4 Principles of sustainable development of historic settlements
This Clause establishes the principles of sustainable development of historic settlements. The principles set the normative orientations of sustainable development. Requirements for the procedures of implementation are established in Clauses 5–12 of this standard.
The principles are grouped by fields of sustainable development: general principles applied to all fields (4.1); people and community (4.2); environment and heritage (4.3); heritage economy (4.4); governance (4.5). For the purposes of traceability, each principle is assigned a stable identifier and a field of sustainable development; the register of principles is given in Annex C (C.9).
4.1 General principles of sustainable development
4.1.1 Objective-setting and vision in the balance "people — environment — economy"
The sustainable development objectives of historic settlements are formed on the basis of a balance of the interests of people (improvement of the quality of life of the population), the environment (preservation and development of the historic environment and the natural setting) and the economy (ensuring the economic viability of the territory).
A vision is formed — a prospective image of the territory as an alternative to the inertial scenario — in which the sustainable development objectives are realized through balanced socio-economic and spatial development, taking into account the preservation and active use of the historical and cultural potential. The vision links the sustainable development objectives, the values of residents, the mission of the historic settlement and its role in the region.
4.1.2 Heritage as an independent vector and a factor of cultural readiness for change
Cultural heritage is positioned not as a "public burden" or a sectoral encumbrance, but as a "common good" and an independent vector of sustainable development of equal standing with people, the environment and the economy (4.1.1). At the same time, heritage conditions the course of sustainable development through its determining role in forming the cultural readiness of people and territories for change.
A simplified positioning of heritage — only as an expensive item of real estate or only as a tourism resource — shall not be permitted in sustainable development documents. Historical and cultural potential is translated into urban-planning and socio-economic processes through an integral system of instruments, and not through isolated sectoral measures.
4.1.3 Sustainable development as a continual adaptive process
Sustainable development is regarded as a continual process of modelling, adaptation and improvement. The resilience of the planning system is secured not by fixing an achieved state, but by its adaptability: the ability to review objectives, instruments and measures when trends, tendencies and the way of life of residents change.
Sustainable development documents shall function as an information system that provides for the modelling of territorial and sectoral problem fields for the required calculation period, and not as a static document with a horizon detached from current urban-planning processes. The time gap between the planning horizons of territorial planning documents and current processes is closed by forming territorial and sectoral sustainable development measures; for historic settlements the set of such measures is drawn up as sustainable development documentation — as part of a master plan or independently (5.1.4, 3.3.3).
Special requirements are placed on sustainable development documentation, including documentation developed as part of a master plan, ensuring at least: socio-cultural analysis and the taking into account of identity; the positioning of heritage as an independent vector and a factor of cultural readiness for change; the identification and demonstration of the socio-economic value of heritage and its integration into urban processes; coordination of state protection and development; measures that secure the conditions for preserving the elements of the subject of protection and for building up historical and cultural potential; confirmation of the reality of the functioning of the socio-economic model of the territory within the established boundaries and constraints of the historic settlement.
4.1.4 Creating conditions, rather than prescribing activity
Sustainable development measures shall be aimed at creating favourable conditions (infrastructural, legal, institutional) for the development of the territory, and not at a detailed prescription of the functional use of objects and of the conduct of business. Objectives are formulated in terms of conditions and states.
The principle is applied to all fields of sustainable development: in the economy, as the creation of the necessary and sufficient conditions for activity (people, territorial and infrastructural resources, planning, good practice); in the preservation of heritage, as a transition from a prohibitive formula to the securing of the conditions of preservation (4.3.9).
4.1.5 Taking into account the interests of future generations
When decisions are taken on the development of a territory, the interests of future generations are taken into account, and the potential for the long-term development of historic settlements is preserved and built up. Cultural heritage is regarded as a non-renewable resource, the responsible use of which is an obligation to future generations.
4.2 People and community
4.2.1 The person as the subject of development: development of the territory through the development of the person
Territorial development is realized not only through the transformation of the environment, but also through the purposeful development of human capital: culture and heritage act on the person, and not on sectors. A competent community is formed that is capable of determining the development of the environment; preparation of a document before the residents have been engaged shall not be permitted.
Education and the development of human capital on the basis of processes of heritage preservation is a sustainable strategy that secures continuity and the reproduction of the values of the historic environment. The development of the competence of the population, of investors and of municipal officers in the field of heritage and sustainable development is a condition of effective participation. The desired socio-economic state of the territory is modelled, among other things, through the motivations, competence and values of its residents.
