P o l i c y a n dG u i d e l i n e s

o nA r c h a e o l o g i c a lE x c a v a t i o n

An Roinn Ealaon, Oidhreachta, Gaeltachta & OilenDepartment of Arts, Heritage, Gaeltacht and the Islands

P o l i c y a n d G u i d e l i n e so nA r c h a e o l o g i c a l E x c a v a t i o n

An Roinn Ealaon, Oidhreachta, Gaeltachta & OilenDepartment of Arts, Heritage, Gaeltacht and the Islands

Government of Ireland 1999

Dublin:

Published by the Stationery Office

To be purchased directly from the

Government Publications Sales Office, Sun Alliance House,

Molesworth Street, Dublin 2

or by mail order from

Government Publications, Postal Trade Section

4 - 5 Harcourt Road, Dublin 2.

(Tel: 01 - 6613111 ext. 4040/4045; Fax: 01 - 4752760)

or through any bookseller.

2.00 Pn. 6380

Photographs provided courtesy of:

Photographic Section, Dchas The Heritage Service

and Professor Barry Raftery, University College Dublin

Ministers Foreword 5

Part I INTRODUCTION

1.1 The Department of Arts, Heritage, Gaeltacht and the Islands 7

1.2 Purpose and structure of document 7

1.3 Proposed further action by the Department 8

Part II POLICY ON LICENSING OF ARCHAELOGICAL EXCAVATIONS

2.1 Legal framework 9

2.2 Aim of policy 10

2.3 Deciding on whether or not to issue a licence and factors considered in that regard 10

(a) Justification of excavation 10(b) Competency of applicants and interview requirements 11(c) Previous compliance with licence conditions 12(d) Other committments of applicant 12(e) Excavation strategy 13(f) Availability of resources 13

2.4 Regulation of conduct of excavations 13

2.5 Access to excavation reports 13

2.6 Action by the Department in the event of failure to publish 14

Part III GUIDELINES FOR APPLICANTS AND LICENSEES

3.1 Introduction 15

3.2 Applications for excavation licences 15

3.2.1 General 15

3.2.2 Implications of submitting an application 16

3.2.3 Applying to alter excavation strategy or methodology 16

Contents3

3.3 Excavation strategies and method statements 17

3.3.1 General 17

3.3.2 Development-led excavation 17

(a) General 17(b) Test excavation 18(c) Archaeological monitoring 18(d) Rescue excavation 19(e) Excavation in advance of monument 19

conservation or presentation

3.3.3 Research excavation 20

3.4 Conduct of an archaeological excavation 20

3.5 Reports on archaeological excavations 20

3.5.1 Preliminary reports 20

3.5.2 Final reports 21

3.6 Publication 21

3.6.1 Summary publication 21

3.6.2 Full publication 21

Part IV LICENSING CONDITIONS

4.1 Standard set of licensing conditions 23

4.2 Reminder regarding alteration or export of archaeological objects 25

4

The licensing and control of archaeological excavations has, since 1930, been a key element inthe protection of our archaeological heritage. In recent years the rate of archaeological excavationunder licence has accelerated considerably. This has arisen from a growth in development withimplications for our archaeological heritage together with greater awareness of the importance offull consideration of archaeology in the planning and development process.

The last ten years have, in particular, seen a radical change in the balance between development-led and State funded archaeological excavation. There has been a major increase in the volumeof private sector archaeological excavation taking place.

It is, therefore, very necessary and appropriate that clear policy and guidelines on archaeologicalexcavation should be issued at this time by my Department. This document will, I believe, be ofgreat assistance and support to the archaeological profession who have a pivotal role to play inprotecting our archaeological heritage as well as in furthering archaeological research.

Sile de Valera, T.D.Minister for Arts, Heritage, Gaeltacht and the Islands.

5

Ministers Foreword

6

1.1 The Department of Arts,Heritage, Gaeltacht and the Islands

The Minister for Arts, Heritage, Gaeltachtand the Islands is responsible for theprotection of the archaeological heritagethrough the exercise of powers under theNational Monuments Acts 1930 to 1994,including the licensing of archaeologicalexcavations. The National Monuments(Amendment) Act 1994 assigned to theDirector of the National Museum of Ireland astatutory consultative role in the excavationlicensing process for the first time.

For the purposes of this document it isconsidered important to set out therespective roles of Dchas The HeritageService (referred to below as Dchas) andthe National Museum of Ireland (referred tobelow as the NMI) in the excavation licensingprocess. Dchas is part of the Department ofArts, Heritage, Gaeltacht and the Islands andis responsible for the protection ofarchaeological sites and monuments. TheNMI (which is also part of the Department ofArts, Heritage, Gaeltacht and the Islands) isthe national repository of archaeologicalobjects and is generally responsible for theprotection of such objects.

In making decisions on whether or not togrant archaeological excavation licences theMinister for Arts, Heritage, Gaeltacht and theIslands has regard to the advice of Dchasas having the primary role in the protection ofarchaeological sites and monuments and tothe advice of the NMI as having the primaryrole in the protection of archaeologicalobjects.

1.2 Purpose and structure of thisdocument

PurposeThe archaeological heritage is a non-renewable cultural and scientific resource ofgreat importance. Although archaeological

excavation produces new data on pastsocieties it also results in the irreversibledestruction of par t of that resource.Archaeological excavation also results in therecovery of archaeological objects. Suchobjects are a key part of the archaeologicalheritage and a resource for ongoingresearch. Their long-term storage andcuration is a responsibility of the State. Theregulation and control of archaeologicalexcavation is therefore a matter which is ofgreat importance to the public interest.Because of this, the law (in the form of theNational Monuments Acts) provides for theMinister for Arts, Heritage, Gaeltacht and theIslands to exercise such regulation andcontrol.

Policy on archaeological excavation formspart of overall policy on the protection of thearchaeological heritage, the framework ofwhich is set out in the Framework andPrinciples for the Protection of theArchaeological Heritage published by theDepartment of Arts, Heritage, Gaeltacht andthe Islands. However, given the overallsignificance of archaeological excavation inrespect of the protection of thearchaeological heritage both moveable andimmoveable, the range of issues involved,and the growing number of archaeologicalexcavations taking place (now in excess ofsix hundred a year and mostly development-led), it is considered necessary that aspecific document be published on policy andguidelines for archaeological excavation.

