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The Planning System

Planning Series:

• National Planning Policy Guidelines (NPPGs) provide statements of Scottish Executive policy on nationally important land use and other planning matters, supported where appropriate by a locational framework.

• Circulars, which also provide statements of Scottish Executive policy, contain guidance on policy implementation through legislative or procedural change.

• Planning Advice Notes (PANs) provide advice on good practice and other relevant information.

Statements of Scottish Executive policy contained in NPPGs and Circulars may be material considerations to be taken into account in development plan preparation and development control.

This NPPG summarises the Scottish Ministers’ understanding of the effect of the relevant primary and secondary legislation although the summaries do not carry statutory authority in themselves and legal advice should always be taken in case of doubt.

Introduction

1. National Planning Policy Guidelines (NPPGs) identify the key priorities for the planning system. This NPPG provides an overview of the land use planning system in Scotland under current arrangements. It sets out the key principles and the Executive’s priorities for the system to guide policy formulation and decision making towards the goal of sustainable development. It:

• outlines the purpose of the planning system;
• indicates how planning can contribute to the Executive’s wider objectives;
• sets out the main tasks for development planning and development control;
• identifies the Executive’s expectations for an efficient and effective planning service; and
• specifies the performance targets that the Executive and councils should aim to meet in carrying out their statutory responsibilities.

The guidance in this NPPG is aimed at planning authorities, the public and others with an interest in the operation of the planning system and should be considered alongside other NPPGs in the series when formulating policy and making decisions.

2. Planning is a devolved matter and the overall management of the system is a responsibility of the Scottish Executive. The main legislation is the Town and Country Planning (Scotland) Act 1997. In association with related primary and secondary legislation this governs the day-to-day operation of the system. The main functions of the Executive in relation to planning are to maintain and develop the legislative framework, provide policy guidance and advice, to take decisions on structure plans, some major planning applications and appeals, and to oversee the operation of the system. Councils are usually the ‘planning authority’ for an area and their responsibilities include preparing development plans, deciding on most applications for planning consents and taking action against development that has been carried out without consent or in contravention of conditions¹.

The general principle under which the planning system operates in Scotland is that decisions should be taken at the most local administrative level unless there are strong reasons for taking them at a higher level.

The Purpose of the Planning System

3. The planning system guides the future development and use of land in cities, towns and rural areas in the long term public interest. The aim is to ensure that development and changes in land use occur in suitable locations and are sustainable. The planning system must also provide protection from inappropriate development. Its primary objectives are:

• to set the land use framework for promoting sustainable economic development;
• to encourage and support regeneration; and
• to maintain and enhance the quality of the natural heritage and built environment.

Development and conservation are not mutually exclusive objectives; the aim is to resolve conflicts between the objectives set out above and to manage change. Planning policies and decisions should not prevent or inhibit development unless there are sound reasons for doing so. The goal is a prosperous and socially just Scotland with a strong economy, homes, jobs and a good living environment for everyone.

4. The purpose of the planning system is to guide change through an efficient and effective process that respects the rights of the individual while acting in the interest of the wider community. Effective planning involves partnership working, community involvement and dialogue and negotiation with developers to enable a high quality of development on the ground. Planning is a flexible tool which is well placed to co-ordinate a wide range of activities relating to development, regeneration and the environment, both within the public sector and working with the private and voluntary sectors. Involving local communities, business interests, amenity organisations and others is essential to help shape a sustainable Scotland.

The Planning System and the Wider Objectives of the Scottish Executive

5. The Scottish Executive is committed to integrating the principles of sustainable development in its policy agenda. The Scottish Ministers expect the planning system to support and inform this wider policy agenda linking principles and actions to enable sustainable development. Co-ordinated action between different programmes and priorities is essential to increase effectiveness and value.

Sustainable Development

6. Enabling sustainable development requires co-ordinated action, linking together the economic, social and environmental factors set out in the paragraphs below. Policies and actions of the public, private and voluntary sectors should support and encourage sustainable development. The planning system is important as a means of integrating policy development and decision making, through its influence over the location of development and other changes in the way land is used. In particular planning should encourage sustainable development by:

• promoting regeneration and the full and appropriate use of land, buildings and infrastructure;
• promoting the use of previously developed land and minimising greenfield development;
• conserving important historic and cultural assets;
• protecting and enhancing areas for recreation and natural heritage;
• supporting better access by foot, cycle and public transport, as well as by car;
• encouraging energy efficiency through the layout and design of development;
• considering the lifecycle of development from the outset; and
• encouraging the prudent use of natural resources.

