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3 The Design Process - from Policy to Implementation

CHAPTER AIMS

• Set the design process in broad terms and reinforce the importance of collaborative working.
• Demonstrate the advantages of a team approach, starting with pre-application discussion, as previously set out within PAN 76, and continuing through to detailed planning and approval.
• Set out the key stages within the design process including the creation of a masterplan and the use of design codes where appropriate.
• Introduce a user hierarchy where pedestrians are considered first in the design process.
• Recommend a new approach to using Quality Audits and Road Safety Audits.

3.1 INTRODUCTION

3.1.1 The life of a scheme from conception to implementation can be broken down into seven key stages as follows:

• Establishing the Vision
• Appraisal and Analysis
• Design Development
• Testing and Auditing
• Approval
• Implementation
• Monitoring

3.1.2 This seven stage process is generally applicable to all schemes, from large new developments, through to smaller infill schemes, extensions to urban and rural settlements and improvements to existing streets. The key issues are that:

• design decisions should reflect current advice and policies;
• policies should be pragmatically interpreted on a case-by-case basis, and should be used to define objectives; sometimes these may be included within a design/ development brief issued by the local authority; and
• scheme designs should be tested against these objectives before approval is given to their implementation.

3.1.3 The process is a general one and should be applied in a way that is appropriate to the size and location of the project. For example, the design development stage refers to the desirability of preparing a masterplan for large schemes. This is unlikely to be the case for smaller developments although it can sometimes be the key to raising design standards. In some cases a scheme layout will be all that is required.

3.2 INTEGRATED STREET DESIGN - A STREAMLINED APPROACH

3.2.1 The developer's team will need to engage with several departments within the Local Authority in order to identify all the relevant issues. It is therefore recommended that the planning and transportation authorities, together with other functions, such as those responsible for waste collection, co-ordinate their activities to ensure that authorities do not give contradictory advice or impose conflicting conditions on the developer and design team. This streamlined approach was first recommended within PAN 76¹. The table which forms the final page of this chapter shows how this should work in practice.

3.2.2 It is therefore recommended that Local Authorities enable developers to engage more effectively with Departments by establishing a single point of contact, who represents the full council team, at the outset from pre-application stage. Some Authorities have created development teams so that all council departments with an interest in street design can work together during the design and approval process (see Case Study box 'Aberdeenshire Council'). This has clear advantages when dealing with both large and small developments. The same approach can be taken by local authorities internally when considering improvements to existing streets.

3.2.3 The benefits of an integrated approach applies to all stages in the process, from pre-application up to deciding how the street will be maintained in the future.

Aberdeenshire: a multi-disciplinary approach

Aberdeenshire Council operates a process of early meetings and discussion with developers prior to the submission of major planning applications. At the pre-application meetings, constraints will be identified and discussed with all consultees likely to have significant input. Planning and Roads officers are always present at these meetings, along with representatives of other key services as required. Advantages of this approach are:

• A more structured process including the encouragement to undertake pre-consultation with other relevant consultees and the community at an early stage;
• Early advice to enable the submission of an application in the most appropriate form;
• Greater certainty and quicker determination at the formal application stage; and
• An improvement in the overall quality of development schemes.

3.3 STEPS IN THE DESIGN PROCESS

3.3.1 The process outlined below will need to be tailored to suit particular situations, depending on the type and complexity of the scheme. It is recommended therefore that, at the outset, a project plan is drawn up by the developer and agreed with all stakeholders.

3.3.2 Consultation with the public and with organisations representing particular groups should take place at appropriate points in the process and is required under the Planning (Scotland) Act 2006. The timing, number and format of this engagement will vary depending on the size and complexity of the scheme. See PAN 81 Community Engagement² for detailed guidance on this issue.

3.3.3 Where schemes are significant because of their size, sensitivity, or strategic nature, local authorities and developers are encouraged to submit their proposals to Architecture + Design Scotland for Design Review at the earliest opportunity. Further information on the design review process is available on Architecture + Design website www.ads.org.uk. Design Review offers expert, independent advice on the quality of design and is ideally made at pre-application stage.

3.4 STAGE 1: ESTABLISHING THE VISION

3.4.1 At the very start of the design process, whether a large masterplan, a small development proposal or improvements to an existing street, it is important to establish what the aspirations are for the site. This should be considered within its wider context, and the goals can be interpreted into a clear vision. This is best achieved with all relevant parties within the process including the developer, the design team, representatives from the relevant local authority departments and input from key partners such as Historic Scotland, Scottish Natural Heritage, Scottish Water and SEPA.

