(dated 20 September 1996)
Illustrations:
The written representations procedure (seep App 147)
The hearing procedure (see p App 148)
The Inquiry procedure (see p App 149)
1 The appeal process is designed to be as efficient and user-friendly as possible, involving the best possible use of resources, whilst upholding the principles of fairness, thoroughness and consistency. This Circular sets out best practice in the operation of the procedures for determining planning appeals under section 78 of the Town and Country Planning Act 1990. It consolidates and updates guidance in previous Departmental Circulars. [The guidance in this Circular is also relevant to other forms of planning and non-planning casework where these procedures are applied]
2 All parties to an appeal can assist in expediting the process. In recent years changes to the procedural rules and in the Planning Inspectorate's administrative practices have helped to streamline the various procedural stages and reduce unnecessary delays as far as practicable. The Secretary of State believes that still more can be achieved to speed up the process without impairing either the quality of decision or the parties' ability to present their case fully and fairly. These steps are described in paragraphs 4 to 23 below. They involve no changes to statutory rules and regulations, nor are they intended in any way to erode the principles of natural justice which underpin the appeal system.
3 Annexes 1 to 5 to this Circular update the codes of practice on hearings and preparing for major planning inquiries, together with other guidance, contained in the following Circulars which are now cancelled: DOE Circulars 18/86, 11/87, 101 88 and 24/92. Where the Circular and Annexes refer to appellants, Inspectors or assessors as 'he', this also means 'she'.
4 For all appeals, progress on cases will be helped by keeping paperwork at all stages to a minimum. It is important to cover all the relevant issues fully; nevertheless, written representations should be as brief and succinct as possible, and avoid duplication of arguments or supporting information. A timetable should be agreed by the parties for the submission and distribution of statements and other evidence, where there is no statutory provision. Unreasonable failure to observe statutory deadlines or those in agreed timetables should not be allowed to delay the appeal process. Where delays do occur, the party responsible may be at risk of an award of costs against them (see paragraphs 24 and 25 below).
5 Hearings should be used rather than inquiries in all suitable cases. The choice of the hearings procedure will no longer require the agreement of both principal parties and will be determined by the Planning Inspectorate following consultation with them.
6 In order to minimise the length of inquiries, it is essential for the parties to focus on the critical issues in advance of the inquiry and to ensure through effective preparation that they have eliminated irrelevant or inessential detail or repetition from their evidence. They should also be willing to engage in pre-inquiry discussions for the purpose of reaching agreement on relevant facts. Such discussions will identify areas of agreement on which evidence need not be submitted and those issues which remain in dispute. The more widespread use of pre-inquiry meetings whether between the parties or, in appropriate cases, chaired by an Inspector, will assist this process.
7 Under the procedural rules Planning Inspectors have wide discretion in conducting inquiries. Whilst continuing to observe the rules of natural justice at all times, they have been urged by the Secretary of State to exercise tighter control over advocacy and cross-examination. This is in the interest of all parties. The purpose is to exclude repetitious or irrelevant evidence, to ensure that opening statements are succinct and do not delay presentation and examination of the main evidence, and to curtail excessive or over-aggressive cross-examination. Inspectors will also use their powers to establish a timetable for inquiry proceedings in all cases subject to the procedural rules with which all parties will be expected to comply.
8 The list of Annexes is as follows:
Annex 1
(i) Written Representations: The Town and Country Planning (Appeals) (Written Representations) Regulations 1987 (SI 1987 No. 701).
(ii) Format of Written Statement.
Annex 2
Hearings: Code of Practice for Hearings.
Annex 3
Inquiries: The Town and Country Planning (Inquiries Procedure) Rules 1992 (SI 1992 No. 2038) and the Town and Country Planning Appeals (Determination by Inspectors) (Inquiries Procedure) Rules 1992 (SI 1992 No. 2039).
Annex 4
Inquiries: Code of Practice on Preparing for Major Planning Inquiries in England and Wales.
