Code of Practice for Research Involving Artefacts

(Approved by Committee on Research Practices on 2 June 2021)

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1. Aim

This Code of Practice aims to promote the responsible, respectful, non-exploitive and sustainable study of the tangible remains of human history, by setting out the expectations for the upholding of ethical standards for research on artefacts in the field and the laboratory.

2. Definition of Artefacts

Artefacts, for the purpose of ethical vetting, are defined as 'objects which, on religious or secular grounds, are of importance for archaeology, anthropology, prehistory, history, literature, art or science'¹. Intangible property (such as practices, texts and concepts) is not included.

When determining whether an object under study is an artefact, researchers should make reference to the Antiquities and Monuments Ordinance (Cap. 53), and the list of cultural properties / cultural objects adopted in the Convention on the Means of Prohibiting and Preventing the Illicit Import, Export and Transfer of Ownership of Cultural Property by the United Nations Educational, Scientific and Cultural Organisation (UNESCO), and in the Convention on Stolen or Illegally Exported Cultural Objects by the International Institute for the Unification of Private Law (UNIDROIT), excerpted at Appendix A.

3. Guiding Principles

As records of human history, artefacts and their contexts of recovery must, during the course or research, be ethically and sustainably looked after to retain their cultural significance². The following guiding principles form the basis of this Code of Practice:

(i) The highest possible standards should be upheld in preserving artefacts throughout the research process, including but not limited to, excavation, post-excavation analyses, museum exhibition, storage and publication.

(ii) Researchers should bear in mind the ethical concerns in research on artefacts, including but not limited to the dangers of looting and of illicit trade in antiquities.

(iii) Researchers should not engage in, or allow their names to be associated with, any activity that has negative impacts on artefacts and is carried out for commercial profit derived directly from or by exploiting the artefacts³.

(iv) Researchers should practise responsible sampling and consider minimally destructive options to balance the need for research and preservation of artefacts.

(v) It is incumbent upon researchers to uphold ethical standards in their research and seek guidance and approval from the Human and Artefacts Research Ethics Committee (HAREC) as appropriate.

(vi) Researchers must promote access to their data, including depositing materials in public repositories.

4. Identification

(i) Researchers should determine whether their research proposals for the Research Grants Council (RGC)'s funding schemes involve the study of artefacts. In general, proposals require ethical approval when:
    (a) The study involves potentially intrusive or destructive intervention, including but not limited to archaeological excavation, surface collection or destructive analyses of artefacts, activities leading to a loss of artefact provenance information etc.; or
    (b) The study involves work with artefacts that may be ethically or legally sensitive, including but not limited to artefacts of uncertain provenance or ownership, artefacts of significance to indigenous groups etc.

(ii) Researchers should seek the approval of HAREC as an application criterion for the RGC's funding support.

5. Vetting by HAREC

HAREC, when vetting the proposals, will make reference to the following criteria:

Stewardship and Discovery
(i) Where the research involves discovering or excavating artefacts, HAREC is satisfied that the researchers have /will endeavor to mitigate the impact of their activities and limit damage or deterioration to the sites of recovery, artefacts being studied and minimise the environmental impact for their actions.

(ii) The researchers have set out plans for conservation of sites post excavation, preservation of excavated objects, and publication of the archaeological records to the satisfaction of HAREC.

(iii) In considering (i) and (ii), HAREC will refer to the list of best practices⁴ at Appendix B.

Data Collection
(iv) Where research involves studying artefacts already excavated or processed, whether by a public or private party, the researchers have exercised due diligence in establishing that the artefacts being studied –
    (a) are in a public collection of its country of origin; or
    (b) have been in a public/ private collection since before 19705; or
    (c) since 1970 , have not been illegally excavated, acquired, transferred and/ or exported from its country of origin,
to the satisfaction of HAREC.

(v) The due diligence in (iv) could be indicated by the actions of the researchers such as having checked information and documentation which could be reasonably obtained and consulted accessible agencies / third parties or taken other reasonable steps⁶.

Refrainment from Taking Economic Incentives
(vi) Researchers undertake that they did not and will not accept gifts, emoluments, sponsorship, or funding from dealers and collectors of artefacts for the research projects⁷.