Annex E. Application of this standard when preparing a master plan and other planning documents

E.1.1 This Annex is applied in the preparation of a master plan and of other planning documents, in the drawing up of the assignment for that work, in the performance of the work and in the check of the completeness of the results. The Annex secures the transition from the composition of the planning document and from the wording of the assignment to the clauses of the standard.

E.1.2 The Annex determines:

a) the modes of application of the standard (E.2);

b) the distribution of the results of the standard among the parts of the master plan and the materials that are not included in the master plan (E.3);

c) the work of the standard in the procedures for the preparation and amendment of a master plan (E.4);

d) the recommended steps for the preservation of heritage (E.5);

e) the taking into account of the results in mode B (E.6);

f) the model blocks of the assignment and the application of the standard to them (E.7–E.10);

g) the work established by the standard and, as a rule, not named in the assignment (E.11);

h) the procedure for using this Annex (E.12).

E.1.3 The Annex does not replace the methodological documents applied in the preparation of a master plan. This Annex does not establish requirements for the structure of those documents and does not assess their provisions.

E.1.4 The Annex does not reproduce the content of Clauses 4–12 and of Annexes B–D. References to clauses and brief descriptions of what the clauses establish are given; lists of requirements, the composition of data and methods are not duplicated in this Annex.

E.1.5 This Annex is informative. Where the provisions of this Annex diverge from Clauses 4–12 and Annex B, those Clauses and Annex B apply.

E.2.1 The sustainable development documentation of the historic settlement (3.3.3) is not identical to the master plan (3.3.1). A master plan is a document of strategic planning, including territorial planning, of a municipality. Sustainable development documentation is the aggregate of the results of Clauses 5–12 in respect of the territory of the historic settlement.

E.2.2 Mode A is applied if a master plan is being prepared or amended whose territory includes a historic settlement. A separate document alongside the master plan is not developed. The distribution of the results is E.3. Mode B is applied when a master plan is not being prepared. Sustainable development documentation is developed as a standalone document, and its results are taken into account in other planning documents (E.6).

E.2.3 Documentation developed in mode B is used as source data in the subsequent preparation of a master plan. Work that has retained its currency is not repeated (5.1.4). A previously developed master plan in which the territory of the historic settlement is not distinguished as a zone of special requirements should be brought into conformity with this standard when it is amended: the results of Clauses 5–12 in respect of that territory are distributed under E.3, and the assessment under 7.12.3 is carried out for decisions that affect the historic settlement.

E.2.4 An assignment may commission work on two related but not identical systems of documents:

a) sustainable development documentation — Clauses 4–12 of this standard;

b) documentation of the historic settlement — the recommendations are given in Annex D.

An assignment that combines both related subjects of Chapter XII in one subject of work distinguishes the roles of the clients and the responsibility of the implementers (D.2.5): the subject of protection and the requirements necessary for its preservation are formed on the commission of the cultural heritage protection authority, and the remainder of the urban-planning regulations and the approaches to the development of the territory are formed on the commission of the local self-government body.

E.2.5 The volume of work commissioned by the assignment is related to the depth of development of the documentation (5.1.6). The depth of development is determined in two stages: the initial depth — at the preliminary setting of objectives, on the basis of the degree of formalization of the status (5.1.2) and of the express analysis (5.1.5); confirmation or extension — on the basis of the results of the prioritization of problem fields (7.13.4) and of the composition of the selected measures (9.4.7). It is recommended that the assignment be drawn up so that the second stage of determining the depth of development can be drawn up as a supplement to the assignment for the collection of data (5.8) without a review of the subject of the work.

E.3.1 In mode A the results of the sustainable development documentation in respect of the territory of the historic settlement are included in the parts of the master plan. If the composition of the parts of the master plan differs from that given, the results are distributed according to the content of the parts (5.1.4).

Table E.1 — Distribution of the results of this standard among the parts of the master plan

E.3.2 The following are not included in the master plan and are kept as materials of traceability transferred to the authorized body (3.3.8): the assignment for the collection of source data (5.8), the baseline (6.1.2), the comparison of options (9.4), the quality matrix (9.12), the graph model (Annex C).

E.3.3 The notions of this standard and the parts of the master plan are related as follows: the target scenario (8.5.5) is the scenario adopted as the base scenario in respect of the territory of the historic settlement; the key projects (9.3, 9.5) are the priority projects; the implementation plan (Clause 10) is the list of measures for implementation; the regulation on the objects planned for placement (9.6) is the provisions on territorial planning and the maps. The implementation coordinating body (3.3.7) is not identical to the commission (or other body) that coordinates the preparation of the draft master plan.

E.4.1 The procedure for the preparation and amendment of a master plan is established by the legislation of the Russian Federation. This standard does not establish that procedure. The recommended place of the work of the standard in that procedure is 5.1.7.

E.4.2 It is recommended that the decision on the preparation of a master plan and the assignment include the degree of formalization of the status of the historic settlement (5.1.2), the results of the express analysis (5.1.5), the depth of development (5.1.6), the composition of the work on the territory of the historic settlement and the procedure for the engagement of interested parties.

E.4.3 In the work of the commission (or other body) that coordinates the preparation of the draft, the participation of the cultural heritage protection authority is recommended. The results of the engagement are transmitted to the commission as proposals of interested persons (5.2.7).