4.2.2 The cultural landscape as the environment that forms the person
The landscape is recognized as an essential component of people's surroundings and as the basis of the quality of the living environment. The value of all landscapes of the historic settlement is recognized (not only the outstanding ones), including everyday landscapes and those in need of restoration; landscape quality objectives are formed.
The cultural landscape is regarded as an environment of continual influence on residents, forming identity and a cultural and creative demand. The principle of feedback is applied: the development of the person is directed towards the creation of the environment, and the formation of the environment towards the definition of the person. Conditions are created for the realization of the cultural and creative demand of residents activated by the environment — up to the formation of a cultural environment as a space of the creative and innovation economy.
4.2.3 Identity, social cohesion and quality of life
The cultural customs, practices and values of interested parties are identified and taken into account (socio-cultural analysis). Identity determines the connection of people with culture and the territory, and affects entrepreneurial activity, the cohesion of communities and the readiness of residents to accept change and to transform the environment together; transformation of the environment is carried out more effectively by associations or groups of residents, and social cohesion is taken into account in planning.
An improvement in the quality of life of the population is ensured while preserving and developing the historic identity of the place; a sense of belonging and social cohesion is formed on the basis of historical and cultural heritage; a comfortable environment for the person is formed predominantly through the preservation and continuous development of the historic environment.
4.2.4 Participation of interested parties
The active participation of interested parties (residents, business, non-profit organizations in the field of heritage, the professional community, public authorities) in planning, decision-making and implementation is ensured — from objective-setting to monitoring. Planning is regarded as an open process in which all interested parties are engaged; the results of participation form part of the evidence base for the quality of decisions.
4.2.5 Social protection, equal access and accessibility of heritage
The protection regime creates an asymmetry of burdens on the owners and residents of historic territories. Sustainable systems shall ensure a minimum of necessary benefits for those who bear costs for the sake of the common good. The principle of compensation of the costs associated with protection encumbrances is applied, in the forms and in the procedure established by the legislation of the Russian Federation, taking into account the spatial inequality of access to support instruments. This clause does not establish expenditure obligations or new support measures. The social risks of displacement of residents and of gentrification shall be taken into account.
The physical and information accessibility of cultural heritage objects for the population is ensured, as is the creation of conditions for their use for educational, cultural and tourism purposes.
4.3 Environment and heritage
4.3.1 Priority of the preservation of heritage as a common good and a resource for development
Priority is ensured for measures to preserve cultural heritage objects and the subject of protection of the historic settlement when decisions are taken on the development of the territory. Cultural heritage is used as an active resource for improving the quality of life of the population, developing the economy and forming a comfortable living environment, while ensuring its preservation for future generations.
4.3.2 Preservation of the authenticity and integrity of the historic environment
Authenticity is a factor of the resilience and the demand for the urban environment: an authentic space is perceived as safe and tested by time, forming effects of social identity that are significant for the attractiveness of the territory and for business in the sphere of services to the population. Preservation of the authenticity and integrity of the historic environment as interrelated properties of heritage is ensured.
4.3.3 Taking historical and cultural value into account in development planning
Historical and cultural value is used as a basis for establishing protection regimes, prioritizing development measures and forming requirements for urban-planning regulations. When development options are assessed — including in the integrated development of territories on historic territories — the principle is applied that cultural value is taken into account on an equal footing with financial value; identity and authenticity are regarded as factors of consumer loyalty and of a premium for uniqueness, and not as an encumbrance on the project.
4.3.4 Layering of urban heritage (historic urban landscape approach)
The heritage of a historic settlement includes interrelated layers: the historic built fabric and planning structure, natural elements and the landscape, intangible practices and social ways of life, visual links and panoramas. Sustainable development management shall take all layers into account in their interaction, and shall not permit the isolated consideration of individual components of heritage in isolation from the integral system of the historic urban landscape and of activity.
4.3.5 Identification, preservation and use of intangible heritage
Practices, ways of life, crafts, traditions and the historical experience of the development of the territory are identified and taken into account, including those that do not at present have a material expression. Intangible heritage is regarded as a potential for the harmonious development of the person, the environment and the economy and as a resource for the project solutions of sustainable development.
