

for all human rights forensic anthropologists. Thus a more specific guideline

geared more directly to forensic anthropology is necessary to maintain

consistent ethical standards throughout the field.

Chapter 3 Proposed Ethical Guideline

Introduction

As noted in the previous chapters, forensic anthropologists are in need

of an ethical code which addresses the specific circumstances they encounter.

This is especially true for those forensic anthropologists who do human rights

work. The previous chapter has demonstrated this need by reviewing existing

professional ethical standards which are applicable to forensic anthropology

and by highlighting which areas need to be addressed more explicitly. The

review of the ethical codes developed for the fields of forensic science,

anthropology, physical anthropology and human rights work indicates that

such standards of existing codes can be used to build a practical, moral and

conscientious ethical code specifically for forensic anthropologists who

undertake human rights work.

Chapter 2 pointed out several concepts which must be included when

drafting an ethical code for human rights forensic anthropology. These

concepts are: 1) responsibility to subjects (including issues of consent),

2) responsibility to the profession of anthropology and the profession of

forensic science (publishing, doing research and sharing data), and

3) responsibility to the public. Situations unique to governmental work,

treatment of human remains, and expert testimony were also indicated as

important points to address in a human rights forensic anthropology code.

Existing codes are too broad and do not specifically address issues of

consent, research and publication adequately. By combining several different

codes that were in existence it was possible to create an ethical code that

addresses these issues more directly. The following ethical code, therefore,

has been developed by incorporating the differing ethical codes of the

American Anthropological Association (AAA), the American Association of

Physical Anthologists (AAPA), the American Association of Forensic Science

(AAFS), the International Forensic Centre of Excellence for the Investigation

of Genocide (INFORCE), and the Argentine Forensic Anthropology Team

(EAAF). For reference to these specific codes please reference appendices 2.1

- 2.5. The AAA Code of Ethics, the most relevant to forensic anthropology,

was used as a model for the development of the code below. However,

specific sections were influenced by several of the other codes listed above in

sections that they were more applicable; see the endnotes after the code to see

which sections are developed from each code.

Proposed Code of Ethics and Conduct for Human Rights

Forensic Anthropologists

I. Preamble

Forensic anthropologists who participate in human rights work are part of

many different professional communities. This includes but is not limited to

anthropology, forensic science, and human rights agencies. Each profession

has a code of conduct or ethical objectives. Additionally, anthropologists have

obligations as members of a society or culture, and as members of the global

community. Any professional action or fieldwork conducted must take into

account all of these ethical responsibilities in order to maintain the highest

level of morality.

This code has been proposed in an attempt to take into account not only

ethical responsibilities but also obligations that a forensic anthropologist will

encounter as a professional. It is important to note that no ethical code can

address every situation a practicing human rights forensic anthropologist may

encounter. At some point, personal choice and experience will need to take

precedence. The purpose of this code is to encourage discussion and

education about moral principles in the field of human rights forensic

anthropology.

The principles outlined in this Code of Conduct provide tools and guidelines

for forensic anthropologists to engage, develop and maintain ethical work. A

majority of this code is applicable to all forensic cases but has been designed

for the specific type of work associated with human rights.*

II. Introduction

Human rights forensic anthropology is a multidisciplinary field that joins

together advocacy, science and scholarship. Forensic anthropology has roots

in the fields of physical anthropology, forensic sciences and human rights.

Additionally, it has ancestry in the natural sciences, social sciences and

humanities. Forensic anthropologists may take many different approaches

including applied research and scholarly interpretation.

The mission of the field of human rights forensic anthropology is to collect,

preserve and document physical evidence from a grave site; identify as many

individuals as possible so that they may be returned to their families for proper

burial; and utilize information learned to obtain justice and to educate other

individuals. Publishing, teaching, advocacy and research are all used to

generate anthropological and forensic knowledge. All of these undertakings

should be done in the most ethical manner possible.

The purpose of this Code is to provide those involved or interested in human

rights forensic anthropology with guidelines for making ethical choices in the

conduct of their work. Because forensic anthropologists can find themselves

in complex situations and subject to more than one code of ethics, this Code

of Conduct provides a framework, not an ironclad formula, for making

decisions.

Persons using this Code of Conduct as a framework for choices or teaching

are encouraged to seek out illustrative examples or case studies and engage in

discussion with colleagues and students to enrich their knowledge base. Past

experiences, laws, policies and cultural preferences used in conjunction with

this Code can also allow individuals to gain a better understanding of ethical

practices in the field of human rights forensic anthropology.

Forensic anthropologists have a duty to be informed about ethical codes which

relate to their work. Periodic training on current research and ethical issues is

highly encouraged. Also, departments that offer degrees in forensic

anthropology should include and require ethical training as a key part of their

curriculum.

No code or set of guidelines can anticipate unique circumstances or specific

situations. The individual anthropologist must be willing and able to make

carefully considered ethical choices. Anthropologists must be willing to

provide the assumptions, facts and ideas on which those choices are based.

These guidelines, therefore, only address general contexts, priorities and

relationship which should be considered in ethical decision making by human

rights forensic anthropologists.*

III. Contracting and Employment

A. Contracts

The same ethical guidelines apply to all types of human rights forensic

anthropological work. In dealing with contractors, persons hired to pursue

human rights forensic anthropology research, fieldwork or application of

knowledge should be honest about their qualifications, capabilities and aims.