When carrying out its statutory role ofregulating and controlling archaeologicalexcavation the Department of Arts, Heritage,Gaeltacht and the Islands wishes to work inpar tnership with the archaeologicalprofession (who undertake archaeologicalexcavations) so as to better secure theprotection of the archaeological heritage. Thepublication of this document is a key elementin this.

7

Part I INTRODUCTION

8StructurePart II of the present document sets out policyon licensing of archaeological excavations. Anaspect of that policy is to ensure thatproposals to undertake archaeologicalexcavations and the conduct of suchexcavations are in accordance with guidelinesand advice notes. Part III sets out guidelinesfor applicants for archaeological excavationlicences and licensees. These guidelinesestablish the framework within which theadvice notes will be issued by Dchas andNMI, as appropriate.

Policy on the licensing of archaeologicalexcavations also requires that archaeologicalexcavation licences be issued subject to astandard set of conditions relating to theproper conduct of the excavation. Part IV setsout the standard set of archaeologicalexcavation licence conditions as currentlyformulated.

1.3 Proposed further action by theDepartment of Arts, Heritage,Gaeltacht and the Islands inrespect of archaeologicalexcavation

In addition to the establishment of policy onlicensing of archaeological excavations andthe setting out of guidance and advice forapplicants and licensees, the Departmenthas identified a number of other matterswhere the need for fur ther action isrecognised or will be examined. These arenoted below.

(a) Publication of the results ofarchaeological excavations

This document sets out certain requirementson licensees in respect of publication of theresults of archaeological excavations. Asarchaeological excavation is a destructiveprocess appropriate publication of results isessential. It is the intention of theDepartment of Arts, Heritage, Gaeltacht andthe Islands to develop, in consultation withother relevant parties, required standards forsuch publication, which will be set out inadvice notes issued by Dchas.

Dchas now funds the publication of theannual Excavations bulletin and this fundingwill be continued. Summary publication in thebulletin is a requirement under the terms ofan archaeological excavation licence (seebelow, Parts III and IV). The Department willexamine, again in consultation with relevantparties, issues relating to the availability ofappropriate media for full publication of theresults of archaeological excavations.

(b) Archiving of documentation fromarchaeological excavations

In addition to the issue of archiving of reportssubmitted in fulfillment of archaeologicalexcavation licence conditions, it isrecognised that the issue of the developmentof an archive for original documentation fromarchaeological excavations needs to beaddressed. The Department will consider thisissue in consultation with relevant parties.

(c) Publication of excavations undertakenby the Department of Arts, Heritage,Gaeltacht and the Islands in the past

The Department considers the appropriatepublication of archaeological excavationscarried out by it in the past (i.e. includingthose carried out by both Dchas and theNMI) to be a priority and will seek to resourceaction in that regard accordingly.

2.1 Legal framework

The provisions of Section 26 of the NationalMonuments Act 1930 relating to the controlof excavation for archaeological purposes area key element in the general framework ofprotection for the archaeological heritage.Section 26 allows both for the prevention ofexcavation for archaeological purposes byunqualified persons and also the regulationand control of excavations undertaken byqualified archaeologists. Section 26 (1)makes it unlawful for a person to whom anexcavation licence has not been issued to

dig or excavate in or under any land(whether with or without removing thesurface of the land) for the purpose ofsearching generally for archaeologicalobjects or of searching for, exposing orexamining any particular structure orthing of archaeological interest known orbelieved to be in or under such land orfor any other archaeological purpose.

Section 26 (2) (as amended by Section 21 ofthe 1994 amending Act) provides that theMinister for Arts, Heritage, Gaeltacht and theIslands, having consulted with the Director ofthe NMI, may at his or her discretion

issue to any person a licence to dig orexcavate in or under any specified landfor any specified archaeological purposeand may insert in any such licence suchconditions and restrictions as (he or she)shall think proper.

Section 2 of the 1930 Act (as amended)provides that land includes land covered bywater.

These provisions are both in accordancewith, and allow compliance with, theprovisions of Article 3 of the EuropeanConvention on the Protection of theArchaeological Heritage (the VallettaConvention of 1992) (in so far as they relate

to archaeological excavation) which requireStates party to the Convention,

i. to apply procedures for the authorisationand supervision of excavation and otherarchaeological activities in such a wayas:

a. to prevent any illicit excavation orremoval of elements of thearchaeological heritage;

b. to ensure that archaeologicalexcavations and prospecting areundertaken in a scientific mannerand provided that:

non-destructive methods ofinvestigation are appliedwherever possible;

the elements of thearchaeological heritage are notuncovered or left exposedduring or after excavationwithout provision being madefor their proper preservation,conservation and management;

ii. to ensure that excavations and otherpotentially destructive techniques arecarried out only by qualified, speciallyauthorised persons.

They also allow compliance with Article 7 ofthat Convention whereby States party to theConvention undertake, inter alia, to:

take all practical measures to ensure the drafting, followingarchaeological operations, of apublishable scientific summary recordbefore the necessary comprehensivepublication of specialised studies.

Ireland ratified the European Convention onthe Protection of the ArchaeologicalHeritage in 1997 and is legally bound by it.

9

Part II POLICY ON LICENSING OF ARCHAELOGICAL EXCAVATIONS

10

The Convention is the basis for all policy onthe protection of the archaeologicalheritage and all licensing of archaeologicalexcavations must be in accordance with itsprovisions.

Dchas advises the Minister for Ar ts,Heritage, Gaeltacht and the Islands on theissuing of archaeological excavation licencesand consults with the NMI consistent with thestatutory requirement that the Ministerconsult the Director of the NMI prior toissuing such a licence.

2.2 Aim of policy on licensing ofarchaeological excavations

It is the aim of policy in this area:

(a) to secure the conservation and propermanagement of the archaeologicalheritage, having regard to that heritagesgreat importance as a cultural andscientific resource and its non-renewable nature;

(b) to promote and secure best practice and professional standards in theconduct of archaeological excavations.(Post-excavation analysis and conserv-ation work and appropriate publicationand dissemination of results are anintegral part of such excavations);

(c) to ensure the proper excavation,conservation and curation ofarchaeological objects found inarchaeological excavations;

(d) to have regard to the existence of apublic interest in access to the results of archaeological excavations whileprotecting legitimate rights of those whoundertake such excavations.

