EXECUTIVE SUMMARY
Introduction
The 2005 White Paper Modernising the Planning System1 recognised the need to achieve greater efficiency in the handling of planning applications and advocated the use of processing agreements to facilitate this.
Tribal Consulting was commissioned to carry out research into best practice in the efficient handling of planning applications for national and major developments. This included reviewing the potential benefits of using processing agreements and also the potential for an advisory service to support those involved in dealing with major planning applications.
The research focused on three particular areas:
- Engaging effectively with statutory consultees and elected members
- Using processing agreements to support the process
- The potential benefits of an advisory service
The research included review of existing practice within Scotland as well as review of the English system and, in particular, the service provided by the Advisory Team for Large Applications ( ATLAS). In England, the use of processing agreements, although still not widespread, has helped promote more robust project management in handling large-scale applications.
Method
The research was undertaken by Tribal Consulting between July and October 2008. The main elements of the research were:
- A review of relevant research and literature.
- Consultations with Scottish planning authorities, statutory and non-statutory consultees and representatives from the development industry.
- A workshop to review a draft processing agreement.
- Consultation with representatives from planning authorities in England.
- A critical review of the ATLAS service.
Key Issues
Engaging with statutory consultees
The involvement of statutory consultees at key stages of the application process is critical to the progress of the decision-making and requires effective and timely communication from all parties involved in the process.
In practice, there are often significant delays at this stage, either because statutory consultees are slow in providing the required information or because the applicant fails to provide the information needed by the statutory consultee to enable them to comment on the application.
The research highlighted the importance of early and effective pre-application discussions with statutory consultees. Two particular approaches seemed to offer the best prospects for achieving better outcomes in this area - more formalised (or even mandatory) pre-application involvement of statutory consultees or the use of some form of processing agreement.
Engaging with elected members
Elected members (in particular, local councillors) have a critical role to play in the ultimate decision on a particular planning application.
Concerns about probity make this a difficult area. Understandably, developers want to establish the views of elected members as early as possible in the process, but this is in direct conflict with many of the guidelines on the behaviour of councillors.
Pre-application discussions are unlikely to fully overcome the problem, as the extent of local opposition to a proposal will not be known at this stage, and local opinion usually has a major influence on the councillor's decision.
Although there is no simple solution to the potential conflicts in this area, the research highlighted some benefits to be gained from regular briefings (written or verbal) by local authorities to councillors in relation to major planning applications. There is also a need for clear and up-to-date guidance in this area which specifically relates to Scotland.
The use of processing agreements
A processing agreement involves setting out the key stages involved in determining a planning application, identifying what information is required and from whom and setting timescales for the delivery of various stages of the process.
In principle, the use of such an agreement can deliver:
- Greater transparency in decision-making
- Greater predictability and certainty over the timing of key stages
- Faster decision-making
- Clearer lines of communication
- More effective and earlier engagement of key stakeholders
In practice, experience to date of using such agreements in both Scotland and England has been mixed. But, despite some difficulties encountered, there appears to be widespread support for the general principles underlying their usage.
In England, where the approach has been in use for longer, factors which supported successful implementation of the approach included:
- Adoption of a project management approach, incorporating key milestones and identified timescales
- Clearly identified roles and responsibilities, including commitment of senior staff
- A succinct, clear document which is readily available e.g. via a website
- Involvement of statutory consultees whenever possible
- Inclusion of Section 69/75 agreements within the processing agreement
Although the use of processing agreements does not appear to result in speedier delivery in every case, the benefits of improved communications and greater clarity in relation to timescales can nonetheless make the approach worthwhile.
Development of a model processing agreement
The feedback received during the consultation phase of this research suggested that further development of the approach in Scotland would be appropriate and would be well-received.
Accordingly, a model processing agreement was developed. This is presented in the Main Report and includes the following elements:
- Stages covered by the agreement
- Additional information required to determine the application
- Consultees and their information requirements
- Section 75 requirements (and/or other conditions or contributions)
- Decision-making process and agreement to the timetable
- Timetable (in the form of a Gantt chart)
- Summary of key dates
The key features likely to underpin success are:
- Timing - the agreement should be drawn up as early as possible in the process
- Signatories -the agreement should involve statutory consultees, wherever possible
- Length and complexity - the agreement should be kept as concise as possible
- Legal status - the agreement should not be legally binding (except where financial contributions are involved)
- Responsibility for drawing up agreements - this should be a collaborative process, but led by the local authority
- Inclusion of all stages in the application through to Section 75 issues
Processing agreements will not be appropriate in all cases. A detailed checklist to determine whether a processing agreement is appropriate is presented in the Main Report. In summary, a processing agreement is most appropriate for:
- major complex projects e.g. major urban expansion/regeneration projects
- projects which have unique or unusual characteristics
- projects which are likely to take longer than the 2/4 month period
- projects where there is a desire to shape the outcome through community and other consultation
Alternative approaches
Even when a processing agreement is not considered appropriate, there are other measures that might deliver benefits. These include:
- A more structured project management approach e.g. using Gantt charts
- Fast-tracking of applications that are of strategic importance
- Establishing protocols and charters to govern service delivery
- Formalised (or even mandatory) pre-application discussions with statutory consultees
- Revising fee structures so that there is a closer relationship between fees and the timing and scale of local authority inputs
An advisory service
The potential benefits of an advisory service were considered as part of this research. The ATLAS model has worked well in England and a similar type of service could benefit the Scottish planning system. In scale, the service would require 2-4 staff and an annual budget in the region of £350- 500,000.
The service should be supported by a well-designed website to provide a point of reference and guidance materials. This would enable some queries and requests to be answered without the need to speak to a member of staff. The design and accessibility of this website will be critical to its success.
The website could be a stand-alone product, or could sit within the Scottish Government website or that of the local government Improvement Service.
As with the English system, access to these advisory services should be free of charge and should be available to all stakeholders involved in the planning process i.e. developers, local authorities, statutory consultees and others.
Recommendations
The research findings support a range of recommendations aimed at improving efficiency in the handling of national and major planning applications:
Short-term actions (within 6-12 months)
- Pilot the use of processing agreements more extensively across Scotland
- Encourage local authorities to adopt a more structured, project management approach in the handling of all national and major planning applications
- Encourage local authorities and statutory consultees to adopt a more formal approach to pre-application discussions
- Encourage local authorities to prepare regular briefings for elected members on national and major planning applications
Medium-term actions (12-18 months)
- Consider a charging structure that would better reflect the timing and scale of local authority and statutory consultee inputs
- Develop better guidance on the role of elected members in the planning process.
- Set up an advisory service for those involved in large-scale planning applications, based on the ATLAS model.