Planning and the Historic Environment 2002
An Agenda for the 21
st century – 17 May 2002Resourcing Historic Environment Services: Is less really more ?
Gill Chitty
Hawkshead Archaeology and Conservation
A recent survey of local authority resources for historic environment conservation
shows a picture of declining staff and financial resources, increasingly varied
organisational arrangements, and a growing range of cross-sectoral approaches to
conservation. The historic environment is encompassed in new economic, social and
educational initiatives, its conservation is justified as a key element in regeneration
and community programmes and above all it offers people a sense of belonging to and
caring about their locality. Working in conservation, we apparently have fewer
dedicated resources but more access than ever to new funding programmes and
opportunities for partnership. Can the trend towards less resource be reversed to
deliver more for the historic environment ?
Last October English Heritage commissioned a rapid study into the resources that are
available for local authority work in conservation of the historic environment. It was
designed to complement a research study into the resources generally available for
planning authorities commissioned by DTLR (now ODPM) from Arup Economics
and Planning. The context for both studies is the Government's commitment to
improving both the responsiveness of the planning system and the quality of its
outcome; and to reviewing the whole way in which the planning system works locally
and regionally. The Arup research was published in February as 'Resourcing of
Planning Authorities', with a summary of the English Heritage study findings (Arup
Economics 2002). The English Heritage study, based on the research carried out
jointly by David Baker and myself, is published under the title of 'Heritage Under
Pressure' on the English Heritage Web site (
www.englishheritage.org.uk/heritageunderpressure
).
The intention was that the outcomes of both studies should usefully inform both the
Green Paper on Planning, now published as
Planning: Delivering a FundamentalChange,
and the forthcoming Public Spending Review 2002; and to that end they wereboth submitted to the DTLR in November 2001. It is difficult to say now whether
either study was successful, or indeed sufficiently timely, in influencing thinking in
relation to either. But the project - in setting out to provide a perspective on resources
in the historic environment sector as a whole - has certainly raised issues that are
germane to today's subject. This paper presents an overview of the findings of the
research and the issues that it raises for the new century's agenda.
Knowing about resources is only useful if you can connect the resource - the amount
of money available or the number of listed buildings designated or the number of
people employed in conservation - with the results that they produce in the
environment, both quantitatively and qualitatively, and the scale of need. Finding out
what resources are available for historic environment conservation in local planning
authorities is one matter. Measuring how effective these are and whether they meet
needs are quite different questions. What are the benchmarks for performance? And
what are the outcomes of those public services in terms of the historic environment -
its sustainability and its value for people?
We began by undertaking a high level benchmarking exercise ourselves to define the
core tasks of a local authority conservation service. The main sources for this were the
former Department of National Heritage’s guidance to local authorities on
conservation provision (issued for local government reorganisation in 1995) and
information from a number of Best Value exercises. We then looked for sources of
information about provision along two axes: first
resources, both in the local planningauthorities and supporting them; and secondly,
conservation services andperformance.
RESOURCES
There are plentiful sources of information about particular conservation resources:
studies, surveys and assessments commissioned and carried out by English Heritage,
by IHBC, by ALGAO, by IFA, by the CBA, SAVE, the Statutory Amenity Societies,
by bodies like the National Trust, by research students, universities, and above all by
local authorities themselves. Appendix 3 to the published report provides details of
those that were consulted. Sources that provide a more general picture across the
whole conservation sector are few. There is the excellent
Heritage Monitor, now evenmore useful in its new form (but the most recent issue sadly not available at the time)
which covers headline data on various kinds of outputs like numbers of listed
buildings, numbers of Conservation Areas (Hanna 2000, Baxter, 2002). DTLR /
ODPM itself publishes quarterly statements of the numbers of planning applications
and listed building consents determined per authority. The Chartered Institute of
Public Finance and Accountancy (CIPFA) collects annual forecast and actual spend
statistics from local authorities under a large number of headings, for all local
authority services and with some analysis according to head of local population. For
the past few years in the CIPFA Planning and Development statistics, a separate
section has been compiled for 'Conservation of the Historic Environment'. This
appears to be the only source available for overall expenditure on conservation in
local authorities and the graphs and statistics provided below are based on this data.
As Figure 1 shows, the distribution of resources for conservation between different
types of authority has changed through the 1990s as the result of local government
reorganisation. The trend has been towards decline in county and non-metropolitan
Figure 1: Net local authority expenditure on historic environment conservation, 1996-
2000 (uncorrected for compound inflation estimated at 15% over the last five years)
districts and some increase in unitary authorities, as illustrated. Analysis for the main
planning resource study by Arup Economics and Planning showed the same picture: a
marked decline in county authority spend on all environmental and conservation
work, it also shows that in the unitary authorities (where one could have expected to
find some compensatory increase) resources and staff numbers have declined. The
Arup study found that in order to achieve levels of resources equivalent to those for
1996/7, there would need to be increases of 37% for unitary and district authorities
and 23% for county authorities.
