Archaeological ethics
Discuss an archaeologists ethical responsibilities
Ruiha Webster, 23 February 2005
Introduction
"Ethics represent guidelines that help a specialised profession operate in a complex and changing world." (Lynott 2003, p.17)
Ethics are seen as a set of standards that guide actions or social norms of behaviour. They are intended to give a base from which to judge existing practices as well as make decisions about how to continue when conflict occurs. Archaeologists have the moral obligations of all citizens but due to their employment they have special responsibilities which are defined by the goals of their profession and the role they play as archaeologists (Wylie, 2003).
Ethical development
Initially antiquarians of the seventeenth and eighteenth centuries were motivated by the recovery of artefacts for personal use or sale to museums or collectors. In the late nineteenth century the main ethical concern developed into the need to protect sites from looting and vandalism and to excavate in a scientific manner (Lynott, 2003).
The guidelines of the time dealt with limited aspects of professional conduct which mainly covered relationships between excavators. Houston Smith described this as a "negative formulation of the Golden Rule: do not do to others what you would not want them to do to you" (Houston Smith 1974, p.375).
From those times until the 1950s archaeologists were interested in improving excavation techniques and publishing reports. During the 1950s they began to discuss differences between professionals and non-professionals. Minimal standards for professionals were published by the Society for American Archaeology (SAA) in 1961. They covered a definition of archaeology; an emphasis on the need for systematic record keeping; training requirements and ethics. Ethics in this statement covered the publication of data; prohibited the buying and selling of artefacts; prohibited the wilful destruction or concealment of archaeological data and prohibited an archaeologist from initiating excavation of a site where another is working. (Lynott, 2003). Most ethical statements today continue to include a requirement that archaeologists publish, or communicate in other ways, the results of research in a timely manner (Wylie, 2003).
A 1974 paper by William D Lipe focused on the idea of conservation. He urged archaeologists to take responsibility for the "whole resources base" (Wylie 2003, p.10). This idea also continues today. The SAA refer to this in their Principles of Archaeological Ethics as "the responsibility of all archaeologists to work for the long-term-conservation and protection of the archaeological record by practicing and promoting stewardship of the archaeological record" (Society for American Archaeologists 1996, p.1).
Lipe’s paper also led to the establishment of the Society of Professional Archaeologists in 1976. They developed a Code of Ethics covering a number of responsibilities. One in particular declared that archaeologists need to be sensitive to groups whose culture histories were subjects of archaeological investigations. This concept developed into what is known today as Cultural Resource Management (Lynott, 2003).
Lynott (2003) identifies other ethical developments from the 1980s onwards. Indigenous peoples of the world became more vocal about the study of their past and insisted that they have control over the treatment of graves and human remains of their ancestors. The World Archaeological Congress Code of Ethics reflects this when it begins with: "Members agree that they have obligations to indigenous peoples". The Canadian Archaeological Association developed a ’Statement of Principles’ purely to address this issue (Appendix A). These developments coincided with an increase in the looting of sites due to an increased demand from the art market for archaeological objects (Lynott, 2003).
Responsibilities
Ethical codes have now been created by a number of archaeological societies throughout the world. They tend to follow one of two formats. There are codes that describe specific actions that an archaeologist should or should not do, while other codes present general goals to which an archaeologist should aspire (Lynott & Steponaitis, 1998). The ethics of the Register of Professional Archaeologists (Appendix B) and the Australian Association of Consulting Archaeologists Inc. (AACRAI) are examples of the first form and list responsibilities that an archaeologist becomes beholden to if they become a member. Although presented under different headings both essentially cover the same ground by stating responsibilities to the public, the profession (colleagues, students, employees) and employers or clients.
Examples of such responsibilities (AACRAI, p.1) include:
- "A member should take a responsible attitude to the archaeological resource base and to the best of her/his understanding ensure that this, as well as information derived from it, are used wisely and in the best interest of the public."
- "A member shall keep informed about developments in her/his field of expertise and be willing to share such knowledge to improve the general standard of archaeological work."
- "A member shall report on work accurately, promptly and in the manner that best serves the public, the employer or client."
The Society for American Archaeology’s Principles (Appendix C) is an example of the second format. Eight ethical principles are listed, to be followed by archaeologists "in negotiating the complex responsibilities they have to archaeological resources and to all who have an interest in these resources" (Kintigh). They are:
1. Stewardship
2. Accountability
3. Commercialisation
4. Public education
5. Intellectual property
6. Reporting and publication
7. Records and preservation
8. Training and resources
Since publication these principles have been endorsed by other archaeological societies, such as the New Zealand Archaeological Association (1999).
