Thèse numérisée par la Division de la gestion de documents et des archives de l'Université de Montréal.

En marge des recherches archéologiques traditionnelles, nous retrouvons aujourd’hui des compagnies privées qui contractent des accords et obtiennent des permis leur donnant le droit de prélever des objets à des fins lucratives sur les vestiges archéologiques submergés. Ces pratiques commerciales causent une controverse vive et enflammée au sein du monde archéologique. Le principal point de litiges concerne la mise en vente des objets extraits lors de fouille. La mise en marché du patrimoine archéologique éveille les fibres protectionnistes. Cela incite certains organismes à poser des gestes pour la protection du patrimoine. C’est le cas pour l’UNESCO qui fait la promotion depuis 2001 d’une Convention pour la protection du patrimoine submergé. Malgré tous les arguments à l’encontre des compagnies de « chasse aux trésors », cette Convention est loin de faire l’unanimité des gouvernements à travers le monde, qui ne semblent pas prêts à rendre ces pratiques illégales. Les méthodes utilisées par ces compagnies semblent aussi représenter un point de friction avec les archéologues. Toutefois, la connaissance de leurs pratiques sur le terrain semble très incomplète. De plus, contrairement à une certaine idée préconçue, ces compagnies ne sont pas des « pilleurs de tombes » œuvrant sous le couvert de l’anonymat, mais bien des compagnies dûment enregistrées, œuvrant en toute légalité et passant même des contrats avec les gouvernements. Ce mémoire a donc pour objectif de mettre en lumière les actions réelles des compagnies de chasse aux trésors subaquatiques en regardant leurs méthodes et leur fonctionnement, tels qu’on les voit dans les 10 dernières années. Pour mieux conceptualiser les pratiques de ces compagnies, nous nous interrogerons sur le rapport entre légalité et éthique et, plus précisément, sur l’éthique commerciale et archéologique. / Beyond the pole of traditional underwater archaeology, we find an industry composed of commercial companies that enter into contractual agreements and obtain permits which allow them to take objects from submerged sites for financial gain. Their practices create a lively and often heated controversy in the archaeological community. The principal disagreement concerns the sale of objects from sites. The marketing of archaeological heritage awakens protective instincts and actions for the protection of heritage, such as UNESCO’s campaign begun in 2001 for the adoption of a Convention on the protection of Underwater Cultural Heritage (Unesco.org 2001). Despite all the arguments against « treasure hunting » companies, the Convention is far from being universally accepted by sovereign governments, who do not seem prepared to make the companies’ practices illegal. The methods used by the companies are also a source of friction with archaeologists. However, knowledge of their field methods seems rather incomplete, and contrary to some preconceived notions, these companies are not « grave robbers » working under the dark, but indeed duly registered companies working in full legality and even entering into contractual agreements with governments. This thesis aims to shed light on the activities of the underwater treasure hunting industry by studying their methods and operations as they have developed in the last ten years. In order to conceptualise the companies’ practices, we look at the relation between archaeological and business ethics.

Essa pesquisa tem como objeto a musealização da arqueologia marítima na cidade de Santos. Para tanto, recorreu ao estudo de recepção com estudantes de uma escola municipal de Santos visando a coletar dados norteadores de política de comunicação inerente ao processo de musealização. O propósito é trabalhar com a arqueologia pública, utilizando-se de estratégias participativas que aproxime as pessoas da ciência arqueológica considerando o museu e seu público. O estudo apresenta as pesquisas em arqueologia na cidade de Santos. Essas investigações trouxeram outras possibilidades de leituras para a história da cidade oriundas do campo arqueológico. Porém, muitas das coleções geradas por elas estão guardadas em outras cidades. Por esse motivo, é de suma importância que esse material permaneça em Santos, para que a comunidade santista tenha acesso a esses conhecimentos via comunicação museológica e a linguagem expositiva. O museu assume contemporaneamente um importante papel, para instigar seu público a participar da valorização e preservação desse patrimônio. Como patrimônio da união os vestígios arqueológicos marítimos musealizados devem estar a serviço da sociedade e a sociedade a serviço da preservação de forma a construir caminhos e soluções coletivamente. / This research has the objective of musealization of maritime archaeology in the city of Santos. For accomplishing that goal this research used the study of receptivity with students of a city public school to collect guiding data of the communication policy inherent to that process of musealization. The purpose is to work with the public archaeology using participative strategies that gather the people and the archaeological science, taking into consideration the museum and its audience. This study presents archaeological researches in the city of Santos. From those searches new possibilities of revisiting the history of the city arose originated from the archaeological field. However many of those archaeological collections are kept in other cities. For this reason it is of utmost importance that those archaeological findings stay in Santos so that its community has access to such knowledge through museological communication and expositive language. So the museum assumes contemporaneously a most important role by instigating its audience to participate in the valuation and preservation of such asset. As a Brazilian asset those musealized archaeological vestiges should stay to the service of the society and the society should stay to the service of preservation so to collectively build ways and solutions.