2.3 Policy in relation to decidingwhether or not to issue a licence tocarry out an archaeologicalexcavation

Applicants for archaeological excavationlicences will have to satisfy the Departmentof Arts, Heritage, Gaeltacht and the Islandswith regard to the following factors:

(a) that the proposed archaeologicalexcavation is justified or necessary

GeneralWhatever the category of archaeologicalexcavation being proposed, account will betaken of whether or not appropriate use hasbeen made, or is proposed to be made, ofsuitable non-destructive methods of siteinvestigation.

Appropriate facilities for the long-termstorage and curation of archaeologicalobjects uncovered in a proposedarchaeological excavation must be availableto the State before any such excavation (ofwhatever category) can be considered to bejustified. Account will, however, be taken ofcircumstances where there is no practicablealternative to archaeological excavation.

Development-led excavations (includingexcavations in advance of monumentconservation or presentation)Proposals to under take archaeologicalexcavations of this category will be assessedwith regard to whether or not there is anypracticable and archaeologically acceptablealternative to development or works whichwould impinge on archaeological deposits,features or objects.

11

Research excavationsAlthough the assessment of the quality orwor th of academic research is notconsidered a matter appropriate to theDepartment of Arts, Heritage, Gaeltacht andthe Islands, account will be taken of theexistence or otherwise of reasonablegrounds for considering a proposed researchexcavation to be taking place in a properresearch framework.

In addition, conservation and managementstrategies being followed with respect tospecific archaeological monuments will betaken into account as well as overall policy onthe protection of the archaeological heritage.

(b) that they are competent to carry outthe archaeological excavation

Persons who have not previously held anarchaeological excavation licence Prior to any applications by such personsbeing considered by the Department of Arts,Heritage, Gaeltacht and the Islands, theircompetency will be assessed by means ofinterview by a panel established by theDepartment (see below for the compositionof this panel).

The criteria for eligibility of persons who havenot previously held archaeological excavationlicences for interview by this panel will be theholding of an academic qualification with a substantial archaeological content andrelevant archaeological excavationexperience in a supervisory capacity.

Persons who last held an archaeologicalexcavation licence ten years or more ago Such persons will also be required to havetheir competency assessed by means ofinterview by the panel prior to anyapplications by them being considered by theDepartment of Arts, Heritage, Gaeltacht andthe Islands.

Other applicantsThe Department of Arts, Heritage, Gaeltachtand the Islands will take into accountevidence of the competency of otherapplicants who have previously held

archaeological excavation licences whenassessing applications made by them. Thatevidence may include relevant experienceand previous standards of work.

Such persons may be required to submitthemselves for interview by the panel if thereare grounds for believing that theircompetency should be reviewed in general orin relation to the conduct of a specificproposed archaeological excavation.

Assessment of the competency ofintervieweesThe panel will assess the competency ofinterviewees with regard to the followingheadings:

(i) knowledge of Irish archaeology (includingmaterial culture)

(ii) knowledge and experience of relevantarchaeological excavation and surveytechniques

(iii) knowledge and recognition ofarchaeological objects

(iv) knowledge and experience ofappropriate responses to problems of storage and conservation ofarchaeological objects uncovered in thecourse of excavation

(v) knowledge and experience of post-excavation analysis

(vi) knowledge, experience and skills in thepreparation of material for publication

(vii) knowledge of relevant legislation

Composition and role of the interview panelThe interview panel established by theDepartment of Arts, Heritage, Gaeltacht andthe Islands will be composed of persons withsuitable expertise. It will normally include staffof Dchas and the NMI and a representative ofrelevant academic interests.

The interview panel will advise, and makerecommendations to, the Department of

12

Arts, Heritage, Gaeltacht and the Islands inrespect of the level of competency of personswhom it has interviewed. Theserecommendations will, along with all otherrelevant matters, form the basis forassessment by the Depar tment ofapplications from such persons forarchaeological excavation licences.

The panel will advise those whom it hasinterviewed about the advice andrecommendations it has given in respect ofthem to the Department of Arts, Heritage,Gaeltacht and the Islands. It may also advisethem that their level of competency needs tobe improved overall or with regard to one ormore of the headings at (i) to (vii) abovebefore it would be in a position torecommend them to the Department.

Holding of interviewsArchaeological excavation licensinginterviews will be held regularly. Personswishing to be interviewed should apply inwriting (enclosing a curriculum vitae) to:

Excavation Licences Section,National Monuments and Historic Properties Division,Dchas The Heritage Service, The Department of Arts, Heritage, Gaeltacht and the Islands,51 St Stephens Green,Dublin 2.

(c) that they have satisfactorily compliedwith the conditions of previousarchaeological excavation licencesissued to them

Persons who have

failed to submit a repor t on anarchaeological excavation to the bodiesspecified under the terms of theexcavation licence within the timeallowed under the terms of the licence,or

submitted a report which does notcomply with the requirements of theDepartment of Arts, Heritage, Gaeltacht

and the Islands under the terms of thelicence, or

failed to comply with the requirements ofthe Department under the terms of thelicence in respect of publication,

will not be granted further archaeologicalexcavation licences until they havecomplied in full with the requirements of theDepartment of Arts, Heritage, Gaeltachtand the Islands in respect of the above.

Recurring failure to submit satisfactoryreports within the time allowed under theterms of the licence or to publish inaccordance with the terms of the licence, ora particular case of such failure which is of aserious nature, may result in a decision thatthe person concerned should not be grantedany fur ther archaeological excavationlicences.

In the above, the term report includes bothpreliminary and final reports.

Failure to comply with other conditions of anarchaeological excavation licence, failure toconduct an archaeological excavationappropriately, or failure to make appropriateprovision for excavated archaeologicalobjects will constitute grounds for refusal togrant any further licences.

(d) that they are not already committed (orlikely to become so) to work which might impair their ability tocomplete the proposed archaeologicalexcavation to a professional standardand to the satisfaction of theDepartment of Arts, Heritage,Gaeltacht and the Islands

Completion of an archaeological excavationincludes the carrying out of post-excavationanalysis and conservation, the preparationand submission of reports and publication(where required).

In par ticular, the Depar tment of Ar ts,Heritage, Gaeltacht and the Islandsdiscourages fur ther applications from

13

persons who have not yet submitted a report(whether preliminary or final) on theirprevious excavation, even though the timeallowed for doing so has not yet elapsed.

