Evolution of the AIC Code of Ethics/Guidelines for Practice

From the Ethics and Standards Committee

Presented below are drafts of the first Commentaries to the AIC Guidelines for Practice. These Commentaries, which address the issue of documentation (Guidelines 24-28), were prepared by the Ethics and Standards Committee from drafts written by the AIC Specialty Groups. Not only was the quality and thoughtfulness of these submissions extremely high, but also the coincidence of content was remarkable, which indicates a maturing of the profession.

The committee now requests that all members read this draft carefully, and if possible, discuss it with your colleagues. If you have any specific comments, additions, or corrections that would clarify or improve these Commentaries, please send them by April 15 to: Dan Kushel, Committee Chair, Art Conservation Dept., RH230, Buffalo State College, 1300 Elmwood Ave., Buffalo, NY 14222; e-mail kushelda@snybufaa.cs.snybuf.edu. The committee deeply appreciates the extraordinary enthusiasm and commitment of time and effort of the membership, and it looks forward to continuing this cooperative endeavor.

The Commentaries on TREATMENT are next!

Commentaries to the AIC Guidelines for Practice

Introductory Remarks

These Commentaries, created by the membership of AIC and to be submitted to the AIC Board of Directors for approval¹, are intended to amplify the Guidelines for Practice and to accommodate growth and change in the field. They are designed to define current accepted practice for the conservation profession and to provide recommendations that will assist conservation professionals in the pursuit of ethical practice. The Commentaries also serve as an educational tool and as an informational resource for improving professional practice. While the Commentaries strive to accommodate variations in requirements for different areas of specialization, the level of detail may not fulfill the need for guidance in all cases. AIC Specialty Groups are therefore encouraged to provide additional guidance to practitioners in their specialty.

Commentary 24
Documentation

The conservation professional has an obligation to produce and maintain accurate, complete, and permanent records of examination, sampling, scientific investigation, and treatment. When appropriate, the records should be both written and pictorial. The kind and extent of documentation may vary according to the circumstances, the nature of the object, or whether an individual object or a collection is to be documented. The purposes of such documentation are:

• to establish the condition of cultural property
• to aid in the care of cultural property by providing information helpful to future treatment and by adding to the profession's body of knowledge;
• to aid the owner, custodian, or authorized agent, and society as a whole in the appreciation and use of cultural property by increasing understanding of an object's asthetic, conceptual, and physical characteristics; and
• to aid the conservation professional by providing a reference that can assist in the continued development of knowledge and by supplying records that can help avoid misunderstanding and unnecessary litigation.

A. Rationale

(as denoted in Guidelines for Practice number 24, above)

B. Minimum Accepted Practice

• The obligation to produce documentation cannot be waived for any reason.
• All records should include:
  • the purpose of the documentation,
  • the name of the documentor, and
  • the date of the document.
• A written record should be made any time cultural property is examined, analyzed, sampled, treated, altered, and/or damaged, and when cultural property is temporarily transferred to the custody of the conservation professional. Formats of these records may vary, and records may be combined where appropriate. In determining appropriate format and content, the conservation professional may wish to consult an attorney as well as written recommendations developed by AIC Specialty Groups. This written record must include information that uniquely identifies the cultural property. For example:
  • accession or registration number and owner/custodian,
  • maker/origin,
  • subject/title/classification,
  • measurements,
  • marks/labels,
  • date of creation,
  • site location and boundaries.
• All components of the documentation (graphic and written) should be clearly labeled to identify them as part of this record.

C. Recommended Practice

• In determining the extent of documentation (both written and graphic), the conservation professional, in consultation with the owner/custodian, should consider the nature of the conservation activity, the significance of the cultural property, available resources, and any relevant legal requirements.
• In written documentation and labeling of graphic documentation, the conservation professional should use terminology generally accepted within the profession and should amplify the record as necessary to make it understandable to the owner/custodian.
• Associated records (e.g., previous conservation documents, curatorial records, Historic Structure Reports, excavation reports) should be incorporated into or cited in the documentation being created.

D. Special Practices

• Certain special circumstances may effect the extent or form of documentation. These are:
  • disaster response,
  • emergency treatment,
  • remedial minor treatment,
  • mass treatment (i.e., identical or similar routine treatment carried out on batches of collection materials),
  • collection assessments and surveys,
  • preventive care.

Commentary 25
Documentation of Examination

Before any intervention, the conservation professional should make a thorough examination of the cultural property and create appropriate records. These records and the reports derived from them must identify the cultural property and include the date of examination and the name of the examiner. They also should include, as appropriate, a description of structure, materials, condition, and pertinent history.

A. Rationale

• To record information about the materials, structure, past history, current condition, and environment of the cultural property that is obtained through direct observation and testing.

