dmrb volume 11 section 3 part 2 - standards for …€¦ · august 2007 design manual for roads and...

August 2007

DESIGN MANUAL FOR ROADS AND BRIDGES

VOLUME 11 ENVIRONMENTALASSESSMENT

SECTION 3 ENVIRONMENTALTOPICS

PART 2

HA 208/07

CULTURAL HERITAGE

SUMMARY

This Advice Note provides guidance on the assessmentof the impacts that road projects may have on thecultural heritage resource. The cultural heritageresource is sub-divided for the purposes of thisguidance into three Sub-Topics: ArchaeologicalRemains, Historic Buildings and Historic Landscape,which are treated in more detail in Annexes 5, 6 and 7.

INSTRUCTIONS FOR USE

1. Remove contents pages from Volume 11 andinsert new contents pages dated August 2007.

2. Remove ‘Cultural Heritage’ document datedAugust 1994 from Volume 11, Section 3.

3. Insert new Advice Note HA 208/07 into Volume11, Section 3.

4. Please archive this sheet as appropriate.

Note: A quarterly index with a full set of VolumeContents Pages is available separately from TheStationery Office Ltd.

HA 208/07Volume 11, Section 3,Part 2

Cultural Heritage

Summary: This Advice Note provides guidance on the assessment of the impacts thatroad projects may have on the cultural heritage resource. The cultural heritageresource is sub-divided for the purposes of this guidance into three Sub-Topics:Archaeological Remains, Historic Buildings and Historic Landscape, which aretreated in more detail in Annexes 5, 6 and 7.


THE HIGHWAYS AGENCY

TRANSPORT SCOTLAND

WELSH ASSEMBLY GOVERNMENTLLYWODRAETH CYNULLIAD CYMRU

THE DEPARTMENT FOR REGIONAL DEVELOPMENTNORTHERN IRELAND

Volume 11 Section 3Part 2 HA 208/07

August 2007

REGISTRATION OF AMENDMENTS

Amend Page No Signature & Date of Amend Page No Signature & Date ofNo incorporation of No incorporation of

amendments amendments

Registration of Amendments

VOLUME 11 ENVIRONMENTALASSESSMENT

SECTION 3 ENVIRONMENTALTOPICS

PART 2

HA 208/07

CULTURAL HERITAGE

Contents

Chapter

1. Introduction

2. Defining Cultural Heritage

3. The Assessment Process

4. Potential Impacts, Design Objectives andMitigation

5. Screening, Scoping, Simple and DetailedAssessment

6. Reporting

7. Enquiries

Annex 1 The Statutory Bodies

Annex 2 Designations and Statutory Requirements

Annex 3 The Regulatory and Advisory Framework

Annex 4 Professional Standards, GovernmentGuidance and Codes of Practice

Annex 5 Cultural Heritage Sub-Topic Guidance:Archaeological Remains

Annex 6 Cultural Heritage Sub-Topic Guidance:Historic Buildings

Annex 7 Cultural Heritage Sub-Topic Guidance:Historic Landscape

Annex 8 The Devolved Administrations’ Procedures

Annex 9 Glossary

Annex 10 Bibliography


August 2007


August 2007 1/1

Chapter 1Introduction

1. INTRODUCTION

1.1 This Section should be read in conjunction withthe Design Manual for Roads and Bridges (DMRB),Volume 11 Sections 1 and 2, which set out theframework for the environmental assessment process.Section 3 considers the Environmental Topics and thisPart 2 is concerned with the Cultural Heritage Topic.The cultural heritage resource is sub-divided for thepurposes of this guidance into three Sub-Topics:Archaeological Remains, Historic Buildings andHistoric Landscape, which are treated in more detail inAnnexes 5, 6 and 7.

1.2 Chapter 2 defines cultural heritage, the regulatoryand policy background, and draws out the relationshipsbetween cultural heritage and other topic areasconsidered in DMRB Volume 11, notably Townscapeand Landscape, but potentially any of the otherenvironmental topics. Chapter 3 outlines the overallassessment process. Chapter 4 describes sources ofpotential impacts, the development of design objectivesand mitigation strategies.

1.3 Chapter 5 describes the framework for Scoping,Simple and Detailed Assessments. The requirements forreporting are set out in Chapter 6.

1.4 The annexes provide details of statutory bodies(Annex 1), designations (Annex 2), regulatory andadvisory framework (Annex 3), and standards andguidance (Annex 4). Sources of information, detailedmethods of assessment and references specific to thespecialist cultural heritage sub-topics are set out inAnnexes 5, 6 and 7. Arrangements involving thedevolved administrations are set out in Annex 8, aglossary is provided in Annex 9 and a bibliography inAnnex 10.

1.5 Consultants, contractors and managing agents(if appropriate) are to consult with the OverseeingOrganisations in the devolved administrations of Wales,Scotland and Northern Ireland regarding the applicationof this advice.


Chapter 2Defining Cultural Heritage

RITAGE
2. DEFINING CULTURAL HE
Definition of Cultural Heritage

2.1 The Council of Europe, in the FrameworkConvention on the Value of Cultural Heritage forSociety (Faro 2005), has defined cultural heritage as:

‘…a group of resources inherited from the pastwhich people identify, independently ofownership, as a reflection and expression of theirconstantly evolving values, beliefs, knowledgeand traditions. It includes all aspects of theenvironment resulting from the interactionbetween people and places through time.’

2.2 For the purposes of this guidance the historicaland archaeological aspects of this wide-rangingdefinition are adopted. ‘Cultural heritage’, as used here,is synonymous with the terms ‘historic environment’and some uses of the ‘built environment’.

2.3 The Cultural Heritage Topic in the guidanceencompasses the sub-topics of ArchaeologicalRemains, Historic Buildings and HistoricLandscapes. Each of these sub-topics contains a rangeof assets that may survive as upstanding or buriedremains, which may be more or less extensive, and,while acknowledging that cultural heritage is a seamlessresource, these sub-topics are identified becausetechniques for their study and the mitigation of impactson them require different specialist approaches.

2.4 Archaeological Remains are the materialscreated or modified by past human activities thatcontribute to the study and understanding of past humansocieties and behaviour – archaeology. Archaeology caninclude the study of a wide range of artefacts, fieldmonuments, structures and landscape features, bothvisible and buried. For the purposes of this guidance thesub-topic generally excludes historic buildings andhistoric landscapes, always accepting there may beimportant archaeological aspects to these sub-topics. Afuller definition is included in Annex 5.

2.5 Historic Buildings are architectural or designedor other structures with a significant historical value.These may include structures that have no aestheticappeal, and the sub-topic includes, in addition to greathouses, churches and vernacular buildings, somerelatively modern structures, such as WWII and ColdWar military structures, early motorway service

ststmth

2.thsidecowAlaalmsilagianthco

2.armanse

2.toanputhcucuon

2.enthShifrIn

•

August 2007

ations, industrial buildings, and sometimes otherructures not usually thought of as ‘buildings’, such asilestones or bridges. Annex 6 sets out in more detaile approach to this resource.

6 Historic Landscapes are defined by perceptionsat emphasise the evidence of the past and itsgnificance in shaping the present landscape. Thefinition encompasses all landscapes, including theuntryside, townscapes and industrial landscapes asell as designed landscapes, such as gardens and parks.s the whole of the UK’s (and most of the world’s)ndscape has been modified by past human activities, itl has an historic character. However, just as all oldaterials are not necessarily archaeologicallygnificant merely by virtue of their age, so not allndscapes are equally historically significant. Annex 7ves more detail of the variety of historic landscapesd the methods for evaluating them. The chapters one Landscape and Townscape Topics should also bensulted.

7 A cultural heritage asset is an individualchaeological site or building, a monument or group ofonuments, an historic building or group of buildings, historic landscape etc., which, together with itstting, can be considered as a unit for assessment.

8 The cultural heritage resource comprises thetality of archaeological remains, historic buildingsd historic landscapes, which have been split for therposes of this guidance into sub-topics only to assiste exposition of the appropriate methods of study. Theltural heritage resource is a continuum, and theltural heritage assessment is concerned with effects the whole resource.

9 The cultural heritage of the United Kingdomcompasses the evidence of human interaction withe environment since people began to occupy Britain.ubject to regional variations, the archaeological andstorical periods referred to in this guidance, takenom the Archaeological Periods List of the Forum onformation Standards in Heritage (FISH), are:

Palaeolithic:– Lower Palaeolithic;– Middle Palaeolithic;– Upper Palaeolithic.

2/1



• Prehistoric:– Early Prehistoric;– Later Prehistoric;– Prehistoric or Roman.

• Mesolithic:– Early Mesolithic;– Late Mesolithic (7000 – 4000 BC).

• Neolithic (4000 – 2200 BC):– Early Neolithic (4000 – 3000 BC);– Middle Neolithic (3500 – 2700 BC);– Late Neolithic (3000 – 2200 BC).

• Bronze Age (2500 – 700 BC):– Early Bronze Age (2500 – 1500 BC);– Middle Bronze Age (1500 – 1000 BC);– Late Bronze Age (1000 – 700 BC).

• Iron Age (800 BC – AD 43):– Early Iron Age (800 – 400 BC);– Middle Iron Age (400 – 100 BC);– Later Iron Age (100 BC – AD 43);

• Roman (AD 43 – 410).

• Early Medieval or later.

• Early Medieval (AD 410 – 1066).

• Medieval (AD 1066 – 1540).

• Post Medieval (AD 1540 – 1901).

• Modern (AD 1901 to present).

2.10 The general term ‘Palaeolithic’ covers the wholeof the period before and during the last ice age, that is,prior to about 10,000 years ago. ‘Prehistoric’ covers theperiod between the retreat of the ice and the coming ofthe Romans (between 10,000 and 2,000 years ago). The‘Prehistoric or Roman’ category is for use whereRoman or earlier periods are evident but more precisionis not possible. The following additional sub-divisionsto the post-medieval and modern periods are also used:

• 16th Century;

• 17th Century;

• 18th Century;

• 19th Century;

• 20th Century;

2/2

• World War I (1914 – 1918);

• World War II (1939 – 1945);

• Post War (1945 – present).

The Regulatory and Advisory Framework forCultural Heritage

2.11 Cultural heritage is more than a matter ofantiquarian interest – it shapes how people relate toplaces and cultures. Archaeological monuments,historic buildings, and historic landscapes can provide asense of place and stability to a community. The care ofthe cultural heritage resource is generally considered tocontribute to the livelihood of communities, and to thecultural and economic well-being of a society. Its valuefor society is reflected in statutory and other forms ofprotection extended to important aspects of the culturalheritage resource.

2.12 The UK government has ratified and adopted theUnited Nations Educational, Scientific and CulturalOrganisation (UNESCO) Convention Concerning theProtection of the World Cultural and Natural Heritage(1972), the International Council on Monuments andSites (ICOMOS) International Charter for theConservation and Restoration of Monuments and Sites(1964) the Council of Europe European CulturalConvention (1954), the Convention for the Protection ofthe Architectural Heritage of Europe (1985), theEuropean Convention on the Protection of theArchaeological Heritage (1992) and the EuropeanLandscape Convention (2000), thus committing the UKgovernment and its agencies to measures that balancethe need for development against the requirement toprotect and enhance our national cultural heritageresource as far as is practicable.

2.13 Some cultural heritage features are the subject oflegislation. For archaeology, the principal Acts are theAncient Monuments and Archaeological Areas Act 1979(applying to England, Wales and Scotland), and theHistoric Monuments and Archaeological Objects(Northern Ireland) Order 1995, which cover scheduledmonuments and archaeological areas. The Planning(Listed Buildings and Conservation Areas) Act 1990,the Planning (Northern Ireland) Order 1991 and thePlanning (Listed Buildings and ConservationAreas)(Scotland) Act 1997 (as amended 2006), controlactivities related to Listed Buildings and ConservationAreas.

2.14 Some resources are nationally designated fortheir value but are not statutorily protected (for

August 2007



instance, World Heritage Sites, registered historic parksand gardens, and battlefields). Local planningauthorities may also identify sites or areas of culturalheritage value in development plans, which may bematerial considerations in development plans decisions.Other assets may not be designated but are included inlocal or regional planning authorities’ records andregisters (Sites and Monuments Records or HistoricEnvironment Records). Other historic features, such ashedges and field boundaries, may not be recorded ascultural heritage assets at all, but they may nonethelessmake an important contribution to historic landscapecharacter. Annex 2 provides a description ofdesignations, and guidance on restrictions,arrangements and contact details to be considered whenhistoric sites may be affected by a scheme.

2.15 Cultural heritage assets are the subject ofgovernment guidance regarding their protection andtreatment in development proposals, including roads.Annex 4 lists the standards and codes of practiceadopted by cultural heritage professionals.

2.16 Procedures, statutes and regulations relating tocultural heritage in England are not always applicableto the devolved administrations of Scotland, Wales andNorthern Ireland. Annex 8 includes information aboutthese separate arrangements, where applicable.Consultants, contractors and agents should consult therelevant Overseeing Organisation regarding theapplication of this advice to road schemes in thedevolved administrations.

2.17 The principle that underpins government andprofessional guidance is that archaeological and othercultural heritage assets are non-renewable resources andthat their physical preservation in situ when possibleshould be the primary goal of cultural resourcemanagement. Furthermore, government planningguidance is that, in the case of nationally importantremains, whether designated or not, there should be apresumption in favour of their physical preservationand the preservation of their settings.

2.18 In cases where preservation in situ is not feasibleor where there are other overriding factors, a process ofsystematic investigation, analysis, interpretation anddissemination may be an acceptable alternative. For thepurposes of cultural heritage assessment, theOverseeing Organisations (the national roadsauthorities in England and the devolvedadministrations) have adopted the principles containedin the relevant government planning advice notes,subject to the different legislative frameworks

goand

2.1autHi(N(Scassas in Re

2.2wiNaAnlegthe

Ov

2.2divandof affproothSuovconTo(Alanhisthe

2.2so HishoremarcbubucomassproThSuhisare7).

August 2007

verning development covered by the planning acts works under highways legislation.

9 The activities of the national highwayshorities are governed in England and Wales by theghways Act 1980, in Northern Ireland by the RoadsI) Order 1993 and in Scotland by the Roadsotland) Act 1984. The environmental impactessment requirements of EU directive 85/337/EECamended by 97/11/EC are incorporated (for England)Highways (Assessment of Environmental Impacts)gulations of 1988 and 1999 respectively.

0 Annex 1 sets out the statutory bodies chargedth overseeing cultural heritage together with thetional Trusts which have statutory powers, andnex 3 provides a list of the principal pieces ofislation governing its protection, including those of devolved administrations.

erlaps Between Cultural Heritage Sub-Topics

1 The cultural heritage resource is not neatlyided into archaeological remains, historic building historic landscapes. In some schemes one or more

the sub-topics will not be sufficiently significantlyected and so would be ruled out in the scopingcedure, with no further work undertaken on them. Iner schemes two or more of the Cultural Heritageb-Topics as defined in this advice may apparentlyerlap. For example, an historic colliery site willtain historic buildings (Historic Buildings Sub-

pic), the physical remains of industrial processesrchaeological Remains Sub-Topic), and the widerdscape (Historic Landscape Sub-Topic), and a singletoric feature may play a part in all these aspects of cultural heritage resource.

2 There should, however, be no ‘double counting’,historic industrial buildings that appear in thestoric Buildings Sub-Topic assessment, for instance,uld not be counted again in the archaeologicalains assessment, unless there is a specific

haeological issue that would not be captured by theildings investigations, for instance the presence ofried remains of earlier structures on the site. The

bination of historic building evidence andociated archaeological evidence would, however,bably enhance the value of both in the assessment.is is particularly relevant for the Historic Landscapeb-Topic, where the physical assets that contribute totoric landscape character need to be appreciated but not themselves the subject of the study (see Annex This will require liaison between the specialists

2/3



studying the resource at an early stage, in order toeliminate overlaps, identify gaps and removeconfusions.

2.23 The three sub-topics should be combined in anoverall Cultural Heritage Assessment. More guidanceon achieving this is given in Annexes 5, 6, and 7.

Overlaps Between Cultural Heritage and OtherTopics

2.24 As a general rule, the Cultural Heritage Topicincludes consideration of:

• the presence or absence, character, condition,setting and value of archaeological remains,historic buildings, and historic landscapes;

• all designations related to cultural heritage,including those where cultural heritage valuesmay play a part in a broader citation (e.g. Areasof Outstanding Natural Beauty, National Parks,etc.);

• historical legibility (i.e. the way in which ahistoric monument or landscape can be ‘read’through an understanding of the development ofits features, character, setting and context throughtime);

• time-depth and phases of development (i.e. theevidence for the character and processes ofchange on a site or landscape over time).

2.25 The criterion for undertaking a Cultural HeritageTopic assessment is that there should be a potential fora significant effect on the cultural heritage resource, asdefined in paragraphs 2.4 – 2.6, which can bedistinguished from the effects on other environmentaltopics, and which requires the attention of appropriatecultural heritage specialists. However, many othertopics within an environmental assessment may touchon cultural heritage issues or use cultural heritage data,and environmental coordinators should be aware ofwhen to involve cultural heritage specialists.

2.26 For instance, a town may have a medieval streetlayout, a good assemblage of 19th century streetfurniture, and significant historic facades. All these arehistoric elements in the present street scene and theircontribution to the Townscape will be assessed withinthe Townscape Topic. But there may also be buriedremains of earlier phases of settlement under theroadway, timber frames hidden behind renderedfacades, and multi-phased historic buildings along the

rothethehecoac

2.2prasAchadrreacureqexliftogmi

2/4

ute. If there were to be effects on the historic value ofse assets, as opposed to the visual aspect assessed in Townscape study, then specialists with cultural

ritage skills would be required, and their study wouldntribute to the Cultural Heritage Topic, and be takencount of in the Townscape assessment.

7 It is important to be aware of scheme mitigationoposals that may involve other topic specialists, such planting, installation of noise screening, or lighting.tivities that fall outwith the road corridor, such asul roads, access road re-alignments, borrow pits,ainage works, ground investigations, utilitieslignments, retention ponds etc. may also have

ltural heritage effects. Conversely, cultural heritageuirements, such as archaeological mitigation

cavations, may, for example, disturb important wilde habitats. It is important that topic specialists workether to share data and consider topic specifictigation measures and their implications.

August 2007


Chapter 3The Assessment Process

ESS
3. THE ASSESSMENT PROC
Introduction

3.1 United Kingdom legislation includes theobligation to undertake an Environmental ImpactAssessment (EIA) for proposed road schemes that fallinto the appropriate categories defined in the relevantEuropean Directives (see Sections 1 and 2 for fullerdetails of these requirements). These tend to be largeschemes or proposals that have large environmentalimpacts, and Screening establishes the requirement toundertake a formal EIA. Smaller schemes that couldhave significant effects but which would not be subjectto a formal EIA may still require a cultural heritageassessment to inform decisions as to their effect on theenvironment. This can extend to some minor schemesor maintenance operations, and the OverseeingOrganisation’s environmental databases andmanagement plans should be consulted where relevant.

3.2 It is important that each assessment is tailored tothe characteristics of the relevant scheme, and is carriedout at the appropriate level of detail. For each level ofassessment, the process should focus on issues that areneeded to inform the decision that is to be taken, and onthe risks and opportunities associated with the scheme.

3.3 The assessment must, therefore:

• feed into the design process at the appropriatestages;

• assist the decision-maker, who may be atgovernment level or within the OverseeingOrganisation;

• meet the requirements of the appropriatestatutory processes;

• assist the Design Organisation in achieving theenvironmental design objectives for the scheme;

• describe and characterise the cultural heritageresource;

• assess its value;

• identify the potential impacts;

• identify appropriate mitigation measures;

•

•

T

3aeEstsSfCtocw

S

3acurnbrdcAA

3smoF

S

3cAAru

August 2007

assess the magnitude of the mitigated impact; and

assess the significance of the effect.

he Assessment Framework

.4 DMRB Volume 11, Sections 1 and 2 set out thessessment framework common to all topics. Screeningstablishes whether there is a need for a formal EIA andnvironmental Statement (ES). All schemes, whetherubject to an EIA or not, should be subject to Scopingo establish the need for, and detail of, any furthertudy. There are three levels of assessment: Scoping,imple Assessment, and Detailed Assessment. Theollowing chapter outlines their application to theultural Heritage Topic. It is important to note that

hese levels of assessment are not sequential, in thatne must follow another, but they should be regarded asonsequential, in that the results of one determineshat further work, if any, is required.

coping

.5 The objective of Scoping is to determine whetherny further study is required, beyond the desk-basedollection and analysis of readily available informationndertaken for the Scoping study itself, and if it isequired, then at what level of detail. The scheme willeed to be at a stage that indicates its approximate formefore Scoping can be carried out. Scoping typicallyelies on generalised thresholds and readily availableata sources. The results may indicate that no furtherultural heritage studies are necessary, or that a Simplessessment is needed, or alternatively that a Detailedssessment is needed.

.6 The results of Scoping studies will need to beufficiently robust to ensure a confident decision. Thereay be a need for different levels of further assessment,

r none, for each of the Cultural Heritage Sub-Topics.urther advice is contained in Chapter 5.

imple Assessment

.7 If Scoping indicates that it is only necessary toarry out a limited assessment then a Simplessessment is required. The purpose of a Simplessessment is to address critical unknown aspects

evealed by scoping in order to reach an appropriatenderstanding of the effects of the proposed scheme

3/1


Chapter 3The Assessment Process

and complete its design and assessment, or to reach anunderstanding that identifies the need for a DetailedAssessment. For a Simple Assessment to be sufficient itshould clearly establish the value of the affected assets,the impact of the scheme, and determine satisfactorymitigation measures or enable the need for mitigation tobe discounted. A scheme will need to have beendesigned to a stage that indicates its objectives andgeneral form but design flexibility may remain in manyelements. Simple Assessment may involve new non-intrusive fieldwork, such as geophysical survey or fieldwalking, to confirm the conclusions of desk-basedstudies.

3.8 The Simple Assessment may have to beexplained at a Public Inquiry and/or included in an ESor form part of the Overseeing Organisation’srequirements, such as the Highways Agency’s Recordof Determination.

Detailed Assessment

3.9 This is required where there is the potential forsignificant effects on cultural heritage resources. Thestudies may require new fieldwork, either non-intrusiveor intrusive, to clarify uncertainties about the location,character, extent, survival or value of cultural heritageassets, that may be affected by the scheme, or themagnitude of the impact upon them. The scheme willneed to have been designed in sufficient detail toconfirm that it could be constructed and mitigationmeasures delivered, although certain elements mayremain flexible to accommodate enhancedenvironmental performance and the contractor’slegitimate design innovations.

3.10 The process should be seen as iterative. It ispossible, following a decision to undertake SimpleAssessment only, or even not to proceed any furtherthan the Scoping studies, that new information indicatesthat detailed work is in fact required to inform decision-making. In such a case Detailed Assessment should beundertaken. Whether Scoping, Simple, or Detailed,each assessment is ‘stand-alone’ and must be reportedseparately in the appropriate Scheme AssessmentReport or similar document. The assessment may haveto be explained at a Public Inquiry.

Practitioners

3.11 Each level of assessment, and the sub-topicstudies, may be carried out by different personnelwithin the Overseeing Organisation’s range of agents,contractors and consultants, depending on how a

3/2

scheme is to be delivered. However, appropriatelyqualified and experienced specialists should carry outall cultural heritage studies, including Scoping. Thenames of the specialists who carried out the studies, andtheir qualifications, should be recorded in reports.

Consultation with Statutory and Other Bodies

3.12 For all levels of assessment, the source ofdefinitive information and opinion on statutorilyprotected archaeological sites, historic buildings andhistoric landscapes will be the national heritageagencies. They should be consulted and their responsesreported within the assessment (see Chapter 6:Reporting). Local planning authority advisors hold themost detailed records of cultural heritage resourceswithin their area’s Sites and Monuments Records/Historic Environment Records (SMRs/HERs), and theyshould be consulted at an appropriate stage in order toarrive at an informed view of the cultural heritageresource. The aims and objectives of the consultationwill vary according to the level of assessment and therequirements of each scheme.

3.13 In England, at the Scoping level, an opinionshould be sought from English Heritage for all casesinvolving nationally designated assets, and whereuncertainty exists as to the need for scale or of furtherassessment. Wales, Scotland and Northern Ireland haveseparate arrangements for heritage advice to theirnational roads authorities (see Annex 8). Earlyconsultation with local planning authority culturalheritage advisors is also recommended.

3.14 For Simple and Detailed Assessments, thenational heritage agencies should be consulted aboutnationally designated assets, and national and regionalresearch priorities and strategies. In England therelevant planning authorities’ cultural heritage advisorsshould be approached for information and advice onmatters within their authority’s area. The devolvedadministrations have separate arrangements forconsultation and advice, which are set out in Annex 8.

August 2007


Chapter 4Potential Impacts, Design Objectives and Mitigation

ESIGN OBJECTIVES
4. POTENTIAL IMPACTS, DAND MITIGATION
Potential Impacts

4.1 Impacts on the cultural heritage resource, in thisguidance, are defined as changes to the culturalheritage resource caused by the mitigated scheme.Mitigation here means agreed and confirmed measuresto lessen adverse impacts, which will be incorporatedinto the scheme design and methodology. Potentialimpacts are changes that may occur as a result of ascheme, and which may be identified before agreedmitigation has been taken into account. In thepreparation of the baseline data for a schemeassessment, many assets may be identified whichultimately will not be affected by it. It should bepossible to collate this information and then, in theassessment of the effect, omit assets which areunaffected by the proposed scheme, and assess only theeffects on those that would be. However, at certainstages scheme designs may not be developedsufficiently for the impact to be confidently predicted,or the resource may not be sufficiently well understood,or measures to mitigate a potential impact on a knownresource may not be confirmed, nor agreed. This maylead to a situation in which it is only possible toconsider potential impacts - changes that could happenif unresolved aspects of the scheme design were to bedeveloped in such a way as to affect valuable assets, orif assets of uncertain value proved to be significant, orif the options for mitigation proved to be limited.

4.2 In England, for the Highways Agency, potentialimpacts are considered but not reported in terms ofmagnitude of impact or significance of effect, as theymay include many possible changes that will nothappen. If scheme proposals are insufficiently detailedfor impacts to be identified confidently, this should beacknowledged. If the presence, value, location, state ofpreservation etc. of assets is unknown or incompletelyunderstood (for the purposes of the assessment) thenagain, this should be noted. It is clearly not possible topredict the magnitude of the impact of the finishedscheme if these factors are unknown, but the risk theyrepresent should be identified. It is important to beaware of potential impacts at all stages of a scheme, sothat surveys needed to better understand the resource,or work to clarify design details to establish themagnitude of the impact, or negotiations to confirmmitigation measures, are undertaken appropriately.

August 2007

4.3 If the design is sufficiently detailed and the assetswell enough understood to establish the impact, butmitigation proposals are not confirmed and agreed, thenthe magnitude of impact assessment should discountthem, and report the impact as it would be for schemewithout them. In this way, as mitigation proposals areconfirmed and agreed, their effect will be reflected inamendments to the magnitude of impact assessments,thereby contributing to a realistic record of thepredicted effects of the proposals as they stand at thetime of the assessment.

4.4 In Northern Ireland, Wales and Scotland thepotential impacts should be reported, and residualeffects identified after mitigation has been taken intoaccount. Annex 8 describes the procedures to befollowed in the devolved administrations in more detail.

Impacts

4.5 Impacts are changes that arise from the mitigatedscheme. The baseline from which they are assessedshould be the situation that would exist if the schemewere not pursued. Therefore, the baseline is thecondition of assets at the commencement ofconstruction coupled with the predicted trajectory oftheir condition through the construction period if thescheme did not take place. So if, say, the condition ofan historic building adjacent to a road is deterioratingand would continue to deteriorate in a ‘do nothing’scenario, then the impact from a scheme that affects itwould be any change to that scenario, which may be anacceleration of the deterioration, or it could be animprovement in its predicted condition. The openingdate of the scheme is taken as the date at which thebaseline condition should be measured.

4.6 Scheme proposals should be reviewed alongsidedata on cultural heritage assets in order to identifysources of potential impacts. Impacts may arise fromboth the construction and the operation of the road orscheme. Relevant scheme information can include land-take, vertical and horizontal alignments, constructionmethods and programming, details of temporary andpermanent works, predicted traffic volumes, andmitigation works related to other environmental topics,depending on the nature of the scheme.

4/1



4.7 Impacts can be positive, negative; direct, indirect,secondary; short-, medium- or long-term; temporary orpermanent, and cumulative. Impacts may affect assetsmaterially, or their settings.

4.8 Temporary impacts may be short-, medium- orlong-term but they are reversible; irreversible impactsare described as permanent. Short-term would normallymean impacts that did not last longer than theconstruction period, medium-term impacts wouldpersist beyond the construction period, but no morethan 15 years, while long-term impacts would be longerthan 15 years but are still reversible. For instance, amitigation planting scheme might mature sufficiently in12 years to achieve its purpose, and so the impact it isintended to mitigate would be medium-term, whereas amitigation procedure that entailed the preservation byburial of archaeological remains under the carriagewaywould be long-term but not permanent, as, theoreticallyat least, the site would be intact and retrievable at somefuture date.

4.9 Permanent impacts can arise from many of theactivities that take place from the first day of siteclearance. It should be noted that a temporary elementof the construction process might still cause apermanent impact on some cultural heritage assets,while being a temporary impact on others. For example,a haul road may entail topsoil stripping, which couldcause permanent damage to archaeological remains, butwhen the land is restored at the end of the constructionperiod its impact on the historic landscape might alsocease. Archaeological remains and historic buildingscannot be authentically replaced or regenerated if theyare physically damaged or destroyed. All damagingimpacts on the fabric of archaeological remains andhistoric buildings are, therefore, permanently negative.

4.10 The sources of such permanent impacts caninclude geotechnical investigations, tree and hedgerowremoval, demolition or alteration of buildings, topsoilstripping, excavations for borrow-pits, drainage andcommunications, the movement and installation ofheavy machinery and plant, and mitigation works inconnection with other environmental topics. A majorsource of negative impacts on buried archaeologicalremains is a change in ground water conditions, anddrainage proposals should be considered carefully inrelation to the biochemical environment of buriedarchaeology. The impact of construction compounds,access roads and storage areas should also beconsidered in relation to the cultural heritage resource,although these elements may be subject to planningcontrols rather than highways procedures. If thelocation of these facilities is not known, then sensitive

4/2

areas may be identified in order to inform constructioncontractors.

4.11 Activities undertaken in connection with otherenvironmental disciplines, such as ecological topsoiltranslocation, landscape planting, noise barriers, andlandscaping, should also be examined. Consultationwith environmental, design and construction teams maybe necessary to ensure that details such as the phasing,methods and depths of excavations, the likely impactsof piling, drainage, and potential pollution of soils aretaken into consideration. Some constructional impactsmay be positive, for instance, improved access tohistoric assets made available by ‘greening’ an existingroad may halt a process of vandalism or neglect.

4.12 Operational impacts are those that would arisefrom the use of the road once built. Sources of negativeimpacts could include new lighting, noise, dust,vibration, and visual intrusion by traffic, while positiveimpacts could be the removal of any of these from thevicinity of sensitive cultural heritage features.Temporary operational impacts may arise, for instance,as a result of noise caused by traffic diverted duringpredictable maintenance or other traffic managementoperations.

4.13 Negative impacts can arise from new effects, oran increase in the rate of existing deterioration overwhat would otherwise be the case.

4.14 Positive impacts may arise from the cessation oferosion, intrusion or damage that would continue if thescheme were not built. For historic buildings theremoval of passing heavy traffic as a result of a newbypass, for instance, may slow down the deteriorationof the fabric, or increase their economic viability. Theintegrity of historic landscapes may be improved, forinstance by the reduction or removal of intrusive trafficor roads and road furniture, or the better integration ofan existing road into a pattern of historic fields.

4.15 Direct impacts are those that arise asstraightforward consequences of the scheme. Forarchaeological remains and historic structures, this canmean physical damage to, or physical improvement of,the fabric of the asset, but it can also mean impacts onthe setting of cultural heritage assets. For an historicbuilding, for instance, an increase in noise and pollutionas a result of the scheme would constitute a directimpact.

4.16 The damage caused by increased traffic - or itscorollary, the removal of traffic from the vicinity ofhistoric features leading to the arrest of damage that

August 2007



would otherwise continue – these would be classed asdirect impacts, as would the impact of changed trafficflows on historic landscape character. It may benecessary to consider the predicted increase or decreasein an impact over a number of years from particularsources, such as air pollution related to predicted trafficvolumes or the effect of maturing tree cover.

4.17 An indirect or secondary impact is an impactarising from the scheme via a complex route, where theconnection between the scheme and the impact iscomplicated, unpredictable or remote. For instance, animpact on historic landscape character could arise froma scheme that severs an agricultural holding, leading tochanges in farming viability and thence to changes inhistoric land-use patterns in areas away from thescheme. Hydrological changes affecting importantpalaeoenvironmental deposits a distance away from ascheme as a result of the effects of a highway schemeon local land drainage could be an indirect impact onarchaeological remains. The fact that an impact is‘indirect’ does not necessarily mean it is less damagingthan a ‘direct’ effect. For instance, dewatering peat andthe consequent degradation of valuable environmentalevidence is considered to be one of the most significantsources of cultural heritage loss in the UK today. Theimportant point is that the impact of the scheme shouldbe fully considered, regardless of the mechanismthrough which it operates. See Barber, J., Clark, C.,Cressey, M., Crone, A., Hale, A., Henderson, J.,Housley, R., Sands, R. and Sheridan, S. (eds), 2007Archaeology from the Wetlands: Recent Perspectives.Proceedings of the 11th WARP Conference, Edinburgh2005. Edinburgh, Society of Antiquaries of Scotland.

4.18 Cumulative impacts can arise from multipleeffects of the same scheme on a single asset, differentmultiple effects of the scheme and other schemes onthe same asset, or incremental effects arising from anumber of actions over time. Interactions may arisefrom activities related to other topics, such as drainageschemes, endangered species relocation, soundattenuation measures or access arrangements, takentogether with any cultural heritage impacts. The formsof cumulative impact are discussed in Section 2, Part 5,Chapter 1, with advice on how to consider the certaintyof outcome and the probability of the predictions.