3.4.2 Establishing the vision for a scheme is also critical when changes are being made to existing streets, and this process will require careful consultation with a wide range of stakeholders.

3.4.3 The vision can then be translated into either policy or the brief. For example if the project is being driven by the local authority, the tools which can help formalise the vision may include the Local Plan, Supplementary Planning Guidance and development briefs.

3.4.4 It is important that the vision for a scheme is expressed as objectives that are simple to understand, and which can form the basis for future review as part of the testing stage. As far as street design is concerned, objectives will often be related to the various activities expected to take place in particular locations and streets.

3.4.5 Typical objectives might therefore be:

• enabling local children to walk and cycle unaccompanied from all parts of a development to a school, local park or open space;
• promoting and enhancing the vitality and viability of a local retail centre through access arrangements which carefully balance the needs of all users;
• ensuring that a development will be served by, or connected to, public transport that is viable in the long term;
• keeping traffic speeds at 20mph or less in all streets on a development through design;
• minimising the visual impact of parking requirements within the street scene; and
• encouraging casual social interaction to strengthen a community.

3.4.6 Street design should be consistent with national, regional and local policy. The process begins with a review of relevant planning and transportation policies, and the identification of the required key design principles.

3.4.7 The starting point for the review of local policy is the Local Plan. Other transport policy, such as the Local Transport Strategy will also need to be considered and there may also be a Public Realm Strategy, Open Space Strategy or Core Path Network Strategy which will be of particular importance in establishing fundamental design principles. The policy review should also consider the national policy framework, particularly where the local policy framework is out of date, inconsistent or unclear.

3.5 STAGE 2: APPRAISAL AND ANALYSIS

3.5.1 All good design is responsive to its context and therefore there needs to be a thorough understanding of the site and the area. In most schemes a context appraisal would be undertaken to determine the principles of how buildings and streets are arranged within the area. This will be used to help determine an appropriate form for the development of, or changes to, existing streets. A useful reference in carrying out this preliminary work is the checklist contained within PAN 68 Design Statements. ³

3.5.2 Examination of the existing movement patterns in and around the site, as well as nearby destination attractors, will allow consideration to be given as to how existing connections can be improved. This may include an assessment of how routes through the site can be enhanced or created, how new routes and spaces will operate in use, and how they can help to make a good place in which to live. An example of a context appraisal is shown in figure 3.1 below.

Figure 3.1 Illustration of a context appraisal/
FIGURE TO BE REPLACED WITH CLEARER SCOTTISH EXAMPLE

3.5.3 Understanding where people want to go and how they can get there is fundamental to a successful scheme. Existing destination places within the locality will need to be identified, including educational institutions, areas of employment or commerce, community facilities and public open space.

3.5.4 It is important to be inclusive of all travel modes and mobilities in the appraisal process, in order to encourage the use of walking, cycling and public transport.

3.5.5 It is recommended that the design of a scheme should follow the user hierarchy shown in Table 3.1, which is consistent with wider transportation policy.

Table 3.1: User hierarchy.

3.5.6 The hierarchy is not meant to be rigidly applied and does not necessarily mean that it is always more important to provide for pedestrians than it is for the other modes. However, they should at least be considered first, followed by consideration for the others in the order given. This helps to ensure that the streets will serve all users in a balanced way.

3.6 STAGE 3: DESIGN DEVELOPMENT

3.6.1 Establishing a vision for the place, and how the movement framework will contribute toward that, is the starting point in design development.

3.6.2 Design development should then be evolved using the information gathered at the previous stages in the design process. Options which examine different scenarios should be prepared. The layout of the movement network needs as much careful consideration as the design of the buildings.

3.6.3 A Transportation Assessment may be commissioned at this point which may influence design development.

3.6.4 A wide range of issues need to be considered; these can be grouped under the broad headings of context, identity and connection which are referred to throughout Scottish guidance. Aspects of these are dealt with throughout the Guidance chapters of this document and a detailed checklist is contained within section G2.

3.6.5 Guidance on the design of movement frameworks is set out within more detail in Chapter G1. The movement framework (Fig 3.2 below) is a key input to the development of the masterplan; Scottish Government guidance on best practice for masterplanning development is contained within PAN 83. ⁴

Figure 3.2 Typical Proposed Movement Diagram.

LARGER SCALE OUTLINE MASTERPLANS

3.6.6 An outline masterplan will help establish a scheme's broad development principles and show how it fits within its context. An outline masterplan which has been produced through collaboration with key stakeholders is usually more robust and realistic than it would otherwise be and will help to create a more sustainable community.

