WEST of SCOTLAND
ARCHAEOLOGYSERVICEWest of Scotland Archaeology Service
Procedural Guidance for Archaeology and Development

Contents

Page

1

Introduction

1

2

The Purpose of the Procedural Guidance

3

3

National Policy for Archaeology

44

The West of Scotland Sites and Monuments Record

6

5

The Archaeological Development Management Process:
Pre-Application and Application Consideration Stages

7

6

The Archaeological Development Management Process:Post-Consent Stage

13

Bibliography, Contacts, and Online Sources

20

Annex A Standard Planning Conditions for Archaeology

23

Annex B Standard Conditions for Archaeological Fieldwork

25

1

Introduction

1.1

Archaeological remains are a finite environmental resource, which cannot beregenerated once destroyed. There is also considerable public interest inarchaeological sites and in the archaeological process (excavation) by whichevidence of the past is discovered. National planning policy (Scottish Planning
Policy (SPP) 23) states that“government policy is to protect and preserve non-designated, other historic
environment interests, in situ wherever feasible and, as such, they are material
considerations in the planning process. Where, in the case of archaeological sites,
this proves impossible, planning authorities should ensure that procedures are inplace in order that appropriate excavation, recording, analysis, publication andarchiving is undertaken before and/or during development”.

1.2

To meet the requirements of this national policy local authorities in Scotland
ensure that their Local Development Plans contain appropriate archaeologicalpolicies to protect archaeological sites, and they also ensure through the processof considering planning applications that archaeological remains are appropriately
considered, taking advice from their own in-house, or specially retained,
professional archaeologists as required. These advisers are known as local
authority archaeological curators.

1.3

Eleven local authorities together fund the West of Scotland Archaeology Service(WoSAS), a joint archaeological curatorial service providing archaeologicaladvice within the planning process to its Member Councils. The eleven member
Councils of WoSAS are as follows:
Argyll & Bute Council
East Ayrshire Council
East Renfrewshire Council
Glasgow City Council
Inverclyde Council
North Ayrshire Council
Renfrewshire Council
South Ayrshire Council
South Lanarkshire Council
West Dunbartonshire Council
West Lothian Council.
An elected member from each Council serves on the West of Scotland
Archaeology Service Joint Committee, which was set up under Minute ofAgreement in accordance with Sections 56 and 57 of the Local Government(Scotland) Act 1973. The Member Councils have agreed to protect and further
their respective planning-related archaeological interests, to further co-operationin the protection and monitoring of the archaeological resource, and to strive for1uniform compliance with the requirements of all relevant legislation and Central
Government guidance (West of Scotland Archaeology Service Minute ofAgreement, Clause 3, 13 March 1997).
1.4

WoSAS provides advice to its Member Councils under the terms of a Committee
approved Service Level Agreement, reporting to a Steering Group of SeniorPlanning Officers, and also to the Joint Committee of elected representatives.

1.5

At its meeting on 3 April 2009 the West of Scotland Archaeology Service Joint
Committee approved the West of Scotland Archaeology Service Procedural
Guidance for Archaeology and Development for general application across the 11
WoSAS Member Councils.

2

2

The Purpose of the Procedural Guidance

2.1

The Member Councils’ Local Development Plans establish the basis for efficientand consistent decision-making in respect of development proposals. This
Procedural Guidance provides additional detailed information on the standard
procedures adopted by all of the WoSAS Member Councils to handle applications
for planning consent which have been identified as raising archaeological issues.
It sets out the range of processes which may be followed by the Member Councils
for assessing and determining such applications; for controlling archaeologicalwork when consent has been granted with archaeological conditions; and the roleof WoSAS in advising the Member Councils throughout the development
management process. The Procedural Guidance has been produced primarily toassist applicants, their agents, prospective developers, and the public in
understanding the different stages of the archaeology and development process.

2.2

This Procedural Guidance is applicable to all archaeological sites and landscapes
both above and below ground; unlisted historic buildings or other built structures;designed gardens, cemeteries, or landscapes; battlefield or skirmish sites; and sites
with historical or cultural associations. It contains specific information ondifferent archaeological and planning responses which may arise during thedevelopment management process. It•emphasises the need for a high level of specialist understanding in assessing
the archaeological potential of any development site, thereby minimising therisk of unexpected discoveries and reducing associated costs•

gives guidance to applicants and developers on the likely archaeologicalworks that will be expected of them in the light of accumulated archaeologicalinformation throughout the area of the WoSAS Member Councils•

assists applicants, developers, property owners, their agents and advisers bysetting out and explaining the procedures which the WoSAS Member
Councils expect to be followed•

promotes archaeological remains as a positive contributor to the economic
well being of the area of the WoSAS Member Councils.

33National Policy for Archaeology
Scheduled Monuments

3.1

Monuments, which are deemed to be of national significance, are Scheduled
under the Ancient Monuments and Archaeological Areas Act 1979. Under thisAct, the First Minister has a duty to maintain a Schedule of Ancient Monumentsin accordance with a published set of criteria (for information on the criteria see
Historic Scotland Scottish Historic Environment Policy (SHEP) October 2008). It
is a criminal offence to carry out works affecting a Scheduled Monument without
first obtaining prior written consent, known as Scheduled Monument Consent,from the Scottish Ministers. Scheduled Monuments are administered by Historic
Scotland on behalf of the Scottish Ministers and information on the locations andextents of Scheduled Monuments may be found on the Scottish Ministers’
Pastmap web site at: http://jura.rcahms.gov.uk/PASTMAP/start.jsp

3.2

Where both Scheduled Monument Consent and planning consent are required fora proposed development, the former consent procedure takes precedence. Even
where planning consent has been granted for a development, a refusal of
Scheduled Monument Consent means that development on a Scheduled
Monument cannot legally take place. Where both Scheduled Monument Consent
and planning consent have been granted for a proposed development, butarchaeological work is required before development can proceed, this will becovered by conditions attached to the Scheduled Monument Consent issued by the
Scottish Ministers. The conditions are not normally duplicated in any conditions
attached to the planning consent. The implementation of conditions attached to
Scheduled Monument Consent is administered by Historic Scotland (for further
details about Scheduled Monument Consent procedures see Historic Scotland
SHEP October 2008).