Annex 5
Inquiries: Good Practice at Planning Inquiries. Pre-appeal considerations
9 Communication and co-operation between the parties is good practice at any stage in the planning process. Effective consultations between the applicant and the local planning authority can be particularly beneficial in resolving differences, not only prior to the decision but in many cases before the application has been made. Both parties should therefore consider whether a meeting or meetings would be useful. This provides a clearer opportunity to explore fully each proposal and may assist all parties to save time and effort. Local planning authorities can assist this process by actively encouraging concerted dialogue with applicants and within heir own organisation.
10 Similarly, before a disappointed applicant for planning permission lodges an appeal, there should be consultation and negotiation. This may enable the applicant to submit a revised proposal rather than resort to an appeal. Difficulties can be more quickly and cheaply resolved in this way than if an appeal is made to the Secretary of State. Appeals should only be made when all else has failed.
11 Potential appellants should be aware that it is for the Inspector or the Secretary of State to review the planning arguments and to reach a decision in accordance with planning policy and the merits of the proposal. They should carefully assess the merits of their case and the prospects of success objectively, together with the costs they are likely to incur, and the time needed to pursue an appeal. Careful study of the policy background, principally in Development Plans, Planning Policy Guidance notes and Departmental Circulars, is essential. Clearly stated policies endorsed through the development plan system and which remain relevant to the case will not be set aside lightly.
12 Where an appeal is against refusal of planning permission or the imposition of conditions, the reasons given by the local planning authority in the decision notice should be complete, clear and precise. These reasons should inform discussions between the parties. The aim should be to explain the background o the decision to the appellant and to amplify the local authority's objections to the proposed development as fully as possible. This should assist appellants to assess how much they might be overcome. Stereotyped or general grounds of refusal are unhelpful. Negotiation can be valuable particularly in simplifying the complex issues that can arise in inquiry appeals and should take place as early as possible in the appeal process.
13 Appeals must be submitted to the Planning Inspectorate within six months of the date of the local planning authority's decision notice or the expiry of the decision period. It is important that the appeal form is completed accurately, including full grounds of appeal, and is accompanied by all the relevant documents to avoid any delay at the very start of the process. Where planning permission has been refused, the grounds of appeal should contain a clear explanation of why the appellant disagrees with each of the local planning authority's reasons for not granting permission, and not merely that the reasons are not accepted. The relevant documents are specified in Article 23 of the Town and Country Planning (General Development procedure) Order 1995 (S.I. 1995 No. 419) and a checklist for appellants, as well as general guidance on appeals, is provided in the Planning Inspectorate's booklet "A Guide to Planning Appeals". Appeal forms are obtainable from the Planning Inspectorate.
14 Appellants are also required to send a copy of the appeal form and relevant documents direct to the local planning authority. Any appeal not served on both the Department and the local planning authority would not normally be accepted as being valid. Any local planning authority in doubt about the validity of an appeal should immediately contact the appropriate case officer in the Planning Inspectorate.
15 For any appeal under section 78 of the Town and Country Planning Act 1990, the appellant and the local planning authority have a statutory right to appear before and be heard by a person appointed by the Secretary of State. If neither party wishes to be heard, and the Secretary of State does not consider it necessary to hold a hearing or an inquiry, the appeal is determined by means of the written representations procedure. Where either of the principal parties exercises their right to be heard, they will be asked to state which procedure they regard as suitable, giving their reasons. The Planning Inspectorate, acting on behalf of the Secretary of State, will decide whether a hearing or inquiry is to be held taking into account the circumstances of each appeal, including any preferences already expressed by the principal parties. Before choosing their preferred procedure, it is important that the parties carefully consider the nature of the appeal and the time and resource implications of each procedural method.
16 This is by far the most common procedure and normally offers the quickest, simplest and cheapest way of deciding appeals. On average, hearing appeals tend to take half as long again, and inquiry appeals twice as long, as written representations appeals to decide. The Department will therefore continue to encourage the use of the written method wherever possible.
17 The procedures for appeals determined by the written method are prescribed by The Town and Country Planning (Appeals) (Written Representations) Regulations 1987 (S.I.1987 No.701). Advice on the contents of the Regulations, including the statutory time limits for action calculated from the date of receipt of the appeal by the Planning Inspectorate, is contained in Annex 1 to this Circular. Paragraph 16 of Annex 1 draws attention to the power given to the Secretary of State in Regulation 9 to disregard representations received outside the statutory time limits if he considers that he has sufficient information to be able to reach a decision. Annex 1 also contains a diagram of the appeal stages and time limits and a model format for the local planning, authority's written statement, where appropriate.
