Code of Ethics
of the American Association
of Physical Anthropologists
(Approved by the AAPA Membership
at the annual business meeting on April 25, 2003)
I. Preamble
Physical anthropologists are part of the
anthropology community and members of many other different communities each
with its own moral rules or codes of ethics.
Physical anthropologists have obligations to their scholarly discipline,
the wider society, and the environment.
Furthermore, field workers may develop close relationships with the people with whom they work, generating an additional level
of ethical considerations.
In a field of such complex involvement and
obligations, it is inevitable that misunderstanding, conflicts, and the need to
make choices among apparently incompatible values will arise. Physical 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 Association of Physical
Anthropologists (AAPA) does not adjudicate claims of unethical behavior.
The principles and guidelines in this Code provide
physical anthropologists with the tools to engage in developing and maintaining
an ethical framework, as they engage in their work. This Code is based on the Code developed and
approved by the American Anthropological Association (AAA). The AAPA has the permission of the AAA to use
and modify the AAA Code as needed. In
sections III, IV, V, VI, VII, and VIII anthropology or anthropologists refers
to physical anthropology or physical anthropologists.
II. Introduction
Physical anthropology is a multidisciplinary field
of science and scholarship, which includes the study of biological aspects of
humankind and nonhuman primates.
Physical anthropology has roots in the natural and social sciences,
ranging in approach from basic to applied research and to scholarly
interpretation. The purpose of the AAPA is the advancement of the science of
physical anthropology. The Code holds
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 general 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 purpose of this Code is to provide AAPA
members and other interested persons with guidelines for making ethical choices
in the conduct of their physical anthropological work. Because physical anthropologists can find
themselves in complex situations and subject to more than one code of ethics,
the AAPA Code of Ethics provides a framework, not an ironclad formula, for
making decisions.
Physical anthropologists have a duty to be
informed about ethical codes relating to their work and ought periodically to
receive training on 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 required in any specific situation. The individual physical 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 that should be considered in ethical
decision making in physical 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 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
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.
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
ensure 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 decisions.
VII. Acknowledgments
The AAA Code was drafted by the Commission to
Review the AAA Statements on Ethics during the period January 1995-March 1997
and modifed by the AAPA Committee on Ethics. The AAA
Commission members were James Peacock (Chair), Carolyn Fluehr-Lobban,
Barbara Frankel, Kathleen Gibson, Janet Levy, and Murray Wax. In addition, the
following individuals participated in the AAA Commission meetings: philosopher
Bernard Gert, anthropologists Cathleen Crain, Shirley
Fiske, David Frayer, Felix Moos, Yolanda Moses, and Niel Tashima; and members of the
American Sociological Association Committee on Ethics. The AAA Commission
gratefully acknowledge the use of some language from
the codes of ethics of the National Association for the Practice of
Anthropology and the Society for American Archaeology.
The AAPA committee members were Linda D. Wolfe
(chair), Alan Swedlund, Trudy Turner, Phillip Walker, and Mark Weiss.
VIII. Other Relevant Codes of Ethics
The following list of other Codes of Ethics may be
useful to anthropological researchers, teachers and practitioners:
Animal Behavior Society
1991 Guidelines for the
Use of Animals in Research. Animal Behavior 41:183-186.
American Board of Forensic Examiners
n.d. Code of Ethical Conduct.
(American Board of Forensic Examiners, 300 South Jefferson
Avenue, Suite 411, Springfield, MO 65806).
Archaeological Institute of America
1991 Code of Ethics. American Journal of
Archaeology 95:285.
1994 Code of Professional
Standards. (Archaeological Institute of America, 675
Commonwealth Ave, Boston, MA 02215-1401. Supplements and expands but
does not replace the earlier Code of Ethics).
National Academy of Sciences
1995 On Being a Scientist: Responsible Conduct in
Research. 2nd edition. Washington, D.C.: National
Academy Press (2121 Constitution Avenue, NW, Washington, D.C. 20418).
National Association for the Practice of
Anthropology
1988 Ethical Guidelines
for Practitioners.
Sigma Xi
1992 Sigma Xi Statement on
the Use of Animals in Research. American Scientist 80:73-76.
Society for American Archaeology
1996 Principles of
Archaeological Ethics. (Society for American Archaeology, 900 Second
Street, NE, Suite 12, Washington, D.C. 20002-3557).
Society for Applied Anthropology
1983 Professional and
Ethical Responsibilities. (Revised 1983).
Society of Professional Archaeologists
1976 Code of Ethics,
Standards of Research Performance and Institutional Standards. (Society of Professional
Archaeologists, PO Box 60911, Oklahoma City, OK 73146-0911).
United Nations
1948 Universal Declaration
of Human Rights.
1983 United Nations Convention on the Elimination
of All Forms of
Discrimination Against
Women.
1987 United Nations
Convention on the Rights of the Child.
Forthcoming United Nations
Declaration on Rights of Indigenous Peoples.