3.3

Where a proposed development will affect a Scheduled Monument local
authorities must consult Historic Scotland. The requirement for Historic Scotland
consultation is set out in Para 15 (j) (v) of the Town and Country Planning(General Development Procedure) (Scotland) Order 1992 as amended by Para 5(e) of the Town and Country Planning (General Development Procedure)(Scotland) Amendment (No.2) Order 1994, and as set out in the notification
requirements of the Town and Country Planning (Notification of Applications)(Scotland) Direction 1997. A consultation is required not only in cases where
there would be development within a Scheduled area, but also where any
proposed development might affect the setting of a Scheduled Monument. It isconsidered particularly important that the integrity of the settings of Scheduled
Monuments be safeguarded. As developments which create setting impacts arenormally located outside the legally Scheduled area, it falls to the local authorities
under their planning powers to assess and determine setting impacts.

4

3.4

Developers are advised to undertake early consultation with Historic Scotland
where a Scheduled site is involved. It should also be noted that not all nationally
important remains which merit Scheduling are yet Scheduled, and, as new sites
continue to be identified, further sites may prove worthy of Scheduling in the
future.
Unscheduled Archaeology

3.5

Scheduled Ancient Monuments represent only a small proportion of the nationalarchaeological resource and there are many archaeological sites, landscapes,
features, and deposits which do not meet the criteria for national importance, butwhich are considered instead to be of regional or local significance. The West of
Scotland Sites and Monuments Record, which covers all of the area of the eleven
WoSAS Member Councils, includes up to date information on known
archaeological sites, finds, and events (see section 4 below). WoSAS also has
extensive knowledge and experience of assessing and predicting where
unrecorded, buried archaeological features may be expected to be found.

3.6

Modern construction methods can mean the total or extensive removal of sensitivearchaeological deposits and features which, once lost, are irretrievable. National
policy for unscheduled archaeology is set out in Historic Scotland SHEP October
2008 and in SPP 23. The principle of the policy is that the archaeological resource
should be preserved as far as possible in the state in which it has come down tous, and should be passed on to future generations without further change or loss ofevidence. Conservation should involve only the minimum degree of intervention
considered necessary to preserve evidence. There are now well-establishedstrategies to ensure that important archaeological assets are not unnecessarily
destroyed in the course of development and these are outlined in this guidance.

3.7

Unscheduled archaeology has no legal protection at a national level. It is protected
instead through the planning system and also through various other regulatory
systems connected to agriculture, forestry, and some statutory undertakings. SPP
23 establishes that the national policy for unscheduled archaeological resources is
as follows:•archaeological resources are to be protected and preserve wherever feasible•

archaeology, along with other historic environment interests, are material
considerations in the planning process•

where the case for preservation of archaeological sites proves impossible,
planning authorities are to ensure that procedures are in place in order thatappropriate excavation, recording, analysis, publication and archiving isundertaken before and/or during development.

5

4

The West of Scotland Sites and Monuments Record

4.1

As part of the advice service provided under the Service Level Agreement to its
Member Councils, WoSAS maintains a single, computerised, integrated Sites andMonuments Record (SMR) covering the full area of all Member Councils.
Potential planning applicants are encouraged to approach WoSAS at an earlystage in planning their projects to obtain SMR information and to discuss
potential archaeological issues.

4.2

The SMR includes a database, archive, and other geographical information of all
known archaeological sites and other sites of historic interest, and also of recent
archaeological events, such as excavation. The SMR is kept regularly up to datewith any new information as it is received by WoSAS. The SMR can be consulted
online as follows:
http://gis.south-ayrshire.gov.uk/wosas/
http://www.wosas.net/search.php
http://jura.rcahms.gov.uk/PASTMAP/start.jsp(map enabled search)(online database search)(map enabled search)

4.3

Pastmap is the Scottish Ministers’ map enabled query system for Scottish
National and Regional Archaeological and Architectural Datasets, including the
Scheduled Monument dataset. WoSAS’s own map enabled online SMR search isavailable via South Ayrshire Council’s web site and is the WoSAS recommended
online source, as it normally gives access to the most up to date information. At
present WoSAS updates this web site on a monthly basis.

4.4

These online searches are provided for public information purposes only. They
are not suitable for drawing up planning, utility, rural development, or forestry
applications without the benefit of specialist archaeological advice. SMR
information is subject to regular change and only contains information known at
any given point of time. Areas of archaeological potential, where there may beburied archaeology, are difficult to map, but may nonetheless contain verysignificant archaeological remains. Anyone planning a development ormanagement project should always consult WoSAS directly for its advice, inparticular in respect of areas of buried archaeological potential where noarchaeological sites are currently recorded. Anyone requiring map information
about Scheduled Ancient Monuments is advised to consult Historic Scotland
directly for this.

4.5

As well as making online searches available, WoSAS can supply SMR data either
digitally, or as paper copies, as required. A charge may be levied for the time
taken to provide advice and/or SMR extracts in accordance with the WoSAS
approved Access to Information and Charging Policy (see http://www.wosas.net
for the policy).

6

5

The Archaeological Development Management Process: Pre-Application andApplication Consideration Stages

5.1

The archaeological development management (formerly known as development
control) process is set out in detail in the Scottish Government’s Planning Advice
Note (PAN) 42. The Scottish Government has no plans at present to update thisPAN. The sections below set out the process followed by the WoSAS Member
Councils in assessing and determining development applications which may
affect archaeological resources. It is based on the national advice provided in
PAN 42.
Pre-application consultation

5.2

PAN 42 makes clear that it is the responsibility of planning applicants to assess
the potential archaeological impacts of their development proposals. It is strongly
recommended that applicants seek early advice from WoSAS, before considering
the submission of a planning, or where appropriate, a listed building application.
Such pre-application consultations and discussions can identify potential
archaeological issues at an early stage, thereby ensuring the smooth processing ofa planning application by the Member Council, minimising unnecessary andcostly delays for the applicant. Member Councils may also seek to include theassessment of archaeological matters in Processing Agreements for the handlingof major development applications.
Initial appraisal

5.3

WoSAS makes an initial appraisal of development proposals, when preapplication enquiries are received, or when planning applications are lodged. Thisinitial appraisal includes an assessment of both direct and setting impacts. Weekly
lists of planning applications supplied by Member Councils are routinely scannedby WoSAS to identify applications which may raise archaeological issues,
whether currently known or potential. In addition WoSAS provides Member
Councils with regularly updated archaeological consultation trigger maps, whichallow them at an early stage to identify potential issues involving known
archaeological sites. These trigger maps do not routinely identify areas ofarchaeological potential, because of the difficulties of mapping these, hence whymonitoring by WoSAS of the weekly list of planning applications also takes
place.