E.4.4 The assessment under 7.12 and the check of the project solution with the target groups (9.4.5) are completed before the draft is submitted for public discussions or public hearings. Before the draft is endorsed, it is recommended that the position of the cultural heritage protection authority be obtained to the extent of paragraph 7 of Article 60 of Federal Law No. 73-FZ [1], if agreement of the draft master plan with that authority is not established by the legislation (5.1.7, item e). This standard does not establish a new kind of agreement.

E.4.5 After the approval of the master plan, the land-use and development rules in respect of the territory of the historic settlement are brought into conformity first, with the agreement of their draft with the cultural heritage protection authority (paragraphs 5–7 of Article 60 of Federal Law No. 73-FZ [1]). Until the approval of such rules in a historic settlement of federal significance, territory planning projects and land-survey designs within the boundaries of the territory of the historic settlement are agreed with the federal cultural heritage protection authority (paragraph 8 of Article 60 of Federal Law No. 73-FZ [1]; 10.6.2). If the list of measures is approved as a separate document, the list and its current edition are published (10.8.2).

E.4.6 Monitoring in respect of the territory of the historic settlement is carried out as part of the monitoring of the implementation of the master plan (Clause 12). When amendments are made that affect the historic settlement, including without public discussions or public hearings and in connection with the integrated development of a territory, the assessment under 7.12.3 and the review of the project solution under 9.14 are carried out.

E.5.1 The steps of this subclause are recommended where the legislation does not establish agreement of the draft master plan with the cultural heritage protection authority. They do not create a new kind of agreement.

E.5.2 Before the draft is endorsed, the position of the cultural heritage protection authority on the conformity of the draft, in respect of the territory of the historic settlement, with the approved subject of protection is recommended (5.1.7, item e; paragraph 7 of Article 60 of Federal Law No. 73-FZ [1]).

E.5.3 The assessment under 7.12.3 is carried out for priority projects and objects on the territory of the historic settlement or affecting the subject of protection, for changes in functional zones and for any amendments of the master plan that affect the historic settlement.

E.5.4 The protection layers are given on the maps of the master plan or in its conceptual part (9.6.3, items b) and h)).

E.5.5 The draft land-use and development rules are agreed with the cultural heritage protection authority (10.2.2, item h; paragraphs 5–7 of Article 60 of Federal Law No. 73-FZ [1]).

E.5.6 Monitoring of the condition of heritage (Clause 12, subclause 12.4) and the core of the indicators (B.3.1.3) should be included in the monitoring of the implementation of the master plan. Civic monitoring should be included in the procedure of such monitoring (12.3.6).

E.6.1 In mode B the sustainable development documentation is taken into account:

a) in the general plan (the single document of territorial planning and urban-planning zoning) — the objectives, the vision, the regulation on the objects planned for placement and the map-schemes (9.6, 9.10.2, 10.6);

b) in the strategy of socio-economic development of the municipality and in the plan of measures for its implementation — the objectives and the implementation plan (5.5.3, 10.2.6);

c) in the land-use and development rules — the requirements for urban-planning regulations and the proposals of 9.6.2; the draft rules are agreed with the cultural heritage protection authority (paragraphs 5–7 of Article 60 of Federal Law No. 73-FZ [1]);

d) in state and municipal programmes and in programmes for the integrated development of infrastructure systems — as mechanisms for the implementation of the measures (10.2.6).

E.6.2 Draft general plans prepared in relation to the territories of historic settlements are agreed with the cultural heritage protection authority (paragraph 4 of Article 60 of Federal Law No. 73-FZ [1]). The subject of the agreement is conformity with the approved subject of protection (paragraph 7 of the same Article).

E.6.3 The results of the engagement are transmitted in the preparation of the general plan and of the land-use and development rules and do not replace public discussions or public hearings (5.2.7).

E.7.1 In the practice of developing master plans, a technical assignment as a rule includes the blocks listed below. The application of the standard to each block is given in E.9:

a) the subject and the kind of work (E.9.1);

b) the objectives and tasks of the performance of the work (E.9.2);

c) the planning horizon (E.9.3);

d) the boundaries of the territory of development (E.9.4);

e) the sphere of application of the result of the work (E.9.5);

f) the requirements for the methodology and for the documents to be taken into account (E.9.6);

g) the list of source data (E.9.7);

h) the analytical block — integrated diagnostics (E.9.8);

i) the forecast of the development of the territory (E.9.9);

j) the taking into account of protection constraints, the assessment of effects on the subject of protection and the additional impact assessment (E.9.10);

k) the objective-setting block (E.9.11);

l) the vision and the development scenarios (E.9.12);

m) the project block — key projects and measures (E.9.13);

n) the regulation on the objects planned for placement and proposals for the amendment of urban-planning documentation (E.9.14);

o) the implementation plan (E.9.15);

p) the implementation management system and the project office (E.9.16);

q) the digital results (E.9.17);

r) the engagement of interested parties (E.9.18);

s) monitoring and targets (E.9.19);

t) the reporting materials and formats (E.9.20);

u) acceptance and the criteria of completeness of the result (E.9.21);

v) the requirements for the implementer of the work on the territory of the historic settlement (E.9.22).

E.7.2 For the sustainable development documentation of the historic settlement the assignment is supplemented by blocks conditioned by the status of the territory. The application of the standard to those blocks is given in E.10.

