10 commitments for effective pre-application engagement

10 commitments for effective

pre-application engagement

2 10 commitments for effective pre-application engagement

These commitments have been developed by a cross sector working group and are endorsed by:

The ﬁve principal statutory consultees (English Heritage, the Environment Agency, the Health and

Safety Executive, the Highways Agency and Natural England) have been closely involved in the

development of these commitments. They are fully committed to effective pre-application engagement

with local planning authorities, with developers, and with local communities in accordance with the

commitments. They commend this document as setting out a clear framework within which they can

further develop and deliver efﬁcient and effective pre-application services to help achieve better,

more sustainable development. They will endeavour to ensure that the commitments are embedded in

their respective approaches to participation in, and management of, pre-application engagement on

schemes where they have a role.

10 commitments for effective pre-application engagement 3

Contents

10 commitments for effective pre-application engagement 4

The commitments 5

Further explanation of the commitments 7-19

Case studies

1. Westminster and Great Portland Estates 8

2. Newcastle and Ryder Architecture 13

3. Bristol, North Somerset and West of England Partnership 15

4. Eastleigh and the Highwood Group 16

4 10 commitments for effective pre-application engagement

10 commitments for effective

pre-application engagement

Pre-application engagement should lead to

high quality and appropriate development

schemes being granted planning permission

more quickly. Early, collaborative discussions

between developers, public sector agencies and

the communities affected by a new development

can help to shape better quality, more accepted

schemes and ensure improved outcomes for the

community. These discussions also avoid wasted

effort and costs.

With so much at stake and so much to gain

for all those involved in bringing forward new

development, each party must work to make

pre-application discussions as effective and

productive as possible. Each should have a clear

understanding of their roles and responsibilities

in the process and work in a way that avoids

duplication and wasted effort wherever possible.

Representatives of all those groups most involved

in these discussions have come together to agree

a set of commitments that all the sponsors have

committed to.

These commitments set out the positive spirit that

should be embodied pre-application engagement

and the arrangements that should make early

exchanging information and advice better value

for all.

Each developer, local planning authorities (LPA),

statutory agency and community group will

need to decide how these principles should

be incorporated into their individual working

practices.

We jointly hope that by identifying responsibilities

along with beneﬁts, all parties will be see that

working in line with these principles will reduce

frustrations with the planning system, and

generate savings alongside better development.

10 commitments for effective pre-application engagement 5

The commitments

Pre-application engagement should

enable sustainable development to

proceed quickly and smoothly from proposal

to completion. This is a co-operative process

that requires a positive, proactive commitment

from all participants to achieve this goal.

Those providing pre-application

services should offer a range of

timely, effective services proportionate

to the scale and complexity of proposed

development. The process, timescales, costs

and outputs should all be clearly set out.

Prospective applicants should select

the level of pre-application engagement

necessary to adequately deal with the

issues raised by the scale and complexity

of the proposed development. Failure to

engage at the right time or at the right level

could have an adverse impact on the timely

consideration of the subsequent application.

Pre-application services should be

delivered in a timely manner and

demonstrate good value for money, irrespective

of whether the provider of pre-application

services makes a charge for them.

Pre-application discussions should bring

together the right people to address all

of the development issues. All parties should

have processes in place to ensure that advice

given and commitments made are carried

through to application and permitting stages.

Pre-application engagement should

be based on an open exchange of

the information needed to allow all the

relevant matters, including all obligations

and viability, to be considered prior to the

submission of a planning application.

Collaborative working to ﬁnd deliverable

solutions will necessitate that, whilst the

development plan must be the starting point for

discussion, the requirements of all parties should

be given consideration. Planning Performance

Agreements (PPA) are recommended to

deal with timing issues and constraints.

LPAs should ensure that their pre-

application offer provides an

opportunity for councillors to be actively

involved in pre-application discussions

as part of a transparent process.

All parties should consider engaging with

local communities at the pre-application

stage about development proposals in their area.

This early engagement should be proportionate

to the impact on the wider community

and enable community representatives to

inform and inﬂuence the proposals.

All those involved in the pre-application

engagement should maintain an

agreed record of information submitted, advice

given and, where appropriate, agreements

reached during pre-applications discussions.

6 10 commitments for effective pre-application engagement

Wealden Homes and Sevenoaks District Council engaged early to develop this scheme to transform

a burned out pub into homes that the residents feel ﬁts the character of their village.

“We would like to say how pleased we were with the considerate way in which the houses were

built.Now they are ﬁnished, the houses look very much in keeping with the village and look like

they have been there for many years.”