5.4

As noted in Section 4 above, at a pre-application enquiry stage WoSAS will on
request provide the applicant with extracts of archaeological information from the
SMR where this has not been obtained online; appropriate advice on thesignificance of the information; advice on the potential for the presence of
unrecorded, buried archaeology; and full details of further assessment work whichshould be undertaken by the applicant prior to submission of an application forplanning or listed building consent. This may include the need for archaeological7

evaluation by trial trenching (see section 5.19 below). If there is no contact froman applicant at a pre-application enquiry stage, WoSAS will provide thisinformation and advice to the Member Council’s development management staff
after a planning application has been submitted, along with recommendations to
the Council for handling the archaeological issue. If further archaeologicalassessment work (including trial trenching) requires to be undertaken by theapplicant before the Member Council decides the application and the applicant
has not already done this, this will introduce a delay in the processing of theapplication, whilst this work takes place. Planning applicants should note that theCouncil can legally require that such further information be submitted to it, before
it processes the application (see Planning Advice Note 42, paragraph 21).
Procedure for Scheduled Ancient Monuments
5.5

Where a planning application directly affects a Scheduled Ancient Monument, theCouncil will consult Historic Scotland. Scheduled Monument Consent may berequired, as well as planning consent. Where a planning application affects thesetting of a Scheduled Ancient Monument, the Council is also required to consult
Historic Scotland (see Section 3 above).
Environmental Impact Assessment

5.6

Where a proposed development requires a formal Environmental Impact
Assessment, it is normal practice for such an assessment to include a section on
predicted impacts on Cultural Heritage, both direct and indirect (that is setting
issues), unless this matter has been specifically excluded by the Member Council
at the scoping stage as not being relevant following advice from WoSAS. The
Cultural Heritage section will normally include an assessment of archaeologicalsites and landscapes both above and below ground; historic buildings or otherbuilt structures, whether listed or not; designed gardens, cemeteries or landscapes;
battlefield or skirmish sites; and sites with historical or cultural associations.

5.7

The submitted archaeological assessment will include references to the relevant
Local Development Plan archaeological planning policies, a gazetteer and mapsof all identified archaeological and historic features, an assessment of thesignificance of predicted impacts, and recommendations for appropriate
mitigation. Preparation of the relevant section of the Environmental Statement isusually preceded by an archaeological desk-based assessment (see Section 5.10
below) and a field reconnaissance survey (see Section 5.14 below). In some cases
an archaeological evaluation by trial trenching (see Section 5.19 below) may also
be required at the Environmental Impact Assessment stage.

5.8

Where nationally important archaeological sites would be affected by the
proposed development, whether or not they are currently Scheduled, it is normal
practice for the Cultural Heritage assessment of the Environmental Statement toinclude an assessment of the significance of the predicted impacts on the setting

8

of such sites. There is as yet no published national guidance for this assessment
procedure. Historic Scotland, as a statutory consultee in the Environmental
Assessment process, normally issues on a case by case basis its own guidance inrespect of the expected scope of a setting assessment in relation to a Scheduled
Monument. Where archaeological sites of national significance, but which are notcurrently scheduled, would be affected, WoSAS on behalf of the Member Council
will issue on a case by case basis guidance on the scope of the required setting
assessment. The WoSAS guidance will normally specify that a landscapearchitect, as well as a professional archaeological consultant, should be involvedin formulating the necessary setting assessment, and that there will be arequirement for visual representations of predicted impacts in the form either ofwireframes, or in some case photo-montages.
5.9

In cases where no formal Environmental Impact Assessment is required in respectof a planning application, but there is still a potential setting impact for anationally important archaeological site, whether Scheduled or not, WoSAS may
recommend to the Member Council that the applicant be asked to provide anappropriate assessment undertaken by a landscape architect and professionalarchaeological consultant, before the Council considers the application.
Archaeological desk-based assessment (DBA)

5.10

Where initial appraisal suggests that the proposed development may havearchaeological potential, WoSAS may request that an archaeological desk-based
assessment (DBA) is carried out by the applicant. This will happen where
WoSAS considers that there is insufficient desk-based information available in
the SMR and more information could be obtained from readily available
documentary sources.

5.11

In general such a study will consist of a check of all relevant archaeological/
historical records, maps and aerial photographs. The following sources should bechecked as a minimum:
•
•
•
•
•
•
•
•

•
•

the Sites and Monuments Record (SMR)
the National Monuments Record of Scotland (NMRS)Historic Scotland’s (HS) databases of listed buildings, Scheduled Ancient
Monuments and monuments proposed for scheduling.
Historic Land Use Assessment Data for Scotland
the Inventory of Gardens and Designed Landscapes in Scotland.
relevant Development Plan policies.
vertical stereo aerial photographic coverage held by the RCAHMS
Ordnance Survey map coverage from 1850 onwards, and any other readily
available early cartographic sources held at the National Library of Scotland
Map Library. Many of these are online at http://www.nls.uk/maps/index.html
bibliographic references and early parish accounts.
locally held archives where appropriate

9•previous geotechnical records, where appropriate and available, such asengineering boreholes and test pits.

5.12

Archaeological agents working for prospective developers should note that it is
not sufficient to rely on online databases to obtain information for DBAs, as theinformation is subject to regular change and areas of archaeological potential are
difficult to map. Contact should be made with the SMR, Historic Scotland, and/or
the RCAHMS as appropriate to ensure that the most up to date information is
being used.

