Ethics Policy on Tangible Cultural Heritage

1. Policy Intent

The Ethics Policy on Tangible Cultural Heritage is designed to:

• Ensure that research, enterprise, consultancy projects and studies conducted at, by or in the name of the University of Southampton maintains the highest ethical standards in relation to tangible cultural heritage internationally.
• Provide clear guidelines on internationally and nationally relevant heritage policy and legal frameworks.

Researchers are expected to familiarise themselves with and abide by all relevant national and international heritage-related legislation both in the UK and any country in which they are conducting the research.

2. Definitions

Tangible Cultural Heritage

The Policy follows the definition of ‘cultural heritage’ as noted by the Tangible Cultural Heritage Expertise Committee ‘the legacy of physical artefacts and intangible attributes of a group or society that are inherited from past generations, maintained in the present and bestowed for the benefit of future generations’. While the concept typically is associated with history (‘from past generations’), it should be kept in mind that definitions of cultural heritage are context specific and entail a process of selection by communities and societies, making modern items and sites potential heritage if they are recognized as culturally significant. This Policy focuses primarily on tangible cultural heritage as defined in Article 1 of UNESCO’s 1972 convention, which includes:

• Movable cultural heritage, including artefacts and other archaeological materials of cultural value, works of art, and artefacts of historic importance such as rare books and manuscripts.
• Immovable cultural heritage, including archaeological sites, heritage structures, and cultural landscapes both urban and rural.
• Human remains more than 100 years old.

This Policy applies to both land-based and underwater cultural heritage.

Intangible Cultural Heritage

This refers to the practices, representations, expressions, knowledge and know-how, transmitted from generation to generation within communities, created and transformed continuously by them, depending on the environment and their interaction with nature and history (UNESCO 2003). This is represented in 5 domains:

• Oral traditions and expressions, including language as a vehicle of the intangible cultural heritage
• Performing arts
• Social practices, rituals and festive events
• Knowledge and practices concerning nature and the universe
• Traditional craftsmanship

Although not covered by this Policy, equally high standards of ethical behaviour are expected for research on intangible cultural heritage. Researchers and students who are conducting research relating to intangible cultural heritage should familiarise themselves with external guidance on the safeguarding of intangible cultural heritage and adhere to relevant ethical standards. If they are researching a topic with sensitivities, they are encouraged to approach their FREC for further advice on whether formal ethics approval might be suitable.

3. Scope 

This Policy applies to all staff and students at the University of Southampton engaged in research where activities may involve impact on tangible cultural heritage (as defined in Section 3 above). The Policy also applies to anyone working in the University, including casual workers, visiting or emeritus researchers, associates, honorary contract holders, consultants, agents, volunteers or contractors undertaking research under the auspices of the University, using the University’s facilities, on the University’s premises anywhere in the world, or elsewhere on behalf of the University (all referred to hereafter as ‘researchers’).

Tangible cultural heritage is part of society’s common heritage and is crucial to the study of the human past. Its protection, conservation and preservation are fundamental for the benefit of present and future generations. All researchers must recognise that they are responsible for their research practice, and that they have an ethical obligation to weigh societal benefits against risks inherent in their work. Professional responsibility for good stewardship of research on behalf of others and the principle of benefit-sharing across all stakeholders are an important part of responsible research practice and research integrity. All staff and students must be aware of and conform to the University’s Ethics Policy for Research which provides guiding principles and a framework for the responsible and ethical conduct of research.

4. University Policy

4.1 Policy principles

Introduction

In many areas, the University’s research activities are greatly dependent on a wide range of resources that make up the tangible cultural heritage of varied communities. As some of these resources are finite, irreplaceable, and non-renewable, they should be safeguarded and treated with great respect. Ethical and sustainable research does not simply degrade cultural heritage resources, as does, for example, agriculture or development. Rather, it has the potential to enhance them by means including: increasing the total of known sites or knowledge of existing sites, refining methods of best practice, creating new directions of enquiry, and helping to direct the conservation and management of sites. Researchers’ actions should reflect these aspirations, as well as being governed by knowledge and regard for the cultural heritage resources, including their physical, historic, cultural, social, scientific, technical, religious or aesthetic context. Special care should be taken to ensure that research does not cause any unnecessary loss or damage to artefacts, or the unnecessary or harmful loss of any information relevant to the understanding of cultural heritage. Research must not involve activities that indirectly promote or condone such loss or damage, except where there is a justification on the grounds of enhancing the cultural heritage and/or our understanding of it.