Local homeowner

10 commitments for effective pre-application engagement 7

Further explanation of the commitments

1. Pre-application engagement should enable sustainable development

to proceed quickly and smoothly from proposal to completion. This is a

co-operative process that requires a positive, proactive commitment

from all participants to achieving this goal.

The purpose of the planning system is to

contribute to the achievement of sustainable

development. At the heart of the National

Planning Policy Framework (NPPF) is

a presumption in favour of sustainable

development, which should be seen as a golden

thread running through both plan-making and

decision-taking.

Engagement between local planning authorities,

potential applicants for planning permission, the

statutory consultee bodies and the community

during the pre-application phase (NPPF

paragraphs 188-195) should be directed towards:

• smoothing the path to development by

examining the issues, mitigating any adverse

impacts and capturing the beneﬁts

• ensuring that the resulting development

has beneﬁtted from an appropriate level of

engagement with the community

• avoiding wasted cost and effort by identifying

poor proposals that cannot meet planning

policy early on

• fostering an integrated rather than sequential

consideration of planning and non-planning

consents wherever possible.

To make this process effective and reap the rewards

of a clearer path through the planning system, all of

those involved need to engage in a positive and co-

operative manner at the earliest possible stages.

For all participants, there is an obligation to

commit to better, more integrated working and

to demonstrate willingness to actively manage

resources and processes in order to give priority

to engagement at the pre-application stage.

For potential applicants and their advisors, this

will mean that sufﬁcient time is allowed in the

building programme for the appropriate level of

engagement prior to the submission of a planning

application.

A co-operative approach includes the provision

of information and a willingness to engage openly

about viability of the scheme and the aspects of

a development that can be modiﬁed.

For local planning authorities and the statutory

agencies, it will mean that guidance and advice

to applicants should be given in a spirit of ﬁnding

solutions and giving clear direct opinions. It also

means that resources should be managed to

ensure that meetings are set up and advice given

within timeframes that do not hold up development.

Decision makers can adopt a positive attitude by

demonstrating a predisposition towards proposed

development that is supported by development

plan policies, provided they preserve an open

mind in line with the notes for Principle 8.

8 10 commitments for effective pre-application engagement

Case study

When Great Portland Estates Plc. bought a

redundant mail sorting ofﬁce in late 2011, they

wanted to get a planning permission in place

to begin work when the Royal Mail vacated in

2013.

This large city block, just off Oxford Street,

provided a great regeneration opportunity,

but also posed challenges. Westminster

Council and the developer worked closely

together to identify the key principles for a

new development; to establish the design

concepts and work through the public realm

improvements.

In this sensitive location, it was important that

all interests were involved. The pre-application

process was well managed to achieve a

collaborative environment in which the

community could contribute to ensure that local

needs were being met and affordable housing

providers engaged to ensure maximum

provision. Council resolved to grant the

subsequent application in October 2013 with

demolition expected to begin in 2014.

Westminster and Great Portland Estates

10 commitments for effective pre-application engagement 9

2. Those providing pre-application services should offer a range of

timely, effective services proportionate to the scale and complexity

of a proposed development. The process, costs and outputs should

all be clearly set out.

Pre-application engagement between potential

developers and councils and statutory agencies

is for the most part discretionary and not all

proposed development will require the same

degree of scrutiny and discussion during the

pre-application phase. The needs of an applicant

may vary depending on his or her experience and

the professional advice they have available during

the preparation of their proposal.

Therefore LPAs and statutory agencies should

make sure they are able to meet the range of

needs with accessible pre-application services,

tiered to accommodate the varying needs of

minor to complex developments.

In practice, the services offered will vary

depending on organisational circumstances. But

in all cases they should provide value for money

and accord with the other commitments set out in

this document.

This includes providing applicants with the

information they need to make a choice about

what services they wish to use, including details

of published information and guidance that is

generally available.

For services options that include advice and

discussion in relation to a speciﬁc proposal,

the LPA should set out:

• the cost of the service (if a charge is made)

• the process that will be followed ( e.g.

meetings, facilitated discussion with statutory

consultees, with councillors, a planning

performance agreement etc.) and who will be

involved in providing this service

• the expected output e.g. written advice on a

single submission or, active discussion over a

number of proposals leading up to agreements

including s106 obligations, and s278

• the timetable for providing this service.

LPAs and statutory agencies have a responsibility

to guide potential applicants to the level of

service appropriate to the scale and complexity

of the proposed development.

10 10 commitments for effective pre-application engagement

3. Prospective applicants should select the level of pre-application

engagement necessary to adequately deal with the issues raised by

the scale and complexity of the proposed development. Failure to

engage at the right time or at the right level will adversely impact

on the timely consideration of the subsequent application.