Effectively the amount spent by local authorities on historic environment conservation
has stood still and depending on how you calculate it, net expenditure on historic
environment conservation by planning authorities has declined by 8% - 15% in real
terms over the last five years. We have not then been imagining that things have been
getting tougher.
There are other indicators. CIPFA figures for actual spend on conservation staff show
an even greater decline in resources. This was lower in 2000 than it was in 1996.
Figure 2: Net local authority expenditure on staff for historic environment
conservation, 1996-2000 (uncorrected for compound inflation estimated at 15% over
the last five years)
While there are reservations about the consistency and value of the CIPFA data, and
like all statistics they can be presented to demonstrate different things, they do have
the virtue of being reasonably inclusive. When you try to get behind these overall
statistics on resources, the divided character of the sector begins to emerge. For
archaeology there are several studies of employment and surveys of numbers of
archaeologists working in planning and local authorities, and there are published
annual reviews of jobs in archaeology (e.g. Aitchison and Dennison 1999). There
Figure 3: English Heritage conservation grant expenditure 1995-2000 (corrected to
take account of inflation over the period)
were no equivalent studies for conservation officers. This has to be qualified; there is
now the work being carried out by Oxford Brookes University for English Heritage.
The statistics that Bob Kindred has maintained over the years for his authority in
Ipswich and for the wider picture were immensely valuable for the study (Kindred
2001a, 2001b). One way of cross-cutting to assess resourcing was to look at the
number of new posts in conservation that English Heritage has supported over the last
five years. We found that overall about 100 posts - conservation officers and planning
archaeology officers - have been supported albeit with tapering funding by English
Heritage since 1996. There are numerous other posts that have also been created in
local authorities with English Heritage funding to support historic landscape
Building & Monuments Conservation Areas Churches Cathedrals Archaeology Other
characterisation work, conservation area character appraisals, Historic Environment
Regeneration Schemes (HERS), urban archaeology and conservation projects. It is a
striking fact that even with this additional resource, local authority spend on staff for
conservation overall is still dropping.
What about English Heritage grant expenditure overall? The picture here reflects a
similar decline. As Figure 3 shows, English Heritage grants have dropped by 23% in
real terms over the period. Information was not available as to how much of this
resource went to local authorities and how they have fared in relation to other calls on
English Heritage's purse. Turning to look at local authority grants, we find a steady
decline in grants from their own funds but a more or less sustained growth in grants
from funds of other bodies (including English Heritage) which have steadily
overtaken the resources that local authorities can find themselves (Figure 4). The high
figures for 99/00 and 00/ 01 are probably due to special funding for millennium
projects. This trend begins to illustrate the issue about 'less being more'. Increasingly
local authorities obtain the resources they need to make environmental improvements
happen from complex packages of funding and schemes in partnership with other
bodies: European programmes and projects, Heritage Lottery Fund (HLF), agrienvironment
schemes, New Opportunities Fund, Regional Development Agencies
programmes, the private sector. Small amounts of officer time injected into initiatives
taken forward by others, by building preservation trusts, community action groups,
and in regeneration programmes can draw down significant resources. We found it
difficult to assess the contribution made by resources from partnership in the overall
conservation picture. But an interesting indicator was that where a local authority's
resources were overstretched they were least likely to be able to take the opportunities
for levering in funding through partnerships without distorting the delivery of primary
services. This is reflected in low take up, for example, of HLF schemes for enhancing
local historic environment records, with the most successful bids tending to come
from authorities that are already reasonably well resourced.
Figure 4: Local authority grant expenditure 1996 - 2001 (uncorrected for compound
inflation estimated at 15% over the last five years)
Modest amounts of investment can lever in significant returns for the historic
environment. As The Heritage Dividend (1999) study shows, £10,000 of English
Heritage investment can lever in up to £48,000 of match funding from other
resources, delivering new jobs, economically valuable property assets and improving
the quality of the environment. The same holds true for local authority resources if
they can be used in this strategic way. What is disappointing is that there is at the
moment no systematic way of demonstrating the enormous value that small amounts
of local authority resource can realise when used in this way.
