5 Practical Guidance

With responsible stewardship most archaeological data can be shared, provided personal and sensitive data is managed proactively and processed in a way that is adequate, relevant and respectful to the rights of the individuals involved. This approach requires a balance between privacy and preservation. The archaeological imperative to preserve data for future wide reaching reuse and research must be weighed against the legal and ethical obligation to protect living individuals’ privacy on their own terms.

Because it can be difficult to disentangle personal data from other data in an archival context, practitioners may rely on the archiving exemption to retain certain information. However, this must be used carefully and within the constraints of the law. Crucially, the goal is not to remove all evidence of people from the archaeological archive by erring on the side of caution. It is therefore essential to assess personal data sensitivity throughout an archaeological project’s lifecycle and determine which information is necessary to form part of the archaeological archive while not eradicating the human element from the collections.

Managing personal data in archaeological practice presents significant challenges, yet also valuable opportunities, provided that appropriate assessment procedures are followed. Without safeguards, there is significant risk of including materials that contain unnecessary personal data within the project archive. Examples of such materials that have been deposited with archaeological repositories include employee CVs and copies of driving licences. These may be key to project management and the working project archive, but they should be deselected from the final archaeological archive deposited within a repository. Repositories have also received data that has accidentally captured personal information, such as site diaries discussing employee health details, or building recording photographs inadvertently capturing homeowner personal data in the forms of bills or family photographs. With suitable data assessment processes this can be avoided.

Examples of responsible data assessment and processes:

• Data minimisation: only collect data that is strictly necessary according to the terms of the archaeological work and the consent provided by implicated communities,

• Establish the legal basis for processing all personal and sensitive data (e.g., legitimate interest, consent),

• Create tiers of data for different purposes (i.e., organisational administration, working project archive and deposited archaeological archive),

• Anonymise or pseudonymise data where appropriate,

• Conduct appropriate staff training at all levels in handling personal data,

• Implement audit trails and robust review processes.

Such data assessment must take place at the collection, processing, and archival stages of an archaeological project, as it is impossible to address the issue at the very end of the process when it will pose a larger challenge to archivists, and can result in time delays, further costs and increased risk.

The guidance below provides practical advice tailored to different roles that are common to archaeology and heritage sectors. We include information about the practical steps that can be implemented to transform potential obstacles into opportunities for more robust and responsible practice and research.

The scenarios are not intended to provide an exhaustive list but instead a starting point for discussing the issues that each role needs to navigate within the complex landscape of personal data protection. The accompanying guidance should be considered in relation to the needs, interests and explicit consent of the individuals involved in supplying and processing archaeological data, as well as the communities whose heritage is subject to archaeological investigation.

This guidance will evolve with time as approaches to data stewardship and consent in the UK are elaborated, and as further understanding is generated of the role of personal data in reuse of archaeological archives.

5.1 Guidance for project managers/planning¶

Challenges

Managers need to establish, update and ensure compliance with data protection regulations as part of an Organisational Privacy Policy. This should comprehensively articulate how that organisation manages personal data, including how personal data is managed in relation to the archaeological archive. The establishment and maintenance of this policy on an organisational level reflects good practice in data management (Dig Digital Toolkit, DigVentures (2024)) and adherence to relevant legislation.

Managers should be aware of the contractual agreements made with their employees - both permanent and short term - including specific clauses that relate to personal data. Furthermore they should ensure that staff are aware of their own rights as per the legislation. Any contractual agreements or statements of consent should clearly communicate the potential uses of their personal information, such as featuring staff images in organisational communication channels and promotional materials (e.g., websites, social media channels, adverts) as well as the potential long-term presence of personal data in the archaeological archive.

During the project planning process, managers (and others) should proactively consider where personal data may be collected during the project and how they will implement suitable processes for the collection and management of personal data. This involves establishing the legal basis for data collection, and the preparation of consent forms to ensure permissions are in place for different activities, such as photographing site visitors and members of the public, or sharing email communications in the final archive.