In analysing objects and materials, research should always firstly endeavour to use non-destructive methods (photography, laser profiling, ultrasound, x-ray, etc.) to preserve and/or record ‘prior’ state. In cases when this is not possible, it is, however, accepted that some research activities, such as archaeological excavation or scientific examination of an object, might result in some loss or physical alteration of artefacts and archaeological deposits. Any risk of loss or alteration must be carefully outlined in the ethics application. Loss or alteration must be proportionate to the aims of the project and fully justified in terms of the potential gain in knowledge and/or understanding. It is recognised that certain invasive investigations may be societally beneficial in terms of generating enhanced awareness of the cultural significance of heritage assets, as long as such work is appropriately and responsibly conducted and reported. It is also accepted that in some cases, such as archival work, selective preservation of material may be in the best interests of cultural heritage, and that occasionally the non-retention of information may be preferable for overriding ethical reasons such as confidentiality or avoidance of harm. Where protected status of sites or landscapes is concerned, all research needs to adhere to best practice and the requirements afforded by these protections, for instance for Scheduled Ancient Monuments, World Heritage Sites and Sites of Special Scientific Interest. For research and analysis of objects, including faunal and human remains, specific permissions must be gained from the curators of objects, where these have been accessioned and are held, or if objects are on loan that correct documentation of the loan is kept and relevant permission is granted by the lending institution. 

Research into tangible cultural heritage may have unintended consequences, where living communities may be affected. Scientific research and excavation must be undertaken with due regard for the regional context and the interests and concerns of local communities, in order to avoid causing offence and to ensure that existing cultural and social concerns are not adversely affected or exacerbated. For instance, fieldwork where remains from recent genocide may be disturbed, where possible looting may have taken place or publication of material may be sensitive to different communities. Research must reflect the principle that these communities are invested in their heritage and that an equitable approach is maintained in the conducting of research. 

This Policy will consider the following aspects:

1. The provenance of artefacts
2. Archaeological prospection and excavation
3. Underwater cultural heritage
4. Research involving human remains more than 100 years old
5. Cultural sensitivity 

The provenance of artefacts

The Policy recognises the potential for tension between legitimate private ownership of heritage assets and public interest in the promotion of, and access to, artefacts, sites and contextual information about them. It is also accepted that many cultural objects that are valuable for the purpose of research, also have an alternative value, especially in commercial art markets. This may encourage illegal acquisition and distribution of such objects at local, national and international level, with consequent destruction or damage of historic and archaeological sites, loss to museum, archive and library collections, as well as resulting loss of knowledge and contextual information.

The university will work to prevent illicit trade of looted, stolen or illegally excavated, exported or removed artefacts. Any interaction with cultural objects for research, commercial or consultancy purposes – whether or not the outcomes remain within the University – must therefore adhere to the guidelines published by the Department for Culture, Media and Sport. The UNESCO 1970 Convention states that institutions must not undertake primary research on items unless they are certain that they have not been illegally exported or excavated from their countries of origin since 1970. 

In certain cases, artefacts that may have been illegally acquired may be identified and their status subsequently resolved, for instance objects retained by authorities and then repatriated to their original state. Where such artefacts form part of a research project the applicant should outline the guidelines being followed in the study of the objects and any known ethical issues associated with the material. It is understood that in some cases artefacts and materials might need to be borrowed and catalogued before an assessment of their provenance can be made. In all cases, if there is any suspicion whatsoever about the ethical status of an item, the circumstance around their provenance needs to be investigated before primary research can be undertaken. Any suspicion of criminal activity must be reported to the appropriate senior member of university staff and the relevant authorities. 