3.6.7 For large sites, an engagement process will need to be carefully planned, usually with a series of stakeholder events which brings all relevant parties together and allows a common vision to be formed and agreed. It also helps all parties understand other needs which may need to be balanced in order to promote a robust scheme.

Figure 3.3 Ballater, Aberdeenshire - the ability for future growth is not compromised in the south-west of the village (a) with its permeable street pattern, but more recent cul-se-sac type development in the north-east (b) does not allow for a connected growth of the village.

3.6.8 Once the outline masterplan has been prepared and key movement routes identified, the next step will be to establish the characteristics of the various types of street that are required for the new development. Street character types should be developed by considering the space requirements of people and vehicles rather than through the application of standardised widths relating to dwelling numbers. A hierarchy should be established which relate to the character of the local area e.g. Roads, Drives, Terraces and Places. The mix and combination can help to create distinctive areas. This is because each character type will have key requirements for the dimensions of the street, its relationship with the buildings and the space that encloses it. More guidance on creating street character types is contained in chapter G4.

DETAILED MASTERPLANS

3.6.9 It is important when preparing a detailed masterplan that all of the critical features are carefully considered which impact on the efficiency and quality of the development and which cannot be changed once it is built.

3.6.10 In developing the design the following key features which relate to street design should be addressed:

• Connections to the surrounding area for all transport modes
• Connections through the site for all transport modes
• Speed control
• Street layout, character and dimensions
• Building lines
• Building heights
• Routes for utilities
• Parking provision, design and control
• Landscape design and structure planting
• Materials, management and maintenance regime
• Servicing and access for emergency vehicles
• SUDS and land take requirements
• Sewer routes

SMALLER SITES

3.6.11 For smaller sites the process may not need to be so involved; design proposals can be informed by a simple scheme layout developed through targeted meetings with key stakeholders. It will still be fundamental, however, to understand and respond positively to the character of the area in order to make a good place.

3.7 STAGE 4: TESTING AND AUDITING

3.7.1 Once the design has been developed, it is important to test the concepts against the principles which were established at the outset to see if they are likely to achieve the vision for the site. Masterplanning is an iterative process and the development proposal is likely to go through several changes in order to ensure that the final solution meets all policy, design, economic and social aspirations.

3.7.2 This system can be formalised through a Quality Auditing system. These are becoming commonly used in England and are outlined below. Road schemes are also routinely subjected to Road Safety Audits at this stage and the role of these is also examined in more detail in this section.

QUALITY AUDITS

3.7.3 Quality audits can ensure that street designs are appropriate and meet the objectives agreed at the outset. Documented audit and sign-off systems also provide a strong defence against any liability claims that may arise after the scheme has been implemented, as discussed in Chapter 1. Quality audits can include road safety audit but also other types of assessments.

Quality audits are particularly beneficial in the following circumstances:

• at option testing stage;
• at pre-application stage;
• where strong tensions exist between different objectives a Quality Audit will aid more balanced decision-making.
• for schemes within existing streets, where a quality audit will provide an opportunity for decision-makers to make a balanced assessment of different considerations before approving a particular solution(see the Devon Case Study box).; and
• for smaller schemes where no Design Statement will be required

3.7.4 The audit may include documents required by the local planning authority to support an outline or detailed application. The audit should be undertaken by various professionals, and each will be undertaken within their own relevant guidelines. When the assessments are then grouped together, compromises within the scheme will become apparent hence making it easier for decision-makers to view the scheme in the round.

3.7.5 A quality audit should be integral to the design and implementation and not a tick box exercise. A typical audit may include some of the following assessments but the content will depend on the type of scheme and the objectives which the scheme is seeking to meet:

• a review of how the street will be used by the community
• a road safety audit
• an audit of visual quality
• an access audit
• a walking audit
• a cycle audit

ROAD SAFETY AUDITS ( RSA)

3.7.6 Road Safety Audits can be a key component within an overall Quality Audit. Road Safety Audits are routinely carried out for many road schemes. The Institution of Highways and Transportation ( IHT) Guidelines on RSA sit alongside the relevant standard contained in DMRB as the recognised industry standard documents in the UK. The procedures set out in DMRB are a formal requirement only for trunk roads.

3.7.7 It is important to understand that RSAs are not mandatory for local road authorities. Many residential streets, where the design is carried out by a developer's consultant, are assessed independently by the local roads authority. In many authorities there is no requirement for a further check by a Roads Safety Audit team, particularly where it is clear that motorised traffic volumes and speeds, and the degree of potential conflict between different user-groups, are not going to be significant.