(e) that they have prepared a properstrategy for carrying out thearchaeological excavation

Applicants for archaeological excavationlicences will be required to submit a methodstatement with their application. Guidelinesand advice notes will be issued on therequirements for information to be containedin such method statements and applicantswill be expected to comply with suchguidelines and advice notes.

Proposals set out in method statements willbe expected to be in accordance withprofessional standards and the requirementsof the Depar tment of Ar ts, Heritage,Gaeltacht and the Islands as set out inguidelines and advice notes.

(f) that they are willing to undertake that the necessary resources are available to complete thearchaeological excavation to aprofessional standard and to thesatisfaction of the Department of Arts,Heritage, Gaeltacht and the Islands

Again, it should be noted that completion ofan archaeological excavation includes thecarrying out of post-excavation analysis andconservation, the preparation andsubmission of reports and publication (whererequired). Applicants must therefore bewilling to undertake that the necessaryresources are available for all post-excavation work including, it must beemphasised, the conservation of excavatedarchaeological objects and their curationprior to being taken into State care.

2.4 Policy in relation to theregulation of the conduct ofarchaeological excavations

Archaeological excavations will be licensedsubject to a standard set of conditions

relating to the proper conduct of theexcavation as well as other relevant matters.These conditions will include, but notnecessarily be confined to, a requirementthat an archaeological excavation (includingpreparation and submission of reports, post-excavation analysis and conservation workand publication as well as the on-site phase)be carried out in full accordance andcompliance with guidelines and advice notesissued by the Department of Arts, Heritage,Gaeltacht and the Islands (including, inrespect of the treatment and care ofexcavated archaeological objects, the NMI).

The Minister for Arts, Heritage, Gaeltacht andthe Islands reserves the right to revise thisstandard set of conditions at any time and inrespect of any specific case to add any otherconditions that he or she considersappropriate or necessary.

The inspection of archaeological excavationsand post-excavation facilities to ensurecompliance with licence conditions will beconsidered a priority, and the Department ofArts, Heritage, Gaeltacht and the Islands willseek to resource action in that regardaccordingly.

2.5 Policy in relation to access toreports on archaeologicalexcavations lodged with theDepartment of Arts, Heritage,Gaeltacht and the Islands infulfillment of licensing conditions

Archaeological excavations will be licensedon the basis that the Department of Arts,Heritage, Gaeltacht and the Islands will havethe right (without prejudice to any other rightsit or the public may have) to allow access torepor ts lodged with the Depar tment infulfillment of licensing conditions inaccordance with the policy set out below. Theterms final report and preliminary reportare defined in section 3.5 below.

(a) Access to final reports

The Department of Arts, Heritage, Gaeltachtand the Islands may decide at any time to

14

provide access to the final report on anarchaeological excavation for the purpose ofconsultation of the report if such decision isin accordance with the wishes of the licenseeand any conditions laid down by him/her.

After a period of three years from thecompletion of the on-site phase of anarchaeological excavation the Departmentmay decide, without the agreement of thelicensee, to provide access to the final reporton such excavation for the purpose ofconsultation of the report. This will, however,only be done on the basis that a personconsulting such a report gives a writtenundertaking to fully acknowledge the use ofany data contained in the report.

(b) Access to preliminary reports

The Department of Arts, Heritage, Gaeltachtand the Islands may decide to provide accessto the preliminary repor t on anarchaeological excavation for the purpose ofconsultation of the report if such decision isin accordance with the wishes of the licenseeand any conditions laid down by him/her.

The Department may decide, without theagreement of the licensee, to provide accessto the preliminary repor t on anarchaeological excavation for the purpose ofconsultation of the report if it appears to theDepartment that this is required in the publicinterest. This will, however, only be done onthe basis that a person consulting such areport gives a written undertaking to fully

acknowledge the use of any data contained inthe report.

(c) Regulation of the above

Access to archaeological excavation reports(whether preliminary or final) for the purposeof consultation of such reports may besubject to conditions relating to reasonableprior notification and the making ofappointments by persons seeking suchaccess.

The usual provisions regarding copyright willstill apply to all archaeological excavationreports (whether preliminary or final) lodgedwith the Department of Ar ts, Heritage,Gaeltacht and the Islands.

This policy is without prejudice to any rightsof access to records under the Freedom ofInformation Act 1997.

2.6 Action by the Department ofArts, Heritage, Gaeltacht and theIslands in the event of failure topublish in accordance withrequirements under the terms of anarchaeological excavation licence

The Department of Arts, Heritage, Gaeltachtand the Islands may, in the event ofunjustified failure by a licensee to have theresults of an archaeological excavationpublished in accordance with therequirements of the archaeologicalexcavation licence, publish its own accountof the results of the excavation using for thatpurpose any repor ts submitted by thelicensee to it in fulfillment of licensingconditions.

The above does not bind the Department totake such action in any particular case. Incases where such action is taken it is likelythat no further archaeological excavationlicences will be issued to the licensee inquestion.

3.1 Introduction

As set out in Part II above, it is the policy ofthe Department of Arts, Heritage, Gaeltachtand the Islands that the conditions underwhich archaeological excavations arelicensed include a requirement that anarchaeological excavation be carried out infull accordance and compliance withguidelines and advice notes issued by theDepartment of Arts, Heritage, Gaeltacht andthe Islands. It is also par t of theDepartments policy that applicants forarchaeological excavation licences berequired to submit method statements.Method statements, and the proposals setout in them, are expected to be inaccordance with guidelines and advice notesissued by the Department.

The guidelines set out in the presentdocument give a general explanation of therequirements of the Department of Arts,Heritage, Gaeltacht and the Islands withregard to the matters referred to above, aswell as certain other relevant information.They also establish a framework within whichadvice notes, containing detailed material,will be issued by Dchas and the NMI asappropriate.

Archaeological excavations must beconducted in full accordance andcompliance with the advice notes as well aswith the guidelines set out in thisdocument. It is anticipated that the advicenotes will be updated by Dchas and the NMIat regular intervals and persons proposing orunder taking archaeological excavationshould therefore ensure that they obtain thecurrent versions.

