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                    <text>Legally in situ: legislative allowance for the practical
application of in situ preservation pertaining to marine
archaeological materials
Debra Shefi1
‘The protection of underwater cultural heritage through in situ preservation shall be
considered as the first option. Accordingly, activities directed at underwater cultural heritage
shall be authorized in a manner consistent with the protection of that heritage, and subject to
that requirement may be authorized for the purpose of making a significant contribution to
protection or knowledge or enhancement of underwater cultural heritage’ (2001 Convention:
Annex, General Principles, Rule 1).

Abstract
The protection of underwater cultural heritage (UCH) often falls prey to interpretation of, or
exclusion from, the law. With the ratification of the 2001 United Nations Educational, Scientific
and Cultural Organization’s (UNESCO) Convention on the Protection of the Underwater
Cultural Heritage (2001 Convention) encouraging the use of in situ preservation as the
preferred option for managing these submerged sites, there is a need for a more refined
guideline as to what constitutes in situ preservation within the 2001 Convention. Cultural
heritage managers utilise a number of proactive and reactive in situ preservation methods
with the intent to establish and maintain a stable environment for submerged cultural material,
which can only be employed if the State Party has supporting legislation.
Within the
Asia Pacific region, the degree of State Party laws pertaining to the protection of UCH ranges
from being in compliance with the rules and principles outlined by the 2001 Convention to
contradicting the fundamentals within the document outright. Furthermore, terminology found
within State Party laws varies from terminology found within the 2001 Convention, which
further differs from terminology used by practitioners. With this in mind, it is necessary to try
and bridge the gap between written definitions found in international texts and laws with the
practitioners’ application of in situ preservation in order to strengthen the relationship between
language and practice for the purposes of more efficiently supporting the management of
underwater sites. This paper will focus on terminology within the Asia Pacific region pertaining
to UCH management by examining the differences between legal boundaries and best
management strategies. This paper will specifically look at terminology within regional
domestic laws, discuss Rule 1 of the Annex, and address how amending terminology within
these texts may benefit the region.

Introduction
Heritage, along with the debate surrounding its ownership, has existed as a
legal entity in various capacities for over a century. As an all-encompassing
term, heritage has been defined as both the tangible and intangible aspects of
society that are considered valuable enough to preserve and pass on through
the generations (Davison 1991; Schofield 2008; Smith 2006). More
specifically, the term can be broken down into individual facets, including
cultural heritage (together with underwater cultural heritage), natural heritage,
intangible heritage, industrial heritage, and ethnographic heritage
(UNESCO.org; Smith 2006; Rössler 2006; UNESCO 1972). Heritage can also
1

Flinders University, Department of Archaeology, Australia, Debra.shefi@flinders.edu.au

1

�be considered an aspect of history, a discourse, and a tradition, thus providing
a resource to better understand the past (Schofield 2008; Smith 2006). More
broadly, it is a useful term to describe what is remembered, practised,
continued and evolved throughout the ages.
Laws regarding the protection of cultural heritage within the Asia
Pacific region vary in degree of legal definition with regards to what
constitutes the term in accordance to age, material, location and ownership.
The different definitions have significant implications on the classification of
material, and therefore the extent of protection. This paper will focus on
identifying key phrases within State Party laws that are associated with
heritage found underwater, and how these relate to the General Principles,
Rule 1 in the Annex associated with the 2001 UNESCO Convention on the
Protection of the Underwater Cultural Heritage. The purpose of this
investigation is to consider the need to amend specific terminology or
definitions of terms within the 2001 Convention’s Annex in order to provide
stronger support for State Parties that have either ratified or agreed to the
rules and guidelines provided in the Annex. In order to do this, the discussion
will first set out which nations in the region have cultural heritage laws
specifically referencing UCH and the terminology applied within these texts.
Nations included in this study are based on UNESCO’s parameters for the
Asia Pacific region (UNESCO.org). The discussion will then continue by
reviewing Rule 1 followed by how the domestic laws relate to the Annex. It is
necessary to consider the relationship between domestic law and the 2001
Convention, and whether this relationship can be strengthened.