3.7.8 The purpose of the RSA is to identify road safety problems, with the objective of minimising the number and severity of casualties. An RSA is not a check on compliance with design standards. Audits should take all road users into account, including pedestrians and cyclists. The standard procedure is that the auditor makes recommendations for changes to the design to address perceived road safety concerns. The design team reviews the RSA report and decides whether or not to accept particular recommendations.

3.7.9 It is also important to note that the design team retains responsibility for the scheme and is not governed by the findings of the report. There is therefore no sense in which the scheme "passes" or "fails" the RSA process. Designers do not have to comply with the recommendations of a safety audit, although in such cases they would be expected to justify their reasoning within a written report.

3.7.10 The process set out in DMRB requires the audit team to be independent of the design team, and road safety issues are therefore often considered in isolation from visual quality and successful place-making issues. It can therefore be difficult to achieve a balanced design through dialogue and compromise. However the requirement for independence need not prevent contact between the design team and the audit team throughout the process.

3.7.11 It is recommended that involving roads safety professionals as an integral part of the design team could help to overcome problems. This allows ideas to be tested and considered in more balanced and creative ways; and should overcome situations where perceived safety issues lead to late changes to schemes, often to the detriment of design quality.

3.7.12 Another area of concern with the current system is that RSAs may seek to identify all possible risks without distinguishing between major and minor risks or quantifying the probability of them taking place. There can also be a tendency for auditors to encourage designs that achieve safety through segregating vulnerable road users from road traffic. Such designs can perform poorly in terms of streetscape quality, pedestrian amenity and security and, in some circumstances can actually reduce safety levels.

3.7.13 It would therefore be useful if RSAs included an assessment of the relative significance of any potential safety problems. A risk assessment to consider the severity of a safety problem and the likelihood of occurrence would make it considerably easier for decision-makers to strike an appropriate balance. An example of a risk assessment framework is given in Highway Risk and Liability Claims 2005.

3.7.14 Careful monitoring (such as through conflict studies) of the ways in which people use the completed schemes can identify any safety problems. This is particularly useful when designers move away from conventional standards (see section 3.10 below).

3.8 STAGE 5: APPROVAL

3.8.1 New development proposals need to be submitted for approval to the planning authority who, in turn consults with the roads authority on street design issues.

3.8.2 Where outline planning permission is being sought, various supporting information needs to be provided as agreed with the planning and roads authorities. With regard to the street design and movement network this may include some or all of the following, depending on the type, size and complexity of the scheme (this list is not necessarily exhaustive):

• preliminary street designs and layouts;
• a Design Statement;
• Design Codes (see section 3.9 below);
• a Transport Assessment;
• a Travel Plan;
• an Environmental Statement;
• a Sustainability Appraisal;
• a Flood Risk Assessment; and
• a Drainage Strategy, including Impact Assessments and SUDS Strategy.

3.8.3 As many issues as possible should be resolved at the outline planning stage so that they can receive thorough and timely consideration. This will help to make the detailed planning applications or the consideration of reserved matters as straightforward as possible. If an integrated approach has been taken to team working throughout the process from both the Authority and the Developer side, then determination of the Application should be a relatively quick process.

3.8.4 Ideally, following outline consent, only matters of detail, such as the detailed layout and material choices, will be left for consideration at detailed application stage. Further discussions on this are contained within Chapter G6.

3.8.5 For smaller developments and schemes in sensitive locations, such as conservation areas, it will often be appropriate for detailed planning approval to be sought without first obtaining outline consent. This enables the approving authorities to consider the effects of the development in detail before approving the development in principle.

3.8.6 In existing streets the roads authority is normally both the designer and the approving body and planning permission is not normally required. It is recommended however that well documented quality audit and approval systems are used that properly assess the impact of proposed changes to prevent the gradual degradation of the street scene through ill-considered small scale schemes.

3.9 STAGE 6: IMPLEMENTATION

DELIVERY MECHANISMS: DESIGN CODES

3.9.1 Once a masterplan has been finalised and approved, further, more detailed design guidance may be needed, in the form of, for example, a design code to help move the masterplan to the detailed design stage. When submitted as part of the outline masterplan, the design code can give the Local Authority comfort in providing the blueprint for how the development proposals will be delivered in a co-ordinated and cohesive way.