E.7.3 The composition and the names of the blocks differ between assignments. The absence from the assignment of a block corresponding to the requirements of the standard does not cancel those requirements if the documentation is declared as developed under this standard (E.11). If the assignment combines several blocks in one item, all the corresponding clauses of E.9 and E.10 apply.

E.7.4 The names of the blocks of the assignment used in practice ("analytical block", "objective-setting block", "project block", "diagnostics and vision", "framework concept", "strategic master plan") are not identical to the titles of the Clauses of this standard. The crosswalk is carried out according to the content of the work, and not according to the name of the block.

E.8.1 This standard establishes the procedure for the performance of the work: preliminary setting of objectives (Clause 5) — collection of source data (Clause 6) — analysis and identification of the problem field (Clause 7) — refinement of objectives on the basis of the analysis results (Clause 5) — vision (Clause 8) — project solution (Clause 9) — implementation plan (Clause 10) — implementation management system (Clause 11) — monitoring (Clause 12). Clause 4 is applied at all stages.

E.8.2 A model assignment groups the work into three stages: diagnostics and vision; framework concept; master plan. The grouping does not contradict the procedure of E.8.1 if the sequence of the work is observed within the stage. The staging of the assignment is organizational and does not change the composition of the source data and of the results of the Clauses. The procedure of the work within a specific block of the assignment is given in the corresponding clause of E.9 and is not taken out into another subclause.

E.8.3 A typical divergence of an assignment from the procedure of E.8.1 is that the vision of territorial development is commissioned by the assignment in the same stage as the diagnostics. In that case the vision is formed before the refinement of objectives on the basis of the analysis results and before the inertial forecast, as a result of which the vision is not a justified alternative to the inertial forecast and the target gap is not recorded. The procedure of the work on the analytical block, on objective-setting and on the vision is in E.9.8, E.9.11 and E.9.12.

E.8.4 In mode A the stages of the assignment are related to the procedures for the preparation of the master plan (E.4): the decision on preparation and the assignment — before the collection of data; the results of the engagement and the assessment under 7.12 — before public discussions or public hearings; the position of the cultural heritage protection authority — before the endorsement of the draft; the bringing of the land-use and development rules into conformity — after approval.

E.9.1 Subject and kind of work. A model assignment commissions the development of a master plan of a municipality or of the sustainable development documentation of a historic settlement.

Application of the standard:

a) 3.3.1 establishes the master plan as a document of strategic planning, including territorial planning, of a municipality; this standard does not establish the composition or the procedure for its preparation;

b) 3.3.3 establishes sustainable development documentation as the aggregate of the results of Clauses 5–12, including the analysis and the list of measures under subparagraphs 1 and 2 of paragraph 3 of Article 60 of Federal Law No. 73-FZ [1];

c) 4.1.3 establishes special requirements for sustainable development documentation, including documentation developed as part of a master plan;

d) 5.1.4 establishes modes A and B.

The special requirements of 4.1.3 are checked throughout the cycle of Clauses 5–12. The composition of the special blocks of the assignment is E.10.

E.9.2 Objectives and tasks of the performance of the work. A model assignment sets a list of objectives and tasks of the development of the territory.

Application of the standard:

a) 5.1 establishes an understanding of the context of the historic settlement, including the degree of formalization of the status, the express analysis and the depth of development of the documentation, as the basis of the preliminary system of objectives;

b) 4.1.1–4.1.4 establish the principles of objective-setting: the balance "people — environment — economy", heritage as a vector and a factor of cultural readiness for change, the continuity of the process, and the formulation of objectives in terms of conditions rather than a prescription of activity;

c) 5.4 establishes the system of objectives: the fields of objective-setting, the hierarchy of values, the basic objectives, the mandatory group of objectives of preservation and integration of heritage (5.4.4), iterative analysis and traceability to the principles;

d) 5.5 establishes the requirements for the formulation of objectives, the criteria of selection and reconciliation with strategic documents.

The objectives of the assignment form the preliminary system of objectives. For a historic settlement the group of objectives of 5.4.4 is mandatory: these are the conditions of the active role of heritage, and not a sectoral list of protection measures.

Procedure of the work: the preliminary system of objectives is recorded before the collection of data and the analysis; the measurable objectives refined on the basis of the analysis results are formed after Clauses 6 and 7 (E.9.11).

E.9.3 Planning horizon. A model assignment sets the calculation period and, where they exist, intermediate periods.

Application of the standard:

a) 5.5.1, item d), establishes the linkage of objectives to three horizons: short-term — up to and including 3 years, medium-term — over 3 and up to and including 6 years, long-term — over 6 years. In mode A the long-term horizon does not extend beyond the term of the master plan;

b) 5.5.3 establishes the reconciliation of objectives with the documents of strategic planning in force;

c) 8.4.1 establishes the same three horizons for the vision and the reconciliation of the horizons of the vision with the strategic documents;

d) 10.2.1 establishes the distribution of the measures of the implementation plan over the same three horizons.

A single period of the assignment does not cancel the breakdown by horizons. In mode A the term of the master plan sets the upper bound of the long-term horizon.

Procedure of the work: the horizons are recorded in the preliminary system of objectives, refined on the basis of the analysis results, and transferred into the vision (Clause 8) and into the implementation plan (Clause 10); the horizons are not invented anew in Clauses 8 and 10.

E.9.4 Boundaries of the territory of development. A model assignment sets the administrative boundaries and, where they exist, the boundaries of agglomeration links.