For archaeology, there have been some attempts to assess the PPG16 dividend. Most
recently Kenneth Aitchison's study of funding for professional archaeology estimated
that in the year 2000, there was £68.3m investment by private developers in
archaeological projects. In the same year spend on local authority archaeology
services was estimated at £19.8m which, recalculated, means £10k of local authority
funding releases £34k of private sector funding (Aitchison 2001). While the basis for
calculating this is perfectly sound, this overall figure of £100m spend on
archaeological work looks extraordinary if it is set against a total local authority spend
on historic environment conservation for the same year of £42.6m, according to
CIPFA statistics. This kind of comparison is simply not valid, we are not comparing
like with like, but because we have no shared framework for gathering this data
0
2,000,000
4,000,000
6,000,000
8,000,000
10,000,000
12,000,000
14,000,000
16,000,000
18,000,000
1996-
97
1997-
98
1998-
99
1999-
2000
2000-
01
Grants from local
authority own funds
Grants from funds of
other bodies
systematically the outcome is a situation that can appear even more divisive. No
research has yet been carried out to assess the considerable investment in historic
environment conservation from the private sector
CONSERVATION SERVICES AND PERFORMANCE
Turning now from resources to services we see an opposite picture - not of a steady
decline but of a steady increase in conservation-related casework, and in its diversity
and complexity. These are pressures that affect the planning system generally. There
has been a 26% increase in the number of planning applications since 1996 (Arup
Economics and Planning 2002, 44). This kind of pressure raises important
organisational issues about prioritisation of workloads, and balances between longterm
and short-term objectives and between statutory and non-statutory functions.
The study shows that up to a third of all applications dealt with by a Local Planning
Authority can require specialist advice on historic environment considerations -
including historic building, historic areas, urban design issues and archaeology.
According to government figures, it appears that only about 7% of all planning
applications are for works that require Listed Building Consent and Conservation
Area Consent (DETR 2000). However this figure is deceptive since it relates only to
applications that have been notified to the Department. It does not include those
planning applications that require specific historic environment consideration
advertised under Sections 67 and 73 of the 1990 Act as affecting the setting or
character of a listed building and conservation area (Kindred, 2001a). In more realistic
terms, the percentage can range from 11 - 30% although further research that would
provide a definitive answer is lacking. In additional there are a large number of cases
with design and urban design issues in historic centres that can benefit from the input
of conservation expertise. About 11% of planning applications also receive appraisal
for their potential archaeological implications, with 2% receiving further detailed
assessment.
Research shows that this reactive and demand-led casework receives priority in most
local authorities. Grant-aided schemes that lever in additional funding are also
prioritised. With resources under pressure, engagement in more long-term work, such
as enforcement, Buildings at Risk cases, compiling Local Lists or appraisal and
enhancement schemes, receives very low priority. We found that at least a quarter of
authorities had never kept a Register of Buildings at Risk and many of those compiled
have never been updated. We found that two thirds of authorities wished to maintain a
Local List but only around a quarter had been able to do so. Similarly we found that
only about a quarter of SMRs had been able to verify the continuing existence and
condition of the sites and buildings recorded in their Records.
The way in which a local authority organises its services can create obstacles to
implementing wider strategies and effective working. Conservation services may be
co-located with planning services, or may be based in another service area, or may be
obtained from outside the planning authority. We can expect the diversity of this
picture to increase. We found that strategic supporting services tend to be more
strongly represented in county and lead authorities serving several district and unitary
authorities. Typically, these larger integrated services are based outside the planning
authorities directly responsible for development control and local services, potentially
giving rise to greater problems of communication. Reorganisation of services can
fragment provision unless positive measures are taken to ensure integrated working.
This was an outcome of local government reorganisation in 1996, and it will be an
issue again for the inevitable changes that will accompany the introduction of regional
governance.
Virtually no systematic monitoring of the condition of historic assets or of the
outcome of listed building and conservation area consents is taking place so we know
very little about the quality and effectiveness of this aspect of the planning process.
Consistent measures to provide indicators for assessing the quality of conservation
service performance and of the changing state of the historic environment in general
are lacking for all aspects. The Best Value inspection process has brought this sharply
into focus. Again for archaeology - because there is a smaller scale of casework and
also due to the way in which PPG16 has been implemented - there is relatively good
year on year data about the numbers of cases and outcomes of consents with
conditions (Darvill and Russell 2002). The implications of monitoring listed building
consent casework in the same way that conditions for archaeological work are
scrutinised cannot be quantified. At present we cannot assess even at the highest level
what kinds of changes to the historic environment are taking place through the LBC
process. There are statistics for demolitions and these show a steady decline. The
Council for British Archaeology has looked at using its Listed Building notification
database as a way of charting changes in a more discriminating way but the enormous
variation in local authority practice in notifying the statutory amenity societies would
not support a systematic study.