3.9.2 A design code is a document accompanied by detailed drawings or diagrams that elaborate on some of the design principles set out in the masterplan. The design code will provide a degree of detailed specification on the matters which the masterplan has identified as non-negotiable and which are not expected to change in the foreseeable future. If a matter does not relate to a specific design principle it should not be coded. The code may cover a group of buildings, a street or a whole area within a masterplan area.

3.9.3 A code can be adopted by an authority as Supplementary Planning Guidance, or it can be given status as a condition to a planning permission. Although gaining the commitment of all relevant parties to a design code may take some time and effort to establish, it will generally contribute to the speed, quality and certainty at later stages of the development process.

3.9.4 Codes must be prepared by designers who understand how to create successful places and need to have the full commitment of all relevant parties. Codes will work successfully only if the landowners and local authorities which use them have the necessary skills and understanding to evaluate the response.

3.9.5 Overall, design codes can be good delivery mechanisms to ensure that detailed design and construction takes place in line with the masterplan. But whilst providing a level of certainty and prescription, they must also have a degree of flexibility. Codes must be possible to adapt in response to changing conditions for example in order to allow increased density of development. One of the pilot Coding projects in England was at Upton in Northamptonshire where the Code established street character and design principles at a very early stage of the design process. The physical results can now be seen and more information on this is provided within the Case Studies.

DETAILED DESIGN, TECHNICAL APPROVAL, PHASING, CONSTRUCTION AND ADOPTION

3.9.6 In the past, developers have sought to satisfy the detailed planning process before commencing the detailed design of the streets in order to comply with the RCC process. This has sometimes led to problems where the detailed design and technical approval stages throw up problems that can only be resolved by changing the scheme that was approved at the detailed planning stage. This has caused problems and delays.

3.9.7 A more integrated approach is required with roads adoption engineers being fully involved throughout, so that the schemes that are approved at detailed planning stage can move through the technical approval stage without requiring any significant changes. Early involvement of the Local Authority officers involved with Road Construction Consents is thus vital. Road adoption issues are dealt with in more detail in chapter G6.

3.9.8 Considerable thought must be given to establishing an appropriate phasing programme covering utility and road infrastructure, SUDS, spaces, ground preparation and buildings.

3.10 STAGE 7: MONITORING

3.10.1 One way to try and ensure continuity of a masterplan is to ensure a process by which it will be monitored. As the masterplan is prepared in detail, it should be monitored and reviewed to ensure that it reflects the specific requirements of the proposal and will deliver the vision.

3.10.2 Detailed proposals should be constantly monitored against the masterplan's aims. Any lessons learnt from early phases that could have a positive effect on future phases should be fed into a revised masterplan to ensure it remains relevant. This may cover issues such as changing economic circumstances, the availability of new products and materials, or changes in policy.

3.10.3 Once schemes are completed, monitoring can also be used to see how they or redesigned street environments function in practice, so that changes can be made to new designs, particularly innovative ones, at an early stage. This was achieved with relation to SUDS especially within the Ardler regeneration scheme in Dundee. This is discussed further as a Case study.

3.10.4 Monitoring can also be an important aspect of residential travel patterns, where patterns of movement are reviewed against planned targets.

3.11 CONCLUSION

3.11.1 Designing Streets is Scottish Government policy and will result in a step change in the design of our streets and settlements. The place function of streets is considered at the outset rather than the street as an engineered solution. This requires more integrated working between Local Authorities, other stakeholders and Developer Teams.

3.11.2 Some of the key aspects of Designing Streets that will influence masterplan design include:

• altering attitudes toward risk and changing the perception of what makes a "safe" street allowing flexibility and a reduction of clutter within the street
• creating permeable streets, and designing streets by their character and not by the projected vehicle movements
• allowing a "tighter" urban form through reduced visibility at junctions and use of the crossroads as a junction form
• encouraging less onorous forward visibility requirements which give more flexibility to street design, and allow the use of the urban form to promote slower speeds
• encouraging a variety of parking solutions, and moving away from parking at the front of the plot

3.11.1 Designing Streets responds to changes in the planning system through encouraging dialogue and collaborative working between the planners, engineers, developers and the public at the outset. This in turn will highlight issues to be resolved at the beginning of the process and speed up the planning consent process through plans being developed collaboratively and thus reducing the chances of objection and change later on in the process.

3.11.2 The attached supporting documentation, the Guidance section of this document, sets out the practical applicability of Designing Streets through detailing the design principles and detailed design issues and considerations. Five case studies are also included to provide additional guidance and examples of good practice which embody some of these principles in the implementation of Designing Streets.

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