Asia Pacific as defined by UNESCO
UNESCO delineates Asia Pacific as the following countries:
Afghanistan
Australia1,2
1
Bangladesh
Bhutan
Brunei Darussalam
Cambodia1
1
China
Cook Islands
Democratic Peoples
Republic of Korea
Fiji
India
Indonesia
Islamic Republic of Iran
Japan
Kazakhstan
Kiribati

Kyrgyzstan
People’s Democratic
Republic of Lao
1
Malaysia
Maldives
Marshall Islands
Federated State of
Micronesia
Mongolia
Myanmar
Nauru
Nepal
New Zealand1
Niue
1
Pakistan
1
Palau
Papua New Guinea

Philippines1
Republic of Korea
Russian Federation
Samoa
Singapore
Solomon Islands
Sri Lanka
Tajikistan
Thailand
Timor-Leste
Tonga
Turkey
Turkmenistan
Tuvalu
Uzbekistan
Vanuatu
Viet Nam

1

State Party with laws referencing the protection of underwater cultural heritage within
general law.
2
State Party with specific laws referring to the protection of underwater cultural heritage.

Within the cultural heritage legislation of these countries, there is a
spectrum of protection for UCH. This ranges from specific protection of
archaeological material located beneath the surface of the seabed, through to
allowing treasure hunting by permit. There are forty-eight Parties listed above
2

�and only two have ratified the 2001 Convention: Cambodia and the Islamic
Republic of Iran. Many of the remaining nations listed above have agreed to
the Annex but because of political reasons or contradictions with their own
domestic laws, have yet to ratify the 2001 Convention. Of the forty-eight
countries, no cultural heritage legislation was found for fifteen countries, and
an English translation was not available for five countries. As a note, there
may be relevant heritage legislation for these fifteen Parties however no
mention of UCH laws could be found in English sources. Thirteen of the
twenty-eight English translations for the Parties have legislation pertaining to
the protection of cultural heritage in regards to water. Of the thirteen nations,
Australia is the only country to have specific UCH legislation, and this specific
legislation only pertains to shipwrecks (HSA 1976). None of these thirteen
nations refer to in situ preservation within their cultural heritage laws.
The most common terminology found within the domestic laws are in
regards to the location of heritage material – in internal waters, archipelagic
waters, and territorial waters. Of the thirteen Asia Pacific nations with
underwater references in their legislation, Malaysia and Sri Lanka reference
internal waters. Malaysia, for example, includes antiquities located in, ‘any
part of the soil or of the bed of a river or lake or of the sea’ (MAA 1976: Part
I.2.a), and includes any undiscovered antiquities, ‘lying on or hidden beneath
the surface of the ground or in any river or lake or in the sea’, to be ‘absolute’
property of the Malaysian government (MAA 1976: Part II.3.3). This legislation
however, does not reference preservation of these antiquities, merely the
location and ownership.
Terminology and phrasing regarding the location of State-specific
legally defined cultural heritage ranges from ‘on land and underwater’, to ‘on
ground or underwater', ‘to the Territorial Sea', and to ‘the Continental Shelf’;
however, active management regarding preservation is neither outlined nor
referenced. Examples of cultural heritage legislation consisting of these terms
include:
Bangladesh – Antiquities Act 1968;
Philippines – Cultural Properties Preservation and Protection Act 1974
and National Cultural Heritage Act 2009 (see Orillenada and
Ronquillo this volume);
Sri Lanka – Antiquities Ordinance 1956 (Revision);
Turkey – Conservation of Cultural and National Property 1983.
Cambodia has more specific laws stating that it is illegal to, ‘carry out
excavations or survey on land or under water, for the purposes of bringing to
light cultural property...’, without approval from the appropriate authority
(RPCH 1992: Section 8. Article 47; LPCH 1996: Chapter 2. Section 7. Article
40; see Heng Kamsan; Nady Phann this volume). China also extends
legislation regarding the preservation of ancient remains and relics out to the,
‘territorial seas within the boundaries of the People’s Republic of China’
(LPRC 1982. Chapter 1. Article 5), as does New Zealand under the Antiquities
Act 1975 (see Charter and Dodd this volume) and Viet Nam under the Law on
Cultural Heritage 2001. Again, these laws do not address specific methods for
managing the preservation of underwater cultural material.
Pakistan’s legislation, in contrast to many others, does provide some
framework regarding the survey and excavation of cultural heritage. The
Pakistani Archaeological Excavation and Exploration Rules 1978 (AEER)

