Ethics Screening Guide

Purpose

The purpose of ethics screening is to identify submissions that may raise concerns related to the CAA Ethics Policy. Ethics screening is not intended to evaluate the quality of research, the validity of conclusions, or whether reviewers agree with the perspectives presented. This is a living guide and will be assessed annually to ensure it remains updated with CAA policies.

Reviewers should flag submissions when there is a reasonable concern that a proposal may conflict with CAA ethical principles or when important ethical considerations appear unclear.

Questions for Reviewers

1. Does the submission appear to involve any of the following?

  • Harassment, discrimination, exclusion, or harm toward individuals or groups
  • Research practices that may negatively affect affected or descendant communities
  • Use of archaeological, cultural, or community data where permissions, consent, or stewardship responsibilities are unclear
  • The provenance of research materials relating to areas affected by armed conflicts or military occupation are unclear
  • Failure to acknowledge intellectual contributions, collaborators, or data creators
  • Potential concerns regarding data stewardship, preservation, access, or management
  • Use of AI or computational methods where transparency, accountability, attribution, bias, or ownership issues may be relevant
  • Inappropriate or disrespectful treatment of human remains

If none of the above apply, the submission should generally not be flagged for ethics review.        

2. If one or more of the above apply, does the submission explain how these issues were addressed?

Examples may include:

  • Community consultation or collaboration
  • Permissions or approvals
  • Indigenous, local, or community governance protocols
  • Attribution and acknowledgement practices
  • Data management or stewardship plans
  • Disclosure of AI use and its role in the research
  • Steps taken to mitigate bias or potential harm

Flag for ethics review if:

  • Ethical considerations appear absent
  • Ethical considerations are unclear
  • The submission appears inconsistent with CAA ethical principles
  • The reviewer is uncertain whether appropriate permissions, stewardship obligations, or community responsibilities have been met

Do Not Flag Solely Because:

  • The research topic is controversial
  • The conclusions are politically sensitive
  • The work critiques governments, institutions, museums, archaeologists, heritage practices, or colonial structures
  • The research addresses conflict, violence, trauma, or difficult histories
  • The reviewer disagrees with the interpretation or conclusions
  • The methodology is unfamiliar to the reviewer
  • The work discusses repatriation, decolonization, Indigenous sovereignty, activism, or social justice issues

Guiding Principle:

Flag uncertainty, not disagreement

Ethics review is intended to identify potential ethical concerns that require further consideration, not to restrict scholarly debate or controversial viewpoints.