The Pre-application Suite

1 The Pre-application Suite

PAS

planning advisory service

2 The Pre-application Suite

The Pre-application Suite

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 can help to shape better quality, more

accepted schemes. These developments can be brought forward more quickly and deliver

improved outcomes for the community. These discussions also avoid wasted effort and costs.

Earlier in 2014 a cross sector group from councils, the development industry and statutory

consultees came together to work on setting out ways of working that they believed would

improve the contribution of pre-application discussions to good planning. This was published

as the ‘10 commitments to effective pre-application engagement’.

Following on from the 10 commitments, PAS has worked with a small group of contributors to

capture good practice used in a range of councils to create this suite of good practice notes.

Our goal is to help councils to challenge, review and improve their pre-application offer; to be

more responsive and provide efﬁcient pre-application services that developers will want to use

and in so doing, to encourage high quality and appropriate development schemes being granted

planning permission more quickly.

This pre-application suite deals with practical issues involved in providing a pre-application

service bringing the 10 commitments to life in councils. It is arranged in a series of sections;

each of which provides a number of support tools, including descriptions of good practice,

challenge questions and templates in use in local authorities.

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Contents

1. The 10 commitments checklist 5

2. Pre-application services in Local Planning Authorities (LPAs) 7

i) Running a positive and business like pre-application service 7

ii) A model for tiered levels of pre-application services 11

3. Planning performance agreements 21

i) A ﬂexible project management tool 21

ii) Frequently asked questions 23

4. Engaging councillors and communities in pre-application discussions 29

i) Active involvement of both councillors and communities 29

ii) Options for structured pre-application discussion 32

5. Calculating the cost of pre-application services 35

i) Understanding council’s costs of providing a service 36

ii) Recovering council’s costs 37

iii) Estimating standard charges (a worked example) 39

iv) How to introduce a charging schedule 41

6. Sharing examples from local authorities 43

4 The Pre-application Suite

5 The Pre-application Suite

1. The 10 commitments

checklist

Early in 2014 a cross sector group from councils, the development industry and statutory

consultees agreed 10 Commitments that they believed would improve the contribution of

pre-application discussions to good planning.

For this initiative to work each group needs to modify the way they currently work. To help Local

authorities to work out whether their pre-application service meets the 10 commitments, the

following is a cut down version of the larger document. Use this as a checklist for your service.

1. Enable sustainable development to proceed efciently from proposal to completion

How? Via open and integrated working with all parties. Adopt a spirit of ﬁnding solutions to

enable a clearer path through the planning system.

2. Offer a range of pre-application services to developers, making sure that each choice

can be delivered in a timely, effective manner; proportionate to the size of the proposal

How? Make choices available; from self-serve guidance to detailed problem solving working

on complex proposals. Clearly set out the process, costs, timetable and output for each level

and put this on the planning page of your council’s website.

3. Help potential applicants to select the level of engagement necessary to deal with

the issues raised by the proposal

How? Recognise that potential applicants will only choose services that offer good value for their

business. Set out what they will receive and be sure you deliver on service promises.

4. Demonstrate that your pre-application services are good value for money, whether or

not you make a charge to the prospective applicant

How? Pre-application engagement costs both the council and the developer. So, make sure the

process is efﬁciently run and effective. If you do charge, make sure that the cost is justiﬁed and

relates to the services offered.

5. Co-operate to bring together the right people to address all of the development issues

How? Have processes in place to ensure that the right people are involved so advice given and

commitments made are carried through to application and permitting stages.

6. Have an open exchange of information.

How? By ensuring all information pertinent to the decision making is freely available to all

interested parties prior to the submission of an application.

7. Be collaborative; the requirements of all parties should be given consideration

How? The planning considerations might be the starting point, but to encourage delivery,

the needs of other parties have also to be taken into consideration. Planning Performance

Agreements provide a shared project management schedule.

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8. Provide an opportunity for councillors to be actively involved in pre-application

discussions

How? Bring councillors and developers together to help develop a scheme to meet the area’s

needs.

9. Engage with local communities about development proposals as early as possible

How? Facilitate conversations between communities, councillors and developers to help inform

and inﬂuence the proposals.

10. Maintain an agreed record of information submitted, advice given and any agreements

reached

How? Share agreed notes to provide transparency, help build trust, and ensure that pre-

application discussions have traction when the application is considered.

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2. Pre-application services

in Local Planning Authorities

i) Running a positive and business-like

pre-application service

Pre-application discussions have many potential beneﬁts for the developer. But, the council,

statutory agencies and the local community also gain substantially from the process. Successful

councils acknowledge that these early discussions are a discretionary transaction. To encourage

prospective applicants to engage, it must be shown that the longer-term beneﬁt to them of

having the LPA’s adviceand early community involvementoutweighs the short-term cost of both

providing the information and paying for the LPA’s service.

The table below sets characteristics of a positive business like pre-application service with some

guidance about how to achieve this:

A positive outlook Bearing in mind that prospective applicants will have different needs,

a positive approach to pre-application discussions encompasses:

• being direct and clear with advice

• guiding development by solving problems with the proposal and

suggesting alternatives

• identifying proposals that have little likelihood of success

• understanding and accommodating phased development of proposals

• asking only for information and plan detail as necessary to consider the

proposal

• helping to check the application submission.

Flexibility A council should offer a range of pre-application services to suit a variety

of developers and different sorts of development. A model for tiered

development is set out below.

Publicise what

you offer

No business makes it a secret of the product that it is offering. It should

be clear to a prospective applicant that your council will provide guidance

or advice before an application is submitted and how they can go

about accessing this service. The most accessible place to display this

information is on the council’s website.

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Clarity up-front The terms of the pre-application transaction need to be spelled out clearly.

A service charter or offer should provide clear information about:

• how to access the service e.g. by email, a form to complete, a telephone

number to call or opening times for the duty planner

• the timescale for a meeting to be arranged or for a response to

an inquiry

• the cost

• the process (e.g. a one hour meeting)

• who will be giving the service (e.g. a senior planner)

• the output ( e.g. a written note of the advice given in the meeting).

Guiding and

advising

While it will be up to the prospective applicant to choose the level of pre-

application service they want, it’s important that the LPA advises and

guides the prospective applicant. This will help to ensure that engagement

is proportionate to the challenges of the proposal and that council

ofﬁcers’ time is employed wisely. Continuing discussions on schemes

where ‘showstoppers’ indicate that the proposals are fatally ﬂawed, but

the prospective applicant nonetheless wants to work on resolving detail is

a difﬁcult issue. Although a case by case assessment will be important,

councils can indicate their general approach in their offer.

Involving the right

people

This is an important job, requiring a range of skills and experience.

Those involved must understand the role, and how important it can be for

achieving the best outcomes for the area. They must also be given the

appropriate level of authority to make professional judgements and provide

well-founded advice on behalf of the council that the applicant can rely on.

Advice from the council should, wherever possible, be a “single voice”. This

means wherever possible the requirements of building regulations, highways

and environmental health should also be integrated in the advice given.

Working with the

right information

Providing a reasonable (proportionate) amount of information up-front is

vital; allowing time for background research will ensure that the planning

service involves the right people and provides considered advice. The

applicant must be clear about the information he/she is required to provide.

In all cases the council must ask the applicant only for what is required for

the level of advice he/she is seeking.

Delivering on

promises and

demonstrating

value for money

To develop and maintain a reputation as a good place to do business,

LPAs must keep their promises about response times and quality. To help

deliver this, planning services must have enough capacity to provide pre-

application services that accord with the offer. Councils should monitor

capacity to deliver the performance promises and adjust the service offer

in order to both meet promises and provide timely services.