4.3.6 Protection of the heritage context and the mitigation hierarchy
The protection of cultural heritage objects and of the historic environment includes the protection not only of the objects themselves, but also of their setting, urban-planning context, visual openings, panoramas and spatial links. Loss of context reduces the historical and cultural value of the object and weakens its potential as a resource for the development of the territory.
When new objects, reconstruction and other changes in the historic environment are planned, the mitigation hierarchy is applied:
a) avoidance of an adverse effect on cultural heritage objects and on the subject of protection of the historic settlement — the priority measure;
b) where avoidance is impossible — reduction of the effect to the lowest practicable level;
c) then — rehabilitation (restoration) of the impaired characteristics of the environment;
d) compensation — a last resort where other solutions are justifiably impossible.
Compensation is not applied to the elements of the subject of protection of the historic settlement: those elements are subject to unconditional preservation. This clause establishes the mitigation hierarchy for all stages of the documentation; Clauses 7–12 do not reproduce it and refer to it.
The compatibility of changes with the subject of protection is checked under 4.3.8 and 7.12.1. The additional assessment of the indirect effect on the subject of protection and the historic environment (3.3.4) is carried out under 7.12.2 before the vision of territorial development, the target scenario and the measures of the project solution are fixed, and when an adopted decision is substantially changed. The assessment is not a condition for the issue of a construction permit and does not replace the state historical and cultural expert review carried out in accordance with Federal Law No. 73-FZ [1].
4.3.7 Quality of interventions in the historic environment as a factor of capitalization
The quality of any intervention in the historic environment is regarded as a multidimensional characteristic (environmental, cultural, social, economic). Interventions shall ensure the preservation of the authenticity and integrity of heritage. The principles of recognized international charters and recommendations in the field of heritage protection are taken into account to the extent that they do not contradict the legislation of the Russian Federation; the documents are given in Annex A.
The quality of the architectural environment is a strategic imperative of the sustainable development of historic settlements: high architectural quality in renovation and regeneration forms the basis for the capitalization of real estate and for the competitiveness of development projects on historic territories relative to projects on non-historic territories.
4.3.8 Management of change in the balance of preservation and development
Heritage management is regarded as the management of change with the preservation of value: a strict fixing of the elements to be preserved (the subject of protection) provides the basis, beyond which continuous development may occur. Any changes shall be checked in a forecast for compatibility with the subject of protection. The development side is limited by the provisions of the subject of protection and by the requirements of the urban-planning regulations of the historic settlement; the protection side records the value elements and the elements to be preserved carefully and with legal precision.
4.3.9 Active securing of the conditions of preservation
A directive instruction to preserve the subject of protection is not sufficient: elements of protection degrade without organizational, financial and meaningful conditions. The principle of a transition from the formula "it is forbidden to destroy" to the formula "the conditions for preservation are secured" is applied — including maintenance, monitoring and sources of financing for the key elements of the subject of protection.
4.3.10 Building up historical and cultural potential
Organizational, legal and other conditions are created that contribute not only to the preservation but also to the systematic building up of the historical and cultural potential of the historic settlement — predominantly through advance historical and cultural, socio-cultural and architectural and urban-planning studies, and not only through the preservation of what has already been identified. Building up the potential secures parity of the heritage sphere with the urban-planning sector.
4.3.11 Load on historic territories
Each historic territory has a limit of load; exceeding it leads to the degradation of objects, the loss of authenticity and the displacement of residents. Management of the load is checked against the risks of displacement of residents, gentrification and a tourism single function (4.2.5, 5.4.4, item i) and is measured by the indicators of Annex B (B.2.1.6, B.2.2.2). A tourism single function creates a vulnerability of the territory and shall be prevented by the diversification of functions and the regulation of flows.
4.3.12 Regeneration of the historic environment
A system of measures is formed that is aimed at restoring the integrity of the compositional structure of the historic urban landscape and of the natural setting. Preservation, restoration and the continuous development of the traditional urban-planning characteristics of the environment are provided for (the street and road network, the historic parcel structure, the frontage of street development, the traditional system of planting, the elements of the hydrographic network, the character of the relief, and others). The historic environment as a whole is subject to preservation — not only cultural heritage objects, but also the ordinary historic built fabric as its bearer.
4.3.13 Sustainable integrated conservation
The preservation of cultural heritage and the sustainable development of the territory are regarded as a single process, and not as competing tasks. Development decisions are taken so that the value of heritage, the viability of the territory and public consensus are secured together. Integrated conservation includes the coordination of protection and development (4.5.4), the participation of interested parties (4.2.4) and the check of the compatibility of changes with the subject of protection (4.3.8).