  This record:

  • preserves information that may be obscured or lost over time, through use, or during treatment,
  • establishes a benchmark against which to assess change of the cultural property over time, through use, and/or during treatment,
  • articulates the need for conservation measures (e.g., treatment, preventive care),
  • serves as a reference for additional study or decision making (e.g., acquisition, exhibition, loan, scholarly research), and
  • facilitates communication about the nature, care, and use of the cultural property.

B. Minimum Accepted Practice

• In addition to the data obtained through direct observation and testing,² the record of examination must include:
  • information for unique identification of the cultural property (see appropriate section of Commentary 24),
  • description of accessory materials or associated elements (e.g., components of cased photographs, stretchers and frames, mounts, original housings),
  • the purposes and circumstances of the examination that place the record in context, and/or
  • methods of examination and testing.
• If examination is in preparation for treatment, the record of examination must document in written and graphic form:
  • present condition, especially those aspects that are likely to be addressed by the treatment, and
  • evidence of past treatment, including references to documentation of previous conservation activities related to the cultural property.

C. Recommended Practice

• All examination records should include graphic documentation (e.g., photographs, diagrams, drawings, site plans) necessary to illustrate condition and relevant details accurately. Graphic documentation should include size scales, as appropriate. Photographs should also include color and gray scales and an illumination orientation indicator
• The conservator should endeavor to consult all available documentation of conservation activities related to the cultural property.

D. Special Practices

• Certain situations may require less documentation of examination. Nevertheless, documentation must always identify the cultural property being examined and must include the name of the examiner and the date of examination.

  These situations include:

  • Emergencies that may require intervention before examination can be fully recorded. Some record (e.g., audiotape, videotape, field notes) should be made at the time of intervention so that accurate documentation can be made when circumstances permit.
  • Examination of large groups of similar objects (e.g., archaeological fieldwork, archival collection, systematics collection) for which documentation may be for the group as a whole, but unique conditions of individual objects should be documented.
  • Surveys when representational documentation and/or group reports may be used. If all objects in the surveyed collection are not examined, the methodology for selection (systematic, random, haphazard) should be stated.
  • Examination of individual objects composed of many similar elements (e.g., books, feather cloaks). When documentation may be for the object as a whole, but unique conditions of individual elements should be documented.
  • Examination of components of a large, complex object (e.g, window of a building, wheel of a railroad engine), when documentation may be limited to representative components.
  • Examination for loans, when documentation may be limited to features or conditions that may change or that may cause concern during the period of loan.
  • Routine maintenance, where limited examination (e.g., visual inspection) is carried out in preparation for routine activities (documentation of examination may not be necessary in such cases).

Commentary 26
Treatment Plan

Following examination and before treatment, the conservation professional should prepare a plan describing the course of treatment. This plan should also include the justification for and the objectives of treatment, alternative approaches, if feasible, and the potential risks. When appropriate, this plan should be submitted as a proposal to the owner, custodian, or authorized agent.

A. Rationale

• Organizes the thinking of the conservator in planning a full course of treatment. Clarifies the goals of treatment and the sequence of steps necessary to reach them.
• Helps to ensure that relevant logistic factors are considered (e.g., time, materials, cost, facilities).
• Serves as a basis of communication and discussion between the conservator and custodian/owner, including issues concerning expectations, potential benefits, costs, and risks.
• Provides a clear statement to the custodian/owner of the proposed treatment and may serve as the basis for a contract.

B. Minimum Accepted Practice

• The treatment plan must be put into written form.
• It must include:
  • proposed course of treatment,
  • materials to be used,
  • time estimate, and
  • cost estimate, if used as a basis for contract,
• Unless a previous written understanding exists between the conservator and the owner/custodian concerning responsibilities for treatment decisions (e.g., job description, general letter of understanding, contract), the treatment plan, with the accompanying Report of Examination, must be presented to the owner/custodian for written approval. Similar approval must be obtained for significant revisions to, or deviations from, the approved treatment plan.
• If the custodian is not also the owner, the conservation professional must establish that the custodian has the authority to approve the treatment plan.

C. Recommended Practice

• Even if a previous written understanding exists, written approval should be obtained. If only verbal approval has been obtained, such approval should be noted in the conservator's records.
• The written plan should include:
  • objectives and limitations of the treatment,
  • benefits and risks,
  • general description of the properties of materials to be used,
  • alternatives to the proposed treatment, if appropriate,
  • time and/or cost, and
  • a statement that information revealed during treatment may require minor variations from the approved treatment plan.
• When a partial treatment is necessary before the complete course of treatment can be determined, a written plan for this partial treatment should be prepared and approval obtained from the owner/custodian.
• If the approved treatment is not to be carried out by, or under the direct supervision of, the conservator who prepared the treatment plan, then significant changes to the plan should be approved by the original conservator.