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Written records A record should be kept of all pre-application advice:

• to ensure that consistent advice is given and can be taken forward when

an application comes in

• so that there is an agreed record of discussions and any agreements or

commitments given

• for public transparency and

• in case there are complaints later on in the development process.

• This record should be shared with all the participants in the pre-app

process and (except in clearly justiﬁed exceptional cases) made public

as soon as possible, if not before an application is made.

Giving weight

to the advice at

application stage

Ofﬁcers of the council will give advice based on their professional

judgement in the current circumstances and their knowledge of policy

framework. The written record of this advice from ofﬁcers and discussion

with elected members will be a consideration in the determination of a

subsequent planning application.

However there are important caveats to all pre-application advice that

should be made clear to prospective applicants:

• Circumstances and policy considerations can change over time as well as

a result of decisions outside the council’s control.

• The council’s discretion to determine a formal planning application cannot

be restricted as a result of any opinions offered by ofﬁcers or elected

members during the course of pre-application discussions.

Statutory

consultees

The LPA can’t guarantee the involvement of all the statutory consultees –

but will actively encourage their participation where relevant. In the more

comprehensive pre-app offers the council will facilitate meetings at which

integrated advice can be given, considered and utilised.

[Note: Most of these statutory agencies have their own procedures for

giving (and charging for) pre-application advice]

Councillors and

Town and Parish

councils and

Neighbourhood

forums

All LPAs should include arrangements in their pre-application offer for

informing ward councillors and cabinet members of pre-application

discussions happening in the area. Equally, the development of good

sustainable developments will be aided by LPAs encouraging the active

engagement of town and parish councils and formal neighbourhood forums

at the earliest stages.

[See section 4 of this pre-applications suite.]

10 The Pre-application Suite

Conﬁdentiality LPAs should be clear about their practice in regard to the disclosure of pre-

application discussions and explain this in their service offer.

The Freedom of Information Act 2000 includes a presumption in favour of

disclosure of information, including pre-application discussions, unless such

disclosure would cause adverse impacts ( Regulation 12(5) Environment

Information Regulations 2004). If an applicant has reason for requesting

that the council keep advice conﬁdential they should be permitted to make

a reasoned request to the council prior to the pre-application discussions

taking place. Councils retain discretion in regard to decisions on disclosure

of information in any instance and should review these decisions on a

regular basis.

The LPA will have to reach a decision in each case where a request has

been made, and in doing so will have to balance the interests of furthering

trust with the prospective applicant against the advantage of engaging the

community more widely in discussions. Wherever possible the LPA should

make the decision in collaboration with the developer.

Once an application is submitted the expectation is that the pre-application

advice will come into the public arena.

Charging and

payment

Legislation allows councils to make a charge for pre-application services

LPAs can choose whether or not to recover the whole or part of the cost of

providing pre-application advice from potential applicants. Their decision

will be based on a number of local circumstances and objectives.

The charges should be clear in the service offer and should relate directly

to the services provided within each tier of the offer. [See section 5 of this

pre-applications suite.]

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ii) A model for tiered levels of pre-application services

To encourage prospective applicants to discuss proposals at the earliest stages and thereby

achieve the potential beneﬁts for all, LPAs need to accommodate the varying needs of

prospective applicants and the range of development types. The LPA should help the prospective

applicant to choose the level of engagement appropriate to the scale of the proposal, and the

complexity of the issues involved. But it will, in the end, be up to customer to choose the level of

service that matches their needs and constraints such as cost, risk management and time.

All LPAs should provide three basic levels of service: roughly equating to small, medium and

large. These diagrams show the type of pre-application service that will be appropriate at

each level and how these relate to the scale of development and complexity of issues raised by

proposals.

Level 1 – general pre-application information

Level 2 – speciﬁc information and pre-application comment on a proposal

Level 3 – site speciﬁc information, pre - application discussion and detailed advice

to aid the development of a proposal

Level 1

LPA guidance for

applicants

Self-service

pre-app information

Level 2

Pre-app comment

service

Duty planner service

Correspondence

service

Meeting service

Level 3

Pre-app advice

and discussion

Engagement with

Stat Cons, structured

community engagement,

member involvement,

council brieﬁngs

Scale of development (£ value and/or size)

Complexity/impact

PPAs should be considered for proposals of this scale and complexity.

12 The Pre-application Suite

Level 1

Level 1: General pre-application Information

What service will this give

the potential applicant?

At the most basic level, pre-application advice should help a

developer – irrespective of the scale of the proposed development

– to ﬁnd out what the development plan policies are, whether

the site lies within a designated neighbourhood area and what

information the council holds in relation to site constraints such as

conservation areas, listed buildings, TPOs, ﬂood risk areas etc.

How will this be delivered? This is a self-service offer. It is likely to be provided free of charge

to the user via the council’s website and in some cases through,

through a public desk in planning ofﬁces or a one stop shop

service centre.

What does it include? It can include guidance regarding the council’s approach to

speciﬁc sites and topics such as design through referring to

well-produced supplementary planning documents that will help

applicants to make better applications. It may also include site

briefs, conservation area guidance and similar documentation that

give prospective applicants greater insight to help them develop

appropriate development proposals.

Councils with a high commitment to encouraging community

engagement have also prepared guides for potential applicants

to provide information about local community groups, such

as town and parish councils and neighbourhood forums and

amenity groups who have an interest in planning in their area.

Ideally, this will facilitate the applicant getting in touch directly by

providing contact information, explaining the groups’ interests and

encouraging early conversation.

Investment in some form of this pre-application advice can be

developed in collaboration between the council and other parties,

e.g. in the preparation of site brief information when a site is

coming to market.

How does the council

make sure this is a

worthwhile pre-application

offer?

Services require scrutiny and investment to make sure that the

information is readily updated and accessible in person as well as

electronically.

It is beneﬁcial to involve local agents to test whether the information

provided and access to it is easy for their and their clients’ needs.

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Level 2

a) Duty Planner Service

What service will this give

the potential applicant?

Access to a person with an appropriate level of expertise (either

a planning ofﬁcer or a trained support ofﬁcer) to have a short

conversation about a speciﬁc site or development proposal is a

quick and relatively cheap way to reduce uncertainty and risk for a

prospective applicant.

[The 2012 PAS Benchmark customer survey asked applicants to

rank features of a good DM service in terms of what would most

help them to make successful developments. They said that access

to a duty planner was second most important on their wish list.]

What can it include? This advice is given in a limited face to face conversation between

the potential applicant and the council ofﬁcer. Generally this

conversation will relate to a speciﬁc site or development proposal.

It may include:

• a summary of the land use constraints

• a summary of the relevant neighbourhood and local plan

policies and any applicable SPD guidance

• an informal opinion of whether planning permission is required

• an informal opinion on the whether the proposed development

is likely to receive ofﬁcer support (providing the development is

fairly straightforward and the policy context clear)

• CIL charges/some general s106 requirements appropriate to this

kind of development

• advice regarding the need to consult other agencies

• advice about engaging with local town and parish councils and

community groups in relation to the speciﬁc proposal

• tailored information from the LPAs validation checklist

This kind of service should also be able to identify proposals that

clearly have little or no chance of success because they breach

development plan policies.

How will the applicant

access this service?

Some councils operate an appointment service. Alternatively, councils

have a duty planner available during speciﬁc advertised hours.

Can councils charge for

this service?

Practice varies from council to council and currently, most councils

do not make a charge for this type of service.

Is there a record made of

the discussion?

Some councils offer the applicant a written record of the

information and comments given. If this is offered it is more often

charged for, as it requires the commitment of additional council

resources.

Whether or not a written record of the advice is prepared for the

customer, the council should keep a note of the advice given for its

own records.

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b) The correspondence offer

What service will this give

the potential applicant?