3.2 Applications for archaeologicalexcavation licences

3.2.1 General

Before an application for an archaeologicalexcavation licence is prepared or submittedthe provisions of section 2.3 above (i.e.policy in relation to deciding whether or not toissue an archaeological excavation licence)should be carefully considered. It is alsorecommended that prospective applicantsconsider all relevant aspects of theFramework and Principles for the Protectionof the Archaeological Heritage published bythe Department of Arts, Heritage, Gaeltachtand the Islands.

Applications for archaeological excavationlicences must be submitted to:

Excavation Licences Section,National Monuments and HistoricProperties Division,Dchas The Heritage Service,The Department of Arts, Heritage,Gaeltacht and the Islands,51 St Stephens Green,Dublin 2.

A copy of the application must also be sentto:

The Keeper of Irish Antiquities(Licences),The National Museum of Ireland, Kildare Street, Dublin 2.

Applications for archaeological excavationlicences normally take three weeks toprocess. Applicants should therefore apply atleast three weeks before the commencementdate of the proposed excavation, except inexceptional circumstances. The above doesnot bind the Department of Arts, Heritage,Gaeltacht and the Islands to process anapplication for an archaeological excavation

15

Part III GUIDELINES FOR APPLICANTS AND LICENSEES

16

licence within or by the end of the three weekperiod referred to, or to issue any suchlicence in any particular case.

Applications must be made using a standardform available from Dchas at the aboveaddress. As the form may be updated fromtime to time, applicants should ensure thatthey use the current version. An applicationmade using an out-of-date version of theapplication form may be rejected.

The application form requests detailedinformation regarding the following:

the location of the site of the proposedexcavation (including maps)

the applicant

the site/monument type

the category of excavation proposed

the period of time for which the licenceis required

the purpose of the excavation

the owner of the site

the funding of the excavation and post-excavation work

the planning/development backgroundto the excavation (if any)

the conservation, storage and care ofarchaeological objects uncovered in thecourse of the proposed excavation

the applicants previous reports onarchaeological excavations

In addition to the completed applicationform a method statement must also besubmitted (see section 3.3 below).

All of the above information must besupplied before an application for anarchaeological excavation licence will beconsidered.

A person to whom an archaeologicalexcavation licence has been issued (thelicensee) holds full and sole responsibility for conducting and completing thearchaeological excavation (includingpreparation of reports and publication ofresults) to the standard required under theterms of the licence. Those applicants whohave been sub-contracted by or to anotherarchaeologist or archaeological companymust append to the licence application forma letter signed by both parties stating that

(i) they are both satisfied witharrangements for conducting theexcavation including staffing, finance,and post-excavation work, and

(ii) they have agreed procedures for making amendments to their contractualarrangements which might benecessitated by unforeseencircumstances arising during theexcavation.

3.2.2 Implications of submitting anapplication for an archaeologicalexcavation licence

When an applicant signs an application formfor an archaeological excavation licencehe/she is committing him/herself to conductthe proposed excavation (if a licence is issued)in the manner specified in the application andaccompanying method statement. All theconditions of an archaeological excavationlicence are legally binding on the licensee.Undertaking an archaeological excavation istherefore a very serious commitment whichmust not be entered into lightly. Applicantsand licensees are reminded of the provisionsof section 2.3 (c) above whereby failure tocomply with the conditions of anarchaeological excavation licence may resultin no further such licences being issued tothe person concerned.

3.2.3 Applying to alter the approvedexcavation strategy or methodology

In the course of some archaeologicalexcavations it may become necessary to

17

alter the approved excavation strategy ormethodology as set out in the original licenceapplication and accompanying methodstatement so as to take account of practicaldifficulties on site, or to deal with unforeseenarchaeological problems. However, it must beunderstood that these alterations must becleared with Dchas before altering theexcavation strategy or methodology in anyway. In the case of major changes in strategyor methodology a new method statementmay be required. In the case of minorchanges it may be possible to get approvalfrom Dchas (Excavation Licences Section,National Monuments and Historic PropertiesDivision) over the telephone.

3.3 Excavation strategies andmethod statements for the variouscategories of archaeologicalexcavation

3.3.1 General

As set out in section 2.3 (e) above,applicants for archaeological excavationlicences must satisfy the Department of Arts,Heritage, Gaeltacht and the Islands that theyhave prepared a proper strategy, inaccordance with professional standards andthe requirements of the Department, forcarrying out the archaeological excavation,and in that regard must submit a methodstatement with each licence application.Proposals set out in method statements areexpected to be in accordance withprofessional standards and the requirementsof the Depar tment of Ar ts, Heritage,Gaeltacht and the Islands as set out in thisdocument and the advice notes issued byDchas.

A method statement must outline thestrategy and methodology to be employed inthe course of the proposed archaeologicalexcavation. The general headings forinformation to be contained in a methodstatement are as follows:

the archaeological and other relevantbackground to the proposed excavation

the size, location and scope of theproposed excavation

the method of excavation envisaged

the size of team involved

proposed sampling strategies

proposed artefact recovery strategy

how any problems relating to the impactof the excavation on remainingarchaeological deposits, features orobjects will be addressed

The level of detail necessary and the exacttype of information required for methodstatements will vary depending on thecategory and scale of excavation involvedand applicants are referred to the advicenotes issued by Dchas.

With regard to appropriate excavationstrategies and methodologies, a number ofkey issues are addressed below in respect ofthe two overall categories of development-ledexcavations (of which there are a number ofsub-categories) and research excavations,but again applicants are referred to theadvice notes issued by Dchas. Applicantsshould take careful account of the pointsmade below when formulating a proposedexcavation strategy and methodology, andwhen drafting a method statement.

In all cases the proposed method ofexcavation must be appropriate to the siteand designed to provide accuratearchaeological information.

3.3.2 Development-ledarchaeological excavations

(a) General

Development-led excavations are carried outin order to either assess the impact ofdevelopment on archaeological deposits,features or objects, or to mitigate thearchaeological impact of development. Theproposed archaeological excavation

18

strategy and methodology must addressthese issues and the method statementmust demonstrate that this has been done.In view of this, an applicant should be fullyfamiliar with all relevant aspects of theplanning and/or development backgroundbefore formulating a proposed excavationstrategy and methodology.

(b) Test excavation (also referred to asarchaeological testing)

The purpose of test excavation is to establishthe nature and extent of archaeologicaldeposits and features present in a locationwhich it is proposed to develop (though notnormally to fully investigate those deposits orfeatures) and allow an assessment to bemade of the archaeological impact of theproposed development.