18 The hearings procedure is simpler and quicker than that for inquiries. It enables the parties to present their case fully and fairly in a more relaxed and less formal atmosphere than at an inquiry. It usually takes the form of around-the-table discussion led by the Inspector. Without formal cross-examination or advocacy, hearings can be much less daunting for unrepresented parties. Where one or other of the parties has exercised their riaht to be heard, the Department's policy is to promote the use of hearincs in p reference to inquiries for appropriate cases. Hearings are not suitable for all planning appeals, particulaly where a substantial number of third parties wishes to speak or where formal cross-examination is required (see also paragraph 3 of Annex 2).
19 Hearings are conducted in accordance with a Code of Practice. The version set out in Annex 2 to DOE Circular 10/88 has been revised in the light of experience and is reissued in Annex 2 to this Circular. Annex 2 also contains a diagram of the appeal stages and time limits.
20 Where either the appellant or the local planning authority has exercised their right to be heard, a local inquiry will be held if the case is not considered suitable for the hearings procedure. In recent years as the proportion of appeals dealt with by written representations and hearings has grown, the number of inquiries as decreased significantly.
21 Planning appeal inquiries are subject to The Town and Country Planning (Inquiries Procedure) Rules 1992 (S.I. 1992 No.203 8) (commonly referred to as 'the Secretary of State Rules') and The Town and Country Planning Appeals (Determination by Inspectors) (Inquiries Procedure) Rules 1992 (S .1. 1992 No.2039) (conunonly referred to as 'the Inspectors Rules'), as appropriate.
22 The Rules are designed to make the inquiry process as efficient and expeditious as possible (by setting time limits for the subn-iission of pre-inquiry statements and proofs of evidence and giving Inspectors wide powers in the conduct of proceedings), without impairing the fairness of the proceedings or the ability of the parties to express their views. It is essential that all deadlines provided for in the Rules are observed by the parties to minimise delays. Failure to do so could expose the party responsible to a claim for costs
23 Advice on the contents of the Rules is contained in Annex 3 to this Circular, which also includes a diagram of the appeal sta-es and time limits. Annex 4 contains an updated version of the Code of Practice for Preparing for Major Planning Inquiries which first appeared in Annex 1 to DOE Circular 10188. Annex 5 deals with good ractice at planning inquiries and builds on advice previously published in Circular 24/92.
24 Both principal appeal parties (the appellant and the local planning authority) nsk an award of the other party's appeal costs against them if it is shown that they behaved 'unreasonably' in the proceedings, so that the other party incurred unnecessary expense. Delaying the appeal process without reasonable justification could mount to 'unreasonable' behaviour. Awards of costs either in favour of or against third parties are only made in exceptional circumstances.
25 At present, costs can be awarded in planning appeal cases dealt with by a hearin. or an inquiry, but not by written representations. Costs can be awarded on procedural grounds where 'unreasonable' conduct in withdrawing an appeal results in the late cancellation of a scheduled inquiry or hearing. DOE Circular 8193 'Award of Costs Incurred in Planning and Other (Including Compulsory Purchase Order) Proceedings' gives detailed guidance on the award of costs in planning appeal proceedings. Discussion of, and agreement on, outstanding issues betweenthe principal parties will help to reduce the risk of a subsequent successful costs application, as well as mimising the overall cost of the appeal process to all concerned.
26 Since the purpose of this Circular is to consolidate and update guidance on existing powers and procedures in respect of planninc, appeals, it should have no effect on local government manpower or expenditure.
1 This Annex is referred to in paragraph 17 of the Circular.
2 The Reaulations apply to all appeals under section 78 of the Town and Country Planning Act 1990 where the appeal is to be determined by the written representations procedure. The Regulations cease to apply when the Secretary of State infonns the local planning authority and appellant that the appeal is to be determined by an inquiry or hearing. Special provision is made in the Regulations for reduced time periods, where appropriate, in appeals which revert to the written representations procedure.
