Stage 3
Developed Design
Chapter overview
The RIBA Plan of Work 2013 recommends that applications for detailed planning permission are made with the Stage 3 output. This output is a fully coordinated response from the core designers and the basic spatial parameters are unlikely to be changed as the Technical Design is progressed in the next stage (Stage 4). The Cost Information will be aligned to the Project Budget. It can therefore be confidently presented in a planning application as the design that will be constructed without major amendment.
The RIBA Plan of Work 2013 also recommends that the Technical Design does not commence until planning permission is obtained.
This chapter sets out the application process and the client’s options if planning permission is refused.
The key coverage in this chapter is as follows:
Introduction
This chapter is in three sections:
The application is the culmination of the preparatory work from the preceding stages supporting the Developed Design. The actions in terms of planning are largely procedural and this chapter sets out how to meet the requirements of the process. Additional support at key points during the decision-making process can assist the scheme to achieve a successful determination and suggestions for this are set out in the second part of the chapter. Finally, if the application is unsuccessful, the strategies and processes for appealing the decision are given. The time frames of the appeals process and the possible implications of delays within it are set out. If it becomes necessary to appeal, target timescales are given; however, these are subject to the availability of the parties, including the Planning Inspectorate.
What are the Core Objectives of this stage?
The Core Objectives of the RIBA Plan of Work 2013 at Stage 3 are:
The RIBA advises that the planning application is made based on the Information Exchanges from Stage 3, when the Developed Design contains the coordinated proposals from other design team members and represents the scheme that will be built without material amendments that would affect the planning consent. The Project Programme may be affected by delays in the planning process at this stage.
Making the application
Making the application is a process of assembling the scheme details and supporting information that have been prepared during the earlier Plan of Work stages and submitting them with the appropriate forms, fees and ownership details.
Identifying the appropriate form of consent to be applied for
If it is not already clear from the planning strategy, the type of planning application to be made will need to be defined and the appropriate application form and process selected. The types of application (including those already mentioned in for earlier stages) are as follows:
Applications for planning consent
- Full consent for operational development (major)
- Full consent for operational development (minor)
- Change of use
- Householder development
- Advertisement
- Outline application (see page 61: Stage 1)
- Reserved matters
- Hybrid applications (part full, part outline)
- Removal or variation of conditions (see page 128: Stage 4)
- Approval of conditions (see page 143: Stage 5)
- Consents under Tree Preservation Orders
- Extending the time limit of an existing consent
- Non-material amendments
Applications for certificates
- Lawful development certificate (see page 62: Stage 1)
- Certificate of lawfulness of existing use or development (CLEUD) (see page 63: Stage 1)
- Prior notification for forestry, agriculture (including new permitted development rights for barn conversions), demolition, telecommunications
Other consents under the Planning (Listed Building and Conservation Areas) Act 1990
- Listed building consent
- Conservation area consent
- Notification of proposed works to trees in conservation areas
Planning forms 
Most, but not all, of the application forms are available online through the Planning Portal, which also gives guidance notes on the use of each.
www.planningportal.gov.uk/planning/applications/howtoapply/permissiontypes
Preparing drawings and BIM models for planning purposes
The national validation list requires that all applications be accompanied by a location plan and a site plan. The local planning authority (LPA) will also require drawings to adequately describe the scheme which, for buildings for which full permission is sought, are likely to include those listed in table 3.1.
BIM (Building Information Modelling) models are not yet accepted as part of planning applications; however, they can generate drawings to an appropriate scale and with the necessary information to be submitted as an output at Stage 3. A BIM model also has the advantage that its outputs are fully coordinated, something that can be difficult to achieve with 2D drawings.
The drawings submitted for planning consent are to be read by lay members of the local authority and the general public, therefore 3D images and street elevations – which are not necessarily part of the requirements for validation – can be of great value in helping people to understand the proposal. Good visual images are significant elements of added value that a qualified and experienced project team can bring to the project.