Test excavation should not be confused with,or referred to as, archaeologicalassessment which is the overall process ofassessing the archaeological impact ofdevelopment. Test excavation is one of thetechniques used in carrying outarchaeological assessment which may alsoinclude, as appropriate, documentaryresearch, fieldwalking, examination ofupstanding or visible features or structures,examination of aerial photographs, satelliteor other remote sensing imagery, geophysicalsurvey, and topographical assessment.

Test excavation should not be proposed inisolation but rather as part of the overallprocess of archaeological assessment andas a necessary follow-on to non-invasivetechniques of such assessment.

(c) Archaeological monitoring

Archaeological monitoring involves anarchaeologist being present in the course ofthe carrying out of development works (whichmay include conservation works), so as toidentify and protect archaeological deposits,features or objects which may be uncoveredor otherwise affected by the works.

Although excavation or digging carried out fornon-archaeological purposes does notrequire an archaeological excavation licence,it is strongly recommended that anyoneproposing to undertake archaeologicalmonitoring of large-scale development(including housing schemes, road, sewage and water schemes) obtain anarchaeological excavation licence prior tocommencing such monitoring so as toprevent delays arising in the event ofarchaeological deposits, features or objectsbeing exposed which require excavation.

Anyone considering under takingarchaeological monitoring of large-scaledevelopment without having obtained anarchaeological excavation licence shouldnote the following carefully:

Section 23 of the National Monuments(Amendment) Act 1930 (as amended bySection 19 of the 1994 amending Act)lays down strict requirements in relationto finds of archaeological objects. Aperson finding an archaeological objectmust not remove it or otherwiseinterfere with it unless he or she hasreasonable cause to believe that it isnecessary to remove it so as topreserve it or keep it safe. Section 23 ofthe 1930 Act (as amended) alsorequires that finds of archaeologicalobjects be reported to the Director of theNMI within, at the latest, ninety-sixhours. The finder is obliged to completea prescribed form in respect of eacharchaeological object found.

However, persons operating under and in pursuance of an archaeologicalexcavation licence are exempted fromthe requirements of Section 23 of the1930 Act regarding reporting of finds ofarchaeological objects.

Section 4 of the National Monuments(Amendment) Act 1994 provides that noperson shall have in his or herpossession or under his or her controlan archaeological object found in theState after the coming into operation of

19

the section unless such possession orcontrol is for the purpose of complyingwith Section 23 of the 1930 Act (asamended), or the rights of the State tothe object have been waived, or theperson in question is the holder of an archaeological excavation licence andthe object was found in pursuance ofthat licence.

Archaeologists intending to monitor smalland medium-sized developments shouldclarify with Dchas in advance whether or notan excavation licence is recommended inthat particular instance.

A licensee carrying out archaeologicalmonitoring is expected to be in a position tobe able to stop development works so as toprevent damage to, or interference with,archaeological deposits, features or objectsand arrangements should be made in thatregard with the person or body undertakingdevelopment. A licensee must ensure thathe or she has clarified with Dchas whatprocedures he or she is to follow in theevent of archaeological deposits, features,or objects being uncovered and mustcomply with those procedures. A licensee isexpected to ensure that all the relevantdevelopment works are fully and effectivelyarchaeologically monitored.

Section 16 of the National Monuments(Amendment) Act 1954 provides that nothingin Section 26 of the 1930 Act

shall apply to or render unlawful diggingor excavation in or under any land solelyfor the purpose of securing the safety ofa monument or archaeological objectwhich is in imminent danger ofdestruction or decay.

In practice this section would only beapplicable in rare circumstances and, inparticular, the Department of Arts,

Heritage, Gaeltacht and the Islands doesnot normally consider the use of thisprovision to be appropriate to a situationwhere archaeological monitoring is beingcarried out. As noted above, it is stronglyrecommended that archaeologists monitoringlarge-scale development obtain anarchaeological excavation licence prior tocommencing such monitoring. In all cases ofarchaeological monitoring (whether of large-scale development or otherwise) it is thepolicy of the Department that the conditionsof authorisation or approval of developmentshould provide for the stopping ofdevelopment works in the event ofarchaeological deposits, features or objectsbeing uncovered, followed by appropriatearchaeological responses. The Departmenttherefore considers that archaeologistsengaged in archaeological monitoringshould normally be in a position to carry outany necessary excavation under licence ormake arrangements for this to be done.

(d) Rescue excavation (i.e. archaeologicalexcavation to mitigate the impact ofdevelopment)

The purpose of rescue excavation is tomitigate the impact of development onarchaeological deposits, features andobjects through scientific recording, suchrecording resulting in preservation by recordin accordance with the requirements of theDepartment of Arts, Heritage, Gaeltacht andthe Islands.

(e) Archaeological excavation in advance of monument conservation orpresentation

The purpose of this category of excavation isto either help establish the strategy for conservation/presentation of anarchaeological monument or scientificallyrecord any archaeological deposits, featuresor objects which must be removed or

20

inter fered with to properly conserve anarchaeological monument or present it to thepublic, such recording resulting inpreservation by record in accordance with therequirements of the Department of Arts,Heritage, Gaeltacht and the Islands.

3.3.3 Research excavation

Although all archaeological excavation is a form of research, in the present context the term refers to archaeological excavationsunder taken to answer archaeologicalquestions formulated in a research, ratherthan development-led, context.

As set out in section 2.3 (a) above, theexistence or otherwise of reasonablegrounds for considering a proposed researchexcavation to be taking place in a properresearch framework will be taken intoaccount when a decision is being made as towhether or not a proposed researchexcavation is justified or necessary.

In view of the above a method statement inrespect of a proposed research excavationmust explain how the excavation fits into anoverall research framework, the reasons for now under taking an archaeologicalexcavation, and how and by what means theproposed excavation will advance the overallresearch aim.

3.4 Conduct of an archaeologicalexcavation

Full and sole responsibility for conducting anarchaeological excavation so as to complywith the requirements of the archaeologicalexcavation licence rests with the licensee.

It is a condition of an archaeologicalexcavation licence that the excavation must be conducted in the manner specified inthe approved licence application andaccompanying method statement. Proceduresto be followed regarding the seeking ofapproval for alteration of the approvedexcavation strategy and methodology are setout in section 3.2.3 above.