The scope of this service is similar to the Duty planner offer in

that the council ofﬁcer provides information and comment in

relation to a speciﬁc site or development proposal. In this case a

written response is provided in respect of a plan submitted by the

potential applicant.

What does it include? The information and advice given is likely to follow the matters set

out for the duty planner service. The practice in most councils is

to provide comments on the development proposal as presented

rather than to provide detailed advice on how the scheme may be

improved, although this may be possible for simpler proposals.

While informal advice as to whether planning permission or prior

approval will be required for a proposal, the correspondence offer

will not replace a formal determination under s191 and 192 of the

1990 Act. The correspondence offer should be capable of giving

clear guidance to a potential applicant if the proposal is clearly

contrary to policy (a showstopper) thus saving the applicant time

and money in proceeding further.

How will the applicant

access this service?

Because this will take additional time to prepare the note, many

councils make a charge for this service. The amount of time taken

will be an estimate based on the most common development type

in that council.

Councils should set out the terms of this offer including the cost,

the expected response time and the information requirements;

including if there is an application form required.

c) The meeting service:

When is this suitable? This service is not suitable for complex major applications but is

ideal for other types of signiﬁcant development where a range

of issues and interests are raised. It allows parties to consider

material similar to that required for a planning application, although

clearly the quality will reﬂect that the most effective time for such

an application is at the formative stage, and therefore some

information may not be available.

What are the elements

of the service?

• Brieﬁng and preparation: The planning ofﬁcer should be familiar

with the proposal plans and other submitted information, visit

the site, research the planning history, and carry out any internal

consultations that he/she feels are necessary in order to provide

an integrated response from council ofﬁcers.

• A meeting: This meeting will allow the potential applicant and

design team to present and explain the scheme to the ofﬁcer,

receive information regarding constraints and policy context and

hear the ofﬁcers’ considered views on the issues raised and any

suggested modiﬁcations that would improve the acceptability of

the scheme.

• Preparation of the record of discussion: this should include the

ofﬁcer’s brieﬁng information, issues identiﬁed, and advice given

at the meeting. To be shared with the customer.

15 The Pre-application Suite

What can this service

achieve?

• Identify those schemes which have little or no chance of

achieving planning permission and highlight the main issues why.

• Identify the key policies against which the proposal will be

assessed, the issues that will need to be addressed and how

they could be resolved.

• Identify the key statutory consultees whose views will be

important in considering planning application

• Provide advice about information that should be submitted in the

formal planning application

• Advise on the need for Environmental Impact Assessment EIA,

including screening and potential scoping

• Signpost local community groups to engage with, discuss their

interests (particularly where neighbourhood plans have been

developed) and facilitate their involvement in further discussion

• Provide indicative information about CIL charging and likely s106

requirements relating to the proposal

• Develop a PPA to guide the project management of future stages.

Will a formal arrangement

be required?

The preparation stage is key to both the council and the

prospective applicant in getting the most value from this service

and therefore a formal arrangement with the submission of an

adequate level of detail to demonstrate what the scheme is about

will be required.

Who will be involved? A suitably experienced ofﬁcer who has sufﬁcient authority to speak

authoritatively for the council. For the sake of continuity, that ofﬁcer

would normally have an on-going role in a subsequent planning

application. Depending on the issues identiﬁed when preparing

for the meeting, additional expertise may be required and this

expertise should be present at the meeting (with an appropriate

charge if applicable).

What are the follow on

arrangements?

Any further meetings, submission and consideration of modiﬁed

proposals or additional studies, impact reports, etc. should be

at the request of the applicant and agreed at the discretion of

the council ofﬁcers. The applicant could also request facilitated

meetings with statutory consultees, brieﬁngs with elected members,

and community meetings.

The additional cost (if any) for this extra level of engagement

should be detailed and agreed.

A PPA setting out agreed milestones and timetable for achieving

a successful process is recommended.

16 The Pre-application Suite

Level 3

a) Standard Pre-application Advice and Discussion

When is this suitable? For major proposals, especially the large major applications which

involve a complex web of interlinked issues.

The pre-application stage should establish a clear path leading up

to the planning application.

The difference in approach from the basic meeting service is

that all parties start the conversation knowing that the issues are

complex. They are prepared for the pre- application process to be

a staged, iterative process that will necessitate early and continuing

engagement with a number of other parties.

The council should take a pivotal role in facilitating an integrated process

for council issues and other statutory agencies to become involved.

The council should also lead discussion on the early engagment

of the community if the prospective applicant has not already

commenced conversations with these groups.

17 The Pre-application Suite

What is the typical

process for this type of

pre-application service?

• Brieﬁng and preparation: (as previously)

• Initial meeting: This is a scoping meeting which both explores the

main issues raised by the proposal and provides an opportunity

to map out a process for pre-application engagement for a PPA.

(Clearly, if the issues include any show stoppers this will be ﬂagged

early on and the process can revert to a simple meeting service.)

If possible, representatives from other parties who will be signatories

to a PPA should be encouraged to attend the meeting.

• For each proposal the elements of the pre-application process will

differ according to the nature of the proposal. The applicant and the

council together should discuss which elements will help to improve

the scheme, mitigate problems and build consensus. Clearly,

developing strategies for project speciﬁc scoping of engagement

strategies and impact assessments will be key elements.

◦ Formation of a development team including relevant council

services and a schedule of meetings outlined

◦ Facilitated meetings with statutory consultees

◦ Commissioning detailed impact studies

◦ Assessment of detailed impact reports

◦ Screening and then scoping for EIA

◦ Brieﬁngs for elected members

◦ Early brieﬁng and discussions with town and parish councils

and neighbourhood forums

◦ Wider community engagement (developer forums etc. or

creation of working groups with the community)

◦ Early reporting on progress to planning committee

• Exchange of PPA agreement detailing approach and project

milestones

• Preparation of a ﬁnal summary document that provides a record

of pre-application discussions and leads on to the submission of

a planning application and assessment of the effectiveness of

this pre-application stage.

18 The Pre-application Suite

What can this service

deliver for the prospective

applicant?

This offer will provide the beneﬁts of the simpler pre-application

offer together with:

• A named project ofﬁcer responsible for managing the

pre-application process

• An agreed timetable through a PPA

• Active facilitation of a co-ordinated response from all services

in the council

• Active facilitation of meetings with relevant statutory consultees

• Advice and suggested alternative approaches in order to

address any identiﬁed concerns. Negotiation and agreement of

the s106 agreement, S278 costs and CIL charges

• The council ofﬁcers actively engaging both councillors and

community groups in pre-app discussion

• Management of the decision-making processes, including

arrangements for consultation, committee lead-in times and

referral constraints and (if necessary) site acquisition processes.

Will a formal arrangement

be required?

This is a major commitment of resources from all parties. The key

to a successful process will be proper project management. This

should start with a clear arrangement right from the beginning.

Where the council makes a charge for this service, it will be helpful

to have the cost of the basic service speciﬁed along with indicative

prices for the ‘optional’ elements.

Arrangement for such charges may be a combination of up-front

charge and subsequent billing either in arrears or in some form

of draw down arrangement whereby the applicant pays a sum

up front and the unspent balance is refunded at the end of the

process. All such ﬁnancial arrangements will normally be separate

from the PPA agreement.

Who will be involved? This service requires leadership from the council. Ensure that

all those whose comments will affect the ﬁnal decision are

encouraged to participate (e.g. council highways, statutory

consultees, parish council). The people involved should be

both sufﬁciently expert and able to speak with authority for their

organisation.

An identiﬁed planning project manager should act as a single point

of contact.

What are the follow on

arrangements?

The PPA for this kind of development can be deseigned to lead

from the pre-application phase into the planning application and

post-application phases in seamless stages.