7. Development plan policies should address sustainable development at the local level whilst reflecting national and international goals. Both the short-term and the long-term consequences of policies must be considered from the outset. Planning decisions should favour the most sustainable option, promoting development that safeguards and enhances the long-term needs of the economy, society and the environment. When conflicts between the objectives inevitably arise decisions should be taken in line with local priorities and needs as identified in the development plan. All relevant issues must be considered together before a decision is made, looking at long-term implications as well as short-term effects. Some types of development, such as mineral and coal workings, although raising significant environmental issues, are necessary and important in the national interest. In such situations every effort should be made to offset the negative impacts of the development. Sustainable development promotes the right to a healthy and safe environment. Everyone must have real opportunities to take part in the planning and decision-making that will influence their future. The Executive is seeking to determine practical indicators of progress in taking forward sustainable development in Scotland.

Economic Competitiveness

8. The Executive seeks to promote a strong, diverse and competitive economy that can create the employment and incomes that will enable people to enjoy a good quality of life. The planning system supports Scotland’s prosperity by:

• identifying land of a suitable quantity and quality to meet industrial, business, commercial and housing requirements whilst minimising greenfield development;

• ensuring that land for employment is well placed in relation to the transport network and the labour force;

• promoting the improvement and maintenance of environmental quality and townscape to encourage and support investment;

• supporting development that meets the needs of rural communities;

• giving priority to regeneration and renewal;

• supporting steps to achieve the Framework for Economic Development including the provision of infrastructure and raw materials;

• giving stability and confidence that investment will not be undermined by inappropriate development; and

• ensuring that decisions are taken efficiently and consistently.

9. Continuing economic progress requires an efficient development control system. Fundamental to this are up-to-date and relevant development plans. Development plans should identify a full range of opportunities for investment while ensuring that environmental quality is enhanced and not eroded. The quality of Scotland’s environment is an important factor in promoting our competitiveness and prosperity. Environmental protection and enhancement can therefore bring long-term economic benefits.

10. If development plans are to contain policies that promote Scotland’s competitiveness the business community, including the enterprise network, must make a positive contribution to their preparation. This will make it possible for land allocations and priorities for infrastructure provision and improvement to reflect more accurately current and predicted future requirements. The involvement of the development industry should be sought early in the process of plan preparation to help identify issues the plan should address and to influence policy formulation. Scottish Enterprise, Highlands and Islands Enterprise and the local enterprise companies will be key partners in implementing policies for economic development, regeneration, infrastructure investment and environmental improvement schemes.

Social Justice

11. Strong, vibrant and healthy communities, in rural and urban areas, are an essential part of the vision for a socially just Scotland. Physical change alone cannot deal with poverty, inequality and social exclusion. Co-ordinated economic, social and physical action is the best way to address these deep-rooted problems. The planning system should feature as part of an integrated approach to social justice by:

• considering the diverse needs of the local communities in development plan policies;
• giving a high priority to accessibility when considering locations for jobs, houses, shops, leisure and other community facilities;
• developing closer links with transport policy at strategic and local level;
• ensuring that development plan policies positively support the provision of appropriate local facilities where they are lacking;
• promoting opportunities for the development of mixed use areas; and
• aiding the creation and maintenance of pleasant, safe and crime free environments through high quality design.

12. The involvement of council planning departments in urban and rural regeneration strategies and community development is essential. The level of involvement will vary with the particular characteristics of each scheme but the input of planning through statutory and non-statutory responsibilities is nevertheless important. Particular benefits include co-ordinating actions and spending programmes of partner organisations, channelling development interest, use of site assembly and disposal powers and the prioritising of planning applications. Community involvement is an integral part of the planning system, giving the public the opportunity to influence the future development of their area through involvement in the preparation of development plans and in decision making on planning applications. Social justice requires that attention be paid to the needs of all communities and interests. In particular attention should be paid to the needs of women, ethnic minorities and vulnerable groups, including children, older people, and those with disabilities, in policy development and decision making processes. The Executive is committed to equality of opportunity for all.

Environmental Quality

13. Protecting and enhancing the quality of the environment, in both urban and rural areas, is a key objective of the planning system. The condition of our surroundings has a direct impact on the quality of life. Safeguarding Scotland’s rich and diverse natural heritage and built environment including the wider historic and cultural landscape, improving areas through regeneration, safeguarding biodiversity, environmental improvement and restoration, and enabling access to recreational opportunities and open spaces in urban and rural areas can all be supported by a proactive approach to planning. The conservation and enhancement of both the natural and built environment bring benefits to local communities and provide opportunities for economic and social progress.