Table 3.1 Requirements for planning drawings
The Stage 3 Information Exchanges also go to the design team for the Technical Design stage. If the planning process leads to changes to the design, these changes have to be communicated to all.
Copyright
The copyright for the drawings and the design resides either with the designer or, if agreed by licence or occasionally in the appointment, with the client. The dissemination of digital images through the planning process lays this open to abuse. Designers can define their intellectual property rights by an appropriate note on each drawing and by formatting the plans as PDF files, which makes them less accessible for transfer to other sites and projects.
Planning permission goes with the land. This means that if the client sells the site on with the benefit of permission there is a risk that the new owner may use designs without the designer’s agreement. It is therefore advisable that the designer’s appointment contains a clause defining their intellectual property rights, reducing the risk of abuse of their information by others.
RIBA Concise Conditions of Appointment 2010 (2012 Revision) – cause 6.1 (in part): copyright and use of information
The Architect shall own all intellectual property rights including the copyright in the drawings and documents produced in performing the Services and generally asserts the Architect’s moral rights to be identified as the author of such work.
And
The Architect shall not be liable for any use of the drawings and documents other than for the purpose for which they were prepared.
Preparing other supporting documentation, fees and certificates
The application will be accompanied by the appropriate forms identified above and the documentation that has been identified as necessary to validate the application (see table 1.1, page 71). Other documents, for example a planning statement, may not have been required by the LPA for validation and can follow shortly afterwards; however, it is advisable to make a full submission to be viewed as a complete case by the planning officers, elected members and interested third parties. Where the client’s resources permit it is also advisable to submit as much detail as possible to reduce the number of conditions and increase certainty as the project enters Stage 4.
Supporting documentation
During the development of the scheme, the supporting Site Information will have been assembled and coordinated by the project lead, who will also have identified what further surveys and reports are likely to be conditioned on an approval. For example, if a contaminated land desktop, tier 1 study has identified the presence of contaminants on the site, any approval is likely to require a tier 2 study and full specification of remedial work as a pre-commencement condition.
Fees
The planning authority is entitled to charge a fee for applications. The exceptions to this include repeat submissions made within 12 months of the original application, applications for disabled facilities supported by relevant documentation and applications for conservation area and listed building consents.
Planning fees
Guidance on the fees for planning applications in England is provided at:
www.planningportal.gov.uk/uploads/english_application_fees.pdf
A fees calculator is also provided on the online forms.
Some authorities will accept electronic payments, others require a cheque. Where this money is handled through the agent’s practice it should be held in the client’s account until submitted with the application. Alternatively, the client can arrange to pay the fee directly to the local authority.
Land ownership and tenancy certificates
For every application the land ownership and interests need to be identified, and if the application area defined by the red line on the plan is not entirely within the ownership and control of the applicant, notices must be served on the other owners. The application must be accompanied by a correctly completed section 12 certificate.
The term ‘owner’ means a person having a freehold interest or a leasehold interest, the unexpired term of which is not less than seven years. It is possible for a site to have several ‘owners’ under this definition. It is essential that these certificates are correct because the application is invalid if they are not.
Checking current land ownership 
Clients do not always advise their agents of changes in ownership and it essential to check this information for every application at all stages – full or outline – and for reserved matters and conditions applications and, if necessary, on submitting an appeal.
- Certificate A is completed if the applicant is the only owner of all the land within the boundaries of the application site. If the applicant is not the only owner then one of the following alternative certificates must be completed.
- Certificate B is completed if the applicant knows the names and addresses of all the owners of the land involved in the application.
- Certificate C is completed if the applicant knows the names and addresses of some, but not all, of the owners of the land involved in the application.
- Certificate D is completed if the applicant does not know the names and addresses of any of the owners of the land involved in the application.
Where the owners are known, including those identified on certificate C, a Notice 1 is served on them. This is reproduced below.
Where the owners are not known, either under certificate C or D, a Notice 2 is submitted for publication by a local newspaper and also submitted to the planning authority with the application. The notices give details of the application and where the plans can be viewed.