19 The Pre-application Suite

b) The tailored pre-application advice and discussion

When is this suitable? The largest and most complicated schemes may be in design and

development for a period of years. These schemes are very often

important to delivering key strategic elements of the council’s own

local plan and therefore the council has a strong interest in taking

an active lead and collaborative (and sometime even ﬁnancial)

interest in achieving a high quality sustainable development.

What are the elements

of the service?

A key element is a PPA that deals with setting project management

milestones and ensuring that adequate resources are put into the

discussions to keep the project moving towards delivery. This is

an effective means of establishing an agreed structure capable of

providing the integrated and ‘end to end’ collaborative relationships

necessary to underpin strategic developments.

While all of the elements set out in the bespoke service above are

applicable, the scale and complexity of such schemes may require

other additional options unique to the situation.

These schemes are more likely to also require co-ordinated

approaches to site accumulation and infrastructure delivery as well

as plan policy making and development management. The range

of stakeholders who should be engaged at the pre-application

stage is often large and mapping such interests is often a useful

initial step to developing the PPA, as are concensus building

visioning workshops which focus on the eventual outcomes from

the development.

What can this service

achieve?

Effective pre-application arrangements in this context not only

facilitate a smoother planning process but also work towards a

smoother delivery on-site.

The process provides a transparent framework to explain the

discussions and partnership working that are essential to this kind

of large development. It can facilitate the effective involvement of

the community and will aid building acceptance and ownership of

the scheme.

Will a formal arrangement

be required?

A range of partnership arrangements will be appropriate

depending on the circumstances and requirements of the parties

involved. In the interests of both transparency and certainty these

should be spelled out clearly as soon as practical.

Who will be involved? This scale of proposal will require a combination of leadership,

expertise and project management – all of whom will have to be

able to commit signiﬁcant amounts of time to the process.

20 The Pre-application Suite

21 The Pre-application Suite

3. Planning Performance

Agreements

Scale of development (£ value and/or size)

Complexity/impact

Type 1

Simple PPA

Drawn up during pre-

application engagement

to detail milestones in

the planning application

process

Type 2

Medium PPA

To cover multi-phase

process including pre-

application, application

and discharge of

conditions (as required)

Type 3

Comprehensive PPA

A multi phase, multi

party agreement for

the largest and most

complex proposals

i) A ﬂexible project management tool

The main purpose of a PPA is to provide a framework, agreed between the LPA and the applicant

or potential applicant, about the process for considering a major development proposal.

A PPA is a ﬂexible mechanism, adaptable to proposals where the issues raised are relatively

straightforward to those where the issues are complex, a number of parties are involved and the

process may be staged over a long period. No standard PPA will ﬁt all of these circumstances.

The process that the PPA sets out will alter according to the number and complexity of the issues

to be considered. Therefore the form and content of the PPA will likewise be more complex for

proposals that have a greater number of issues to consider and a greater number of parties

involved. This is more of a sliding continuum than discrete types; but for illustration, simple,

medium and comprehensive types are described here. LPAs are advised to use these as a

starting point for their own use of PPAs.

22 The Pre-application Suite

As a general principle the agreement should be as simple as possible, consistent with a

proportionate approach to the scale of the proposal and complexity of the issues raised. It

will usually be agreed in the spirit of a memorandum of understanding rather than as a legally

binding contract. The common elements of a PPA are:

• that the agreement is drawn up prior to the submission of a planning application

• that the LPA and the prospective applicant are signatories to this voluntary agreement

• the agreement includes one or more agreed milestones to deﬁne the process of considering

the development proposed, including an agreed date by which an application will be

determined by the LPA.

• the agreed determination date supersedes the 13 or 16 week statutory time limit

• the agreed determination date also supercedes the 26 week planning guarantee.

The simplest PPAs will be an agreement between the council and the applicant setting an

appropriate determination date for a planning application.

More often, the PPA will be agreed during pre-application discussions to set out the scope and

timetable for pre-application engagement and subsequent submission and determination of the

planning application.

For large strategic development the PPA may encompass the very earliest stages and include

collaborative work on visioning, feasibility and developing local plan documents that support

its delivery. PPAs can also cover post decision phases, such as the consideration of reserved

matters and conditions if agreed between the parties.

In early pre-application discussions, a PPA can:

• build a shared understanding of the vision and objectives for a major development and its ﬁt

into the community

• identify the information requirements necessary to address the issues raised by a proposed

development

• set out a process for assessing this information

• map the process for engaging the community and involving elected members.

A PPA should give greater certainty to the planning process and help foster a collaborative

approach to designing better development. PPAs have a particularly useful role in large

developments when the scale and value are high, and where impacts on the community are most

signiﬁcant. In these cases, the community and other parties, such as statutory consultees, gain

from the transparent process set out in the PPA and can understand their opportunities to engage

and inﬂuence the proposal.

23 The Pre-application Suite

ii) Frequently Asked Questions about PPAs

The following table sets out questions and answers to provide more detail on some of the issues

that have perhaps prevented their more widespread adoption in the past:

When would a PPA

be worthwhile?

While a PPA could be agreed in respect of any development, for most

small scale developments there would not be sufﬁcient beneﬁt to justify

the process e.g. for development proposals where the prospective

applicant is content to utilise the basic level 1 or 2 kind of pre-

application service and when the council will expect to consider and

determine within the statutory period.

Type 1, Simple PPA:

Where the applicant has chosen level 1 or 2 pre-application services,

some limited issues may remain to be considered during the planning

application phase. In these circumstances a PPA setting out a

straightforward project plan for dealing with these issues could be

appropriate. This simple PPA should be agreed and signed prior to

submission of the application.

Type 2, Medium PPA:

This kind of PPA provides a framework suitable for signiﬁcant major

applications. It is a ﬁtting tool to support pre-application discussions

where the applicant chooses to take up level 2 or 3a pre-application

services in the expectation that matters of concern will be worked

through before an application is submitted. The PPA will probably

include milestones for the pre-application as well as for the application

phases.

The agreement is likely to be between the council and the prospective

applicant, although if appropriate, the timetable can set out a path

for the involvement of statutory consultees, community groups and

members, with the council agreeing to act as co-ordinator.

Type 3, Complex PPA:

This is a tool to support the delivery of the most complex, strategically

important development proposals such as for pre-application services

offered in level 3b of the pre-application model. The PPA is likely to

be agreed at the earliest stages and may include inception meetings,

the preparation of local plan policies, masterplans or development

briefs, site assembly, infrastructure planning as well as shaping the

development proposals itself. The PPA will aid project management

providing a continuous framework for integrating consideration of

planning, site acquisition and other regulatory regimes/permitting. This

approach facilitates phased development and post application work

including permits, highway works and delivery of infrastructure. It

can be adapted to set out an agreed process to include a number of

participants including statutory consultees, town and parish councils,

community groups and statutory consultees.

24 The Pre-application Suite

Does participation

in a PPA oblige

the council to

grant approval

of a planning

application?

Although pre-application engagement and PPAs are a means of

encouraging a collaborative approach to considering and resolving

issues about a development, these agreements do not imply any

obligation on the part of the council to approve the planning application

for the proposal.

Can the council

make a charge for

a PPA?

Under Section 93 of the Local Authorities Act 2003, councils can make

a charge for providing discretionary services such as pre-application

advice. These charges should be on a cost recovery basis only. The

charges should be clear and calculated transparently.

The charge for pre-application advice is separate from the planning

application fee, which is set by regulation and designed to meet the

council’s costs when considering the application. Where the PPA is a

means of project managing the planning application, a council should

only make an additional charge for work that goes beyond the council’s

statutory duty. This would include the elements of a PPA that relate to

the pre-application and to post application stage discussions, except

in relation to the discharge of conditions themselves, which are also

covered by the fee regulations.

