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ARCHAEOLOGY IN THE PLANNING PROCESS

These guidelines outline a sequence of steps for the identification, evaluation, preservation and recording of archaeological remains that may occur in areas subject to a planning application.

They are intended to clarify and simplify the interaction of archaeology within the planning process for the benefit of planning officers and archaeologists working in development control on West Yorkshire's Historic Environmental Record (HER), and to act as an individual aide-memoire for the officers concerned.

The only protection that many archaeological sites possess is through the planning process. Local authority planning officers, acting within the framework set by central government, are the key to the survival of West Yorkshire's archaeological resource.

Abbreviations used in the text

    PPG15 - Planning Policy Guidance Note 15: Planning and the Historic Environment (DoE. 1994)

    PPG16 - Planning Policy Guidance Note 16: Archaeology and Planning (DoE. 1990)

    HER - Historic Environment Record, held and maintained by the West Yorkshire Archaeology Advisory Service (WYAAS). Abbreviation used to include the staff providing advice to the Planning Authority.

The Guidelines

Step 1:
The applicant, or applicant's agent, is encouraged to consult the HER held by WYAAS at the pre-planning application stage, particularly if archaeological implications are suspected or if an Environmental Impact Assessment is to be submitted.

or/

The Planning Authority may consult the HER in order to establish whether a particular application or pre-application enquiry has any archaeological implications.

or/

The HER will request consultation on a particular planning application from a Planning Authority if they consider there may be archaeological implications. These planning applications are identified by the HER from the new plans lists produced by each of the Metropolitan Districts and sent to the WYAAS.

Step 2:
The HER will identify whether there are any known or potential archaeological implications to the application.

Step 3:
If there are no known or potential archaeological implications the Planning Authority or intending developer is informed to this effect.

Step 4:
If the development is likely to affect a Scheduled Ancient Monument or its setting, then the applicant should be advised of the need to apply to the Secretary of State, through English Heritage, for Scheduled Monument Consent. Scheduled Ancient Monuments and their settings are protected by the Ancient Monuments and Archaeological Areas Act, 1979. The Planning Authority should also seek the advice of English Heritage regarding the application (as per the General Development Order).

Step 5:
If the proposed development is within an area of high archaeological potential, the HER may recommend to the Planning Authority that the applicant be requested, and if necessary required, to supply such additional archaeological information as is necessary to enable the Planning Authority to consider fully the archaeological implications of the application. This information is usually gathered by means of a limited desk-based assessment and/or field evaluation. The results of the evaluation should be made available to the Planning Authority prior to determination of the application. Normally the HER will write a detailed specification for the evaluation, which will be supplied to the applicant with a list of possible archaeological contractors who could undertake the work. To enable the HER to monitor the fieldwork, they should be notified at least two weeks in advance, in writing, of the date the evaluation is to be carried out with details of the site contact and access arrangements.

Step 6:
The evaluation is undertaken, the work monitored by the HER, and a report prepared by the archaeological contractor and submitted by the applicant to the Planning Authority.

Step 7:
Where the proposed development is likely to affect an area of known archaeological importance or important archaeological remains revealed by an evaluation (see Step 5), the HER may recommend an appropriate archaeological response to the Planning Authority. The recommendations will normally take the following forms, either singly or in combination, when relevant, with reasons why a particular course of action is being recommended.

  • Refusal of the planning application (rarely).
  • That the proposed development should be amended to remove or lessen the impact on the archaeological remains.
  • That a site of archaeological concern should be fenced or marked to avoid disturbance during the course of development.
  • That archaeological excavations should be carried out in advance of the proposed development.
  • That, particularly in the case of buildings or other above ground structures, a photographic and/or drawn record should be made in advance of proposed works. (See PPG15 para 3.23 and 3.24).
  • That a watching brief should be maintained during the course of development in order to record archaeological remains, uncovered during groundworks or structural renovation.

Step 8:
In the event of the application being approved, the Planning Authority should satisfy itself that appropriate provision has been secured to deal with the archaeological implications. This may take the form of a suitably worded condition (such as the suggested model condition in PPGI6 para. 30), or perhaps a Section 106 Agreement or Planning Obligation.

Step 9:
The HER will provide a detailed specification, on request, for any work required following the granting of planning permission. The applicant must engage an archaeological contractor to carry out the required work. The HER will inform the Planning Authority of the name of the archaeological contractor retained by the developer.

Step 10:
The applicant will supply completed reports, on any archaeological work undertaken, to the Planning Authority and to WYAAS for inclusion in the HER (a publicly accessible archive). This should occur within a time-scale of, typically, two to three weeks for a summary evaluation report or watching brief, and within six to nine months for a larger scale excavation.

It is the responsibility of the archaeological contractor to attempt to obtain the consent of the landowner in writing for the deposition of the excavation archive (records and finds) with the appropriate District museum. Copies of the archive report will be deposited in the HER. Finds, other than those defined as Treasure under the Treasure Act, 1996, belong to the landowner under English common law. However, the West Yorkshire Finds Liaison Officer (based within the HER) should be officially notified of any object that may be classed as Treasure (and will be glad to advise on this subject) to help ensure that correct procedures are followed in accordance with the law.

N.B. Occasionally archaeological remains are discovered during the course of development. Where there has been no provision for an archaeological presence, this occurrence should be reported to the Planning Authority who should then consult with the WYAAS.

 
 

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