It is imperative for forensic anthropologists to maintain high ethical standards

when creating and implementing a contract. This would include acting with

dignity, respect and honesty.**

Forensic anthropologists should uphold the terms of service agreed upon in

any contract. Forensic anthropologists should provide services of the highest

standard of excellence in a reasonable time period. Forensic anthropologists

should disclose and define resource constraints, whether they are personnel,

time or financial in basis. Forensic anthropologists should set a reasonable fee

consistent with those in similar fields. Human rights forensic anthropologists

represent the field of forensic anthropology and will act with professionalism

during the duration of a contract. *

B. Employment

1. Forensic anthropologist may be employed by academia, museums,

police, private companies or a government agency. Forensic anthropologists

should refrain from being employed by an organization or party which is

legally unacceptable, or conflicts with professional ethics. Prior to

employment a forensic anthropologist should ensure that the endeavor will not

require a compromise of ethical beliefs. **

2. Forensic anthropologists should be aware that certain agencies or

groups may have specific agendas which they are attempting to promote. A

forensic anthropologist should never engage with an outside party which is

attempting to explicitly undermine an ongoing police investigation or a

colleague's work.*

3. While working for a government agency it is important for forensic

anthropologists to be as apolitical as possible. This can be done by remaining

objective. Forensic anthropologists should also be aware of additional

pressures and expectations which may accompany working for a government

agency.**

IV. Fieldwork and Research

A. The Responsibility to and Treatment of Human or Animal Remains

1. Forensic anthropologists in the field have a primary ethical obligation

to the people they study and the individuals with whom they work. These

obligations can supersede the goal of acquiring new knowledge.*

2. Evidence should be collected and properly recorded during the

excavation and processing of a grave. All possible evidence should be

acquired for use against the perpetrators of the crime. Pressures to hurry

processing or time constraints should not affect the quality of work done at a

site.** The ultimate goal is to obtain justice for these individuals. This

cannot be done without the proper collection and documentation of evidence.

***

3. Survivors, families and human remains should be treated with respect.

They should be treated according to the cultural or religious beliefs of the

individual. If the identity of the individual is unknown, local customs should

be used as a guideline.***

4. Anthropological researchers must make all possible efforts to obtain

the consent of the communities or families of the deceased if they wish to

conduct research outside the scope of the project. The minimum number of

samples for scientific validity should be used at all times. Samples removed

from bodies should be returned to families for interment as quickly as

possible. Samples should not be held by scientists for more than five years

without specific permission from the families. No samples should be

destroyed, even if it is for the purpose of research without consent of the

family. If the identity of an individual is unknown, samples may be taken if it

is acceptable in local cultural and religious belief systems. These samples

must also be returned for interment no later than five years after the fieldwork

is completed. It is only through sampling that better standards and

methodologies can be created to improve identification techniques. **

5. Forensic anthropological researchers who work with animals must do

everything in their power to ensure that the research does not harm the safety,

psychological well-being, or survival of the species with which they work.*

6. Anonymity and dignity of research subjects should be upheld at all

times.* Photographic or illustrative materials should not be offensive from a

legal, political, cultural or religious point of view. As such, illustrative

material should be used only when necessary in publication, lecture or legal

proceedings. Shocking, horrific or explicit photographs or illustrations should

be used only in beneficial situations, such as a court of law, or a professional

audience.**

7. While forensic anthropologists may gain personally from their work,

they must not exploit individuals, groups, animals or cultural or biological

materials. They should recognize their debt to the societies in which they

work and their obligation to reciprocate this debt when possible.*

8. At all times research done with human or animal remains must be done

in concert with current legislation both in the United States and also any

relevant national or local rules or legislation in the area of the study.**

B. Research design

1. Forensic anthropologists should maintain as much objectivity as

possible. This is necessary to remain apolitical. Additionally, objectivity is a

necessity for maintaining scientific reliability and credibility. Objectivity is

necessary for validity in a court room setting or for validity in scientific

research.

2. Research is necessary to gain further knowledge and improved

methodologies. Research designs should be created and approved by an

Institutional Review Board before fieldwork if possible. Due to the unique

nature of human rights work, many experiments or data collection cannot be

predicted ahead of time. As such, it is important to maintain high ethical

standards in these situations. Throughout the course of an experiment or

research plan it is imperative to maintain the ethical codes relating to human

remains listed above.

C. Methodology

1. All forensic anthropologists who engage in human rights work should

be properly trained in the techniques of excavation, osteology and

documentation. Other methodologies or techniques may be needed in the

field. Forensic anthropologists should do all that they can do learn these

techniques and methods prior to engaging in field work. Also forensic

anthropologists should admit any shortcomings in their training while on site.

This is not to exclude forensic anthropologists from certain tasks, but to

ensure that the proper training will be obtained and the investigation will not

be compromised as a result.

2. Forensic anthropologists are responsible for keeping up-to-date with

developments in the field and/or lab techniques. **

3. Any new developments, adoptions of protocol or standard operation

procedures should be shared with other professionals in the field, so that the

field as a whole can advance. **

4. Methodologies should be used according to their designed and proven

purpose in research and fieldwork. This helps to maintain the validity of any

findings.**

D. Expert Witness

1. Human rights forensic anthropologists should anticipate that they will

be called as expert witnesses.

2. While acting as an expert witness forensic anthropologists should offer

only those opinions that are based on their area of specialty. They should state

the limitations of methodologies and the evidence. Language, terminology

and results should be presented by a forensic anthropologist in a manner that

can be understood by the court. All findings should be disclosed regardless of

the implications of doing so. Honesty about the material presented is more

important than the decision of the court.**

V. Professionalism

1. Forensic anthropologists should recognize that they represent the fields

of anthropology, forensic science and human rights. They should act in a

manner that they feel would accurately and professionally represent these

fields.