Conflicts
The establishment of formalised codes of behaviour does not imply that there has been full agreement in the profession on all issues covered in these codes. The guidelines set out in ethical statements are not always in line with the reality that an archaeologist will find themselves in. For example, archaeologists often face situations in which responsibilities of honesty and publicity come into conflict with a commitment to conservation principles. Although there is a responsibility to make results widely available, in some contexts details about location and layouts of sites are not published as they would provide looters with a plan to exploit the site (Wylie, 2003).
Other ethical conflicts have been debated in recent times. Should archaeologists play a role in legal, commercial salvage operations? The SAA by-laws oppose the commercialisation and irresponsible excavation, collecting, buying or selling of archaeological material as these activities compromise scientific interest, as all context and cultural associations are lost in the process (Wylie, 1988). Archaeologists who partake in these activities defend their actions by stating the ’salvage principle’:
"Insofar as looted, traded or commercially salvaged material has any residual scientific value, professional archaeologists have a primary responsibility to document, analyse and report it as systematically as they can. Why compound the loss to our understanding of the cultural past that has already been caused by looters or salvors by refusing to make whatever use you can of the data that have survived their destructive practices?" (ibid, p.2)
Another example of an existing conflict, related to that above, is highly relevant today. Is it ever legitimate for a professional archaeologist to publish data on looted or commercially traded material (ibid)?
Looting and publication
On the 9th and 10th of April 2003 looters took advantage of the US invasion of Iraq and broke into Baghdad’s National Museum of Antiquities. They smashed galleries and destroyed or stole thousands of pieces dating from about 3500 BC. Initial reports of the losses were greatly exaggerated at 170,000. Months later this was adjusted to 13,000. The coordinated efforts of international governments and law enforcement agencies enabled the recovery of at least 5,200 of these items within six months (Atwood, 2004).
"The most significant cause of destruction of the archaeological heritage today is looting. The illicit, unrecorded and unpublished excavation of ancient sites to provide antiquities for commercial profit." (Renfrew 2001, p.15)
London and Geneva have a reputation for handling objects of dubious origin and are therefore the main marketplaces for stolen antiquities. The British School of Archaeology in Iraq believes that 10,000 items have passed through London since the first Gulf war (Morris, 2003).
Tighter UK National Heritage laws have helped decrease the traffic in stolen artefacts. Today, a member of the Antiquities Dealers Association must show the provenance of any object in stock valued at more than £2,000. However, Mesopotamian cuneiform tablets and cylinder seals of the 2nd and 3rd millennia BC are available for less than £1000 (Thorncroft, 2003).
UNESCO recently created a unique agreement to aid the international management of looted material. It has signed an agreement with the Italian government for the safeguarding, restoration and protection of the natural and cultural heritage of countries affected by conflict or natural catastrophe. The agreement provides for the involvement of archaeologists, art historians, restorers, geologists, seismologists, book conservation specialists and experts in the illegal trafficking of art works (Hooper, 2004).
Renfrew believes that ultimately it is the academic community and the informed public who must bear the responsibility of curbing looting. It should be widely agreed upon that it is unethical to aid the sale of illicit antiquities by offering authentication and expertise. Some argue that to maintain this principle archaeologists’ should not publish or give citations in print to unprovenanced artefacts. Artefacts taken out of their archaeological context provide little useful information to researchers as the opportunity is lost for them to add to the understanding of the past from which they come (Renfrew, 2001).
| Not only has the Iraqi conflicts brought about changes in governmental approaches to looted material but also to archaeological ethics. At a recent meeting of the American Schools of Oriental Research (ASOR) a policy exception was adopted to allow undocumented cuneiform texts from Iraq to be presented at meetings and published in ASOR journals and texts, under limited circumstances. Eric Meyers, Duke Professor and former ASOR president, stated: |
"The 1991 Gulf War and the current Iraq War, have created an emergency situation that is unprecedented… approximately 150,000 or more cuneiform tablets are currently being looted and illegally smuggled out of Iraq per year and tens of thousands more of partially preserved ones are being thrown away because they fetch a lower price on the open market. This has resulted in the pillage of an unprecedented number of archaeological sites and the incalculable loss of historical information." (ASOR 2004, p.1)
The policy exception is designed to preserve historical information within the texts and to acknowledge the intellectual and ownership rights of Iraq. ASOR decided it was important to save whatever survives of ancient Mesopotamian history, while continuing to fight against the looting and trade in illegal antiquities (ibid). In doing so they illustrate a point made by Wylie (2003) that ethical codes should be treated as works in progress. If statements of ethical commitment are to help professionals negotiate evolving ethical issues then they must be subject to continuous assessment.
