General information

On this page the main elements of historic environment work, as they relate to the planning process, are described. These elements, normally phase 2 of the MoRPHE management model, consist of both desk-based and field-based projects set in a context of the underlying principles of both preservation by record and contract archaeology.

There are many types of historic environment work and it is essential that each of these is clearly defined.

Below are outlined the fundamental aspects of fieldwork and historic building recording. It is, by necessity, a summary of the variety of activities. Large projects may include a number of these tasks in combination and may run over several years.

With a view to saving resources, consideration should be given to combining evaluation with site investigations undertaken by architects, structural engineers and others as part of normal site analysis. Archaeologists may observe soil test pits or be given access to stratigraphical data.

Pre-application and pre-determination

NPPF requires applicants to provide enough information to the local planning authorities in their planning application about the significance of any historic assets that are affected during the proposed development. The level of detail should be proportionate to the importance of the heritage asset. As a minimum the Lincolnshire Historic Environment Record should have been consulted and the heritage assets should have been assessed using appropriate expertise.

We would advise that developers or their agents should speak to the archaeological advisor to ensure that the most appropriate pre-planning evaluation work is undertaken.

Where an application could potentially have archaeological interest local planning authorities may require developers to submit a desk-based assessment and, if appropriate, a field evaluation.

Appraisal

It is the role of the planning archaeologist to advise the local planning authority to assess development proposals for any archaeological implications. Every application for planning permission is subject to a site-specific appraisal to determine whether further information is required. There are two types of appraisal: a simple appraisal is a rapid scan of the planning application to assess its potential for archaeological implications; a detailed appraisal involves checking the details of the application against known information, in most circumstances, the Historic Environment Record.

Desk-based assessment

Desk-based assessment consists of thorough research of all existing information from available sources, some of which are listed here. Normally no fieldwork is undertaken although it is good practice to visit the site and do a walk-over survey. View the CIfA Standard and Guidance for historic environment desk-based assessment.

Building appraisal, assessment and, or statement of significance

In order to determine any application to alter, demolish or convert a historic building it is reasonable to expect sufficient information in order to understand fully the impacts and implications of any proposals made on that building.

The result should guide decisions about material change to a significant place and impacts on its character. Often these might be written as stand-alone documents to advise local authority or government agency professionals or may be produced in conjunction with a Heritage Impact Assessment which establishes the impact of specific proposals on the special interest of an historic building and its landscape, identifying ways of mitigating such impacts. These should always involve liaison with appropriate conservation professionals’ dependant on the context requirement for such Statements. 

Evaluation (pre-determination)

Evaluation can consist of non-intrusive and intrusive field evaluation techniques and commonly a mix of the two in order to gather enough information to understand a site’s archaeological potential. The CIfA Standards and Guidance for archaeological field evaluation is available here.

Non-intrusive field work (pre-determination)

Non-intrusive field work is often done after a desk-based assessment in order to gather further information about a site. It can take a number of formats but usually most non-intrusive fieldwork will either be fieldwalking, geophysical survey, lidar, topographical survey or a metal detecting survey. Not all of these will usually be employed at the same time; often it will be just one or two that will be used.

Intrusive Field work (pre-determination)

If the non-intrusive evaluation techniques suggest a high potential for archaeology but do not provide enough information about form, significance or rarity it may be necessary to carry out an archaeological field evaluation prior to the determination of the planning application. Such work may also be undertaken as part of an environmental assessment and to satisfy the Scheduled Monument Consent requirements of the Secretary of State for Culture Media and Sport. The emphasis will be on evaluating the likely impact of development upon the identified archaeological remains.

Post-determination work, secured by condition

The combined information collected as a result of the above procedures will enable the local planning authority to decide on an appropriate level of mitigation. The local planning authority will often expect the results of such work to be presented, for its approval, in the form of a mitigation strategy. Such a strategy will consider the impact of the development upon the archaeological resource and provide measures to maximise preservation in situ. The mitigation measures may include some level of preservation by record however, mitigation measures must result from careful consideration of the likely impact of the development upon all facets of the archaeological resource including structural, artefactual and environmental materials.

Where a site has a perceived archaeological potential, or where the mitigation strategy suggest some level of recording other that excavation is necessary, a Monitoring and Recording exercise may be appropriate. In the case of historic buildings a formal recording exercise may be required or a topographic survey in an area of earthworks. This work would normally be made a requirement of any planning application through a condition.

Scheme of works (post-determination)

When a request for a scheme of works is made it could potentially mean a variety of different works. The exact type of work that is required by use of this wording should always be confirmed by the relevant archaeological advisor. Early engagement with the appropriate archaeological advisor is recommended to ensure all parties no the scope of required works. If there is any doubt please contact the appropriate officer.

It is normal practice for the planning condition to require the submission of a Written Scheme of Investigation for formal approval, allowing the relevant condition to be discharged.  

Where a planning condition requires monitoring and recording the appointed archaeologist must watch all groundworks on a site in order to record any archaeological remains which may be disturbed. Allowances should also be made to allow the archaeologist sufficient time to record any archaeological finds and features on site.

A topsoil Strip, Map and Record process is a rapid assessment which determines the presence or absence of archaeological remains, usually across large areas. This entails the archaeological monitoring of controlled machine stripping of the soil until the archaeological horizon is reached, or as defined in the archaeological Written Scheme of Investigation and agreed with the relevant archaeological advisor. Any archaeological features are then recorded in plan and sampled by partial excavation in order to determine their date, function and importance. Dependant on the results this may be immediately followed by targeted archaeological monitoring.

Building recording

The archaeological recording of architectural structures has become increasingly valuable. NPFF recognises the positive contribution of such heritage assets to local character and that sense of place is recognised and valued. It also recognises that keeping heritage assets in use avoids the consumption of building materials and energy and the generation of waste from the construction of replacement buildings. This increases the importance placed upon the recording of architectural fabric under threat of alteration or demolition. The CIfA Standard and Guidance for the archaeological investigation and recording of standing buildings or structures states is available here.

Building recording can take many forms dependant on the needs of the particular structure. This can be as simple as a photographic record to a full hand-surveyed brick by brick recording. In preparing the Writtens Scheme of Investigation please refer to the Historic England guidance on building recording levels and liaise with the relevant archaeological advisor.

Topographic Survey

Topographic survey will be used when a site has earthwork features that need to be recorded before they are destroyed or affected by development.

Excavation or preservation by record

Where preservation in situ is not possible full-scale archaeological excavation will be required prior to the development commencing. This requirement is normally secured by a pre-commencement planning condition and follows a formal approval a Written Scheme of Investigation. Early engagement with both the local planning authority and their archaeological advisor is highly recommended in order to avoid any delays or unnecessary costs as the development progresses. View the CIfA Standard and Guidance for archaeological excavation.

Environmental sampling

Environmental sampling is part of the process of recognising and recovering archaeological materials and information from the site. A suitable sampling strategy should be formed for every evaluation. This should be dependent on;

1. The identified research aims (as defined in the Written Scheme of Investigation)
2. The likely presence of particular environmental remains

Sampling should not be confined to features which can be dated in the field, but also to features which are essentially undated during their excavation. The environmental information may be such that it can date these features. It also can help to ensure that the maximum information can be gleaned from evaluations and excavations.