Application of the standard:

a) 5.3.1 establishes the territorial and functional boundaries of the scope, including the possibility that the system boundaries extend beyond the boundaries of the historic settlement when functional links are taken into account;

b) 5.3.2 establishes the zones of authority: the zone of direct management, the zone of influence and the zone of context;

c) 5.3.3 establishes the substantive limits of the scope, including the load on historic territories (4.3.11) and the check of the reality of the socio-economic model within the selected boundaries and constraints;

d) D.6.5 establishes that the boundaries of the territory of the historic settlement are not identical to the scope of the sustainable development documentation and are described separately.

Procedure of the work: the degree of formalization of the status and the existence of approved boundaries of the historic settlement are recorded at the preliminary setting of objectives (5.1.2) and confirmed in the collection of source data (6.2.2); the boundaries of the scope are described separately and do not replace the boundary of the historic settlement. In mode A the territory of development is the territory of the master plan, and the territory of the historic settlement is a zone of special requirements (5.3.1).

E.9.5 Sphere of application of the result of the work. A model assignment indicates the use of the result in the development and updating of urban-planning documentation.

Application of the standard:

a) 9.6 establishes the regulation on the objects planned for placement as proposals for the documents of territorial planning and urban-planning zoning, and does not approve information assigned to those documents by the legislation on urban-planning activity;

b) 9.10 establishes the consistency of the project solution with the documents of territorial planning in force and the list of documents to be updated;

c) 10.6 establishes the coordination of the implementation plan with the documents of territorial planning and the urban-planning part as an element of the plan.

In mode A the results are distributed among the parts of the master plan (E.3). In mode B the results are taken into account in the general plan, in the strategy of socio-economic development, in the land-use and development rules and in programmes (E.6).

E.9.6 Requirements for the methodology and for the documents to be taken into account. A model assignment gives a list of regulatory legal acts, standards and methods.

Application of the standard:

a) Clause 4 establishes the principles of sustainable development, applied at all stages, including a check of each objective and of each measure for consistency with them;

b) 5.1.6 establishes the differentiation of the depth of development of the documentation in two stages and does not permit the second stage to narrow the depth of development;

c) 5.5.3 establishes the linkage of objectives to strategies and to other documents of strategic planning;

d) 6.7.1 and 6.7.2 establish the collection of regulatory data and of data on the documents of strategic planning as part of the source data, and not as a replacement for the method of Clauses 5–12.

The depth of development of the documentation is determined under 5.1.6, and not by the list of methods in the assignment.

E.9.7 List of source data. A model assignment sets the composition of the data provided by the client and the procedure for filling missing data.

Application of the standard:

a) 5.8 establishes the assignment for the collection of the data necessary for the refinement of objectives on the basis of the analysis results: the purpose, the content and the recording of data gaps as a ground for objectives (5.8.3);

b) 6.1 establishes the general requirements for source data: credibility, the baseline, completeness by fields, layering, spatial referencing, the participation of parties, verifiability;

c) 6.2–6.8 establish the compositions of the data: heritage, spatial and urban-planning, social, economic, natural, regulatory, trends and external factors;

d) 6.9 establishes the data format, georeferencing, compatibility with the indicators, versioning of the baseline and machine readability.

Procedure of the work: first the assignment for the collection of data is formed under 5.8, then the collection is carried out under 6.2–6.8. Data that cannot be obtained are recorded as gaps, with an assessment of the effect, and are included among the objectives (5.8.3), and are not replaced by expert assumptions without an indication of credibility. The lists of 6.2–6.8 are not copied into the assignment in full.

E.9.8 Analytical block (integrated diagnostics). A model assignment commissions a socio-economic, spatial, transport, engineering and environmental analysis.

Application of the standard:

a) 7.1 establishes the purpose, the integrated character, the two levels of diagnostics, the participation of parties, basing on data and the requirements for the documentation of the results of the analysis;

b) 7.2 establishes the socio-cultural analysis and the taking into account of identity;

c) 7.3 establishes the analysis of historical and cultural heritage and of its potential, including the socio-economic value and the degree of formalization of the status;

d) 7.4–7.8 establish the spatial, socio-economic and environmental analysis, the analysis of the regulatory framework and of the management system, and the analysis of trends and external factors;

e) 7.10 establishes the identification of the causes of adverse states and the formulation of hypotheses;

f) 7.11 establishes the integrated analysis, including a SWOT analysis of the territory.

The vision is not part of the analytical block.

Procedure of the work: the analysis is carried out after Clause 6 and before the refinement of objectives on the basis of the analysis results. Within the block: collection of data (Clause 6) — analysis (7.1–7.11) — prioritization of problem fields (7.13). The vision is formed under E.9.12 after the refinement of objectives on the basis of the analysis results and after the inertial forecast, regardless of whether the assignment combines diagnostics and the vision in one stage.

E.9.9 Inertial forecast. A model assignment, as a rule, commissions a forecast of the size of the population, of the economy and of the infrastructure as a "development forecast".

Application of the standard:

a) 7.9.1 establishes the method of the inertial forecast and its horizons: the forecast is made without taking into account the effects of sustainable development measures;

b) 7.9.2 establishes the forecast by fields of sustainable development;

c) 7.9.3 establishes the forecast of the state of historical and cultural heritage;

d) 8.4.3 establishes the target gap between the inertial state and the target state as a mandatory justification of the vision.