Tendo como referencial teórico abordagens focadas na Arqueologia Marítima (MUCKELROY, 1978; ADAMS, 1998, 2002), na Antropologia Marítima (MALINOWSKI, 1986 [1922]; DIEGUES, 1998) e em estudos de Percepção Ambiental (INGOLD, 2000), buscou-se desenvolver e testar a hipótese de que, embora houvesse uma unidade cultural que permitisse o estabelecimento de uma ampla sociedade sambaquieira, os povos dos sambaquis estariam organizados em comunidades costeiras regionais, as quais teriam se desenvolvido e se organizado em diferentes comunidades marítimas, costeiras e fluviais, em conseqüência dos diferentes modos com que eles se relacionariam (dialeticamente) com o ambiente. Para sustentar tal hipótese foi elaborado um modelo de predição de sítios submersos e realizadas análises da composição isotópica do estrôncio (HÖLZL, 1997; PRICE et al., 2000; BENTLEY et al, 2003; HODELL, 2004), do carbono e do oxigênio (KEITH, 1964; COSTA, 2000; MIZUTA, 2007) presentes (em amostras de conchas e ossos humanos) em sambaquis localizados ao longo do médio e baixo Vale do Ribeira, bem como em sítios do litoral central (Baixada Santista e Bertioga) e norte do estado de São Paulo (Ubatuba). Essas evidências foram correlacionadas à abordagem teórica através de uma proposta elaborada a partir do estudo dos processos de formação do registro arqueológico desenvolvidos por Schiffer (1972). Com base nessas análises, além de diferenciar os povos do médio Ribeira dos sambaquieiros do litoral, foi possível, entre outras, propor uma fronteira cultural entre os conjuntos de sítios do litoral sul/centro do estado de São Paulo e os sambaquis do litoral norte de São Paulo/sul do Rio de Janeiro. Especificamente em relação aos sambaquis de Cananéia, a análise isotópica das conchas evidenciou, ainda, que os locais e os propósitos da coleta estariam mais relacionados a aspectos culturais do que à simples exploração dos recursos mais abundantes. / Using as theoretical reference approaches focused on the Maritime Archaeology (MUCKELROY, 1978; ADAMS, 1998, 2002), on the Maritime Anthropology (MALINOWSKI, 1986 [1922]; DIEGUES, 1998) and on studies of Environmental Perception (INGOLD, 2000), we tried to develop and test the hypothesis that, notwithstanding the evidence of a cultural unity that allowed for the establishment of an ample shellmound society, people of the shellmounds were organized in regional coastal communities. These would have developed and organized in different maritime communities, both coastal and fluvial, in consequence of the different ways in which they (dialectically) related with the environment. To support such hypothesis a model was elaborated predicting underwater sites, an analyses was realized of the isotopic composition of strontium (HÖLZL, 1997; PRICE et al., 2000; BENTLEY et al, 2003; HODELL, 2004), of carbon and of oxygen (KEITH, 1964; COSTA, 2000; MIZUTA, 2007) present (in samples of shells and human bones) in shellmounds located along the medium and low Vale do Ribeira, as well as in sites at the central coast (Baixada Santista and Bertioga) and north (Ubatuba) of the state of São Paulo. The evidences were correlated to the theoretical approach through a proposal elaborated from the study of the formation processes of the archaeological record developed by Schiffer (1972). Based on these analyses, beyond differentiating the people from the medium Ribeira from the coastal shellmound people, it became possible, among other things, to propose a cultural borderline between the ensembles of sites of the south/center coast of São Paulo and the shellmounds of northern São Paulo and southern Rio de Janeiro. Specifically with regard to the shellmounds of Cananéia, the isotopic analysis of shells evinced, yet, that the locals and goals of collecting were more related to cultural aspects than to the simple exploration of the more abundant resources.