The certificates form part of the application form and the notices can be downloaded from the Planning Portal.
The land ownership certificates also include the agricultural holdings certificate, which must be completed even if the project does not involve an agricultural use or agricultural land. If agricultural tenants are affected by the proposal they must be notified of the application.
Obtaining validation for an application
Applications are generally made electronically via the Planning Portal. Local authorities vary in the degree to which they can handle electronic information, so this should be established first. Once received, the applications are checked by a clerk and, if considered complete, a letter is issued confirming that the application is being considered. Validation in itself does not confirm the acceptability of any of the contents of the application and is merely procedural.
The time taken to validate applications can vary depending on the resources available within the authority; local experience will inform the evaluation of potential delay to the Project Programme. To minimise the risk of delays at validation, pre-application discussions should cover the likely requirements. Local knowledge will also aid understanding the particular presentational requirements for drawn information for the LPA, although this can vary from one officer to another.
As mentioned for Stage 1, if additional and possibly unforeseen information is requested in order to validate the application, this can be challenged using an Article 10(a) notice, either submitted with an application or subsequent to validation being refused. If the LPA does not agree that the validation requirement is unnecessary the matter can be appealed to the Secretary of State (see page 114: Stage 3).
Domestic projects at Stage 3 
Applications
Many minor domestic planning applications can be made on the householder application form, which requires much less information. The Planning Portal has details at:
www.planningportal.gov.uk/permission/
To reduce the need to make applications for material and non-material changes later in the project, planning applications for full planning permission should be made with the Developed Design at Stage 3. The chances of success and a speedier decision are increased if the detail submitted is a full as possible and based on the issues raised at the pre-application discussions. Clients should be made aware of the delays that might occur that are beyond the control of the design team throughout the application process.
Supporting the decision-making process
It is important to be aware of how the decision-making process operates and when it will be helpful to contact the LPA during the determination period to ensure that it has all the information required or where amendments to the proposal are likely to make it more acceptable. Contact with the officers dealing with the application will alert the agent to any issues and give the team an opportunity to respond in a timely way to improve the chances of success.
The determination period
Once it has been confirmed that the application contains the necessary information for validation the planning authority commences the determination period. Legally, the period begins on the date that the complete application is submitted, not when it is validated, which is significant when considering appeals for non-determination. Generally, however, LPAs define the start of the determination period as the date of the validation letter.
Determination period 
The time defined as the target period for planning authorities to reach and publish a decision on a planning application.
The target time requirements for the planning process are set out by the Secretary of State. The target decision periods for applications for outline, reserved matters and conditions are eight weeks for minor applications and 13 weeks for major applications.
A major application can be defined as any of the following:
- residential development of 10 or more homes
- residential development on a site of at least 0.5 hectares
- non-residential development on a site of at least 1 hectare
- creation or change of use of a commercial development, where the floor space is 1,000 square metres or more.
The LPA’s performance is determined by the time taken to determine decisions and this may influence their approach to an application. It can result in delays in validating applications, which will have implications for the process of the application.
Where the LPA is concerned about meeting target dates and the target determination date is approaching, it may ask for an extension of time to consider information submitted during the application period, or alternatively it can refuse the application in anticipation that a revised submission will follow. Other authorities will let the application run on for an indefinite period.
Once the target determination date has been reached it is possible to appeal for non-determination. This option expires six months after the target determination date.
The project lead needs to be mindful of the potential for delay before, during and after the application process. As a starting point for programming, the project lead should make the client aware of this uncertainty in the programme and of their lack of control over the LPA’s performance.
Consultation
The first action by the LPA is to put the application out to consultation. The parties approached can vary and may consist of statutory consultees, other interest groups and immediate neighbours. Some applications must be advertised in the local press. The agencies that may be consulted are listed on page 86 (Stage 2). Consultees are given 21 days to respond.