The government advises that charging agreements should be kept

separate from the PPA. For medium and complex PPAs that deal

with phased projects over a longer time period there may need to

be a framework for staggered or phased payment dates. A separate

payment agreement will ensure that the focus of the PPA is on the

efﬁcient timely determination of the development application.

Who needs to be

part of PPA?

A PPA is normally signed by the LPA and the developer, although

there is nothing to prevent other parties joining as signatories if this is

appropriate. The inclusion of other parties who will play a key role in

progressing the proposals, such as statutory consultees, can ensure

better integration and smoother consideration of all the relevant issues.

For setting out the strategy for community engagement in a PPA, the

council and prospective applicant will be well-advised to look for some

input from that community in order to make sure that the process is

suitable and achievable. Where suitable groups such as parish councils

could also be a signatory to the PPA.

The most important issue is that in a PPA, those who sign up must

acknowledge a mutual commitment to ensuring that the milestones are met.

25 The Pre-application Suite

What needs to be

set out in a PPA?

As with all project management approaches it is sensible to keep the

content of PPAs straightforward. The guiding principle should be that

the parties agree the way forward. PPAs need to be:

• agreed between the council and the applicant

• recorded in writing

• signed by a duly authorised person for each party.

They also need to:

• set out what the development comprises

• set out an end date for completion of the planning application –

including a Section 106 agreement and section 278 obligations

• encapsulate a realistic timetable assuming that all parties are working

with the best of intentions to complete in the shortest time possible

given the resources available.

Type 3 PPAs are also likely to include more information about the

working arrangements between the parties, possibly including formal

governance arrangements and include a project plan.

How can a PPA set

a new determination

date?

Article 29 of The Town and Country Planning (Development

Management Procedure) (England) Order 2010 – the DMPO – sets

out the requirement for councils to give the applicant notice of their

determination of a valid application within a speciﬁed period; being

either the statutory time limit or ‘such extended period as may be

agreed in writing between the applicant and the local planning

authority’. The extended period can be speciﬁed in either a PPA or an

extension of time agreement.

The determination date speciﬁed in the PPA will be the date used for

the LPA’s performance management in regard to both the designation

criteria and planning guarantee. Provided applications are determined

within the agreed time they will be counted positively for the purposes

of the performance management of the LPA.

26 The Pre-application Suite

What is the incentive

for a developer to

enter into a PPA?

The advantages of entering into a PPA are very clear:

• the process of considering a proposal either at pre-application

or through the planning application is set out and much more

transparent – it reduces any surprises and sets out deﬁned

boundaries

• the (potential) applicant has a chance to work with the council and

other participants to set out the process – rather than simply reacting

to the council’s perception of what is required or indeed the council’s

timetable, he/she can make suggestions, inﬂuence the ﬁnal timetable

and clear up ambiguities and so on, which shortens the process

• where there is a charge for a PPA, the applicant can be more assured

that the resources needed to achieve the agreed timetable will be in

place to do it

• if other parties such as the statutory consultees agree to be

signatories of the PPA, the applicant is assured of their buy-in to

achieving the timetable, which increases the chances of a smooth

integrated process.

What happens if

the council doesn’t

satisfy the timetable

of a PPA?

Because of the planning guarantee and the performance management

system for councils set up under the Growth and Infrastructure Act

2012, LPAs have a real incentive to meet the determination date set out

in a PPA. Moreover, because the PPA is an agreement, the milestones

of the PPA should be realistic in the context of each application.

If the LPA does not determine an application within the time set

out in the PPA, the applicant still has the right under S78(2) of the

Town & Country Planning Act 1990 to submit an appeal against non-

determination. An appeal cannot be made until that extended period

has elapsed, but the applicant does have six months from the expiry of

the extended period in which to give notice of an appeal.

Under the planning guarantee applicants can claim a refund for the

planning application fee if the application is not determined within 26

weeks unless the applicant and LPA have agreed an extended date for

determination.

What happens if the

applicant doesn’t do

their part to satisfy

the timetable for a

PPA?

Just as for the council, the applicant should sign up to a PPA in the

expectation that he/she will do their part to ensure the timetable is met

and take their share of responsibility for any slippage. Commercial

interests and the embedded costs of developing a proposal through

planning should provide a good incentive for the applicant. Although

circumstances may sometimes change and a developer may lose

urgency or be unable to complete the process, the collaborative

understanding reached through the PPA will help to ensure that matters

are not left hanging. Just as the applicant has the right to appeal if the

council fails to meet the agreed determination date, it is reasonable

to expect that the LPA can step aside from the agreed process if the

applicant is not prepared to meet their obligations.

27 The Pre-application Suite

Can a PPA be

renegotiated?

All parties to the PPA should regularly review progress against the

agreed timetable. It is intended as a working project management tool,

so as unforeseen matters arise during the course of pre-application

discussions or through the formal planning application process the

PPA deadlines can be reviewed and a new determination date agreed

between the parties.

Can a PPA pass on

to a new applicant if

the development is

sold?

With the agreement of all the parties, a new owner of a development

proposal may be able to take over an existing PPA part way through

the process. Alternatively, if the character of a development changes

signiﬁcantly during the course of pre-application discussions, the

parties might agree an amendment to the existing PPA or make a new

agreement. The circumstances will determine which option makes most

sense, especially taking account of the need to retain transparency and

conﬁdence in the process for local people and community groups.

28 The Pre-application Suite

29 The Pre-application Suite

4. Engaging councillors

and communities in

pre-application discussions

i) Active involvement of both councillors and communities

at the earliest stages of a development project is

important to both improving the quality of the resultant

scheme and in reducing potential delays.

Why? Because:

1. Local authority councillors are active civic leaders who have goals and aspirations for their

area which they want to make happen. Their role in pre-application discussions gives them

the opportunity to ensure that new development meets those aspirations.

2. Planning applications for the most signiﬁcant developments are mostly determined through

a democratic process at planning committee. These decisions are made by the elected

representatives of the local community, not by ofﬁcers.

3. Communities all over England are demonstrating their ability to take far reaching positive

decisions about the type of development they want to see in their communities through

neighbourhood planning. These communities are showing their capacity to consider

development constructively and to work with developers and landowners to inﬂuence

development in a way that is far removed from passive consultation.

4. The involvement of communities is critical to the success of the development planning system.

This is reinforced in the National Planning Policy Framework (the Framework) where it states

at para 66:

“Applicants will be expected to work closely with those directly affected by their proposals to

evolve designs that take account of the views of the community. Proposals that can demonstrate

this in developing the design of the new development should be looked on more favourably”

(see also Article 3A of the DMPO in which prospective applicants are legally required to carry out

pre-application discussion with the local community for some kinds of wind turbine projects).

As in all pre-application engagement, proportionality is the key.

The arrangements that LPAs can put in place to facilitate early discussion will vary dependant

on the scale and complexity of the development and the likely impact of the development on the

wider community.

The role that people play in the development process will affect the reach and timing

of their involvement.

All councillors will be chieﬂy acting to ensure that new development delivers the greatest beneﬁts

for their communities, but there are nuances to their roles that affect how they engage in pre-

application discussions.

30 The Pre-application Suite

Early and proactive engagement in discussions from ward members and planning portfolio

holders helps developers to shape major schemes even before they get to the drawing board.

Leaders and portfolio holders in particular may need to act as managers of council assets acting

as partners in the delivery of some strategic developments – balancing an asset management

role with civil leadership and representing the interests of constituents. They are able to use their

position as local leaders to aid important developments that will realise their aspirations for the area.

Ward councillors generally want to be conﬁdent that they have the right information about

proposals happening in their area in order to be more effective community representatives. They

want to do a job in encouraging developers to make proposed developments that their community

will value and achieve beneﬁts for their community from developments within it.