2. Forensic anthropologists are responsible for the integrity and

reputation of their discipline, of scholarship and of science. Thus

anthropological researchers are subject to the general moral rules of scientific

and scholarly conduct: they should not deceive or knowingly misrepresent

(i.e. fabricate evidence, falsify data or plagiarize), or attempt to prevent

reporting of misconduct, or obstruct the scientific/scholarly research of

others.*

3. Anthropological researchers should do all that they can to preserve

opportunities for future fieldworkers to follow them into the field. *

Additionally, they should be willing to train and teach those interested in

joining the discipline.***

4. Anthropological researchers should seriously consider all reasonable

requests for access to their data and other research materials for purposes of

the research of others. They should also make every effort to ensure the

preservation of their fieldwork data for use by posterity and courts of law.*

VI. Publishing

1. Anthropological researchers should utilize their work in an appropriate

fashion, and whenever possible share their findings with the scientific and

scholarly field. While the subject of human rights has been viewed as taboo

in the past, the only way to change this is to educate, publish findings and

address issues in human rights.

2. Discussing ongoing cases that are in legal processes is acceptable if

the victims' identities, specifics of the case and perpetrators are kept

anonymous. Publishing prior to the completion of a trial is more acceptable in

cases of war crime tribunals which may take years to complete. However, if it

is a case which will be completed within a short period of time, it is

customary to wait until the court's decision has been made. Anonymity of

victims should be maintained at all times, unless permission is given by the

families. Work done and findings discovered can be discussed, shared and

published as long as no gag orders exist for that given case.*

VII. Responsibilities to the Public

1. Forensic anthropological researchers should make the results of their

research appropriately available to sponsors, students, decision makers, and

other non-anthropologists. In so doing, they must be truthful; they are not only

responsible for the factual content of their statements but also must consider

carefully the social and political implications of the information they

disseminate. They must do everything in their power to ensure that such

information is well understood, properly contextualized, and responsibly

utilized. They should make clear the empirical bases upon which their reports

stand, be candid about their qualifications and philosophical or political

biases, and recognize and make clear the limits of forensic anthropological

expertise. At the same time, they must be alert to the possible harm that their

information may cause people with whom they work.

2. Forensic anthropologists are encouraged to move beyond

disseminating research results to a position of advocacy. However, this is an

individual decision, not an ethical responsibility. *

VIII. Teaching Responsibilities

While adhering to ethical and legal codes governing relations between

teachers/mentors and students/trainees at their educational institutions or as

members of wider organizations, forensic anthropological teachers should be

particularly sensitive to the ways such codes apply in their discipline (for

example, when teaching involves close contact with students/trainees in field

situations). Among the widely recognized precepts which forensic

anthropological teachers, like other teachers/mentors, should follow are:

1. Teachers/mentors should conduct their programs in ways that preclude

discrimination on the basis of sex, marital status, "race", social class, political

convictions, disability, religion, ethnic background, national origin, sexual

orientation, age, or other criteria irrelevant to academic performance.

2. Teachers’/mentors' duties include continually striving to improve their

teaching/training techniques; being available and responsive to student/trainee

interests; counseling students/ trainees realistically regarding career

opportunities; conscientiously supervising, encouraging, and supporting

students’/trainees' studies; being fair, prompt, and reliable in communicating

evaluations; assisting students/trainees in securing research support; and

helping students/trainees when they seek professional placement.

3. Teachers/mentors should impress upon students/trainees the ethical

challenges involved in every phase of human rights forensic anthropological

work; encourage them to reflect upon this and other codes; encourage

dialogue with colleagues on ethical issues; and discourage participation in

ethically questionable projects.

4. Teachers/mentors should publicly acknowledge student/trainee

assistance in research and preparation of their work; give appropriate credit

for coauthorship to students/trainees; encourage publication of worthy

student/trainee papers; and compensate students/trainees justly for their

participation in all professional activities.

5. Teachers/mentors should beware of the exploitation and serious

conflicts of interest which may result if they engage in sexual relations with

students/trainees. They must avoid sexual liaisons with students/trainees for

whose education and professional training they are in any way responsible.*

IX. Epilogue

Forensic anthropological research, teaching, and fieldwork poses choices

which forensic anthropologists individually and collectively bear ethical

responsibility. Since human rights forensic anthropologists are members of a

variety of groups and subject to a variety of ethical codes, choices must

sometimes be made not only between the varied obligations presented in this

Code of Conduct but also between those of this Code and those incurred in

other statutes or roles. This statement does not dictate choice or promote

sanctions. Rather it is designed to promote discussion and provide general

guidelines for the ethical responsible.*

* Denotes sections modeled after the AAA Code of Ethics

** Denotes sections modeled after the INFORCE Code of Conduct and

Ethical Guidance

*** Denotes sections modeled after the EAAF Six Ethical Objectives

Discussion of Proposed Code

The Code proposed above for human rights forensic anthropologists

has been designed by combining the different aspects of professional

expectations discussed during Chapter 2. It addressed some of the more

specific situations that forensic anthropologists may experience. General

guidelines for research, professionalism, treatments of subjects, expert

testimony and responsibility to the public are presented in an attempt to

reconcile the differences in professional codes that are already in existence.

The Preamble of the Proposed Code of Ethics and Conduct was

designed to state the purpose of developing a code of conduct for human

rights forensic anthropology. The main purpose of this code is to encourage

discussion about ethics in human rights forensic anthropology. There are

many different ideas outlined in the sections that follow after the preamble.