5.13

In all cases, DBAs must be carried out by professionally qualified andexperienced archaeologists, with expertise in the collection and analysis of
information from documentary sources. All DBAs must be undertaken inaccordance with established guidelines and best practice, as set out by theInstitute for Archaeologists in the Standard and Guidance for archaeological deskbased Assessment (IFA, 1994, revised 2001 and 2008).
Field Reconnaissance Survey (also known as a Walk Over Survey)

5.14

For some development proposals WoSAS may require a walk over survey by aprofessionally qualified and experienced archaeologist(s) in addition to a DBA.
The purpose of the field reconnaissance survey is to identify and assess on the
ground features of cultural heritage interest which have been detected in the DBA;
to record any further features of cultural heritage interest not already identified in
documentary sources; and to identify areas of potential for buried archaeology.
Field reconnaissance is particularly required where larger scale developments areproposed in rural areas, where there has been little prior archaeological survey. It
is important that a field reconnaissance survey be conducted across the whole areaof the proposed development, in order to assess the presence/absence, character,extent, and condition of all upstanding cultural heritage sites, monuments andlandscape features and the potential for buried archaeology. It is also importantthat such a survey is conducted at an appropriate time of the year in areas where
cultural heritage features could be obscured by bracken overgrowth. An
allowance of an appropriate timescale for the field reconnaissance survey to takeplace may therefore need to be integrated into forward planning for proposeddevelopment projects. ‘Cultural heritage features’ in this context means individualarchaeological sites above and below ground; historic buildings or other built
structures, whether listed or not; designed gardens, cemeteries or landscapes;
battlefield or skirmish sites; and sites with historical or cultural associations.

5.15

All individual features identified in the field reconnaissance survey should berecorded, photographed and sketched. All features should be marked on a plan, at
a relevant scale, keyed by means of Grid References to Ordnance Survey
mapping. All individual features should also be described in a gazetteer toaccompany plan/maps.

10

5.16

Occasionally WoSAS may specify that there should be a formal field walking
survey of ploughed fields to identify the presence of flints and other finds, which
can frequently be an identifier for the presence of an unrecorded, buriedarchaeological site. An allowance of an appropriate timescale for the fieldreconnaissance survey to take place may need to be integrated into the forward
planning for proposed development projects, especially in rural areas where thisfield walk survey may need to be tied to ploughing seasons.

5.17

In all cases, field reconnaissance surveys must be carried out by professionallyqualified and experienced archaeologists, with expertise in this type of work.
Geophysical Prospection

5.18

Geophysical prospection is a recognised archaeological method for predicting thepresence or absence of archaeological remains, but the various techniques do not
produce good results in the igneous rocks and parent materials of the west of
Scotland. This type of archaeological prospection will therefore rarely be
specified by WoSAS as a suitable prediction tool to assess the archaeologicalimpacts of prospective development. In all cases where an applicant has opted
voluntarily to carry out a geoprospective survey, he will be asked by WoSAS tocarry out a sample trial trench evaluation (see section 5.19 below) to validate thegeophysical results.
Archaeological Evaluation

5.19

An archaeological field evaluation by sample trial trenching may berecommended by WoSAS at either a pre-application stage where an approach has
been made to WoSAS for advice by a prospective developer or his agent; prior todetermination of a planning application by the Member Council where there has
not been a pre-application approach to WoSAS; or in some cases it may berequired as part of an archaeological mitigation strategy, after conditional
planning consent has been granted, but where no prior evaluation has taken place.
Evaluations are typically requested by WoSAS for large greenfield developments,
even where there is no surface evidence for the presence of archaeologicalremains. By their nature archaeological remains normally exist at a non-visible,
sub-surface level, and the larger the development footprint, the greater the
possibility of encountering such buried remains. Evaluations will sometimes also
be required for smaller development sites in archaeologically sensitive areas
identified by WoSAS, where there is a high probability of encountering buriedarchaeological remains. WoSAS can provide advice on a case by case basis on theprobability of there being such buried remains.

5.20

An evaluation is an invasive examination of the prospective development area toestablish the presence/absence, extent, character, and significance of its
archaeological potential. An evaluation is distinct from a full-scale archaeologicalexcavation, in that only sufficient archaeological examination is carried out to11characterise any archaeology which may be present. It is usually therefore a fairly
inexpensive operation, when compared with full-scale excavation. Typically
WoSAS will specify that a 5-10% sample of the development area be trial
trenched, although this size of sample may increase in certain highly sensitive
areas. In small scale urban sites a percentage level of trenching may beinappropriate and WoSAS may instead specify trenches of a specific size andlayout to characterise the archaeological potential of the site.
5.21

All evaluation will normally be monitored by WoSAS on behalf of the Member
Council. Sufficient notice of the commencement of the evaluation requires to beprovided to WoSAS, along with the name of the archaeological organisation
which will be carrying out the evaluation. Typically two weeks notice is required.

5.22

In all cases, field evaluations must be carried out by professionally qualified andexperienced archaeological organisations or individuals. The work will be
expected to conform to national standards as set out by the Institute forArchaeologists in Standards and Guidance for archaeological field evaluation(IFA, 1994, revised 2001 and 2008).
Determination of Applications

5.23

5.24

On receipt of the results of a field evaluation or the results of any otherassessment from an applicant’s own archaeological consultant, or any assessment
made by WoSAS itself, WoSAS will provide appropriate advice to the Member
Council on the contents of any reports or assessments, including a
recommendation on the appropriate action to be taken in respect of any
archaeological remains either known, or suspected to exist, on site. This may
include:•a recommendation of refusal of the application to protect archaeologicalremains in situ in keeping with national and Local Development Plan policies,
including protection of their setting•a recommendation of avoidance of significant remains through the design andlayout of the development•a recommendation of attachment to the planning consent of a condition orconditions, or a Section 75 Agreement, to secure specific archaeologicalmitigation, to take place normally before development, including fencing toprotect archaeological sites, full archaeological excavation, standing buildings
recording, archaeological watching briefs, and any other action as may beappropriate.

The decision on the application is taken by the Member Council taking into
account all of the relevant information before it, including any archaeologicalinformation provided by the applicant and the advice provided by WoSAS.