It is recognised that pre-application engagement

is not compulsory (except in speciﬁc instances

as set out in planning guidance) and the

potential applicant is free to choose the level

of engagement that they feel represents best

value for them.

With this discretion comes responsibility.

Offering and delivering a range of quality pre-

application services will be a signiﬁcant factor

in demonstrating that the LPA and statutory

agencies have taken a positive approach to the

development process.

If a prospective applicant fails to engage at an

appropriate level, or at a time when proposals

can be modiﬁed to meet legitimate concerns, this

is likely to lead to the application process being

more costly and lengthy.

Unresolved issues may emerge during the

consideration of the application and the

opportunity to modify application proposals is

likely to be restricted.

Similarly, should a prospective applicant with

a large development proposal choose not to

engage in a planning performance agreement the

level of certainty for all parties will diminish.

In approaching pre-application engagement,

prospective applicants should be clear in regard

to their expectations in terms of what they want

to achieve from the process, in terms of both

content and timetable.

Openness about both expectations and

constraints will help all parties to prioritise

resources and work towards a successful

outcome.

Southbank Skate Park, London

10 commitments for effective pre-application engagement 11

4. Pre-application services should be delivered in a timely manner and

demonstrate good value for money, irrespective of whether the provider

of pre-application services makes a charge for them.

All parties involved in development should be

aware of the wide ranging beneﬁts that effective

pre-application discussions can have for their

organisation.

LPAs and statutory agencies can save money by

avoiding costly processing of unacceptable or

deﬁcient proposals and reducing the likelihood

of costly appeals. There is an incentive in both

ﬁnancial and development quality terms to

providing an efﬁcient value for money service that

prospective applicants will want to use.

For the potential applicant, the preparation

and submission of an application involves

considerable expense. Greater certainty makes

better commercial sense than speculative or

incomplete applications, which are more likely to

be delayed or unsuccessful. However, it is clear

and reasonable that developers will only choose

to participate in pre-application discussions if

they feel they are getting value for money and the

processes are delivered in a timely and efﬁcient

manner.

Many councils and statutory agencies make

a charge in order to recover all or part of the

cost of providing pre-application services. If no

charge is made, resources need to be identiﬁed

from elsewhere in the organisation in order to

support the provision of efﬁcient and timely pre-

application engagement.

Legally, LPAs can only charge for the recovery of

the costs involved in providing a pre-application

service. Statutory agencies are governed by

Treasury guidance in “Managing Public Money”

July 2013.

In setting charges the providers should be open

about the basis for the charge so that users

can make an informed choice from the options

available.

The calculation of the charge should be arrived

at through a consistent methodology, deﬁning

staff costs and time and other costs in order

to promote a more uniform approach from one

authority to another.

12 10 commitments for effective pre-application engagement

5. Pre-application discussions should bring together the right people

to address all of the development issues. All parties should have

processes in place to ensure that advice given and commitments made

are carried through to application and permitting stages.

A positive and collaborative approach to solving

problems requires having the right people

engaged in the conversation and acting in a

concerted way.

It is best if individual conversations between

developers, public bodies and the community

are co-ordinated. This facilitates comprehensive

consideration of issues, promotes the smoothest

possible process for arriving at solutions and

ensures that agreements are shared.

The LPA will usually be best placed to take this

co-ordinating role, albeit that more detailed

discussions, for example between prospective

applicants and statutory agencies or community

groups, may take place in other meetings.

To help build up trust in the output from pre-

application engagement, all participating parties

must take a corporate approach and ensure that

wherever possible people with appropriate levels

of authority to speak for their organisation are

involved.

It also means that LPAs and statutory agencies

need to have processes in place to ensure that

advice given and commitments made are carried

through from pre-application to following stages in

the development process.

LPAs (especially in two tier areas) should ensure

that the multiplicity of interests they represent

– planning policy, highways, design, economic

development, ecology, heritage and so on, are

considered comprehensively as part of detailed

discussions, especially on large proposals.

Every attempt should be made to ensure that the

council speaks with ‘one voice’.

The same principle applies to statutory agencies,

both individually and, wherever practical,

acting in concert. The advice should integrate

considerations that relate to permitting regimes

albeit that these may be formally considered

further through the development process.

Where community groups, such as parish and

town councils, act as community representatives

in pre-application discussions, they should make

efforts to ensure that they canvass the views of

the wider community and bring these interests to

the table.

These groups also have an important role in

disseminating information back to the community,

where possible building understanding of the

proposals.

