In a recent blog post, Max Forte dissected the Human Terrain System’s (HTS) Top Misconceptions page. Now, in general, I have not been very kind about most of the attacks on the HTS and Max’s post is definitely an attack. It is, however, qualitatively different, in my opinion, from the majority of other attacks for one simple reason: Max is trying to actually look at the record of the HTS, at least the publicly available one, and use that record as the basis for his critique. This is not to say that I believe he is neutral in his examination - he isn’t, as his choice to use such terms as “imperialist”, “occupation”, “US aggression” shows. Moreover, he is quite open about his political stance:

As one critic, it has been my contention that social scientists should not play a supporting role of any kind, in any sphere, of the military or in the direct and avoidable service of an imperial state.

Kudos, then, Max for being right up front about your beliefs and biases. I can certainly respect someone for taking a position even if I disagree with their stance and conclusions.

First off, let me say that I welcome Max’s post because it is one of the few that has appeared that attempts to actually analyze what is happening with the HTS in the broader context of Anthropological engagement with the military. Possibly more important, throughout his post he attempts to examine what is actually happening vs. what might be happening, and relate these, at least partially, to the AAA Code of Ethics (html, PDF - the 1998 version). This is a welcome beginning to a debate on how ethics in application should be examined.

Second, let me further say that I still find a disquieting amount of rhetoric in his post; rhetoric that is at best of tertiary consideration and at worst irrelevant to the broader debate about ethical engagement. For example, whether or not US forces have used cluster munitions or individual soldiers have committed war crimes is irrelevant the debate on the ethics of the HTS - members of the HTS have not done so, although I will freely admit that the HTS opened the door on this in the Misconceptions page.

I’m not going to engage in a point by point argument with Max. Rather, I want to use some of the framework his post starts to build to expand upon ways in which we (Anthropologists) can start to develop a framework for analyzing actions as “ethical”.

Frameworks vs. specifics

The AAA Code of ethics starts with a very interesting base framework

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”).

While simple, this provides a very basic guideline for a definition of ethical research and breaks down into two areas or sets of questions.

The first is a simple matrix that looks something like this

Purpose | Potential Impact | Source(s) of support

Funders 0 | 0 | 0
Colleagues 0 | 0 | 0
Persons studied 0 | 0 | 0
Relevant parties 0 | 0 |0

The second is another series of checkmarks:

  • utilize the results of their work in an appropriate fashion
  • disseminate the results through appropriate and timely activities

According to the AAA Code, “Research fulfilling these expectations is ethical, regardless of the source of funding (public or private) or purpose (i.e., “applied,” “basic,” “pure,” or “proprietary”).” Now, that appears to be a very simple definition and checklist. The Devil, to use an old saw, is in the details, and some of them are absolutely crucial.

Open ended criteria

There are two crucial terms in the matrix that are de facto open ended (i.e. either infinite or finite but huge) namely “potential impact” and “relevant parties”. “The potential impact” of any action, including inaction, includes any effect that might happen as a result of the research at any point in time following the research. In a similar manner, “relevant parties” could, potentially, include every human alive today and every one who will be born in the future. Obviously, anyone who took such an interpretation could not do any research (and I actually know of one ex-graduate student who had a nervous breakdown over this). Indeed, such as stance would create the totally untenable position where both research and not conducting research would both lead to unethical action (remember, inaction is a form of action). Clearly, then, “potential impact” and “relevant parties” are not absolutes but, rather, probabilistic and relativistic statements.

The question, then, becomes where one draws the line in terms of what a potential impact might be and who is a relevant party. These “lines”, obviously, are “fluid” and have shifted over time although we still see artifacts (in the sense of the term used by Frazer) appearing in the current ethics debates - the injunction against “spying” being the best know example. Boas, who is the main foundational figure in this position, stated (the Nation, November 20th, 1919 available here) it as

A person, however, who uses science as a cover for political spying, who demeans himself to pose before a foreign government as an investigator and asks for assistance in his alleged researches in order to carry on, under this cloak, his political machinations, prostitutes science in an unpardonable way and forfeits the right to be classed as a scientist.

It is interesting to note that while the topic of this was “political spying”, the actual context was prostituting science in order to carry on “political machinations” while using science as a “cover” to gain assistance - a position partially maintained by the current open disclosure of purpose. I should also note that in the current ethics debates, there is no injunction not to use “science” (Anthropology) for advocacy purposes.

Debating where to draw the line

While the “potential impacts” of any research are open ended, it is useful to make a distinction between the context of the research, i.e. that which is regardless of whether or not any research is conducted, and the possible effects of the research. To me, this seems to be an obvious consideration but, apparently, for many it is not.