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6

The Archaeological Development Management Process: Post-Consent Stage
Archaeological Mitigation

6.1

Archaeological mitigation is only required after a decision has been taken on aplanning application. It may be secured by attachment of an appropriately worded
condition or conditions to a planning or listed building consent, or by a Section 75
agreement. The standard archaeological conditions which WoSAS recommends to
its Member Councils for attachment to a planning consent are set out in Annex A.
These are based on the model conditions contained in Planning Advice Note 42,
but have been modified to bring them up to date with current practice. There is arange of archaeological mitigation options open to the Member Council(described below). The selection of the most appropriate mitigation option ismade by the Member Council, taking into account the Local Development Planarchaeological policies, the significance of the archaeological site(s) as advised by
WoSAS, the most appropriate archaeological condition as recommended by
WoSAS, and any other factors it considers to be relevant.
Preservation in situ of archaeological remains

6.2

6.3

There are several ways by which this can be achieved:•by refusal of the planning application•

by avoidance of the area containing the archaeological remains, during bothconstruction and operation, usually by fencing•

by design of the development layout to exclude the remains•

by design of foundations to preserve the remains under development.

Where archaeological remains have not been excluded from the developmentlayout by the applicant, but are to be preserved in situ within it after planning
consent has been granted, the Member Council may require the following bycondition:•that such remains are fenced temporarily to protect them during development•

fenced permanently to protect them during operation of the site•

included in managed open space subject to an appropriate management regime•

covered by a geotextile and depth of suitable material to protect them during
operation of the site.

13

6.4

In some cases it may be possible to avoid damaging archaeological remains bycareful design of foundations, for example, in the case of small scale
development, by use of a raft foundation instead of strip foundations. For larger
scale developments in urban areas different piling systems in various
configurations can help to minimise damage to buried archaeological features anddeposits. By reducing the depth of ground beams and pile caps, possibly byincorporating the pile cap into the structural floor slab, unnecessary disturbance ofimportant archaeological features can also be minimised.
Archaeological Recording

6.5

In many cases it may be more appropriate to secure a programme ofarchaeological recording, rather than preservation of archaeological remains insitu. The Member Council will take the decision whether to require archaeologicalrecording rather than preservation in situ of archaeological remains, by reference
to national and Local Development Plan policies; the results of any desk-based
assessment, walk over survey and field evaluation supplied by the applicant; andthe curatorial advice supplied to the Member Council by WoSAS.

6.6

All archaeological recording will require to conform to a Method Statement, aProject Design, or a formal Written Scheme of Investigation (WSI) (the conditionattached to the planning consent will specify which of these is appropriate), which
has been agreed by WoSAS, and approved by the Member Council, before anyarchaeological recording work can commence on site.

6.7

All archaeological recording work must be carried out by professionally qualified
and experienced archaeologists with proven expertise in the type ofarchaeological recording work required and will be expected to conform tonational standards as set out by the Institute for Archaeologists (see section 7
below for references and the Standards and Guidance may also be found on theInstitute for Archaeologists web site at http://www.archaeologists.net).

.
6.8

Archaeological recording can take several forms. These are described in detailbelow.
Archaeological Excavation

6.9

Archaeological excavation can be relatively time-consuming – the larger
excavations can take many months of both on-site and off-site work – and may be
expensive. Formal large-scale excavations are however relatively rare in respectof prospective development, as many developers are required by policy topreserve archaeological remains in situ, or they may voluntarily opt to do so,rather than bear the costs of archaeological excavation. Where large scalearchaeological excavation cannot be avoided, whilst allowing development toproceed, developers should remember that archaeological excavations normallyreveal a wealth of hitherto unknown information and usually attract a great deal of

14

local, and sometimes national, media and public attention. There may therefore be
substantial public relations benefits to be gained for developers from large scalearchaeological excavations. WoSAS will identify to developers where
opportunities exist for such publicity and will encourage developers to consider
the benefits of making their archaeological results available via public open days
at excavation sites, talks by their own archaeologists, or web and otherpublication.
6.8

All archaeological excavation required by a condition attached to a planning
consent, or by a Section 75 Agreement, will conform to a Written Scheme of
Investigation (WSI), usually compiled by the developer’s appointed
archaeological contractor or consultant, which has been agreed in writing by
WoSAS and approved by the Member Council before excavation commences.
The WSI normally commits the developer, or whoever is funding the excavation
work, to a timetable and the full costs of a range of archaeological work,
including excavation, post-excavation analysis, and where appropriate, thepublication of the results. The Member Council may also require that there is a
programme of public information to be associated with the excavation, where thisis deemed by the Council to be appropriate. Where large scale excavations arenecessary over a longer timetable, there may require to be Addenda to the original
WSI in the form of detailed Project Designs drawn up as the project proceeds.
These too must be agreed with WoSAS before any work covered by the Project
Design(s) can proceed on site. The formal approval of the Member Council is not
usually necessary to any such Addenda documents, once it has given its approvalto the original WSI.

6.9

A programme of post-excavation analysis, leading to publication in an agreed
format, will usually require the involvement of a number of external specialists insuch areas as the analysis of preserved plant remains, the study of waterloggedwood, and the study of ceramics and animal bone. The post-excavation phase of
the programme of works can be time consuming and, in the case of large-scale
excavations, it may be several years before the results are ready for publication.
The programme of archaeological work required by the WSI will not normally beconsidered by the Member Council to have been completed until all postexcavation analysis has been finished, a publication-ready report has been
prepared, the full written excavation archive has been submitted to the National
Monuments Record of Scotland, and the excavation finds have been declared to
the Treasure Trove Panel. The Member Council will therefore not normallydischarge any condition attached to a planning consent which requires a
programme of archaeological work governed by a WSI, until it has received proof
that these latter stages of the programme have been secured by contract or otherlegal commission. It is normal practice however for the Member Council to allow
development to proceed on site once the fieldwork stages of the necessary
archaeological investigation have been completed, pending completion of postexcavation assessment and reporting.

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6.10

All archaeological excavation will be monitored by WoSAS on behalf of theMember Council and arrangements to facilitate this will be set out in the approved
WSI.

6.11

All archaeological excavation will conform to the WoSAS standard conditions forfieldwork (see Annex B).