10 commitments for effective pre-application engagement 13

Case study

Securing the future of the former Cooper’s

Motor Mart in Newcastle posed many

challenges. The Victorian building had a rich

local history and stands on top of the buried

remains of Hadrian’s Wall.

Local architects RyderHKS on behalf of

the developer Hanro Group, approached

Newcastle Council and English Heritage

jointly for pre-application discussions with a

view to creating new ofﬁce spaces within the

existing structure. With the right people in the

room and a positive, pragmatic approach to

ﬁnding solutions, the elements of less historic

signiﬁcance that could be replaced were

identiﬁed.

The architects produced a bold scheme that

acknowledged the building’s most historically

signiﬁcant features and protected the site’s

archaeology. Technical problems – such as how

to provide natural light in former stabling areas

– have been solved and the new additions are

innovative, while respecting the heritage values

of the building.

The Roman remains beneath have been

recorded and are now preserved in situ. The

result is an attractive new business space in a

central area of the city.

14 10 commitments for effective pre-application engagement

6. Pre-application engagement should be based on an open exchange

of the information needed to allow all the relevant matters, including all

obligations and viability, to be considered prior to the submission of a

planning application.

Pre –application engagement should provide

an opportunity for all the necessary information

for the relevant material considerations to be

identiﬁed and thought about at an early stage.

The level of information provided will depend

on the stage in the project development and the

scale of the proposal. For major applications,

the goal should be that by the time the planning

application is submitted, all information pertinent

to the decision making is on the table.

This should encompass plans, design and

access statements, impact studies, a draft

S106 agreement, estimated S278 costs and the

requirements of statutory agencies. This process

will allow developers to have full knowledge of

the costs and the impact on viability and avoid

protracted negotiations that will hold up delivery.

It will also allow the community to fully understand

both the impacts and the beneﬁts of the

proposed development. As with other principles,

proportionality is the key and what is appropriate

for a major proposal will not be required for a

minor development.

The LPA has an important role as co-ordinating

this exchange of information. It is well placed

to establish a ‘development team approach’ to

avoid uncoordinated advice from a number of

organisations at different stages in the process

putting contradictory constraints on the developer.

Although statutory agencies will have their own

pre-application offer, subject to these over-

arching principles, the council will have the role of

facilitating the integration of what could otherwise

be parallel streams of discussion.

10 commitments for effective pre-application engagement 15

7. Collaborative working to nd deliverable solutions will necessitate that,

whilst the development plan must be the starting point for discussion,

the requirements of all parties should be given consideration. PPAs are

recommended to deal with timing issues and constraints.

Pre-application discussions will be most efﬁcient

when the council has an up-to-date local plan

with published policies to guide sustainable

development within its area. Potential applicants

should brief themselves on the policy framework

to make sure that their proposal broadly conforms

to local aspirations set out in the plan policies.

The opportunity to bring a development

forward will often be constrained, particularly

by timescales and the availability of funding.

Councils and statutory agencies need to

recognise these considerable constraints and

wherever possible adapt the process to meet

these needs as part of a positive approach.

PPAs could be more widely adopted by all parties

as a means to setting out an agreed timetable

for the consideration of development proposals.

This ﬂexible tool can aid project management

from pre-application discussion stage through

to post decision consideration of conditions and

implementation stages.

Although a Planning Performance Agreement

must be established before a planning application

is formally submitted to be able to remove the

application from the 13 (or 16) week target,

the principles of shared milestones to manage

progress can be used at other stages of the

development process. LPAs should use pre-

application discussions to put in place simple,

ﬂexible and proportionate agreements, tailored to

the requirements of a particular project.

Case study

Bristol City Council have used planning

performance agreements as a tool to provide

a project management framework for major

applications for some time. So when they had

a scheme for the South Bristol Link, a major

highways work that involved them, North

Somerset District Council and the West of

England Partnership, they used a PPA to set out

the issues, the principles that each party would

commit to and a timetable for dealing with this

complex cross boundary proposal.

The agreement recorded the joint approach to

consultation and engagement and established

project governance. This was a more

complex PPA than Bristol’s usual single page

agreements, but reﬂects the multiplicity of

issues and participants in a clear proportionate

framework. Milestones took the project

from initial work in early 2012 through to the

submission of the application in July 2013.

Consent was granted in December 2013.

16 10 commitments for effective pre-application engagement

8. LPAs should ensure that their pre-application offer provides an

opportunity for councillors to be actively involved in pre-application

discussions as part of a transparent process.

Developers often value pre-application

discussions for the chance to brief councillors on

the proposals they will consider at committee, and

to gain understanding of what elected members

understand are the pressing concerns of their

constituents. Ward councillors value being well

informed about emerging development proposals

so they can advise their constituents and take a

leadership role by encouraging high quality and

appropriate development in their area that reﬂects

the needs of their communities. Section 25 of the

Localism Act 2011 makes it clear that councillors

can both campaign and represent the views of

their constituents and take part in the planning

committee determining the application.