Project planning should include site specific considerations relating to privacy and personal data. Sites located near sensitive environments, such as a school or childcare facility may restrict the ability to take photographs, videos and other visual data without express permission. A site located within a private residence (such as a building recording survey), may require additional scrutiny, such as ensuring that personal information, such as family photos or the contents of private letters, do not appear as part of the data recorded.

Consideration should also be given to geographic and location data and whether a site is on public or private land. Managers should assess if this data reveals personal information about the landowners or residents and clearly communicate any concerns to all stakeholders.

Most significantly, managers should organise comprehensive training for all staff to ensure that they fully understand personal data requirements, their specific role in managing personal data, and the implementation of specific protocols relating to organisational privacy policy. In addition, all project-specific personal data processes or concerns should be communicated to all staff working on the project. This is achieved most effectively in a working environment where senior managers collaborate closely across teams to ensure a consistent approach throughout the organisation.

Opportunities

Establishing the role of personal data in contractual agreements ensures that all parties involved are aware of what information may be collected, shared, and retained, including as part of the long-term archival process. This approach significantly reduces liability for individuals and organisations, and prevents potential delays to the planning process and research outputs. By being transparent with stakeholders about how personal data will be managed, trust can be built, increasing the likelihood of future engagement.

Incorporating data privacy into the planning phase of an archaeological project (and ensuring its consideration throughout the lifecycle as part of rigorous staff training) allows for real-time decisions to take place, to exclude personal data that has been included without consent, and to prevent costly and time consuming data clean-up at the end of a project.

At the same time, strategic planning for the collection of personal data enables managers and organisations to allow for the responsible inclusion of individuals in the archaeological narrative and to enhance the potential for community engagement. By developing robust consent processes, in line with organisational privacy policies, organisations can quickly capitalise on opportunities across a wide spectrum of activities - from site visitors to large-scale community archaeology events and national media appearances (e.g. newspapers, television programmes). This approach ensures that organisations are better placed to prepare datasets with greater reuse potential, craft meaningful narratives and generate impactful media content to effectively communicate archaeological practices and results to broader audiences.

Scenarios

1. Planning for community archaeology/engagement events: Collecting personal data such as within photos and videos, as part of a community archaeology event or other activity, can enhance an organisation’s public engagement strategy and enable the development of long-term community relationships. Considerations should include:

   • Participant Communication Strategy: Provide comprehensive information materials to participants explaining the purpose of the engagement event, what data is being collected, the legal basis for processing the data, how the data may be used, where it will be shared, if it will enter the longer term archive, and contact details for any data protection queries.

   • Consent Forms: Develop clear, accessible consent forms that clearly detail the types of data collected, the intended use of the data, the duration of data retention and how data can be removed.

   • Data Protection Measures: In line with an organisation’s privacy policy and data management policies, ensure that any personal data is stored in a secure way, that anonymisation of materials is undertaken where people have requested it (per the terms of their consent form), and that personal data not entering the deposited archaeological archive is destroyed along a clear timeline.

2. Basic photographic survey of a private residence: By effectively collecting and managing data collection during a private residence survey, with specific consideration to personal data, managers can guarantee the creation of the comprehensive archaeological record, while maintaining positive relationships with clients that respect individual privacy. Considerations should include:

   • Clear Communication: Ensure residents and planners understand the nature of the survey, what will be collected and where, and the intended sharing platforms (e.g. organisational website, a digital repository). This can form part of a specification document or written scheme of investigation.

   • Privacy and Consent Considerations: Instruct practitioners to take due care and attention when undertaking surveys to prevent the inadvertent collection of personal data (i.e. information within general building survey photographs). Ensure that all permissions to record a building have been agreed with the homeowner/resident and properly documented.

   • Proper Documentation and Redaction: Document where personal data may appear in site photos and other media and identify a clear process for what information may need to be redacted/removed as a result.