Procedure of the work: the inertial forecast is made on the basis of the results of the analysis (7.1–7.11) and before the vision is formed. A development forecast in the assignment that is made taking the proposed measures into account is not an inertial forecast and does not secure the target gap.

E.9.10 Assessment of effects on the subject of protection and the additional impact assessment. A model assignment requires that protection constraints be taken into account when decisions are taken.

Application of the standard:

a) 7.12.1 establishes the assessment of effects on the subject of protection of the historic settlement;

b) 7.12.2 establishes the additional assessment of the indirect effect on the subject of protection and on the historic environment in a wider sense;

c) 8.5.4 establishes the application of 7.12.1 and 7.12.2 before the choice of the target scenario;

d) 9.4.6 establishes the application of 7.12.1 and 7.12.2 before a measure is included in the project solution;

e) 10.5.2, 11.7.4 and 12.4.3 establish the iterative assessment at the stages of implementation and monitoring.

The assessment is not the state historical and cultural expert review and does not replace it.

Procedure of the work: the assessment of effects on the subject of protection is carried out under 7.12.1; the additional assessment of the indirect effect on the subject of protection and on the historic environment in a wider sense is carried out under 7.12.2 before the vision, the target scenario and the measures are fixed. An assessment after the approval of the concept or of the list of projects is late relative to 8.5.4 and 9.4.6.

E.9.11 Objective-setting block. A model assignment commissions the targets of socio-economic and spatial development.

Application of the standard:

a) 5.4.2–5.4.4 establish three groups of objectives: the hierarchy of values, the basic objectives of sustainable development, the objectives of preservation and integration of heritage;

b) 5.4.5 establishes the iterative analysis of attainability and of the refinement of objectives;

c) 5.4.6 establishes the traceability of each objective to the principles of Clause 4;

d) 5.5 establishes the requirements for the formulation and selection of objectives, including measurability through Annex B;

e) 7.13 establishes the prioritization of problem fields and the evidence base for the refinement of objectives on the basis of the analysis results.

Procedure of the work: the preliminary system of objectives — before the collection of data (5.8) and the analysis; the measurable objectives refined on the basis of the analysis results — after Clauses 6 and 7 and the prioritization of 7.13. The targets of the assignment that are set before the analysis do not exhaust the preliminary system of objectives and are subject to refinement on the basis of the analysis results.

E.9.12 Vision and development scenarios. A model assignment commissions a concept of the vision, an image of the future and scenarios.

Application of the standard:

a) 8.1 and 8.2 establish the requirements for the vision and its link with the three groups of objectives refined on the basis of the analysis results;

b) 8.3 establishes the spatial aspects of the vision, including the reality of the socio-economic model and the spatial image;

c) 8.4 establishes the horizons, the target states and the target gap relative to the inertial forecast;

d) 8.5 establishes the scenario analysis of the development of the territory: at least the inertial scenario and two alternative scenarios, the criteria of comparison, the protection constraints in the choice, and the choice of the target scenario;

e) 8.6 and 8.7 establish the taking into account of historical and cultural potential in the vision and the positioning of heritage.

The scenarios of territorial development (8.5) and the scenarios of measures (9.2) are distinguished and do not replace each other (8.5.1).

Procedure of the work: the vision is formed after the refinement of objectives on the basis of the analysis results (E.9.11) and after the inertial forecast (E.9.9), and not inside the diagnostics. If the assignment combines diagnostics and the vision in one stage, the sequence is observed within the stage: Clause 6 — Clause 7 — refinement of objectives on the basis of the analysis results — Clause 8.

E.9.13 Project block (key projects and measures). A model assignment commissions a list of key projects with a justification of their appropriateness.

Application of the standard:

a) 9.1 establishes the general requirements for the project solution: the creation of conditions, rather than a prescription of activity; the cross-sector character; traceability; linkage to monitoring indicators;

b) 9.2 establishes the scenarios of measures, the criteria of comparison and the choice of the target scenario of measures;

c) 9.3.1–9.3.3 establish the typology of measures and the mandatory composition of the fields of formulation;

d) 9.4.2 establishes the criteria for the selection of measures, and 9.4.3 recommends an integral ranking index;

e) 9.5 establishes the integration of heritage into the project solution, including adaptive use, regeneration, investment passports and lots;

f) 9.8 establishes the financial and investment justification;

g) 9.9 establishes pilot projects as a method of tuning.

Procedure of the work: the project solution is formed after the vision and the target scenario of territorial development (E.9.12). The scenarios of measures of 9.2 do not reopen the scenarios of territorial development of 8.5.

E.9.14 Regulation on the objects planned for placement and proposals for the amendment of urban-planning documentation. A model assignment commissions proposals for the general plan, the land-use and development rules, the standards of urban-planning design and the rules of improvement of the public realm.

Application of the standard:

a) 9.6.1–9.6.5 establish the composition of the information of the regulation, the necessity of amending the urban-planning documentation, the map-schemes, and the requirements for the architectural and urban-planning appearance and for the improvement of the public realm;

b) 9.10 establishes consistency with the documents in force and the list of documents to be updated;

c) 10.6 establishes the coordination of the implementation plan with the documents of territorial planning.

The proposals are taken into account in the preparation and updating of the corresponding documents in the procedure established by the Urban Planning Code of the Russian Federation [3]. This standard does not replace those documents. In mode A the information of 9.6.1 and 9.6.2, item a), is included in the provisions on territorial planning, and the map-schemes of 9.6.3 are included in the maps (9.6).