Conclusion
Archaeological ethical considerations have developed over time into formalised statements which underlie existing practices in the profession and help archaeologists to make decisions in their working lives when conflicts arise. Flexibility, as shown by ASOR, is needed to allow ethical standards to remain relevant to the archaeological professions within an ever changing environment.
"Archaeology is changing. New methods are being developed and the circumstances in which archaeological work is commissioned and conducted are subject to changing political, administrative and ideological perspectives…The Institute of Field Archaeologists does not expect these standards and guidance documents to remain unchanged in perpetuity: indeed the need for regular revision can be seen as a measure of the health of the discipline of archaeology". (Institute of Field Archaeologists, no date, p.2)
References
AMERICAN SCHOOL OF ORIENTAL RESEARCH (2004) New policy on cuneiform texts from Iraq [Online] Available: http://www.asor.org/textpolicy.htm [25 January 2005]
ATWOOD, R. (2004) Stop, thieves. Recovering Iraq’s looted treasures IN: Washington Post, October 03.
AUSTRALIAN ASSOCIATION OF CONSULTING ARCHAEOLOGISTS INC. (no date) Code of ethics [Online] Available: http://www.aacai.com.au/codeofethics.html [8 February 2005]
CANADIAN ARCHAEOLOGICAL ASSOCIATION (no date) Statement of principles for ethical conduct pertaining to Aboriginal Peoples [Online] Available: http://www.canadianarchaeology.com/ethical.lasso [8 February 2005]
HOOPER,J. (2004) UNESCO’s blue berets to rescue cultural treasures. IN: The Guardian, Oct 28.
HOUSTON SMITH, R. (1974) Ethics in field archaeology. Journal of Field Archaeology, Vol.1 No.3/4, pp. 375-383.
INSTITUTE OF FIELD ARCHAEOLOGISTS (no date) Introduction to standards and guidance [Online] Available: http://www.archaeologists.net/modules/icontent/inPages/docs/codes/intro2.pdf
[8 February 2005]
KINTIGH, K.W. (no date) SAA principles of archaeological ethics [Online] Available: http://www.saa.org/publications/saabulletin/14-3/SAA9.html [8 February 2005]
LYNOTT, M (2003) Development of ethics in archaeology IN: Zimmerman, L.J. ed. Ethical issues in archaeology. Walnut Creek, CA: Altamira Press.
LYNOTT, M. & STEPONAITIS, V.P. (1998) Training students in archaeological ethics
[Online] Available: http://www.saa.org/aboutsaa/committees/curriculum/lynstep.html
[25 January 2005]
MORRIS,J. (2003) Assyrian statue, going cheap. The Guardian, Apr 24.
NEW ZEALAND ARCHAEOLOGICAL ASSOCIATION (1999) NZAA Code of ethics [Online] Available: http://www.nzarchaeology.org/ethics.htm [10 February 2005]
REGISTER OF PROFESSIONAL ARCHAEOLOGISTS (no date) Code of conduct [Online] Available: http://www.rpanet.org/ [26 January 2005]
RENFREW, C. (2001) Loot, legitimacy and ownership: the ethical crisis in archaeology. London: Duckworth.
SOCIETY FOR AMERICAN ARCHAEOLOGY (1996) Principles of archaeological ethics [Online] Available: http://www.saa.org/aboutSAA/ethics.html [25 January 2005]
THORNCROFT, A. (2003) Art world gives tomb raiders the cold shoulder. IN: Financial Times, May 09.
WORLD ARCHAEOLOGICAL CONGRESS (no date) First code of ethics [Online] Available: http://ehlt.flinders.edu.au/wac/site/about_ethi.php
[8 February 2005]
WYLIE, A. (1998) Some Reflections on the Work of the SAA Committee for Ethics in Archaeology. [Online] Available: http://www.canadianarchaeology.com/1998plenary/wylie.lasso [9 February 2005]
WYLIE, A. (2003) On ethics. IN: Zimmerman, L.J. ed. Ethical issues in archaeology. Walnut Creek, CA: Altamira Press.
APPENDIX A
Canadian Archaeological Association: Statement of Principles for Ethical Conduct Pertaining to Aboriginal Peoples
Preamble
The objectives of the Canadian Archaeological Association include the promotion, protection and conservation of the archaeological heritage of Canada, and the dissemination of archaeological knowledge. Canadian archaeologists conduct their activities according to the principles of scholarly practice and recognize the interests of groups affected by their research. Whereas the heritage of First Nations Peoples constitutes the greater part of the Canadian archaeological record, this document presents a Statement of Principles that guides members of the Association in their relationships with Aboriginal peoples.