5.2 Guidance for field supervisors¶

Challenges

Field supervisors should understand the types of personal data that may be collected during archaeological fieldwork. These may include audio/video recordings of people on and around the archaeological site, as well as written information, such as site diaries as detailed above. Supervisors should also be aware of the potential reputational implications for the organisation that might be caused by including unpermitted personal data (where consent has not been granted) within the archaeological archive.

Field Supervisors should ensure that they are familiar with all organisational privacy policies and relevant contractual agreements for staff in the field. Field supervisors should also be aware of all site specific considerations relating to privacy and personal data identified during project planning. This is to ensure that on site practices and instruction of junior colleagues align with organisational privacy policies and data management plans, and that unpermitted personal data is not being collected. The provision of training to members of staff and others (e.g. placement students and volunteers) may help to ensure that privacy considerations are taken into account when recording archaeological evidence.

Fieldwork sites are dynamic and unpredictable environments and may introduce additional complexity when managing data. This may lead to the inadvertent inclusion of personal information in archaeological site records, such as phone numbers and contact details of visitors or information on an identifiable individual’s special requirements whilst on site. Field supervisors may need to make real-time decisions about what information is appropriate to record and consider the contents of the working project archive that may need to be identified as sensitive before it passes to post-excavation and archive teams.

Opportunities

Field supervisors can facilitate and leverage the responsible collection of personal data as a powerful tool for storytelling that connects communities with the practice of archaeology and information about the past. The role of fieldworkers in the collection and interpretation of archaeological information may be overlooked in the process of publishing the results from archaeological information. The inclusion of personal data including the names of fieldworkers highlights their role, contextualises the archaeological record, and provides recognition for their valuable contributions within an archaeological project. Therefore, preserving this metadata within the archive may be considered a matter of public interest and vital for future reinterpretation.

Human-centred datasets (e.g., images of excavations, sketches, diary entries) created on site provide excellent context for reports or publications. Research from the TETRARCHs project demonstrates that professionals are more likely to reuse archaeological data if it captures the human, emotive and institutional environments in which archaeology is conducted. Such data are equally important to pursuing meaningful community archaeology: see CIfA’s Public Engagement toolkit for guidance on planning for public engagement.

Scenarios

1. Non-intrusive survey, e.g. building recording, laser scanning: By meticulously collecting and managing data, field supervisors can create comprehensive documentation and datasets that support research and reuse while ensuring personal data boundaries are respected. Considerations should include:

   • Incidental data collection: Ensure that you are aware of any additional data being collected that is personal and unpermitted or non-relevant to the survey. Some non-intrusive methods (e.g. laser scanning) rapidly collect vast quantities of data that cannot be easily redacted once collection is complete.

   • Documentation and Boundary Setting: During the planning of non-intrusive surveys, determine what areas should or should not be documented. Where avoidance of certain areas is not possible, determine what measures (whether during or after the survey) will be taken to ensure privacy. All decisions should be documented as part of the data management plan.

2. Excavating human remains: While generally data concerning the dead does not fall under modern data protection legislation, by carefully collecting and managing data during the excavation of human remains, field supervisors can ensure that any ‘proxy data’ that can be linked to living descendants is handled with legal and ethical rigour. Considerations should include:

   • Descendant Rights: Human remains are treated as personal when they can be linked to a living individual. For example, if you are excavating a 19th-century cemetery, there is a high probability of living great-grandchildren. If those descendants can be identified, any data you collect about the deceased becomes information related to a living person.

   • Special Category Data: Data that can reveal genetic markers, such as inherited health conditions or ethnic origins of living descendants, is sensitive personal data which holds the highest level of protection and must be managed with further care. It may need to be treated differently from the rest of the working project archive (e.g. redacted or saved in a different location).

   • Ethical Consent and Respectful Treatment: Ensure that all appropriate permissions are obtained prior to excavation and that, during this process, all recording is undertaken respectfully and to high standards.

   • Cultural and Personal Sensitivity: Consider the cultural context and location of excavation sites to ensure that practitioners are balancing investigation and preservation by record with respectful treatment.