These ideas are by no means perfect or the only ethical view. By stating these

ideas explicitly human rights forensic anthropology will have these ideas to

discuss and amend as the field sees fit.

The Preamble also notes that this code was developed solely for

human rights forensic anthropology. In spite of this many sections apply to

the field of forensic anthropology at large. A discourse between these areas

about ethical objectives would aid in strengthening an ethical code in either

field.

The Introduction addressed another purpose of this code. The purpose

of providing ethical guidelines that all individuals within the field can use is

stated. This portion of the code was developed to demonstrate the need and

uses of a code of conduct.

The Introduction of the proposed code outlined the mission of human

rights forensic anthropology. Doretti and Snow outlined similar objectives in

their human rights work. Gaining forensic knowledge, collecting, preserving

and documenting evidence and identifying individuals are goals of human

rights forensic anthropologists. The most important purpose of these is to

utilize the information learned to obtain justice.

The next section of the Proposed Code of Ethics and Conduct outlines

expectations for behavior during contracts or other types of employment. The

most important part is in Section III. B. 3. It directly outlines specific

expectations for government work. It emphasizes the importance of remaining

apolitical and objective. This section also reminds forensic anthropologists

that there are added political pressures while being employed by the

government and to plan accordingly. This portion of the Proposed Code was

designed to address the problems and complications from working for a

government that arose during the discussion in Chapter 2.

The Fieldwork and Research portion of this Proposed Code is likely to

be the most controversial. Debates about ethics in forensic anthropology in

the past have focused on what is allowable research. These debates have

continued without any type of reconciliation about what is ethical in the field.

What has been outlined above was designed to continue this dialogue and to

attempt to find a middle ground that would allow for research with moral

expectations.

The first section under Fieldwork and Research is the Responsibility to

the Treatment of Human and Animal Remains. This was indented to

specifically focus on the unique nature of human rights work. It was

developed to fill the void in this area in the AAA and AAPA codes. The

Responsibility to Human and Animal Remains section reiterates that a human

rights forensic anthropologist’s primary obligation is always to the

individual(s) being studied. There is an acknowledgement that these

individuals should be returned to their families as soon as the proper evidence

is collected from these bodies.

Section IV. A. 4 was designed to specifically speak to the more recent

debates in forensic anthropology about sampling. Keeping samples to develop

new standards has been a common practice in physical and forensic

anthropology. When the individual’s identity is unknown these remains have

often been used as forensic anthropologist have seen fit. This section tries to

place a time limit on research with these types of remains. This will allow for

information to be gathered for new and improved methodologies. This also

keeps in mind that the victim has a right to burial. The five year limit was

proposed to allow time for research and returning remains in a timely fashion.

This section is likely to be contested, but discussion and consensus on this

topic is needed in human rights forensic anthropology. Research design is

discussed in Section IV. B.. This section acknowledges that not all research

conditions can be predicted ahead of time. Whenever possible research

designs should be created in advanced and reviewed by peers and/or a board

to assure the utmost ethical conduct will occur during research.

The methodology section of the Proposed Code of Ethics and Conduct

was designed to encourage forensic anthropologists to obtain proper training

prior to engaging in any work. This includes any new methods or protocols

that have recently been designed. This was developed to aid in the validity of

any evidence collected and also to encourage forensic anthropologists to keep

up to date with new developments in the field.

The last section of Fieldwork and Research is aimed at professional

behavior as an expert witness. This section draws from INFORCE protocol

and AAA ideas about falsifying data. This section reminds human rights

forensic anthropologists that it is likely they will be called as an expert witness

during their career. It also reiterates that it is important to interpret data in a

way that a court can understand. This section was designed to closely tie into

the primary mission of forensic anthropology, which is obtaining justice for

the victims.

Professionalism is addressed in the next major section of the Proposed

Code of Ethics and Conduct. This section encourages human rights forensic

anthropologists to share data and train others who are interested in joining the

field. This section is lacking a distinct definition of what professional

behavior entails. As the field of human rights forensic anthropology develops

further a more distinct definition can be created. At this time human rights

forensic anthropologists are not always engaged in similar situations or jobs in

the field. As the field matures it is likely that the description of the profession

will be narrowed to a point that professional behavior can be more specifically

addressed. This section is currently included to remind human rights forensic

anthropologists that they represent their field and to act in a manner they

believe positively reflects upon this.

The next section speaks to the responsibility of publishing materials.

In Chapter 2 it was discovered that there is a lot of pressure on

anthropologists, especially those in academia to publish materials about their

research or experiences. Chapter 2 demonstrated that there is a catch 22 with

publishing because the human rights are a taboo subject and the rights of the

individuals should trump any personal gain from information gathered. This

section reiterates that it is important to publish information because it will aid

in dismantling human rights as a taboo subject. The sharing of material and

information to others in the field is important for the advancement of methods,

theory and the field as a whole. The anonymity of victims and protection of

their rights is reinforced here by Section VI. 2.

Chapter 2 demonstrated that forensic anthropologists have the same

responsibilities to teaching others and sharing information with the public.

The Responsibilities to the Public and Teaching Responsibilities are taken

almost word for word from the AAA Code of Ethics. This was done because

the responsibilities for AAA and forensic anthropologists in these two areas

were the same. There was no need to reinvent a statement that has already

been accepted and indorsed by the anthropological community. The

Epilogue was designed to demonstrate that while an ethical code is a

wonderful guideline to professional behavior it cannot account for every

situation practicing human rights forensic anthropologists may encounter.