Principles
Members of the CAA/ACA agree to abide by the following principles:
I Consultation:
1. To recognize the cultural and spiritual links between Aboriginal peoples and the archaeological record.
2. To acknowledge that Aboriginal people have a fundamental interest in the protection and management of the archaeological record, its interpretation and presentation.
3. To recognize and respect the role of Aboriginal communities in matters relating to their heritage.
4. To negotiate and respect protocols, developed in consultation with Aboriginal communities, relating to the conduct of archaeological activities dealing with Aboriginal culture.
II Aboriginal Involvement:
1. To encourage partnerships with Aboriginal communities in archaeological research, management and education, based on respect and mutual sharing of knowledge and expertise.
2. To support formal training programs in archaeology for Aboriginal people.
3. To support the recruitment of Aboriginal people as professional archaeologists.
III Sacred Sites and Places:
1. To recognize and respect the spiritual bond that exists between Aboriginal peoples and special places and features on the landscape.
2. To acknowledge the cultural significance of human remains and associated objects to Aboriginal peoples.
3. To respect protocols governing the investigation, removal, curation and reburial of human remains and associated objects.
IV Communication and Interpretation:
1. To respect the cultural significance of oral history and traditional knowledge in the interpretation and presentation of the archaeological record of Aboriginal peoples.
2. To communicate the results of archaeological investigations to Aboriginal communities in a timely and accessible manner.
APPENDIX B
Register of Professional Archaeologists: Code of Conduct
Archaeology is a profession, and the privilege of professional practice requires professional morality and professional responsibility, as well as professional competence, on the part of each practitioner.
The Archaeologist’s Responsibility to the Public
1.1 An archaeologist shall:
a. Recognize a commitment to represent Archaeology and its research results to the public in a responsible manner;
b. Actively support conservation of the archaeological resource base;
c. Be sensitive to, and respect the legitimate concerns of, groups whose culture histories are the subjects of archaeological investigations;
d. Avoid and discourage exaggerated, misleading, or unwarranted statements about archaeological matters that might induce others to engage in unethical or illegal activity;
e. Support and comply with the terms of the UNESCO Convention on the means of prohibiting and preventing the illicit import, export, and transfer of ownership of cultural property, as adopted by the General Conference, 14 November 1970, Paris.
1.2 An archaeologist shall not:
f. Engage in any illegal or unethical conduct involving archaeological matters or knowingly permit the use of his/her name in support of any illegal or unethical activity involving archaeological matters;
g. Give a professional opinion, make a public report, or give legal testimony involving archaeological matters without being as thoroughly informed as might reasonably be expected;
h. Engage in conduct involving dishonesty, fraud, deceit or misrepresentation about archaeological matters;
i. Undertake any research that affects the archaeological resource base for which she/he is not qualified.
II. The Archaeologist’s Responsibility to Colleagues, Employees, and Students
2.1 An archaeologist shall:
a. Give appropriate credit for work done by others;
b. Stay informed and knowledgeable about developments in her/his field or fields of specialization;
c. Accurately, and without undue delay, prepare and properly disseminate a description of research done and its results;
d. Communicate and cooperate with colleagues having common professional interests;
e. Give due respect to colleagues’ interests in, and rights to, information about sites, areas, collections, or data where there is a mutual active or potentially active research concern;
f. Know and comply with all federal, state, and local laws, ordinances, and regulations applicable to her/his archaeological research and activities;
g. Report knowledge of violations of this Code to proper authorities.
h. Honor and comply with the spirit and letter of the Register of Professional Archaeologist’s Disciplinary Procedures.
2.2 An archaeologist shall not:
i. Falsely or maliciously attempt to injure the reputation of another archaeologist;
j. Commit plagiarism in oral or written communication;
k. Undertake research that affects the archaeological resource base unless reasonably prompt, appropriate analysis and reporting can be expected;
l. Refuse a reasonable request from a qualified colleague for research data;
m. Submit a false or misleading application for registration by the Register of Professional Archaeologists.
III. The Archaeologist’s Responsibility to Employers and Clients
3.1 An archaeologist shall:
n. Respect the interests of her/his employer or client, so far as is consistent with the public welfare and this Code and Standards;
o. Refuse to comply with any request or demand of an employer or client which conflicts with the Code and Standards;
p. Recommend to employers or clients the employment of other archaeologists or other expert consultants upon encountering archaeological problems beyond her/his own competence;
q. Exercise reasonable care to prevent her/his employees, colleagues, associates and others whose services are utilized by her/him from revealing or using confidential information. Confidential information means information of a non-archaeological nature gained in the course of employment which the employer or client has requested be held inviolate, or the disclosure of which would be embarrassing or would be likely to be detrimental to the employer or client. Information ceases to be confidential when the employer or client so indicates or when such information becomes publicly known.