There is a tendency in archaeology dealing with watercraft landing sites in a wider context to assume a direct relationship between sites in coastal and shore-bound areas and the practise of landing, without any deeper practical or theoretical exploration of the reality of any such relationship. This problem has its origins in the poor archaeological and conceptual definitions of watercraft landing sites obstructing any real understanding of the role of these sites in the maritime cultural landscape. Landing sites are taken for granted and they are undervalued as an archaeological source of explanation; notwithstanding, the concept of the landing site is readily used in archaeology in order to underpin archaeological interpretations on the maritime activities of past societies. In order to break away from the simplified understandings of past water-bound strategies based on the undefined concept of the landing site, this dissertation suggests a definition of watercraft landing sites in a wider social sense as water-bound contact zones; places of social interaction that can be archaeologically identified and investigated. This perspective integrates the understanding of the intentional character of human activity related to watercraft landing with the remaining archaeological traces. Archaeological definitions of landing sites that can be tested against the archaeological data are provided, and thereby, the dissertation contributes with the possibility to archaeologically evaluate and approach the social function of watercraft landing sites. This dissertation demonstrates that there can be an archaeology of landing sites.

Thèse numérisée par la Division de la gestion de documents et des archives de l'Université de Montréal

En marge des recherches archéologiques traditionnelles, nous retrouvons aujourd’hui des compagnies privées qui contractent des accords et obtiennent des permis leur donnant le droit de prélever des objets à des fins lucratives sur les vestiges archéologiques submergés. Ces pratiques commerciales causent une controverse vive et enflammée au sein du monde archéologique. Le principal point de litiges concerne la mise en vente des objets extraits lors de fouille. La mise en marché du patrimoine archéologique éveille les fibres protectionnistes. Cela incite certains organismes à poser des gestes pour la protection du patrimoine. C’est le cas pour l’UNESCO qui fait la promotion depuis 2001 d’une Convention pour la protection du patrimoine submergé. Malgré tous les arguments à l’encontre des compagnies de « chasse aux trésors », cette Convention est loin de faire l’unanimité des gouvernements à travers le monde, qui ne semblent pas prêts à rendre ces pratiques illégales. Les méthodes utilisées par ces compagnies semblent aussi représenter un point de friction avec les archéologues. Toutefois, la connaissance de leurs pratiques sur le terrain semble très incomplète. De plus, contrairement à une certaine idée préconçue, ces compagnies ne sont pas des « pilleurs de tombes » œuvrant sous le couvert de l’anonymat, mais bien des compagnies dûment enregistrées, œuvrant en toute légalité et passant même des contrats avec les gouvernements. Ce mémoire a donc pour objectif de mettre en lumière les actions réelles des compagnies de chasse aux trésors subaquatiques en regardant leurs méthodes et leur fonctionnement, tels qu’on les voit dans les 10 dernières années. Pour mieux conceptualiser les pratiques de ces compagnies, nous nous interrogerons sur le rapport entre légalité et éthique et, plus précisément, sur l’éthique commerciale et archéologique. / Beyond the pole of traditional underwater archaeology, we find an industry composed of commercial companies that enter into contractual agreements and obtain permits which allow them to take objects from submerged sites for financial gain. Their practices create a lively and often heated controversy in the archaeological community. The principal disagreement concerns the sale of objects from sites. The marketing of archaeological heritage awakens protective instincts and actions for the protection of heritage, such as UNESCO’s campaign begun in 2001 for the adoption of a Convention on the protection of Underwater Cultural Heritage (Unesco.org 2001). Despite all the arguments against « treasure hunting » companies, the Convention is far from being universally accepted by sovereign governments, who do not seem prepared to make the companies’ practices illegal. The methods used by the companies are also a source of friction with archaeologists. However, knowledge of their field methods seems rather incomplete, and contrary to some preconceived notions, these companies are not « grave robbers » working under the dark, but indeed duly registered companies working in full legality and even entering into contractual agreements with governments. This thesis aims to shed light on the activities of the underwater treasure hunting industry by studying their methods and operations as they have developed in the last ten years. In order to conceptualise the companies’ practices, we look at the relation between archaeological and business ethics.