Therefore personal choice and experience will play a role in how individuals

interrupt and use an ethical guideline. The Epilogue states that those who do

not follow this Proposed Code are not going to be actively pursued or

sanctioned since the code is merely a guideline.

Chapter 4 Conclusions

Forensic anthropology is a field that has only begun to emerge over

the past thirty years. Forensic anthropologists take methods developed in

physical anthropology and forensic science and apply them in order to identify

missing persons and detect crime. The collection of evidence is done with the

intent of using it to obtain justice against the perpetrator of any crimes which

may have been committed.

Human rights forensic anthropology is the specific application of

forensic anthropology to cases where mass killing or genocide has occurred.

Human rights forensic anthropology differs from forensic anthropology

because of the scale of the work and the characteristics of the perpetrators of

the crimes. Forensic anthropologists who engage in human rights work are

employed by governments to discover specific evidence to be used in a war

crime tribunal.

Forensic anthropology does not have an ethical code that has been

developed specifically for the type of work that professional forensic

anthropologists engage in. Human rights forensic anthropology also does not

have an ethical code. Currently forensic anthropologists look to codes in other

fields such as forensic science or anthropology to direct their actions.

An ethical code is needed for human rights forensic anthropology

because ethical codes in other fields may give conflicting opinions. None of

them specifically address the situations which a forensic anthropologist is

likely to come across. By having an ethical code all professionals will have

the same guidelines to steer their ethical behavior.

The American Anthropological Association (AAA), American

Association of Physical Anthropologists (AAPA) and American Academy of

Forensic Science also have ethical codes developed for these fields. These

codes are applicable to forensic anthropology because they reiterate the

importance of honesty and professionalism. The AAA and AAPA codes focus

of responsibilities to subjects, the public, teaching, publishing and the

profession. These codes reflect the expectations of anthropologists, which

includes forensic anthropologists. These different codes do not specifically

address expert testimony, responsibility to human remains and publishing on a

sensitive subject.

The ethical codes developed by the International Forensic Centre of

Excellence for the Investigation of Genocide (INFORCE) and the Argentine

Forensic Anthropology Team (EAAF) are aimed more at human rights work.

These codes focus on the responsibility to remains and expert testimony but

do not address professional expectations. The EAAF code is lacking

descriptions of what ethical behavior entails. Their code is much more similar

to a list of objectives. The INFORCE code is designed for individuals in a

variety of fields, not only or specifically forensic anthropology.

The Code of Conduct presented in this paper is designed with the

distinct purpose of providing solutions to questions that might arise in human

rights forensic anthropology. The code developed attempts to reconcile any

differing opinions that are given by other ethical codes discussed in Chapter 2

and the paragraphs above. The Proposed Code of Ethics and Conduct was

developed from combining aspects of the AAA, AAPA, AAFS, INFORCE and

EAAF codes. Other material was added as needed. The main focuses of the

proposed code was on the responsibilities that human rights forensic

anthropologists have to their profession, their subjects, the public, to human

remains and as expert witnesses.

While this Proposed Code clearly addresses several of the issues that

arose in previous chapters, it is by no means perfect. No ethical code can

accommodate every situation. Instead this Code of Conduct attempts to give

general guidelines that should be followed for ethical behavior.

Additionally, each forensic anthropologist is allowed to interpret the Code of

Conduct in the way they see fit. These conditions are a reflection of

shortcomings in all ethical codes that exist. The conditions may be

shortcomings because individuals still have the right to make choices about

ethical behavior and no ethical code will force them to make the moral choice.

The purpose of this Proposed Code of Ethics and Conduct was to encourage

discussion of ethics in the field of human rights forensic anthropology. Such

discourse can be useful in adopting an ethical code specifically for human

rights forensic anthropology. This Proposed Code allows for all forensic

anthropologists, especially those doing human rights work, to have a starting

point for an ethical code. It allows for forensic anthropologists to have the

same set of ethical guidelines to look to, instead of potentially contradicting

guidelines from a variety of different fields. Additionally, because this Code

of Conduct was developed specifically for human rights forensic anthropology

work, it more directly addresses issues that have arisen in that area. This

Proposed Code of Ethics and Conduct is practical in application allowing for

individuals to do research and publication despite the sensitivity of their

material. Finally, and most importantly, this will aid in instigating ethical

discussions within the field of forensic anthropology about a Code of

Conduct, with the goal of having a code adopted by this profession.

Appendix 1.1

Convention on the Prevention and Punishment of the Crime of Genocide

Declared on: December 9, 1948

The Contracting Parties,

Having considered the declaration made by the General Assembly of the

United Nations in its resolution 96 (I) dated 11 December 1946 that genocide

is a crime under international law, contrary to the spirit and aims of the United

Nations and condemned by the civilized world,

Recognizing that at all periods of history genocide has inflicted great losses on

humanity, and

Being convinced that, in order to liberate mankind from such an odious

scourge, international co-operation is required, Hereby agree as

hereinafter provided:

Article 1

The Contracting Parties confirm that genocide, whether committed in time of

peace or in time of war, is a crime under international law which they

undertake to prevent and to punish.

Article 2

In the present Convention, genocide means any of the following acts

committed with intent to destroy, in whole or in part, a national, ethnical,

racial or religious group, as such:

(a) Killing members of the group;

(b) Causing serious bodily or mental harm to members of the group;

about its physical destruction in whole or in part;

(d) Imposing measures intended to prevent births within the group; (e)

Forcibly transferring children of the group to another group.