Progress of the application
Immediately after the 21-day period has ended it is advisable for the agent to contact the case officer to determine:
- what issues have been raised
- what further information is required
- how any harm that has been identified can be mitigated.
Many successful applications involve a degree of negotiation at this stage of the determination period. The lead designer should make the client and the project lead aware that design changes may arise from this and that they will need to be put through the Change Control Procedures, which start at this stage. Making changes may extend the determination period, with consequent impacts on the programme. These risks can be reduced, but possibly not eliminated, by effective pre-application consultation with the LPA and the relevant agencies.
From this point until the case officer has completed their report it is advisable to remain in contact with the LPA to track the progress of the application, to supply any further information and to obtain advance warning if a refusal is being recommended. All conversations and meetings should be recorded in writing and all email and letter correspondence retained in case an appeal is lodged and the issues covered become material to that appeal.
Preparing section 106 agreements
An agreement under section 106 of the Town and Country Planning Act 1990 can be used to make an otherwise unacceptable proposal acceptable to the LPA. The usual areas covered by these agreements are set out on page 37 (Stage 0). They can be drafted by the LPA or by agents for the applicant who have the requisite legal knowledge and experience of this area of the law. Planning approvals are frequently conditioned to require receipt of an agreed and signed undertaking before the decision notice is released. It is helpful at application stage to submit a draft agreement with the application, particularly if it is central to the success of the project, for example the provision of affordable housing.
Example of the use of a section 106 agreement 
A large detached town house had been converted to use as a nursing home, with the rear garden used as parking for staff and visitors. Subsequently, the house had been reverted to a single dwelling house and sold on. An application was then made for planning permission for four houses on the garden. The LPA felt that the development would be acceptable only if the original house did not revert to nursing home use and so required a unilateral undertaking under section 106 by the developer and, by covenant, future owners of the house to prevent this from happening.
The officer’s assessment
The case officer prepares a report that contains the following:
- Details of the scheme: description of proposal, applicant, agent, site address, end date of determination period
- Summary of representations received from third parties
- Site description
- Planning history
- Description of proposal
- Consultations
- Relevant policies
- Planning considerations: issues, material considerations and any harm identified
- Balancing exercise, conclusion and recommendation
- Suggested conditions
See pages 22–23 (Stage 0) for how planning decisions are made based on policy and on an assessment of harm and any material considerations for and against the proposal. The case officer’s report then goes forward for decision by either the senior officers under delegated powers or by the planning committee. Which route is chosen is determined by the LPA’s standing orders, which typically refer applications to the planning committee based on their size, impact, number of objections or at the request of a ward councillor.
Making representations at planning committees
The outcome of a committee decision is less predictable than one under delegated powers, when the consultations will have signposted the likely decision. Planning is a democratic process and local democracy can be influenced by factors other than planning law. Individual members can be influenced by lobbying by third parties for or against the proposal, and eloquent advocacy in the planning committee meeting can sway opinions on the day. Certain types of application have a very low success rate, with or without officer recommendation, because the elected members represent the opposition of the local residents to the nature of the development. Gypsy and traveller applications are one instance of this. In such cases it is as well to advise the client of the likelihood of a refusal and to be prepared to go to appeal. Generally, however, if it is becoming apparent that political opposition to the proposal is an issue, the client is able to lobby elected members for support for the proposal, in the same way as those who oppose the scheme will approach committee members to oppose it.
The planning officers should advise the agent if there will be an opportunity to speak at the committee and in almost all cases it is advisable to take this up. A set time will be allowed for speakers to put their cases, usually two or three minutes, and the committee members may put questions to the speakers after their presentations. It is important to make notes of the discussion and the vote for reference in any appeal or resubmission.
Speaking at planning committees
It is advisable to prepare a short speech and time its delivery in advance of the meeting. The case officer should be able to advise what drawings will be on display to illustrate the proposal and so reference can be made to them in the presentation.