If we look at the HTS and where they are operating (Iraq and Afghanistan), the context might be termed as either as “security force assistance” or as an “occupation” depending on whether or not the person describing the context accepts or does not accept the legitimacy of the Maliki and Karzai governments (both governments have “requested” such “assistance”). The actual, on the ground lived-reality of parts of each country is that it is a “war zone”, in the loose sense of the term to include counter-insurgency operations. Citizens of many countries are dying as a result of both combat operations and terrorist attacks (as a note, I am using “combat operations” in the sense of open warfare, and “terrorist attacks” in the sense of covert, haphazard kinetic operations; I am not using them as political or faction labels).

With this as the context, what is the potential effect of the HTS research? Probably the best place to start is with the HTS Mission Statement and the HTS Values and Beliefs.

HTS Mission Statement

  • The HTS Mission is to provide commanders in the field with relevant socio-cultural understanding necessary to meet their operational requirements.

HTS Values and Beliefs

  • HTS believes that achieving national security objectives is dependent on understanding the societies and cultures in which we are engaged.
  • HTS also believes that the use of social science is necessary to and legitimate in military operations.
  • By developing an understanding of the societies and cultures in which we are engaged, HTS believes that the U.S. military can reduce the need for and negative repercussions of lethal force.

I will admit to being bothered by the mission statement since providing field commanders with the “relevant socio-cultural understanding necessary to meet their operational requirements” might include target identification. I believe, and it is a belief based on talking with people involved with the HTS and with in field intelligence officers and commanders, that every effort has been made to separate the operation of Human Terrain Teams (HTTs) from military intelligence, especially target identification (assassination lists if you prefer). The statement relevant to this on the HTS site is

HTTs do not proactively elicit actionable intelligence from the local civilian population. Team members are legally prohibited from performing active intelligence collection.

As Max notes,

Once more, readers are presented with a “loophole” statement — they do not “proactively” gather intelligence, leaving open the possibility that they may gather intelligence by other means. And when such intelligence falls into the laps of HTS researchers, what are they to do with it? No answer is provided.

and he is quite correct; this is a “loophole” statement. The fact that “no answer is provided” is not, in my opinion, germain - this is another one of those sliding “lines”. Let me give an example from a different field; medicine. If a doctor has cause to suspect that abuse of a minor is taking place, they are required to report this to the authorities. This reporting is not viewed as a breach of medical ethics, including doctor-patient privilege.

Do Anthropologists have the same responsibility? This has never really been addressed at the social level (barring, I believe, one case in New York State in the late 1980’s), but within the discipline we have tended to regard the Anthropologist-Informant relationship as “sacred” in the same sense as doctor-patient, priest-penitent and husband-wife. Indeed, in an AAA ethics case study, this is one particular issue looked at where the researcher had information about a murder. The “dilemma” and its “solution” are given as

Thompson’s Dilemma: (1) Since she knew the police would question her, should she quickly tear out and destroy the pages in her notebook where the events were recorded? (2) When questioned by the police should she, like the other villagers, plead ignorance concerning the killing?

Thompson’s Decision

Thompson decided to risk discovery of her field notes and consequently hid the notebook containing the description of the events surrounding Tom’s death under coverings on her bed. When police asked her if she knew anything about Tom’s death, she denied having any knowledge of the events of that evening. The police accepted her statements and did not search for her field notes.

In other words, she lied to a foreign government’s officials, helped to subvert their laws and, at the same time, was stupid enough to keep evidence of her lies which, if uncovered, would have materially damaged the reputation of any other Anthropologist working in that nation.

This is “ethical”? Maybe it is, since it relies on a judgment of who the “relevant parties” are in a particular case at a particular point in time. More importantly, it places the locus of control for such a decision firmly in the hands of the Anthropologist.

Such control of ethical decisions based around a priest-penitent relationship, however, does not enjoy the same benefits for Anthropologists as for doctors, priests and spouses. Very few of us can “plead our clergy”, or have that plea count for anything in either Canada or the US. In point of law, under current Canadian laws, if I was to act this way during fieldwork I could be charged with hindering prosecution in Canada even though the event took place in a foreign country (this point of law was established in Canada following the Female Genital Mutilation debate of the late 1990’s). Certainly, under current US legislation, I would imagine that if an HTT member acted in this manner to protect someone judged to be a “terrorist” or “insurgent”, they could also be charged.

Of course, the fact that an action (or inaction) may be defined as “illegal” does not, of necessity, mean that it is “unethical” (although it is “immoral” by definition). There are certainly cases where ethical action may be in direct contrast to legal action, but this cuts both ways: there are also cases where following / using a Code of Ethics as if it were a law is unethical, a point noted by Cassel and Jacobs in their Introduction to the AAA Ethics Handbook.

On occasion, the concept of “ethics” is used as a weapon: my beliefs differ from yours, therefore you are unethical. Anthropologists who speak of ethics in this sense wish to improve or, at the least, reprove the behavior of others. A “Code of Ethics” in their view is a mechanism to help regulate the behavior of those with whom they disagree. Unfortunately, as historians and ethnographers have documented, the attempt to control others in the name of morality is more likely to lead to confrontation than moral improvement.