Essa pesquisa tem como objeto a musealização da arqueologia marítima na cidade de Santos. Para tanto, recorreu ao estudo de recepção com estudantes de uma escola municipal de Santos visando a coletar dados norteadores de política de comunicação inerente ao processo de musealização. O propósito é trabalhar com a arqueologia pública, utilizando-se de estratégias participativas que aproxime as pessoas da ciência arqueológica considerando o museu e seu público. O estudo apresenta as pesquisas em arqueologia na cidade de Santos. Essas investigações trouxeram outras possibilidades de leituras para a história da cidade oriundas do campo arqueológico. Porém, muitas das coleções geradas por elas estão guardadas em outras cidades. Por esse motivo, é de suma importância que esse material permaneça em Santos, para que a comunidade santista tenha acesso a esses conhecimentos via comunicação museológica e a linguagem expositiva. O museu assume contemporaneamente um importante papel, para instigar seu público a participar da valorização e preservação desse patrimônio. Como patrimônio da união os vestígios arqueológicos marítimos musealizados devem estar a serviço da sociedade e a sociedade a serviço da preservação de forma a construir caminhos e soluções coletivamente. / This research has the objective of musealization of maritime archaeology in the city of Santos. For accomplishing that goal this research used the study of receptivity with students of a city public school to collect guiding data of the communication policy inherent to that process of musealization. The purpose is to work with the public archaeology using participative strategies that gather the people and the archaeological science, taking into consideration the museum and its audience. This study presents archaeological researches in the city of Santos. From those searches new possibilities of revisiting the history of the city arose originated from the archaeological field. However many of those archaeological collections are kept in other cities. For this reason it is of utmost importance that those archaeological findings stay in Santos so that its community has access to such knowledge through museological communication and expositive language. So the museum assumes contemporaneously a most important role by instigating its audience to participate in the valuation and preservation of such asset. As a Brazilian asset those musealized archaeological vestiges should stay to the service of the society and the society should stay to the service of preservation so to collectively build ways and solutions.

Tendo como referencial teórico abordagens focadas na Arqueologia Marítima (MUCKELROY, 1978; ADAMS, 1998, 2002), na Antropologia Marítima (MALINOWSKI, 1986 [1922]; DIEGUES, 1998) e em estudos de Percepção Ambiental (INGOLD, 2000), buscou-se desenvolver e testar a hipótese de que, embora houvesse uma unidade cultural que permitisse o estabelecimento de uma ampla sociedade sambaquieira, os povos dos sambaquis estariam organizados em comunidades costeiras regionais, as quais teriam se desenvolvido e se organizado em diferentes comunidades marítimas, costeiras e fluviais, em conseqüência dos diferentes modos com que eles se relacionariam (dialeticamente) com o ambiente. Para sustentar tal hipótese foi elaborado um modelo de predição de sítios submersos e realizadas análises da composição isotópica do estrôncio (HÖLZL, 1997; PRICE et al., 2000; BENTLEY et al, 2003; HODELL, 2004), do carbono e do oxigênio (KEITH, 1964; COSTA, 2000; MIZUTA, 2007) presentes (em amostras de conchas e ossos humanos) em sambaquis localizados ao longo do médio e baixo Vale do Ribeira, bem como em sítios do litoral central (Baixada Santista e Bertioga) e norte do estado de São Paulo (Ubatuba). Essas evidências foram correlacionadas à abordagem teórica através de uma proposta elaborada a partir do estudo dos processos de formação do registro arqueológico desenvolvidos por Schiffer (1972). Com base nessas análises, além de diferenciar os povos do médio Ribeira dos sambaquieiros do litoral, foi possível, entre outras, propor uma fronteira cultural entre os conjuntos de sítios do litoral sul/centro do estado de São Paulo e os sambaquis do litoral norte de São Paulo/sul do Rio de Janeiro. Especificamente em relação aos sambaquis de Cananéia, a análise isotópica das conchas evidenciou, ainda, que os locais e os propósitos da coleta estariam mais relacionados a aspectos culturais do que à simples exploração dos recursos mais abundantes. / Using as theoretical reference approaches focused on the Maritime Archaeology (MUCKELROY, 1978; ADAMS, 1998, 2002), on the Maritime Anthropology (MALINOWSKI, 1986 [1922]; DIEGUES, 1998) and on studies of Environmental Perception (INGOLD, 2000), we tried to develop and test the hypothesis that, notwithstanding the evidence of a cultural unity that allowed for the establishment of an ample shellmound society, people of the shellmounds were organized in regional coastal communities. These would have developed and organized in different maritime communities, both coastal and fluvial, in consequence of the different ways in which they (dialectically) related with the environment. To support such hypothesis a model was elaborated predicting underwater sites, an analyses was realized of the isotopic composition of strontium (HÖLZL, 1997; PRICE et al., 2000; BENTLEY et al, 2003; HODELL, 2004), of carbon and of oxygen (KEITH, 1964; COSTA, 2000; MIZUTA, 2007) present (in samples of shells and human bones) in shellmounds located along the medium and low Vale do Ribeira, as well as in sites at the central coast (Baixada Santista and Bertioga) and north (Ubatuba) of the state of São Paulo. The evidences were correlated to the theoretical approach through a proposal elaborated from the study of the formation processes of the archaeological record developed by Schiffer (1972). Based on these analyses, beyond differentiating the people from the medium Ribeira from the coastal shellmound people, it became possible, among other things, to propose a cultural borderline between the ensembles of sites of the south/center coast of São Paulo and the shellmounds of northern São Paulo and southern Rio de Janeiro. Specifically with regard to the shellmounds of Cananéia, the isotopic analysis of shells evinced, yet, that the locals and goals of collecting were more related to cultural aspects than to the simple exploration of the more abundant resources.