Article 3

The following acts shall be punishable:

(a) Genocide;

(b) Conspiracy to commit genocide;

(d ) Attempt to commit genocide; (e)

Complicity in genocide.

Article 4

A certified copy of the Convention shall be transmitted to each Member of the

United Nations and to each of the non-member States contemplated in article

XI. private individuals.

Article 5

The Contracting Parties undertake to enact, in accordance with their respective

Constitutions, the necessary legislation to give effect to the provisions of the

present Convention, and, in particular, to provide effective penalties for

persons guilty of genocide or any of the other acts enumerated in article III.

Article 6

Persons charged with genocide or any of the other acts enumerated in article

III shall be tried by a competent tribunal of the State in the territory of which

the act was committed, or by such international penal tribunal as may have

jurisdiction with respect to those Contracting Parties which shall have

accepted its jurisdiction.

Article 7

Genocide and the other acts enumerated in article III shall not be considered

as political crimes for the purpose of extradition.

The Contracting Parties pledge themselves in such cases to grant extradition in

accordance with their laws and treaties in force.

Article 8

Any Contracting Party may call upon the competent organs of the United

Nations to take such action under the Charter of the United Nations as they

consider appropriate for the prevention and suppression of acts of genocide or

any of the other acts enumerated in article III.

Article 9

Disputes between the Contracting Parties relating to the interpretation,

application or fulfillment of the present Convention, including those relating

to the responsibility of a State for genocide or for any of the other acts

enumerated in article III, shall be submitted to the International Court of

Justice at the request of any of the parties to the dispute.

Article 10

The present Convention, of which the Chinese, English, French, Russian and

Spanish texts are equally authentic, shall bear the date of 9 December 1948.

Article 11

The present Convention shall be open until 31 December 1949 for signature

on behalf of any Member of the United Nations and of any nonmember State

to which an invitation to sign has been addressed by the General Assembly.

The present Convention shall be ratified, and the instruments of ratification

shall be deposited with the Secretary-General of the United Nations.

After 1 January 1950, the present Convention may be acceded to on behalf of

any Member of the United Nations and of any non-member State which has

received an invitation as aforesaid. Instruments of accession shall be deposited

with the Secretary-General of the United Nations.

Article 12

Any Contracting Party may at any time, by notification addressed to the

Secretary-General of the United Nations, extend the application of the present

Convention to all or any of the territories for the conduct of whose foreign

relations that Contracting Party is responsible.

Article 13

On the day when the first twenty instruments of ratification or accession have

been deposited, the Secretary-General shall draw up a process-verbal and

transmit a copy thereof to each Member of the United Nations and to each of

the non-member States contemplated in article 11.

The present Convention shall come into force on the ninetieth day following

the date of deposit of the twentieth instrument of ratification or accession.

Any ratification or accession effected, subsequent to the latter date shall

become effective on the ninetieth day following the deposit of the instrument

of ratification or accession.

Article 14

The present Convention shall remain in effect for a period of ten years as from

the

Persons committing genocide or any of the other acts enumerated in article III

shall be punished, whether they are constitutionally responsible rulers, public

officials or date of its coming into force.

It shall thereafter remain in force for successive periods of five years for such

Contracting Parties as have not denounced it at least six months before the

expiration of the current period.

Denunciation shall be effected by a written notification addressed to the

Secretary-General of the United Nations.

Article 15

If, as a result of denunciations, the number of Parties to the present

Convention should become less than sixteen, the Convention shall cease to be

in force as from the date on which the last of these denunciations shall become

effective. Article 16

A request for the revision of the present Convention may be made at any time

by any Contracting Party by means of a notification in writing addressed to

the Secretary-General.

The General Assembly shall decide upon the steps, if any, to be taken in

respect of such request.

Article 17

The Secretary-General of the United Nations shall notify all Members of the

United Nations and the non-member States contemplated in article XI of the

following:

(a) Signatures, ratifications and accessions received in accordance with article

11;

(b) Notifications received in accordance with article 12;

accordance with article 13;

(d) Denunciations received in accordance with article 14;

(e) The abrogation of the Convention in accordance with article 15; (f)

Notifications received in accordance with article 16.

Article 18

The original of the present Convention shall be deposited in the archives of

the United Nations.

Article 19

The present Convention shall be registered by the Secretary-General of the

United Nations on the date of its coming into force.

Appendix 2.1 American Anthropological Association (AAA) Code

of Ethics Updated: 1998

I. Preamble

Anthropological researchers, teachers and practitioners are members of many

different communities, each with its own moral rules or codes of ethics.

Anthropologists have moral obligations as members of other groups, such as

the family, religion, and community, as well as the profession. They also have

obligations to the scholarly discipline, to the wider society and culture, and to

the human species, other species, and the environment. Furthermore,

fieldworkers may develop close relationships with persons or animals with

whom they work, generating an additional level of ethical considerations

In a field of such complex involvements and obligations, it is inevitable that

misunderstandings, conflicts, and the need to make choices among apparently

incompatible values will arise. Anthropologists are responsible for grappling

with such difficulties and struggling to resolve them in ways compatible with

the principles stated here. The purpose of this Code is to foster discussion and

education. The American Anthropological Association (AAA) does not

adjudicate claims for unethical behavior.

The principles and guidelines in this Code provide the anthropologist with

tools to engage in developing and maintaining an ethical framework for all

anthropological work.

II. Introduction

Anthropology is a multidisciplinary field of science and scholarship, which

includes the study of all aspects of humankind--archaeological, biological,

linguistic and sociocultural. Anthropology has roots in the natural and social

sciences and in the humanities, ranging in approach from basic to applied

research and to scholarly interpretation.