Where sites, objects or materials are related to cultural heritage of Indigenous communities, whose heritage is often subject to distinct historical, ethical and legal considerations, researchers must be familiar with the principles contained in the World Archaeological Congress’s First Code of Ethics (1990). Such resources must not be interfered with or removed without explicit consent of the Indigenous groups concerned. The EU have introduced Regulation 2019/880 stipulating import controls on cultural goods. While the UK has not so far implemented this in full there are a number of conditions that apply in the UK, including Northern Ireland post-Brexit. 

Whenever analysis of cultural heritage objects is undertaken, researchers should check the provenance and ownership of the objects to ensure that their provenance is not suspect, and to ensure that they have full permission for the analysis. Where intrusive analysis is to be undertaken on objects, it is imperative that the ownership is checked and that written permission is obtained prior to the research commencing. This will prevent unauthorised analysis and damage to objects.

Where materials, artefacts, or information obtained during the research will need to be transferred to the UK from abroad, researchers must ensure that such transfer is permitted and where necessary that relevant authorisations/licenses have been obtained from the appropriate authorities in the country of origin.

Archaeological prospection and excavation

Where research involves archaeological excavation, it must be conducted in accordance with the codes of conduct, regulations, standards and guidelines developed by the Chartered Institute for Archaeologists (CIfA), except where there is clear justification for deviation from these, for example on the basis of local conditions. All archaeological remains or other artefacts which have been removed from their original location must be carefully and appropriately transported and stored to ensure their long-term survival where required. For survey and excavation outside of the UK the policies and protocols of the relevant countries should be adhered to. 

In the specific case of research involving objects of historic or archaeological interest found, or alleged to have been found, in England, Wales and Northern Ireland after 24 September 1997, care must be taken to establish that they were found in the course of activities carried out in accordance with the principles of the Treasure Act 1996 Code of Practice (England and Wales) (Revised, 2002) and the Code of Conduct of the National Council for Metal Detecting (NCMD). Any finds/artefacts believed to be ‘treasures’ (as defined by the Treasure Act 1996 and the Treasure (Designation) Order 2002) must be reported to the local coroner and recorded with the Portable Antiquities Scheme if appropriate. Similarly, the study of cultural heritage objects in administrative areas outside England, Wales and Northern Ireland, including Scotland, must comply with relevant local legislation.

If human remains more than 100 years old are discovered on UK excavation, the relevant licence to exhume must be obtained from the Ministry of Justice prior to the excavation of the remains, and any regional obligations must to followed (for instance the application in Scotland differs from that in England and Wales).

Where needed relevant licences to excavate or undertake fieldwork need to be obtained, for instance Scheduled Monument Consent for excavation on a Scheduled Ancient Monument. It is the responsibility of the researcher to apply for permission and receive the licence prior to fieldwork taking place.

Underwater cultural heritage

Under the Merchant Shipping Act 1995, any wreck material, regardless of size or significance, recovered within UK territorial waters (up to the 12 nautical mile limit), or outside the UK and brought within UK territorial waters, must by law be reported to the Receiver of Wreck. Material from non-tidal waters is treated as if it was found on land and therefore is not covered by the Merchant Shipping Act 1995.

In the specific case of underwater cultural heritage, the University endorses the principles of the UNESCO Convention on the Protection of the Underwater Cultural Heritage (2001), and especially the Rules set out in the Annex to the Convention. It is expected that individuals and organisations involved in direct or indirect research collaboration with the University of Southampton should also subscribe to these principles and rules.

Research Involving Human Remains More Than 100 Years Old

Where research is being conducted on human remains over 100 years old, these are not subject to the requirements of the Human Tissue Act 2004 and therefore do not require a license from the Human Tissue Authority (HTA), or prior consent of the individual from whom the tissue was taken. Analysis of human remains over 100 years old is a sensitive area, and strict rules are enforced on the storage and analysis of remains. Human remains of any age, or provenance should be treated with dignity, care and respect at all stages of research including excavation, data collection and analysis, storage and data archiving. In sensitive cases, where biological material can be demonstrated to be connected to genealogical descendants or affiliated cultural communities, these groups, if feasible, should be informed about the research and permission gained prior to analysis and publication.