The following general principles apply to theconduct of an archaeological excavation(including preparation and submission ofrepor ts, post-excavation analysis andconservation work and publication):

An archaeological excavation shouldachieve the purpose for which it wasproposed and must be conductedaccordingly (the attention of licensees isdrawn to the purposes of the variouscategories of archaeological excavationsas set out in sections 3.3.2 and 3.3.3above).

All aspects of an archaeologicalexcavation must be carried out inaccordance with professional standards.

Scientific recording must be undertaken,the excavation archive must becomprehensive, and all reasonablesteps must be taken to ensure thesafety of that archive both during andafter the excavation.

Appropriate sampling strategies andmethodologies must be applied.

Appropriate strategies and methodologiesfor dating and environmental analysismust be applied.

Archaeological objects uncovered in theexcavation must be treated andconserved appropriately and adequatefacilities provided to do so.

Advice notes issued by Dchas and by theNMI as appropriate will deal in detail withstandards required in the conduct ofarchaeological excavations.

3.5 Reports on archaeologicalexcavations

3.5.1 Preliminary reports

A licensee must prepare a preliminary reporton the archaeological excavation. A copy ofthat report must be submitted to both Dchasand the NMI not later than four weeks after the

21

expiry of the archaeological excavationlicence. This requirement applies to eachseason of an archaeological excavation whichextends over more than one season.

As already noted (see section 3.3.2 (b)above), test excavation should form part ofthe overall process of archaeologicalassessment and should be done as anecessary follow-on to non-invasivetechniques of such assessment. In view ofthis a preliminary report on a test excavationmust contain an archaeological impactstatement describing the possible direct orindirect effects of the proposed developmenton archaeological deposits, features orobjects. The archaeological impactstatement must be based on the results ofthe overall archaeological assessment aswell as the results of the test excavation.

Advice notes issued by Dchas will set furtherstandards regarding preliminary reports.

3.5.2 Final reports

A licensee must prepare a final report on thearchaeological excavation. A copy must besubmitted to both Dchas and the NMI notlater than twelve months after the expiry ofthe archaeological excavation licence. In cases of par ticular extremely largearchaeological excavations, or otherwise inexceptional circumstances, Dchas may (onrequest from the licensee) agree to anextension of the time allowed for submissionof the final report to both it and the NMI.However, in such cases an annual reportoutlining progress on preparation of the finalreport (including specialist reports) must beprepared and a copy submitted to bothDchas and the NMI.

A final report must be to publication standard.It must contain a full account of thestratigraphy, features and finds and mustinclude specialist reports and be suitablyillustrated. It must interpret the site and placeit in its archaeological and historical context.Given that an archaeological excavationshould achieve the purpose for which it wasproposed (see section 3.4 above) a final

report on a development-led archaeologicalexcavation (other than a test excavation) mustexplain how the excavation mitigated thearchaeological impact of development.

In the case of particular small-scalearchaeological excavations Dchas may (onrequest from the licensee) agree that thepreliminary report contains all relevantinformation and may therefore be regarded asthe final report for the purpose of compliancewith the requirements of the licence.

3.6 Publication

3.6.1 Summary publication

A licensee must in all cases submit a concisesummary of the results of the archaeologicalexcavation for publication in the Excavationsbulletin (i.e. Summary Accounts ofArchaeological Excavations in Ireland) dealingwith the year in which the excavation tookplace (the publication of this bulletin isfunded by Dchas). The material submittedfor publication in the Excavations bulletinmust be in a format suitable for publication inthat bulletin.

3.6.2 Full publication

Except in cases where Dchas has agreed thatthe preliminary report as submittedconstitutes the final report (see section 3.5.2above), a licensee must have a full account ofthe results of the archaeological excavationpublished in an appropriate format and to anappropriate standard. Advice notes issued byDchas will deal with appropriate formats andstandards for publication.

In cases where full publication is arequirement, a licensee will be expected tohave submitted the results of the excavationfor such publication not later than four yearsfrom the end of the final on-site phase of theexcavation unless there are substantialgrounds to show that this was not possible.

22

4.1 Standard set of licensingconditions

Archaeological excavations will be licensedsubject to the following set of conditionsrelating to the proper conduct of theexcavation as well as other relevant matters.The Minister for Arts, Heritage, Gaeltacht andthe Islands reserves the right to revise thisstandard set of conditions at any time and inrespect of any specific case to add any otherconditions that he or she considersappropriate or necessary.

In the following Dchas refers to DchasThe Heritage Service, which is part of theDepartment of Arts, Heritage, Gaeltachtand the Islands. The NMI refers to theNational Museum of Ireland. Except wherethe context requires otherwise, the termarchaeological excavation includespreparation and submission of reports, post-excavation analysis and conservation workand publication as well as the on-site phase.References to the Policy and Guidelines onArchaeological Excavation are to thedocument so titled and issued by theDepartment of Arts, Heritage, Gaeltacht andthe Islands. References to the Excavationsbulletin are to the publication titledSummary Accounts of ArchaeologicalExcavations in Ireland.

1. The licence is issued subject to allprovisions of the Policy and Guidelineson Archaeological Excavation and on thebasis that the licensee accepts full andsole responsibility and liability forensuring that all the conditions of thearchaeological excavation licence arefully complied with.

2. The Minister for Ar ts, Heritage,Gaeltacht and the Islands may suspendor revoke the archaeological excavationlicence at any time and may do sowithout prior notice.

3. The licensee shall be responsible for allloss, damage or injury to persons orproperty in any way arising from thearchaeological excavation and shallindemnify the State and the Minister forArts, Heritage, Gaeltacht and the Islandsand his/her officers, agents, servantsand employees against all action, loss,claims, damages, expenses, demandsor any other liability arising therefrom.

4. The licensee must obtain the permissionof the landowner to dig or excavate in orunder the land before availinghim/herself of the archaeologicalexcavation licence. No responsibility orliability shall attach to the Minister forArts, Heritage, Gaeltacht and the Islandsin the event of a failure on the part of thelicensee to obtain such permission.

5. Section 2 (1) of the National Monuments(Amendment) Act 1994 provides thatownership is vested in the State ofarchaeological objects found in the Statewhich have no known owner at the timethat they are found. The licensee shalladvise the landowner of this and mustnot enter into any agreement orundertaking regarding the disposal ofarchaeological objects without the priorwritten consent of the Director of theNMI.