D. Special Practices

• Emergencies may require intervention before a treatment plan can be prepared and/or approved.
• Treatment plans for large groups of similar objects (e.g., archaeological fieldwork, archival collection) may be for the group as a whole, but significant variations for individual objects should be indicated.
• Treatment plans for individual objects composed of many similar elements (e.g., books, feather cloaks) may be for the object as a whole, but significant variations for individual elements should be indicated.
• Treatment plans for components of a large, complex object (e.g, window of a building, wheel of a railroad engine) may be limited to selected components.
• For routine maintenance and minor remedial treatment a general statement of procedures or policy may substitute for a treatment plan.
• For long-term or large-scale projects special consideration should be given to documenting the decision-making process that underlies the treatment plan.

Commentary 27
Documentation of Treatment

During treatment the conservation professional should maintain dated documentation that includes a record or description of techniques or procedures involved, materials used and their composition, the nature and extent of all alterations, and any additional information revealed or otherwise ascertained. A report prepared from these records should summarize this information and provide, as necessary, recommendations for subsequent care.

A. Rationale

• Documentation ensures that information about the treatment, and information obtained during that treatment, are preserved.
• Dated documentation (e.g., laboratory notes, work log) and the report prepared from these records:
  • document procedures used during treatment, and variations from the treatment plan,
  • document materials added to or removed from the cultural property,
  • document changes in the cultural property as a result of treatment, including its state after treatment,
  • document new information about the cultural property,
  • serve to prevent unnecessary future analysis and treatment,
  • serve as a basis for planning future treatments of the cultural property, including preventive care,
  • serve as a basis for evaluating the safety and efficacy of materials, techniques, and procedures, and
  • provide evidence of the conservator's actions.

B. Minimum Accepted Practice

• A dated record of all treatment actions and the name(s) of those performing those actions must be maintained during the course of treatment. The form of this record may vary as appropriate (e.g., laboratory notes, work log). Information recorded only on audiotape, videotape, or computer should be transferred to hard copy in a timely manner.
• Appropriate graphic documentation must be produced to record:
  • all aspects of a cultural property that may change in appearance during treatment ("before-treatment"),
  • all aspects revealed during treatment that will be obscured after treatment ("during-treatment"), and
  • the final appearance of the cultural property after treatment ("after-treatment").

    (See Special Practices, Section D, for exceptions to the above.)

• The treatment report prepared from these records must include:
  • name of conservator responsible for the treatment and names of all assisting conservators,
  • date of report,
  • information that uniquely identifies the cultural property,
  • accurate and complete description of all procedures used,
  • deviations from the proposed treatment,
  • a list of all added materials that remain with the cultural property after treatment, cited by manufacturer and proprietary name, and by chemical name or composition (if known),
  • composition of materials used in treatment that do not become part of the cultural property but may have a bearing on future examination and treatment (e.g., cleaning agents, solvents, bleaching agents, surfactants, enzymes, electrolyte solutions, poultices) must be listed in the log and included in the report. Sources of these materials, cited by manufacturer and proprietary name, and by chemical name or composition (if known) should be included where appropriate.
  • description of material removed during treatment or obscured by treatment,
  • new information about the cultural property revealed during treatment,
  • all appropriate graphic documentation.

C. Recommended Practice

• Treatment procedures and materials considered, but not chosen, should be discussed, particularly if the reasons for their rejection may aid in future treatment decisions.
• Treatment procedures undertaken but limited in application by time, or circumstance, or by characteristics of the cultural property should be discussed.
• Recommendations should be made for subsequent preventive care.
• All graphic documentation should include:
  • information that uniquely identifies the cultural property,
  • date, and
  • size scale and, if photographic, color and gray scales, and illumination orientation indicator.
• All graphic documentation should be produced under conditions that minimize variations in illumination, image size, background, point of view, etc. so changes in the appearance of the cultural property due to treatment are accurately depicted.
• Other conservation professionals and consultants should be cited in the treatment report.
• A summary of the treatment time and costs may be included.