As the principal organization representing the breadth of anthropology, the

American Anthropological Association (AAA) starts from the position that

generating and appropriately utilizing knowledge (i.e., publishing, teaching,

developing programs, and informing policy) of the peoples of the world, past

and present, is a worthy goal; that the generation of anthropological

knowledge is a dynamic process using many different and ever-evolving

approaches; and that for moral and practical reasons, the generation and

utilization of knowledge should be achieved in an ethical manner.

The mission of American Anthropological Association is to advance all

aspects of anthropological research and to foster dissemination of

anthropological knowledge through publications, teaching, public education,

and application. An important part of that mission is to help educate AAA

members about ethical obligations and challenges involved in the generation,

dissemination, and utilization of anthropological knowledge.

The purpose of this Code is to provide AAA members and other interested

persons with guidelines for making ethical choices in the conduct of their

anthropological work. Because anthropologists can find themselves in

complex situations and subject to more than one code of ethics, the AAA Code

of Ethics provides a framework, not an ironclad formula, for making

decisions.

Persons using the Code as a guideline for making ethical choices or for

teaching are encouraged to seek out illustrative examples and appropriate case

studies to enrich their knowledge base.

Anthropologists have a duty to be informed about ethical codes relating to

their work, and ought periodically to receive training on current research

activities and ethical issues. In addition, departments offering anthropology

degrees should include and require ethical training in their curriculums.

No code or set of guidelines can anticipate unique circumstances or direct

actions in specific situations. The individual anthropologist must be willing to

make carefully considered ethical choices and be prepared to make clear the

assumptions, facts and issues on which those choices are based. These

guidelines therefore address general contexts, priorities and relationships

which should be considered in ethical decision making in anthropological

work.

III. Research

In both proposing and carrying out research, anthropological researchers must

be open about the purpose(s), potential impacts, and source(s) of support for

research projects with funders, colleagues, persons studied or providing

information, and with relevant parties affected by the research. Researchers

must expect to utilize the results of their work in an appropriate fashion and

disseminate the results through appropriate and timely activities. Research

fulfilling these expectations is ethical, regardless of the source of funding

(public or private) or purpose (i.e., "applied," "basic," "pure," or

"proprietary").

Anthropological researchers should be alert to the danger of compromising

anthropological ethics as a condition to engage in research, yet also be alert to

proper demands of good citizenship or host-guest relations. Active

contribution and leadership in seeking to shape public or private sector actions

and policies may be as ethically justifiable as inaction, detachment, or

noncooperation, depending on circumstances. Similar principles hold for

anthropological researchers employed or otherwise affiliated with

nonanthropological institutions, public institutions, or private enterprises.

A. Responsibility to people and animals with whom anthropological

researchers work and whose lives and cultures they study.

1. Anthropological researchers have primary ethical obligations to the

people, species, and materials they study and to the people with whom they

work. These obligations can supersede the goal of seeking new knowledge,

and can lead to decisions not to undertake or to discontinue a research project

when the primary obligation conflicts with other responsibilities, such as

those owed to sponsors or clients. These ethical obligations include:

• To avoid harm or wrong, understanding that the development of

knowledge can lead to change which may be positive or negative for

the people or animals worked with or studied

• To respect the well-being of humans and nonhuman primates

• To work for the long-term conservation of the archaeological, fossil,

and historical records

• To consult actively with the affected individuals or group(s), with the

goal of establishing a working relationship that can be beneficial to all

parties involved

2. Anthropological researchers must do everything in their power to

ensure that their research does not harm the safety, dignity, or privacy of the

people with whom they work, conduct research, or perform other professional

activities. Anthropological researchers working with animals must do

everything in their power to ensure that the research does not harm the safety,

psychological well-being or survival of the animals or species with which

they work.

3. Anthropological researchers must determine in advance whether their

hosts/providers of information wish to remain anonymous or receive

recognition, and make every effort to comply with those wishes. Researchers

must present to their research participants the possible impacts of the choices,

and make clear that despite their best efforts, anonymity may be compromised

or recognition fail to materialize.

4. Anthropological researchers should obtain in advance the informed

consent of persons being studied, providing information, owning or

controlling access to material being studied, or otherwise identified as having

interests which might be impacted by the research. It is understood that the

degree and breadth of informed consent required will depend on the nature of

the project and may be affected by requirements of other codes, laws, and

ethics of the country or community in which the research is pursued. Further,

it is understood that the informed consent process is dynamic and continuous;

the process should be initiated in the project design and continue through

implementation by way of dialogue and negotiation with those studied.

Researchers are responsible for identifying and complying with the various

informed consent codes, laws and regulations affecting their projects.

Informed consent, for the purposes of this code, does not necessarily imply or

require a particular written or signed form. It is the quality of the consent, not

the format, that is relevant.

5. Anthropological researchers who have developed close and enduring

relationships (i.e., covenantal relationships) with either individual persons

providing information or with hosts must adhere to the obligations of

openness and informed consent, while carefully and respectfully negotiating

the limits of the relationship.

6. While anthropologists may gain personally from their work, they must

not exploit individuals, groups, animals, or cultural or biological materials.

They should recognize their debt to the societies in which they work and their

obligation to reciprocate with people studied in appropriate ways.

B. Responsibility to scholarship and science

1. Anthropological researchers must expect to encounter ethical

dilemmas at every stage of their work, and must make good-faith efforts to

identify potential ethical claims and conflicts in advance when preparing

proposals and as projects proceed. A section raising and responding to

potential ethical issues should be part of every research proposal.