Planning Committee members will take decisions on planning applications but balance their

community leadership role with the need to keep an open mind prior to decision making. This

does not mean that committee members should be insulated from early discussions. It will help to

bring about better understanding of the issues through open exchange of information, discussion

and constructive questioning.

Councillors involved in early discussions have an invaluable opportunity to understand issues

of viability and to explore potential contributions to local infrastructure and affordable housing.

Members are able to provide a clear steer on what is likely to be acceptable to the community

and can allow problems and opportunities to be identiﬁed and addressed as the proposals for

the development are put together. The issues raised by statutory consultees can be explored and

alternatives assessed.

While the outcome of the planning application is not pre-determined by this process, the issues

are better understood and the likelihood of deferrals and delays much reduced.

In the Localism Act 2011 (s25), the government made it clear that the probity rules that ensure

that councillors behave with the highest standards in relation to their role in planning are not a

barrier to councillors being actively involved in bringing their local knowledge, expertise and

understanding of community concerns to bear in the pre-application process. A decision taker

must not have made up their mind on a proposal such that they have a closed mind to any

new information or alternative views before taking a decision. But it is reasonable for a local

councillor to be predisposed to support or object to a proposal as a result of both the community

representative and leadership roles.

The PAS/LGA guide “Probity in Planning 2013” sets out more guidance on this matter: http://www.

local.gov.uk/environment-planning-and-housing/-/journal_content/56/10180/3979541/ARTICLE

The community in the planning context can include a multiplicity of potential players. It is

not just those living near a future development but includes all those whose lives, work or

responsibilities could be noticeably affected by it. It can for example include:

• those potentially affected by trafﬁc, noise or visual impact some way away from a site

• the local parish, town council or a neighbourhood forum (as even if their role is not statutory,

forums designated for neighbourhood planning will have an equal interest in representing their

communities)

• people beyond a parish boundary; if, for example, changes might be happening to a school,

centre or open space that serves a wider area;

• amenity and residents’ groups, managers of local community infrastructure

• some external people even if not local, e.g. Natural England if there is a wildlife impact.

31 The Pre-application Suite

It is important that a potential applicant gains a clear understanding of the ‘community’ in relation

to a proposed development early in the process and for the LPA to help the applicant to reach

this understanding. While recognising that some aspects of it can, and perhaps should, change as a

project evolves, applicants are well advised to use community consultation as one of the channels

through which the design of a proposal can be developed and reﬁned. Development of an

engagement strategy, setting out how the community will have opportunities to understand and inﬂuence

devlopments, is best done as part of early discussions and included within a PPA or project plan.

Applicants may go separately to engage with the community or may work with the LPA, including

councillors, to facilitate the discussion at the formative stages. While in some commercial

situations a potential applicant may wish to hold back on community engagement for reasons of

conﬁdentiality, the LPA should encourage the applicant to bring the community into discussions

as soon as practically possible.

Like ward councillors, town and parish councils, neighbourhood forums and other community

representatives also value being part of discussions and to shape proposals in their area; to

understand the impact of viability, to advise on community priorities and to see that these are

demonstrated in the proposals that are brought forward by applicants. Early, open discussions

with local communities, are unquestionably the key to effective progress in developing proposals

that meet both the needs of the applicant (a faster and more cost effective passage through

the planning system) and increased beneﬁts for the community who will live with the eventual

development. They too are a key route through to the wider community.

Integrating councillor and community engagement into pre-application processes

To work well and ensure public conﬁdence in the integrity of pre-application engagement, many

councils have adopted some form of structured approach especially in regard to the involvement

of councillors. This need not be tied to formal presentations, and may include more informal

working/discussion arrangements, as appropriate for each council. However for the sake of

transparency and so that a prospective applicant can understand the options available, the

arrangements need to be integrated into the range of pre-application services discussed at

section 2 of this pre-application suite.

In considering what arrangements are appropriate, the following should be taken into account:

• Active discussion will facilitate the design of schemes that better meet the needs of the local

community more effectively than an “consult and determine” process

• Arrangements should be proportionate to the scale of the development and the complexity of

the issues raised and therefore a range of options should be available

• Arrangements should be sufﬁciently ﬂexible to accommodate a range of circumstances

including where there has been discussion at plan preparation stage, following an appeal or

reworking of unimplemented permissions.

• The LPA should have capacity to meet whatever arrangements are put in place

• The process should be managed in such a way that a record can be kept of matters discussed

and advice given

• Councillors who are not normally involved in making planning decisions, may require additional

support to help understand the development plan context and the NPPF.

• How councillors, town and parish councillors and neighbourhood forums and communities

are engaged in pre-application discussions should be part of the PPA project plan and

communities may be signatories to the PPA agreement.

• Allow for regular review of any conﬁdentiality requirements in order to work towards inclusive

open discussions.

32 The Pre-application Suite

ii) Options for effective engagement

Many councils have adopted good working models for engaging both the community and elected

local authority members in pre-application discussions. No one solution will suit all councils

or all developments. Councils can adopt a combination or hybrid of these suggested options,

depending on the scale of development and the stage of the development process. As with other

aspects of a good pre-application offer, all stages, options and costs involved should be clear to

participants from the beginning. Any PPA should indicate the form of engagement/discussion

that will be adopted and these should be identiﬁed as milestones in the project plan.

Discussions at concept stage

Councils are increasingly working to ensure that their economic development and planning

services are working in close alignment. As part of this they are signposting a ‘front door’

whereby potential applicants for signiﬁcant new developments are encouraged to come to the

council at the very earliest stages to discuss concept proposals with senior councillors. Equally,

whilst progressive developers have gone straight to the community to discuss proposals early

in the design stages for some time, neighbourhood planning has been a catalyst for more direct

approaches from developers who wish to work with communities to ensure that their proposals

meet community objectives

In both cases this initial contact can set up good relations for the rest of the project or avoid

costly delays in taking forward proposals that have little chance of success or community

support. Discussions may start with a blank sheet of paper to allow options to be explored

openly or may build on proposals that are at an early stage of development. While the

discussions may be conﬁdential and preliminary, it is nonetheless important that a record of

advice and agreements is made, shared between the participants, and kept on record should

an application follow.

Member and community briengs

Formal brieﬁngs at a meeting, in some form of presentation or less formally by phone, provide

an opportunity for the council ofﬁcers or a prospective applicant to give an introduction to a

development proposal while that proposal is still at a formative stage. The ‘audience’ may be

one or more councillors or a mixed group of people likely to be affected by the proposal and

community representatives such as town and parish councillors or neighbourhood forums.

Such brieﬁng can be a helpful way for councillors to stay abreast of proposals that are being

discussed in their area, neighbourhood or ward. It’s also an effective means for portfolio holders

to have an overview of development across the local authority. Brieﬁng is most appropriate at

the early stages of discussions between the council and a prospective applicant. It is envisaged

more as a presentation of information than a discussion, allowing the ‘audience’ to take in the

information and provide a considered response later. Some councils allow a developer to brief

councillors directly. In all cases it is important that a record is kept, alongside a copy of any

written brieﬁng or presentation material.

33 The Pre-application Suite

Interim committee report/presentation

This is useful for ensuring that the planning committee members are given an early sight of

pre-application proposals in a more formal surrounding with the public present and providing

a public record. The ofﬁcers prepare a report that briefs on the scheme; the issues raised in

planning terms, and matters discussed in informal pre-application meetings with councillors,

statutory consultees and community groups. The developer may be offered a chance to

give a presentation to the committee members outlining the scheme including any on-going

discussions such as viability and provision of community beneﬁts. Some councils allow ward

members and/or parish/town councils to also address the committee in order to raise issues

that the community may have about the development. The committee hearing the brieﬁng have

a chance to openly question and explore the proposal while keeping an open mind about the

proposal. This provides a public record of discussion and therefore high levels of transparency.