Domestic projects at Stage 3
Determination period
During the process of the application contact should be made with the case officer after the 21-day consultation period and contact maintained until the decision notice is issued. This will provide opportunities to deal with any issues arising from the consultations or advance warning of the likely decision and how it will be determined. The client should be kept informed throughout this process and advised of any changes to the scheme or delays to the programme that are occurring.
The decision – approval
The content of a decision notice is set out on page 125 (Stage 4). If the scheme is approved, the project can move on to Stage 4: Technical Design.
The decision – options on refusal
If the application is refused, the project team should advise the client on the next steps. The options are:
- resubmit with amendments
- appeal the decision
- rethink or even abandon the scheme.
The decision notice will contain the reasons for refusal.
Understanding reasons for refusal
The reasons should fall into one of the following categories:
- A relatively minor issue has been raised that could be overcome but the principle of the development has been accepted by the LPA, suggesting that the scheme could be revised and resubmitted.
- The application has been refused on essentially political grounds but another decision maker could reach a more favourable conclusion, suggesting that it could be appealed.
- The application has been refused on local plan policies that conflict with national policy, suggesting that it could be appealed.
- The project has been refused on subjective grounds (usually design) but another decision maker could reach a more favourable conclusion, suggesting that it could be appealed.
- The project is fundamentally flawed in that it cannot meet policy requirements, both national and local, and any material considerations fall far short of overcoming any harm, suggesting the need for a radical rethink.
An experienced agent will be able to assess the chances of success at appeal and advise accordingly.
In some circumstances, particularly in appealing for non-determination, it may be advisable to twin-track the appeal; that is, to submit a duplicate application to the LPA, which gives it the opportunity to determine the application and avoid the cost of an appeal.
Making an appeal
There are options to appeal not only the decisions reached by local authorities, but also some perceived failures of process.
Information on making an appeal
Each type of application has a separate appeal procedure. The relevant forms can be found on the Planning Portal at:
www.planningportal.gov.uk/planning/appeals/online/makeanappeal
Appeals can be made against:
- non-validation
- non-determination
- decision made by an LPA on a planning application
- decision made by an LPA on a lawful development certificate
- conditions
- enforcement.
There are separate forms for:
- householders
- advertisements
- conservation areas and listed buildings consent
- conservation areas and listed buildings enforcement.
Appeals are heard by the Planning Inspectorate in one of three ways:
The appellant can request the manner in which the case is heard; however, the Planning Inspectorate, known by the acronym PINS, will have the final say based on the amount of evidence to be reviewed, the case for public representation and the number of people attending. For appeals against planning decisions and non-determination, the procedures are as follows. The appeal form is accompanied by a statement from the appellant and supporting documentation that consists of the documents submitted with the planning application (or subsequent amendments that the decision was made on) and may also include further evidence that overcomes one or more reasons for refusal (eg a bat survey to support an application for a barn conversion not requested during the determination of the application). The LPA submits its response to this together with any third party representations. The paperwork is then sent to an inspector, who makes a site visit and writes up the decision letter. The site visit may be unaccompanied if the site and the impact of the proposal can be adequately considered from public viewpoints, otherwise the inspector will be required to enter the site and should be accompanied by representatives of the appellant and the LPA. No representations about the case can be made at the visit, but the inspector may ask for clarification of the location of the proposal and key views referred to in the evidence. This type of appeal is suitable for most householder cases and minor applications where there has been limited third party representation, if it is not of a highly technical nature and further discussion of the merits of the case and the objections are not necessary to enable the inspector to reach their decision. The submission is similar to the written representation procedure. The appeal is conducted as an informal discussion chaired by the inspector, who makes an unaccompanied site visit just before the hearing and an accompanied one at the end of the hearing before it is closed. The discussion may include representatives from the appellant who, as well as their agent and local supporters, may be experts, to address particular areas, for example highways or landscape appraisal. The LPA may also have representatives who can address the issues from an expert stance, and there may also be representatives of third parties, often organised as protest groups or from the parish