E.9.15 Implementation plan. A model assignment commissions the stages, the time frames, the cost, those responsible and the sources of financing.

Application of the standard:

a) 10.1 establishes the purpose of the plan, the composition of the fields of a measure, traceability, formulation in terms of conditions and basing on factual data;

b) 10.2 establishes staging by three horizons, the criteria for the priority measures, the sequence and the blocks of confirmation of financing;

c) 10.3 establishes resource and financial provision, including verification of the realism of the financial model;

d) 10.4 establishes those responsible, the coordinating body, the participation of parties and operational monitoring;

e) 10.5 establishes the requirements for the preservation of heritage during implementation;

f) 10.7 establishes risk management during implementation, including the risk register and the plan of response to a substantial adverse change in external conditions;

g) 10.8 establishes the requirements for the documentation of the plan.

Procedure of the work: the composition of the measures is inherited from Clause 9 and is not formed anew (10.1.1). The target scenario of measures of 9.2 is not reopened. In mode A the implementation plan is included in the list of measures for the implementation of the master plan. The fields of 10.1.2, items a), b), d) and e), provide the responsible implementers, the time frames, the sources of financing and the indicators.

E.9.16 Implementation management system and the project office. A model assignment commissions proposals for the organization of management, regulations and a road map.

Application of the standard:

a) 10.4.2 recommends the formation of a coordinating body at the stage of the implementation plan;

b) 11.1 establishes the purpose of the management system, the link with the plan as the principal source of source data, the cycle "plan — do — check — act" and the staged development of the configuration (11.1.4);

c) 11.2 establishes the organizational structure, the regulation on the management system and the requirements for competence;

d) 11.3–11.5 establish project management, the coordination of participants and the participation of interested parties during implementation.

3.3.7 establishes that the formation of a working group (project office) is recommended; the working group is formed at the stage of the implementation plan and develops into a standing coordinating body at the stage of implementation. The implementation coordinating body is not identical to the commission that coordinates the preparation of the draft master plan.

Procedure of the work: the project office is set in the implementation plan (10.4.2), and the management system is organized under Clause 11 at the stage of implementation. The requirements of Clause 11 are applied during implementation, and not only at the delivery of the materials.

E.9.17 Digital results. A model assignment commissions geographic information layers, an information system, a digital twin and interactive maps.

Application of the standard:

a) 6.9 establishes the format of the source data, georeferencing, versioning of the baseline and machine readability;

b) 9.7.3 establishes the geoinformation referencing of the measures of the project solution;

c) 11.6.1 establishes the information system as a means of dynamic updating and modelling, and not as a static store of documents;

d) 11.6.3 establishes the geoinformation component of the information system; the recommended graph model is given in Annex C and is not a condition of conformity;

e) 11.6.5 gives the recommended composition of the territorial digital twin;

f) Annex C gives the recommended graph model and the criteria of AI-readiness.

Procedure of the work: the machine-readable format and the georeference are set by the collection of data (6.9) and accompany Clauses 7–12. A digital twin commissioned by the assignment as a separate stage does not release the organization from the requirements of 11.6.1–11.6.3.

E.9.18 Engagement of interested parties. A model assignment commissions surveys, focus groups, strategic sessions, and public and expert discussions.

Application of the standard:

a) 5.2 establishes the identification of parties, the mapping of interests, influence and intentions (5.2.4), engagement in objective-setting and the assessment of the social risks of displacement (5.2.6);

b) 8.8 establishes the participation of parties in the formation of the vision;

c) 9.11 establishes the participation of parties in the formation of the project solution;

d) 11.5 establishes the register of parties, the communications strategy and public reporting during implementation;

e) 12.3.6 establishes the participation of parties in monitoring.

Procedure of the work: the parties are identified in the preliminary setting of objectives and are engaged at all subsequent stages, including monitoring. A one-off discussion at one stage of the assignment does not replace participation at the other stages. Engagement under 5.2.7 begins at the stage of analysis, precedes public discussions or public hearings and does not replace them.

E.9.19 Monitoring and targets. A model assignment commissions a list of indicators, reporting and an assessment of achievement.

Application of the standard:

a) Annex B establishes the composition of the indicators of sustainable development of historic settlements;

b) 12.2.1 establishes three levels of indicators; 4.5.7 establishes the priority of impact indicators, and not only of implementation;

c) 12.1 establishes the purpose of monitoring, the distinction between operational and strategic monitoring and the link with the baseline;

d) 12.4 establishes the monitoring of the condition of heritage, including reactive monitoring;

e) 12.6.2 establishes the separate storage of expected and actual values and the comparison of the forecast with the fact.

Procedure of the work: the indicators are set for the objectives refined on the basis of the analysis results (5.7.3) and for the measures (9.1.6, 10.1.2, item e); the monitoring system is organized under Clause 12. A list of key indicators in the assignment that is not linked to the objectives refined on the basis of the analysis results and to Annex B does not form a monitoring system. In mode A monitoring is carried out as part of the monitoring of the implementation of the master plan (Clause 12). For the list of measures the core of the indicators of B.3.1.3 is recommended.

E.9.20 Reporting materials and formats. A model assignment commissions volumes, albums, presentations, and a graphic and an interactive part.