14. The Scottish Executive is committed to tackling climate change. Greenhouse gas emissions from burning fossil fuels are the biggest single contributor to global warming. The planning system can play a part in reducing emissions when guiding the location and design of development and the management of land use change. Specific actions include reducing the need to travel and encouraging sustainable forms of transport, and encouraging energy efficient design and appropriate choice of materials.

Design

15. An important outcome of the planning process is the quality of development on the ground. The architectural design, siting and setting of development in its surroundings are valid concerns of the planning system. Promoting high standards of building, engineering, and urban and landscape design are important in maintaining and enhancing environmental quality.

16. Good design should be the aim of everyone in the planning and development process. Ill conceived and poorly designed development is not in the public interest, as mistakes cannot be easily or cheaply rectified. Development plans should include broad design parameters based on a sound analysis of the character of an area. Local plans should set a framework within which developers can work, addressing issues of context and form such as scale, layout, density, massing and height. More detailed issues such as landscaping and open space, parking and use of materials can be dealt with in Supplementary Planning Guidance. Policies should encourage originality and innovation and also protect against poor design. Planning authorities should avoid being overly prescriptive except where appropriate in conservation areas and in relation to listed buildings. Design is a material consideration when determining a planning application. A proposal may be refused, and the refusal defended at appeal, solely on design grounds. It is therefore important that planning authorities can draw on expertise with a sound understanding of the principles of design.

17. The Scottish Ministers require a general improvement in design standards. The Executive’s consultation draft of the Policy on Architecture for Scotland demonstrates their commitment in this respect. The Executive also attaches importance to achieving improvements in energy efficiency. The design and layout of new developments should seek to contribute to this aim and there should be greater consideration of the lifecycle of new development.

Integrated Transport

• allocating land for development and selecting priority areas for regeneration to maximise the scope for access by foot, cycle and public transport;

• ensuring an efficient transport network for the movement of freight and goods distribution, including where possible use of rail and water;

• providing direct and safe access to local facilities by a choice of transport modes;

• supporting mixed use, increased tenure choice and local service provision;

• ensuring that the layout and design of development gives priority to walking and cycling where appropriate; and

• identifying priorities for investment in transport infrastructure and safeguarding land for longer term possibilities.

In association with Local Transport Strategies these measures will help in promoting alternative modes of transport and in reducing the number and lengths of journeys in both urban and rural areas. The more limited transport options available in rural Scotland offer additional challenges to integrated transport which must be addressed through Local Transport Strategies and development plans.

19. Sustainable transport considerations should not be an additional factor to be taken into account in preparing development plans or in making development control decisions; they should be an integral component. Local Transport Strategies and development plans must work to a common agenda.

European Dimension

20. European Union policy, particularly policy relating to the environment, has both direct and indirect effects on the planning system. For example, the Directive on Environmental Impact Assessment has been largely implemented through the planning system. There are a large number of EC Directives concerning the environment. Of particular relevance to planning are those dealing with Habitats and Wild Birds, Waste Management and Water Quality (including Bathing Water, Drinking Water and Urban Waste Water), Air Quality, Major Accidents Hazards, Landfill, Access to Environmental Information and the forthcoming Directive on Strategic Environmental Assessment. The obligations specified in these Directives have a number of implications for the use of land which should be recognised and reflected in development plans and development control decisions.

21. More recently the European Spatial Development Perspective (ESDP) has been developed by Member States of the European Union in co-operation with the European Commission. The ESDP is non-binding. It encourages local authorities and others to acknowledge the spatial aspects of economic development policies, to look beyond their immediate boundaries and to recognise the wider geographic dimension to opportunities and problems. Co-operation will be the key to taking forward many of these issues. The INTERREG III Community Initiative, in which a number of Scottish Councils have an interest provides a framework and mechanism for developing co-operation with partners in other parts of Europe, within the EU and beyond.

22. A significant number of development projects have been undertaken with support from the European Structural Funds. It is important that there is close liaison between planning authorities and the Programme Management Executives in East, South and West of Scotland and the Highlands and Islands. Up to date development plans should provide a locational framework for projects that seek support from the European Structural Funds and ensure that planning issues are identified and resolved early in the process, enabling decisions to be made efficiently. The underlying processes in the allocation of Structural Funds and the preparation of development plans share a number of common objectives, for example in relation to stimulating economic growth, promoting social cohesion, encouraging environmental protection and enhancement and improving quality of life. It is important, therefore, that the systems complement and support each other.