4.19 Setting is a material consideration in governmentplanning policy relating to archaeological remains,historic buildings and historic landscapes. Setting ispart of the asset’s intrinsic value. Establishing adefinition of ‘setting’, what constitutes an impact onsetting and how to measure it is the subject ofconsiderable professional debate. In considering the

dc

•

•

4toccqro

4imshavTth

4inooinwacSoo

4kuwnc

August 2007

efinition of setting and its application, it is helpful toonsider both setting and context:

For the purposes of this guidance, the setting ofan asset is, broadly speaking, the surroundings inwhich a place is experienced, while embracing anunderstanding of perceptible evidence of the pastin the present landscape.

Context is a part of setting, like topography andviews. Context embraces any relationshipbetween a place and other places. It can be, forexample, temporal, functional, intellectual orpolitical, as well as visual, so any one place canhave a multi-layered context. The range ofcontextual relationships of a place will normallyemerge from an understanding of its origins andevolution. Understanding context is particularlyrelevant to assessing whether a place has greatervalue for being part of a larger entity or group.

.20 Setting and context should be consideredgether rather than separately. In summary a

ombination of the archaeological and historicalontext, the visual appearance and the aestheticualities of the site’s surroundings play an importantle in modern perceptions of the site.

.21 Changes to those qualities have the potential topact on the character and value of the asset itself andould be considered holistically, rather than simply as

list of impacts on the factors – topography, views,egetation, context etc. – comprising the surroundings.he crucial point is that the asset remains the focus ofe assessment.

.22 For instance, the setting of a listed mansion mayclude its extensive parkland, some of which may be

ut of sight of the building itself, but integral to itsriginal purpose, and to its appreciation today. Changes the fabric of the park that affect that relationshipould reasonably be considered to be an impact on the

ppreciation of the historic building, even if thehanges were not visible or audible from the house.uch a change may also, of course, constitute an impactn the historic landscape character of the parkland in itswn right.

.23 An archaeological example would be wherenowledge about invisible buried remains related to anpstanding monument adds to its significance, andhere a scheme that disrupted that relationship, even ifot affecting the remains themselves, could beonsidered to degrade the significance of the asset.

4/3



4.24 For historic landscapes the entire landscape ishistoric, so as a whole it cannot be said to have a‘setting’. Nonetheless, individual historic landscapecharacter units may be affected by what takes place inneighbouring character units, so the term ‘setting’ maybe used in relation to the appropriate historic landscapecharacter unit. The view of, say, an area of historic pre-enclosure landscape character, may be affected by theintrusive presence of a new road nearby, and this couldconstitute an impact on the setting of the enclosurelandscape character unit.

4.25 For the purposes of this guidance governmentpolicy informs the weight given to matters of setting(including context), taking account of the contributionof the asset and its setting to the quality andunderstanding of the country’s cultural heritageresource (see paragraphs. 5.26 – 5.31).

4.26 The Design Manual for Roads and BridgesVolume 10, Environmental Design, Section 6, hasfurther advice on setting.

4.27 No detailed advice is given here onmethodologies for establishing the impact on setting.Various systems and approaches have been proposedand each has its champions, but no consensus currentlyexists. Methodologies used to assess impacts on settingshould be transparent, clearly described and supportedby professional standards where available. Indeveloping or adopting methodologies for assessing therole of an asset’s setting the specialist undertaking thestudy should bear in mind the principles discussedabove and summarised below:

• an asset’s setting is its relevant surroundings;

• settings have physical factors which can bechanged by a scheme, but it is the effect thesechanges have on the character and value of theasset that is assessed;

• context is an aspect of setting where a relevantaspect of knowledge, belief or relationships maynot be visible (or audible) at the site;

• professional judgement is required, usingcriteria measured against government policy and,where relevant, the scheme’s Cultural HeritageDesign Objectives.

Design Objectives

4.28 Cultural Heritage Design objectives are essentialfor the production of efficient and useful assessments,

auwOeilpOssapataisaor

4Hsoats

4E(SrpTtpagOaeoi

4tantEaA

4/4

nd for monitoring the effectiveness of workndertaken to achieve them. They form part of theider scheme environmental objectives. Designbjectives should be developed for the scheme at an

arly stage but should be reviewed as required, asnformation becomes available. Design Objectives areikely to become more detailed as the schemerogresses. They must be agreed with the Overseeingrganisation and be developed in conformity with the

cheme brief issued by the transport authority. Theyhould enable the success of the scheme to be assessedgainst stated aims linked to national, regional and localolicies, priorities and objectives. For cultural heritage,ssessment criteria may vary over time and from placeo place, and linking Design Objectives to published orcknowledged research or policy priorities is importantn establishing the significance of the effect of acheme. Design Objectives will inform the assessmentnd design process and should always include avoidingr minimising adverse change to the cultural heritageesource where practicable and cost effective.

.29 The development of scheme specific Culturaleritage Design Objectives should be informed by, and

it within, a hierarchy of environmental designbjectives. These will relate to some that are defined atn international or national level, encompassing othershat are more regional, local, and, eventually, schemepecific.

.30 At the international level are the United Nationsducational, Scientific and Cultural Organisation

UNESCO), International Council on Monuments andites (ICOMOS) and Council of Europe conventionsegarding cultural heritage which have been ratified andut into effect by the UK government (see Annex 3).hese set higher level objectives, which are reflected at

he national level in the government’s statutes andlanning and development control policies as theyffect the cultural heritage resource, together withovernment advice on their application. The Overseeingrganisations’ own manuals and environmental strategy

nd policy statements will guide the institutionalnvironmental objectives. Scheme specific topicbjectives, and the sub-topic objectives, will benformed by this hierarchy of priorities.

.31 The scheme specific design objectives shouldake account of national cultural heritage researchgendas, priorities and frameworks, and the priorities ofational advisory bodies, like those of English Heritage,he Commission for Architecture and the Builtnvironment (CABE), and specialist organisations suchs the Prehistoric Society and the Society for Medievalrchaeology for instance. Regional research

August 2007



frameworks or priorities, where they exist, should alsobe taken into account. Local plans, local heritageinitiatives, village plans, and management plans forheritage sites etc. may contain valuable priorities forlocal objectives.

4.32 There should be a clear statement of how thescheme, through mitigation, is expected to contribute tothe value of, or the understanding and dissemination of,the cultural heritage resource, and how this is to beachieved. These objectives should be capable of beingmonitored and validated.

Mitigation

4.33 Mitigation avoids or reduces the potentialadverse effects of the scheme, and powers to undertakemitigation are enshrined in the relevant highwaylegislation. Mitigation is guided by the DesignObjectives. The consideration of appropriate mitigationis necessary for all schemes where there is a potentialadverse impact. The assessment of the magnitude ofimpact, and therefore, the assessment of thesignificance of effects, must take into account theextent to which agreed mitigation measures reduceadverse impacts.

4.34 Mitigation should be considered at all levels ofassessment to ensure that appropriate measures areagreed, deliverable, cost effective, and incorporated inthe design at the earliest opportunity. Understanding thelikely performance of mitigation measures, as well ashow they may impinge on other topics is an importantaspect of assessment. Annexes 5, 6 and 7 together withDMRB Volume 10 contain advice on mitigating impactson cultural heritage resources, including historiclandscapes. If there were areas of uncertainty, eitherregarding the value of the resource or the impact of thescheme, it may only be possible to establish amitigation strategy, that is, a statement of theobjectives and the methods proposed for achieving thedesign objectives.

4.35 The scale and type of mitigation should becommensurate with the value of the resource; elaborateand expensive measures directed at insignificant assetsmay divert resources from more productive activities.Mitigation measures should be identified on a case-by-case basis, and can include, for instance: avoidance,burial or excavation in the case of archaeologicalremains; relocation, photographic or measured surveysin the case of historic buildings; and informationpanels, or landscaping works in the case of impacts onhistoric landscapes.

August 2007

4.36 Mitigation that addresses an adverse effectthrough advancing knowledge, such as thearchaeological investigation of a site that is to bedestroyed, should not be counted as a beneficial effect,despite any contribution such an investigation maymake to Design Objectives. Mitigation serves to limitthe negative impact of the destruction.

4.37 The assessment of the magnitude of the impactshould only take account of mitigation measures thathave been fully agreed, are incorporated in the designand construction process, and are deliverable by theOverseeing Organisation. Any proposed mitigationmeasure that is not agreed, or which may not be socertainly delivered, should not be used to reduce theassessment of the magnitude of impact, although it maybe noted separately as an aspiration.

4.38 The assessment should provide indicativecostings for agreed mitigation, to a degree of detailappropriate to the level of assessment, and with enoughinformation to enable an opinion to be formed as to itslikely effectiveness and deliverability. It may bepossible to agree mitigation strategies in circumstanceswhere the assessment, or the scheme itself, has notprogressed to a stage where a detailed costed mitigationdesign can be established.

4.39 Further information on specific mitigationmethods related to archaeological remains, historicbuildings and historic landscapes is contained inAnnexes 5, 6 and 7. Guidance is also given in DMRBVolume 10, Section 6.

4/5


PLE AND DETAILED

Chapter 5Screening, Scoping, Simple and Detailed Assessments

5. SCREENING, SCOPING, SIMASSESSMENTS

Screening

5.1 Screening is used to decide whether anEnvironmental Impact Assessment (EIA) of a scheme isrequired. The procedures for establishing this are setout in Design Manual for Roads and Bridges (DMRB)Volume 11, Section 2, Part 3. If screening shows thatthe scheme does not require a formal EIA there maystill be a requirement for cultural heritage studies toinform the Overseeing Organisation through, forinstance, the Highways Agency’s Record ofDetermination (RoD) or similar record of decisionmaking.

Scoping

5.2 Regardless of whether or not Screeningestablishes a requirement for a formal EIA by virtue ofits size or type, a scheme still may have a significanteffect on cultural heritage. However, it may be that onlyone or two of the three cultural heritage sub-topicswould be affected. Scoping should establish the needfor, or exclude issues from, further assessment, as wellas indicate the level of detail that any further workshould pursue.

Scoping – Baseline Data Gathering

5.3 Information gathering for Scoping should consistof a desk-based study of readily available information,such as that held by English Heritage for statutorilydesignated assets and in the local authority Sites andMonuments Record/Historic Environment Records(SMR/HERs). It is aimed at identifying majorconstraints, such as the presence of statutorilydesignated archaeological sites, listed buildings andregistered historic parks, gardens, and battlefields,Conservation Areas, World Heritage Sites, NationalTrust Inalienable Land and any other relevantdesignations, important assets and important historiclandscapes that may be affected by the scheme and mayrequire further study, or which can be discounted at thispoint in the process.

5.4 The Scoping exercise must be focussed oninforming the decision-making process. No work shouldbe carried out which does not directly assist thedecision about whether further work is necessary, and if

it iforanstheass

•

•

•

August 2007

s, what the appropriate level of assessment required the next stage of the scheme should be. If thewer to any of the following questions is ‘yes’, then relevant specialist sub-topic is likely to need furtheressment:

Archaeological Remains:

– Are any designated or other importantarchaeological remains in the footprint ofthe scheme or within 300m of it?

– Is the setting of any designated or otherimportant archaeological remains affectedby the scheme?

– Will there be new land-disturbanceassociated with the scheme?

– Could ground conditions conceal potentialarchaeological remains?

Historic Buildings:

– Are any designated or other importanthistoric buildings in the footprint of thescheme or within 300m of it?

– Is the setting of any designated or otherimportant historic building affected by thescheme?

– Is an area of historic built environment(even partially) inside the footprint?

– Will the scheme lie within the setting of anarea of historic built environment?

Historic Landscapes:

– Will the scheme affect designated historiclandscapes or other important historiclandscape?

– Will the scheme affect the setting ofdesignated or important historiclandscapes?

– Will the scheme affect National TrustInalienable land?

5/1



Scoping – Consultation

5.5 In England, if nationally designated assets maybe affected, English Heritage should be consulted.Otherwise, unless there is uncertainty about theexistence of major constraints, such as the extent of ascheduled monument or a registered historic park,garden or battlefield, or there are likely to be issues ofcontroversy or public concern, it is not usuallynecessary to seek a formal opinion from EnglishHeritage but the local authority SMR/HER officer orequivalent should be approached for information inorder to complete the scoping process. The devolvedadministrations have separate procedures forconsultation, and these should be carefully followed(see Annex 8).

Scoping – Results

5.6 Following the Scoping exercise, if a culturalheritage sub-topic has been ‘scoped out’ no furtherwork will be required on that sub-topic unlessconditions change, for instance if the scheme designchanges or if there are relevant new discoveries. If thereare any doubts, or there is insufficient information todraw a reliable conclusion, the relevant sub-topicshould be assessed in more detail through Simple orDetailed Assessment.

5.7 If Scoping studies show that further work isrequired, the selection of Simple or DetailedAssessment will depend on the consideration of:

• the scheme decision stage;

• the nature of the scheme (for example, a schemewith no new land take in previously disturbedground is unlikely to need detailed appreciationof buried archaeological remains, although theextent of previous destruction may need to beexplored);

• the reliability of the baseline data that isavailable;

• the findings of the Scoping exercise;

• the level of detail of any previous assessmentsundertaken for the scheme, and whether the datawere collected recently, or whether previousresults are considered to be robust;

• access to the site for field surveys;

• the value of the receiving environment.

5/2

Simple Assessment

5.8 A Simple Assessment has three functions:

i) to address unknown aspects of the ScopingAssessment; or

ii) to reach an understanding of the effect andcomplete the design and assessment; or

iii) to reach an understanding of the likely effect thatidentifies the need for a Detailed Assessment.

5.9 As a Simple Assessment may be appropriate for awide range of types of scheme it is necessary at theoutset to confirm the scope of the studies, asrecommended in the Scoping Report. Informationshould not be collected and analysed if it would notcontribute to the decisions to be made concerning thescheme.

Simple Assessment – Baseline Data Gathering

5.10 Information obtained in the Scoping study shouldbe reviewed. The study should also consider otherrelevant specialist databases.

5.11 The study may need to collect more detailedinformation on historic landscape character mapping,World Heritage Sites and National Trust InalienableLand potentially affected by the proposals. Historicalmaps and aerial photographs, relevant books, journals,previous reports and appropriate geotechnical data mayalso need to be consulted.

Simple Assessment – Field Survey

5.12 If the desk-based studies indicate that there aresignificant gaps in the information required, it may benecessary to undertake new field surveys. Field surveyswould normally include a preliminary walkover of thearea or route, to familiarise the surveyor with the lie ofthe land, to check current land-use, identify any visiblecultural heritage assets, confirm relevant historiclandscape character mapping and briefly check thecondition of known assets.

5.13 Specialist field survey for Simple Assessmentmay take the form of non-intrusive work, such assystematic field-walking. This differs from a walkoversurvey, which is a rapid observation of the land, albeitoften recorded on pro-forma field sheets. Field-walkingis a systematic archaeological technique that entails ateam of archaeologists walking a surveyed grid whilecollecting and recording artefacts from the surface ofploughed fields, to map the distribution of artefacts.

August 2007



5.14 Other specialist surveys that might be undertakenfor a Simple Assessment are the external or internalexamination and photography of buildings, geophysicalsurveys, analysis of existing LIDAR surveys, orplotting existing aerial photographic surveys. Prior toCompulsory Purchase Orders intrusive surveys wherethe ground is broken (trial trenching for instance), orthe fabric of a building disturbed (for instance toconfirm timber framing behind modern render),normally require the landowner’s permission and mayinvolve the payment of compensation, and would not beexpected for a Simple Assessment.

Consultation

5.15 The national heritage agencies will be consulted.In the devolved administrations different arrangementsapply to those used in England (see Annex 8). Localplanning authority heritage officers and other relevantsub-topic specialists shall be consulted whereappropriate.

Simple Assessment – Reporting

5.16 The Simple Assessment report should be setwithin the reports required at the relevant SchemeStages (see Section 2, Part 6, Chapter 3). The study willinclude a database or gazetteer with associated mappingat an appropriate scale, and an analysis of the culturalheritage resource. The studies will result in a report onthe findings of the assessment (see Chapter 6). The datashould also be provided in a form suitable forincorporation into the Overseeing Organisations’ ownenvironmental databases. The procedures for this inEngland are set out in DMRB Volume 10, Section 0.

5.17 The Report will include a statement assessing theconfidence level to be accorded to the results, takinginto account the quality of the data, comparablesituations, and any other relevant factors, andidentifying significant gaps in the available data orprocedures. The Report will contain a statement settingout whether or not a Detailed Assessment is required.Any risk to the scheme posed by cultural heritage issuesshould be clearly stated.

5.18 Any new information or research that is notsubsequently incorporated in further works and theirpublication, should be disseminated through appropriatechannels, which may range from providing informationto the local SMR/HERs to undertaking detailed postinvestigation analysis and publication.

D

5teuraiccosbnaasn

5pag

D

5Rcoacansi

D

5iasmtgsiolr

August 2007

etailed Assessment

.19 Detailed Assessment would be applied wherehere is the potential to cause significant effects onnvironmental resources, and where the extent of this isnclear after the previous study, and a detailed study isequired to obtain sufficient information for anppropriate assessment. The aim is to establish a robustn-depth understanding of the beneficial and adverseultural heritage consequences of the scheme, when theultural heritage resource is potentially important, and/r the impact on it is potentially large, but whereufficient information is lacking to determine one oroth of these parameters, and detailed investigations areecessary to remedy the deficiency. Where these factorsre already established, and sufficient information isvailable to determine any necessary mitigation and theignificance of the effect then Detailed Assessment willot normally be required.

.20 Full descriptions of Detailed Assessmentrocedures for each of the Cultural Heritage Sub-Topicsre given in Annexes 5, 6, and 7. A summary only isiven here.

etailed Assessment – Baseline Data Gathering

.21 National sources, such as the National Monumentecord (NMR) and national aerial photographollections, must be consulted where appropriate. Listsf designated sites, buildings and landscapes shouldlso be consulted. Local SMR/HERs, probably the mostomprehensive records of the cultural heritage resource,re an invaluable source of detail. There are many otherational, specialist and local databases, and consultantshould research relevant ones to ensure that appropriatenformation is collected for the purpose of the study.

etailed Assessment – Field Survey

.22 Where desk-based studies suggest that availablenformation is inadequate for the purpose of thessessment, it may be appropriate to undertake fieldurveys to enhance the data. These surveys may takeany forms: some do not break the ground or damage

he fabric of structures while others are intrusive. As aeneral rule the former can be undertaken undertatutory rights of access for road based surveys, whilentrusive surveys, such as trial trenching or the removalf masking materials in historic buildings, will need theandowners’ or householders’ permission until theelevant land and/or properties are compulsorily

purchased. Where intrusive surveys are necessary forthe effective evaluation of the resource the landowners’or property owners’ permission must be sought, and the

5/3



request recorded. If permission is refused it may beimportant to be able to show that all reasonable effortshave been made to obtain the necessary information.

Assembling and Analysising the Data

5.23 Each relevant aspect of the cultural heritageresource should be recorded in a database or gazetteer.The recording system should be flexible and capable ofaccommodating additional information as the schemeprogresses, bearing in mind that some schemes havelong preparation programmes, and several differentagencies and contractors may be involved in the courseof its development.

5.24 Depending on the objectives of the scheme andthe assessment, sophisticated assembly techniques, suchas computerised databases, overlays, phase plans orGeographical Information System (GIS) should beconsidered, in order to provide greater facility forinterrogation, interpretation and presentation. In-housespecialised computer applications should be avoided, asresults may need to be run on other agencies’ computerplatforms.

Evaluating the Cultural Heritage Resource

5.25 Having identified the existence and character ofknown and potential cultural heritage assets which maybe affected by the scheme, the next step is to establishtheir value.

5.26 The evaluation of the resource should beconsidered in relation to statutory designations, andpriorities or recommendations published in national,regional and local research agendas, priorities orframeworks. These should be set out in the schemespecific Design Objectives, which should establish thecriteria for evaluating the cultural heritage assetsaffected by the scheme. In all cases the source andrationale for value judgements should be made explicit.

5.27 Cultural heritage assets may be valued for anumber of reasons: for instance they may be rare orparticularly well preserved examples, or typify a classof asset. Other features, not remarkable in these terms,may nonetheless be valuable for a particularcommunity, especially if they are accessible andcontribute to local distinctiveness or identity. Clearlymany of these values are interrelated, and contribute toa complex mesh of perceptions which is continuallychanging. A newly discovered research technique, forinstance, may lead to previously unconsidered triflesbecoming highly significant (for instance, consider

5/4

DNA sampling, not available a decade or so ago).Statutory issues will remain paramount.

5.28 For the purposes of assessment, cultural heritageassets should be considered principally with referenceto their value to the quality and understanding of thecountry’s cultural heritage resource, as set out innational, regional and local cultural heritage legislation,priorities and frameworks. Other environmental topicsmay be more appropriate for examining some of theirother values. The Community Topic for instance, maybetter encompass the importance of historic features tothe local economy. Aesthetic qualities may be moreappropriately considered within the Landscape andTownscape Topics. However, these values can often berelated to cultural heritage values and the relevantspecialists should liaise to ensure that their assessmentsare co-ordinated.

5.29 The cultural heritage value of some assets mayalready be formally recognised through designation (seeAnnex 2). Other valuable assets may not be designated,possibly because they are newly discovered, or theirsignificance only recently recognised, or becausedesignation is not an appropriate response to theirsituation, or their value has not yet been formallyassessed. There may be useful existing indications ofvalue in the citations of World Heritage Sites, NationalPark and Area of Outstanding Natural Beauty citations,development plans, Historic Landscape Character orHistoric Land Use studies, Conservation Area citations,in townscape and urban characterisations, or in villageplans. The Assessment should take these into account asappropriate. Where no such previous evaluations areavailable for cultural heritage assets, the factors takeninto account by the relevant authorities for designatingarchaeological remains, historic buildings and historiclandscapes should be considered in assessing value.

5.30 The value of all the known and potential assetsthat may be affected by the scheme should be ranked,whether they are archaeological remains, historicbuildings or historic landscapes. The value of each assetshould be ranked according to the following scale:

• very high;

• high;

• medium;

• low;

• negligible.

5.31 For some circumstances an ‘Unknown’ value

August 2007



may be all that can be entered. This would usuallyindicate that some risk remains, but the scale of this riskshould be estimated and a strategy for managing itproposed (see paragraph 5.43). Annexes 5, 6 and 7 setout the factors to be considered in determining valuesfor the different sub-topics.

Magnitude of Impact

5.32 The magnitude of impacts is the degree of changethat would be experienced by the asset and its setting ifthe scheme were to be completed as compared with a‘do nothing’ situation. This assessment must take intoaccount any mitigation that is part of the design, isdeliverable and is agreed. Sources of potential impacts,before mitigation, should be identified but theassessment of their magnitude must include agreedmitigation.

5.33 To identify the magnitude of impact the schemedesign needs to be established as well as the presenceand character of the cultural heritage resource. Thereare many potential sources of impact on culturalheritage assets arising from road schemes, and theidentification of them will become more precise asschemes progress. The scheme design should beadvanced enough to identify the sources of potentialimpacts. The following scheme information should beexamined, where relevant to the specialist topic inquestion:

• general details contained in the scheme designabout the nature and extent of proposed groundworks and below-ground disturbance, includingsite investigations, site clearance, topsoilstripping, peat excavation, landscaping, drainage,landscaping, planting, groundworks for theinstallation of lighting and other services, and theextent of landtake;

• previous or existing disturbance which may havealready affected any assets;

• design proposals which may have a direct impact,such as increased pollution, noise, vibration,visual intrusion, or the possibility of collisiondamage;

• off site works such as compounds, borrow pits,haul roads etc.;

• design proposals that may affect setting, contextor legibility, such as lighting, signage or bunds;and

•

5.cawdemofinmfo

•

•

•

•

•

5.mou

S

5.scthmmsifo

•

•

•

•

•

5.thcoofth

August 2007

aspects of the scheme that have the potential forindirect impacts, such as drainage that might leadto desiccation, or severance leading to decreasedeconomic viability of historic resources andsubsequent detrimental changes.

34 The magnitude of the impact (degree of change)n be negative or positive, and should be rankedithout regard to the value of the asset. The totalstruction of a Low Value asset will have the sameagnitude of impact on the asset as the total destruction a High Value asset; the value of the asset is factored when the significance of the effect is assessed. Theagnitude of impact should be ranked according to thellowing scale:

major;

moderate;

minor;

negligible;

no change.

35 The factors to take into account in establishingagnitude of impact for the different sub-topics are sett in Annexes 5, 6 and 7.

ignificance of Effects

36 Assessing the significance of the effects of theheme brings together the value of the resource ande magnitude of the impact (incorporating the agreeditigation) for each cultural heritage asset, using theatrix illustrated in Table 5.1. The adverse or beneficialgnificance of effect should be expressed on thellowing scale:

very large;

large;

moderate;

slight;

neutral.

37 Table 5.1 overleaf illustrates how information one Value of the asset and the Magnitude of Impact arembined to arrive at an assessment of the Significance Effect. The choices allowed in the matrix indicateat the significance of effect can be ascertained.

5/5



Table 5.1 – Significance

5.38 This process, although apparently mechanical, isnot quantitative, but relies upon professional judgementat each step. The factors considered in arriving at thevarious rankings of value and magnitude of impact areobservable facts (i.e. numbers of assets, spatialrelationships, designations, impacts), and it is essentialthat the conclusions based on them are robust, and, ifnecessary, be capable of explanation in a Public Inquiry.The procedure identifies each step taken to arrive at thefinal assessment of the significance of effect, and theycan be re-examined and modified if project detailschange or if they lead to unreasonable conclusions. Theprocess may indeed reveal a valid significance of effectgreater or lesser than the one that might otherwise havebeen expected.

Assessing the Significance of Effect on the OverallCultural Heritage Resource

5.39 The significance of the effects on the culturalheritage resource must be described, considering all thesub-topics involved in the assessment. This can be acomplex matter but it is essential for producing a usefulcontribution to the decision making process. Someguidance can be given here but professional judgementon a case-by-case basis will be required.

5.40 The intention is to establish, as far as possible,parity in the assessment of values, impacts andsignificance of effects across the three sub-topics, so ahigh value archaeological site, a high value historicbuilding and a high value historic landscape will all beconsidered of equal worth, and a similar magnitude of

is

5tworahbbbb

5eittocbbbtMIomwNe

5/6

of Effects Matrix

mpact should result in a similar judgement of theignificance of the effect.

.41 If all the effects on all assets were adverse thenhe highest reading on the Significance of Effect matrixould normally be taken to be the significance of theverall cultural heritage effect, but judgement isequired to ensure that this does not distort thessessment. A scheme with wholly beneficial effects,owever, would not normally be assessed at the highesteneficial reading, as the precautionary principle shoulde adopted, to avoid over-optimistic assessments ofenefits. Again, judgement is required on a case by caseasis.

.42 In an Environmental Statement differences offfects across the sub-topics may be expressed as theres no requirement to produce a single overall score forhe Topic (as there is in Appraisal Summary Tables). Ifhere were adverse and beneficial effects (for instancen different cultural heritage assets or in differentultural heritage sub-topics) these will need to berought out in the assessment, and not obscured byalancing them off against one another. For example, aypass proposal with a Moderate Beneficial Effect onhe historic buildings in a village, might also have a

oderate Adverse Effect on rural archaeological assets.f these were offset against one another to produce anverall Neutral assessment score this would beisleading. An alternative route, or even no new route,ith no adverse or beneficial effects, would also have aeutral score, but clearly these options would not be

quivalent in their effect on cultural heritage. The

August 2007



effects of the different options and their respectivescores should be described in the text, to make thedifferences clear.

Confidence Level

5.43 For archaeological remains in particular, and forthe other sub-topics to a lesser extent, there is the riskthat their presence, or their value, or the degree ofimpact on them, may remain uncertain despite applyingappropriate methods of identification, prediction andevaluation. It may be the case that the scope of theinformation gathering or predictive techniques islimited, for instance as a result of the requirements of aparticular scheme or the decision making stage. It isimportant to identify sources of uncertainty, and assessthe effect of uncertainty on the conclusions.

5.44 All assessments should include a statement ofthe degree of confidence in the results. This shouldaddress the reliability of the assessment methods andthe scope of the data, in order to identify areas ofuncertainty and to highlight parts of the route, or typesof resource, or scheme impacts, for which informationis insufficient. Possible or potential outcomes (risk) inthe absence of further investigation should also beidentified, and incorporated in any formal riskassessment process undertaken by the OverseeingOrganisation.

August 2007 5/7


Chapter 6Reporting

6. REPORTING

6.1 The results of the studies may be intended forinclusion in Environmental Statements, and todocument and support decision making, and should becapable of bearing public scrutiny and debate. Theresults of the studies must therefore be robust enough towithstand such scrutiny, and records of surveys,consultations, analyses and conclusions should becomprehensive, meticulous and consistent.

6.2 The studies will produce reports in variousformats for different purposes. Technical reports ondata collection or fieldwork may often be stand-alonedocuments, but they should be prepared bearing in mindthat certain aspects of the studies, such as constraintsmapping or databases, may contribute to theenvironmental plans or management plans (orequivalent) for the scheme. This requirement maydictate the format and scale of mapping, and the formatof gazetteers and databases.

6.3 Some schemes may utilise GIS procedures, andthe way in which cultural heritage information isincorporated into such a system will need to bedetermined early in the scheme cycle. Reports shouldconform to the Overseeing Organisation’s preferredstyle or formatting, and observe any protocols for thepresentation of electronic documents.

6.4 Reports should be prepared on the results of allassessments, whether at Scoping, Simple or Detailedlevel, giving careful consideration to how much detail isrequired for the particular stage in scheme delivery anddecision making process.

6.5 The study should ensure that cultural heritageinformation collected during the assessmentscontributes to the Overseeing Organisation’senvironmental databases and cultural heritage databases(in England see Design Manual for Roads and Bridges(DMRB) Volume 10, Section 0). There may also bescheme specific databases that combine informationacross multiple environment topics, which will assist inidentifying topic boundaries, areas of potential doublecounting and the coordination of consultations, surveysand proposals for mitigation.

Screening

6.6 The Overseeing Organisation will confirm inwriting any recommendation for the need to proceed to

August 2007

formal Environmental Impact Assessment (EIA). If anEIA is not obligatory there may still be a requirement,in England, to prepare a Record of Determination,setting out significant cultural heritage effects.

The Scoping Report

6.7 The Scoping Report, as part of the overallscheme scoping report, should define:

• the scheme;

• the study area;

• the potential receptors and impacts;

• the known data;

• the scheme objectives;

• the scope of data gathering and and/or fieldwork;

• the proposals for consultation;

• the proposed methods for the evaluation of theresource;

• the proposed method for assessment of impact;

• the significance criteria to be used;

• a statement of the degree of confidence in theresults.

6.8 The description of the scheme should be includedin the overall scheme Scoping Report, but theremaining headings should be topic specific.

6.9 The draft Cultural Heritage Scoping Reportshould be sent to the Overseeing Organisation forapproval prior to its submission to consultees forcomment. Thereafter the Scoping Report remains as adocument that may be modified in the light ofsubsequent investigations, setting the framework forsubsequent assessment.

6.10 The report should include an OS based key planat an appropriate scale showing the locations of culturalheritage assets and areas, as well as any areas of highrisk.

6/1


Chapter 6Reporting

Simple Assessment Reporting

6.11 The report on the Simple Assessment shouldcontain the following key chapters:

a) Introduction/Overview: information on thescheme background and context.

b) Method Statement: a summary of the assessmentsources, and methods adopted for data gathering,fieldwork, evaluation, assessment of impacts, andmitigation.

c) Regulatory and Research Framework: therelevant legislation, policy and codes of practice,and the results of relevant consultations, togetherwith a statement of the cultural heritage SchemeObjectives.

d) Baseline conditions: the identification andcharacterisation of cultural heritage assets, to anappropriate level of detail, including the resultsof any surveys carried out.

e) Evaluation of the cultural heritage assets.

f) Assessment of the magnitude of the impact of thescheme, taking into account agreed mitigationmeasures or strategies, including the likelyeffectiveness of the mitigation. In Wales andScotland the impact of the unmitigated schemeshould also be reported. There should be adescription and discussion of potentialalternatives.

g) Significance of effects: the assessment of thesignificance of the effects on the cultural heritageresource, based on the evaluation and theassessment of the magnitude of the impacts,taking agreed mitigation into account (in Walesand Scotland the significance of the effect of theunmitigated scheme should be reported). Thereshould also be a statement identifying anyremaining risks or uncertainties.

h) Summary: a short description of the significanceof the effects on cultural heritage.

6.12 The report will be illustrated to show thelocations of the relevant assets, to take the form of (asappropriate):

•

•

•

D

6Occ

a

b

c

d

e

6/2

OS based key plan showing ScheduledMonuments, Listed Buildings, ConservationAreas, Registered Historic Landscapes, HistoricParks and Gardens, Historic Battlefields, historiclandscape character mapping and other relevantdesignated and undesignated assets;

a map at an appropriate scale showing the Zonesof Visual Influence or the appropriate visualenvelope related to historic buildings andmonuments;

detailed route plans (OS based) at 1:2500showing the locations of all cultural heritageassets to include:

– areas of cultural heritage potential;

– an indication of where, and what, furthercultural heritage fieldwork is required;

– areas of potential impacts, where known.

etailed Assessment Reporting

.13 The draft report should be submitted to theverseeing Organisation prior to circulating it to

onsultees. The final report will include the results ofonsultations.

) Introduction/Overview: information on thescheme background and context.

) Method Statement: a description of theinformation sources, and methods adopted fordata gathering, fieldwork, evaluation, assessmentof impacts, and mitigation.

) Regulatory and Research Framework: therelevant legislation, policies and codes ofpractice, and the results of relevant consultations,together with a statement of the cultural heritageScheme Objectives.

) Baseline conditions: the identification andcharacterisation of cultural heritage assets, to anappropriate level of detail, including the resultsof any surveys carried out.

) Evaluation of the cultural heritage assets.

August 2007


Chapter 6Reporting

f) Assessment of the magnitude of the impact of thescheme, taking into account agreed mitigationmeasures or strategies, including the likelyeffectiveness of the mitigation measures. InWales and Scotland the impact of the unmitigatedscheme should also be reported. There should bea description and discussion of potentialalternatives.

g) Significance of effects: the assessment of thesignificance of the effects on the cultural heritageresource, based on the evaluation and theassessment of the magnitude of the impacts,taking agreed mitigation into account. In Walesand Scotland the significance of the effect of theunmitigated scheme should also be reported.There should be a statement identifying anyremaining risks or uncertainties.

h) Summary: a short description of the significanceof the effects on cultural heritage.