Councillors can be predisposed on a matter and

comment on individual aspects of a development

provided he/she is not predetermined ( i.e. has a

closed mind) on the development as a whole. As

the decision-takers, committee members will be

expected to champion good design, maintaining

a safe highway network, delivering their council’s

affordable housing strategy and so on. They

can comment on these aspects of a scheme

during pre-application discussions without fear

of prejudicing their decision-making role. Best

practice guidance on this and other matters is set

out in the LGA guide “Probity in Planning 2013”

The arrangements for involving councillors will vary

between authorities, but should generally include

a range of options (proportionate to the scale and

complexity of the proposal) for ofﬁcers to bring

councillors and developers together for the chance

to exchange ideas and develop a scheme that

meets the needs of the area.

These arrangements should take appropriate

account of the need for transparency and inclusion

of the community.

Case study

Eastleigh Borough Council allocated a site in

Bursledon Parish for housing in its draft Local

Plan. Local developer Highwood took forward

developing the greenﬁeld site adjacent to the

A27 close to the M27. Highwood made a point

of talking to the local Parish Council, Borough

Councillors and the Council Leader to establish

general support before starting a formal pre-

app discussion.

After meeting the Parish Council and

Borough Councillors separately twice before

an application was developed, and having

account of neighbour views, a scheme for

90 homes emerged. While this was lower

than the allocation for the site, the proposal

met the reasonable objectives of site

neighbours. It made new footpath links from

an existing community down to the Hamble

River, increased public open space and was

designed to allow a smaller development to

come forward on a neighbouring site. “What

could have been a highly contentious site was

made simple, just by getting people together

to talk” said Cllr Keith House, leader of

Eastleigh Borough Council.

10 commitments for effective pre-application engagement 17

18 10 commitments for effective pre-application engagement

9. All parties should consider engaging with local communities at the

pre-application stage discussions about development proposals in their

area. This early engagement should be proportionate to the impact on

the wider community and enable community representatives to inform

and inuence the proposals.

Potential applicants and LPAs should embrace

the opportunity to seek the views and suggestions

of the community during pre-application

discussions.

This is particularly where parish and town

councils and neighbourhood forums are involved

in developing neighbourhood plans for their area.

Involvement of the town and parish councils

and neighbourhood forums in early discussions

is therefore both wise and respectful. But,

even where communities have not begun

neighbourhood planning, active engagement

with the community should facilitate a two

way conversation enabling the modiﬁcation of

proposals to meet the needs and views of local

people.

It also provides both the prospective applicant

and councillors with an opportunity to brief the

community on the proposal.

Arrangements for engaging communities should

be proportionate to the scale of development.

The issue of when to engage communities in

pre-application discussion, and what information

should be disclosed, is a difﬁcult one.

The advantages of early engagement with

communities need to be balanced against any

adverse effects that disclosure may cause – not

least of which is that commercial conﬁdentiality

may dissuade developers from seeking pre-

application guidance.

The Freedom of Information Act 2000 includes a

presumption in favour of disclosure unless this

would cause adverse impacts (Regulation 12(5)

Environment Information Regulations 2004).

These provisions affect both LPAs and statutory

agencies.

Prospective applicants can make a reasoned

request at the start of pre-application discussion

to keep information conﬁdential for a period. It

is the legal responsibility of a LPA or agency to

decide each case on its merits and to keep this

under review.

This process of review should encourage LPAs,

having consulted with the potential applicant, to

disclose information that is no longer conﬁdential

so that the community can access as much

information as possible.

10 commitments for effective pre-application engagement 19

10. All those involved in the pre-application engagement should

maintain an agreed record of information submitted, advice given

and, where appropriate, agreements reached during pre-applications

discussions.

LPAs and statutory agencies should keep a

record of all information considered, advice

given, and any agreements reached at pre-

application stage and to check that this advice

applied consistently throughout the planning

process.

Having agreed notes of discussions is valuable

for prospective applicants, and helps to provide

the transparency that is needed to build public

trust in the integrity of these discussions.

These will prevent misunderstanding and

confusion between participating parties. The

agreed notes should normally be made available

to the public when the subsequent planning

application is validated if not earlier (see notes

for principle 9).

Local Government Association

Local Government House

Smith Square

London SW1P 3HZ

Telephone 020 7664 3000

Fax 020 7664 3030

Email [email protected]v.uk

www.local.gov.uk

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