6. The licensee shall give the NationalMonuments and Historic Proper tiesDivision of Dchas and the NMI aminimum of two working days notice ofthe actual commencement of thearchaeological excavation. He/she shallalso notify that Division and the NMIimmediately of the completion of the on-site phase of the archaeologicalexcavation.

7. Dchas will issue the licensee with areference number for the archaeologicalexcavation. The licensee shall use this

23

Part IV LICENSING CONDITIONS

24

reference number on all correspondencerelating to that particular archaeologicalexcavation and in the numbering of findsof archaeological objects from thearchaeological excavation.

8. All aspects of the archaeologicalexcavation shall be conducted in fullaccordance and compliance with theprovisions of the Policy and Guidelineson Archaeological Excavation, advicenotes issued by Dchas and advicenotes issued by the NMI. The licenseeshall comply with the requirements ofthe NMI regarding treatment, care andnumbering of finds of archaeologicalobjects and shall consult with the NMIregarding temporary storage ofarchaeological objects.

9. All aspects of the archaeologicalexcavation shall be conducted in fullaccordance with the method statementsubmitted by the licensee and approvedby the Minister for Ar ts, Heritage,Gaeltacht and the Islands. Any variationfrom the strategy or methodology set outin that method statement shall only takeplace following approval by Dchas.Such approval must be sought inaccordance with the procedures set outin the Policy and Guidelines onArchaeological Excavation.

10. On the expiry of the archaeologicalexcavation licence, the licensee shallrestore the land to its original conditionunless otherwise directed by theMinister for Arts, Heritage, Gaeltachtand the Islands or the owner of the land.

11. The licensee shall prepare a preliminaryreport on the archaeological excavationand shall submit a copy of that report toboth Dchas and the NMI not later thanfour weeks after the expiry of thearchaeological excavation licence. Thisrequirement applies to each season ofan archaeological excavation whichextends over more than one season. Thepreliminary report shall comply with allrequirements and standards set out in

the Policy and Guidelines onArchaeological Excavation and in advicenotes issued by Dchas.

12. Except where otherwise agreed byDchas, the licensee shall prepare afinal report on the archaeologicalexcavation and shall submit a copy ofthat report to both Dchas and the NMInot later than twelve months after theexpiry of the archaeological excavationlicence. Circumstances in which Dchasmay agree that a final report does nothave to be submitted, and the conditionswhich will apply in such cases, are setout in the Policy and Guidelines onArchaeological Excavation. The finalreport shall comply with all requirementsand standards set out in the Policy andGuidelines on Archaeological Excavationand in advice notes issued by Dchas.

13. On completion of the final report thelicensee shall forward to the NMI allrelevant information regarding thecurrent location of finds ofarchaeological objects from thearchaeological excavation and theperson or body in whose care they areand shall agree arrangements with theNMI for the final deposition of thosearchaeological objects.

14. The licensee shall submit a concisesummary of the results of thearchaeological excavation for publicationin the Excavations bulletin dealing withthe year in which the excavation tookplace. The material submitted forpublication in the Excavations bulletinshall be in a format suitable forpublication in that bulletin.

15. Unless Dchas agrees that thepreliminary repor t as submittedconstitutes the final report, the licenseeshall have a full account of the results ofthe archaeological excavation publishedin an appropriate format and to anappropriate standard, such format andstandard being in accordance withrequirements set out in advice notes

25

issued by Dchas. Where such fullpublication is required, the licensee willbe expected to have submitted theresults of the excavation for fullpublication not later than four years fromthe end of the final on-site phase of theexcavation unless there are substantialgrounds to show that this was notpossible.

4.2 Reminder to licensees ofprovisions of the NationalMonuments Acts 1930 to 1994 andthe National Cultural InstitutionsAct 1997 regarding alteration andexport of archaeological objects

Section 2 of the National Monuments Act1930 (as amended) provides thatarchaeological object means

any chattel whether in a manufacturedor par tly manufactured orunmanufactured state which by reasonof the archaeological interest attachingthereto or of its association with anyIrish historical event or person has avalue substantially greater than itsintrinsic (including artistic) value, andthe said expression includes ancienthuman, animal or plant remains.

Section 25 (1) of the National MonumentsAct 1930 (as amended) provides that

It shall not be lawful for any person toinjure, deface or destroy, clean, restoreor sample by cutting, drilling or otherprocess any archaeological object, norshall it be lawful for any person to alterany archaeological object otherwise thanunder and in accordance with a licencein that behalf granted under thissection.

Section 25 (2) of the 1930 Act provides thatthe Minister for Arts, Heritage, Gaeltacht andthe Islands may issue to any person a licenceto alter any archaeological object in suchmanner, to such extent and subject to suchconditions as are specified in such licence.The NMI advises the Minister on the issuing

of such licences. Section 68 (1) of theNational Cultural Institutions Act 1997provides that the reference to the Minister inSection 25 (2) of the 1930 Act shall beconstrued as a reference to the Board of theNMI, to be established pursuant to theNational Cultural Institutions Act 1997.

Section 49 (7) of the National CulturalInstitutions Act 1997 makes it unlawful toexport or attempt to export an archaeologicalobject other than in accordance with anexport licence issued under Section 50 of theAct. Section 50 (3) of the Act provides thatthe Minister for Arts, Heritage, Gaeltacht andthe Islands may, at his or her discretion,grant or refuse to grant such a licence and alicence, if granted, may be subject to suchconditions and restrictions as the Ministerdetermines and specifies in the licence.Section 2 (1) of the Act provides for adefinition of archaeological object which isthe same as that under the NationalMonuments Acts. The NMI advises theMinister for Arts, Heritage, Gaeltacht and theIslands on the issuing of licences for theexport of archaeological objects.

Cases where a licence to alter anarchaeological object would be requiredinclude the taking of samples fordendrochronological analysis. Cases where alicence to alter an archaeological object anda licence to export such an object would berequired include the export of samples forradiocarbon dating. In any case of doubt theNMI should be consulted.

The issuing of an archaeological excavationlicence in no way affects the obligation tocomply with the above statutory provisions.Persons seeking a licence to alter or exportan archaeological object should apply inwriting to:

The Keeper of Irish Antiquities(Licences),The National Museum of Ireland, Kildare Street, Dublin 2.