6.14 The Report will be illustrated by:

• a key plan (OS based) showing ScheduledAncient Monuments, Listed Buildings,Conservation Areas, Registered HistoricLandscapes, Historic Parks and Gardens, HistoricBattlefields, historic landscape charactermapping and other relevant designated andundesignated assets;

• detailed route plans (OS based) at 1:2500showing the locations of all cultural heritageassets, to include:

– areas of cultural heritage potential;

– an indication of where, and what, culturalheritage mitigation has been agreed.

Reporting Incomplete or Abandoned Schemes

6.15 Normally the results of original documentary orsurvey work undertaken for an assessment areincorporated into the final reports of subsequent workson the scheme. In the event of a scheme notprogressing, or elements of it being shelved so that nofurther cultural heritage work is undertaken beyond theassessment stage, it is still necessary to complete theappropriate analysis and publication, including populardissemination, of any original cultural heritage workthat has been carried out. The form and detail of thisdissemination should be commensurate with the

August 2007

significance of the new material. This requirementshould be made clear in contract documents governingthe works. In England the final publication shouldaccord with the principles of English Heritage’sManagement of Archaeological Schemes (MAP 2, 1991)and The Management of Research Projects in theHistoric Environment (MoRPHE 2007), adapted ifnecessary to encompass historic buildings and historiclandscape investigations, and take account of any otherrelevant government or English Heritage guidance andadvice documents. Studies undertaken for the devolvedadministrations’ should adopt the appropriatepublication arrangements in consultation with thenational heritage agencies. In Scotland this informationshould be lodged with the Royal Commission on theAncient and Historical Monuments of Scotland(RCAHMS), who have their own reportingrequirements (see Annex 8).

6/3


August 2007 7/1

7. ENQUIRIES

All technical enquiries or comments on this Advice Note should be sent in writing as appropriate to:

Divisional Director (Asset Performance Division)Floor D2No. 5 BroadwayBroad Street S SMITHBirmingham Divisional Director (Asset PerformanceB15 1BL Division)

Director of Trunk Roads: Infrastructure andProfessional ServicesTransport ScotlandTrunk Road Network Management8th Floor, Buchanan House58 Port Dundas Road A C McLAUGHLINGlasgow Director of Trunk Roads: InfrastructureG4 0HF and Professional Services

Chief Highway EngineerTransport WalesWelsh Assembly GovernmentCathays Parks M J A PARKERCardiff Chief Highway EngineerCF10 3NQ Transport Wales

Director of EngineeringThe Department for Regional DevelopmentRoads ServiceClarence Court10-18 Adelaide Street R J M CAIRNSBelfast BT2 8GB Director of Engineering

Chapter 7Enquiries


A1/1

Annex 1The Statutory Bodies

August 2007

England

1.1 English Heritage (EH) – the Historic Buildingsand Monuments Commission for England – was set upin 1984 to manage many of the monuments andbuildings in public ownership, provide grants in supportof privately owned heritage properties, promoteheritage and advise Government in England on heritagematters.

Scotland

1.2 Historic Scotland (HS) is an Agency within theScottish Executive and is directly responsible toScottish Ministers for safeguarding the nation’s historicenvironment and promoting its understanding andenjoyment. All functions performed by the Agency arecarried out on behalf of Scottish Ministers.

Wales

1.3 Cadw is the Welsh Assembly Government’shistoric environment division. Its aim is to promote theconservation and appreciation of Wales’s historicenvironment. Created in 1984, it carries out duties inrespect of the protection of ancient monuments,buildings of special architectural or historic interest andsites on the Register of Historic landscapes, Parks andGardens in Wales.

Northern Ireland

1.4 The Environment and Heritage Service (EHS) isan Agency within the Department of the Environmentof the Northern Ireland Assembly. It has responsibilityfor identifying, recording and protecting archaeologicalsites and monuments, and buildings and other structuresof architectural or historical interest. Protection iscarried out by scheduling, under the HistoricMonuments Act (NI) 1971, or by listing, under thePlanning (NI) Order 1991.

National Trust

1.5 The National Trust for England, Wales andNorthern Ireland and the National Trust for Scotland(NTS), although not statutory bodies, are included in

tdspe

1bcsst

ANNEX 1 THE STATUTORY

his annex because they have the statutory power toeclare their land and properties ‘Inalienable’. Thistatutory power means that such inalienable Trustroperty cannot be removed from the Trust’s ownershipxcept by special Parliamentary Procedure.

.6 Where Inalienable Land is likely to be affectedy a proposed scheme, the relevant Trust should beonsulted in confidence in the same way as thetatutory bodies. References to consultation with thetatutory bodies should, therefore, be taken to includehe NT where Inalienable Land is affected.

BODIES


ND STATUTORY

Annex 2Designations and Statutory Requirements

ANNEX 2 DESIGNATIONS AREQUIREMENTS

NB. In England and Wales, the system of statutoryand non-statutory designations described below iscurrently (2007) undergoing reform of the systemsused to describe, select, and manage historic assets.

International Designations

World Heritage Sites

2.1 World Heritage Sites are designated under theUnited Nations Educational, Scientific and CulturalOrganisation (UNESCO) Convention for the Protectionof the World Cultural and Natural Heritage (1972).Each country that is a party to the Conventionnominates a list of sites, which it considers to be ofoutstanding universal value, generally major culturaland natural sites. In England, Scotland, Wales andNorthern Ireland there are currently (2007) 23 WorldHeritage Sites inscribed for their cultural heritageimportance.

Responsible body: Department of Culture, Mediaand Sport (DCMS).

Statutory designation: No statutory designation in itsown right. Could be an AncientMonument or Grade I ListedBuilding, or within aConservation Area, or otherstatutorily designated area, ormay be otherwiseundesignated. World HeritageSites are most likely to containa combination of theseelements which themselveshave a degree of statutoryprotection. World HeritageSites are a materialconsideration in planningdecisions.

National Designations

Ancient Monuments

2.2 Under the Ancient Monuments andArchaeological Areas Act 1979, the relevant Secretaryof State in England, and Welsh, Scottish and Northern

IrbgnainAInMbapp

2thowdaininGEMcvC

2Oth(EwcInO(HmaDthmcc

August 2007

ish Ministers can schedule (i.e. designate) anyuilding, structure or other work above or belowround, or in territorial waters, which appears to be ofational importance because of its historic,rchitectural, traditional, artistic or archaeologicalterest. The non-statutory criteria for the scheduling ofncient Monuments are appended to this Annex.clusion of a site in the schedule of Ancientonuments does not affect its ownership, but is

inding on successive owners. The Secretaries of Statend the devolved administrations’ Ministers haveowers to acquire Ancient Monuments by gift orurchase, as do Local Authorities.

.3 Once a monument is scheduled any developmentat would affect it requires the consent of the Secretary

f State or Ministers. In this context, ‘affect’ meansorks which would have the impact of demolishing,estroying, damaging, removing, repairing, altering,dding to, flooding or covering up the monument, andcludes the use of geophysical remote sensing devices,cluding metal detectors (see Planning Policyuidance (PPG) 16, Annex 3, or Scottish Historicnvironment Policy 2). A system of Scheduledonument Clearance operates for Crown developments

arried out by Government Departments that followsery similar procedures to Scheduled Monumentonsent.

.4 In England, under DoE Circular 18/84, theverseeing Organisation’s Scheme Manager will notifye DCMS, and will also consult English HeritageH). On receiving details of the proposals, the DCMSill consult EH before deciding whether or not

learance, or conditional clearance, should be granted. Scotland, under SDD Circular 21/1984, theverseeing Organisation must notify Historic ScotlandS) who will advise on the need for formal scheduled

onument clearance and determine the outcome ofpplications made. In Wales, the Overseeingepartment will notify Cadw of any proposed worksat will affect a scheduled ancient monument. Cadway consult other outside bodies, as it does with

onsent applications, before determining whether or notlearance should be granted.

A2/1



Responsible bodies: EHEHS: HMBHSCadw.

Statutory designation: Ancient Monument.

Areas of Archaeological Importance (England Only)

2.5 The historic town centres of Canterbury, Chester,Exeter, Hereford and York have been designated asArchaeological Areas of Importance under Part II of theAncient Monuments and Archaeological Areas Act1979. Within these areas potential developers arerequired to give six weeks notice to the relevantplanning authority of any proposals to disturb theground, tip on it, or flood it. The Secretary of Statenominates an investigating authority for the area –usually the archaeological unit of the relevant localauthority – that then has the power to enter the site and,if necessary, to excavate it for up to four and a halfmonths before development may proceed. The future ofthis designation is under review and no moredesignations are planned. Part II of the AncientMonuments and Archaeological Areas Act 1979 has notbeen brought into force in Scotland.

Responsible body: Local Planning Authority.

Statutory designation: Area of ArchaeologicalImportance.

Listed Buildings

2.6 In England under Section 1 of the Planning(Listed Buildings and Conservation Areas) Act 1990,the Secretary of State is required to compile lists ofbuildings of special architectural or historic interest, onadvice from EH. In Wales, the same authority is vestedin Welsh Assembly Government Ministers, on advicefrom Cadw. The lists are compiled on the merits of thebuilding by reference to national criteria recommendedby EH and Cadw. In Scotland, the same authority isvested in the Scottish Ministers by section 1 of thePlanning (Listed Buildings and Conservation Areas)(Scotland) Act 1997; listing is undertaken usingnational criteria prepared by HS. The Memorandum ofGuidance provides advice on listed buildings andconservation areas. In Northern Ireland listing is carriedout by EHS:HMB under the Planning (NI) Order 1991.The DOE(NI) Town and Country Planning Serviceconsults EHS:HMB on applications for Listed BuildingConsent.

2.tohiwliarcascw

2.caimcl

•

•

•

2.or

•

•

•

•

2.arfo

•

•

A2/2

7 In selecting buildings, particular attention is paid their importance in illustrating economic and socialstory, their architectural quality, their association withell-known historical events, characters or works ofterature, and their group value. Some listed buildingse also scheduled monuments, and where this is these scheduling takes precedence over listing, andheduled monument consent is required for works thatould affect them, but not listed building consent.

8 Listed Buildings are classified in grades (ortegories in Scotland) to show their relativeportance. In England and Wales, listed buildings are

assified (in descending order of importance) as:

Grade I – buildings of exceptional interest (onlyabout 1.4% of listed buildings are in thiscategory);

Grade II* – particularly important buildings ofmore than special interest (some 4% of listedbuildings);

Grade II – buildings of special interest (theremaining 94%).

9 In Northern Ireland the grades, in descendingder of importance are:

Grade A – which corresponds to Grade I inEngland and Wales and covers 2% of listedbuildings in Northern Ireland;

Grade B+ – equivalent to Grade II* in Englandand covering 3% of listed buildings;

Grade B – equivalent to Grade II; and

Grade C – equivalent to the former Grade III inEngland.

10 In the Scottish classification the listing categoriese defined in the Memorandum of Guidance asllows:

Category A – buildings of national orinternational importance, either architectural orhistoric, or fine, little altered examples of someparticular period, style or building type.

Category B – buildings of regional or more thanlocal importance, or major examples of someparticular period, style or building type whichmay have been altered.

August 2007



• Category C(S) – buildings of local importance;lesser examples of any period, style or buildingtype, as originally constructed or altered, andsimple traditional buildings, which group wellwith categories A and B or are part of a plannedgroup, such as an estate or an industrial complex.

2.11 Listed buildings are afforded protection as anextension of planning control. This means that adeveloper cannot, without penalty, demolish, alter orextend a listed building in any way that affects itsarchitectural or historic character, unless listed buildingconsent has been obtained from the local planningauthority. Unlisted buildings in conservation areas arealso protected from demolition, and conservation areaconsents must be sought from the local authority beforedemolition can proceed. In some instances applicationsfor listed building consent may be referred to therelevant Secretary of State or Minister for approval. InEngland, central government responsibility rests withthe DCMS. A Crown developer does not need listedbuilding consent but is nevertheless obliged to followformal procedures devised for GovernmentDepartments under DoE Circular 18/84 (Scotland nolonger has Crown immunity; this means that, whererequired, the Overseeing Organisation must apply to therelevant planning authority for Listed Buildingconsent). Where a private developer would needconsent, the Overseeing Department must consult withthe local planning authority, which will advertise theproposals and notify EH, EHS:HMB, Cadw or HS asappropriate and other interested bodies. Full details ofthis procedure are to be found in the above-mentionedCirculars. DoE Circular 20/92 (DNH Circular 1/92)may also be helpful. It applies only to England and setsout the split of responsibilities between DoE and DNHfor conservation policy and casework.

2.12 At present works (including partial demolition)to ecclesiastical buildings in use, or where the use willresume once the work is complete, are exempt fromlisted building control but consent is generally requiredfor the total demolition of an ecclesiastical building. InEngland for demolition of Church of England churches,buildings, yards or consecrated cemeteries a facultymust be obtained from the Chancellor of the Diocese inaddition to consent from the local planning authority.The exception is where the church is a redundantchurch of the Church of England, which is beingdemolished in pursuance of a pastoral, or redundancyscheme made under the Pastoral Measure 1983legislation. The rules on ecclesiastical exemption arecurrently being revised. Where church land (of anydenomination) containing burials or cremation remainsis required for Compulsory Purchase Order, the Home

Oex

R

St

TIr

2.anesthhihadethwwpr

2.unPtoCparelaT

R

St

B

2.lihialsebereSthT

August 2007

ffice must also be contacted for permission tohume.

esponsible bodies: EHEHS: HMBHSCadw.

atutory designation: Listed Building (except GradeIII in England and Grade C inNorthern Ireland which arenon-statutory designations).

he National Trusts in England, Wales, Northerneland and Scotland

13 The National Trust for England, Northern Irelandd Wales, and the National Trust for Scotland weretablished to promote the permanent preservation, fore benefit of the nation, of lands and buildings ofstoric or national interest or natural beauty. The Trustsve the power, given to them by Act of Parliament, toclare their properties inalienable; that is, to declareem objects which the Trusts hold in perpetuity andhich cannot be removed from Trusts’ ownershipithout their consent except by special Parliamentaryocedure.

14 The National Trust for Scotland also has a powerique in Scotland, given to it by its 1938 Act of

arliament. This power enables landowners voluntarily enter into legal agreements, usually known asonservation Agreements, with the Trust making all orrt of their land subject to binding conditionsstricting the planning, development or use of thatnd, in conformity with the statutory purposes of therust.

esponsible bodies: National Trust for England,Northern Ireland and WalesNational Trust for Scotland.

atutory designation: Inalienable land.

uilding Preservation Notices

15 If a local planning authority considers that a non-sted building in its area is of special architectural orstoric interest and is in danger of demolition orteration in such a way as to alter its character, it canrve a Building Preservation Notice. The Noticecomes effective immediately it has been served andmains so for six months, unless during that period theecretary of State or Ministers list the building or notifye planning authority that they do not intend to do so.he effect of the Notice is as if the building had been

A2/3



listed (see Section 3 of the Planning (Listed Buildingsand Conservation Areas) Act 1990 for England andWales or Section 3 of the Planning (Listed Buildingsand Conservation Areas) (Scotland) Act 1997 asappropriate).

Responsible bodies: Local planning authorityIn Scotland the PlanningAuthority.

Statutory designation: Building under a BuildingPreservation Notice.

Parks and Gardens of Special Historic Interest

2.16 In England EH compiles a non-statutory Registerof Parks and Gardens of Special Historic Interest. Itspurpose ‘is to record their existence so that highwayand planning authorities, and developers know that theyshould try to safeguard them when planning new roadschemes and new developments generally’, (DoECircular 8/87, paragraph 15). Inclusion on the registerdoes not involve any new restrictions on development,nor does it affect the statutory listing or planningcontrols on any listed building within a registered parkor garden. It is, however, a material consideration forplanning purposes. The grading terminology employedfor listed buildings is also used for parks and gardens,defined as follows:

• Grade I – parks and gardens which by reason oftheir historic layout, features and architecturalornaments considered together make them ofexceptional interest;

• Grade II* – parks and gardens which by reason oftheir historic layout, features and architecturalornaments considered together make them, if notof exceptional interest, nevertheless of greatquality;

• Grade II – parks and gardens, which by reason oftheir historic layout, features and architecturalornaments considered together make them ofspecial interest.

2.17 In Scotland, HS compile and publish an‘Inventory of Gardens and Designed Landscapes inScotland’. Sites are included on the Inventory byreference to criteria defined by HS, and considered tobe of national importance. However, the Inventory doesnot apply a grading system in the same manner as theEnglish and Welsh registers. Design Organisationsshould consult with HS at an early stage on anyproposals affecting these sites.

A2/4

2.18 The Town and Country Planning (GeneralDevelopment Procedure) (Scotland) Order 1992, asamended in 2007, requires Planning Authorities,Transport Scotland and other developers in Scotland toconsult HS in respect of development proposals –which may include road proposals, works to bridges etc– affecting Gardens and Designed Landscapes includedin the Inventory (Site List 2007) (reference SO Circular6/92).

2.19 Cadw has compiled a non-statutory ‘Register ofLandscapes of Historic Interest in Wales’ of whichparks and gardens comprise Part 1. DesignOrganisations should consult with Cadw and CCW atan early stage on any proposals affecting landscapesincluded in the Register.

2.20 For Northern Ireland, the Environment andHeritage Service is compiling a Register of HistoricParks, Gardens and Demesnes of Special Interest.

Responsible bodies: EHHSEHSCadw.

Statutory designation: Non-statutory.

Historic Battlefields

2.21 In England English Heritage can registerimportant battlefields. There are currently 43Registered Historic Battlefields. This is a non-statutorydesignation, and the sites are not graded, but thepresence of a registered battlefield is a materialconsideration in determining development proposals.

2.22 In Scotland, Historic Scotland is currently (2007)preparing a policy for the protection of battlefields inScotland, which includes proposals to create abattlefields inventory. However, this work is still in theearly stages of preparation. Design Organisationsshould consult the HS website for further information.

Responsible bodies: EHHS.

Statutory designation: Non-statutory.

Local Designations

Conservation Areas

2.23 Local authorities may designate as conservationareas sections of land or buildings within their

August 2007



jurisdiction. They must be of special architectural orhistoric interest, the character or appearance of which itis desirable to preserve or enhance. Section 72 (1) ofthe Planning (Listed Buildings and Conservation Areas)Act 1990 requires authorities to have regard to the factthat there is a conservation area when exercising any oftheir functions under the Planning Acts and to payspecial attention to the desirability of preserving orenhancing the character or appearance of conservationareas. Although a local designation, conservation areasmay nevertheless be of national importance andsignificant developments within a conservation area arereferred to EH, in England, and to Cadw in Wales. InScotland the Planning (Listed Buildings andConservation Areas) (Scotland) Act 1997 extendssimilar provisions to the designation of conservationareas and recognition of their importance. Demolitionof unlisted buildings in conservation areas requiresConservation Area Consent.

Responsible bodies: Local planning authorityDOE(NI) Town and CountryPlanning Services.

Statutory designation: Conservation Area.

Non-Designated Buildings and Sites

2.24 Buildings of historic or architectural interest maynot be listed, or included within a conservation area, butmay still be sufficiently important to merit specialassessment. This is also true of historic landscapes andbattlefield sites.

2.25 The Sites and Monuments Records (SMRs)(sometimes referred to as Historic EnvironmentRecords (HER)) are the records curated by, or onbehalf of, Local Authorities. They comprise a list ofknown archaeological sites. The information in theSMR is used to inform the preparation of developmentplans as well as decisions on new development. Theyare often also used for other purposes, such as forinterpreting the archaeological resource, for educationand for land management. All SMRs generate their owndata but also draw information from a number of othersources. All SMRs are accessible to the public, eitheron-line or by arrangement.

2.26 Cadw, has included 58 outstanding or specialareas of historic landscape in Part 2 of its non-statutoryRegister of Landscapes, Parks and Gardens of SpecialHistoric Interest in Wales. Design Organisations shouldconsult with Cadw and CCW at an early stage on anyproposals affecting landscapes included in the Register.

August 2007 A2/5



APPENDIX

NON-STATUTORY CRITERIA FORSCHEDULING ANCIENT MONUMENTS

In England and Wales

The following criteria (which are not placed in anyorder of ranking in PPG 16) are used for assessing thenational importance of an ancient monument andconsidering whether scheduling is appropriate. Thecriteria should not, however, be regarded as definitive;rather they are indicators which contribute to a widerjudgement based on the individual circumstances of acase.

(i) Period: all types of monuments that characterisea category or period should be considered forpreservation.

(ii) Rarity: there are some monument categories,which in certain periods are so scarce that allsurviving examples that still retain somearchaeological potential should be preserved. Ingeneral, however, a selection must be madewhich portrays the typical and commonplace aswell as the rare. This process should take accountof all aspects of the distribution of a particularclass of monument, both in a national and aregional context.

(iii) Documentation: the significance of a monumentmay be enhanced by the existence of records ofprevious investigation or, in the case of morerecent monuments, by the supporting evidence ofcontemporary written records.

(iv) Group Value: the value of a single monument(such as a field system) may be greatly enhancedby its association with related contemporarymonuments (such as a settlement and cemetery)or with monuments of different periods. In somecases, it is preferable to protect the completegroup of monuments, including associated andadjacent land, rather than to protect isolatedmonuments within the group.

(v) Survival/Condition: the survival of amonument’s archaeological potential both aboveand below ground is a particular importantconsideration and should be assessed in relationto its present condition and surviving features.

A2/6

(vii) Diversity: some monuments may be selected forscheduling because they possess a combinationof high quality features, others because of asingle important attribute.

(vi) Fragility/Vulnerability: highly important asingle ploughing or unsympathetic treatment candestroy archaeological evidence from some fieldmonuments; vulnerable monuments of this naturewould particularly benefit from the statutoryprotection which scheduling confers. There arealso existing standing structures of particularform or complexity whose value can again beseverely reduced by neglect or careless treatmentand which are similarly well suited by scheduledmonument protection, even if these structures arealready listed historic buildings.

(viii) Potential: on occasion, the nature of theevidence cannot be specified precisely but it maystill be possible to document reasons anticipatingits existence and importance and so todemonstrate the justification for scheduling. Thisis usually confined to sites rather than upstandingmonuments.

* Taken from PPG 16, Archaeology and Planning,(November 1990, Department of the Environment;November 1991 Welsh Office).

In Scotland

Criteria for and Guidance on the Determination of‘National Importance’ under the terms of theAncient Monuments and Archaeological Areas Act1979Preamble (extract from SHEP 2)

1. The Ancient Monuments and ArchaeologicalAreas Act 1979 provides for the scheduling of ancientmonuments, the sole criterion being that they are ofnational importance. A definition and operationalguidance on how to determine whether or not amonument is of national importance was approved bythe (former) Ancient Monuments Board for Scotland in1983. The criteria and guidance offered here are anupdated version that has taken account of thedevelopment of treaty, charter and practice in the UKand abroad and has been informed by the consultationexercise carried out in 2004. While based on the 1983text, it also reflects the principles of Scotland’s StirlingCharter (2000), which has been informed by, and buildson, the body of international conservation chartersalready in being. One of the most influential of these is

August 2007



the Burra Charter (current edn 1999), which introducedthe now widely accepted concept of ‘culturalsignificance’. While taking into account national andinternational developments, this revised guidance hasbeen prepared with the welfare of Scotland’sarchaeological and built heritage in mind. The primaryaim of this document is to provide guidance indetermining whether monuments are unequivocally ofnational importance.

Role of Historic Scotland

2. The process of scheduling is undertaken onbehalf of Scottish Ministers by HS. HS is an executiveagency directly accountable to Scottish Ministers withthe remit of protecting Scotland’s historic environment.The selection of monuments and the scheduling processis undertaken by professional staff within HS applyingthe policies, criteria and guidance set by ScottishMinisters.

3. The first step in considering whether a monumentis of national importance is to identify and understandits cultural significance. The concept of ‘culturalsignificance’ will apply widely and to different degreesto all of Scotland’s historic environment, and should notbe confused with the establishment of ‘nationalimportance’, which is a separate process. For amonument or a class of monuments to be considered asbeing of national importance it must, first, have aparticular cultural significance – artistic;archaeological; architectural; historic; traditional(factors listed in the 1979 Act); aesthetic; scientific;social – for past, present or future generations. Suchsignificance is inherent in the monument itself, itsfabric, setting, use, associations, meanings, records,related monuments and related objects.

4. For most of Britain’s and Scotland’s past, thereare no ‘national’ prehistories or histories, as reflected inthe built heritage. Instead, there is an aggregation ofrelated prehistories and histories of different regions,which may have wider national or international links. Itis through these linked regional histories andprehistories that the history of Scotland and the UK canbe understood.

5. Cultural significance of any monument, whetherof national importance or more local significance, canbe characterised by reference to one or more of thefollowing; the characteristics are in three groups:

• Intrinsic – those inherent in the monument;

August 2007

• Contextual – those relating to the monument’splace in the landscape or in the body of existingknowledge; and

• Associative – more subjective assessments of theassociations of the monument, including withcurrent or past aesthetic preferences.

Intrinsic characteristics include:

a. the condition in which the monument hassurvived. ‘Condition’ includes the potentialsurvival of archaeological evidence above andbelow ground, and goes beyond the survival ofmarked field characteristics;

b. the archaeological, scientific, technological orother interest or research potential of themonument or any part of it;

c. the apparent developmental sequence of themonument. Monuments that show a sequence ofdevelopment can provide insights of importance,as can places occupied for a short time;

d. the original or subsequent functions of themonument and its parts.

Contextual characteristics include:

e. the present rarity or representativeness of all orany part of the monument, assessed againstknowledge of the archaeology of Scotland and ofthe region in which the monument occurs;

f. the relationship of the monument to othermonuments of the same or related classes orperiod, or to features or monuments in thevicinity. This is particularly important whereindividual monuments, themselves perhaps oflimited immediate significance, form animportant part of a widespread but varied class.The diversity of the class should be a materialconsideration in making individual decisions;

g. the relationship of the monument and its partswith its wider landscape and setting.

Associative characteristics include:

h. the historical, cultural and social influences thathave affected the form and fabric of themonument, and vice versa;

i. the aesthetic attributes of the monument;

A2/7



j. its significance in the national consciousness orto people who use or have used the monument, ordescendants of such people; and

k. the associations the monument has withhistorical, traditional or artistic characters or events.

6. Understanding of cultural significance maychange as a result of the continuing history of themonument, or in the light of new information, orchanging ideas and values.

National Importance

7. The primary purpose of scheduling under the1979 Act is the preservation of, and control of workson, monuments, the survival of which is in the nationalinterest. The provisions of the 1979 Act are consistentwith the principles of minimal intervention to ensurethat the characteristics that make a monument ofnational importance are preserved as far as possible inthe state in which it has come down to us, and is passedon to future generations in as unchanged a state as ispracticable, in accord with the principles of sustainabledevelopment. In general, those principles will only beset aside in circumstances where wider considerationsare deemed, on balance, to be of greater importance tothe national interest, rather than to any sectoral or localinterest; in individual cases such considerations mayinclude the needs of research into Scotland’s past.

8. It should be noted that no period of Scotland’spast and no part of Scotland’s land is inherently more orless likely to produce monuments of ‘nationalimportance’ than another.

9. The purpose and implications of scheduling areissues that require to be taken into consideration whenassessing monuments for scheduling. Scheduling maynot be the only, or the most appropriate, mechanism tosecure the future of all sites, even those that mayotherwise meet the criteria.

10. The particular significance needed to define themonument as of ‘national’ importance may beestablished in terms of one or more of the following:

a. its inherent capability or potential to make asignificant addition to the understanding orappreciation of the past;

b. its retention of the structural, decorative or fieldcharacteristics of its kind to a marked degree;

c. its contribution, or the contribution of its class, totoday’s landscape and/or the historic landscape;

A2/8

d. the quality and extent of any documentation orassociation that adds to the understanding of themonument or its context;

e. the diminution of the potential of a particularclass or classes of monument to contribute to anunderstanding of the past, should the monumentbe lost or damaged; and

f. its place in the national consciousness is a factorthat may be considered in support of otherfactors.

August 2007


Y AND ADVISORY

Annex 3The Regulatory and Advisory Framework

ANNEX 3 THE REGULATORFRAMEWORK

Acts, Statutory Instruments, Orders, InternationalConventions

Acquisition of Land Act 1981Sets out the procedure for the acquisition by theSecretary of State (in England or Wales) of any ancientmonument and land adjoining it or in the vicinity bycompulsory purchase.

Ancient Monuments and Archaeological Areas Act1979Replaced earlier acts. Formalised a schedule ofmonuments that required ‘scheduled monumentconsent’ Does not apply to Northern Ireland.

Ancient Monuments (Class Consents) Order 1994(S.I. No. 1381)Introduced new classes of works for which ‘scheduledmonument consent’ is not required.

Ancient Monuments (Class Consents) (Scotland) Order1996 (S.I. No. 150)Amendments to the 1994 Class Consents Order to coverthe lack of statutory body equivalent to EnglishHeritage.

Ancient Monuments (Applications for ScheduledMonument Consent) (Welsh Forms and Particulars)Regulation 2001 (WSI 1438 (W100))Transfer of responsibility to the National Assembly forWales.

Burial Act 1857Introduced requirement for a licence to remove humanremains, except from one area of consecrated ground toanother.

Coroners Act 1988Covers the role of Coroners in dealing with possible‘Treasure’.

Crown Estate Act 1961The hereditary estates of the Crown were placed in thehands of Commissioners. These estates were exemptfrom many aspects of planning law.

Disused Burial Grounds Act 1884Prohibits building on disused burial grounds, except forplaces of worship, without statutory authority.

DisIntrrem

EECDireImpEnvReqcarr

EnvInclAutapp

EnvRegPart

ForOutpriowith

Hed

HigIntrassesche

HigRegAm

HigRegAmReg

His

His(NoConandBui

August 2007

used Burials Grounds (Amendment) Act 1981oduces provisions to allow building followingoval of human remains.

(European Economic Community) 1985: Councilctive of 27 June 1985 on the Assessment of theacts of Certain Public and Private Schemes on theironment (85/337/EEC) as amended by 97/11/EEC.uires environmental impact assessments to beied out for certain schemes.

ironment Act 1995udes archaeological obligations for National Parkhorities and protection for hedgerows. Does notly to Scotland.

ironmental Impact Assessment (Scotland)ulations 1999 (Scottish Statutory Instrument No. 1) III deals with EIA of trunk roads.

estry Act 1967lines exemptions from need to notify authoritiesr to cutting down or extensively pruning treesin Conservation Areas.

gerow Regulations 1997 (England and Wales only).

hways Act 1980 (England and Wales only)oduced requirement for environmental impactssment for highway construction and improvementmes.

hways (Assessment of Environmental Impacts)ulations 1988 (SI No 1241)endments to the Highways Act 1980.

hway (Assessment of Environmental Impacts)ulation 1999 (SI No 324)endments to the Highways Act 1980 and the 1988ulations.

toric Buildings and Ancient Monuments Act 1953.

toric Monuments and Archaeological Objectsrthern Ireland) Order 1995 (S.I. No. 1625)solidated planning legislation relevant to historic archaeological features. Established the Historicldings Council.

A3/1



Land Drainage Act 1991Excludes from the provisions of the act any work thatwould contravene the current Ancient Monuments Act.

Merchant Shipping Act 1995Exempts material from wrecks from classification of‘Treasure’. Provides for a Receiver of Wrecks toadminister salvage and finds from wrecks.

National Heritage Act 1983, amended 2003Established English Heritage. Contained someamendments to AMAA.

Planning Etc. (Scotland) Act 2006Minor amendments to Planning (Listed Buildings andConservation Areas) (Scotland) Act 1997.

Planning (Listed buildings and Conservation Areas) Act1990 (England only)Consolidation of legislation relating to listed buildingsand conservation areas.

Planning (Listed Buildings and Conservation Areas)(Scotland) Act 1997Sets out legislative requirements regarding listedbuildings and conservation areas.

Planning (NI) Order 1991Places a duty on the Dept of the Environment tocompile lists of historic buildings in Northern Ireland.

Planning and Compensation Act 1991Sets out development control measures andenforcement powers involving, inter alia, listedbuildings and conservation areas.

Planning (Compensation etc) Act (NI) 2001.

Planning and Compulsory Purchase Act 2004Removes Crown Immunity from development control,and modifies planning measures.

Protection of Military Remains Act 1986Offers protection to military sites, vessels and aircraft.

Protection of Wrecks Act 1973Offers legal protection to designated wreck sites.

Roads (Scotland) Act 1984Introduced requirement for EIA of road constructionand improvement schemes in Scotland.

Town and Country Planning (Assessment ofEnvironmental Effects) Regulations 1988 S.I. No. 1199)Includes requirement for environmental statements toinclude ‘Cultural Heritage’.

TE(Ae

TA1D

TOLp

TPRd

TPRam

TP(s

TP1Gc

TDSf

TRcE

TBR

TCR

A3/2

own and Country Planning (Assessment ofnvironmental Effects) (Amendment) Regulations 1992

S.I. No. 1494)mendments to requirements for cultural heritage

lement of environmental assessments.

own and Country Planning (Environmentalssessment and Permitted Development) Regulations995 (S.I. No. 417)etails of environmental assessment requirements.

own and Country Planning General Developmentrder 1988 (SI No 1813) (Article 18(1))ists those bodies, which should be consulted under thelanning EIA regulations.

own and Country Planning (General Developmentrocedure) Order 1995 (SI No 419)equirement for English Heritage to be consulted onemolition or major alteration to Listed buildings.

own and Country Planning (General Developmentrocedure) (Scotland) Order 1992 (SI No 224):equirement for consultation in Scotland for planningpplications affecting A-listed buildings, scheduledonuments and designed landscapes in the ‘Inventory’.

own and Country Planning (General Developmentrocedure) (Scotland) Amendment (No 2) Order 1994S 192): Extends consultation to the setting ofcheduled monuments and A-listed buildings.

own and Country Planning (General Developmentrocedure) (Scotland) Amendment Order 2007 (SSI77): Includes revised interpretation of Inventory ofardens and Designed Landscapes for purpose of

onsultation with HS.

own and Country Planning (General Permittedevelopment) Order 1995 (SI No 408)ets out limits to requirements for planning permissionor listed buildings and conservation areas.

own and Country Planning (Scotland) Act 1997eplaced the 1972 Act. Contained four statutesovering the same areas as the 1990 legislation inngland.

own and Country Planning (Listed Buildings anduildings in Conservation Areas) (Scotland)egulations 1987 (SI 1987/1592).

ransport and Works Applications (Listed Buildings,onservation Areas and Ancient Monument Procedure)egulations 1992 (SI No 3138).