During excavation if human remains are located and are due to be exhumed, then a licence for exhumation is required (see above). Handling, movement and storage of human remains needs to follow the guidance of the Advisory Panel on the Archaeology of Burials in England (APABE 2015; 2017; 2023) and the British Association for Biological Anthropology and Osteoarchaeology (BABAO 2015; 2017), and the World Archaeological Congress’s Vermillion Accord on Human Remains 1989.

Where human remains are being studied from previous excavations in the UK and abroad, checks on the provenance of material must be conducted to ensure that looted and culturally sensitive material are not being analysed. 

All human remains more than 100 years old require checks for curatorship of material and permission from the curators for analysis including intrusive analysis of samples. Provenance of material, as with all objects and artefacts, should be kept on record by the holding institution, so that written permission can be requested. Where human remains are retained for study within the University, they must be stored in accordance with the principles set out in the Code of Practice of the British Association for Biological Anthropology and Osteoarchaeology (BABAO) and the Department for Culture, Media and Sport’s Guidance for the Care of Human Remains in Museums (2005). It should be ensured that human remains are kept in dedicated secure locations and are curated in adequate environmental standards to ensure their long-term survival. Where remains are to be transported to a different location for analysis ensure that these are taken directly from their storage location to the relevant venue with no deviation to any other location.

Please see the University’s guidance on Use of Human Tissue in Research for information on the use of human biological material less than 100 years old.

Cultural Sensitivity

All study of tangible cultural heritage, including landscapes, monuments, artefacts, human remains and archive material inherently carries cultural meaning and thus needs to be researched in a way that respects cultural sensitivities. This may mean assessing whether material can form part of a research project where cultural heritage directives limit or prevent such activities, handling, analysis and display of certain artefacts, or the very real significance that landscapes have to different communities, including ancestral lands, or sites that hold a place in local communities as recognised heritage assets. 

In accordance with The Smithsonian Centre for Folklife and Cultural Heritage’s policy for Shared Stewardship the research must adhere to relevant protocols and guidance for respectful and culturally appropriate care of both tangible and intangible cultural heritage. This includes considering the need to consult and collaborate with cultural custodians and representatives of source communities alongside the archival institutions hosting the relevant materials. 

The researcher needs to carefully consider any ethical issues related to cultural sensitivities. This includes adhering to the following basic rules:

• Ensure human remains are stored and handled according to relevant guidance.
• Ensure that studies of human remains, ritual and burial records are respectfully handled both during research and when disseminated. 
• Ensure curatorial permission is given for the loan and analysis of artefacts and human remains.
• Ensure that intrusive research on cultural heritage sites and landscapes has permission from protecting organisations and the landowners and/or tenants.
• Where research involves local communities ensure that they are kept informed of the aims of the work, and implement a process of informed consent, through outreach, voluntary participation and educational activities where practicable.
• Where possible involve stakeholders of local communities and respect immutable limitations or prohibition on activities where support is not granted.

5. Compliance with this policy 

This Policy operates in conjunction with all other relevant University policies and regulations, as well as applicable legislation and any codes of practice, terms and conditions, or guidelines issues by external funding or professional bodies. Failure to comply with the provisions of this Policy will be grounds for action to be taken under the University’s Procedure for Investigating Cases of Alleged Misconduct in Research (applicable to staff) or Regulations Governing Academic Responsibility and Conduct (applicable to students).

In case of doubt whether this Policy is relevant for the planned research, the researcher should consult their FREC or the Research Integrity and Governance (RIG) Team.

6. Roles and responsibilities

All staff and students conducting research under the auspices of the University are required to maintain the highest standards of ethical conduct and research integrity. Researchers engaged in research involving impact on cultural heritage are responsible for familiarising themselves with this Policy and adhering to its provisions, as well as all related University regulations, policies and procedures, as well as applicable legislation and any codes of practice, terms and conditions, or guidelines issues by external funding or professional bodies. 

The Policy also applies to anyone working in the University, including casual workers, visiting or emeritus researchers, associates, honorary contract holders, consultants, agents, volunteers or contractors undertaking research under the auspices of the University, using the University’s facilities, on the University’s premises anywhere in the world, or elsewhere on behalf of the University.

7. Version control table

Date Approved: 13th July 2026

Author: Faculty of Arts and Humanities Research Ethics Committee Chair Team

Next Revision Date: 2029