6.12

All archaeological excavation must be carried out by professionally qualified andexperienced archaeological organisations or individuals. The work will be
expected to conform to national standards as set out by the Institute forArchaeologists in Standards and Guidance for archaeological excavation (IFA,
1995, revised 2001 and 2008)
Standing Building or Structure Recording

6.13

Where the Council has granted consent with a standing building recording
condition, any required recording specified by WoSAS will be commensurate to
the scale of the proposed alteration or demolition. WoSAS will set out as requireda brief for the standing building recording work, drawing as appropriate on thecontents of best practice guides for such work, produced by the Royal
Commission on the Ancient and Historic Monuments of Scotland and the former
Royal Commission on the Historic Monuments of England (now part of English
Heritage). Additional advice has been published by the Association of Local
Government Archaeological Officers (ALGAO) on the process involved inassessing proposals for the alteration and repair of historic structures at
http://www.algao.org.uk/Publications/Analysis&Rec.htm.

6.14

Standing building, or structure, recording will typically be required by theMember Council in respect of unlisted buildings or structures of historic interest,
where WoSAS has advised the Member Council that such a record is warranted,
either because of the apparent age of the building or structure, or because it has
unusual features, or because it is a type of historic site for which there is little
current information. Less typically the Member Council may require thatrecording is undertaken for listed buildings or structures, if it appears that thenormal recording to be undertaken by the RCAHMS will be insufficiently
detailed, or where the Member Council’s conservation officer has requested that
additional recording be undertaken.

6.15

The methodology for recording the building must be set out in a Method
Statement compiled by the organisation or individual carrying out the recording
work, agreed in writing by WoSAS, and approved by the Member Council before
recording work commences.

6.16

Most of the required recording work may be done during the process of
refurbishment or demolition, so appropriate downtime shall require to be allowedby the developer for the standing building recording to take place.

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6.17

All standing building or structure recording must be carried out by professionallyqualified and experienced archaeological organisations or individuals withspecific experience in the recording of historic buildings. The work will be
expected to conform to national standards as set out by the Institute forArchaeologists in Standards and Guidance for the archaeological investigation
and recording of standing buildings or structures (IFA, 1996, revised 2001 and2008).
Archaeological watching brief

6.18

In some cases a pre-application assessment, or appraisal by WoSAS may suggestthat important archaeological remains are less likely to be present on site, but that
there is nonetheless still a requirement for the presence of an archaeologist during
ground disturbance to monitor ground conditions and record any unexpectedfinds, deposits, or structures. In these cases WoSAS will recommend to theMember Council that they attach an archaeological watching brief condition toplanning consent. Archaeological watching briefs are a low key and relatively
inexpensive exercise. A watching brief will never be specified by WoSAS where
significant archaeological remains are suspected to be present, as in thateventuality it is not an appropriate archaeological methodology for the scale of therequired recording task.

6.19

Watching briefs are normally carried out in such a way as to minimise
unnecessary delay to the development programme. Typically one hour of machine
downtime per feature, artefact, or deposit must be allowed for archaeologicalrecording, but in practice, recording will take less time than this and cansometimes be fitted around machine activity on site. Where there are complex
archaeological features (this is rare under a specified watching brief – see 6.18
above), there will require to be longer downtime whilst a Project Design forrecording the unexpected find is drawn up and executed. These downtimes will be
specified clearly in the Method Statement which will require to be agreed inwriting by the WoSAS and approved by the Member Council, before
development and the accompanying watching brief can commence.

6.20

Sufficient notice of the commencement of development, and thus the start of any
archaeological watching brief, must be given to WoSAS, along with the name of
the archaeological organisation which will be carrying out the watching brief.
Typically two weeks notice is required.

6.21

The results of a watching brief must be published in full. While many watchingbriefs may merit at best a short note in a local archaeological journal or Discovery
and Excavation in Scotland, occasionally the work may be of greater importanceand a longer report, in a suitable publicly accessible format, may be required. This
will be specified in the Method Statement to be agreed by WoSAS and approvedby the Member Council.

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6.22

All archaeological watching briefs must be carried out by professionally qualified
and experienced archaeological organisations or individuals with specificexperience in this methodology. The work will be expected to conform to national
standards as set out by the Institute for Archaeologists in Standard and Guidance
for an archaeological watching brief (IFA 1994, revised 2001 and 2008)
Dissemination of Archaeological Information

6.23

All of the archaeological recording processes described above include appropriate
reporting and publications as required. These publications are normally academicarchaeological reports and academic Journal publications required by thearchaeological profession. In some cases the Member Council may require awider dissemination of information to the public, including excavation open days,
web site, lectures to interested groups, and publicly accessible reports, all to beprovided by the developer. Where the archaeological significance of the site
warrants such an approach, the Council will secure appropriate publicdissemination of information by attachment of condition(s) to planning consent,
or by inclusion of appropriate clauses in a Section 75 agreement. Thisrequirement is only likely to be imposed where there will be major archaeologicalexcavation, returning significant amounts of visible archaeological material which
can be readily understood by the public.
Monitoring of Archaeological Recording Works

6.24

WoSAS will seek to monitor all archaeological fieldwork taking place in the areasof the Member Councils. The purpose of monitoring is to ensure thatarchaeological mitigation strategies required by planning condition, or Section 75
Agreement, are being fully and effectively implemented. For major development
sites with complex archaeology the Member Council may require the developer tofund such monitoring by attachment of an appropriate planning condition or by
inclusion within a Section 75 agreement.
Finding an Archaeological Contractor

6.25

All archaeological work required as a result of conditions attached to a planning
consent in the WoSAS area must be carried out by a competent professionalarchaeological organisation or individual to meet the standards of the Institute forArchaeologists. It is up to applicants and developers to satisfy themselves about
the competencies of their chosen archaeological contractor. WoSAS does not holda list of approved archaeological contractors or individuals. These contractors orindividuals may be found by reference to the Institute for Archaeologists, theYellow Pages, or the informal list which WoSAS provides from time to time andwhich is posted on the WoSAS web site at http://www.wosas.net.

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6.26

The WoSAS informal list consists of those archaeological contractors orindividuals who wish to undertake work in the West of Scotland Archaeology
Service area, and who have asked to have their details provided by WoSAS toenquirers. Any contractor or individual is at liberty to ask for their contact details
to be included on the informal list at any time, and no vetting procedure forinclusion on the list is in place. Neither WoSAS, nor its Member Councils canvouch for the quality of services provided by the bodies or individuals on the
WoSAS informal list, nor will they accept responsibility for the actions oromissions of those listed.