August 2007



Procedures for applications for planning permission forworks covered by an order under the Transport andWorks Act 1992.

Treasure Act 1996Replaced treasure trove. Clearer definitions of whatqualifies.

Tribunals and Inquiries Act 1992Requires Secretary of State to provide reasons forrefusal of ‘scheduled monument consent’.

Treaties and Conventions

International Charter for the Conservation andRestoration of Monuments and Sites (ICOMOS) 1964Venice.

The European Convention on the Protection of theArchaeological Heritage (CE) 1969 London.

Convention Concerning the Protection of the WorldCultural and Natural Heritage (UNESCO) 1972 ParisProvides for establishment of World Heritage Sites.

European Convention on the Protection of theArchitectural Heritage of Europe (CE) 1985 GranadaCommitment to a series of initiatives to ensure theprotection of monuments, groups of buildings and theirsites.

European Convention on the Protection of theArchaeological Heritage (revised), (CE) 1992 VallettaRecognises the importance of heritage and the need totake steps to protect it.

European Landscape Convention (CE) 2000 FlorenceConvention that places landscape within the scope ofcultural heritage.

Convention on the Protection of the UnderwaterHeritage (UNESCO) 2001 Paris.

Framework Convention on the Value of CulturalHeritage for Society (CE) 2005 Faro (the UK is not yet(2007) a signatory).

August 2007 A3/3


TANDARDS,UIDANCE AND CODES

Annex 4Professional Standards, Government Guidance and Codes of Practice

ANNEX 4 PROFESSIONAL SGOVERNMENT GOF PRACTICE

Standards, Guides, and Codes of Practice

Institute of Field Archaeologists codes, standards andguidance

Code of Conduct 2006

Code of approved practice for the regulation ofcontractual arrangements in field archaeology 2002

Standard and guidance for archaeological desk-basedassessment 2001

Standard and guidance for archaeological fieldevaluation 2001

Standard and guidance for an archaeological watchingbrief 2001

Standard and guidance for archaeological excavation2001

Standard and guidance for the archaeologicalinvestigation and recording of standing buildings orstructures 2001

Standard and guidance for the collection,documentation, conservation and research ofarchaeological materials 2001

Royal Commission on Historic Monuments (England)

Recording Historic Buildings: a DescriptiveSpecification

Manual and Data Standard for Monument Inventories(MIDAS) 1998

Inscription (word lists for inventories)

Thesaurus of Monument Types 1995

English Heritage

English Heritage National Monuments Record Thesauri

Ar

GePr

DiGu

G.

De

CoLi

Ot

InIn

Go

De

18

1/8

18

8/8

17

10

15

August 2007

chaeological Data Service

ophysical Data in Archaeology: a Guide to Goodactice

gital Archives from Excavations and Fieldwork: aide to Good Practice

I.S. Guide to Good Practice

velopers

de of Practice British Archaeologists and Developersaison Group 1991

hers

dex Records for Industrial Sites Association fordustrial Archaeology 1993

vernment Guidance

partment of Environment Circulars

/84 Crown Land and Crown Development

5 The Use of Conditions in PlanningPermissions

/86 Planning Appeals Decided by WrittenRepresentation

7 Historic Buildings and Conservation AreasPolicy and Procedures

/87 Scottish Development Department PlanningCircular: New Provisions and RevisedGuidance Relating to Listed Buildings ofConservation Areas (partially superseded)

/88 Town and Country Planning (InquiriesProcedure) Rules 1988, Town and CountryPlanning Appeals (Determination byInspectors) (Inquiries Procedure) Rules 1988

/88 Town and Country Planning (Assessment ofEnvironmental Impacts) Regulations 1988

A4/1



16/91 Planning and Compensation Act 1991:Planning Obligations

19/92 Town and Country Planning GeneralRegulations 1992; Town and CountryPlanning (Development Plans andConsultation) Directions 1992

20/92 Responsibilities for Conservation Policy andCasework

24/92 Good Practice at Planning Inquiries

8/93 Awards of Costs incurred in Planning andOther (Including Compulsory Purchase Order)Proceedings

3/95 Permitted Development and EnvironmentalAssessment

9/95 General Development Order Consolidation1995

11/95 The Use of Conditions in PlanningPermissions

13/95 Town and Country Planning (EnvironmentalAssessment and Unauthorised Development)Regulations 1995

60/96 Welsh Office Circular. Planning and theHistoric Environment

Scottish Executive Circulars

4/07 The Town and Country Planning (GeneralDevelopment Procedure) (Scotland)Amendment Order 2007

1/01 The Town and Country Planning (Demolitionwhich is not Development) (Scotland)Direction 2001

15/99 The Environmental Impact Assessment(Scotland) Regulations 1999

6/92 The Town and Country Planning (GeneralDevelopment Procedure) (Scotland)Order 1992

17/87 New Provisions and Revised GuidanceRelating to Listed Buildings of ConservationAreas (partially superseded)

21/84 Crown Land and Crown Development

A4/2

Key Planning Policy Guidance Notes

PPG 1 General policy and principles (1992)

PPG 15 Planning and the historic environment (1994)

PPG 16 Archaeology and planning (1990)

PPG 16(Wales) Archaeology and planning (1991)

PPG 20 Coastal planning (1992)

PPS6 Planning Policy Statement Number 6: PlanningArchaeology and the Built Heritage Department of theEnvironment for Northern Ireland 1999

NPPG 5 National Planning Policy GuidelineArchaeology and Planning Scottish Office EnvironmentDepartment 1994 (due for revision to become ScottishPlanning Policy 23, The Historic Environment)

NPPG 18 National Planning Policy Guideline Planningand the Historic Environment Scottish OfficeDevelopment Department 1999 (due for revision tobecome Scottish Planning Policy 23, The HistoricEnvironment)

PAN 42 Planning Advice Note: Archaeology - thePlanning Process and Scheduled MonumentProcedures. Scottish Office Environment Department1994

Planning Policy Statement on Protected LandscapesNorthern Ireland Department of the Environment 2003

Key Documents

A Force for Our Future HMSO 2001

A New Deal for Trunk Roads in England: Guidance onthe New Approach to Appraisal (NATA) – DETR (1998updated by WebTAG)

An Inventory of Gardens and Designed Landscapes inScotland – List of Sites 2007 Historic Scotland (2007)

Archaeological Policies and Associated Papers.Historic Scotland (1993) (copies available fromHistoric Scotland)

Design Manual for Roads and Bridges: EnvironmentalDesign and Management Volume 10 (DMRB 10)

Design Manual for Roads and Bridges: EnvironmentalAssessment Volume 11 (DMRB 11)

August 2007



Exploring our Past – Strategies for the Archaeology ofEngland, English Heritage (1990)

Frameworks for our Past Adrian Olivier EnglishHeritage (1996)

Guidelines for the Preparation of Excavation Archivesfor Long Term Storage United Kingdom Institute forConservation (UKIC) (1990)

Management of Archaeological Projects (MAP2)English Heritage (1991)

Management of Research Projects in the HistoricEnvironment (MoRPHE) English Heritage (2007)

Memorandum of Guidance on Listed Buildings andConservation Areas Historic Scotland (1998)

Model Briefs and Specifications for ArchaeologicalAssessments and Field Evaluations, Association ofCounty Archaeological Officers, (1993)

Monuments at Risk Survey of England BournemouthUniversity and RCHME (1995)

Passed to the Future: Historic Scotland’s Policy for theSustainable Management of the Historic EnvironmentHistoric Scotland (2002) (note: the publication of SHEP1 formally supersedes the policy elements of Passed tothe Future)

Power of Place English Heritage 2000

Protocol for the Care of the Government’s HistoricEstate DCMS (2004)

Scottish Historic Environment Policy 1: Scotland’sHistoric Environment (SHEP 1) Historic Scotland(2007)

Scottish Historic Environment Policy 2: Scheduling;Protecting Scotland’s Nationally Important Monuments(SHEP 2) Historic Scotland (2006)

State of the Historic Environment Report EnglishHeritage (2002)

Streets for All: Regional Streetscape Guidance ManualEnglish Heritage (2005)

Sustaining the Historic Environment: New Perspectiveson the Future HMSO (1997)

TbS

THot

TH

August 2007

he Care of Historic Buildings and Ancient Monumentsy Government Departments in Scotland Historiccotland

he Stirling Charter: Conserving Scotland’s Builteritage Historic Scotland (2000) (note the publicationf SHEP 1 formally supersedes the policy elements ofhe Stirling Charter)

ransport and the Historic Environment Englisheritage 2004

A4/3


RITAGE SUB-TOPICCHAEOLOGICAL

Annex 5Cultural Heritage Sub-Topic Guidance: Archaeological Remains

ANNEX 5 CULTURAL HEGUIDANCE: ARREMAINS

Contents

5.1 Introduction

5.2 The Assessment Process

5.3 Consultation

5.4 Defining the Study Area

5.5 Gathering Data on Archaeological Remains

5.6 Desk-based Studies

5.7 Field Survey

5.8 Assembling the Data

5.9 Analysis

5.10 Evaluating the Archaeological Resource

5.11 Mitigation

5.12 Assessing Magnitude of Impacts

5.13 Assessing the Significance of Effects

5.14 Assessing Significance of Effects on the OverallCultural Heritage Resource

5.15 Reporting

August 2007 A5/1



5.1 Introduction

5.1.1 Archaeology involves the study of thematerial remains of human activity from the earliestperiods of human evolution to the present.Archaeological remains may comprise the buried tracesof human activities or visible monuments, or moveableartefacts. Archaeological investigations can encompassthe remains of buildings, structures, earthworks andlandscapes; human, animal or plant remains, or otherorganic material produced by or affected by humanactivities, and their settings.

5.1.2 For the purposes of this guidance, however,archaeological remains and their settings have beendistinguished from historic buildings and historiclandscapes, to acknowledge that for practitioners thereare specialist techniques and methods for studying eachof these categories of the cultural heritage resource.Archaeology can involve the study of the materialremains of walls, structures, field banks, monumentsetc. from the past, and while historic buildings andhistoric landscapes are also formed of such materials,they are also subject to their own specialist approaches.Historic buildings are considered in Annex 6 andhistoric landscape is the subject of Annex 7. These sub-topics, however, are inter-related aspects of culturalheritage, and the sub-topic studies will need to beintegrated to arrive at an assessment of the significanceof the effect of a scheme on the cultural heritageresource.

5.1.3 It is likely that many schemes will not requireequally detailed consideration of all three culturalheritage sub-topics. This Annex is intended to providefreestanding detailed guidance concerning themethodologies and sources of information specific tothe Detailed Assessment of archaeological remains.Details of procedures for Scoping and SimpleAssessment for all Cultural Heritage Sub-Topics can befound in the main Cultural Heritage guidance inChapter 5.

5.1.4 A list of current guidance and standardsdocuments is set out in Annex 4 and devolvedadministration procedures in Annex 8. Any departuresfrom government guidance and standards should alwaysbe discussed with the relevant national heritageagencies, and approved by the Overseeing Organisation.


5.2.1 The detail of the archaeological assessmentwill depend on the stage of scheme delivery, and the

natparof Voapp

5.2theAsdethignoiderel

5.2miof imis vconmithauppro

5.3

5.3gustatypthethe(seEnvieof

5.3conadvrai

5.3HifurSimsubbe andspecomsta

A5/2

ure of information required for decision making at aticular stage in the design process. Sections 1 and 2Design Manual for Roads and Bridges (DMRB)lume 11 set out the framework for determining theropriate type of assessment.

.2 The Detailed Assessment will need to review data obtained for the Scoping exercise or Simplesessment, and consider the need to research moreailed or specialist sources or undertake fieldwork. Aher degree of detail in the evaluation and analysis is

rmally required in Detailed Assessments, in order tontify the significant constraints, and to obtainiable indications of archaeological potential.

.3 Assessing the archaeological implications oftigation proposed by other studies (e.g. remediationcontaminated land, or landscape planting) forms anportant part of the liaison with other topics. The samealid for the other topic specialists, who shouldsider the effects of proposed archaeological

tigation on their topic areas, such as a route optiont avoids important archaeological assets but impactson significant landscape views or ecologicallytected areas.

Consultation

.1 Chapter 3 of the main Cultural Heritage Topicidance sets out the nature of consultations withtutory and other stakeholders appropriate for eache of assessment. The national heritage agencies haveir own arrangements for the relationships between statutory consultees and the highway authoritiese Annex 8) and these should always be followed. Ingland early consideration of English Heritage (EH)ws is advised to assist in the identification of mattersnational concern.

.2 Detailed Assessments will usually involvesultations with local planning authorities’ heritageisors to discuss any archaeological issues potentially

sed by the proposals.

.3 If either, or both, the Historic Buildings andstoric Landscape Sub-Topics were also identified forther investigation by the Scoping Report or theple Assessment, then close liaison with the relevant-topic specialists would be required. The same maythe case with the Landscape, Townscape, Ecology Nature Conservation and, if necessary, other topiccialists as well, as there may be significant areas ofmon interest between them. Consultation with other

keholders should take account of any specialist

August 2007



knowledge, and the sensitivity of the archaeologicalresource. Ongoing consultation with the designengineers is also essential, as early archaeologicaladvice should inform the design process and theproposed design will be critical to the analysis of thedata.

5.3.4 Investigations may include consideration ofthe aspirations of local amenity groups and localresidents, as expressed in village plans or similardocuments.


5.4.1 The assessment should define a Study Areaappropriate to each scheme, according to the sensitivityof the receiving environment, the potential impacts ofthe road scheme and the type of assessment. For a newroad, if a preferred route were not yet defined, theStudy Area may need to include the proposed routecorridor plus 500m on either side. Once route optionshave been identified the Study Area for archaeologicalremains would usually comprise the scheme optionsand any new land-take, plus an area extending at least200m either side of them. Issues of setting may need theconsideration of the visual or aural envelope ofmonuments or even more distant aspects of the asset’ssurroundings.

5.4.2 In considering an extensive and well-preserved archaeological landscape, of prehistoric ritualmonuments for example, the extent of the study shouldallow predictions to be made of the type, density andlocation of associated archaeological remains expectedwithin the environs of the scheme and potentiallyaffected by it. Predictions about the archaeologicalpotential of the area may also be derived from theconsideration of the historic landscape character unitsaffected by the scheme.

5.5 Gathering data on archaeological remains

5.5.1 The two modes of investigation used tocollect archaeological data are desk-based studies andfieldwork. General advice on the procedures is givenbelow, but each scheme needs to be approachedindividually.

5.6 Desk-based studies

5.6.1 The study should collect relevant informationon all significant archaeological remains and theirsetting, whether designated or not. Designated sites,

suNHarthanthbepo

5.soM(Sprpltodith

5.Gasbasimarsugasuprfowdo

5.arco

•

•

•

August 2007

ch as Scheduled Monuments, World Heritage Sites,ational Trust Land, Historic Parks and Gardens,istoric Battlefields, and all other designatedchaeological sites should be located and assessed foreir archaeological potential. If the historic buildingsd historic landscape sub-topics are also being studieden the data collected by the respective specialists may relevant to the understanding of the archaeologicaltential and should be consulted.

6.2 For undesignated sites the most detailedurce of information is likely to be the local Sites andonuments Record/Historic Environment RecordMR/HER) held by the local planning authority. If theoposed route traverses the territory of more than oneanning authority then several SMR/HERs may need be consulted, and the study should make clear anysparities between the different records, and considere implications these may have for the assessment.

6.3 Access to local SMR/HERs based on aeographical Information System (GIS) can greatlysist data collection. Similarly, county or regionallysed Historic Landscape Characterisation (HLC) or

ilar studies can help in understanding thechaeological development of an area and the likelyrvival of archaeological remains. The study shouldther data in a manner compatible with the need forbsequent collation and mapping. Where possible andacticable researchers should obtain data in digitalrm. This will also help in the production of reportshere the Overseeing Organisation requires electroniccument submission.

6.4 To identify the potential for furtherchaeological remains the assessment may need tonsider:

historic maps to identify any features that donot appear on the SMR/HER. Detailed mapregression may be carried out with the aim ofidentifying potential archaeological features,and former land-use (such as common land)that may have an implication for archaeology;

aerial photographs and plot soil andcropmarks, if not already incorporated in theSMR/HER data;

any information collected for the historiclandscape and historic building studies, forinstance, historic boundaries, settlement foci,historic activities and historic routes;

A5/3



• relevant books, journals and other publishedand non-published material to assist anunderstanding of the overall archaeologicalpotential;

• geological, topographical and hydrologicalmaps, as well as available groundinvestigation information for details ofprevious ground disturbance and groundconditions;

• details of previous archaeological excavationsin, or relevant to, the Study Area;

• published or unpublished national andregional archaeological research agendas,priorities and frameworks.

5.6.5 The engineering history of the route, whereavailable, may be important for assessing the likelysurvival of buried archaeological remains, as pastconstruction activities may have affected archaeologicalsurvival. The study should ensure that the results of anyprevious programmes of road-related archaeologicalinvestigations are considered. The archaeology topicmay be screened out at any stage of the assessmentprocess if it can be demonstrated that previousdisturbance of the route has completely removed allarchaeological potential. Such a conclusion may need tobe tested by field survey.

5.7 Field Survey

5.7.1 Desk based studies may provide sufficientinformation for the decision making process. Recordedarchaeology, however, only represents the knownportion of the resource. Road schemes involving grounddisturbance have the potential to affect remains whosepresence is not yet known. The study should considerthe potential for unknown archaeological remains in thelight of the known data and the history of the area, andif necessary a programme of field surveys should beprepared to test the conclusions.

5.7.2 The purpose of field survey is to improve theinformation about the presence or absence, character,extent, date, integrity, quality and state of preservationof remains affected by a scheme. Field survey strategiesshould be designed to provide sufficient information forthe purposes of the assessment. All methods mustreflect the nature of archaeological remains likely to bepresent, and should be reasonable in terms of the scaleof the threat, land use, presence of buildings, value formoney etc. The availability of access, or the season, orthe costs in comparison to the likely benefits, may

A5/4

constrain the methods, timetable or extent of fieldsurveys that can be reasonably undertaken.

5.7.3 Field surveys should be undertaken on thebasis of a written scheme of investigation for eachsurvey, approved by the Overseeing Organisation,which clearly sets out the known archaeological data,the justification for the work, and the aims andobjectives of the work, related to the proposed scheme.

5.7.4 The Study should always include a walkoversurvey. The walkover should enable the surveyor to:

• check the condition of visible assets withinthe Study Area, and record any that have notbeen previously noted;

• note indications of ground disturbance, madeground, colluvium, alluvium, etc. which mightobscure or complicate the ability to detectsites;

• identify sites of palaeo-environmentalpotential (e.g. dry valleys, stream valleys,upland bogs, lowlands, etc);

• record current land-use and groundconditions;

• locate overhead cables and pylons that couldconstrain proposals for further work; and

• inform decisions about further field surveytechniques to be applied, if necessary.

5.7.5 If further information is required the studywill need to consider the range of field surveytechniques available, some of which break the groundsurface (‘intrusive’), and some of which do not (‘non-intrusive’). The distinction is made because in Englandand Wales the 1980 Highways Act does not includepowers to enter and survey land for intrusivearchaeological surveys; the same applies in Scotland.The landowner’s permission is required to undertakesuch surveys before Compulsory Purchase Orders(CPO) transfer ownership of the relevant land to theSecretary of State. In choosing the appropriate surveymethods the surveyor will take into account the purposeof the assessment, the existing information, access andcost-effectiveness. There may be compensation issuesto consider in the decision. In all cases where anintrusive survey is deemed necessary before a CPO isissued, a formal approach should be made to thelandowner and occupier, through the appropriatechannels, and the response recorded.

August 2007



5.7.6 Non-intrusive survey methods include:

• topographical survey;

• geotechnical watching brief;

• geophysical survey; and

• field-walking.

5.7.7 A topographical survey may already havebeen prepared for the designers, and this may besufficiently detailed and extensive for archaeologicalpurposes. Engineers and archaeologists should liaise tosee if archaeological information requirements can bemet through the topographical survey. However,detailed annotation or specialist survey may still berequired, for instance in cases where subtle surfaceindications have escaped the existing survey, or wherespecialist knowledge is required to recognise theirsignificance. The use of LIDAR, a specialistphotographic survey technique, may reveal patterns ofmicro-relief indicating buried archaeological potential,and in some cases LIDAR resources may already existas part of the data collected for the scheme design. Itwill require specialist archaeological analysis andinterpretation.

5.7.8 The geotechnical watching brief – thearchaeological monitoring of test pits and boreholescarried out primarily for ground investigation purposes– is included as a ‘non-intrusive’ survey inarchaeological terms because geotechnical investigationcan be undertaken under powers of entry granted by the1980 Highways Act and the Roads (Scotland) Act 1984.Archaeological consultants, together with the scheme’sgeotechnical consultants, should consider whetherarchaeological interests, as well as geotechnical ones,could be served when planning the location andanalysis of test pits or boreholes.

5.7.9 In responsive environments geophysicalsurveys can locate and show the layout of complex sitesthrough a variety of techniques. Geophysical surveysfor archaeological purposes are generally non-intrusive.Although resistivity surveys involve shallow probes thisdisturbance is so minimal that it is generally ignored.Geophysical surveys may, however, result in cropdamage, or be impractical in areas of growing crops.Metal detector surveys may be considered intrusive ornon-intrusive depending upon the surveyors’ responseto positive readings – if anomalies are investigated bydigging a hole then the survey technically becomesintrusive, but if they are merely recorded and mappedthen it is non-intrusive. As with field-walking (see

August 2007

below), there is an issue of finds’ ownership if anintrusive metal detector survey is carried out prior tothe CPO. In the case of scheduled monuments, anygeophysical survey (including the use of a metaldetector, as well as other activities) undertaken withoutScheduled Monument Consent is a criminal act.

5.7.10 Field-walking involves the systematicexamination by archaeologists of the surface of aploughed fields to collect, record and analyse theartefacts visible on its surface. It is, therefore, onlypossible where the ground is ploughed and still bare,preferably a little weathered. This usually sets seasonallimits, although sometimes ploughing can be arrangedto facilitate the study. The technique can be effectivefor locating areas of human activities, and indicatingtheir period. It can, however, be misleading insuggesting the presence of sites that do not survive.Field-walking is usually considered to be a non-intrusive technique, because it involves removingartefacts only from the surface of the field, not diggingbelow it. However, in England such material belongs tothe landowner, and, prior to CPO its removal wouldrequire a formal agreement with the landownerregarding its ownership, treatment and ultimate disposal(in Scotland such material belongs to the Crown; seeAnnex 8). In addition, field-walking could beconsidered intrusive in that it disturbs the artefact statusof the ground in a way that other non-intrusive surveysdo not. Each case needs to be considered in the light ofthe situation on the ground.

5.7.11 Intrusive methods of field survey include:

• borehole/probe/auger survey;

• test-pitting;

• trial trenching.

5.7.12 The study of borehole logs recorded forground investigation purposes may be sufficient to alertthe archaeologist to the palaeo-environmental potentialof an area. Archaeologically targeted boreholes, probesand auger surveys are sometimes undertaken toestablish the location and character of more or lessextensive palaeo-environmental deposits and to assist ingeo-archaeological modelling, and detailed palaeo-environmental information is likely to come only fromboreholes specifically undertaken for archaeologicalpurposes. They usually differ from geotechnicalboreholes in both their depth (usually archaeologicalboreholes are shallower) and in the analysis of the coresamples.

A5/5



5.7.13 Test pits for archaeological purposes differfrom geotechnical ones in that they are usually small(typically 1m x 1m) and normally only penetrate a littlebelow the top of the uppermost archaeologically sterilelayer. They are hand dug, and the soil is usually sievedin order to assess the artefact density or character of thetopsoil, where this cannot be achieved through field-walking (for instance in permanent pasture). They areunlikely to reveal much about the plan or extent ofarchaeological sites, except by chance. Like field-walking, the technique can suggest the presence of aburied site or demonstrate remains which exist only inthe topsoil. It can also be valuable for establishing thedepth of topsoil or overburden in the absence of groundinvestigation data.

5.7.14 Trial trenching is undertaken to examine asample area through archaeological excavation, and canbe a guide to the presence/absence, condition, periodand type of remains. The proportion of the proposalarea to be trenched should be chosen on a case-by-casebasis, but in studies of areas of known archaeology ithas been shown that the optimum percentage is between5% and 10% of an asset. Trial trenching is good forassessing the location, complexity, character, conditionof assets and the quality of artefacts. It is less effectivefor revealing the layout of buried remains. The timing,location and percentage of the area to be trial trenchedshould be discussed with consultees and agreed with theOverseeing Organisation.

5.7.15 Strip map and sample is an archaeologicalmitigation technique that entails stripping extensiveareas under archaeological supervision, then planningand selectively excavating significant deposits. Itshould not be adopted as an alternative to effectiveevaluation, nor as a form of watching brief where littleis known. It is most effective where the informationusually sought by evaluation – namely the location,extent, survival and character of archaeological deposits– is already known, and therefore, where furtherevaluation is redundant, although confirmation byevaluation may be prudent before committing to a stripmap and sample programme.

5.7.16 There may be opportunities to investigate theimpact of schemes through stripping selected areas oftopsoil under archaeological supervision at the start ofan earthworks contract. For instance, haul roads maytraverse the length of a scheme and expose a narrowwindow onto the underlying archaeology that can bewidened to accommodate full investigations whererequired. This technique, however, is a variation of thestrip map and sample mitigation strategy, and should

A5/6

not be used as an alternative to evaluation, nor should itbe confused with a watching brief.


5.8.1 Many schemes will have a long life, andconsideration should be given to the collection andpresentation of data in a way that can continue to beused and modified at later stages, possibly by differentcontractors.

5.8.2 The archaeological data should be recordedon maps accompanied by a descriptive gazetteer. Themaps will show the location of archaeological remains,possibly on the same maps as historic building andhistoric landscape data. The presentation shoulddistinguish areas of archaeological potential fromknown sites.

5.8.3 Detailed data may need to be collated indatabase or spreadsheet form. The data fields shouldinclude appropriate OS grid references, and sites shouldbe categorised in accordance with recognised nationaldata standards. The study should also, where possible,refer to relevant national monument description systems(such as the English Monument Protection ProgrammeMonument Class Descriptions, compiled by EnglishHeritage).

5.9 Analysis

5.9.1 The purpose of the data collection andanalysis is to assist the scheme decision-makingprocess. The location, value and vulnerability of thearchaeological resource and its setting are the keyissues to be examined, and, as far as practicable,sufficient data should be collected to enableconclusions to be drawn with confidence. The studyshould also identify the risks, both to the scheme and tothe archaeology. The analysis should, therefore, bedirected to understanding where significantarchaeological material may potentially be affected bythe scheme, the mitigation that is to be applied, theimpact of the scheme and the significance of the effect.

5.10 Evaluating the Archaeological Resource

5.10.1 The analysis of the archaeological data mustinclude an assessment of the value of the resource,including its setting. Designated assets will have avalue recognised in their citations, but undesignatedassets may match or outstrip these values. The currentdesignated status of archaeological sites and

August 2007



monuments may not represent their value, or theirpotential. In addition, archaeological assets may be ofuncertain value until tested through further evaluation.

5.10.2 Assessments of value should consider how farthe asset(s) contribute to an understanding of the past,through their individual or group qualities, eitherdirectly or potentially. This will require a considerationof whether the asset belongs to a group or a subject ofstudy that is of acknowledged importance, and how farit retains the characteristics that can contribute to anunderstanding of that group or subject, or whether itoffers the potential for such understanding. Thecommunity that values the asset is a factor to be takeninto account. For instance, is it internationally known,or locally valued? Is the asset appreciated by specialistsor by a wider public? Is the subject area to which itcontributes of major concern or is it a minority matter?These factors need to be balanced, and a reasonedassessment reached in each case.

5.10.3 These are professional judgements, but theyshould be guided by legislation, national policies,acknowledged standards, designations, criteria andpriorities. The study should consider developmentplans, archaeological research frameworks,characterisation initiatives and current researchinterests in order to inform the assessment of the valueof assets. These should form part of the consideration insetting the Scheme Design Objectives. It is inevitablethat these will be subject to change in response to newinformation and concerns, and the assessment shouldwork with the standards of best practice pertaining atthe time of the study.

5.10.4 Government policy requires that an asset’s‘setting’ is taken into account when considering theeffects of development upon it. In the broadest termsthe setting of an asset comprises the objects andconditions around it, and within which it is perceived;and in this sense all assets have settings. Not allsettings, however, contribute to the value of the assetsthey encompass. The setting will be a combination ofviews, other historic features and their relationships tothe asset, ambience (topography, vegetation, sound,other sensual experiences) and context (what is knownor thought about the asset, but not immediatelyexperienced through the senses).

5.10.5 The criteria taken into account whenconsidering proposals for scheduling can be a usefulguide to the value of all archaeological remains, andundesignated sites may be assessed using these factors.The English and Scottish criteria are reproduced inAnnex 3. These should not be simply aggregated, but

August 2007

rather treated as factors to be taken into account,bearing in mind the issues noted in paragraphs 5.10.2 –5.10.4 above.

5.10.6 Procedures such as those used in theMonument Class descriptions prepared for the EnglishMonuments Protection Programme (MPP) can also beuseful for assessing the value of different types ofmonument.

5.10.7 The use of number scoring is notrecommended, as this tends to introduce an element ofspurious accuracy that can be misleading. The scale ofvalues to be used for archaeological assets is:

• Very High;

• High;

• Medium;

• Low;

• Negligible.

5.10.8 An ‘Unknown’ value may sometimes be allthat can be determined, particularly in the early stagesof a project. In these cases there should be an estimateof the risk of there being valuable archaeologicalremains that could be affected, and how this risk is tobe managed.

5.10.9 The ‘Very High Value’ category is intendedfor sites of international concern or status, and isexpected to be invoked only rarely. More advice onthese terms can be found in Section 2, Part 5, Chapter 2.

5.10.10 The following table is a guide for assessingthe value of archaeological assets:

A5/7



Table

Factors for assessing the val

Very High • World Heritage Sites (including nom• Assets of acknowledged internationa• Assets that can contribute significant

High • Scheduled Monuments (including pr• Undesignated assets of schedulable q• Assets that can contribute significant

Medium • Designated or undesignated assets th

Low • Designated and undesignated assets • Assets compromised by poor preserv• Assets of limited value, but with pot

Negligible • Assets with very little or no survivin

Unknown • The importance of the resource has n

5.11 Mitigation

5.11.1 The impact of a scheme is judged taking intoaccount agreed mitigation measures. Mitigation aims toavoid or lessen the effect of negative impacts on thearchaeological resource. Once the presence and value ofarchaeological remains have been established, or thepotential for them, mitigation of any potential impactson them is an iterative design process, and mitigationmeasures should be considered at all stages of thedesign. Cost effectiveness of mitigation in relation tothe value of the resource is a factor in establishing anappropriate mitigation programme.

5.11.2 Mitigation strategies should take into accountthe objectives defined according to Chapter 4 in themain Cultural Heritage Topic guidance. Mitigationmeasures can be seen as a hierarchy, from ‘best’ –prevention of impacts at source – to ‘worst’ – offsettingimpacts that cannot be avoided by providingimprovements elsewhere. The prevention of potentialimpacts at source can be achieved by design, throughvertical or horizontal alignment. Preservation ofarchaeological remains in situ is usually the optionpreferred on cultural heritage grounds, but proposalsthat adopt this option should be monitored to ensurethat the measures do actually protect the remains inpractice. The reduction of the effects of impacts thatcannot be avoided could include the screening of assets.Only for significant remains that cannot be avoided,
should the option of archaeological excavation be
A5/8

5.1

ue of archaeological assets

inated sites).l importance.ly to acknowledged international research objectives.

oposed sites).uality and importance.ly to acknowledged national research objectives.

at contribute to regional research objectives.

of local importance.ation and/or poor survival of contextual associations.

ential to contribute to local research objectives.

g archaeological interest.

ot been ascertained.

adopted. In such a case it is the effective investigation,recording, analysis, interpretation and appropriatedissemination of the results which constitutesmitigation – in that it addresses the effect of thescheme, as compared to the destruction of the sitewithout understanding it. Although the site is stilldestroyed, archaeology is the understanding of our pastthrough the study of material remains, not the remainsthemselves, so destruction without understanding is theworse option, and effective investigation, analysis andinterpretation ameliorates the loss to archaeology. Thecorollary is that merely recording sites with inadequateanalytical and interpretive input, does not constitutemitigation.

5.11.3 The increase of knowledge gained throughsuch an investigation should not normally be counted asa benefit, but should be offset against the loss of theinformation that would otherwise occur if a site were tobe damaged or destroyed unrecorded. Further guidanceon archaeological mitigation is given in DMRB Volume10.

5.11.4 Opportunities may exist to improve the settingof archaeological remains. This could include, forinstance, enhancing the appearance by openingarchaeological features to view, by improving the viewfrom monuments, by screening or removing existingintrusions or improving the experience of the site inother ways.

August 2007



5.11.5 Access and amenity may be improved byproviding new routes or car parking for visitors tomonuments, or by enabling improved management ofthe archaeological resource as part of road maintenance(e.g. fencing, security coverage, regular inspection andmaintenance, trimming vegetation). Schemes tointerpret and improve access to monuments, whileensuring that they are protected from damage, can alsoenhance the value of archaeological assets to the public.


5.12.1 An impact is defined as a change resultingfrom the scheme that affects the archaeologicalresource. The baseline from which this change ismeasured should be the condition that would prevail ina ‘do-nothing’ scenario, that is, it should take intoaccount changes that would happen anyway if thescheme was not built (insofar as this can be predicted).Consideration must be given to the types of potentialimpacts – negative or positive, permanent, temporary,short, medium or long term, constructional oroperational, direct and indirect, and cumulative – as setout in Chapter 4 of the main Cultural Heritage Topic

Table 5.2: Sou

Stage Activity Impacts: negative

Ground Trial pits • removal of archaeoloinvestigations Boreholes

Site Removal of • removal of archaeoloclearance trees and • impact on setting

vegetation

Fencing • removal of archaeolo• impact on setting

Traffic • dust damage to histomovement • compaction of archae

Road Topsoil • removal of archaeoloconstruction removal

Excavations • removal of archaeolofor demolition, • desiccation of waterldrainage,shallowfoundations,borrow pits,decontaminationetc.