Discussion forum

A developer or the council can host a discussion forum attended by ofﬁcers, councillors,

representatives of other statutory consultee bodies and community stakeholders (as identiﬁed in

the councils SCI). This can effectively combine the engagement of councillors and community

representatives and members of the public in a single event. It differs from the member /community

brieﬁngs in that it is not an information opportunity but a working discussion forum therefore it is

important that this takes place when the scheme remains ﬂuid and capable of change.

The prospective applicant has an opportunity to present his/her initial design and hear

reactions from those present. Statutory consultees have an opportunity to outline any concerns,

modiﬁcations or mitigation measures they consider to be required. The councillors and

community representative can ask questions of both the applicant and statutory consultees

about the detail of the proposal. The design, ﬁnancial viability, local impacts and contributions to

infrastructure and affordable housing can all be considered, views expressed and suggestions

tabled. Such forums will require effective chairing. In most cases this local leadership role is

taken by a councillor. The task of organising and funding the events will be agreed between

the council and the prospective applicant under the terms of the pre-application offer or PPA.

Some councils run regular planning discussion forums and the meeting may deal with several

prospective developments in a single agenda – depending on the scale and complexity of the

issues and level of public interest. This format has the advantage of keeping discussions in the

open, providing an organised platform for all those with an interest in the development to gain

a mutual understanding of issues and help to shape more successful schemes. The record of

discussion at such meetings should be a material consideration later in the application process.

34 The Pre-application Suite

35 The Pre-application Suite

This section provides a good practice guide for councils to understand their costs of providing

pre-application services. Councils can then make an informed decision on whether to transfer

the cost of provision to applicants or cover the cost themselves. This may include charging only

a proportion of the cost or charging for only certain parts of the service.

Introduction

The fourth commitment of the 10 Commitments commits councils to demonstrating their

pre-application services are good value for money, whether or not a charge is made for the

service. For prospective applicants, an effective pre-application service is one where the longer-

term beneﬁt of having the LPA’s adviceand early community involvement outweighs the short-

term cost of both providing the information and paying for the LPA’s service. The service must

have the capacity to deliver useful answers and advice within a promised timeframe.

Applicants who are asked to pay for pre-application service from the LPA will want to be sure

that the cost is fairly calculated and relevant to the services provided.

Councils and communities also stand to gain from pre-application services, so councils will want

to consider the risks of applicants being deterred because of a charge. But conversely they

also need to assess the risks providing an ineffective offer “on the cheap” if they do not have the

resources to provide a service that is worthwhile to developers.

The starting point is therefore that all councils should know what it costs them to provide a useful,

good value pre-application service.

5. Calculating the cost of

pre-application services

36 The Pre-application Suite

i) Understanding councils’ costs of providing a service

a. Most councils will have more than one type of pre-application offer:

Level 1 – General pre-application information: Leaﬂets and online advice. The cost to the

council of providing this guidance tends to be one-off. Many LPAs reduce costs through

coordination with other LPAs or the Planning Portal.

Level 2 – Speciﬁc information and pre-application comment on a proposal: These costs can

include design briefs for sites going to market but more usually involve a written response to a

particular proposal. Some LPAs offer a bookable or drop-in meeting service for straightforward

schemes. The service is fairly standardised and the resources that the council will put into this is

well understood; therefore costs are easily calculated.

Level 3 – Pre-application discussion and detailed advice on complex proposals. The elements

in the pre-application offer can be viewed as items on a menu, the cost of each can be

approximated. The overall cost of this kind of pre-application guidance will not be known at

the outset, and may change as the scheme progresses. But by using a PPA, the cost can be

estimated at the beginning of the process.

b. Staff time forms the largest part of pre-application engagement. This includes the costs of

employment (wages, holidays, national insurance, pension etc.) for the productive hours spent

in work. For simplicity, overhead costs of providing services (corporate services, ofﬁce

costs etc.) can also be distributed across the total staff hours to create a composite hourly

rate including oncosts. For simple pre-application services the costs are best expressed as a

composite hourly rate x the number of hours spent providing the service.

c. Planning authorities will often engage with several different parts of the council (for example

Highways and Environmental Health) in order to provide a “single voice” for the council in pre

application discussions. The full cost of provision includes the participation of people from all

parts of the council.

d. For some types of advice, LPAs will buy in expertise because specialist skills are not available

within the council. Councils may also incur other costs, for example hiring a hall for a public

meeting. These should be included within the cost of the standard services where

appropriate or recorded as special items for the large and unusual schemes (as within

level three). It is reasonable for a handling charge to be added to such costs to cover

administration, procurement etc. but, once again, this should not exceed the actual costs.

e. Planning authorities will sometimes coordinate the participation of external organisations,

for example upper tier authorities, statutory consultees or town and parish councils. Some

organisations will charge the LPA while others will not. Councils should be careful to keep

accurate records so that any costs that are subsequently passed on to the prospective

applicant are genuine.

f. Pre-application costs are separate to those covered by the planning application fee. When

calculating pre-application costs there should be a strict delineation between pre-application

and application activity/services.

37 The Pre-application Suite

ii) Recovering councils’ costs

a. Councils can choose to recover the cost of pre-application work by making a charge under

the s93 Local Government Act 2003 for providing a discretionary service. When making a

charge, councils must set the charge at a level that does not generate a surplus. For this

reason, LPAs should review their fees regularly and compare costs and income.

b. Some councils will decide to make the advice for particular types of development exempt

from charging. These exempted costs should be borne by the council and not by other users.

c. Fees should be kept as simple and transparent as possible. For many straightforward

situations this will be an hourly rate x an estimate of the time that will be needed to perform

the service. For the majority of pre-application transactions councils will be able to use their

knowledge of how ofﬁcers spend their time (timesheets or benchmark data) to work out a ﬂat

fee that is a reasonable estimate of costs.

d. Councils with a wide range of development proposals may want to offer a more differentiated

offer – e.g. a different hourly rate for junior and senior staff aligned to the tiers in their offer.

e. For the elements that make up the ‘menu’ for pre-application offers on complex (level three)

proposal, councils will be able to use their information of staff time taken, direct costs (such

as venue hire or employment of specialist expertise) and other costs associated with the

speciﬁc service to apply a standard costs for each item on the ‘menu’. This can be reﬂected

in the charge made for a PPA.

f. Whilst the charges made for pre-application services should match costs, the amount of work

required to set, communicate, monitor and review fees should be proportionate to their value.

Some degree of estimation and averaging is therefore inevitable and reasonable.

38 The Pre-application Suite

g. Councils should chose a method appropriate to the service required and be prepared to vary

it if required:

Method Overview Charging

Standard

charges

Pre-application requests are divided into

standard types, based on the offer of

speciﬁc services – e.g. one meeting on

site, consideration of the plans and a letter

giving advice and setting out the key issues.

Each type is assessed for how much time

is required and multiplied by the productive

hourly rate to calculate the charge.

Paid when pre-application

request is submitted. Often used

for level two.

Variations

to standard

charges

Councils will not be able to make a menu of

standard charges that is appropriate in every

circumstance.

In some situations it will be simplest to use

the standard charges as a base from which

to agree a price, using the hourly rate or one-

off speciﬁc costs as a guide.

Negotiated price paid when pre-

application request is submitted.

Can be used to vary level two or

to calculate level three.

In arrears For the largest proposals, where pre-

application discussion may take place over

a prolonged period, it will not be practical to

scope out all the work required at the pre-

application stage.

In these situations a guide price (or estimated

levels of resource) is used. The work itself is

monitored and an account kept.