   • Physical Protection and Privacy of the Excavation: Shielding remains from view prevents the unauthorised collection of imagery by the public, which—if shared on social media—could infringe on the privacy and cultural sensitivities of descendant communities or be used to identify living relatives.

5.3 Guidance for post-excavation supervisors¶

Challenges

Post-excavation supervisors face complex decisions about which fieldwork materials should be selected for digitisation and which should be retained. Potential issues relating to personal data in the field should be noted by project managers and fieldwork supervisors and communicated to the post-excavation team so that appropriate actions can be taken before sharing with external parties like specialists, planning officers, or clients. The post excavation team should ascertain, based on consent provided, whether parts of the working project archive should be redacted and when to remove problematic personal data from the final archaeological archive.

Post-excavation data and reporting from specialists should receive special consideration. Specific contractual requirements may be needed to ensure that external specialists (e.g. finds and environmental specialists) adhere to organisational privacy policies. The personal data of the specialists themselves also needs to be considered. Post-excavation supervisors and other publication officers may need to manage personal data of specialists found in technical reports such as personal addresses and properties retained in digital files. Contractual information from external specialists that may include financial details and personal addresses, should be retained within your organisation, separate from the working project archive, to ensure that this information does not become preserved as part of the archaeological archive.

Opportunities

Reviewing the inclusion of personal data at the post-excavation stage provides another opportunity to ensure compliance with GDPR requirements. This approach prevents long-term liabilities associated with depositing sensitive information, for which consent has not been obtained, into permanent archives where it can be more difficult to address. This process also helps future users of the archive, by ensuring that the selected archaeological archive contains those records and materials that testify to the significance of the project and support future research, outreach, engagement, display and learning activities.

An ordered and well-managed archive that contains full and complete specialist material ensures a rich research resource once deposited with an accredited archive. Ensuring that materials from post-excavation specialists comply with organisation privacy policies enables the full dataset to be deposited with an archive. This consideration could be undertaken alongside wider data management issues, including providing full datasets in useful formats and with relevant metadata, to encourage data synthesis Roushannafas et al., 2024.

Scenarios

1. Digitisation and Redaction: By managing personal data during archive digitisation, through careful selection and redaction, post-excavation supervisors can create a more accessible, ethically robust, and research-friendly archive that preserves critical contextual information while protecting individual privacy. Considerations should include:

   • Checking and redaction: During the digitisation process records should be checked and, where appropriate (eg. where consent has not be provided), redacted to preserve personal privacy. Consideration should be given to whether redaction can be undertaken using specialist software after digitisation and, if so, ensuring that different versions are stored and managed appropriately. Where personal data elements have been removed from digital versions of records, the redacted information in the physical record should be likewise identified and treated accordingly.

   • Balancing documentation with privacy: Consideration should be given to ensuring the widest possible documentation while protecting privacy. Where possible, redaction should be minimised to ensure a rich digital archive, rather than used as a blanket method to reduce time and cost.

   • Developing systemic approaches: Developing guides and procedures for post-excavation staff, particularly across a large team, will ensure consistency. Double checking with multiple members of staff is ideal, if possible, to minimise errors.

2. Specialist Reporting: The management of specialist reporting, although challenging due to regular use of external contractors, can create a comprehensive and nuanced archival record that ensures maximum research and community potential. Considerations should include:

   • Managing professional communications: Often emails and invoices from external contractors get entangled with the working project archive causing potential privacy issues. Where consent to archive such communications has not be obtained, these materials should be separated to avoid issues, especially when sharing data with people from outside the organisation.

   • Technical documentation: Digital files, especially reports, can often contain additional personal information, such as file properties, that should be checked and removed prior to sharing data with people from outside the organisation.

   • Indirect identification: External specialists may inadvertently overlook privacy requirements due to their distance from the initial data collection and/or a lack of policy awareness. This creates a risk of indirect identification where specialists handle data that appears benign in isolation but becomes personal when cross-referenced with other records. Post-excavation supervisors should brief external specialists on how to recognise and respond to personal data when encountered.