August 2007

guidance. Impacts can be on the physical material of thearchaeological remains (loss, damage) or on theirsetting.

5.12.2 The magnitude of the impact should beassessed taking into account any agreed mitigation. SeeAnnex 8 for assessing magnitude of impact in Walesand Scotland.

5.12.3 Ongoing communication with designengineers regarding the potential sources of impacts ofa scheme is essential, although accurate calculations ofthe area of the scheme may not be available before thedetailed design is prepared. The locations of ‘off-site’activities such as contractors’ compounds, borrow pits,haul roads, soil storage etc. are also frequentlyundetermined until relatively late in the contractualprocess. Nevertheless, these factors can be keyconsiderations in assessing archaeological impacts, anddesigners’ estimates of new land-take are needed foreach route option as early as possible. In the absence ofinformation about off-site activities, maps should beprepared showing areas of archaeological sensitivity sothat these may be avoided during the constructionperiod. Some sources of potential impacts are listed inTable 5.2 below. This list is not exhaustive.

rces of Impacts

Impacts: positive

gical deposits (loss, damage)



ric monumentsological deposits


gical deposits (loss, damage)ogged archaeological deposits

A5/9



Table 5.2: Sources of Impacts (continued)

Stage Activity Impacts: negative Impacts: positive

Road Construction • collision damage to upstanding monuments fromconstruction traffic construction traffic(contd) movement • damage through rutting of superficial deposits

Siting of • compaction of archaeological depositsconstruction • removal of archaeological deposits (loss, damage)sites

Piling • removal of archaeological deposits (loss, damage)• damage caused by changes to hydrology and chemical

alteration• vibration causing damage to historic monuments

Chemical • removal of archaeological deposits (loss, damage)decontamination

Drainage and • desiccation of waterlogged archaeological depositsrecharge • change of chemical conditions/regime

• removal of archaeological deposits (loss, damage)

Landscaping • removal of archaeological deposits (loss, damage) Screening• compaction of archaeological deposits improving setting• impact on setting of historic monuments

Earth-mounding

Spoil disposal • impact on setting of historic monuments• compaction of archaeological deposits• removal of archaeological deposits through topsoil

stripping of storage areas

Pollution • damage to assets by pollutants

Structures, • removal of archaeological deposits (loss, damage)Installation • impact on setting of historic monumentsfeatures(bridges,signage,fencing etc.)

Installation of • removal of archaeological deposits (loss, damage) Improvement oflighting scheme • impact on setting of assets lighting ambience

Road alignment • impact on setting of assets Removal of traffic• severance causing dereliction or neglect of historic from sensitive areas

monuments or reduction of group value

Planting • removal archaeological deposits (loss, damage Screening of assets• damage to archaeological deposits through root action• impact on setting of assets

August 2007A5/10


mpacts (continued)

Impacts: positive

ical deposits (loss, damage)

sets Improvement oflighting ambience

llutants

Arrest of erosion ordeterioration

ical deposits (loss, damage)


Table 5.2: Sources of I

Stage Activity Impacts: negative

Operational Maintenance of • removal of archaeologdrainage ditches

Lighting • impact on setting of as

Traffic • damage to assets by pomovement • noise intrusion

Maintenance • damage to assets

Other Ecological pond • removal of archaeologEnvironmental creationMitigation(notexhaustive)

Landscape • removal of archaeologplantingOther screening

Noise reduction • impact on setting of aspanelling • removal of archaeolog

5.12.4 The magnitude of the impact is assessedwithout regard to the value of the resource, so the totaldestruction of a Low Value site is the same magnitudeof impact as the destruction of a scheduled monument.The value of the asset is subsequently factored-in tocalculate the significance of the effect (see paragraph5.13).

5.12.5 The judgement of the magnitude of an impactshould be based on the principle that physicalpreservation is preferred. The worst impact(archaeologically) would usually be the physicaldestruction of the archaeological resource. Other typesof impact, such as an impact on setting, need to beranked in relation to this, and the relationship explicitlydescribed.

5.12.6 It may be possible to assess physical impactsin terms of percentage loss for some types of asset, forinstance, extensive homogenous deposits, but complexsites will almost certainly require more sophisticatedcriteria, taking into account the capacity of the asset toretain its character (whatever that might be) aftersustaining the damage.

5.12.7 The assessment of the impact on the setting ofarchaeological assets should study how changes in the

August 2007

ical deposits (loss, damage) Screening of assets

setsical deposits (loss, damage)

environs of a cultural heritage asset would affect thatasset. This issue is discussed generally in the main textin paragraphs 4.19 – 4.27 and the principles aresummarised below:

• an asset’s setting is its relevant surroundings;

• settings have physical factors which can bechanged by a scheme, but it is the effect thesechanges have on the perception of the assetthat is assessed;

• context is an aspect of setting where arelevant aspect of knowledge, belief orrelationships may not be visible (or audible) atthe site;

• professional judgement is required, usingcriteria measured against the scheme’sCultural Heritage Design Objectives.

5.12.8 This will mean considering the factors thatcomprise the setting – for example, views, topography,structures, vegetation, sound environment, approaches,context – and how the impact of the scheme on themaffects the asset of which they form the setting. Liaisonwith the Landscape and Noise Topic specialists may beimportant in identifying the sources of some impacts.

A5/11



5.12.9 Context is a component of setting. Contextembraces any relationship between a place and otherplaces. It can be, for example, temporal, functional,intellectual or political, as well as visual, so any oneplace can have a multi-layered context. The range ofcontextual relationships of a place will normally emergefrom an understanding of its origins and evolution.Understanding context is particularly relevant toassessing whether a place has greater value for beingpart of a larger entity or group.

5.12.10 There is currently (2007) no generallyrecognised procedure for establishing impacts onsetting. For the purposes of this guidance governmentpolicy and, where relevant, the cultural heritageobjectives set out in the Scheme Design, informs theweight given to matters of setting (including context),taking account of the contribution of the asset and itssetting to the quality and understanding of the country’scultural heritage resource.

5.12.11 The contribution of an asset’s setting to itscharacter will vary from case to case, and theassessment of how far the change to the setting is anelement in the impact as a result of a scheme will alsovary. For instance the setting of a stone circle in opencountry, with views to the horizon where possibleprehistoric astronomical markers are visible, could beaffected by a new road on an embankment hundreds ofmetres away if it were to obscure the horizon andcompromise the astronomical aspect of the monument.In such a case the horizon is part of the setting thatcontributes to the understanding and character of theasset, and the loss of this part of its setting could be asignificant impact. In another case, a similar stonecircle in a modern Forestry Commission pine plantationcould have a setting that contributes little to theunderstanding or character of the asset. Theintroduction of a new road nearby could dramaticallychange the setting and introduce a new source of noiseand visual distraction, but the impact on the characterof the monument could be less than would be the casein the first example.

A5/12

5.12.12 The study should also assess the impact on thearchaeological resource as a result of changes in access.For instance, if the scheme changes the previous use of,or access to, an archaeological asset so that it becomesmore liable to vandalism or erosion then that would bean negative impact. Alternatively, opening up apreviously inaccessible site could promote moves for itsbetter management, and lead to a positive impact.Improved opportunities for the appreciation ofarchaeological features, such as information boards inlay-bys near monuments, new access or signage todescribe or explain features, could also be positiveimpacts. Changes that may involve archaeologicalremains but that do not result in changes to thearchaeological character of assets may be moreappropriately a subject for the Community and PrivateAssets Topic. Discussions between the appropriateTopic Specialists should ensure that the issue isproperly considered.

5.12.13 The scale of the magnitude of impacts is:

• Major;

• Moderate;

• Minor Adverse;

• Negligible;

• No Change.

5.12.14 The factors to be considered in the assessmentof the magnitude of impact are set out in Table 5.3. Itdoes not set out a prescription for ranking, as eachscheme assessment must establish the magnitude of theimpact caused by these factors on a site by site basis,and the weighting to be accorded to each of them.Further advice is contained in Section 2, Part 5,Chapter 2.

August 2007


ent of the Magnitude of Impact

of Magnitude of Impacts

al materials, such that the resource is totally altered.


Table 5.3: Factors in the Assessm

Factors in the Assessment

Major Change to most or all key archaeologic

Comprehensive changes to setting.

Moderate Changes to many key archaeological m

Considerable changes to setting that aff

Minor Changes to key archaeological material

Slight changes to setting.

Negligible Very minor changes to archaeological m

No Change No change.


5.13.1 Assessing the significance of the effects ofthe scheme combines the value of the resource and themagnitude of the impact (incorporating the agreedmitigation in England), for each cultural heritage asset.

5.13.2 The significance of effect should be expressedon the following scale:

• Very Large;

• Large;

• Moderate;

• Slight;

• Neutral.

August 2007

aterials, such that the resource is clearly modified.

ect the character of the asset.

s, such that the asset is slightly altered.

aterials, or setting.

5.13.3 Table 5.4 illustrates how information on theValue of the asset and the Magnitude of Impact arecombined to arrive at an assessment of the Significanceof Effect. The matrix is not intended to ‘mechanise’judgement of the significance of effect but act as acheck to ensure that judgements regarding value,magnitude of impact and significance of effect arereasonable and balanced. If the matrix indicates asignificance of effect that is clearly unreasonable, thenthe value and impact decisions should be revisited toensure that they are justifiable.

A5/13


ce of Effects Matrix


Table 5.4: Significan

5.14 Assessing Significance of Effects on theOverall Cultural Heritage Resource

5.14.1 It will be necessary to provide an overview ofthe significance of the effect on the combined culturalheritage resource (archaeological remains, historicbuildings and historic landscapes) over the scheme as awhole. For Environmental Statements it is notnecessary to reduce this assessment to a single overallscore (as it is in Appraisal Summary Tables), but theeffects on individual assets in each sub-topic should bediscussed, and their relative significance considered.The intention is that the ranking of value, impact andsignificance should be comparable across the sub-topics, so that their relative contribution to the overallassessment is reasonably transparent.

5.14.2 For an individual cultural heritage asset theremay be differing degrees of effect related to each sub-topic. An historic structure in an industrial landscapemay be more important in the historic landscapeassessment than its relevance to archaeology. In thesecases the highest reading should be taken as thesignificance of effect for that asset, and it should not be‘double counted’.

5.14.3 If all the effects on all assets were adversethen the highest Significance of Effect reading will alsonormally be taken to be the overall cultural heritageeffect, but judgement should be exercised to ensure thatthis does not distort the assessment. A scheme with

A5/14

wholly beneficial effects, however, would notnecessarily be assessed at the highest beneficialreading, a precautionary attitude should be adopted soas not to overstate benefits. Again, judgement isnecessary.

5.14.4 If there are adverse and beneficial effectsthese will need to be brought out in the assessment, notobscured by balancing them off against one another. Ifthere are both adverse and beneficial effects they shouldbe recorded separately. For example, a bypass proposalwith a Moderate Beneficial Effect on the culturalheritage assets in a town centre, might also have aModerate Adverse Effect on rural archaeological sites.If these were offset against one another to produce aneutral assessment score this would be misleading. Analternative route with no adverse or beneficial effects,or one with different “balancing” effects, would alsohave Neutral scores, but clearly the schemes would notbe equivalent in their effect on the cultural heritageresource. The effects of the different options should bedescribed in the text, to make the differences clear.

August 2007



5.15 Reporting

5.15.1 Guidance on reporting for Simple andDetailed Assessment is given in Chapter 6 of the mainCultural Heritage Topic guidance.

5.15.2 Dissemination requirements may not bedetermined in detail until the archaeologicalinvestigation has been completed and the resultsassessed. However, the predicted scale of, and approachto, post-fieldwork processing and the dissemination ofthe results must be established, and costed, in allproposals for fieldwork, bearing in mind that someschemes may not progress beyond the survey stage. Theindividual circumstances of the scheme should be takeninto account so that the Cultural Heritage Design andmitigation strategy are formulated with its endsproducts – information to inform decision making andfull and effective reporting, including post-excavationwork – clearly in mind.

August 2007 A5/15


ITAGE SUB-TOPICTORIC BUILDINGS

Annex 6Cultural Heritage Sub-Topic Guidance: Historic Buildings

ANNEX 6 CULTURAL HERGUIDANCE: HIS

Contents

6.1 Introduction


6.3 Consultation


6.5 Gathering Data on Historic Buildings

6.6 Desk-based Research

6.7 Field Survey


6.9 Analysis

6.10 Evaluating Historic Buildings

6.11 Mitigation




6.15 Reporting

August 2007 A6/1



6.1 Introduction

6.1.1 This section is intended to providefreestanding detailed guidance, methods and sources ofinformation, which are specific to the DetailedAssessment of historic buildings. Procedures forScoping and Simple Assessment for all CulturalHeritage Sub-Topics can be found in the main CulturalHeritage Topic guidance. Guidance on assessingarchaeological remains and historic landscapes iscontained in Annexes 5 and 7 respectively.

6.1.2 Historic buildings form part of the overallcultural heritage resource and there is a continuumlinking the three cultural heritage sub-topics. For thepurposes of this guidance historic buildings aredistinguished from archaeological remains and historiclandscapes, and defined as standing historic structuresthat are usually formally designed or have somearchitectural presence. The study of their design,construction, history and functions is generally thesubject of historic buildings specialists. Some aspectsof them may need to be elucidated using archaeologicaltechniques, deployed in the service of historic buildingstudies. If buildings are demolished, collapse or decaythey may form the materials studied by archaeologists,and as they exist within the landscape they are elementsin historic landscape studies.

6.1.3 Historic buildings may be of interest for manyreasons. Their design or aesthetic character may besignificant, their fabric may contain physical evidenceof earlier phases or technologies, or the land beneaththem may contain archaeological deposits, or they maybe of historic significance by virtue of their role inhistoric events or processes. Buildings may be ofhistoric significance because of their architecturalquality, character, age or association with historicfigures. Historic buildings comprise a wide range ofbuildings and structures, including dwellings, defences,industrial buildings, places of worship, and individualitems ranging from tombs and railings to paving andmilestones.

6.1.4 Historic buildings in the United Kingdom maydate from the Roman period to the late 20th century,although the earliest examples are usually reduced toarchaeological remains. Buildings may be recognised asbeing of special architectural or historic interest and beprotected by statutory listing, and some may beScheduled Monuments, or form part of historicdesigned landscapes. Some protection is given tobuildings within the curtilage of a listed building, or byvirtue of their location within a Conservation Area.However, many other important structures are not

desigplann

6.1.5set ouguidawith appro

6.2

6.2.1the stinforproceguidaapproconta

6.2.2the dconsisourcdetairequinecesreliabimpaand t

6.2.3build(e.g. plantotherspecimitigimpin

6.3

6.3.1agenckey adetaiScopOrgaconsuAsseauthohistoschemstakework

A6/2

nated or protected by legislation or through theing system.

The devolved administrations’ procedures aret in Annex 8. Any departures from governmentnce and standards should always be discussedthe relevant government heritage agencies, andved by the Overseeing Organisation.

The Assessment Process

The detail of the assessment will depend onage in scheme delivery, and the nature ofmation required at a particular stage in the designss. Chapter 3 of the main Cultural Heritage Topicnce sets out the framework for determining thepriate type of assessment. Further advice isined in Section 2, Part 2.

The Detailed Assessment will need to reviewata obtained for the Simple Assessment, andder the need to research more detailed or specialistes or undertake fieldwork. A higher degree ofl in the evaluation and analysis is normallyred in Detailed Assessments, in cases where it issary to identify significant constraints, to obtainle indications of historic potential, potential

cts and their mitigation, the impact of the schemehe significance of any effect.

Predicting the implications for historicings of mitigation proposed by other studiesremediation of contaminated land, or landscapeing) forms an important part of the liaison with topics. The same is valid for the other topicalists, who should consider how the proposedation of impacts on historic buildings wouldge on their topic areas.

Consultation

Early consultation with national heritageies is important to assist in the identification ofreas of study. It is not normally expected thatled local research would be undertaken foring, but, with the agreement of the Overseeingnisation, early contact with key non-statutoryltees is recommended. For Simple and Detailed

ssments, discussions with local planningrities’ advisors will be necessary for identifying

ric building issues potentially affected by thee. Early consideration of statutory advisors’ and

holders’ views may avoid unnecessary assessment and help identify key areas of interest.

August 2007



6.3.2 The need for discussions with other interestedparties, such as local historic buildings groups ornational specialist groups, should be judged in the lightof the type of the impact, the sensitivity of historicbuildings as an issue, and the importance of particularhistoric structures affected by the scheme.

6.3.3 If either, or both, the Archaeological Remainsand Historic Landscape Sub-Topics were identified forfurther investigation in the Scoping Report, then closeliaison with the relevant sub-topic specialists would berequired. The same may be the case with theLandscape. Townscape, and other Topic specialists, asthere may be significant areas of common interestbetween them. Ongoing consultation with the designengineers is also essential, as early advice shouldinform the design process and the proposed design willbe critical to the analysis of the data.


6.4.1 Historic building studies will need a StudyArea defined according to the sensitivity of thereceiving environment, the potential impacts of the roadscheme, and the type of assessment. Impacts on historicbuildings may be restricted to assets within the visualenvelope of the proposed works or those immediatelyadjacent, but the wider Historic Landscape Sub-TopicStudy Area may be relevant in order to provide furtherinformation relating to setting, and liaison with theHistoric Landscape sub-topic specialist should besought.

6.5 Gathering Data on Historic Buildings

6.5.1 The amount of work required at the datagathering stage for the Detailed Assessment of historicbuildings is dependent on the type and scale of theproposal, in particular the extent of new land-take, thetypes of impacts expected, and the character of thehistoric environment affected. At all phases of anassessment, consideration should be given to the mostcost-effective approach to data gathering, under theparticular circumstances of the scheme.

6.6 Desk-based Studies

6.6.1 Listed Buildings can be identified from thestatutory lists and supplements issued by the Secretaryof State in England and the devolved administrations’ministers, and from the mapping held by statutoryadvisors and planning authorities. A parish or group ofparishes may also arrange lists.

6modeiduastastsidMo

6btoa1TmbimthfoHph

6nEfoapoCsioacb

6suathinmmfedst

August 2007

.6.2 Some planning authorities in Englandaintain ‘local lists’ of buildings that were once listed

r were considered for listing but are not statutorilyesignated. Designations relating to the builtnvironment, such as Conservation Areas, should beentified, together with any studies that have been

ndertaken for them. Some Scheduled Monuments arelso listed historic buildings, but other importantructures may not be included on the statutory lists,nd these should also be identified. In particular, theudy should be aware of emerging areas of historicgnificance, such as late 20th century structures, whereesignation may not fully represent their historic status.any of these may be road transport related, and so be

f particular interest but also at particular risk.

.6.3 A map regression from recent OS mappingack to first edition 25" or 6" maps may be undertaken confirm the existence and form of listed buildings,

nd identify other buildings that may survive from the9th century that can then be inspected by fieldwork.he examination of printed historic maps andanuscript maps, such as tithe maps and estate maps to

e found in national and local collections, may also beportant in order to locate known buildings and reveal

e existence of others that can be checked in the fieldr any potential interest. Sites and Monuments Record/istoric Environment Record (SMR/HER) data held bylanning authorities may include listed and otheristoric buildings and structures.

.6.4 Published accounts of buildings may exist inational and regional guides (e.g. the Buildings ofngland series, or the Victoria County History), whiler important buildings there may be detailed published

ccounts in monographs or specialist journals oreriodicals. These may be held in local history libraries,r located through local or national bibliographies.onservation or Management Plans for buildings ortes may contain valuable assessments and statementsf importance, while for Conservation Areas characterppraisals commissioned by Local Authorities mayontain specific references to individual historicuildings.

.6.5 There may be photographs or measuredrveys of buildings in national buildings records (such

s the English National Monument Record (NMR) ore RIBA library), or the local SMR/HER, or deposited local authority building records. National and localuseums, art collections, libraries and record officesay hold important visual sources of lost buildingatures, such as old photographs and topographical

rawings. Measured drawings for some buildings orructures (especially those commissioned by public

A6/3



bodies e.g. railways and public buildings) may bedeposited with planning authorities for purposes ofbuilding control.

6.6.6 In areas that possess them, planning authorityGeographical Information System (GIS)-based SMR/HER systems and/or historic landscape characterisationschemes can greatly assist the early stages ofassessment. Detailed data may be readily obtainable forthe whole study area, without duplicating work. InScotland map-based data is available on PASTMAP(see Annex 8).

6.6.7 The wider context of regional buildingcharacter (e.g. timber framing, or farm buildings) maybe provided by published regional studies of buildingsand building types, or by publications on individualbuildings. On-line bibliographies and databases (e.g.NMR images of English listed buildings) may be of use.

6.6.8 All data should be gathered in a mannercompatible with detailed collation and mapping. Wherepossible data should be obtained from sources in digitalform to avoid unnecessary manual data input andmanipulation. If either or both the Historic Landscapeor Archaeological Remains Sub-Topics are included inthe scope of the assessment the specialists should co-ordinate their researches to avoid duplicated effort.

6.7 Field Survey

6.7.1 Desk-based studies may provide sufficientinformation without new field surveys, and field surveywill not normally be undertaken for Scoping andSimple Assessments. Some schemes have the potential,however, to affect historic buildings whose presence,character, extent, complexity and importance may notyet be known.

6.7.2 The study should consider the risk of animpact on potentially valuable historic buildings in thelight of the known data and the history of the area.Detailed inspection and investigation, including thecondition of the structure and fabric of buildings, maybe necessary where a high degree of certainty isrequired about the age or significance of a building, orto assess the impact of a scheme or to inform mitigationmeasures, where these aspects are not apparent fromdocumentary and visual research. If necessary aprogramme of field surveys should be prepared to testthe conclusions, and the services of structural engineersor specialist buildings surveyors may be required tocomplement the historical studies.

A6/4

6.7.3 The purpose of field survey is to provide theinformation about the presence or absence, character,extent, date, integrity, quality and state of preservationof buildings. Field survey, combined with documentaryresearch, should be sufficient to enable decisions to bemade confidently regarding the effects of a proposal.Field survey strategies should be designed to providesufficient information for the purposes of theassessment. The effectiveness of the availabletechniques for this purpose should be judged in relationto the buildings under consideration and the schemeproposals. The availability of access may constrain themethods, timetable or extent of field survey (seeChapter 3 of main Cultural Heritage Topic guidance).

6.7.4 Field surveys should be undertaken on thebasis of a written scheme of investigation, approved bythe Overseeing Organisation, which clearly sets out theknown data, the justification for the work, and the aimsand objectives of the work, related to the proposedscheme. National advice on the conduct of buildingsurveys (such as the Royal Commission on HistoricMonuments (England) Guidelines) should be followedwhere appropriate.

6.7.5 A walkover survey should enable the surveyorto check the condition of historic structures within thestudy area, record any that have not been previouslynoted and inform decisions about further field surveytechniques to be applied, if appropriate.

6.7.6 If further information is required the studywill need to consider the range of field surveytechniques available, some of which affect the fabric ofthe structure, some of which may require access ontoprivate property, and others that can be undertaken fromlocations accessible to the public. In the choice ofmethods the surveyor will take into account the purposeof the assessment, the existing information, access andcost-effectiveness. In all cases a formal approachshould be made to the landowner and occupier throughthe Overseeing Organisation.

6.7.7 Survey methods may include photographicsurvey, measured survey, remote sensing, investigationsinvolving sample taking (such as dendrochronology),and the physical removal of accretions/alterations toreveal earlier features.

6.7.8 Field survey could involve internal inspectionof key buildings and close external inspection of others.This survey may confirm the identification of unlistedhistoric buildings of sufficient importance to beincluded in the data. The assessment of setting issuesshould also be undertaken at this time.

August 2007



6.7.9 The more detailed field investigation ofbuildings may involve looking inside roof-spaces togather information on the age or importance of thebuilding. Consideration should be given to the use ofnon-intrusive measures such as remote sensing to findtimber framing or other obscured features. In somecases it may be advisable to avoid uncertainty by moreintrusive inspection of fabric, such as the removal ofplaster to expose the wall structure, or the sampling oftimber for tree ring dating.

6.7.10 All inspections and investigations undertakenbefore Compulsory Purchase Orders (CPOs) thatinvolve access onto private property or have a physicalimpact on the fabric of a structure must have theowners’ permission, and be approved by the OverseeingOrganisation. If the building is listed then all intrusiveinvestigations must have prior listed building consent,whether or not the building has been the subject of aCPO.


6.8.1 The baseline data on historic buildings shouldbe presented through maps and gazetteers. Mappingwill be used to show the location of listed and otherhistoric buildings. Typically the base map will be at ascale of 1:10,000 (OS based), though a larger scale maybe required for a detailed appreciation of built-up areas.Historic areas such as Conservation Areas, and areasoccupied or once occupied by significant numbers ofbuildings (e.g. dense settlement or industrial activity)may also need to be shown at a larger scale. Wherelarge numbers of listed buildings occur on the edge ofthe study area or within a Conservation Area it may beappropriate to show them indicatively as a group.

6.8.2 The gazetteer will include the address andgrid reference of each building, a short description ofits building type, materials and date (the name of thearchitect may be included if relevant and known). Thedesignation or any assessment of importance should beincluded (e.g. Category A listed (Scotland); unlistedbuilding in Conservation Area, in curtilage of listedbuilding; historic building of local interest etc.).

6.8.3 Many schemes will have a long life, and thestudy should collect and present the data in a way thatcan continue to be used and modified at later stages, ifnecessary by other contractors or specialists.

6.

6.scanprasenshanbebuthap

6.

6.asOvauncurerefufrrebu

6.hi

•

•

•

•

•

6.thofofcoTbu

August 2007

9 Analysis

9.1 The purpose of the analysis is to assist theheme decision-making process. The location, valued vulnerability of the resource in relation to theoposals are the key issues to be examined, and, as far practicable, sufficient data should be collected toable confident conclusions to be drawn. The studyould also clearly identify the risks, both to the schemed to historic buildings. The analysis should therefore directed to understanding where significant historicildings may be affected by the scheme, the nature ofe impacts, and the mitigation that would need to beplied.

10 Evaluating Historic Buildings

10.1 Analysis of the data must include ansessment of the value of the resource. The Designbjectives will set out the framework for establishinglues. Designations will assist in this analysis, butdesignated buildings should be fully considered. Therrent designation status of buildings may not fullypresent their value, or their potential, and some of thesource may be of uncertain value until tested throughrther evaluation. The study should consider researchameworks, characterisation initiatives and currentsearch interests in order to assess the value ofildings or building types.

10.2 The scale of values to be used for eachstoric building is set out below:

Very High;

High;

Medium;

Low;

Negligible.

10.3 An ‘Unknown’ value may sometimes be allat can be determined, particularly in the early stages a project. In these cases there should be an estimate the risk of there being valuable historic buildings thatuld be affected, and how this risk is to be managed.

he ‘Very High Value’ category is intended forildings of international concern or status, and is

expected to be invoked only rarely. More advice onthese terms can be found in Section 2, Part 5, Chapter 2.

A6/5



6.10.4 These terms are intentionally qualitativerather than quantitative as numerical scores can give amisleading impression of precision. The assessment ofbuildings can usefully follow the Listed Buildinggrades. As a guide, English and Welsh Grades I and II*(Scotland’s Category A) would be ‘high value’, and

Table 6.1: Guide for Establishin

Criteria for Establishing V

Very High • Structures inscribed as of universal i• Other buildings of recognised intern

High • Scheduled Monuments with standing• Grade I and Grade II* (Scotland: Ca• Other listed buildings that can be sh

historical associations not adequatel• Conservation Areas containing very • Undesignated structures of clear nat

Medium • Grade II (Scotland: Category B) Lis• Historic (unlisted) buildings that can

or historical associations.• Conservation Areas containing build

character.• Historic Townscape or built-up areas

built settings (e.g. including street fu

Low • ‘Locally Listed’ buildings (Scotland• Historic (unlisted) buildings of mod• Historic Townscape or built-up areas

settings (e.g. including street furnitu

Negligible • Buildings of no architectural or histo

Unknown • Buildings with some hidden (i.e. ina

6.10.5 This guide is not intended to be prescriptive,professional judgement will need to be exercised inassessing the value of historic buildings. As a furtherguide, in England the main factors used by theSecretary of State in deciding which buildings toinclude on the statutory list are as follows:

• architectural interest: the lists are meant toinclude all buildings which are of importanceto the nation for the interest of theirarchitectural design, decoration, andcraftsmanship; also important examples ofparticular building types and techniques (e.g.buildings displaying technological innovationor virtuosity) and significant plan forms;

A6/6

Grade II (Scotland’s Category B) buildings would be‘medium value’. Locally listed buildings (Scotland’sCategory C(S)) and other identified historic buildingsand structures would normally be of ‘low value’. Thefollowing table is a guide for evaluating the value ofhistoric buildings:

g Value of Historic Buildings

alue of Historic Buildings

mportance as World Heritage Sites.ational importance.

remains.tegory A) Listed Buildings.own to have exceptional qualities in their fabric ory reflected in the listing grade.important buildings.ional importance.

ted Buildings. be shown to have exceptional qualities in their fabric

ings that contribute significantly to its historic

with important historic integrity in their buildings, orrniture and other structures).

Category C(S) Listed Buildings).est quality in their fabric or historical association. of limited historic integrity in their buildings, or builtre and other structures).

rical note; buildings of an intrusive character.

ccessible) potential for historic significance.

• historic interest: this includes buildingswhich illustrate important aspects of thenation’s social, economic, cultural, or militaryhistory;

• close historical association: with nationallyimportant people or events;

• group value: especially where buildingscomprise an important architectural or historicunity or a fine example of planning (e.g.squares, terraces or model villages).

6.10.6 Age and rarity are relevant factors, and ingeneral (where surviving in anything like their original

August 2007



condition) all buildings built before 1700 are listed,most from between 1700 to 1840, selectively from 1840to 1914, and more selectively thereafter. Special criteriahave been developed for 20th-century buildings. Theprinciples of these criteria can be used for evaluatingunlisted historic buildings (see Annex 8 for Scottishguidance related to the age of buildings).

6.10.7 Buildings may be valued by communities andspecial interest groups for a number of reasons, perhapsmost often for their historical association (with localpeople and events) or their historic role in thecommunity (e.g. schools or public houses).

6.10.8 Buildings may have associations with, andimportance for, other Cultural Heritage Sub-Topicareas, for instance: Historic Landscape for houses builtaround former commons, or Archaeological Remainsfor standing buildings on historic sites.

6.10.9 Other Topic areas may also be relevant.Historic buildings in Conservation Areas may feature inthe Townscape Topic, and the Landscape Topic willconsider historic houses, and the Historic Building Sub-Topic specialist should liaise with the specialistsundertaking the studies for these topics.

6.11 Mitigation

6.11.1 Assessment and design are parts of aniterative process, which together should lead tomitigation measures where possible. Mitigation shouldaim to avoid or lessen a negative impact on the heritageresource. Mitigation strategies should take into accountthe design objectives defined according to Chapter 4 inthe main Cultural Heritage Topic guidance.

6.11.2 For historic buildings, as with archaeologicalremains, there is a general presumption in favour ofpreservation in situ. However, in some schemes adegree of impact may be unavoidable and there may becircumstances in which preservation is not possible anda programme of investigation and recording prior toremoval is required in mitigation.

6.11.3 Important historic buildings should beavoided if reasonably possible, taking into account thevalue of the structure, the scheme and costeffectiveness. The loss of listed buildings is notenvisaged in the legislation or guidance but may,exceptionally, become necessary. Such cases should befully justified. There is a range of options for mitigatingthe loss of historic buildings, all of which have beenused in recent years. These include:

August 2007

• moving the entire building;

• rebuilding for re-use (commercial/domestic);

• rebuilding as a museum exhibit;

• partial recovery of historic fabric for museumuse;

• recording prior to demolition or damage.

6.11.4 In all these cases the end use should beestablished prior to demolition, since the placing ofbuildings in storage has been shown to be an insecureoption frequently leading to loss. The nature of the enduse also has a bearing on the amount of recording thatis necessary.

6.11.5 Where significant buildings will be lost, theirimportance must be established before and investigatedduring demolition by survey and a programme ofrecording at an appropriate level. This may range fromsummary recording by photography and basic plans,through fuller investigation and measured record, to fullphysical examination of structures during demolition,involving investigation, recording, analysis,interpretation and publication. The aims and objectivesof undertaking detailed studies must be clearlyunderstood and stated, so that resources can beeffectively prioritised across the scheme.

6.11.6 Opportunities may exist to improve the settingof buildings. The setting is taken to mean the environsof a building which contribute to its character, and assuch a setting may be relatively restricted or may bevery extensive. The setting of a building is not confinedto its original surroundings, such as an agriculturalscene or streetscape, but can include subsequentdevelopments unrelated to the original intentions of thebuilder, which give the current frame of reference.Improvements to setting could include opening featuresto view, or by improving the view from historicbuildings by screening, down-grading or removingintrusive developments. In some cases the opportunitiesfor rearrangement of landholdings may enable thesetting of a building to be enhanced.

6.11.7 The primary mitigation measures will respondto the potential impacts of the scheme, but as the designdevelops further potential impacts may arise frommitigation measures related to other topics. Changesthat affect the character of listed buildings (e.g.installation of new glazing) will in any case requirelisted building consent. It is therefore essential for theHistoric Building Sub-Topic specialist to be aware of,

A6/7



and if necessary involved in, these continuing designprocesses.


6.12.1 An impact is defined as a change arising frothe scheme that would affect the historic buildingresource. The baseline from which this change ismeasured should take into account changes that wouldoccur anyway, if the scheme were not built (the ‘do-nothing scenario’). Consideration must be given to thetypes of potential impacts – negative or positive,constructional or operational, direct or indirect,permanent or temporary, short, medium or long term,and cumulative – as set out in Chapter 4 of the mainCultural Heritage Topic guidance.

6.12.2 Ongoing communication with designengineers regarding the potential impacts of a schemeessential. Accurate calculations of the area of directscheme impact are rarely available before the detaileddesign is prepared. The location and design of ‘off-sit

Table 6.2: S

Activity Impact: adverse

Site clearance Removal of trees • damage to settinand vegetation

Fencing • intrusion on setti

Road Demolition, • damage to buildiconstruction drainage, • effect on setting

shallowfoundations, • vibration from ppiling borrowpits,decontaminationetc.