Application of the standard:

a) 8.9 establishes the composition of the documentation of the vision, the public version, visualization, traceability and structured results;

b) 9.13 establishes the composition of the documentation of the project solution;

c) 10.8 establishes the composition of the documentation of the implementation plan;

d) 11.8 establishes the composition of the regulating documents of the management system;

e) 12.8 establishes the composition of the documentation of monitoring;

f) Annex C, C.8.17, gives the notion of structured data for the presentation of the results of the Clauses.

Narrative text does not replace structured results in a machine-readable form (8.9.5, 9.13.4, 10.8.4, 11.8.4, 12.8.3). A public version is provided for by 8.9.2, 9.13.3, 10.8.2 and 11.8.3; the public version of the monitoring reports is 12.5.5.

E.9.21 Acceptance and the criteria of completeness of the result. A model assignment sets the criteria of acceptance of a stage and the procedure of agreement. The grounds and the procedure of acceptance are determined by the assignment and by the contract (E.12.3).

Application of the standard:

a) 5.4.6 establishes the traceability of objectives to the principles;

b) 9.1.5 establishes the traceability of the measures of the project solution;

c) 10.1.3 establishes the chain "measure of the plan — measure of the project solution — objective — problem field — principle";

d) 12.8.2 establishes the traceability of the results of monitoring;

e) the criteria of AI-readiness are given in Annex C and are not a condition of acceptance, unless the contract provides otherwise.

The completeness of the result is checked by the said chain of traceability and by the presence of the structured results under E.9.20. In mode A the completeness of the result in respect of the territory of the historic settlement is also checked by the distribution under E.3 and by the performance of the assessment under 7.12.3.

E.9.22 Requirements for the implementer of the work on the territory of the historic settlement. A model assignment may establish requirements for the implementer of the block of work on the historic settlement.

Application of the standard: the qualification of the implementer is not regulated by the legislation on the preparation of a master plan. For work on the territory of a historic settlement, confirmed experience of studies of the historic environment, of the preparation of the documentation of a historic settlement or of the preservation of cultural heritage objects is recommended. The distinction of the roles of the clients is E.2.4 and D.2.5. This clause does not establish requirements for procurement.

E.10.1 Special requirements for sustainable development documentation are established in 4.1.3. Modes of application — 5.1.4. The presence in the technical specification of the general blocks of E.9 without the blocks of this subclause does not ensure fulfilment of the special requirements. Each clause sets out a block of the technical specification, the referenced clauses and what they establish.

E.10.2 Socio-cultural analysis and consideration of identity. A typical technical specification commissions a study of communities, identity and the urban-planning code of the territory.

Application of the standard:

a) 4.2.3 establishes the principle of identity, social cohesion and quality of life;

b) 6.4.2 establishes the collection of socio-cultural data;

c) 7.2 establishes socio-cultural analysis: parties, customs and values, identity and a sense of belonging, cohesion and readiness for change, and the competence of the parties.

Sequence of work: the data of 6.4.2 are collected as part of Clause 6; the analysis of 7.2 is carried out in the analytical block (E.9.8) and is not replaced by a description of a tourism brand.

E.10.3 Positioning of heritage as an independent vector and a factor of cultural readiness for change. A typical technical specification sets requirements for the concept and the positioning of the territory.

Application of the standard:

a) 4.1.2 establishes a prohibition of simplified positioning of heritage only as a real-estate object or only as a tourism resource;

b) 5.1.3 establishes that the context is described taking account of 4.1.2 already at the stage of formulation of the task;

c) 8.7 establishes the composition of the image of positioning of heritage in the vision;

d) 9.5.6 establishes the positioning of heritage and the formation of a brand of the territory in the project solution.

Sequence of work: positioning is set in the preliminary system of objectives, is elaborated in the vision (8.7) and is secured by the measures of 9.5.6.

E.10.4 Identification and substantiation of the socio-economic value of heritage and its integration into urban processes. A typical technical specification commissions an economic justification, investment projects and the involvement of objects in economic turnover.

Application of the standard:

a) 4.4.1 establishes the principle of substantiation of the contribution of heritage and of the socio-economic value of heritage;

b) 6.5.2 establishes the collection of data on the socio-economic value of heritage;

c) 7.3.5 establishes the analysis of the socio-economic value of heritage;

d) 8.7.3 establishes investment readiness and adaptive use in the image of the vision;

e) 9.5.3 establishes investment passports and lots in the project solution.

Sequence of work: the value is recorded by collection and analysis (6.5.2, 7.3.5), enters the vision and is operationalized by the passports and lots of Clause 9. Object indicators of the number of passports and of the volume of investment do not replace the indicators of Annex B (E.10.10).

E.10.5 Coordination of state protection and development. A typical technical specification requires that decisions be agreed with cultural heritage protection authorities and that protection constraints be taken into account.

Application of the standard:

a) 4.5.4 establishes the principle of coordination of state protection and development;

b) 9.5.4 establishes coordination of protection and development in the project solution;

c) 11.7.2 establishes coordination with cultural heritage protection authorities at the execution stage;

d) D.2.5 establishes the delimitation of roles: the subject of protection is formed as commissioned by the cultural heritage protection authority, approaches to development — as commissioned by the local self-government body.

Sequence of work: the delimitation of roles is fixed in the technical specification (E.2.4); agreement accompanies the vision, the project solution, the plan and execution.