Les deltas ont débuté leur édification il y a environ 7000 ans suite à la stabilisation du niveau de la mer. Ils offraient durant l’Antiquité une mosaïque d’environnements, plus ou moins protégés, favorables aux activités maritimes. Nous montrons que plusieurs types de ports deltaïques peuvent être identifiés en raison des différents contextes géomorphologiques offerts par les deltas. La mise en relation des résultats bio-sédimentologiques, avec les données archéologiques nous ont permis de détailler l’évolution des environnements portuaires de plusieurs sites antiques situés dans des deltas. La première étude a été menée à l’échelle du delta de la Kouban (Péninsule de Taman, Russie). Un carottage réalisé à l’extrémité orientale de la péninsule et sa comparaison avec d’autres études géoarchéologiques menées récemment dans le delta nous a permis de restituer l’évolution paléogéographique de la péninsule. Nous avons pu confirmer que cette dernière a constituée, suite à la remontée postglaciaire du niveau marin, un large archipel articulé autour de quatre îles. À Tel Akko (Baie de Haifa, Israël), notre étude nous a permis de restituer l’évolution côtière du site depuis l’Âge du Bronze. À Pollentia, cité romaine des Baléares, nous avons été en mesure de démontrer que le port était situé dans une lagune de faible profondeur située en marge distale d’un petit delta côtier. Enfin à Halmyris (Danube, Roumanie) nous avons été en mesure de démontrer que la forteresse romaine, installée sur un promontoire, était protégée des crues tout en bénéficiant d’un accès facilité au fleuve par l’intermédiaire d’un chenal secondaire au sein duquel son port aurait pu être installé. / River deltas began forming around 7000 years BP because of the stabilisation of the mean sea-level. The natural variety of wetland environments on clastic coasts, in particular deltas, explains in major part the important disparities in harbour contexts. The combination of earth sciences with archaeological tools allows us to investigate the environmental evolution of four ancient sites located on deltas. We investigate 7000 years of environmental changes on the Kuban delta (Taman Peninsula, Russia). A coring, from the eastern limit of the peninsula, and its comparison with other geoarchaeological studies undertaken on the delta, allow us to confirm that the Holocene marine transgression created an archipelago of four islands around 6000 years ago in the area of the present-day Taman Peninsula. In Antiquity, natural factors such as delta progradation and the evolution of spits and sand bars have considerably affected the landscape evolution and therefore human occupation of the peninsula. At Tel Akko, (Haifa Bay, Israel), we reconstruct the evolution of the coastal zone of the site since the Bronze Age. We propose different harbour locations over time. At Pollentia, a Roman city of Mallorca, we have been able to demonstrate that the harbour was situated in a shallow lagoon, probably dredged at the time of its foundation. At Halymris (Danube delta, Romania), our research supports the presence of a secondary fluvial-channel located close to the fortress where the harbour may have been installed. The fortress, located at the foot of a promontory, was protected from floods and provided easy access to the main channel of the river.