Landscaping/ • visual and noise earth mounding

A6/8

m

is

e’

activities, such as site compounds, borrow pits, haulroads etc, are also frequently undetermined untilrelatively late in the contractual process. Nevertheless,these may be a key consideration in assessing impacts,and designers’ estimates of new land-take and thelocation, scale and design of off-site features are neededfor schemes as early as possible. In the absence ofinformation about the location of off-site activitiesmaps should be prepared showing where such activitiesshould not be sited if possible.

6.12.3 Obvious examples of settings that enhance thevalue of archaeological assets are the parks and gardenssurrounding many historic country houses, designed orevolved over time to show off the particular characterof the house. Possibly less obviously, the industrialsurroundings of an historic workshop, for instance, canbe integral to its appreciation, even in a state ofdereliction.

6.12.4 Sources of potential impacts are listed inTable 6.2. This list is not exhaustive.

ources of Impacts

Impact: beneficial

g of historic buildings Re-establishmentof historic setting

ng

ng fabric

iling: damage to historic structures

intrusion on setting Re-establishinghistoric settingScreening ofintrusive elements

August 2007




Activity Impact: adverse Impact: beneficial

Road Spoil disposal • visual and noise intrusion on setting Re-establishmentconstruction of historic setting(contd) Indirect: screening

of intrusiveelements

Structures, • visual and noise intrusion on settingInstallationfeatures(bridges,signage,fencing etc.)

Installation of • visual and noise intrusion on setting Improved lightinglighting scheme systems can impact

less on night timescene

Road alignment • demolition of or damage to historic buildings Re-instatement of• severance causing dereliction or neglect of historic buildings historic setting• visual and noise intrusion on setting

Operational Planting • visual and noise intrusion on setting Re-establishmentof historic settingScreening ofintrusive elements

Traffic • visual and noise intrusion on settingmovement

Maintenance • repairs to, or alteration of historic buildings

Other Topsoil stripping • damage to settingEnvironmentalMitigation

Screen planting • visual and noise intrusion on setting Re-establishmentOther screening setting screening of

intrusive elements

Noise reduction • visual and noise intrusion on settingpanelling

Noise reduction • visual and noise intrusion on settingglazing

August 2007 A6/9



6.12.5 The magnitude of the impact is assessedwithout regard to the value of the resource, so the totaldestruction of an insignificant building counts as thesame degree of impact as the destruction of a high valuebuilding. The value of the asset is factored-in later tocalculate the significance of the effect.

6.12.6 The judgment of the magnitude of an impactshould be based on the overriding principle that thephysical preservation of historic material and the settingis normally the best strategy. The worst impact wouldnormally be the total destruction of the asset. Theassessments of the magnitude of impacts on historicbuildings and their settings need to be ranked in relationto this range of possibilities.

6.12.7 The quantitative assessment of vibration andnoise impacts will derive from specialist studies inthose topics (requiring consultation and data exchangewith other consultants). Even where these impacts arecalculated to be low it may be necessary to consider thecultural heritage effects of mitigation measures relatedto them (e.g. double glazing, secondary noiseinsulation).

6.12.8 The following scale of the magnitude ofimpacts should be used:

• Major;

• Moderate;

• Minor;

• Negligible;

• No change.

6.12.9 Impacts can be on the physical material of thebuilding, or on its setting, or on amenity, or anycombination of these elements. It may be possible toassess physical impacts in terms of percentage loss forsimple structures, but most assessments will requiremore sophisticated criteria, taking into account thecapacity of the structure to retain its historic interestafter sustaining the damage.

6.12.10 Historic buildings not physically affected by aproject may nonetheless experience impacts fromchanges to their settings. The setting of an historicbuilding comprises its surroundings, and therefore allbuildings have a setting. An assessment of the impacton the building includes the way its character would bechanged by alterations to its surroundings caused by theproject. This will mean considering the factors thatcontribute to the setting – including views, topography,

strcoth

6.‘aexexnethapviablofroimabcorecotocaasfroprphap

6.rereex

6.ofamchchchstrerAmpoappodaChthsebeToSpco

A6/10

uctures, vegetation, sound environment, approaches,ntext – and how changes to these factors caused bye scheme affect the asset they encompass.

12.11 Most of these factors are self evident, butpproaches’ and ‘context’ may need furtherplanation. ‘Approaches’ refers to what peopleperience as they travel to the asset, usually as theyar it, and can take into account the sequence of views,e character of the surroundings etc. ‘Context’ isplied to the knowledge about an asset that is notsible at the site, for instance the former extent of anbey whose parent church still stands, but where thecation of the buried cloister garth is now only knownm published excavated evidence. A proposal whichpinged upon this cloister area could compromise theility to understand the abbey church (it may also, ofurse, have a physical impact on the archaeologicalmains of the cloister, and that impact would bensidered within the Archaeological Remains Sub-pic). In another example, a proposed new dualrriageway might divide a manor house from itssociated village, and although neither may be visiblem the proposed road nor from one another, and the

oposal might not affect any historic structuresysically, it could nonetheless make it more difficult topreciate their historic relationship.

12.12 Impacts on setting may be, in theory at least,versible, and do not destroy the material of thesource itself. The study should explicitly describe andplain the weighting given to impacts on setting.

12.13 The Historic Building Sub-Topic assessment impacts on the resource as a result of changes inenity should consider the changes at the asset and

anges to people’s experience of the historicalaracter of the asset. For instance, if the schemeanges the previous use of, or access to, an historicucture so that it becomes more liable to vandalism orosion, then that would be a negative impact.lternatively, opening up a previously inaccessible siteay promote its better management, and lead to asitive impact. Improved opportunities for thepreciation of historic buildings would normally besitive, but this may need to be set against the risk ofmage by greater visitor numbers, for instance.anges in amenity that involve historic buildings but

at do not ultimately result in changes to the fabric,tting, or historic appreciation may more appropriately the subject of the Community and Private Assetspic. Discussions between the appropriate Topicecialists should ensure that the issue is properlynsidered.

August 2007


nt of the Magnitude of Impacts

f Magnitude of Impacts

s, such that the resource is totally altered.

ements, such that the resource is significantly

lding, such that it is significantly modified.

s, such that the asset is slightly different.

, such that it is noticeably changed.

ents or setting that hardly affect it.


6.12.14 Table 6.3 summarises the factors to be takeninto account when assessing the magnitude of impact. Itis not intended to be prescriptive, as each schemeassessment must establish the magnitude of the impactcaused by these factors, and the weighting to beaccorded to each of them, using professionaljudgement.

Table 6.3: Factors in the Assessme

Factors in the Assessment o

Major Change to key historic building element

Comprehensive changes to the setting.

Moderate Change to many key historic building elmodified.

Changes to the setting of an historic bui

Minor Change to key historic building element

Change to setting of an historic building

Negligible Slight changes to historic buildings elem

No change No change to fabric or setting.


6.13.1 Assessing the significance of the effects ofthe scheme combines the value of the resource and themagnitude of impact (incorporating the agreedmitigation in England), for each cultural heritage asset.

6.13.2 The significance of effect should be expressedon the following scale:

• Very large;

• Large;

• Moderate;

• Slight;

• Neutral.

August 2007

6.13.3 Table 6.4 illustrates how information on theValue of the asset and the Magnitude of Impact arecombined to arrive at an assessment of the Significanceof Effect. The matrix is not intended to ‘mechanise’judgement of the significance of effect but act as acheck to ensure that judgements regarding value,magnitude of impact and significance of effect arebalanced. If the matrix produces a significance of effectthat is clearly unreasonable, then the value andmagnitude of impact judgements should be revisited toensure that they are justifiable.

A6/11


of Effects Matrix


Table 6.4: Significance


6.14.1 It will be necessary to provide overview of thesignificance of the effect on the combined culturalheritage resource (archaeological remains, historicbuildings and historic landscapes) over the scheme as awhole. For Environmental Statements it is notnecessary to reduce this assessment to a single overallscore (as it is in Appraisal Summary Tables), but theeffects on individual assets in each sub-topic should bediscussed, and their relative significance considered.The intention is that the ranking of value, impact andsignificance should be comparable across the sub-topics, so that their relative contribution to the overallassessment is reasonably transparent. The scales ofvalue, impact and significance are intended to besimilar across the three sub-topics, and indeed, acrossthe other topics too, so effects on different types ofasset should be capable of comparison.

6.14.2 For an individual cultural heritage asset theremay be differing degrees of effect related to each sub-topic. For example, the role of an historic structure inthe historic building sub-topic may be more importantthan it is in the historic landscape assessment, and itsrelevance to archaeology may be minimal. In thesecases the highest reading should be taken as thesignificance of the effect on that asset.

A6/12

6.14.3 The assessment of the significance of theeffects on historic buildings should contribute to theassessment of the effect on the overall cultural heritageresource. If all the effects on all assets were adversethen the highest reading on the Significance of Effectmatrix will also normally be taken to be the overallcultural heritage effect, but judgement should beexercised to ensure that this does not distort theassessment. A scheme with wholly beneficial effects,however, would not necessarily be assessed at thehighest beneficial reading, a precautionary attitudeshould be adopted so as not to overstate benefits. Again,judgement is necessary.

6.14.4 If there were adverse and beneficial effects(normally on different cultural heritage assets) thesewill need to be brought out in the assessment, notobscured by balancing them off against one another. Ifthere were both adverse and beneficial effects theyshould be recorded separately. For example, a bypassproposal with a Moderate Beneficial Effect on thecultural heritage assets in a town centre, might alsohave a Moderate Adverse Effect on rural archaeologicalsites. If these were offset against one another to producea neutral assessment score this would be misleading. Analternative route with no adverse or beneficial effects,or one with different balanced effects, would also haveneutral scores, but clearly the schemes would not beequivalent in their effect on cultural heritage. Theeffects of the different options and their scores shouldbe described in the text, to make the differences clear.

August 2007



6.15 Reporting

6.15.1 Guidance on reporting for Simple andDetailed Assessment is given in the main CulturalHeritage Topic guidance at Chapter 6.

6.15.2 Arrangements for the dissemination of theresults of the investigations may not be determined indetail until the investigation has been completed and theresults assessed. However, the general scale andapproach to post-fieldwork processing and datadissemination must be established and costed at allstages of the work including in the initial mitigationproposals contained in the Environmental ImpactAssessment (EIA). The individual circumstances of thescheme should be taken into account so that the culturalheritage design and mitigation strategy are formulatedwith their end products – the requirements of decisionmaking and the need to ensure full and effectivereporting, including post excavation work – clearly inmind.

6.15.3 Usually the publication of any significantresults of preliminary works is incorporated into thepublication of the results of the final investigations. Ifthe scheme is shelved or delayed it will be necessary toensure the appropriate publication of any significantresults of the assessment.

August 2007 A6/13


TAGE SUB-TOPICORIC LANDSCAPE

Annex 7Cultural Heritage Sub-Topic Guidance: Historic Landscape

ANNEX 7 CULTURAL HERIGUIDANCE: HIST

Contents

7.1 Introduction


7.3 Consultation


7.5 Gathering Data on the Historic Landscape

7.6 Top-down Data Collection

7.7 Bottom-up Data Collection

7.8 Field Survey

7.9 Characterisation

7.10 Evaluating Historic Landscapes

7.11 Mitigation



7.14 Assessing Significance of Effects on the OverallCultural Heritage Resource

7.15 Reporting

August 2007 A7/1



7.1 Introduction

7.1.1 The cultural heritage resource is not naturallysplit into the sub-topics of archaeological remains,historic buildings and historic landscapes; the sub-divisions in this guidance are intended to set out thedifferent methodologies and approaches employed bydifferent specialists. It is likely that many schemes willnot require detailed consideration of all three CulturalHeritage Sub-Topics. This Annex is intended to providefreestanding guidance concerning the methodologiesand sources of information specific to Detailed HistoricLandscape Assessments. General advice on Screening,Scoping and Simple Assessment for all the CulturalHeritage Sub-Topics can be found in Chapter 5 of themain Cultural Heritage Topic guidance. Guidance onassessing archaeological remains and historic buildingsis contained in Annexes 5 and 6 respectively.

7.1.2 The definition of historic landscape used inthis guidance is derived from the European LandscapeConvention (2000): landscape is an area, as perceivedby people, whose character is the result of the actionand interaction of natural and/or human factors.Historic landscape is defined by perceptions thatemphasise the evidence of past human activities in thepresent landscape.

7.1.3 The appearance of the present countryside isthe result of the interaction of human activities and thephysical factors of climate, geology and topography.However ‘natural’ the landscape may seem, it has beenmodified and shaped by human interventions. Theseprocesses have modified the landscape over time, andbecause all landscapes have been subject to humanchange, all landscapes are historic.

7.1.4 Studies of historic landscapes are undertakenfor a variety of reasons and take a variety ofapproaches. The discipline is developing rapidly andthe concepts and terminology used in historic landscapestudies are also evolving. In this document thefollowing definitions have been adopted:

• historic landscape characterisation (HLC)seeks to describe representative orpredominant historic characteristics of thepresent landscape over more or less extensivetracts of land – its Historic LandscapeCharacter;

•

•

•

•

7.1insecindreothpeofqulanevin

7.1maorofcecuecmolanoffolanalw

7.1threv

A7/2

historic landscape analysis seeks tounderstand the processes underlying thedevelopment of past landscapes, how this canbe ‘read’ in the present countryside, and whatthis can tell us about the human and naturalhistory of the present landscape;

historic landscape evaluation considers therelative values of historic landscapes;

historic landscape assessment involves thecombination of characterisation, evaluationand the impact of a proposed development toarrive at a decision regarding the effect of thedevelopment on the historic landscape;

landscape archaeology focuses on thephysical remains of past landscapes, usingarchaeological methods of study and analysisat the landscape scale.

.5 Landscapes have many qualities – fortance: aesthetic stimulation for the poet and artist,

onomic potential for the agriculturalist orustrialist; wildlife value for the ecologist;

creational opportunities, and potentially as manyer qualities as there are groups and individuals to

rceive them. It is people’s uses and their perceptions landscape that shape these conceptions of landscapeality. The perception that defines the historicdscape in this guidance is one that considers the

idence of human activities as agents of change visiblethe current landscape.

.6 Other qualities like those mentioned abovey contribute to this perception. For instance, literary

aesthetic ideas may have motivated the manipulation parts of the landscape in the past, such as the 18th

ntury parklands designed in response to complexltural ideologies. Technological, political oronomic forces, such as the parliamentary enclosurevement or the railway boom, are important historicdscape themes. The presence of ecological markers

previous management regimes may also be evidencer reconstructing the development of the historicdscape. A multi-disciplinary approach is almostays necessary in historic landscape studies.

.7 There may be significant overlaps between theee Cultural Heritage Sub-Topics, as all involve theidence for past human activities, and indeed part of

historic landscape studies relies upon the results ofspecialist researches into archaeology and historicbuildings. The crucial distinction is that the study ofarchaeological remains and historic buildings are

August 2007



concerned with objects, in the broadest sense, whichcan be measured, sampled, tested, etc. Even very largeor extensive features, such as field systems, can besubjected to archaeological study – landscapearchaeology has developed techniques to study suchfeatures. The historic landscape, although it containsarchaeological and historic built features, is recognisedas a result of choosing to attend to the historicalsignificance of these at the landscape scale. Theresulting description of the historic landscape isgenerally called its Historic Landscape Character, and itis the character of the historic landscape that ispotentially affected by road schemes, whereas it is theobjects of archaeological and historic buildings studythat are the receptors in their case.

7.1.8 Clearly the objects of archaeological andhistoric buildings studies contribute to the character ofthe historic landscape they occupy (along withtopography, landuse, geology, historic patterns ofsettlement and fields, etc.), and a scheme’s effects onindividual assets may therefore affect the historiclandscape character, but historic landscape assessmentis directed to understanding these effects on characterrather than reiterating the effects on the objects. Thiscan be likened to the difference between beingconcerned about either the individual flowers in abouquet – their identification, state of freshness, rarity,colour, size etc. – or the effect of the bouquet as awhole, – is its character spring-like, sombre, casual,formal etc.? The character of the bouquet may bemaintained even if many of the individual stems thatmake it up were to be changed, or conversely itscharacter could be radically altered by the substitutionof a few critical items, or by the rearrangement of theexisting blooms. Similarly in historic landscapecharacter studies it is the contribution of individualassets to the character of the area that needs to beappreciated, and the effects that changes to them wouldhave on that character.

7.1.9 It follows that although there should be closeinvolvement of the other Cultural Heritage Sub-Topicspecialists and the Historic Landscape specialist, thereshould be no risk of double counting in the assessmentprocess. For instance, earthwork remains of a desertedmedieval village may figure in the archaeologicalremains assessment, and a surviving church at its centremay feature in the historic buildings assessment. Thehistoric landscape assessment should be careful notmerely to catalogue these elements again, but toconsider their contribution to the historic landscapecharacter and assess what the effect of the schemeunder consideration might be on this character and itsvalue, while the effect on archaeological remains and

ht

7bTpsMaLitdrLtL

7orpospw

7tbTpahalaeTasr

7ghipaDAada

August 2007

istoric buildings will be assessed by the relevant sub-opic specialists.

.1.10 There may also be significant overlapsetween the Cultural Heritage Historic Landscape Sub-opic and the Landscape and Townscape Topics (androbably other topics too), and the relevant specialistshould maintain close liaison during the assessment.any of the data used in the Landscape Topic

ssessment, for instance, may be useful in the Historicandscape assessment, such as viewpoints, or the

ntegrity of Landscape Character Areas. Care should beaken to ensure that there is no duplication of efforturing data gathering and in the analytical process. Anyelevant cultural heritage studies undertaken by theandscape and Townscape Topic specialists should be

aken account of appropriately in the Historicandscape Sub-Topic assessment, and vice-versa.

.1.11 Assessing the historic landscape implicationsf mitigation proposed by other studies (for example,emediation of contaminated land, or landscapelanting) forms an important part of the liaison withther topics. The same is true for the other topicpecialists, who should consider how the effects ofroposed mitigation of effects on historic landscapeould impinge on their topic areas.

.1.12 If historic landscape were to be identified inhe Scoping exercise as requiring assessment, it shoulde the subject of specialist Historic Landscape Sub-opic study in the Cultural Heritage Topic. Competentractitioners should undertake historic landscapessessments. Appropriate specialists may be trained inistoric landscape methods or come from anrchaeological, geographical, historic building,andscape or other background, but so long as they areble to undertake the specialist historic landscape studyffectively their professional title is a secondary matter.he practitioner’s experience and ability to co-ordinate,ssimilate, analyse and present a wide variety of dataources appropriately will always be the principalequirement.

.1.13 Where appropriate, guidance from UKovernment departments, devolved administrations’eritage agencies, statutory bodies, professionalnstitutes, specialist researchers and practitioners andlanning authorities should be sought to establish theppropriate standards and methods of assessment.evolved administrations’ procedures can be found innnex 8. Any departures from national heritage

gencies’ guidance and standards should always beiscussed with the relevant statutory agencies and bepproved by the Overseeing Organisation.

A7/3



7.1.14 The cultural heritage agencies in differentparts of the UK have different approaches to historiclandscapes. English Heritage and Historic Scotlandhave adopted similar approaches that emphasise thehistoric character of the entire landscape, developingHLC in England and Historic Landuse Assessment(HLA) in Scotland. In Wales, Cadw and theCountryside Council for Wales (CCW) have developeda Register of Landscapes of Historic Interest. TheWelsh approach defines Areas of Outstanding HistoricLandscape and Special Historic Landscapes, and isaccompanied by a methodology for establishing theirvalue and the impact on them (Assessment ofSignificance of the Impacts of Development on HistoricLandscapes, (ASIDOHL) published by Cadw andCCW). The Overseeing Organisation should consultwith Cadw and CCW on the scope and detail of anASIDOHL assessment. In Wales the LANDMAPprocess should also be followed. Annex 8 containsguidance on the requirements of the devolvedadministrations.


7.2.1 The purpose of assessing the historiclandscape in connection with proposed road schemes isto inform the decision-making process, which includesdecisions regarding mitigation of adverse impacts. Theassessment should consider the impact on the historiclandscape character of the proposal. The detail requiredat the data gathering stage is dependent on the type andscale of the road scheme and the requirements of thedecision-making process.

7.2.2 The Detailed Assessment will need to reviewthe data obtained for the Simple Assessment, andconsider the need to research more detailed or specialistsources or undertake fieldwork. A higher degree ofdetail in the evaluation and analysis is normallyrequired in Detailed Assessments, in order to identifythe significant constraints, and to obtain reliableindications of potential impacts and their mitigation, theimpact of the scheme and the significance of any effect.

7.3 Consultation

7.3.1 Chapter 3 of the Cultural Heritage topicguidance sets out the nature of consultations withstatutory bodies and other stakeholders appropriate foreach level of study. In the different OverseeingOrganisations there are different arrangements for therelationships between the statutory consultees and thehighways authorities (see Annex 8). For Scopingstudies in England early consideration of English

A7/4

Heritage (EH) views is advised to assist in theidentification of key areas of study. It is not normallyexpected that detailed local research would beundertaken but, with the agreement of the SchemeSponsor, early contact with key non-statutoryconsultees is usually advisable.

7.3.2 For Simple and Detailed Assessment inEngland, EH should be formally approached for theirviews, and discussion with local planning authorities’advisors is recommended for identifying historiclandscape issues potentially affected by the scheme.Timely consideration of national heritage agencies’ andother stakeholders’ views may avoid unnecessaryassessment work and will help identify key areas ofinterest.

7.3.3 The need for discussions with other interestedparties, such as local history groups or nationalspecialist groups, should be judged in the light of therelevance of their input into the data collection oranalysis.

7.3.4 If either, or both, the Archaeological Remainsand Historic Buildings Sub-Topics were also identifiedfor further investigation in the Scoping Report, thenliaison with the relevant sub-topic specialists would berequired. The same may be the case with theLandscape, Townscape, Ecology and NatureConservation and other topic specialists, as there maybe significant areas of common interest with them.Ongoing consultation with the design engineers is alsoessential, as early advice should inform the designprocess and the proposed design will be critical to theanalysis of the data.

7.3.5 Consultation and data gathering may berequired to define local distinctiveness and, in England,Quality of Life objectives. The issues may include theinfluence on historic landscape character arising frommatters such as amenity, public awareness, accessibility,and local interests. Investigations regarding theseaspects may include consideration of the aspirations oflocal amenity groups and local residents.


7.4.1 Where the Scoping Report indicates that thehistoric landscape is an issue an appropriate study areawill need to be defined. This will be determined on acase-by-case basis, to take account of the stage of theproposal, its scale and its likely effects, and thecharacter of the historic landscape through which itpasses. Although the Historic Landscape Sub-Topic

August 2007



study area may be similar in scale to the LandscapeTopic study area, the relevant historic land divisions –farm, estate, manor, township, parish etc. – may notcoincide with the visual parameters adopted byLandscape Topic specialists, and the study area shouldbe justified in historic landscape character terms.

7.4.2 As a project progresses to more detailedstages the study area may need to be refined, and broadbrush characterisation and assessment appropriate toearly route corridor investigations will usually need tobecome more focussed. The linear nature of many roadschemes, and the linear factor that roads themselvescontribute to historic landscape character units, shouldguide the choice of study area. The study area is not thesame as the historic landscape character unit; a schememay traverse many individual HLC units. In identifyingthe appropriate scale of the HLC unit a factor needingconsideration is that a unit that is too large mayexperience an unreasonably minimal effect, while forone that is too small the effect may be misleadinglydramatic. The reasons for the choice of study area andscale of the HLC units should be explained andjustified.

7.4.3 As far as practicable, the study should collectand analyse sufficient data at the appropriate level ofdetail from a wide enough area to enable decisions to bemade with confidence about the effect of the proposedscheme.

7.5 Gathering Data on Historic Landscape

7.5.1 Gathering data on the historic landscapeshould contribute to the historic landscapecharacterisation, directed to the purposes of the schemeassessment. The information should help to:

• understand the processes that have created thehistorical landscape character;

• evaluate its quality;

• identify the changes to the historic landscapecharacter potentially caused by the scheme(potential impact);

• develop measures to mitigate the impact;

• assess the magnitude of the mitigated impact;

• assess the significance of the effect.

7.5.2 The two general approaches to historiclandscape studies may be crudely described as ‘top-

August 2007

down’ and ‘bottom-up’. The top-down approach is totake generally accepted historic landscape descriptionsand apply them broadly over wide areas, or to identifyareas already defined or designated as having aparticular historical character. It is an opinion-ledapproach. The bottom-up approach is to analyse thedetailed evidence of surviving historical assets andprogressively integrate them to construct anappreciation of the broader historical character of thelandscape – an analytical approach. Usually acombination of the two approaches is the appropriatestrategy.

7.6 Top-down Data Collection

7.6.1 The top-down approach can be used to assessa large area, using readily available designations andexisting opinions. It can be an efficient way of rapidlyestablishing an overall sense of historic landscapecharacter and quality over a wide area. The top-downapproach uses existing descriptions, designations andcharacterisations and the judgements of acknowledgedspecialists to define historic landscapes, working frommaps, published syntheses and consultations. In Wales,the Register of Landscapes of Historic Interest wasinitially compiled using a top-down methodology.

7.6.2 Using the top-down approach, for example, itis accepted that medieval-type open fields have aparticular character, and any extensive survivingexamples of open field strip farming are well knownand recorded. Similarly, some extensive tracts ofsurviving prehistoric field systems and associatedarchaeological remains are also well studied and areprecisely plotted in some regions. Such information isreadily available, and the value of the landscapesgenerally agreed.

7.6.3 Historic landscape information may begleaned from other sources. Some cultural heritagedesignations may include landscape-scale areas. WorldHeritage Sites (WHSs) frequently encompass largeswathes of historic landscapes, and may be specificallyinscribed for their historic landscapes value by theInternational Council on Monuments and Sites(ICOMOS) on the WHS list.

7.6.4 Designations involving important historiclandscapes include the national registers of historiclandscapes (in Wales); historic parks, gardens, andbattlefields, and other designations (ConservationAreas, Registered Commons, etc.). Other landscape-scale designations, even when applied mainly forreasons other than cultural heritage interest, may

A7/5



include historic landscape factors. Records of ancientwoodlands, Sites of Special Scientific Interest related tohistoric landuse and other ecological designations thatinvolve historic landscape issues should be consulted.National Parks and Areas of Outstanding NaturalBeauty designations frequently cite specific historicqualities, and these should be taken into account. Theremay be other relevant historically focussed countrywideor regional summaries, and where available theseshould be consulted.

7.6.5 National and regional research agendas(where available) should assist the understanding of therelative priorities accorded to different historiclandscapes.

7.6.6 The national countryside agencies’ LandscapeCharacter Assessment (LCA) or landscape informationdatabases should be consulted, although it should beborne in mind that recording historic character is notthe primary purpose of this mapping. Nonetheless theLCA methodology includes the consideration ofheritage factors.

7.6.7 Targeted bottom-up data gathering may beadvisable in order to check the validity of top-downevaluations.

7.7 Bottom-up Data Collection

7.7.1 If no appropriate ‘top-down’ study isavailable, or it is inadequate for the purpose, then a‘bottom-up’ approach should be adopted. Care shouldbe taken not to undertake an unnecessarily detailedstudy – all work should be directed towards schemerequirements.

7.7.2 The historic landscape contains features fromthe past that can be considered on an increasing scaleand complexity. The bottom-up approach uses thecollection and analysis of detailed information from thelandscape to form the basis of historic landscapecharacterisation and analysis. It is the basis of county orregional HLC mapping, and can be taken to varyingdegrees of detail. There is currently (2007) nostandardised terminology or definition for thecategories and scales suggested above. Similarly thereis no consistency in their application.

7.7.3 A useful model for analysing historiclandscapes, developed by Stephen Rippon andpublished by the Council for British Archaeology(S Rippon, CBA 2004) identifies historical landscapefeatures of increasing scale and complexity, from thesmallest to the largest units. This model, slightly

A7/6

amended, identifies the following historic landscapeunits:

• elements, individual features such asearthworks, built structures, hedges, woods,roads, tracks, and planned planting in parksand gardens;

• parcels, elements combined to produce, forexample, farmsteads or fields;

• components, larger agglomerations ofparcels, such as dispersed settlements, orstraight sided field systems;

• types, distinctive and repeated combinationsof components defining generic historiclandscapes such as ancient woodland orparliamentary enclosure;

• zones, characteristic combinations of types,such as Anciently Enclosed Land (a Cornishzone) or Moorland and Rough Grazing (aScottish zone);

• sub-regions distinguished on the basis oftheir unique combination of interrelatedcomponents, types and zones (but see below);

• regions, areas sharing an overall consistencyover large geographical tracts.

7.7.4 The term ‘area’ as used by Rippon is omittedin this guidance, as it is also used in the LCA system inits sense of a particular piece of land, and confusioncould ensue, as the LCA system is well understood. It issuggested that the term ‘sub-region’ is adopted in itsplace. The mid-scale range of type or zone is usuallythe appropriate scale to adopt for the purposes of roadsassessment. The smaller units risk losing the generalityrequired for the assessment, but the larger units maynonetheless be appropriate for strategic assessments.

7.7.5 Particular cases may suggest other ways ofcharacterising historic landscapes, such as the Cadw listof ‘types’ related to function, such as administration,transport, defence, industry and so on. ‘Themes’ may beanother appropriate approach. These issues must beconsidered carefully during the data search andanalysis, and all the terms and criteria used in theassessment should be explicitly identified and defined.

7.7.6 The bottom-up approach starts with an OSbased map showing landscape parcels, that is,groupings of elements into, for instance, fields and

August 2007



farms. The mapping should be at a scale that shows atleast all fields and buildings (a minimum of 1:25,000).Further integration of parcels into components ortypes is likely to be necessary to achieve the scale ofhistoric landscape character unit appropriate forassessment.

7.7.7 A map regression analysis from recent OSmaps back at least to the OS first edition 25" or 6" mapsshould be undertaken to confirm the existence and formof landscape elements, such as field boundaries, streetpatterns, ponds, woods, lanes and paths. Furtherinformation may be obtained from other printedhistorical maps, and manuscript maps, such as tithemaps and estate maps to be found in national and localarchives. Other accessible records, such as terriers andsurveys in estate records, may provide additionalinformation about the form and use of the pastlandscape. Aerial photograph collections may beexamined for additional data, while Sites andMonuments Record/Historic Evironment Records(SMR/HERs) include information on archaeologicaland historic assets crucial to understanding historiclandscape character.

7.7.8 Published or unpublished historic town andvillage surveys may exist in SMR/HERs or local studiescollections, and in England useful information may bepublished in the Victoria County Histories. Similarlythere may be local or regional studies of place-names,historic gardens and designed landscapes inmonographs or periodicals. These may be identified inlocal history libraries, or located through local ornational bibliographies.

7.7.9 Important visual sources relevant to existingor former landscapes, such as old photographs andtopographical drawings may be held by national andlocal museums, art collections, libraries and recordoffices.

7.7.10 If archaeological remains and historicbuildings are part of the assessment, the specialistsinvolved should ensure that there is sharing of data.

7.8 Field Survey

7.8.1 Field survey will not normally be undertakenfor the Scoping Report and the Simple Assessment, butif the Historic Landscape Sub-Topic is identified asneeding detailed study to assess the impact of thescheme, then the desk-based results may need to beaugmented by fieldwork. As with the desk based studythe aim is to understand the historic landscape characterand the effect of proposal upon it.

7.bopransigdi

7.taonrehamshbyspthlanoatinsuLlhi

7.ABuacchToanthdeoflisincosuoffebe

7.wacap

7.

7.suinob

August 2007

8.2 An initial walkover should locate theundaries of any designated historic landscapes andeviously identified historic landscape character units,d confirm their character. Any historically significantht lines or visual envelopes should be noted and

scussed with the Landscape Topic specialist.

8.3 The historic character of the landscape mayke in a wide range of experiences, not just visuales. The presence of historic or archaeologicalmains that are not visible but which nonetheless mayve influenced the contemporary historic characteray need to be taken into account, so the walkoverould be informed by desk based research undertaken the archaeological remains and historic buildingsecialists, as appropriate. The sounds experienced ine landscape may also have a bearing upon the historicndscape character and, if appropriate, should beted. The simple volume of noise may be an issue, but

tention should also be paid to its character. Forstance, the sound of small prop-engined aircraft on ammer day, known as a wokingham (Adams andoyd, 1992), would be a characteristic feature ofstoric airfields, many of which still operate.

8.4 The results of field surveys carried out by therchaeological Remains Sub-Topic and Historicildings Sub-Topic specialists should be taken into

count in constructing the historic landscapearacterisation, as should Landscape and Townscapepic surveys as appropriate. Archaeological remainsd historic buildings and the relationships betweenem, the natural world and human activities should bescribed to bring out their contribution to the character the historic landscape, rather than being merely re-ted. Further field survey may involve a more detailedspection, where a better understanding of the form,ndition and importance of assets is required. Fieldrvey may include the inspection and measured survey historic landscape elements, or the mapping ofatures identified on aerial photographs, but this would exceptional.

8.5 All fieldwork programmes should be agreedith the Overseeing Organisation in advance, and thecess issues related to intrusive survey fullypreciated (see Annex 5).

9 Characterisation

9.1 The simple accumulation of data will notffice for this Sub-Topic. It requires analysis andterpretation of the relevant relationships betweenjects, facts and perceptions. The data should be

A7/7



analysed to produce an understanding of the historiccharacter of the landscape through which the schemewould pass. There is currently no standard for thedefinitions or descriptions of historic landscapecharacter, although many counties and regions haveprepared HLC maps and descriptions. These, however,have often been produced for development controlpurposes and naturally emphasise factors related toareas rather than the linear character of road andtransport corridors. The linear nature of transportcorridors can be overlooked in the area-based HLCsystem.

7.9.2 The characterisation should identify theevidence for time-depth, and describe predominant andsubordinate periods represented by the historic featuresand the main socio-economic themes represented. Oneof these themes in road schemes is likely to be transportrelated. Many road schemes will be in areas whereroads with their ancillary features and historicdevelopments make a significant contribution to thehistoric character, and possibly are the predominanthistoric elements. This should be born in mind whenusing existing Historic Landscape Characterisationstudies which may under-emphasise roads as a factor intheir historic character.