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Bibliography
Primary Legislation
Ancient Monuments and Archaeological Areas Act 1979
Planning Scotland Act 2006
Circulars
5/1992 The Town and Country Planning (General Permitted Development)(Scotland)
Order 1992
6/1992 The Town and Country Planning (General Development Procedure)(Scotland)
Order 1992
Town and Country Planning (Notification of Applications) (Scotland) Direction 1997
4/1998 The Use of Conditions in Planning Permissions
National Planning Policy Guidelines
Scottish Planning Policy 23 Planning and the Historic Environment 2008
Planning Advice Notes
PAN 42 Archaeology – the Planning Process and Scheduled Monument Procedures 1994
PAN 52 Planning in Small Towns 1997
Scottish Historic Environment Policy
Historic Scotland Scottish Historic Environment Policy 2008
Standards and Guidance
Association of Local Government Archaeological Officers
Analysis and Recording for the Conservation and Control of Works to Historic Buildings
Advice to Local Authorities and Applicants 1997
Historic Scotland
The Treatment of Human Remains in Archaeology 1997
Managing Scotland’s Archaeological Heritage 1997
Scheduled Ancient Monuments, a Guide for Owners, Occupiers and Land Managers
Historic Scotland 1999
The Conservation of Architectural Ancient Monuments in Scotland – Guidance on
Principles 2001
Non Destructive Investigation of Standing Structures Technical Advice Note 23 2001
Development and Archaeology in Historic Towns and Cities Technical Advice Note 27
2004
Measured Survey and Building Recording for Historic Buildings and Structures
Practitioners Guide 4 2004
Carved Stones: Scottish Executive Policy and Guidance 2005
Historic Scotland/RCAHMS
Historic Land-use Assessment: Development and Potential of a technique for Assessing
Land-use Patterns 1999

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Institute for Archaeologists
Standard and Guidance for archaeological desk-based assessment 1994 (revised 2001 and2008)
Standard and Guidance for archaeological field evaluation 1994 (revised 2001 and 2008)
Standard and Guidance for an archaeological watching brief 1994 (revised 2001 and2008)
Standard and Guidance for archaeological excavation 1995 (revised 2001 and 2008)
Standard and Guidance for the archaeological investigation and recording of standing
buildings and structures 1996 (revised 2001 and 2008)
Royal Commission on the Historical Monuments of England
Recording Historic Buildings: a Descriptive Specification (Third Edition) 1996
Scottish Government Development Department Planning Division
Pilot Model Policy Study Conclusion and Next Steps 2006
Contacts
West of Scotland Archaeology Service
Charing Cross Complex
20 India Street
Glasgow G2 4PF
Tel: 0141 287 8332-3/ 0141 287 8334
Fax: 0141 287 9529
E-mail:enquiries@wosas.glasgow.gov.uk
Web sites:
http://www.wosas.net/
http://gis.south-ayrshire.gov.uk/wosas/Default.aspx
Historic Scotland
Longmore House
Salisbury Place
Edinburgh EH9 1SH
Tel: 0131 668 8600
Fax: 0131 668 8765
Web site:www.historic-scotland.gov.uk
Institute of Field Archaeologists
SHES Whiteknights University of Reading
PO Box 227 Reading
RG6 6AB
Tel: 0118 378 6446
Fax: 0118 378 6448
E-mail:admin@archaeologists.net
Website:www.archaeologists.net
Institute of Historic Building Conservation:
Jubilee House

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High Street
Tisbury
Wiltshire SP3 6HA
Tel 01747 873133
Fax 01747 871718
Email:
admin@ihbc.org.uk
Website:www.ihbc.org.uk
Association of Local Government Archaeological Officers:
Tel: 019755 64071
Email:
algao.cji@btinternet.com
Websitewww.algao.org.uk
Online sources of archaeological information
Sites and Monuments Record:
http://www.wosas.net/search.php (online databasesearch)http://jura.rcahms.gov.uk/PASTMAP/start.jsp (mapbased search)
http://gis.south-ayrshire.gov.uk/wosas/ (map based
search)Pastmap:

http://jura.rcahms.gov.uk/PASTMAP/start.jsp

RCAHMS Canmore and Historic Land Use Assessment mapping applications:
http://www.rcahms.gov.uk
National Map Library of Scotland (historical mapping):
http://www.nls.uk/maps/index.html

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Annex A
Standard planning conditions for archaeology recommended by WoSAS to Member
Councils
Negative suspensive condition (based on para 34 of PAN 42)
No development shall take place within the development site as outlined in red on theapproved plan until the developer has secured the implementation of a programme ofarchaeological works in accordance with a written scheme of investigation which has
been submitted by the applicant, agreed by the West of Scotland Archaeology Service,
and approved by the Planning Authority. Thereafter the developer shall ensure that the
programme of archaeological works is fully implemented and that all recording andrecovery of archaeological resources within the development site is undertaken to thesatisfaction of the Planning Authority in agreement with the West of Scotland
Archaeology Service.
Watching brief condition (based on para 35 of PAN 42)
The developer shall secure the implementation of an archaeological watching brief, to be
carried out by an archaeological organisation acceptable to the Planning Authority,
during all ground disturbance. The retained archaeological organisation shall be afforded
access at all reasonable times and allowed to record, recover and report items of interestand finds. A method statement for the watching brief will be submitted by the applicant,agreed by the West of Scotland Archaeology Service, and approved by the Planning
Authority prior to commencement of the watching brief. The name of the archaeologicalorganisation retained by the developer shall be given to the Planning Authority and to theWest of Scotland Archaeology Service in writing not less than 14 days before
development commences.
Fencing condition (based on para. 33 of PAN 42)
No development shall take place until fencing has been erected in a manner to be agreed
with the Planning Authority, along the line shown in (selected colour) on the approved
plan; and no works shall take place within the area inside that fencing without the prioragreement of the Planning Authority.
Standing buildings survey condition
Prior to development commencing, the developer shall secure the implementation of anarchaeological standing building survey of the extant structures, to be carried out by anarchaeological organization acceptable to the Planning Authority. The scope of thearchaeological standing building survey will be set by the West of Scotland Archaeology
Service on behalf of the Planning Authority. The name of the archaeological organization
retained by the developer shall be given to the Planning Authority and to the West of
Scotland Archaeology Service in writing not less than 14 days before the survey
commences. Copies of the resulting survey shall be deposited in the National Monuments
Record for Scotland and in the local Sites and Monuments Record upon completion.