�defines excavation to mean, ‘any research aimed at the discovery of an
antiquity, whether such research involves digging of the ground or is carried
out on the bed or in the sub-soil of inland or territorial waters of Pakistan’
(AEER 1978:2.1.b). The AEER also defines exploration to mean,
‘investigation, without digging; or surface, aerial or underwater operations
aimed at the discovery, survey or recording of an antiquity’ (AEER
1978:2.1.c). Furthermore, no significant archaeological materials found during
a survey or excavation can be, ‘destroyed, dismantled, removed or disturbed,
save with the previous permission’, nor can individuals, ‘mutilate, discolour,
disfigure, remove, dismantle or damage any antiquity found in the course of
excavation or exploration’ (AEER 1978:9.d and 9.f). Excavation can be a
destructive method of information extraction, and is potentially damaging to
the stability of underwater cultural resources. The AEER sets out that
practitioners who are surveying and excavating must, ‘take necessary
measures for safeguarding and preserving the site under excavation or
exploration during and between seasons of work’ (AEER 1978:9.m). This
implies in situ preservation without defining the specific parameters of
‘safeguarding and preserving’. This is an example where the integration of
the international 2001 Convention with a strengthened definition for in situ
preservation could support and encourage more active preservation under
domestic law. Of the laws mentioned above, the trend within domestic law
focuses on the location and ownership of heritage, not the management and
preservation of the sites.

UNESCO – Background on the 2001 Convention
One of the first events in initiating the development of the 2001 Convention
occurred during discussions leading up to the establishment of the United
Nations Convention on the Law of the Sea 1958 (UNCLOS). This was in
regards to the conscious omission of, ‘objects such as wrecked ships and
their cargoes (including bullion) lying on the seabed or covered by the sand of
the subsoil’, within the document (YILC 1957:298). The UNCLOS does
however stipulate that, ‘this article is without prejudice to other international
agreements and rules of international law regarding the protection of objects
of an archaeological and historical nature’, (1982: Article 303.4) – a proviso
that extends to include the 2001 Convention. As an institution, UNESCO, ‘is
the sole intergovernmental organization with near universal membership
which has a mandate to help States protect their cultural heritage’ (Engelhardt
2006:7). Although this agency encourages Parties to ratify the 2001
Convention, the process of ratification is long and arduous. More than 100
countries were present during the meetings to create the document, and
although these countries helped develop the outline and terminology applied
throughout the text, each nation had to sacrifice key points or terms that
complied with their domestic laws. With omissions and alterations, many
States were no longer able or willing to ratify the 2001 Convention. However,
they did often state that, ‘they [would] ensure that the Rules of the Annex are
implemented’ (Engelhardt 2006:7). Although ratification of the 2001
Convention is, for some countries, unrealistic in the near future, the

�participating bodies agreed that the 2001 Convention helps establish an
international standard and regulation specific to the management and
preservation of UCH (Englehardt 2006). To date, 40 State Parties have
ratified the 2001 Convention (UNESCO.org).

Part One of the Annex Framework
The General Principles outlined in the Annex to the 2001 Convention provide
rules regarding the protection of UCH. Rule 1 of the General Principles states
that in situ preservation is to be considered as the first option in managing
submerged cultural material. According to UNESCO, this means that objects,
‘should preferably be left on the seabed in their original location’
(UNESCO.org). Although in situ preservation is stated as the preferred
option, under certain conditions the removal of artefacts from on or beneath
the seabed may be acceptable as long as excavation can provide, ‘a
significant contribution to protection or knowledge or enhancement of
underwater cultural heritage’ (2001 Convention: General Principles, Rule 1).
By the broad UNESCO definition, UCH could be considered preserved
if it were left submerged in its current place of rest, either beneath the seabed
or resting on the seabed. While practitioners may not argue with this
statement, if the site is located in an exposed or dynamic environment, a
passive response will do nothing for the long-term protection and preservation
of the site. In order to more effectively manage the site, an appropriate
proactive in situ preservation method suited to the environmental conditions
should be applied. In this case, a clearer definition for best management may
include actively managing a site in its original location, ‘in order to extend its
longevity while maintaining original context and spatial position’ (Ortmann, et
al. 2010:28). If the material is degrading at a high rate due to exposure from
extreme tidal movement, sand movement, coastal erosion, looting, salvage,
construction, or marine organisms a proactive preservation measure suited to
the environment should be applied. This course of action leaves the site in
situ - thus falling under the stipulated best management practice – while still
allowing for and encouraging active management and preservation of the
UCH.
Since the 1950s, practitioners around the world have acknowledged
the importance of in situ preservation and experimented with a number of
different methods regarding the stabilisation of shipwrecks and associated
underwater material. These preventative and proactive in situ preservation
methods include backfilling, sediment dumping, hessian and polypropylene
sandbagging, deposition of ballast and stones, and the use of geotextiles,
artificial seagrasses, plastics, tyres, toxins, trenches, and iron and plastic
fences (Harvey 1996; Hosty 1988; Moran 1997a; Moran 1997b; Oxley 1998;
Sledge 1979; Waddell 2007). It may be difficult, however, to obtain support for
the application of these methods due to a lack of specific reference within
both domestic law and the 2001 Convention. UNESCO’s current definition
encourages ethical practices and promotes protection of cultural heritage,
however it does not provide specific guidance in methodology for in situ site
preservation.