7.9.3 The study should identify the typicalelements/parcels/components that reflect thesethemes, as well as patterns of temporal relationships,particularly those exhibiting continuity or change,patterns of spatial relationships, and relationships withthe natural world.

7.9.4 The appropriate size of the character unit tobe studied will be determined in each case by the scaleand nature of the scheme and the development stage itis at, and the character of the historic landscape. It islikely to be at least at the level of the type or zone, andfor larger or strategic studies the historic landscapecharacter sub-region or region may be the appropriateunit. The analysis should make clear the distinctivehistoric landscape character units traversed by thescheme, and their boundaries.

7.9.5 With some exceptions, the historic landscapeis a continuum, and usually changes gradually from onecharacter unit to another. The edges of the historiclandscape character units are often transitional areaswhere precise boundaries are difficult to identify,particularly at the larger scales. It may be possible toshow these transitions as broad overlapping boundarieson maps, although this can be technically difficult. Itmay be simpler to indicate status of the mapped

A7/8

boundaries in the text or legend, but their ‘fuzzy’ natureshould always be borne in mind.

7.9.6 Many schemes will have a long life, and datashould be assembled and presented in ways that canaccommodate changes at later stages without confusion.

7.10 Evaluating Historic Landscapes

7.10.1 The characterisation of historic landscapes isa preliminary step, but further analysis and evaluationwill be required to establish the significance of anyeffects on the character areas identified in the study.Whilst all historic landscapes contain evidence of theprocesses that have formed them, some character typesmay be considered to be commonplace and of littlespecial interest, while others may be highly valued. It isimportant that the value of historic landscape characterunits is addressed in the assessment and the reasons forjudgements clearly set out. The attribution of ‘highvalue’ to selected historic landscapes exclusively with aview to protecting them can obscure the reality that alllandscapes are changing all the time, and a moreappropriate approach would be to establish how tomanage change.

7.10.2 The approach to managing change can beeither proposal led – ‘does this particular proposalaffect a particular character unit significantly and if sois it desirable?’ or the approach can be developmentplan led – ‘what sort of development would beappropriate to these particular character units’. The firstwould be the appropriate approach for road projects,where the type of development and its location aregiven; the second may be more appropriate for planningauthority guidelines and planning frameworks.

7.10.3 The UK administrations differ in theirapproach to evaluating historic landscapes. In Wales thenon-statutory Register of Landscapes of HistoricInterest is the basis for any evaluation and Cadw haspublished the Guide to Good Practice for its evaluation,and in Wales this should be followed, in consultationwith the Overseeing Organisation and Cadw. Elsewherein the UK there is as yet no statutory or officialgovernment guidance on evaluating historic landscapes.The following suggestions are intended to assist inestablishing the value of historic landscapes interritories where no systematic government register orevaluation guidance exists.

7.10.4 All historic landscapes are different, andgrouping them into types or zones inevitably risksblurring their detailed individuality and local character.

August 2007



This should be acknowledged, and where appropriatethe evaluation should take account of the localdistinctiveness of the character unit on whichevaluation is focussed.

7.10.5 The principle to be borne in mind is that theevaluation is directed at the historic landscapecharacter unit not at the archaeological remains orhistoric buildings that contribute to that character.Evaluating those is the work of the ArchaeologicalRemains and Historic Buildings Sub-Topics. Thequestion for the purposes of this study is ‘how valuableis this historic landscape character unit?’.

7.10.6 Where there are useful landscape-scaledesignations the assessment should take into accountany cultural heritage values cited in support of them, forinstance in the official descriptions of National Parksand Areas of Outstanding Natural Beauty. Somedesignations relate to particular sorts of historiclandscapes, such as designed landscapes. Where thedesignation grades the resource the assessment shouldconsider the grades carefully. In England, for instance,Registered Parks and Gardens are currently graded I, II*and II. Other historic landscape designations – historicbattlefields for example – may not be officiallydifferentiated or graded, and in these cases judgementshould be exercised, bearing in mind the weight givento these designations by national heritage agencies andplanning authorities.

7.10.7 Individual historic assets, includingarchaeological remains and historic buildings contributeto historic landscape character, and the key assetsshould be identified together with an analysis of theircontribution to the character of the unit. The value ofindividual historical or archaeological elements is notnecessarily the determinant of the value of the historiclandscape character unit to which they contribute. Thepresence of a scheduled monument (archaeologically‘high value’), for instance, does not necessarily confergreat value to the historic landscape character unit inwhich it is found; and conversely, post-medieval walls(‘low value’, say, in historic building terms) may becrucial in a ‘high value’ historic landscape.

7.10.8 The study should consider local plans,relevant research frameworks, characterisationinitiatives and research interests to assist in assessingthe value of historic landscape character units. A usefulguide is to consider whether changes to an historiclandscape character unit would raise curatorial concernsat a national, regional, or local level.

August 2007

7.10.9 Communities and special interest groups mayvalue historic landscapes for a variety of reasons, forinstance, for the amenity, social, spiritual andeducational value of the resource, or the current orpotential value of the resource for local visitor ortourism objectives. Evidence of values accorded tohistoric landscapes may be found in parish or villageplans adopted by planning authorities in England, or inequivalent documents in the devolved administrations.Similarly, guidebooks and tourist recommendationsmay be sources of information on perceived values. Theplace of these factors in establishing the value of thehistoric landscape character unit should be carefullyconsidered in the context of establishing issues of localdistinctiveness, power of place, quality of life, and soon.

7.10.10 Relevant factors to take into account mayinclude:

• local character, local distinctiveness(including local residents’ perceptions);

• time-depth: rarity or special interest/typicality(as judged by local, regional and nationalstandards);

• legibility (complexity of the elements/parcels/components and the completeness orarticulation of the historic landscape,association of features, either of the sameperiod or not);

• fragility/robustness (history of change,sensitivity to change, capacity to absorbchange);

• cultural associations (including historicalevents, personages, literary or artisticconnections, views);

• research potential (anticipation of furtherevidence).

7.10.11 These factors are not to be taken as necessary,nor exclusive, nor should they be merely aggregated,with more ‘ticks in the box’ automatically taken tomean more value (although that may sometimes be thecase). For instance, an area with no culturalassociations is not automatically devalued, and an areaexhibiting only one period will necessarily lack time-depth, but in both these cases the value may beconsiderable. In particular cases there may be otherrelevant factors not listed above, and they should beidentified, given their appropriate weight, and justifiedin the study.

A7/9



7.10.12 Using the relevant factors, each historiclandscape character unit (type, zone etc.) should beassigned a ranking within the national context. Forinstance it would be normal to assign a lower score to awholly commonplace, modern historic landscapecharacter unit with little or no earlier survivals (forexample, late 20th century industrial estates) ascompared with scarce, well-preserved historiclandscape character units with good legibility and time-depth (for example well-preserved pre-18th centuryenclosure field systems, with fossil medieval furlongboundaries).

7h

•

•

•

•

•

7h

Table 7.1: Evaluating Historic L

Very High • World Heritage Sites inscribed for the

• Historic landscapes of international v

• Extremely well preserved historic lanother critical factor(s).

High • Designated historic landscapes of out

• Undesignated landscapes of outstandi

• Undesignated landscapes of high qualvalue.

• Well preserved historic landscapes, excritical factor(s).

Medium • Designated special historic landscape

• Undesignated historic landscapes thatlandscapes of regional value.

• Averagely well-preserved historic lanother critical factor(s).

Low • Robust undesignated historic landscap

• Historic landscapes with importance t

• Historic landscapes whose value is limcontextual associations.

Negligible • Landscapes with little or no significan

A7/10

.10.13 The scale of value to be used for assessing theistoric landscape character units is set out below:

Very High;

High;

Medium;

Low;

Negligible.

.10.14 The following table is a guide for evaluatingistoric landscape character units:

andscape Character Units

ir historic landscape qualities.

alue, whether designated or not.

dscapes with exceptional coherence, time-depth, or

standing interest.

ng interest.

ity and importance, and of demonstrable national

hibiting considerable coherence, time-depth or other

s.

would justify special historic landscape designation,

dscapes with reasonable coherence, time-depth or

es.

o local interest groups.

ited by poor preservation and/or poor survival of

t historical interest.

August 2007



7.11 Mitigation

7.11.1 Mitigation aims to avoid or lessen a negativeimpact on the resource. Assessment and design areiterative processes that together should suggestappropriate mitigation measures. Overall culturalheritage Design Objectives for the scheme should beestablished in line with the Overseeing Organisation’senvironmental objectives, and the approach tomitigation will be informed by these. Mitigationstrategies should take into account scheme objectivesdefined according to Chapter 4 in the main guidance.Further detailed guidance on landscape mitigation,some of which are applicable to historic landscapematters, is given in DMRB Volume 10.

7.11.2 Approaches to the management of the culturalheritage resource include conservation, preservation,restoration, renovation, reconstruction, replication,rebuilding, alteration, and demolition or destruction.For the purposes of this guidance these are used as faras possible in line with their useage in the BurraCharter (1999) and other European and internationaldocuments, and as defined in the Standard andGuidance for the Stewardship of the HistoricEnvironment (IFA, Institute of Historic BuildingConservation, Association of Local GovernmentArchaeological Officers, forthcoming).

Conservation is the process of managing changethrough strategies and tasks that sustain the significanceof inherited historic assets and places so that they canbe enjoyed now and in the future. Preservation isdefined as ‘to do no harm’, and entails maintenance tokeep the fabric of historic assets in their existingcondition, or repair to reverse changes caused by decayor damage but not involving restoration. Restorationmakes an asset or place conform to its known design orappearance at an earlier time. Renovation literallymeans making new again, but it usually requires somequalification to the scope of work. Reconstructiongoes beyond repair or restoration in re-creating what nolonger exits, and can be speculative. Replication makesan exact copy of all or part of an historic asset.Rebuilding is a general term for complete or partialreplacement of a building or artefact through repair,restoration, reconstruction or replication. Alteration isa physical change that modifies function or appearance.Demolition or destruction is the physical loss of all orpart of the historical asset.

7.11.3 Mitigation strategies may involve any of theseapproaches, or a combination of them. As well aspreservation and conservation, with historic landscapes,

August 2007

there is the possibility of repair, restoration orreconstruction of features that contribute to historiclandscape character

7.11.4 The mitigation of negative impacts on anhistoric landscape character unit may be different fromthe mitigation approaches appropriate to the LandscapeTopic. Indeed, Landscape Topic mitigation proposalsmay constitute an negative impact on the historiclandscape character, for instance, the provision ofscreening bunds or planting could run counter to thehistorical grain of the countryside, or disrupt animportant historic field system or open-field pattern.

7.11.5 Mitigation of impacts on historic landscapecharacter units may include design measures tominimise changes caused by noise and visual intrusion,and the avoidance of land-take that could affectsignificant features.

7.11.6 The loss of historic landscape elementsthrough land-take may require full archaeological orhistoric buildings investigation, recording, analysis,interpretation and publication as mitigation. Theappropriate sub-topic specialists will undertake these,but their results should inform the historic landscapestudy.

7.11.7 There should be liaison between theLandscape, Ecology and Cultural Heritage specialiststhroughout the design and mitigation process. Closeliaison with the Landscape Topic specialists will benecessary to ensure that historic landscape concerns aretaken into account in landscape mitigation proposals.The design of new landscaping and planting undertakenas part of the scheme or as part of the landscapemitigation measures may be able to consider factorsrelevant to the historic landscape character (e.g. localstyles of hedging), and match new planting to theexisting historic character. Where landscape featuresare to be changed (e.g. ponds, tree clumps) there maybe opportunities to recreate them in their historic formand location, and this may be an area of mitigation alsoof interest to the Ecological Topic specialists.

7.11.8 Many of the elements that contribute tohistoric landscape character are highly transient, evenin use, and would be renewed or repaired in the normalcourse of events. Walls fall down and are reconstructed;trees are felled and replanted; hedges grow old and arereplaced; roads and tracks are widened and resurfaced;gates are replaced etc. Historic landscape charactermay be improved, for instance where a collapsed drystone wall could be rebuilt, the better to restore theintegrity of an historic field system, although the

A7/11



collapsed wall might better contribute to the qualities ofthe historic landscape character in some circumstancesand be best left alone. Decisions about the desirabilityof repair, reconstruction or laissez faire should bediscussed with appropriate experts, clearly recorded andjustified in historic landscape terms.

7.11.9 Land-use contributes to the character of thehistoric landscape, so enabling the recreation orrestoration of characteristic historic land uses and theirphysical expression in hedges, field sizes, crop orpasture management, the disposition of trees and so on,could markedly improve the value of an historiclandscape character unit.


7.12.1 The impact of the scheme on the historiclandscape character will need to be considered, takinginto account agreed mitigation (see Annex 8 for Walesand Scotland). As historic landscapes are ubiquitous, itfollows that they cannot be destroyed; impacts on themcan change their character, but not leave a hole in thehistoric landscape map. An impact is, therefore,defined as a change as a result of the proposed schemethat would not otherwise have occurred, and whichalters the historic landscape character.

7.12.2 Consideration should be given to the types ofpotential impacts – constructional or operational, director indirect, positive, negative, temporary or long-term,and cumulative – as set out in Chapter 4 of the mainCultural Heritage Topic guidance.

7.12.3 The impact can be seen as negative orpositive, that is, changing the character unit to a morecommonplace or a more valued type. Negative andpositive impacts should be assessed using the evaluatedhistoric landscape character units, not the elements/parcels/components that contribute to the historiclandscape character. The key assets contributing to thehistoric landscape character should have been identifiedin the evaluation stage, and any changes to these assetsarising from the proposed scheme should be consideredin relation to the changes in HLC that would result fromimpacts upon them.

7.12.4 The scale of the historic landscape characterunit will need to be chosen on a case-by-case basis,bearing in mind that it should be sufficiently extensiveto merit a landscape-scale description but not soextensive as to swallow up any changes, regardless oftheir scale. The choice of the historic landscapecharacter unit that is to be subjected to the assessmentshould be clearly recorded and justified.

7.1lonareTopchaintowowo

7.1schschsettin a

7.1seeimpsettcanbe cThiouthistequundarisenvvegconno arethapersetttheenvbatremsposomassdeswhmesettin mbel

•

•

A7/12

2.5 Constructional impacts may be temporary org-term. Impacts likely to last longer than 15 years considered to be long term. As with the Landscapeic, the growth of new planting may mitigate somenges within this time frame, and this should be taken account. Medium term impacts are those that

uld last for less than 15 years and short term impactsuld last for the construction period only.

2.6 Direct impacts are those that arise from theeme itself, indirect impacts arise away from theeme or through complex pathways. Impacts oning are direct impacts if they arise from the scheme straightforward way.

2.7 As historic landscape is ubiquitous it maym unreasonable to suggest that there could be anact on its setting, but there can be impacts on theing of historic landscape character units, where it be demonstrated that the character of the unit wouldhanged by the presence of the scheme outside it.

s could arise most obviously where a scheme wasside, but within sight or sound of, a designatedoric landscape such as a historic park, but it isally possible that impacts on the setting ofesignated historic landscape character units maye as a result of activities nearby. The setting is theirons of an asset, including the topography, views,etation, approaches, ambience (sound etc) andtext (known or believed information where little orvisible evidence exists). Some historic battlefields almost wholly appreciated through their context –t is, there are no visible structures dating to the battleiod, the topography, field boundaries, roads,lement patterns, vegetation may all have changed, views may be completely altered, the modern soundironment may bear no relation to the period of thetle let alone the sounds of the battle itself – all thatains is the knowledge that an event happened at thatt, and even the precise location of that spot canetimes be open to debate. Methodologies used to

ess impacts on setting should be transparent, clearlycribed and supported by professional standardsere available. In developing or adoptingthodologies for assessing the role of an asset’sing the specialist undertaking the study should bearind the principles discussed above and summarised

ow:

an asset’s setting is its relevant surroundings;

settings have physical factors which can bechanged by a scheme, but it is the effect thesechanges have on the perception of the assetthat is assessed;

August 2007



• context is an aspect of setting where arelevant aspect of knowledge, belief orrelationships may not be visible (or audible) atthe site;

• settings are experienced by people ascontributing to the understanding orappreciation of assets;

• professional judgement is required, usingcriteria measured against the scheme’sCultural Heritage Design Objectives.

A fuller discussion of setting and context is set out inparagraphs 4.19 – 4.27 of the main text.

7.12.8 Cumulative impacts can arise from multipleeffects of the same scheme on a single asset, differentmultiple effects of the scheme and other sources on thesame asset, or incremental effects arising from anumber of small actions over time. Interactions mayarise from activities related to other topics, such asdrainage schemes, endangered species relocation, soundattenuation measures or access arrangements, takentogether with any cultural heritage impacts. The formsof cumulative impact are discussed in Section 2, Part 5,Chapter 1, with advice on how to consider the certaintyof outcome and the probability of the predictions.

7.12.9 Impacts caused by the scheme on manysimilar, possibly minor, historic elements may becumulative, but for historic landscape character unitssuch impacts may best be assessed as the totality oftheir impact on the historic landscape character unit.The assessment of such multiple impacts is not simply a

Table 7.2: Sou

Activity Impact: negative

Site clearance Removal of • change to historic latrees andvegetation

Fencing • intrusion of inappro

August 2007

matter of aggregating scores; it requires professionaljudgement to assess how these changes actually affectthe character of the historic landscape unit.

7.12.10 The sort of impacts on historic landscapes thatcould be caused by road schemes are often thoseassociated with linear developments. These involvesuch factors as vertical alignment (embankments,cuttings, terracing, grade separated junctions,revetments etc.), horizontal alignment with itsassociated issues of severance, boundary structures andjuxtaposition with other alignments (fields, tracks,topography), lighting and its ancillary structures, thetreatment of minor side road junctions, and massiveconstructions such as bridges and viaducts.

7.12.11 Impacts may arise from the proposedactivities related to other topics, such as landscapescreening, or balancing pond excavations. The historiclandscape specialist should liaise with the specialists inother relevant topics to ensure that account is taken byall of them of the impacts of activities proposed byothers.

7.12.12 Ongoing communication with designengineers regarding the potential impacts of a scheme isessential. Accurate indications of the area affected bythe scheme may not be available before the detaileddesign is prepared, and even later for ‘off-site’ matterssuch as site compounds, borrow pits, etc. Clearly,however, the scheme design is a key consideration inassessing impacts, and designers’ estimates of newland-take, structures, alignments etc. are needed asearly as possible. Sources of potential impacts are listedin Table 7.2 (this list is not exhaustive).

rces of Impacts

Impact: positive

ndscape integrity Re-establishmentof historiclandscape pattern

priate elements

A7/13




Activity Impact: negative Impact: positive

Road Topsoil removal • disturbance of historic landuse patternconstruction

Excavations for • visual intrusiondemolition,drainage,shallowfoundations,borrow pits,decontaminationetc.

Landscaping/ • visual or aural intrusion Re-establishmentearth mounding of historic patterns

Screening ofintrusive elements

Spoil disposal • visual or aural intrusion Re-establishmentof historic patternsScreening ofintrusive elements

Installation • disruption of historic landscape integrityfeaturesfeatures(bridges,signage,fencing etc.)

Installation of • visual intrusion Improved lightinglighting scheme systems impact less

on night time scene

Road • Disturbance, severance causing dereliction or neglect of Re-instatement ofalignment historic patterns of landuse historic landscape

pattern

Planting • visual intrusion on historic landscape Re-establishmentof historiclandscape pattern

August 2007A7/14



Table 7.2: Sources of I

Activity Impact: negative

Operational Traffic • visual intrusionmovement

Maintenance • small scale repairs and landscape elements – cu

Other Topsoil • damage to historic landEnvironmental strippingMitigation

Screen planting • visual intrusionOther screening

Noise reduction • visual intrusionpanelling

7.12.13 Cadw in Wales has published a method ofassessing impacts on historic landscapes, and wheresuch a systematic approved approach has beenestablished this should be followed. Assessments in thedevolved administrations’ territories should be guidedby the relevant authorities (see Annex 8).

7.12.14 The magnitude of the impact/change shouldbe assessed without regard to the value of the resource,so a total change experienced by a commonplace (lowvalue) historic landscape character unit is the samemagnitude as a total change experienced by of anationally important historic landscape character unit.The value is factored-in later to calculate thesignificance of the effect (see Chapter 4 of the mainCultural Heritage Topic guidance and Table 7.4).

7.12.15 The study should judge the magnitude of animpact bearing in mind the extremes that could occur,not just the range of changes that would occur on thescheme under consideration. The largest would be atotal change to the historic character; the least would beno change to the historic character. The changes shouldbe ranked in relation to these extremes. The scale of themagnitude of impact is as follows:

• Major;

• Moderate;

• Minor;

August 2007

mpacts (continued)

Impact: positive

consolidation or alteration of historic Re-establishmentmulative impact of historic

landscape elements

scape elements

Re-establishmentof historiclandscape pattern

• Negligible;

• No change.

7.12.16 The factors to take into account in assessingthe magnitude of the impact on historic landscapecharacter include:

• how changes to archaeological remains andhistoric buildings would change the characterof the historic landscape;

• changes affecting historic spatial patterns;

• changes of characteristic historic landscapeelements;

• changes to vegetation;

• changes in vibration/visual intrusion/noise(including the nature of sounds);

• changes to landuse.

Particular cases may require the consideration of otherissues.

7.12.17 The study should assess the degree to whichimportant elements, parcels, components etc. of thehistoric landscape would be obscured or opened up, andfrom which viewpoints, how the views from themwould be affected, and how this would change thecharacter of the historic landscape. This should be

A7/15



assessed in relation to locations not currently accessibleto the general public as well as from public rights ofway, as changes to legislation may make theseaccessible in the future. The Landscape Topicspecialists should be consulted, as they are involved inestablishing these factors. The focus should be on themagnitude of the change to the historic landscapecharacter arising from changes to views.

7.12.18 The assessment should consider any changesin noise levels, and changes to the ambience atimportant locations in the historic landscape. The NoiseTopic and Landscape Topic specialists will normally beconsulted in relation to noise levels and the mapping ofnoise affected areas. As well as noise levels, the natureof the sounds should also be taken into account. Themagnitude of the change in the historic landscapecharacter caused by such alterations to the soundscapeshould be the focus of the study.

7.thhia thorlaonnoneimbuunin

7.in

Table 7.3: Magnitude of Impac

Factors in the Assessment of

Major Change to most or all key historic landscaeffects; gross change of noise or change toaccess; resulting in total change to historic

Moderate Changes to many key historic landscape elmany key aspects of the historic landscapeconsiderable changes to use or access; resucharacter.

Minor Changes to few key historic landscape eleto few key aspects of historic landscape, lislight changes to use or access: resulting i

Negligible Very minor changes to key historic landscunchanged visual effects, very slight changchanges to use or access; resulting in a ver

No change No change to elements, parcels or componarising from in amenity or community fact

A7/16

12.19 The important principle is the magnitude ofe impact on the historic landscape character unit. If anstoric landscape unit has been characterised as – say –late 20th century transport and industrial corridor, thene addition of a new transport element may have little no impact on its historic character, despite a largend-take and possibly considerable negative impacts other cultural heritage assets. There could be little or historic landscape character change. Conversely, aw dual carriageway, which may have no significantpacts on archaeological remains or historic buildings,ilt across an otherwise coherent and relativelytouched pre-enclosure landscape unit may change itto urban edge-land, a considerable alteration.

12.20 Table 7.3 summarises the factors to be takento account when assessing the magnitude of impact.

t: Summary of Factors

Magnitude of Change

pe elements, parcels or components; extreme visual sound quality; fundamental changes to use or landscape character unit.

ements, parcels or components, visual change to, noticeable differences in noise or sound quality,lting in moderate changes to historic landscape

ments, parcels or components, slight visual changesmited changes to noise levels or sound quality;n limited changes to historic landscape character.

ape elements, parcels or components, virtuallyes in noise levels or or sound quality; very slighty small change to historic landscape character.

ents; no visual or audible changes; no changesors.

August 2007



7.13 Assessing Significance of Effects

7.13.1 The significance of the effect - that is, theextent to which the change to the historic landscapecharacter matters – is the result of the value of thehistoric landscape character unit combined with themagnitude of the impact on it (incorporating the agreedmitigation). A large negative impact on a valuablehistoric landscape character unit would matter morethan a large negative impact on a commonplacecharacter unit. For instance, a new road scheme mighttotally change a late 20th century industrial landscape(historic landscape value: negligible) into a 21st centurytransport and communications landscape (value alsonegligible), so despite the high magnitude of impact(major change), when combined with the low value itwould result in a slight or neutral significance of effect.

Table 7.4: Significan

7.13.4 The significance of effect should be includedin the data entry for each asset. It should be classifiedaccording to whether it is caused by schemeconstruction or operation.


7.14.1 The Cultural Heritage resource is anintegrated whole, divided into the three sub-topics inthis guidance solely because of the differing methodsrequired for their assessment. It will be necessary to

August 2007

7.13.2 The judgement of the significance of effectshould use the following scale:

• Very Large;

• Large;

• Moderate;

• Slight;

• Neutral.

7.13.3 Table 7.4 illustrates how information on theValue and the Magnitude of Impact are combined toarrive at an assessment of the Significance of Effect.

ce of Effects Matrix

provide overview of the significance of the effect on thecombined cultural heritage resource (archaeologicalremains, historic buildings and historic landscapes)over the scheme as a whole. For EnvironmentalStatements it is not necessary to reduce this assessmentto a single overall score (as it is in Appraisal SummaryTables), but the effects on individual assets in each sub-topic should be discussed, and their relativesignificance considered. The intention is that theranking of value, impact and significance should becomparable across the sub-topics, so that their relativecontribution to the overall assessment is reasonablytransparent.

A7/17



7.14.2 Historic landscapes have associations andsignificance for other cultural heritage sub-topics, forexample, they will form the setting of historicbuildings, and the archaeological remains buriedbeneath them will have shaped the character of thelandscape. Historic landscape character analysis canprovide a powerful tool for predicting the presence ofother cultural heritage assets. The assessment shouldaim to re-integrate the three cultural heritage sub-topicsto arrive at an overall assessment of the significance ofthe effect on the cultural heritage resource over thewhole scheme. This does not require there to be a singleoverall score, as required in Appraisals for AppraisalSummary Tables (see WebTAG).

7.14.3 For each cultural heritage sub-topic there maybe differing degrees of effect. For example, an historicstructure may be important in the historic buildingassessment but the historic landscape characterevaluation may be low. In these cases the highest sub-topic score should be taken as the significance of effectfor that asset.

7.14.4 If all the effects on all assets were adversethen the highest reading on the Significance of Effectmatrix will also normally be taken to be the overallcultural heritage effect, but judgement should beexercised to ensure that this does not distort theassessment. A scheme with wholly beneficial culturalheritage effects would, however, not normally beassessed at the highest beneficial reading, as aprecautionary attitude should be adopted to avoid anover optimistic assessment. Again judgement isrequired on a case by case basis.

7.14.5 If there were adverse and beneficial effectsthese will need to be brought out in the assessment, notobscured by balancing them off against one another. Forexample, a bypass proposal with a Moderate BeneficialEffect on the historic building assets in a town centremight also have a Moderate Adverse Effect on ruralarchaeological remains. If these were offset against oneanother to produce a Neutral assessment score thiswould be misleading. An alternative route with noadverse or beneficial effects, or one with differentbalancing effects, would also have neutral scores, butclearly the schemes would not be equivalent in theireffect on the cultural heritage resource. The effects ofthe different options and the scores should be describedin the text, to make the differences clear.

A7/18

7.15 Reporting

7.15.1 Guidance on reporting the Scoping, Simpleand Detailed Assessment is given in the main CulturalHeritage Topic guidance at Section 6.

7.15.2 Dissemination requirements may not bedetermined in detail until the investigations have beencompleted and the results assessed. However, thegeneral scale and approach to post-fieldwork processingand data dissemination must be established, and costed,at all stages of the proposals, and included in thecommitments and contracts to carry out the work. Postfieldwork analysis, archiving and dissemination forarchaeological works are covered in DMRB Volume10a, and similar arrangements should be made fororiginal historic landscape work. The individualcircumstances of the scheme should be taken intoaccount so that the cultural heritage design andmitigation strategy are formulated with their endproducts – the requirements of decision making and theneed to ensure full and effective reporting, includingpost excavation work – clearly in mind.

7.15.3 Particular care should be taken to ensure thatany original research undertaken in connection with thescheme is appropriately disseminated if no furtherprogramme of work were undertaken into which itcould be assimilated, for instance if the scheme wereabandoned or postponed.

August 2007


ADMINISTRATIONS’

Annex 8The Devolved Administrations’ Procedures

ANNEX 8 THE DEVOLVEDPROCEDURES

Welsh Assembly Government – TransportWales

8.1 The Welsh Assembly Government – TransportWales supports the assessment procedure, processesand methodologies described in this guidance. Whilstthe broad principles are acceptable, differences mayexist in Wales for the procedures and arrangements forprocuring, managing and delivering cultural heritageassessments and reports, and their integration withother Environmental Impact Assessment (EIA) topics.Design Organisations, Designers and MaintainingOrganisations should satisfy themselves of therequirements of the Welsh Assembly Government –Transport Wales to ensure that current procedures andstandards applicable to Wales are met.

8.2 The responsibilities for undertaking, managingand reporting on the cultural assessment described inthis guidance will vary in accordance with the form ofprocurement adopted by Transport Wales (i.e.,conventional design commission, design and build,Early Contractor Involvement, etc.). Transport Waleswill consult with Cadw on the scope of the brief forcultural heritage assessment required for the scheme/scheme. Transport Wales will include the brief in theContract and Tender requirements and WorksInformation. The Design Organisation, Designer andMaintaining organisation will be responsible under theterms of the contract or commission for scoping theappropriate detail and extent of assessment required inaccordance with the procedures and methodologiesdescribed in this guidance. The Design Organisation,Designer or Maintaining Organisation will be requiredto report to and confirm with Transport Wales andCadw on the scope of assessment proposed. The DesignOrganisation, Designer or Maintaining Organisationwill also be responsible for agreeing the SchemeDesign, assessment reports, archaeological designs andmitigation measures with Transport Wales and Cadw.

8.3 The roles and responsibilities of the principalorganisations to be consulted during the assessmentprocess are summarised as follows.

8.4 Cadw. Cadw is the Welsh AssemblyGovernment’s historic environment division. Its aim isto promote the conservation and appreciation of Wales’s

hcmO

8inschHaacthgaAfia

8Wprebacsuw

8pInOaDcsc

8cWhRDpAa

August 2007

istoric environment. Cadw advises Transport Wales onultural heritage matters. Guidance on cultural heritageatters is given in Planning Policy Wales and Welshffice Circulars 60/96 and 61/96.

.5 Cadw will be consulted to provide up-to-dateformation on nationally designated historic assets, i.e.heduled monuments, listed buildings, registered

istoric landscapes, parks and gardens and Worlderitage Sites. Cadw will provide advice on the direct

nd indirect impacts of any proposals affecting thesessets. Cadw will be consulted upon and may advise onommissioning the different stages of work making upe cultural heritage assessment described in this

uidance. It will approve the cultural heritagessessments included in Environmental Statements andssessment Reports, and recommend what level ofnal publication of the results of investigative work isppropriate.

.6 For schemes procured directly by Transportales through conventional contracts, the brief and

rogramme for cultural heritage assessment andcording will be specified by Cadw and be approved

y the Transport Wales’s Scheme Manager. Cadw willdvise on the selection of cultural heritage specialistontractors/consultants and assist in monitoringrveys, assessments, excavations and post excavationork.

.7 For schemes procured by other forms of contract,articularly, Design and Build (DB) Early Contractorvolvement (ECI), and Design Build Finance andperate (DBFO), Cadw’s role will be limited to

dvising Transport Wales on the Scheme Brief, Schemeesign, assessment reports and the Cultural Heritage

hapter of the environmental statements for thesehemes.

.8 For schemes that affect one of the 58 areasurrently on the Register of Historic Landscapes inales, Cadw and the Countryside Council for Wales

ave published a Guide to Good Practice on Using theegister of Landscapes in Wales in the Planning andevelopment Process (rev. ed 2007). This describes therocess of Historic Landscape Characterisation andssessment for the registered areas, which can be

pplied elsewhere in Wales (see Annex 7).

A8/1



8.9 The contact address for Cadw is:

CadwPlas CarewCefn CoedNantgarwCardiffCF15 7QQ

Tel: 01443 336000Fax: 01443 336001E-mail: [email protected]

Welsh Archaeological Trusts

8.10 The four Welsh Archaeological Trusts workclosely with Cadw and other national, regional andlocal bodies, to help protect, record and interpret allaspects of the historic environment for the whole ofWales. The Trusts’ activities are organised intoAdminstrative, Curatorial and Project Sections orTeams. The Curatorial Sections maintain the RegionalSites and Monuments Record – an archive andcomputerised database of all known archaeological orheritage related sites for their areas of responsibility,supported by excavation archives, records of land andbuilding surveys, collections of air photographs andother cultural heritage information. The Trusts provideadvice on and monitor the effects of development uponthe archaeological resource to their local planningauthorities and other agencies in their regions, in linewith the Welsh Archaeological Trusts Curators’ Code ofPractice. The Project Sections undertake fieldwork andassessment schemes to a wide range of clients on acommercial basis.

8.11 Design Organisations, Designers and MaintainingOrganisations will be expected to consult the relevantTrust and their Sites and Monuments Record in thescoping of assessments, and the development of theScheme Design, assessment reports and CulturalHeritage Design for their schemes. The four WelshArchaeological Trusts are:

The Clwyd-Powys Archaeological Trust7a Church StreetWelshpoolPowysSY21 7DL

Tel: 01938 553670Fax: 01938 552179Email: [email protected]

A8/2

Dyfed Archaeological Trust – CambriaArchaeologyThe Shire Hall8 Carmarthen StreetLlandeiloCarmarthenshireSA19 6AF


Gwynedd Archaeological TrustCraig BeunoGarth RoadBangorGwyneddLL57 2RT


Glamorgan-Gwent Archaeological TrustHeathfield HouseHeathfieldSwanseaSA1 6EL


Local Authorities

8.12 Currently, only two Welsh unitary authorities andthe three National Parks in Wales employarchaeological staff with responsibilities forarchaeology and development control. However eachunitary authority and national park have at least onebuilding conservation officer. Design Organisations,Designers and Maintaining Organisations shouldconsult with these authorities for information andadvice concerning listed buildings, conservation areasand any other local cultural heritage designations.