At the crudest level, the DTLR statistics show that LBC applications take longer to
determine than most other planning applications but that more of them are approved.
There are several theories about why this should be the case. What is clear from this
study, however, is that the poor quality of information accompanying applications is a
significant reason for delays: both English Heritage and local authorities have
substantiated this. Another issue is that the planning system makes no allowance for
the differing complexities of types of application and, as cases with an historic
environment dimension are typically more complex in terms of design and impact
assessment, they will tend to require more time.
Finally, the inadequacy of information and communication networks is a theme that
runs through all these issues. These are fundamental to integrated working and
informed decision-making. The limitation on resources affects important targets for
achieving e-government by 2005, inclusive access to public information,
communication with local communities, and interoperability for maximising the
utility of data holdings for regional government. Under-investment in this key area is
perhaps one of the clearest indicators about the difficulties of the present situation.
The disparity in record keeping practice across the sector is marked. While the scope
and coverage of systems for archaeology are well known, there is little information
about the use of information systems for historic building work.
A rapid survey conducted by David Baker in connection with this project (Baker
2002) shows that at least a quarter of authorities, perhaps as many as half, have no
information system to support their historic buildings and areas work. A survey about
to be published by the NMR conducted by Martin Newman shows by contrast that
over 80% of SMRs hold information about listed and unlisted building. How many of
these are actively used to support historic building and area casework is not known.
As the Listed Building System becomes available in the form of downloads to local
authorities later this year, it is a worrying prospect that we might see a proliferation of
local systems being set up in an ad hoc way by hundreds of local authorities,
duplicating what English Heritage holds and is already indexed in SMRs all over the
country. Without agreed data standards and common practice, there is no likelihood
that these records can be made available for cross-searching or strategic use. Nigel
Clubb's paper today addresses other issues connected with information strategies for
making historic information widely accessible.
The results of this study of resources have many different implications but for an
'agenda for the 21st century' there are some key issues
Clear benchmarks for the quality and quantity of service provision are
urgently needed to improve consistency of service levels and monitoring of
performance, for use generally and in the context of Best Value Reviews.
Agreement on a system for compiling annual statistics on indicators of
performance and state of the environment is needed across the sector.
These might be compiled jointly by local authorities with English Heritage,
and promoted through the professional Institutions (IHBC, IFA / ALGAO).
Changes to the collection of data through CIPFA could improve assessment of
actual expenditure on conservation and a more meaningful comparison of
spend with local resources and need.
Local authority services for conservation of the historic environment would
benefit from a restatement of a minimum standard for provision, working from
the guiding principles issued to reorganised authorities by the DNH (now
DCMS) in 1995 / 1997. The objective is an effective critical mass of expertise
in a mixed pattern of authorities, well-integrated relationships between and
within authorities, with ownership by the local planning authority at the point
of delivery.
Frameworks for good practice are needed and could be co-ordinated
effectively by the professional Institutes within the parameters of guidance
from government and English Heritage. Related to this is the need to develop
education and training programmes to remedy skills shortages and improve
mutual awareness of professional interests and standards across the sector.
The Planning Green Paper has signalled the review of PPGs 15 and 16 (DTLR
2001). They could be integrated as a single guidance document for the
historic environment in order to consolidate and simplify the present dual
policy guidance. The new document might highlight relationships with other
regulatory systems.
Resources and expertise for environmental information systems would
benefit from co-ordinating arrangements between national and local interests,
and utilising the emerging ‘planning portal’. The wider value of environmental
planning and the usefulness of environmental information for general public
interest and education should be recognised in the resourcing of links with
other local authority services such as libraries, archives and museums.
In conclusion, in answer to the question 'Is less really more?' the answer is both 'Yes'
and 'No'.
'Yes', because even though there are fewer resources in the public sector, some
authorities and organisations are still delivering more for the historic environment by
releasing the dividends of partnership and joint working across the public and private
sector. We need to share that good practice and experience, avoid duplication and
double handling, and set thresholds for what should be achievable.
'No', in that conservation has fewer resources and there are ever-increasing demands
upon services for historic environment conservation. Important proactive work is
being neglected and it appears that in some authorities the sector is falling below
threshold of acceptable service provision. But to lobby effectively for greater
resources there has to be a substantial case that shows how and where provision is
falling short and its impact on the quality of the environment and quality of life for
communities. We need to be able to show comprehensively the real benefits that flow
from caring for the historic environment and where the greatest need lies.
Finally, as authors of the study, we would like to express our gratitude for all the
assistance that we received from so many people in local authorities and other
organisations who generously provided information, reports and statistics - in an
impossible timescale. This is our opportunity to thank them all and to acknowledge
the contribution that the conservation community as a whole made to this study.
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