5.4 Guidance for archivists - physical and digital¶

Challenges

While this guide primarily focuses on digital workflows, it is important that any issues around personal data identified in the preceding stages (project planning, data collection, post-excavation) and addressed during digitization are equally documented in the physical records, whether these continue to be retained in-house or are passed on to an external body such as a museum. Where records are passed to an external body as part of the archaeological archive, both parties should have a clear understanding of the content of such records alongside any legal responsibilities and access restrictions.

During the compilation of the archaeological archive, additional materials may be included that originate from outside the workflows described above. Such examples include projects with community involvement or outreach activities that may create records such as reports, interviews, or artworks, which in turn may also contain elements of personal information. An example from the ADS collections is that of drawings by schoolchildren - with full names subsequently redacted - included in the digital archive Digital Datasets from a Flood Alleviation Scheme at Swine Castle Hill, Bransholme, Hull, 2011-2023 Dyson, 2024.

Archivists should be aware of how best to identify material for short-term retention and possible disposal, versus long-term retention and management, with attention to any informed consent provided by implicated individuals. Any personal data issues identified should be recorded alongside the data itself at a sufficiently granular level.

Additionally, archivists should maintain their awareness of policy changes over time, adapt their practices accordingly, and ensure that these changes are effectively communicated to other relevant people within the organisation. Where policies have changed over time, it may be beneficial to include such policy documents and data management plans within the archaeological archive itself. (See also The National Archives Lomas et al., 2018 Guide to Archiving Personal Data.)

Opportunities

Ultimately, managing personal data sensitively throughout the project lifecycle should allow for a robust archaeological archive where individuals featured in the data have directly guided decision making. This approach transforms a technical record into a rich historical resource.

Including personal data in the archaeological archive, such as a data creator’s name, allows for future researchers to account for known styles or interpretive tendencies of that individual and track the development of archaeological thought. This traceability also serves a practical purpose by enabling researchers to clarify ambiguous information with data creators, saving time and costs during reanalysis.

Retaining names of community participants (with consent) allows the archaeological archive to be a living resource. Future descendants of those participants can find their family’s contribution to local heritage. This fosters long-term public engagement and potential support for future funding and preservation efforts.

Effective management also provides practical opportunities, from assuring organisations they are meeting legal requirements to streamlining the final archive For example, identifying information intended for short-term use that can be disposed of once it is no longer required can reduce storage costs.

Scenarios

1. Preparing an archaeological archive for deposition: Preparing the working project archive for deposition with a repository is the final intervention point before the archaeological archive and any personal data it contains is transferred to the responsibility of another organisation. Considerations should include:

   • Selection: During the selection process a final filter should take place removing all redundant administrative files that may contain unnecessary personal information.

   • Anonymisation and redaction: It can be tempting to over anonymise or redact the archaeological archive, for example by removing all images of people. Care should be taken to avoid over-anonymisation, as this can diminish the archive’s research value and obscure vital links between the communities involved.

   • Legitimate Interest: Where personal data, such as fieldworker names or photographs, are kept in the archaeological archive for a professional purpose, it should be confirmed that this is to ensure the long-term provenance, accountability, and historical integrity of the archaeological record.

   • Consent: Confirm that permissions granted during data collection, such as the right to be named in a community project or the agreement to have an oral history archived, align with the access levels and long-term management policies of the receiving repository.

2. Accessioning an archaeological archive with personal data: When ingesting archaeological archives containing personal data, the receiving repository must ensure they are aware of the background of the data collected. Considerations should include:

   • Legal basis: The repository receiving the archaeological archive should confirm and document the specific legal grounds under which the personal data was collected and is being processed for long-term preservation.

   • Recording consent: The receiving repository may wish to record the original evidence of informed consent alongside the archaeological records to ensure the repository can defend its right to hold and share the data.

   • Embargos: Where personal data is sensitive or where consent was granted for future rather than immediate release, the repository must implement embargo protocols, setting clear conditions for when restricted material can be made accessible to the public.