Development Plans

23. The statutory development plan for an area consists of the structure plan and the local plan. The purpose of the development plan is to guide the future development of an area. To be effective plans must contain relevant and realistic policies that it is possible to implement. They should contain a positive and sustainable vision of an area’s future based on a thorough understanding of how the area functions, the challenges it is expected to face and community requirements and priorities. Policies should cover key land use issues including housing, transport, employment, retailing, recreation, conservation and environmental protection. It is important that these are considered together to create a spatial development strategy for the area. Development plan policies should complement and reinforce each other to help secure sustainable development.

24. The aim is to provide a land use framework within which investment and development can take place with confidence. Development plan policies should make connections to related projects and programmes which impact on land and the environment such as rural development initiatives, town centre management, local biodiversity action plans, access and recreation strategies, schemes for integrated coastal zone management and the National Waste Strategy. Plans can also be proactive in implementing policies by providing the basis for land assembly that can be essential for securing sustainable urban growth or in pursuing a co-ordinated approach to area regeneration.

25. The importance attached to the development plan makes it essential that policies:

• provide clear guidance to developers and the public on the relevant planning issues affecting an area;
• are properly justified to explain their intention;
• are expressed simply and unambiguously; and
• can be easily monitored, reviewed and kept up to date.

The production of a development plan is not an end in itself; it is a tool for use in decision making. The development planning process requires sustained commitment, including the deployment of well-trained personnel and adequate resources in order to fulfil its function effectively.

26. Development plans that meet these criteria will offer a sound basis for consistent decision making which is important for maintaining public and investor confidence. In preparing them authorities must take account of national policies, specific local characteristics and the views of the development industry, amenity organisations, statutory bodies and the public. The preparation of a consultation strategy, with an emphasis on engaging all with an interest in the planning system within an area, is advisable before the preparation or review process for development plans is started. Involvement rather than just consultation should be the goal. Those who have been involved in the process need to be confident that their views have been taken into account in preparing plans and that applications are being decided on the basis of approved or adopted plans.

27. A commitment by planning authorities to prepare, implement and keep statutory development plans under review is essential. Structure plans should be reviewed at least every 5 years, and policies formally reaffirmed or amended to reflect changing conditions and expectations. Reviews and revisions of local plans should be completed within 5 years of adoption, so that they provide an up to date basis for guiding investment and for development control decisions.

28. The Scottish Ministers have considered introducing statutory provisions relating to timetables for the preparation of development plans, but have decided against making legislative changes in the short term. Whether legislative changes are introduced will be largely dependent on the extent to which councils demonstrate a sustained commitment to preparing development plans and to keeping them up to date and relevant to emerging issues.

Structure Plans

29. The structure plan should provide a long-term vision, looking forward at least 10 years, as part of an overview of an area’s development requirements, considering the functions and inter-relationship of places, expressing the settlement strategy for the area and identifying priorities for urban and rural regeneration. Policies should:

• identify the overall supply of land to meet the requirements for development;
• reflect and identify priorities for the provision of infrastructure;
• identify limitations on development;
• support and encourage sustainable patterns of travel; and
• promote the protection and enhancement of the built and natural environment.

30. Brevity, clarity and precision are key requirements. Unnecessary length can obscure the general direction of the strategy. Precision is important so that the plan has a clear focus. Structure plans must go beyond the expression of general criteria and indicate the proposed long-term nature, scale and location of change.

31. It is important to monitor and review the implementation of structure plan policies. Planning authorities and others who have been involved in the process need to know the extent to which policies have been effective. If they are not, it is important to identify the reasons. Planning authorities should specify targets for implementation; for example, using indicators such as re-use of previously developed land or the amount of retail floor space developed in town centres.

32. The Scottish Ministers have reaffirmed their commitment to structure plans. In some areas greater urgency needs to be given to their preparation and approval. Planning authorities, including those in joint working arrangements, are therefore encouraged to set and publish demanding timetables at the start of structure plan preparation indicating the main stages in the process, including when they expect to submit the plan to the Scottish Ministers for approval. Authorities should aim to submit their plans for approval within 2 years from start of plan preparation. The Executive is committed to efficient handling of submitted structure plans. The aim is to give a final decision within 40 weeks of the plan being submitted, unless an Examination in Public (EIP) is necessary.