4.4 Heritage economy
The principles of this subclause form a sequence: positioning and demonstration of the value of heritage (4.4.1–4.4.3), then integration of the value into economic and investment processes (4.4.4–4.4.7).
4.4.1 Demonstration of the contribution of heritage and the socio-economic value of heritage (SEVH)
Demonstration of the contribution of cultural heritage to the development of territories and of human capital is ensured. The socio-economic value of heritage and its integration into urban industries and functional processes are identified, assessed and developed; the social, educational and cultural effect of heritage on the residents of historic settlements is modelled. The social and economic value of heritage shall be conveyed to the participants in urban-planning and investment processes in the language of effects that is understandable to investors and public authorities: the preservation of heritage without a demonstrated contribution to the well-being of people is not secured by sustainable financing.
The optimal structure of the argument includes: positioning and branding of the territory; social value and the development of human capital; economic value; the formation of a comfortable urban environment; strengthening of the potential of heritage.
4.4.2 Preservation of heritage as an institution of public trust
The fulfilment of obligations to the past — cultural heritage — forms the trust of investors and of society in the fulfilment of obligations to the future within investment and other programmes for the development of the territory. A careful attitude to heritage is evidence of the responsibility of public authorities.
4.4.3 Development on the basis of historical experience and the brand of the territory
The development of territories and sectors with reliance on historical experience (including intangible experience) is accepted more naturally by society. Historical experience is taken into account in personnel training programmes, in the positioning of territories and in the creation of local brands. The brand of the historic settlement is formed on the basis of the interpretation of historical experience and may act as an "umbrella" for local production that uses the brand of the territory in the positioning of products. Culture, identity, traditions and historical experience constitute the intangible asset ("goodwill") of the historic settlement and are taken into account in assessing the potential of its economy.
4.4.4 Adaptive use and the integration of heritage into functional processes
The adaptation of cultural heritage objects for modern use (3.1.17) and the adaptive use of historic buildings that are not cultural heritage objects (3.2.6) are ensured, with minimal intervention in the authentic material fabric and with a functional content that secures economic viability. Where financing is insufficient, the scope of work minimally necessary to bring the object into commercial use should be carried out, without lowering the subject of protection (3.1.15) and without reducing the scope of work established by Federal Law No. 73-FZ [1].
Heritage is integrated into urban industries and functional processes (tourism, education, culture, creative industries) while preserving and developing its socio-economic value; heritage is regarded as an asset of creative entrepreneurship, and the historic environment as a space of the creative economy.
4.4.5 Investment transparency, readiness and predictability of conditions
A hierarchical system of investment passports is formed (from the level of a monument to the level of the historic settlement). The technical, economic, organizational and legal parameters of the development of historic objects and territories should be made accessible. The completeness of the record documentation (an approved subject of protection, cadastral data, protection obligations, a technical condition report, information on encumbrances) is measured by the indicator of Annex B (B.1.5.2) and is not a prohibition on bringing cultural heritage objects into economic use. Information on the investment readiness of objects should be placed in open information resources.
Within sustainable development documentation, a preliminary selection of investment lots with transparent technical and economic parameters is provided for; lots are formed as a single complex (restoration, reconstruction, new construction) with the emphasis on the quality of development of the historic environment, and not on the maximization of compensatory volumes. Negative technical and economic parameters without a model for the use of the socio-economic value of heritage are recognized as a cause of the degradation of objects.
Predictability of conditions is the principal factor of the sustainability of investment projects on historic territories: the characteristics of the environment to be preserved and the requirements for development are fixed at the earliest possible stages of the investment cycle, remain unambiguous at all stages and contain no "grey zones". Simplification of procedures without the formalization of the characteristics of the environment creates greater uncertainty for the investor than complex but clear rules.
4.4.6 Economic measurement of value and diversification of financing
The sustainability of the territory requires measurement of the economic and cultural (non-market) value of heritage and justification of the sources of financing; project solutions cannot be based on a calculation that assumes unsecured sources. Long-term sustainability is secured by a portfolio of instruments (public-private partnership, the endowment of non-profit organizations, a tourism levy, subsidies, preferential lending, crowdfunding), and not by one-off subsidies.
4.4.7 Integration of investment planning
Investment planning is an integral element of sustainable development. The system shall provide for the modelling of urban-planning decisions by volumes, types of investment and sources of financing in the interrelationship of value priorities and economic possibilities.