Use of and reporting on research

Beyond the matrix of informed consent, there are requirements to

  • utilize the results of their work in an appropriate fashion
  • disseminate the results through appropriate and timely activities

Talk about “loophole” phrasing! Who defines “appropriate”? If I am funded by a private concern to conduct proprietary research, then the “appropriate” use of the research will be defined by the negotiations between myself and the source of funding, although there will be some general limits. If the research is proprietary, which is an acceptable form of research according to the AAA Code of Ethics, then the results may never be published to either the general public or to my colleagues, although I am still required to “disseminate the results through appropriate and timely activities” to my client.

Now in the current debate over the HTS, there appears, to me at any rate, to be a real problem with assumptions about the use and reporting issues. I believe, in principle if nothing else, that the HTS has established acceptable use guidelines, although I will readily admit that that is merely a belief based on limited discussions with HTS and in-field personnel; I haven’t been in the field and seen it for myself. The focus appears to be on operations that might loosely be termed “developmental” (”Civil Affairs” in MilSpeak) and “cross-cultural communications”. Please also note that I am talking about the purpose not the effectiveness - that is a different matter and there certainly appear to be problems associated with the HTS (then again, I know of very few research projects that have not had some type of “problem”). All we have right now is anecdotal evidence and some preliminary reports; we do not have any reports or audits produced by independent observers. Of course, most fieldwork doesn’t have that, so it may be a moot point.

So, let’s move on to disseminating the results in an appropriate and timely manner. In discussion the claim that the HTS is “open source”, Max notes that the

HTS has published no reports that have been made available publicly. It is not open source. Recently, detailed login instructions have been circulated among a limited number of message recipients, that clearly indicate that whatever data there may be is behind a wall, and in order for non-government persons to gain access, they must request and place a statement to the effect that “you are a partner with HTS and need access to the site.”

On his first point, I agree - no reports (except for some blog entries by Marcus Griffin, now apparently unavailable) have been made that are publicly available. Then again, I don’t find this surprising since the HTS has not been operating for that long. How long does it take for most Anthropologists to report on their fieldwork? The figures I was given during graduate school were, if I remember correctly, “interim reports” (say a conference paper or brief note) after a year and a paper within two years for cultural Anthropology and anywhere up to ten years for Archeology. I’m not surprised at the delays but, then again, I’m not pleased with them either. I think the HTS should be able to do better (assuming they could bypass some of the DoD restrictions on posting).

Max’s second point that “detailed login instructions have been circulated among a limited number of message recipients, that clearly indicate that whatever data there may be is behind a wall” is also correct. The announcement that I received was over a particular list-serve aimed at Anthropology and the Military which currently has 292 members not all of whom support the HTS. Is the data behind a wall? Yes, it is and, if Max wished, he could probably gain access to it. Having seen the data there, I am not too impressed with it on the whole. Then again, I am usually not very impressed with most preliminary reports either ;).

While I would, personally, encourage the HTS to make their data and reports more openly available I also know that it takes time out of the field to write up decent reports. Furthermore, since the HTS is under the auspices of the US Department of Defense, it is also restricted by bureaucratic regulations that some in the Military think are outdated (see here for example). In my opinion, these bureaucratic restrictions severely hamper the effective and timely dissemination of research, but that is the fault of the regulations, not the HTS.

Using the checklist for the HTS

Let’s apply the checklist against what we currently know of HTS activities. As a caution, all of the data I am using to do this is based on open source material and some (limited) discussions and not on any systematic investigation.

Purpose | Potential Impact | Source(s) of support

Funders Y | P | Y
Colleagues Y | P | Y
Persons studied Y | ? | Y
Relevant parties Y | P | Y

  1. utilize the results of their work in an appropriate fashion - ?
  2. disseminate the results through appropriate and timely activities - P

Y = yes, ? = Unknown, P = Problematic

Lets go through the checklist. Clearly, there is no problem with disclosure of purpose and sources of support to any potentially involved part. Pretty much anyone who has any interest knows that the HTS is being funded by the US Department of Defense and what the stated purpose of the project is (whether people agree with, like or support that purpose is another thing entirely). In all cases, the potential impact may be defined as either “problematic” or “unknown” since there does not appear to be an available detailed analysis of the potential impact that is open source, although there are certainly statements about the potential (and actual) impact of the program that are available.

Of the two use/dissemination questions, the first is “unknown” since the material is de facto “proprietary”, at least for a limited time and no one appears to know how long that time is. I have listed the second dissemination question as “Problematic”, primarily because of bureaucratic regulations surrounding the release of any DoD information. To my mind, it is also problematic because of HTS claims that it is “open source” while here are few open source venues where it appears.

Based solely on this framework, and any proper examination of the ethics of the program should actually include a lot more (but that is for the future), I would have to the HTS a barely passing grade as “Ethical” primarily because much of their research has not be presented yet, and many of the methods and protocols involved in the research must be currently listed as “unknown”.