council. Informal hearings are usually scheduled to last for one day, including the accompanied site visit. This can be a challenging timetable if there are a number of speakers and issues to address and hearings can be adjourned for a second day, so any fee proposal should reflect this possibility. The intention is to assist the inspector in reaching their decision and to add to and clarify the written submission, and they should chair the meeting to that agenda. If it becomes apparent before the appeal is heard that the number of issues or speakers makes this timetable impossible, there should be a discussion with PINS about extending to a second day or converting to a public inquiry. Public inquiries can be held over several days, or even weeks, depending on the size of the project and its complexity. They are scheduled when the nature of the project demands a public examination of the issues and its context; these can include highly technical matters, considerable public opposition or the legal interests of the appellants which extend beyond planning law. It is usual for the appellant, the LPA and any third party groups to engage barristers as advocates to conduct the case for their party. The proceedings are formal and can be taken under oath. The witnesses give their evidence seated and are first examined by the advocate from the side that appointed them, then cross-examined by the opposing party’s advocate and then re-examined by their advocate to clarify any matters raised under the cross-examination. The inspector may also ask the witnesses to clarify certain points. The intention is to assist the inspector in reaching their decision, although the conduct is quasi-legalistic and often aggressive. Cross-examination can be designed to undermine the case for the opposing side as much as it is to draw out the facts of the case for the inspector.
Being a professional witness at a public inquiry Being a witness at a public inquiry is challenging. Witnesses should give their considered professional opinion on issues on which they have expert knowledge and on nothing else. Acknowledging that there are areas that are subjective or that are beyond their expertise is helpful to the inspector in giving weight to the rest of their evidence and is not a sign of weakness on the part of the witness. For appeals against enforcement, once the appeal notice is submitted, PINS sets the timetable and then submissions are made. This enables a rapid response to an enforcement notice, so that the appellant is not disadvantaged by having insufficient time to prepare their statement and proofs of evidence. See page 160 (Stage 7) for details on planning enforcement. The decision to go to appeal should be made after consideration of the impact on the Project Programme and on the Project Budget. In most cases, an appeal will only be made when no other avenues to achieving planning consent are available because of the time and cost implications.
Timetables for appeals procedures The target timetables for appeals have been set out by PINS following a review of its procedures (it should be noted that actual times are frequently in excess of these and PINS also publish performance data for the previous year which can be more accurate):
www.planningportal.gov.uk/uploads/pins/appeals_review_annex_planning_agent.pdf
The PINS guidance suggest that for inquiries that are likely to sit for more than three days the appellant should discuss a draft bespoke timetable with the LPA and other parties. Factors that can influence the ability to meet these targets are the availability of the parties, key witnesses and an inspector with the appropriate expertise as well as a suitable venue, usually the council chamber or committee room. Politically contentious cases, particularly those involving green belt or wind farms, may be called-in by the Secretary of State, which can delay the release of decision notices for many months. The costs of appealing can result in the overall cost of obtaining planning consent exceeding the amount originally budgeted. The costs will vary depending on the size and nature of the case, but can be required to cover:
Domestic projects at Stage 3 As with the application, householder appeals have a separate application form. Most domestic appeals are heard as written representations. The client will need to be aware of the inspector’s site visit, and the protocol preventing representations being made to the inspector while the visit is in progress.
3 Chapter summary
The output from Stage 3 usually contains sufficient definition within the Developed Design to enable a planning application that will represent the final intention of the project without material amendments to the approved scheme. Making a planning application is more than assembly and submission of the forms, fee, certificates, drawings and other supporting documentation. By tracking the application and volunteering further assistance at key points in the determination period, the chances of the application succeeding are enhanced. The project lead or agent may also be called upon to make a presentation to the planning committee. If the application is refused, the benefits of appealing should be considered. If it is decided to pursue this route, the project lead should set out the implications for the Project Budget and Project Programme for the client and project team.Forms of appeal
Written representation
Informal hearing
Public inquiries
Appeals and the Project Programme and Project Budget
Project Programme
Project Budget
Appeals