The National Monuments Record

8.13 The National Monuments Record (NMR) ismaintained by the Royal Commission on the Ancientand Historical Monuments of Wales (RCAHMW). This

August 2007



record is complimentary to the Regional Sites andMonuments Records, and has particular strengths inhistoric buildings and aerial photographs. There is acomprehensive on-line catalogue for the NMR, Coflein,but the supporting material needs to be consulted at:

The National Monuments RecordPlas CrugAberystwythCeredigionSY23 1NJ

Tel: 01970 621200Email: [email protected]/coflein.shtml

Northern Ireland

8.14 The Environment and Heritage Service (EHS) isan Agency within the Department of the Environmentof the Northern Ireland Assembly. It has responsibilityfor identifying, recording and protecting archaeologicalsites and monuments, and buildings and other structuresof architectural or historical interest. Protection iscarried out by scheduling, under the HistoricMonuments Act (NI) 1971, or by listing, under thePlanning (NI) Order 1991.

8.15 The Monuments and Buildings Record (MBR),maintained by EHS, holds details of over 12,500archaeological sites and monuments, and also identifieslisted buildings, gardens, parks and demesnes, and sitesof industrial heritage interest.

8.16 On environmental assessment, the statutorybodies will, for their respective areas:

(i) advise on the need for, or extent of, anassessment of archaeological remains, historicbuildings or historic gardens and designedlandscapes;

(ii) advise on sources of information and otherpossible consultees

(iii) comment on the implications of schemes forarchaeological remains and historic buildings,and other aspects of the historic environment;

(iv) advise on the mitigation of adverse impacts.

August 2007

Scottish Executive – Transport Scotland

8.17 The Scottish Executive supports the assessmentprocedure, processes and methodologies described inthis guidance. Accordingly, assessment of the historicenvironment should follow the guidance set out in theremainder of Section 3, Part 2. This section of Annex 8sets out, for Scotland, the roles and responsibilities ofeach of the parties at the different stages and provides alist of information sources for the historic environment.

Roles and Responsibilities

8.18 Historic Scotland (HS) is an Agency of theScottish Executive and is directly responsible toScottish Ministers for safeguarding the nation’s historicenvironment, and promoting its understanding andenjoyment. All functions performed by the Agency arecarried out on behalf of Scottish Ministers. For trunkroads, HS is responsible for providing policy advice andcommenting on the implications of a trunk road schemefor the historic environment.

8.19 Transport Scotland (TS), as the OverseeingOrganisation, is responsible for liaising with HS ontrunk road matters, commissioning the environmentalassessment and ensuring that, where necessary, theDesign Organisation/consultant provides appropriatelyskilled staff.

General Principles which Apply to the Planning andDesign of Trunk Roads

8.20 In principle HS would expect all new trunk roadsto be planned to avoid damage to the site and setting ofstatutorily protected scheduled monuments and listedbuildings identified within route study areas. Thisapplies particularly strongly to sites of recognisednational importance (primarily all scheduledmonuments and others of similar merit and category A-listed buildings). The main policy consideration here,set out in paragraph 17 of National Planning PolicyGuideline 5 Archaeology and Planning (NPPG 5), isthat developments which would have an adverse effecton sites of national importance or on the integrity oftheir settings should not be permitted unless there areexceptional circumstances. The latter is not furtherdefined in the NPPG. However, the more recentScottish Historic Environment Policy 2 Scheduling:protecting Scotland’s nationally importantmonuments confirms on page 15 that ‘The primarypurpose of scheduling under the 1979 Act is thepreservation of, and control of works on monuments,

A8/3



the survival of which is in the national interest. Theprovisions of the 1979 Act are consistent with theprinciples of minimal intervention to ensure that thecharacteristics that make a monument of nationalimportance are preserved as far as possible in the statein which it has come down to us, and is passed on tofuture generations in as unchanged a state aspracticable, in accord with the principles of sustainabledevelopment. In general, those principles will only beset aside in circumstances where wider considerationsare deemed, on balance, to be of greater importance tothe national interest...’.

8.21 Where Government-sponsored developments –including trunk roads – directly affect any statutorilyprotected features, the principles of scheduledmonument and listed building consent which apply toall non-Crown development are still applicable. Formalapplication for scheduled monument clearance or listedbuilding consent must be made, on the appropriateforms, to HS (for scheduled monuments) or to thePlanning Authority (for listed buildings).

8.22 In relation to unscheduled archaeological featureswhich do not meet the criteria of national importance, itis HS’s preferred position, in accordance with policy setout in NPPG 5, that significant features of importancein a regional or local context should also be preservedin situ wherever feasible. The fact that archaeologicalsites are a finite and non-renewable resource is animportant consideration and an issue for sustainabledevelopment. However, we accept that this is notalways possible and where preservation is not feasible,archaeological excavation incorporating the recordingand analysis of remains and publication of the findingsmay be an acceptable alternative, although always lesspreferable from the archaeological viewpoint. It is animportant principle that sites of archaeologicalpotential, however slight, should not be lost todevelopment without an adequate record having firstbeen made. In cases where it is agreed thatarchaeological excavation is the only acceptablemitigation, Trunk Roads: Infrastructure andProfessional Services (TR:IPS) will agree with HS(which is also part of the Scottish Executive) anappropriate archaeological mitigation strategy. Thecosts of the necessary archaeological work will be metfrom within the scheme budget.

8.23 For gardens and designed landscapes it is HS’spolicy to seek to prevent any intrusive developmentwhich would detract from their integrity and historiclandscape character. In road schemes every effort mustbe made at the route planning stage to avoid anyhistoric landscape identified. In exceptional

A8/4

circumstances, where this is not feasible, all proposalsmust be fully discussed with HS. Any agreed routeswhich directly affect designed landscapes would requireparticularly careful design treatment to ensure that bothindividual landscape features (e.g. avenues, tree beltsand plantations, hedges, policy walls, bridges, lodgesand other built structures) as well as the overall historiclandscape character and setting of the listed propertyare not adversely affected.

8.24 These general guidelines apply equally to alltrunk road construction activity and ancillary workswhich cause ground disturbance. As well as the actualcarriageway construction itself, all side roads andaccesses, storage areas, borrow pits, soil dumps,temporary site accesses etc. and landscaping schemesbeyond the road margins, particularly those involvingearthmoving and tree planting, can damage or destroyfragile archaeological features and must be planned toavoid them.

Consultation Requirements

8.25 HS must be consulted where potential effects areidentified for international (i.e. World Heritage Site)and national assets (i.e. scheduled ancient monuments,Category A-listed buildings, gardens and designedlandscapes on the Inventory).

8.26 Local Authorities should be consulted aboutpotential effects on Conservation Areas, and B and C(S)listed buildings.

8.27 Council Archaeologists should be consultedabout potential effects on sites listed on the Sites andMonuments Records. They should also, at theAssessment stage, be asked for their view, based onlocal knowledge, of the likelihood of significantunrecorded archaeology being present in the landsubject to assessment.

8.28 Other historic environment interest groups are tobe consulted where appropriate.

Scoping

8.29 Scoping should be undertaken by staff within theDesign Organisation/consultant team with appropriateknowledge/qualifications in historic environmentissues. The Design Organisation/consultant shouldcollect information about the known historic resourceusing the information sources identified in paragraphs8.47-8.56 and identify relevant constraints. Baselineinformation is available online (see paragraphs 8.47-

August 2007



8.56) and these sources should be consulted beforeapproaching HS.

8.30 Data to be collected at this stage should include:scheduled ancient monuments; listed buildings; gardensand designed landscapes; Conservation Areas; HistoricLand Use Assessment; National Monuments Record ofScotland (NMRS); and Sites and Monuments Recordinformation.

8.31 Note that, where there is considerable knownhistoric environment interest in an area, e.g. a numberof SAMs, then it is more probable that archaeologicalremains will be encountered during any pre-construction excavation works.

8.32 HS should be consulted at the scoping stage, andwill provide policy advice and advise (where necessary)on the issues to be taken forward to Simple or DetailedAssessment.

8.33 Results should be reported using an OrdnanceSurvey-based map (at 1:25 000 or 1:10 000 scale asappropriate) to identify constraints, accompanied bydescriptions. The map should also identify potentialarchaeologically sensitive areas, as these haveimplications for scheme costs in terms of mitigation,survey and reporting.

Simple Assessment

8.34 Requirements for simple assessment will bebased on the findings of the scoping exercise.

8.35 The assessment should set out the followinginformation:

• baseline environmental characteristics;

• predicted impacts without mitigation;

• mitigation measures; and

• residual effects i.e. predicted impacts withmitigation.

8.36 Simple assessment work is to be commissionedand managed by TS as the Overseeing Organisation. TSwill consult HS on the brief regarding the scope of thework, level of detail, and technical requirements.

8.37 HS will provide policy advice and review theresults of survey work and assessment prior to itsinclusion in a report/Environmental Statement.

August 2007

8.38 Data to be used at this stage should include thatcollected during scoping, i.e. scheduled ancientmonuments; listed buildings; gardens and designedlandscapes; Conservation Areas; Historic Land UseAssessment; NMRS; and Sites and Monuments Recordinformation. Where necessary, this data should berefreshed. Air photographs (available from RoyalCommission on the Ancient and Historical Monumentsof Scotland (RCAHMS)) may be consulted. Whereappropriate, ground investigations may be observed byhistoric environment specialists.

8.39 Baseline data should be reported in a gazetteer ordatabase, with a suitable scale of mapping (1:10 000minimum for rural schemes and 1:2500 minimum forurban schemes).

Detailed Assessment

8.40 The assessment should set out the followinginformation:

• baseline environmental characteristics;

• predicted impacts without mitigation;

• mitigation measures; and

• residual effects i.e. predicted impacts withmitigation.

8.41 Requirements for detailed assessment will bebased on the findings of the scoping exercise and/or asimple assessment.

8.42 Detailed assessment work is to be commissionedand managed by TS as the Overseeing Organisation. TSwill consult HS on the brief regarding the scope of thework, level of detail, and technical requirements.

8.43 HS will provide policy advice and review theresults prior to its inclusion in a report/EnvironmentalStatement.

8.44 Data to be used at this stage should include thatcollected during scoping/simple assessment, i.e.scheduled ancient monuments; listed buildings; gardensand designed landscapes; Conservation Areas; HistoricLand Use Assessment; NMRS; and Sites andMonuments Record information. Where necessary, thisdata should be refreshed. Air photographs (availablefrom RCAHMS) may be consulted. Where appropriate,ground investigations may be observed by historicenvironment specialists.

A8/5



8.45 The field survey element of detailed assessmentin Scotland is undertaken once land is in the possessionof the Scottish Ministers i.e. after the Orders have beenmade. In Scotland this element of detailed assessmenttends to be used as a mitigation measure, in terms ofexcavation and recording prior to the commencement ofconstruction. Such mitigation commitments will be setout in the Environmental Statement. This work iscarried out prior to the land being made available to thecontractor.

8.46 Detailed assessment survey work iscommissioned and managed by HS on behalf of TS inline with agreed inter-Agency procedures. If agreedbetween TS and HS, management may be delegated to athird party in line with agreed procedures.

Information Held on the Historic Environment

8.47 Background information on HS and generaladvice on data is available from the HS website atwww.historic-scotland.gov.uk. Information on thehistoric environment is available from a variety ofsources.

8.48 To comply with the Freedom of Information(Scotland) Act 2002, HS has published a publicationscheme to provide access to information collected, heldand used by HS. This publication scheme is a guide tothe information which HS routinely makes availableeither electronically through its website, or via itsoffices. HS’s publication scheme can be viewed on theHS website (http://www.historic-scotland.gov.uk/foi_publication_scheme_feb05.pdf).

8.49 Information on the location and details ofscheduled ancient monuments and listed buildings(including supporting information) is provided onPastmap (http://www.PASTMAP.org.uk), a free,interactive, map-based query system developed jointlyby the RCAHMS and HS. Databases providingsummary information on scheduled ancient monumentsand listed buildings are also available on the HSwebsite. The underlying scheduled ancient monumentand listed building data displayed on Pastmap is alsoavailable, under licence, in GIS format ([email protected]). Access to HS’sspatial datasets on listed buildings, scheduledmonuments and properties in care is also availabledirectly at http://hsewsf.sedsh.gov.uk/pls/htmldb/f?p=500:1:8448412299472048421.

8.50 Information on the location of gardens anddesigned landscapes is provided on Pastmap. Detailed

slDawg

8bowi

8howalb

8ps

8Wiw(

8haiapd

8

A8/6

upporting information on gardens and designedandscapes is provided in the Inventory of Gardens andesigned Landscapes. The Inventory can be consulted

t HS offices or is available online at: http://ww.historic-scotland.gov.uk/index/gardens/ardens_inventory_intro/gardens_search.htm.

.51 Information on all archaeological/historic sites,uildings and finds recorded in the NMRS is availablen the RCAHMS website (http://ww.rcahms.gov.uk). Locational and supporting

nformation is provided on Pastmap.

.52 Information on historic landscapes, in particularistoric land-use assessment and NMRS data, can bebtained from the RCAHMS website (http://ww.rcahms.gov.uk). The historic land-use

ssessment is a GIS-based analysis of past and presentand-use, developed jointly by HS and RCAHMS. It cane found on the RCAHMS web-site at HLAMAP.

.53 Information on cultural World Heritage Sites isrovided on the HS website (http://www.historic-cotland.gov.uk).

.54 Wrecks may be protected under the Protection ofrecks Act 1973, scheduled as ancient monuments or

dentified as NMRS sites. Information on protectedrecks is available, under licence, in GIS format

contact [email protected]).

.55 Local authorities also hold information on theistoric environment relevant to their areas. Theirrchaeological services can provide information on sitesncluded in their Sites and Monuments Records (alsovailable on Pastmap), whilst planning authorities canrovide information on Conservation Areas. Contactetails are provided on Pastmap and on the HS website.

.56 Contact addresses:

Historic ScotlandLongmore HouseSalisbury PlaceEdinburghEH9 1SH

Tel: 0131 668 8600www.historic-scotland.gov.uk

August 2007



NMRS and RCAHMSJohn Sinclair House16 Bernard TerraceEdinburghEH8 9NX

Tel: 0131 662 1456www.rcahms.gov.uk

8.57 Under Scots law, any archaeological artefact towhich no clear line of ownership can be determinedbelongs to the Crown. Therefore, if an archaeologicalartefact or assemblage of archaeological material isfound during the course of site works, buildingoperations or archaeological excavations, it must bereported to the Treasure Trove Unit (see the website atwww.treasuretrove.org.uk for further details).

8.58 If the excavations are funded by HistoricScotland, reporting to the Treasure Trove Unit is carriedout by Historic Scotland. If the excavations are notfunded by Historic Scotland, the excavation ProjectDirector must report the finds directly to the TreasureTrove Unit. If the discovery of the artefact orarchaeological assemblage is made by someoneworking on the construction project or by a member ofthe public, they should report the find directly to theTreasure Trove Unit. If the archaeological artefacts areof sufficient importance, they will be claimed asTreasure Trove and allocated to a museum.

August 2007 A8/7


Annex 9Glossary

ANNEX 9 GLOSSARY

ACADEMIC REPORT – a report containing all theevidence, analysis and synthesis necessary to fulfil anARCHAEOLOGICAL RECORDING PROGRAMME.See also the POPULAR REPORT.

ARCHAEOLOGICAL ASSESSMENT – the processof reviewing the material, which results from anArchaeological Recording Programme, before decisionsregarding the appropriate level of post excavationanalysis and publication are taken. The result is anAssessment Report leading to an UPDATED SCHEMEDESIGN.

ARCHAEOLOGICAL CONTRACTOR – thearchaeological organisation employed to carry out anarchaeological recording scheme. Differentarchaeological contractors may undertake theEVALUATION and MITIGATION stages of the work.

ARCHAEOLOGICAL RECORDING – workcommissioned for the purpose of investigating,analysing, interpreting and publishing importantarchaeological remains, which may be damaged ordestroyed by a trunk road scheme.

ARCHAEOLOGICAL RECORDINGPROGRAMME – the full sequence of mitigation of animpact on archaeological sites or remains througharchaeological excavation and recording. A recordingprogramme is not complete until ARCHAEOLOGICALASSESSMENT, analysis, dissemination and archivingis finished.

ASSET – the overall cultural heritage resourcecomprises individual assets, which may bearchaeological remains, historic buildings or historiclandscape character units.

Cadw – Cadw is the Welsh Assembly Government’shistoric environment division, its role andresponsibilities are set out in Annex 8.

COI – Central Office of Information.

COMMISSION FOR ARCHITECTURE AND THEBUILT ENVIRONMENT (CABE) – CABE promotesgood architecture, landscape architecture, urban designand spatial planning.

August 2007

CONTEXT – knowledge or beliefs which supply theframework for appreciating historical assets and values,where tangible or visible evidence is lacking at the site.

COUNCIL FOR BRITISH ARCHAEOLOGY(CBA) – A UK-wide non-governmental organisationpromoting knowledge, appreciation and care of thehistoric environment for the benefit of present andfuture generations.

COUNTY ARCHAEOLOGIST (England only) –(may also be titled Local Archaeological Officer,Heritage Advisor, Conservation Officer, RegionalArchaeologist or Planning Archaeologist). Thearchaeologist charged with protecting and monitoringthe archaeological resource across a county or planningauthority. In relation to highways schemes, their role isto advise on the significance of the archaeologicalresource, offer advice on fieldwork methodologies andmonitor the results of any fieldwork. In the devolvedadministrations the Welsh Trust and RegionalArchaeologists in Scotland undertake this role.

CPO – Compulsory Purchase Order.

CURATOR – the archaeologists charged withprotecting and monitoring the archaeological resource.In England this is usually the COUNTYARCHAEOLOGIST, or for national issues ENGLISHHERITAGE. In Scotland, HISTORIC SCOTLAND isalways the curator on trunk road schemes. In NorthernIreland the ENVIRONMENT AND HERITAGESERVICE acts as the curator, while in Wales Cadw actsas the curator on trunk road schemes, whilst on otherschemes this role is undertaken by the WelshArchaeological Trusts. The exact role of the curator inrelation to highways schemes varies across theDevolved Administrations, and more information is setout in Annex 8.

DB/DBFO – Design and Build/Design, Build, Financeand Operate; Form of contract; where a contractor orconsortium undertakes to build and maintain/operate aroad scheme commissioned by the OverseeingOrganisation.

A9/1


Annex 9Glossary

DESIGN ORGANISATION – the organisationcommissioned to undertake the various stages ofscheme preparation and supervision of construction.This includes specialist sub-consultants brought in toadvise on specific areas of ASSESSMENT andMITIGATION.

DESIGN ORGANISATION’S CONSULTANT – thespecialist sub-consultant employed by the DESIGNORGANISATION to provide advice on culturalheritage and produce a SCHEME BRIEF for recordingschemes where necessary; and monitor and reportprogress on all phases of such schemes including post-excavation analysis and the production of a report.

DESK-BASED ASSESSMENT – a data collection andanalysis exercise utilising existing sources of culturalheritage data (such as SITES and MONUMENTSRECORDS, Listed Building data, historic maps etc.).The purpose is to identify relevant known culturalheritage resources.

DMRB – Design Manual for Roads and Bridges.

EVALUATION – the process of identifying culturalheritage resources, including the initial studies andfieldwork carried out to assess the cultural heritagepotential and the effect of the SCHEME. Evaluationmay form part of the assessment process.

EXCAVATION – form of archaeological fieldworkgenerally employed as MITIGATION. Usually involvestopsoil stripping followed by detailed investigation,recording, analysis interpretation and publication ofarchaeological features or deposits.

FIELD SURVEY – fieldwork intended to provideadditional information about known or potentialcultural heritage resources, as part of theEVALUATION (assessment) process. It can includeFIELD WALKING, GEOPHYSICAL SURVEY andTRIAL TRENCHING. Field survey is distinct fromMITIGATION.

FIELD WALKING – a non-intrusive evaluationmethod involving a grid-based visual examination of,and artefact collection from, the surface of ploughedground, in order to identify areas of archaeologicalfinds.

A9/2

FORESEEABLE FINDS – discoveries of significantarchaeological material that occur in the MITIGATIONand/or construction phases which reasonably couldhave been predicted using professional judgement fromthe information provided by the DESIGNORGANISATION with the SCHEME BRIEF as part ofthe tender documents. The costs of these are likely to beborne by the contractor (see UNFORESEEABLEFINDS for definition for the alternative situation).

GEOPHYSICAL SURVEY – a non-intrusiveEVALUATION method employing remote sensingtechniques, which measure particular properties of theground. These include resistivity (electricalconduction), magnetometry (magnetic properties)ground-penetrating radar, metal detecting and others.

HISTORIC ENVIRONMENT RECORD – (HER)see SITES AND MONUMENTS RECORD.

HISTORIC SCOTLAND – the agency of the ScottishExecutive responsible to Scottish Ministers forsafeguarding the nation’s historic environment, andpromoting its understanding and enjoyment. Its role andresponsibilities are set out in Annex 8.

INSTITUTE OF FIELD ARCHAEOLOGISTS(IFA) – the IFA represents professional archaeologistsand promotes good practice amongst archaeologicalcontractors. IFA registered organisations are required toadhere to certain minimum standards of practice.

LIDAR – Light Detection and Ranging. A technique fordetecting slight morphological changes, and infavourable circumstances capable of locating buriedarchaeological features, palaeochannels etc. as well asproviding detailed photogrammetric records ofbuildings etc.

LISTED BUILDING – a statutory designationassigned to a built structure (not limited solely tobuildings) of special architectural or historic interest.

MITIGATION – archaeological work intended toreduce the impact of a scheme, agreed with theOVERSEEING ORGANISATION following theEVALUATION phase. Mitigation may involve,amongst others, avoiding or screening importantcultural heritage features, or burying or excavating andrecording archaeological material (seeARCHAEOLOGICAL RECORDING PROGRAMME).

August 2007


Annex 9Glossary

NATIONAL MONUMENTS RECORD (NMR) – anational record of cultural heritage sites, buildings,aerial photographs etc. held by English Heritage. TheNMR for Wales is held by the Royal Commission onthe Ancient and Historical Monuments for Wales(RCAHMW). See also SITES AND MONUMENTSRECORD.

NATIONAL TRUST (NT) – the National Trust acts asa guardian for the environment and heritage in England,Wales and Northern Ireland by the acquisition andprotection of threatened coastline, countryside andbuildings.

NORTHERN IRELAND ENVIRONMENT ANDHERITAGE SERVICE (EHS) – an agency of theNorthern Ireland Executive responsible for all aspectsof environmental protection, including cultural heritage.

OVERSEEING ORGANISATION – the Organisationresponsible for a scheme i.e. the Highways Agency (anExecutive Agency of the Department of theEnvironment, Transport and the Regions); theHighways Directorate of the National Assembly forWales; the Trunk Roads Divisions of the ScottishExecutive; or in Northern Ireland, Roads Service, anAgency of the Department for Regional Development.

POPULAR REPORT – a publication or presentationdesigned to present the results of an cultural heritageinvestigation simply for a lay audience in an attractiveformat.

REGISTER OF PARKS AND GARDENS OFHISTORIC INTEREST– a non-statutory designationused by ENGLISH HERITAGE to identify parks orgardens of particular historical value.

RESEARCH AGENDAS – in England these aredeveloped nationally by English Heritage, andregionally by various consortia, as a means ofprioritising cultural heritage research. The intention isto focus work on periods or processes, which are ofparticular national or regional interest. These may beused to inform scheme-specific scheme designs andresearch objectives.

August 2007

SCHEDULED MONUMENT – the designation by therespective Secretaries of State and Ministers advised bythe Department of Culture, Media and Sport andENGLISH HERITAGE in England, CADW in Wales,HISTORIC SCOTLAND in Scotland and theENVIRONMENT AND HERITAGE SERVICE inNorthern Ireland, of a site or area as worthy ofprotection under the terms of the Ancient Monumentsand Archaeological Areas Act 1979. ScheduledMonuments are of national importance.

SCHEDULED MONUMENT CLEARANCE (SMC)– as a government agency the Highways Agency inEngland, and the other national highways authorities inWales, Scotland and Northern Ireland, would apply forScheduled Monument Clearance for work affecting aSCHEDULED MONUMENT (for non-governmentdevelopment Scheduled Monument Consent isrequired). Scheduled Monument Clearance must beobtained from the respective Secretaries of State orMinisters, advised in England by the Department ofCulture, Media and Sport and ENGLISH HERITAGE,in Wales from CADW, in Northern Ireland from theENVIRONMENT AND HERITAGE SERVICE and inScotland from HISTORIC SCOTLAND, before anyworks can be carried out which may:

• result in the destruction or demolition of, orcause damage to any scheduled monument;

• involve removing or repairing a scheduledmonument or any part of it or making alterationsand additions thereto;

• any flooding or tipping operations on land in, onor under which there is a scheduled monument;

• entail any geophysical survey (including metaldetecting) in, on, or over the scheduled area.

SMC is not required for operations that would affect thesetting of Scheduled Monuments. Further informationis available in Section 2 of the Ancient Monuments andArchaeological Areas Act 1979.

SCHEME – an improvement to, or extension of, thetrunk road network.

SCHEME BRIEF – this defines the objectives of thecultural heritage Recording Programme and is the basisfor the SCHEME DESIGN produced by the culturalheritage contractor.

A9/3


Annex 9Glossary

SCHEME DESIGN – this is the equivalent of aspecification, and is produced by an cultural heritagecontractor to show how it is proposed to achieve theobjectives of the SCHEME BRIEF. It will includemethodologies, staffing, costs and timetable and formsthe basis of the tender bid. It may be up-dated over thecourse of the scheme to reflect any change to theoverall objectives (see UPDATED SCHEME DESIGN).

SETTING – the surroundings of an asset that arerelevant to its value, understanding or appreciation.

SITES & MONUMENTS RECORD (SMR) – alsoknown as HISTORIC ENVIRONMENT RECORD(HER) a database of cultural heritage resources. InEngland, each County/Unitary Authority maintains itsown SMR. Details from individual SMRs are fed intothe National Monuments Record (NMR), held byENGLISH HERITAGE. In Scotland the SMRs are therecords curated by, or on behalf of, Scottish LocalAuthorites. Contact details are available on PASTMAP.The National Monuments Record of Scotland (NMRS)is the national collection of material relating to thearchaeological and architectural heritage of Scotlandand is held by the Royal Commission on Ancient andHistorical Monuments of Scotland (RCAHMS). InWales the system is maintained by the four WelshArchaeological Trusts. In Northern Ireland, theENVIRONMENT AND HERITAGE SERVICE isresponsible for the Monuments and Buildings Record(MBR).

STRIP, MAP and SAMPLE (SMS) – SMS is amitigation technique. It is intended for use in areaswhere evaluation fieldwork is deemed unnecessarybecause archaeological remains are already known orare highly likely to occur. It is not intended as a ‘catch-all’ to avoid carrying out evaluation work, nor should itbe used in place of targeted excavation.

TIME DEPTH – the extent to which evidence of theprocesses of change over time survive and can be usedto construct a coherent understanding of pastlandscapes.

TOPSOIL STRIP MONITORING – (in Scotland) thearchaeological supervision of the contractor’s removalof topsoil, with agreed provision for means of removaland the time to be allowed for archaeologicalinvestigation of any features found during this process(see WATCHING BRIEF).

TRteccharc

UNcuSCUN

UNsigMdeintincDEARbadeOVFOsit

UPSCARAR

Wa s

WcoUNSCdowi

A9/4

IAL TRENCHING – intrusive FIELD SURVEYhnique intended to test for the presence or absence,aracter, survival, date and extent of potentialhaeological resources.

EXPECTED FINDS – discoveries of significantltural heritage assets, which were not identified in theHEME DESIGN. They may be eitherFORESEEABLE or FORESEEABLE (see below).

FORESEEABLE FINDS – discoveries ofnificant cultural heritage assets that occur in the

ITIGATION or construction phases of a SCHEMEspite the reasonable and professionally competenterpretation of all the documents and materials,luding the Scheme Brief, made available by theSIGN ORGANISATION to theCHAEOLOGICAL CONTRACTOR on which it

sed its SCHEME DESIGN and bid. The costs ofaling with these are likely to be borne by theERSEEING ORGANISATION (seeRESEEABLE FINDS definition for the alternative

uation).

DATED SCHEME DESIGN – the revisedHEME DESIGN that results from theCHAEOLOGICAL ASSESSMENT phase of anCHAEOLOGICAL RECORDING PROGRAMME.

ALKOVER SURVEY – an initial reconnaissance ofite or location.

ATCHING BRIEF – the monitoring of thenstruction by an archaeologist to identify and recordEXPECTED FINDS. It should be specified in theHEME DESIGN and included in the contractcuments together with a contingency sum to dealth any finds, which may be discovered.

August 2007


Y

Annex 10Bibliography

ANNEX 10 BIBLIOGRAPH

Andrews, G., Barrett, J. and Lewis, J., 2000:Interpretation not record: the practice of archaeologyin Antiquity 74

Barnwell, S. and Adams, T., 1994: The House Within:Interpreting Medieval Houses in Kent RCHME

Cadw, Countryside Council for Wales and ICOMOSUK: Register of Landscapes of Historic Interest inWales. Part 1 Historic parks and Gardens and Part 2Landscapes of Historic Interest in Wales

Cadw and Countryside Council for Wales 2003: Guideto Good Practice on Using the Register of Landscapesof Historic Interest in Wales in the Planning Process

Clark, J., Darlington, J., Fairclough, G., 2004: UsingHistoric landscape Characterisation EH andLancashire County Council

Clark, K., 2001: Informed Conservation:Understanding Historic Buildings and their landscapesfor conservation English Heritage

Cobham research consultants 1993: Historic LandscapeScheme

Cobham research consultants 1993: Historic Landscapestudies in EA EH HLP Pilot Study 4

Cole, L., 1998: What matters and why - EnvironmentalCapital: A New Approach in Conservation Bulletin,English Heritage

Cornwall Archaeological Unit.1994: HistoricLandscape Assessment: A methodological case study inCornwall Landscape Design Associates, CornwallArchaeological Unit

Countryside Agency 1999: Interim LandscapeCharacter Assessment Guidance/Countryside characterprogramme and character of England map CountrysideAgency and Scottish Natural Heritage

Countryside Agency 1999: Quality of Life Capital

Countryside Agency 1998-1989: CountrysideCharacter, character of the landscape on an area-by-area basis

August 2007

Cowell, R., Philpott, R., Adams, M., 2000: Prehistoric,Romano-British and Medieval settlement in lowlandnorth-west England: archaeological excavations alongthe A5300 road corridor in Merseyside

Darvill, T., Startin, W., 1993: Identifying and protectinghistoric landscapes in Antiquity 67

Darvill, T., Mathers, C., 1997: Heritage of Value,Archaeology of Renown: Reshaping ArchaeologicalAssessment and Significance Theoretical ArchaeologyGroup

Ebert, J., 1992: Distributional Archaeology Oxbow

English Heritage, 1991: Register of landscapes ofhistoric importance A consultation Paper EnglishHeritage

English Heritage, 1992: Monument Evaluation ManualPart III; Relict Cultural Landscapes English Heritage

English Heritage, 1995: Conserving the inheritance ofindustry English Heritage

English Heritage, 1995: Development in the HistoricEnvironment, an English Heritage Guide to policy,procedure and good practice. English Heritage

English Heritage, 1996: A Future for our past EnglishHeritage

English Heritage, 2000: Power of Place: HistoricEnvironment Review English Heritage

English Heritage, 2007: Management of ResearchProjects in the Historic Environment (MoRPHE)

Fairclough, G., 2001: Boundless Horizons inConservation Bulletin, English Heritage

Fairclough, G., 1994: New landscapes of conservationin Conservation Bulletin, English Heritage

Fairclough, G., 2000: Yesterday’s World in tomorrow’sLandscape English Heritage

Fairclough, G., Rippon S eds. 2002: Europe’s CulturalLandscape: archaeologists and the management ofchange. EAC Occasional Paper 2 English Heritage

A10/1


Annex 10Bibliography

Hey, G., Lacey, M., 2002: Evaluation of ArchaeologicalDecision making processes and sampling strategies,Oxford Archaeology and Kent County Council

Highways Agency, 2007: Assessing the Effects of RoadSchemes on Historic Landscape Character

Hunter, J., Ralston, I., 1993: Archaeological ResourceManagement in the UK Sutton

ICOMOS 1990: Guide to Recording Historic BuildingsButterworth Architecture ICOMOS

Institute of Field Archaeologists 1999: Standards andGuidance for Archaeological Desk based Assessments

Lambrick, G., 2002: The importance of the culturalheritage in a green world: towards the development oflandscape integrity assessment, in Archaeology and thegreen debate Macinnes and Wickham ed. OxbowMonograph 21

Lawson, A., 1993: The Assessment of Trunk RoadSchemes in Field Archaeologist 18

Lucas, P., 1991: Protected Landscapes: A guide forpolicymakers and planners Countryside Commission

Morris, R., 2000: The Archaeology of Buildings Tempus

National Trust, 1992: Archaeological and HistoricLandscape survey: Guideline for data collection andcompilation. National Trust

OAU 1991: Roads and the Cultural Heritage OxfordArchaeological Unit

Parnell, A.C., 1987: Building Legislation and HistoricBuildings, English Heritage and Architectural Press

Partidario, M., 1996: Strategic EnvironmentalAssessment: key issues emerging from recent practiseEIA Review 16(1)

Ralston, I., Thomas, R., 1993: EnvironmentalAssessment and Archaeology IFA Occasional Paper 5

RCHME 1991: Recording Historic Buildings RCHME

Rippon, S., 2004: Historic Landscape Analysis Councilfor British Archaeology

Roberts, B., Wrathmell, S., 2000: An Atlas of RuralSettlement in England, landscape characterisation byprovince Oxford University Press

A10/2

Schofield, J., 1998: Monuments of War EnglishHeritage

Stancic, L., Veljanovski, C., 2000: ComputingArchaeology for understanding the past CAA:Archaeological Predictive modelling for HighwayConstruction Planning CAA

Vyner, B., Robinson, P., Annis, R., Pickin, J., Bailey, R.[et al.] 2001: Stainmore: the archaeology of a NorthPennine pass: an archaeological survey of BowesMoor, Co. Durham, undertaken in conjunction with theimprovement of the A66 trans-Pennine trunk road

Wood, G., 2000: Is what you see what you get? Post-development auditing of methods used for predictingthe zone of visual influence in EIA. EIA Review 20(5)

August 2007