D. Special Practices

• During emergencies, a log should be maintained as circumstances permit. A complete treatment report must be prepared subsequently.
• When treating large groups of similar objects (e.g., archaeological fieldwork, archival collection), a treatment log should be maintained to record the general treatments and any variations. The treatment report may be for the group as a whole, but variations applied to individual objects should be stated. Graphic documentation may be of representative objects and treatments.
• When treating individual objects composed of many similar elements (e.g., books, feather cloaks), documentation may be for the object as a whole, but variations applied to individual elements should be recorded. Graphic documentation may be of representative elements.
• When treating components of a large, complex object (e.g., window of a building, wheel of a railroad engine)--written and graphic documentation may be limited to components treated, but the components must be clearly located and identified.
• When performing minor remedial treatment, documentation of treatment may be limited to brief notes but must include:
  • information that uniquely identifies the cultural property,
  • date,
  • name of person performing treatment, and
  • a general description of treatment.
• Routine maintenance, which may be covered by established procedures and policies, or gallery logs, with no additional documentation required.
• Experimental, unusual, and high-risk treatments may require more extensive documentation.

Commentary 28
Preservation of Documentation

Documentation is an invaluable part of the history of cultural property and should be produced and maintained in as permanent a manner as practicable. Copies of reports of examination and treatment must be given to the owner, custodian, or authorized agent, who should be advised of the importance of maintaining these materials with the cultural property. Documentation is also an important part of the profession's body of knowledge. The conservation professional should strive to preserve these records and give other professionals appropriate access to them, when access does not contravene agreements regarding confidentiality.

A. Rationale

• Documentation is an integral part of the conservation process; therefore, it must be preserved so that the information it contains is later available to conservators and others. It may be used for a specific documented property to:
  • evaluate its present condition,
  • plan its further treatment,
  • expand appreciation and understanding of it,
  • study it even if it is lost or destroyed.

  More generally, the documentation may be used to:

  • evaluate treatment methods and materials,
  • support scholarly research,
  • provide a record of "current accepted practice,"
  • study the history of the conservation profession, and the thought processes and rationales that were applied to the care of cultural property.
• Availability of information reduces the need for direct intervention (e.g., sampling, handling, pre-treatment testing) when future study and treatment are undertaken.
• Documentation serves as an important educational tool for owners/ custodians, students, scholars, and the general public.
• Documentation may serve as a record that can help avoid misunderstanding and unnecessary litigation.
• Preservation of documentation enhances the credibility of the conservation profession by setting a positive example for allied professionals and the public.

B. Minimum Accepted Practice

• Documentation must be produced on and with permanent, stable media, be legible, and be readily accessible in the short and long term. Storage only on electronic media is unacceptable. The most permanent photographic systems reasonably available must be utilized for the photographic component of the graphic documentation.
• Records should be organized and maintained to insure their preservation and rapid retrieval. They should be stored under the best environmental conditions feasible.
• Two copies of the documentation must exist: one with the owner/custodian (curatorial office or registration department in an institution), the other with the conservation professional. The conservation professional should retain an original photographic record (e.g., negative or original color transparency) so the highest quality of graphic information is available. The conservation professional should stress to the owner/custodian the importance of storing these records properly and maintaining them with the cultural property, even if ownership changes.
• To guarantee access to the documentation without violating confidentiality, the owner/custodian should sign a written agreement governing access to the information by conservation and allied professionals, and by future owners/custodians.
• When requested, copies of documentation should be provided to future owners/custodians or conservation professionals in a timely fashion.

C. Recommended Practice

• Written and graphic documentation other than photographic should be executed on paper that meets ANSI Standard Z39.48-1992.
• Electronically or magnetically recorded documentation, and documentation requiring the use of other specialized retrieval apparatus can be useful adjuncts to the permanent record, but should not be relied upon as permanent records.
• Recommendations should be made to the owner/custodian regarding the maintenance and use of the documentation. Attaching a summary of critical information (e.g., name of conservation professional, identification or job number, treatment summary) to the cultural property may be a useful way to insure that documentation accompanies the cultural property over time.
• Within institutions, conservation documentation should be regarded as part of the institutional archives, and conservation professionals should work with archivists and records managers to develop sound policies for their permanent retention. Private practitioners should maintain documentation during the lifetime of their practice. If ownership of a practice changes hands, the documentation should be included in the transfer. If the practice closes, the conservation professional should make an effort to place documentation in an institutional archives. (AIC provides information on how to identify archives and place collections.) If this proves impossible and records must be discarded, their final disposition should be reported to AIC for future reference.
• The conservation professional should strive to keep informed about and to follow practices for the preservation and organization of records currently recommended by archives professionals.

D. Special Practices

• Nonpermanent materials (e.g., color Polaroid, blueprints) may be used in certain situations when no substitutes are available. Efforts should be made to transfer the information to a more permanent medium.
• It is advisable to obtain legal and other professional advice when establishing records policies.

Notes

¹ These "Introductory Remarks" are to be part of the Commentary document itself. In final form, this phrase will read, "and approved by the AIC Board of Directors."

² Distinguish clearly between observation and interpretation.

³ For books, standard photographic documentation may include: binding, title page or colophon, a representative opening in the text, and representative damage.