33. The basis of the structure plan is a vision which looks forward at least 10 years but which requires comprehensive review every 5 years when policies should either be reaffirmed or replaced. Full replacement is necessary when the strategy has been implemented or when it no longer reflects economic or social trends or development control decisions, or when it fails to address major new land-use issues in an area. A commitment by all planning authorities, including those in joint working arrangements, to effective management of the structure plan preparation process and implementation is essential to the continuing relevance and credibility of the statutory development plan.

Local Plans

34. A local plan sets out detailed policies and specific proposals for the development and use of land that should guide day-to-day planning decisions. They must identify effective opportunities for development and encourage investment in an area. The aim is to exert a positive influence over land use

decisions. Local plans should contain policies relating to;

• the allocation of land relating to different development types e.g. housing, business and industry, retailing, transport, leisure and recreation and mineral extraction;
• the conservation of the built, natural and cultural heritage;
• the improvement of the physical environment;
• integrated transport issues; and
• urban and rural regeneration.

Local plan policies must conform to the structure plan and be fully justified, demonstrating what is and is not acceptable in land use terms. They should describe the area to which they relate and be specific about issues in order to avoid an anonymous approach that could apply to any place. Plans should be clear about how policies will be implemented, whether through specific proposals or by applying development control criteria, and should specify where local authority action is required to make land available or co-ordinate infrastructure provision.

35. Local plans should be responsive to local needs and promote change in the wider community interest. Policies must be relevant to the circumstances of an area, with enough flexibility to accommodate some of the changes that will inevitably emerge over the lifetime of the plan. It is particularly important that local plans identify areas where major change is anticipated and indicate what is required to ensure co-ordinated action, such as the preparation of a master plan. Plans should be kept up to date and reviewed on no more than a 5-year cycle, testing for continued effectiveness and relevance, with policies either reaffirmed or replaced. Reviews should be adopted formally by planning authorities. Review mechanisms should be established whereby information collected through on-going monitoring of economic, social and environmental indicators and the implementation of individual policies and proposals is used to highlight the need for revision.

36. It is a matter of concern that many adopted local plans are more than 5 years old. Planning authorities should ensure that they have in place management arrangements that can efficiently deliver the process of preparing local plans and keeping them up to date. At the start of local plan preparation planning authorities should publish a demanding timetable of their programme of work. This should accommodate the possibility of a public local inquiry. Where a local plan inquiry is required, councils should consider the appointment of a Programme Officer to manage the arrangements. The Scottish Executive Inquiry Reporter’s Unit (SEIRU) has taken steps to ensure that public inquiries are arranged as quickly as possible and that Reporters submit their findings and recommendations to planning authorities within an agreed timescale. Planning authorities should aim to reach agreement with the Manager of the Local Plans Panel at SEIRU on the timescale for submission of the report of an inquiry. They should also give early consideration to the recommendations of the Reporter and publish the Reporter’s report and any proposals to modify the plan. Planning authorities are not obliged to accept the recommendations of the Reporter following a Public Local Inquiry.

37. Promoting a wider sense of ownership of the local plan is essential. Local communities must have the opportunity to express their views on local needs and priorities. These views should be taken into account when formulating policies. Agencies, business interests and the voluntary sector should be encouraged to make a positive contribution to local plan preparation.

Supplementary Guidance

38. Supplementary guidance can be useful where:

• there is a need for an urgent policy response to an emerging issue; or
• the level of detail is inappropriate for a development plan; for example development briefs and design guides.

39. Supplementary guidance should be used to support statutory development plans, not as an alternative. The public and other interest groups should be involved in preparing it. Statements made in supplementary guidance carry less weight than those in the development plan in determining planning applications and appeals but are likely to be material considerations. Responses to urgent policy issues should subsequently be incorporated into statutory plans as soon as possible.

40. Development briefs and design guidance can be effective means of promoting specific opportunities for development. By highlighting the standards of development planning authorities are seeking, design guides and briefs can aid the creation of higher quality development. Master plans can be used to good effect in areas where additional planning guidance is required for major development or regeneration projects and should combine planning objectives with community aspirations and financial opportunities and constraints. They can be particularly effective where the scale and complexity of development requires a detailed framework to co-ordinate action and investment. This should result in a higher standard of development than would result from individual applications for planning permission. When preparing a master plan it is essential that the sources of funding, either public or private, be identified before proposals are set out. Implementation requires effective partnership working. It is important that, where possible, the intention to prepare such guidance is signalled in the statutory plan.

(There is no paragraph 41).

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