4.5 Governance of sustainable development
4.5.1 Hierarchy of values and cascading of objectives
Sustainable development objectives shall be linked to the values of residents, the values (principles) of the development of the city (historic settlement) and of the region, reflecting the mission of the historic settlement in the regional context. Targets shall make it possible to translate (cascade) them to different kinds of architectural and planning formations through the spatial instruments of the territorial model.
4.5.2 Integrated assessment, inertial forecast and the scenario approach
The assessment of the current state of the territory and the forecast of potential states are carried out by fields of sustainable development, with the identification of the causes of adverse states and the formulation of hypotheses to explain them; the assessment system shall make it possible to carry out an operational urban-planning and economic analysis of any territory or sectoral system.
Scenarios of the sustainable development of the territory are developed and analysed, taking into account the variability of the identified priorities and problem fields; the target scenario is determined as the optimal approach to achieving the vision of development, as an alternative to the inertial scenario.
4.5.3 Taking technological change into account and monitoring of trends
Decisions on the development of infrastructure and territories shall proactively take into account forecast technological and social changes (including new models of mobility, a change in the structure of the vehicle fleet, the introduction of unmanned technologies, and others). Active monitoring of trends, tendencies and changes in the way of life of residents is ensured — and not only of the degree of implementation of the measures that have been laid down; the planning system shall provide for the modelling of the reaction of territorial and sectoral systems to new trends.
4.5.4 Coordination of state protection and development
The powers to identify, determine and record value characteristics (the subject of protection) and to regulate the development of the territory are separated. Consistency of the decisions of heritage protection authorities and of the bodies responsible for the development of the territory is ensured. Coordination of state protection and development is also ensured in the preparation of planning documents within which sustainable development documentation is developed (5.1.7).
The establishment of protection constraints (including requirements for the urban-planning regulations of the historic settlement) should be combined with the formation of development programmes and measures. The standard does not make the approval of protection acts conditional on the existence of an economic model of the sustainable development documentation. Recommendations on the development of the documentation of the historic settlement in conjunction with the development and implementation of sustainable development documentation are given in Annex D.
4.5.5 Integrated approach and a cross-sector management model
An integrated approach to sustainable development management is applied, ensuring the coordination of actions in different spheres and the consistency of decisions at different levels of management. The real model of the functioning of a city does not coincide with a sectoral division and is cross-sectoral in character: cross-sectoral measures are formed with the operational roles of the interested departments recorded, which ensures the integration of the cultural aspect into the elements of the functional urban model.
4.5.6 Basing on factual data
Decisions are justified by the data of the integrated assessment, of monitoring and of analysis. The data are used to form objectives and to assess the effectiveness of sustainable development measures.
4.5.7 Management on the basis of impact indicators
A system of sustainable development indicators is formed and used for monitoring the achievement of objectives, assessing the effectiveness of measures and taking management decisions, including a quality matrix by stages of the life cycle (planning, design, construction, operation).
Monitoring indicators shall assess the effect on the target systems and states and illustrate the cross-sectoral effect, and not only the degree of fulfilment of the measures that have been laid down.
4.5.8 Continual improvement and pilot projects
Processes of continual improvement of the sustainable development management system are ensured on the basis of the monitoring of indicators, the analysis of results and the adjustment of objectives and measures. Pilot projects are applied as a method of tuning project solutions before scaling.
4.5.9 Leadership and relevance for governing bodies
Leadership of the management is ensured in the introduction of sustainable development decisions, and sustainable development documents are linked to the formalized assessments of the activity of governing bodies that are in force on the date of development of the documentation.
4.5.10 Transparency, accountability and digitalization
Guarantees of transparency and accountability are a condition of trust and of the long-term sustainability of heritage management. Public reporting, open data and the documentability of decisions are ensured.
Digitalization is applied to reduce transaction costs, to widen access to information, to support the management of the load on historic territories and to monitor the condition of cultural heritage objects.
4.5.11 AI-readiness of documentation
Sustainable development documentation should be formed in a state of AI-readiness: the structure and data of the documentation make it possible for an information system, including one based on artificial intelligence, to carry out the procedures of Clauses 4–12. The approach to AI-readiness and the recommended graph model of the territory are given in Annex C and are not a condition of conformity of the documentation with Clauses 4–12. A forecast of the effect of measures using the graph model does not replace the assessment under 7.12.