2. Anthropological researchers bear responsibility for the integrity and

reputation of their discipline, of scholarship, and of science. Thus,

anthropological researchers are subject to the general moral rules of scientific

and scholarly conduct: they should not deceive or knowingly misrepresent

(i.e., fabricate evidence, falsify, plagiarize), or attempt to prevent reporting of

misconduct, or obstruct the scientific/scholarly research of others.

3. Anthropological researchers should do all they can to preserve

opportunities for future fieldworkers to follow them to the field.

4. Anthropological researchers should utilize the results of their work in

an appropriate fashion, and whenever possible disseminate their findings to

the scientific and scholarly community.

5. Anthropological researchers should seriously consider all reasonable

requests for access to their data and other research materials for purposes of

research. They should also make every effort to insure preservation of their

fieldwork data for use by posterity.

C. Responsibility to the public

1. Anthropological researchers should make the results of their research

appropriately available to sponsors, students, decision makers, and other

nonanthropologists. In so doing, they must be truthful; they are not only

responsible for the factual content of their statements but also must consider

carefully the social and political implications of the information they

disseminate. They must do everything in their power to insure that such

information is well understood, properly contextualized, and responsibly

utilized. They should make clear the empirical bases upon which their reports

stand, be candid about their qualifications and philosophical or political

biases, and recognize and make clear the limits of anthropological expertise.

At the same time, they must be alert to possible harm their information may

cause people with whom they work or colleagues.

2. Anthropologists may choose to move beyond disseminating research

results to a position of advocacy. This is an individual decision, but not an

ethical responsibility.

IV. Teaching

Responsibility to students and trainees

While adhering to ethical and legal codes governing relations between

teachers/mentors and students/trainees at their educational institutions or as

members of wider organizations, anthropological teachers should be

particularly sensitive to the ways such codes apply in their discipline (for

example, when teaching involves close contact with students/trainees in field

situations). Among the widely recognized precepts which anthropological

teachers, like other teachers/mentors, should follow are:

1. Teachers/mentors should conduct their programs in ways that preclude

discrimination on the basis of sex, marital status, "race," social class, political

convictions, disability, religion, ethnic background, national origin, sexual

orientation, age, or other criteria irrelevant to academic performance.

2. Teachers'/mentors' duties include continually striving to improve their

teaching/training techniques; being available and responsive to student/trainee

interests; counseling students/ trainees realistically regarding career

opportunities; conscientiously supervising, encouraging, and supporting

students'/trainees' studies; being fair, prompt, and reliable in communicating

evaluations; assisting students/trainees in securing research support; and

helping students/trainees when they seek professional placement.

3. Teachers/mentors should impress upon students/trainees the ethical

challenges involved in every phase of anthropological work; encourage them

to reflect upon this and other codes; encourage dialogue with colleagues on

ethical issues; and discourage participation in ethically questionable projects.

4. Teachers/mentors should publicly acknowledge student/trainee

assistance in research and preparation of their work; give appropriate credit

for coauthorship to students/trainees; encourage publication of worthy

student/trainee papers; and compensate students/trainees justly for their

participation in all professional activities.

5. Teachers/mentors should beware of the exploitation and serious

conflicts of interest which may result if they engage in sexual relations with

students/trainees. They must avoid sexual liaisons with students/trainees for

whose education and professional training they are in any way responsible. V.

Application

1. The same ethical guidelines apply to all anthropological work. That is,

in both proposing and carrying out research, anthropologists must be open

with funders, colleagues, persons studied or providing information, and

relevant parties affected by the work about the purpose(s), potential impacts,

and source(s) of support for the work. Applied anthropologists must intend

and expect to utilize the results of their work appropriately (i.e., publication,

teaching, program and policy development) within a reasonable time. In

situations in which anthropological knowledge is applied, anthropologists

bear the same responsibility to be open and candid about their skills and

intentions, and monitor the effects of their work on all persons affected.

Anthropologists may be involved in many types of work, frequently affecting

individuals and groups with diverse and sometimes conflicting interests. The

individual anthropologist must make carefully considered ethical choices and

be prepared to make clear the assumptions, facts and issues on which those

choices are based.

2. In all dealings with employers, persons hired to pursue anthropological

research or apply anthropological knowledge should be honest about their

qualifications, capabilities, and aims. Prior to making any professional

commitments, they must review the purposes of prospective employers,

taking into consideration the employer's past activities and future goals. In

working for governmental agencies or private businesses, they should be

especially careful not to promise or imply acceptance of conditions contrary

to professional ethics or competing commitments.

3. Applied anthropologists, as any anthropologist, should be alert to the

danger of compromising anthropological ethics as a condition for engaging in

research or practice. They should also be alert to proper demands of

hospitality, good citizenship and guest status. Proactive contribution and

leadership in shaping public or private sector actions and policies may be as

ethically justifiable as inaction, detachment, or noncooperation, depending on

circumstances.

VI. Epilogue

Anthropological research, teaching, and application, like any human actions,

pose choices for which anthropologists individually and collectively bear

ethical responsibility. Since anthropologists are members of a variety of

groups and subject to a variety of ethical codes, choices must sometimes be

made not only between the varied obligations presented in this code but also

between those of this code and those incurred in other statuses or roles. This

statement does not dictate choice or propose sanctions. Rather, it is designed

to promote discussion and provide general guidelines for ethically responsible.

(AAA, 1998)

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