�Any method of in situ preservation, whether proactive or reactive,
should reflect the importance of context as well as scientific site formation
processes, while helping to re-establish equilibrium at the site after exposure.
Research in countries such as Australia, Denmark, Sweden, the Netherlands,
and Canada have demonstrated that proactive in situ preservation helps slow
down the rate of decomposition by increasing the establishment of an
anaerobic environment (Bergstrand 2002; Björdal and Nilsson 2008; Curci
2006; Gregory 1998; Grenier 2007; Manders 2006; Manders, et al. 2005;
Nyström 2002). These various scientific data strengthen the argument for an
expansion of the definition of in situ preservation, and reinforces the
importance for the 2001 Convention to address specific methodological
approaches within internationally accepted standards for best practice. With a
lack of countries in the Asia Pacific region having domestic cultural heritage
laws specifically inclusive of heritage underwater, the broad acceptance of the
Annex, with suggested methodology, is a crucial step in more effective
preservation in the Region. Furthermore, those Parties with laws regarding
UCH will have a more comprehensive document to help support their own
laws in regards to more efficient and proactive site protection.

Parallel Terms between Entities
The 2001 Convention is a necessary adjunct to the UNCLOS in regards to
underwater archaeological material. The 2001 document extends State Party
jurisdiction beyond individual Territorial Seas to include waters within the
Economic Exclusive Zone (EEZ) and Contiguous Zone, up to the nominal
boundary of the Continental Shelf (2001 Convention: Article 8, 10.1, 10.2).
Under special circumstances, the jurisdiction of a State Party may extend out
into the Area (2001 Convention: Article 11.1). The 2001 Convention
establishes a framework that addresses the safeguarding and preservation of
UCH with the intent of helping to establish an international standard for the
survey, exploration, and management of submerged archaeological sites.
Restrictive economic circumstances that many nations face due to the
ongoing global financial crisis have implications on the management of
cultural heritage. Decisions around site preservation and protection methods
may be limited in this current environment. It is however still the responsibility
of individual countries to protect their own UCH by, ‘the best practical means
at their disposal and in accordance with their capabilities’ (2001 Convention,
Article 2.4). While the capabilities of individual Nations may vary, further
developing the definition of in situ preservation provided by UNESCO may
also introduce a greater onus on governments to consider their duty of care
by actively stabilizing sites under internationally accepted rules and principles.

Conclusion
One of the most important aspects of the 2001 Convention is that it
encourages international co-operation and fosters the exchange of
information and methodologies that improve the protection and preservation
of significant UCH. This information, in conjunction with domestic law within
the Asia Pacific region, helps practitioners better manage UCH at an

�internationally accepted standard. Rule 1 from the Annex, General Principles
identifies in situ preservation as the first option for managing submerged
cultural heritage. It does not, however, outline in situ preservation
methodologies acceptable for application. As the specific concept of in situ
preservation is not addressed in any domestic laws relating to cultural
heritage management within the Asia Pacific region, it is necessary to better
integrate UNESCO’s definition with methodologies and applied practice to
more effectively manage underwater sites.
Amendments to the 2001 Convention and to the Annex can occur in
2014, five years after the January 2009 ratification. In this context, clarifying in
situ preservation techniques as best practice in managing UCH sites will
enable more cohesion between domestic laws and the international 2001
Convention for the Asia Pacific region. This will be of great benefit to
participating governments and to practitioners, leading to better outcomes for
the long-term preservation and value of UCH.

Abbreviations
2001
Convention
AEER 1978
HSA 1976
LPCH 1996
LPRC1992
MAA 1976
RPCH 1992
UNESCO.org
UNESCO 1972
UNCLOS
YILC 1957

United Nations Educational, Scientific, and Cultural
Organization. 2001 Convention on the Protection of the
Underwater Cultural Heritage.
Pakistan - Archaeological Excavation and Exploration Rules
1978
Australia - Historic Shipwrecks Act 1976
Cambodia - Law on the Protection of Cultural Heritage 1996
China - Law of the People’s Republic of China on
Protection of Cultural Relics 1982
Malaysia – Antiquities Act No. 168 1978
Cambodia – Resolution on the Protection of Cultural
Heritage 1992
www.UNESCO.org
United Nations Eductional, Scientific, and Cultural
Organization. 1972 World Heritage Convention
United Nations Convention on the Law of the Sea 1958
United Nations, 1957, Yearbook of the International Law
Commission 1956, Vol II. United Nations, New York.

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