E.10.6 Measures ensuring the conditions for preservation of elements of the subject of protection and the building up of historical and cultural potential. A typical technical specification commissions measures for preservation, restoration, regeneration and adaptive use.

Application of the standard:

a) 4.3.9 establishes the principle of active provision of the conditions for preservation;

b) 4.3.10 establishes the principle of building up historical and cultural potential;

c) 5.4.4 establishes the mandatory group of objectives of preservation and integration of heritage;

d) 9.5.1, 9.5.2 and 9.5.5 establish adaptive use, regeneration of the historic environment and the building up of potential in the project solution.

Sequence of work: the group of objectives of 5.4.4 is formed at the preliminary setting of objectives and is refined on the basis of the results of the analysis; measures of the types in 9.3.1, item d), are included in the project solution and are inherited by the implementation plan.

E.10.7 Confirmation of the reality of the functioning of the socio-economic model of the territory within the boundaries and constraints being established. A typical technical specification commissions a check of the economic model and economic scenarios of implementation.

Application of the standard:

a) 4.1.3 establishes confirmation of the reality of the model as a special requirement for sustainable development documentation;

b) 5.3.3 establishes a check of the reality of the model in the refinement of objectives on the basis of the results of the analysis; if the model is not viable, the boundaries, constraints or objectives are subject to revision;

c) 8.3.4 establishes the reality of the socio-economic model within the spatial boundaries of the vision;

d) 10.3.5 establishes verification of the realism of the financial model of the implementation plan;

e) D.2.3 recommends that the regulatory part of the documentation of the historic settlement should not precede the economic model.

Sequence of work: the check is carried out in the refinement of objectives on the basis of the results of the analysis (5.3.3), is confirmed by the vision (8.3.4) and by the financial model of the plan (10.3.5). Constraints should not be approved without the specified check (D.2.3).

E.10.8 The degree of formalization of the status of the historic settlement (the existence of approved boundaries of the territory, of the subject of protection and of requirements for urban-planning regulations) is established before the start of the work and affects the composition of the work of the technical specification: 5.1.2, 6.2.2, 7.3.7. Where formalization is insufficient, the filling of the gaps is included among the objectives (5.1.2) and in the composition of organizational measures (9.3.1, item c), and is not taken outside the subject of the work.

E.10.9 If the technical specification commissions, in one subject of work, the development of a master plan or of sustainable development documentation and the development of documentation of the historic settlement (a historical and cultural reference plan, boundaries of the territory, the subject of protection, requirements for urban-planning regulations), Annex D applies, including the recommended sequence of D.9.2 and the delimitation of roles of D.2.5. The approved boundaries of the territory, the subject of protection and the requirements for urban-planning regulations are constraints on the development and implementation of sustainable development documentation (D.2.7).

E.10.10 A technical specification that reduces heritage to real-estate objects or to a tourism resource does not ensure fulfilment of 4.1.2 and 5.1.3. Object indicators (the number of investment passports, the filling of the catalogue of lots, the volume of extra-budgetary investment) do not replace the sustainable development indicators of Annex B (9.5.3, 11.6.7).

E.11.1 Work established by the standard and, as a rule, not singled out in the technical specification as a separate block:

a) two-stage setting of objectives and an assignment for data collection (5.1.6, 5.8, 5.4.2–5.4.6);

b) the baseline as a versioned set of values (6.1.2, 6.9.3);

c) the inertial forecast and the target gap (7.9, 8.4.3);

d) assessment of effects on the subject of protection and additional impact assessment (7.12.1, 7.12.2, 8.5.4, 9.4.6);

e) the second stage of determining the depth of development (5.1.6, 7.13.4, 9.4.7);

f) traceability of decisions from measures to principles (5.4.6, 9.1.5, 10.1.3, 12.8.2);

g) structured results of the clauses in machine-readable form; the graph model of Annex C is not a condition of conformity (4.5.11);

h) linkage of objectives and measures to the indicators of Annex B (5.7.3, 9.1.6, 12.2.1);

i) adaptability mechanisms and grounds for revision of the objectives, the vision, the project solution, the plan and the management system (5.7.2, 8.10.2, 9.14.2, 10.9.2, 11.9.2, 12.7.2).

E.11.2 The absence from the technical specification of a block corresponding to the list in E.11.1 does not cancel the corresponding requirements of the standard. The said work should be reflected in the technical specification: as the composition of the work of a stage, as a requirement for the reporting materials or as an acceptance criterion.

E.12.1 Recommended procedure:

a) determine the block of the technical specification by the content of the work commissioned, and not by its name (E.7.4);

b) find the corresponding clause of E.9 by the name of the block (the list — E.7.1) and read the requirements, the referenced clauses and the sequence of work in that clause;

c) check the general sequence of E.8.1 and the typical gap of E.8.3; the sequence within a block — in the E.9 clause for that block;

d) for a historic settlement, check the clauses of E.10 and the degree of formalization of the status (E.10.8);

e) check that the work of the list in E.11.1 is present in the composition of the work or in the acceptance criteria.

E.12.2 Clauses of the standard are not transferred into the reporting materials in the form of quotations and lists. The standard establishes requirements for the work; the documentation contains the results of their performance.

E.12.3 This Annex is not a ground for refusal to accept the work and does not establish criteria for such a refusal. The grounds and the procedure for acceptance are determined by the technical specification and the contract.