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Mitigation Strategy condition
Prior to the commencement of development the developer shall submit for the Council’s
approval an archaeological mitigation strategy. Thereafter the developer shall ensure thatthe approved strategy is fully implemented and that all recording and recovery ofarchaeological resources within the development site is undertaken to the satisfaction of
the Planning Authority in agreement with the West of Scotland Archaeology Service.
(or between outline and detail applications)
The developer shall submit for the approval of the Planning Authority an archaeologicalmitigation strategy along with the detailed or reserved matters application. Thereafter thedeveloper shall ensure that the approved strategy is fully implemented, that all significant
archaeological remains are preserved in situ as may be required by the Planning
Authority, or that any necessary recording and recovery of archaeological resources
within the development site is undertaken to the satisfaction of the Planning Authority inagreement with the West of Scotland Archaeology Service.

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Annex B
West of Scotland Archaeology Service
Standard Conditions for archaeological fieldwork Last modified 6 September 2004(a) To avoid confusion as to the status of project documentation, it is preferred that the use of
the term “Written Scheme of Investigation” for a project design for archaeological fieldwork
should be limited to those instances where the archaeological contractor is acting on behalf ofa client to implement the requirements of an archaeological planning condition which
specifically requires that such a document be produced in advance of development. In othercircumstances, such as proposals for evaluation of a site prior to determination of a planningapplication, or proposals for the implementation of another form of archaeological condition,other terms such as “Project Design” or “Method Statement” are to be preferred.
(b) The West of Scotland Archaeology Service will monitor the progress of archaeologicalwork on behalf of its relevant funding partner. The contractor must provide sufficient noticeof fieldwork to the Service so that monitoring arrangements can be put in place, and provide
updated timescales for all post-excavation work so that its progress can be monitored as
required.
(c) The supervising archaeologist(s) executing the archaeological works must haveprofessional experience commensurate with the tasks in hand. If requested, the name(s) andCV(s) of the archaeologist(s) must be forwarded to the West of Scotland Archaeology Service
for approval prior to commencement of the archaeological works.
(d) The text of all reports related to the project is to be supplied in digital form to the West of
Scotland Archaeology Service for comment. This may be in any of the following formats:
Adobe PDF (preferred), Microsoft Word or Rich Text Format each with embedded
illustrations. The archaeological contractor is to provide details of the file format used and thecompression method if any.
Gazetteers of sites and references to sites in all reports must include the WoSASPIN
identifier.
Original survey or mapping data should also be supplied digitally, geo-referenced and in
ESRI (preferred) or AutoDesk compliant formats. Where appropriate a digital polygon
boundary geo-referenced to the British National Grid representing the fullest extent of thearchaeological intervention (e.g. extent of area surveyed, extent of evaluation area) should be
supplied.
Final versions of all reports should be rendered uneditable prior to their re-submission. As
well as a digital copy, two hard copies of the final report should also be supplied (drafts forcomment will be accepted in digital format). If a temporary public access embargo is required
this should be clearly stated in the associated copyright information supplied with each report.
Should digital reports or associated documents be of an appropriate size for delivery by e-mailthey may be sent directly to enquiries@wosas.glasgow.gov.uk with an appropriate project
identifier in the subject line.
(e) A brief summary of the results of the archaeological work must be prepared and submitted
for publication in the Council for Scottish Archaeology’s annual journal 'Discovery andExcavation in Scotland' at the appropriate time. A draft of this text must be forwarded to theWest of Scotland Archaeology Service for comment prior to submission.
If the archaeological contractor mounts information relating to the archaeological work on theWorld Wide Web for public access WoSAS are assumed to have permission to create a
hyperlink to those documents relating to the work from WoSAS’s web site. Where thecontractor cannot or does not intend to mount information relating to the work on the World
Wide Web for public access, WoSAS may ask for at least one image (preferably digital, e.g.
TIFF) and an accessibly worded summary of the work and its archaeological context ofaround 250 words to be supplied for that purpose. If a temporary public access embargo is25required this should be clearly stated in the associated copyright information supplied witheach summary.
(f) A summary report of the results of the archaeological work should be prepared andsubmitted for publication in the gazetteer or “list of work done” section of an appropriate
period journal, where such entries are sought by the editors. A draft of the text must be
forwarded to the West of Scotland Archaeology Service for comment prior to submission.
(g) Any report for formal publication in an appropriate archaeological journal or othermedium should be submitted in draft form to the West of Scotland Archaeology Service forcomment prior to submission.
(h) A copy of all reports should be deposited in the National Monuments Record for Scotland,along with the project archive, on the completion of all relevant work. The project archive
should contain all relevant details in connection with the planning and execution of the
project, including any terms of reference received by the archaeological contractor.
(i) The archaeological contractor may be invited to present the results of this project at theannual West of Scotland Archaeology Forum.
(j) In all publicity, reports and summaries connected with the archaeological works, bothpublished and archived, due acknowledgement must be given to the curatorial role of theWest of Scotland Archaeology Service in facilitating the archaeological investigation.
(k) All work on site shall be carried out in compliance with current Health and Safety at Worklegislation. In particular, the archaeological contractor must ascertain from the client whether
the archaeological work forms part of a programme of work to which the Construction(Design and Management) Regulations 1994 are applicable, and if so, the archaeologicalcontractor must prepare and disseminate the relevant safety plan documentation andinformation.
(l) Any human remains encountered must be left in situ, and notification immediately made to
the local police and to the West of Scotland Archaeology Service.
(m) The arrangements for the final disposal of any finds (artefacts) made in connection withthe archaeological work are to be in keeping with Scottish legal requirements, as set out in“Treasure Trove. Guidelines for Field Workers” issued by the Scottish Executive Education
Department in August 1999.
(n) The archaeological contractor must have the necessary technical resources for satisfactorycompletion of the archaeological work in place before the project commences.
(o) The archaeological contractor must have appropriate employer's and public liability
insurance cover.
(p) The relevant local museum service should be adequately informed of the start of on-site
investigations.

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