Invoices are calculated and

raised based on actual costs

as milestones are achieved

or as otherwise agreed. The

arrangements for recharging

can be agreed as part of

the PPA or through a side

agreement.

h. To provide up-front, clarity councils should design a fee schedule that ensures that the

majority of straight-forward situations are covered by the standard charges.

i. Billing in arrears is the most accurate method and can guarantee that each pre-application is

precise in its cost recovery. However it is not popular with applicants who prefer price

certainty. It is also costly for councils and disproportionate for all but the biggest proposals.

Councils can have problems recovering the debt unless there is a drawdown agreement (as

used by many solicitors). For this reason it is usually reserved for PPA arrangements in level 3

or where there is a history of good working relationships.

39 The Pre-application Suite

iii) Estimating standard charges (a worked example)

a. The true cost of staff time is a product of the salaries of the people involved, their oncosts

and non-productive time (eg annual leave).

The productive hourly rate

Average hourly rate £20.12/hr

Total oncost 135%

Composite hourly rate = £20.12 x (1+1.35) = £47/hr

£20.12 is the average hourly rate of DM staff in the 2012 national benchmark

The total oncost (including accommodation, corporate costs, annual leave, training,

sickness) is an average 135% from the same benchmark

b. The results of a national benchmark give a range of rates for a productive hourly rate of a

single ofﬁcer from £45.00 to £60.00. This represents a range of the staff involved in planning

(managers, planners and clerical/technical support staff). Councils may want to pick a single

average rate, or more than one to reﬂect the degrees of seniority involved. The productive

hourly rates for key grades of staff should be made public, as they will be used as the basis

for the calculation of standard charges and agreeing variations to them.

An example of estimating a charge for a duty planner service

The service is provided on a rota by several planners within a grade. Their productive hourly

rate averages £50.00. The service is provided in 25 x 90 minute slots per week

The charge per slot = £50 x 1.5 = £75.00 + VAT

More than one person may be involved at several points during the pre-application process

(for example, several aspects of the scheme may be considered together at a multidisciplinary

development team meeting). Rather than adjusting the hourly rate upwards to reﬂect these

additional people, the number of hours should be adjusted.

40 The Pre-application Suite

An example of estimating a charge for a meeting service

The service is provided by a mix of people on different grades. The preparation is done by the

potential case ofﬁcer and the meeting is conducted with the addition of the Head of Service

and the Team leader. The Head of Service reviews the record before it is sent out.

Brieﬁng and preparation: 3 hrs x £50

Meeting: (2hrs x £50) + (2hrs x £55) + (2hrs x £65)

Written record: (2hrs x £50) + (0.5hrs x £65)

The charge for the meeting = £620.00 + VAT

Note that this should not then be set out as £207/hr for a three hour meeting, as it is composed

of different staff at different rates and so does not scale.

c). More complex developments may also require other sorts of provision – for example hiring

of spaces for consultation and advertising. Unless they are routine and predictable this type

of cost should be separately paid for by the developer as required or agreed and added

onto the standard charges.

41 The Pre-application Suite

iv) How to introduce a charging schedule

LPAs who decide that they do not want to introduce a charging schedule and will therefore bear

the cost of providing a pre-application service themselves should still want to introduce rigorous

service standards and feedback to ensure it is well-delivered.

a. Councils introducing a new scheme or one with substantial changes may want to begin with

a consultation process. This can seek views on whether the inputs to the standard charges

are useful, or whether the service standards are appropriate.

b. How councils make the ﬁnal decision on charges will depending on the standing orders of the

individual council. In some councils this will require resolution at either a meeting of full

council or suitable subcommittee. The decision will need to include as a minimum:

i. The date of the implementation of the scheme. It is standard to allow at least 12 weeks’

notice of signiﬁcant changes to charges

ii. Service standards

iii. Any exemptions to the scheme for particular classes of development or categories

of applicant.

c. Many councils will choose to include further information

i. The categories of advice and the basis for the charging assumptions behind each

ii. A communications strategy for giving notice of the charges and ensuring that the

council’ s website includes the up to date information.

d. There are several other administrative changes required in advance of implementing a

charged pre-application service. For example:

i. New accounting codes so the pre-application income can be separately identiﬁed

ii. A monitoring arrangement so the assumptions behind the standard prices can be reviewed

iii. Customer feedback and evaluation of the service.

42 The Pre-application Suite

43 The Pre-application Suite

1. Council websites where pre-application services

are set out clearly showing a range of services for

the prospective applicant to consider:

• London Borough of Croydon

http://goo.gl/c4c96

• Cheshire West and Chester Council

http://goo.gl/ZLhr7c

• Bristol City Council

http://goo.gl/o9EVPF

• Kirklees Metropolitan Borough Council

http://goo.gl/Zf9v9E

• Eastleigh Borough Council

http://goo.gl/3KDpoB

• Cornwall Council

http://goo.gl/Kx0CCg

• Hastings Borough Council

http://goo.gl/Zclik3

• Swindon Borough Council

http://goo.gl/9Qmw7z

• Mid Devon District Council

http://goo.gl/SnAu1h

• East Hampshire District Council

http://goo.gl/xwjN8o

6. Sharing examples

from local authorities

44 The Pre-application Suite

2. Planning performance agreements

PAS has uploaded a number of examples of each type onto our website. For others you can

see examples and templates available on the council’s website along with protocols or charters

explaining how the PPA can be used as part of a pre-application service.

Examples of Charters or protocol documents

• The Cornwall Council Planning Charter: Working together on major planning applications

using Planning Performance Agreements.

http://goo.gl/CJuph8

• The Bristol Planning Protocol: working together on major planning applications

http://goo.gl/o9EVPF

• Leeds City Council, Planning performance agreement Charter:

http://goo.gl/4mLF0C

Templates and examples of PPA types

Type 1 – Simple PPA

• Bristol City Council

http://goo.gl/iq3rXZ

• Lake District National Park

http://goo.gl/ISVVqB

• Cornwall Council please edit

http://goo.gl/95ZFOi

Type 2 PPA – Medium PPA

• London Borough of Croydon Planning Performance Agreement

http://goo.gl/jIP1f4

• Cornwall (an example of a PPA developed for a complex development proposal)

http://goo.gl/UTfCvN

• Bristol

http://goo.gl/BynUs0

• Westminster City Council

http://goo.gl/8UvXP6

• London Borough of Islington

http://goo.gl/ny59G7

Type 3 PPA – Comprehensive

The guidance prepared by the ATLAS team at the HCA provides guidance based on

their experience of supporting councils who are dealing with this kind of very complex

development proposal.

http://goo.gl/miTj9g

Also Making a PPA Work for Your Project:

http://goo.gl/ohV6fM

45 The Pre-application Suite

3. Involving the community and councillors

in pre-application discussions

• Stroud District Council

http://goo.gl/XocxVP

• Bristol City Council – Guidelines for community engagement

http://goo.gl/b554pQ

• Havant District Council

i) Development consultation forum information note:

http://goo.gl/N2fhly

ii) Web site record of consultation forum agenda and submitted information

http://goo.gl/tvAf80

iii) Development consultation forum neighbour’s advice letter template

http://goo.gl/ZhbqWz

• East Hampshire District Council – consultation forum

• Advice to developers

http://goo.gl/jHwLG8

• Hastings Borough Council – Development Consultation Forum

Information note

http://goo.gl/z4PI7W and http://goo.gl/X4k24J

• London Borough of Croydon – consultation strategy

http://goo.gl/KUPP3H

• London Borough of Camden – councillor brieﬁngs

http://goo.gl/j6GWXw

Local Government Association

Local Government House

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London SW1P 3HZ

Telephone 020 7664 3000

Fax 020 7664 3030

Email [email protected]v.uk

www.local.gov.uk

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please contact us on 020 7664 3000.

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L14-274