3.2 An archaeologist shall not:
r. Reveal confidential information, unless required by law;
s. Use confidential information to the disadvantage of the client or employer;
t. Use confidential information for the advantage of herself/himself or a third person, unless the client consents after full disclosure;
u. Accept compensation or anything of value for recommending the employment of another archaeologist or other person, unless such compensation or thing of value is fully disclosed to the potential employer or client;
v. Recommend or participate in any research which does not comply with the requirements of the Standards of Research Performance.
APPENDIX C
Society for American Archaeology Principles of Archaeological Ethics
Principle No. 1: Stewardship
The archaeological record, that is, in situ archaeological material and sites, archaeological collections, records and reports, is irreplaceable. It is the responsibility of all archaeologists to work for the long-term conservation and protection of the archaeological record by practicing and promoting stewardship of the archaeological record. Stewards are both caretakers of and advocates for the archaeological record for the benefit of all people; as they investigate and interpret the record, they should use the specialized knowledge they gain to promote public understanding and support for its long-term preservation.
Principle No. 2: Accountability
Responsible archaeological research, including all levels of professional activity, requires an acknowledgment of public accountability and a commitment to make every reasonable effort, in good faith, to consult actively with affected group(s), with the goal of establishing a working relationship that can be beneficial to all parties involved.
Principle No. 3: Commercialization
The Society for American Archaeology has long recognized that the buying and selling of objects out of archaeological context is contributing to the destruction of the archaeological record on the American continents and around the world. The commercialization of archaeological objects - their use as commodities to be exploited for personal enjoyment or profit - results in the destruction of archaeological sites and of contextual information that is essential to understanding the archaeological record. Archaeologists should therefore carefully weigh the benefits to scholarship of a project against the costs of potentially enhancing the commercial value of archaeological objects. Whenever possible they should discourage, and should themselves avoid, activities that enhance the commercial value of archaeological objects, especially objects that are not curated in public institutions, or readily available for scientific study, public interpretation, and display.
Principle No. 4: Public Education and Outreach
Archaeologists should reach out to, and participate in cooperative efforts with others interested in the archaeological record with the aim of improving the preservation, protection, and interpretation of the record. In particular, archaeologists should undertake to: 1) enlist public support for the stewardship of the archaeological record; 2) explain and promote the use of archaeological methods and techniques in understanding human behavior and culture; and 3) communicate archaeological interpretations of the past. Many publics exist for archaeology including students and teachers; Native Americans and other ethnic, religious, and cultural groups who find in the archaeological record important aspects of their cultural heritage; lawmakers and government officials; reporters, journalists, and others involved in the media; and the general public. Archaeologists who are unable to undertake public education and outreach directly should encourage and support the efforts of others in these activities.
Principle No. 5: Intellectual Property
Intellectual property, as contained in the knowledge and documents created through the study of archaeological resources, is part of the archaeological record. As such it should be treated in accord with the principles of stewardship rather than as a matter of personal possession. If there is a compelling reason, and no legal restrictions or strong countervailing interests, a researcher may have primary access to original materials and documents for a limited and reasonable time, after which these materials and documents must be made available to others.
Principle No. 6: Public Reporting and Publication
Within a reasonable time, the knowledge of archaeologists gain from investigation of the archaeological record must be presented in accessible form (through publication or other means) to as wide a range of interested publics as possible. The documents and materials on which publication and other forms of public reporting are based should be deposited in a suitable place for permanent safekeeping. An interest in preserving and protecting in situ archaeological sites must be taken in to account when publishing and distributing information about their nature and location.
Principle No. 7: Records and Preservation
Archaeologists should work actively for the preservation of, and long term access to, archaeological collections, records, and reports. To this end, they should encourage colleagues, students, and others to make responsible use of collections, records, and reports in their research as one means of preserving the in situ archaeological record, and of increasing the care and attention given to that portion of the archaeological record which has been removed and incorporated into archaeological collections, records, and reports.
Principle No. 8: Training and Resources
Given the destructive nature of most archaeological investigations, archaeologists must ensure that they have adequate training, experience, facilities, and other support necessary to conduct any program of research they initiate in a manner consistent with the foregoing principles and contemporary standards of professional practice.