3 The Regulations require the local planning authority:
(i) within 5 working days of receiving notification of the appeal to notify, in writing, those who are required to be consulted on the application under an Act or Order and those who made representations to the local planning authority about the application, that an appeal has been made. The notification must give the appeal reference, the name of the appellant, a description of the application, the address of the appeal site and the starting date. The notification should state that earlier representations, other than those which the maker has asked to remain confidential (as specified in Regulation 5(2)(d)), will be forwarded to the Planning Inspectorate and that any modification, elaboration or withdrawal of those representations should be sent direct to the Inspectorate as appropriate within 28 days of the starting date.
(ii) within 14 days of the starting date"', to complete and send to the Inspectorate a questionnaire enclosing copies of any papers referred to in the questionnaire. These should include copies of correspondence or directions from statutory consultees about the application, copies of relevant representations from other interested persons, the planning officer's report to committee (if any), any relevant committee minute and extracts from the relevant plans or policies on which the decision relied. Copies of all this material should be sent simultaneously to the appellant. Local planning authorities should also indicate whether they intend to prepare any further statement to explain the reasons for their decision.
(iii) within 28 days of the starting date, to send to the Inspectorate any further specially prepared statement of case and at the same time send a copy to the appellant.
(1) The starting date is the date of receipt of the appeal by the Planning Inspectorate. This will generally be the sanie date as the date of receipt by the LPA. LPAs should not await the Inspectorate's notification of appeal before preparing letters to interested parties (see paragraphs 4 and 5).
4 The Plannin. Inspectorate aims to notify the appellant and the local planning authority of the starting date for the individual appeal, the appeal reference number, the address for communications to the Secretary of State and (in the case of the local planning authority) the name of the appellant and the address of the appeal site, within three working days of receiving the appeal form (see DOE booklet 'Planning. Charter Standards').
5 Notification of the starting date should not be taken as an indication that an appeal is valid. The Inspectorate will continue to check the validity as soon as possible after appeals arrive and will contact the local planning authority and appellant by telephone if an appeal is found to be invalid. If local planning authorities have any doubt about the validity of an appeal, they should telephone the appropriate Inspectorate case officer.
6 The Reaulations specify that only those persons or bodies who made representations at the application staae or who were required to be consulted under the Act or an Order must be notified of the appeal. Generally, there should be no need to notify others not specified in the Regulations or for further consultations.
7 Local planning authorities must themselves judge what sort of submission they wish to put
forward in the timescale laid down by the Regulations. In many cases, Planning Inspectors are
capable of appraising the local planning authority's case from the questionnaire and other key
documents; they do not need a full and freestanding statement of case. The relevant background
documents to the planning committee's decision and the planning officer's report to the
committee, where available, may often be sufficient to present the authority's case. Where the
authority chooses not to submit a full statement, the questionnaire must state that fact clearly
to enable the appellant (if he so chooses) to reply to the questionnaire.without awaiting a
further statement. The submission of supplementary statements can lead to serious delays in
the appeal process. All parties should aim to address all aspects of their case in a single
statement.
8 The Regulations require the local planning authority to forward all relevant representations
except those that are provided in confidence to the authority. Accordingly, local planning
authorities should make clear in their notifications at the application stage that, in the event of
an appeal, any representations will be forwarded to the Inspectorate and the appellant unless a
contrary wish is expressed.
The Regulations and the appellant
9 The Regulations require the appellant to make any response to the questionnaire (where
that forms the statement of case) or to the subsequent statement within 17 days of the date
appearing on the questionnaire or statement. A copy of the response must be sent to the local
planning authority at the same time as the response is sent to the Inspectorate.
10 Where the local planning authority indicates on the questionnaire that it intends to make a
further statement, the appellant should wait for that statement before responding. However,
the details included in the questionnaire, and the documents accompanying it, should give the
appellant sufficient information to be able to begin to prepare any response he may feel is
required in advance of receiving the authority's further statement of case.
11 Unless the appeal is against non-detemiination, the local planning authority should have
set out the reasons for refusal or for conditions fully and clearly in its notice of decision.
Equally, the appellant should have set out the full grounds for appeal in the original appeal
form and any attachments. Failure to provide complete details until the local planning
authority's questionnaire or statement has been received is not good practice and is to be
discouraged. The appeal may also be rendered invalid if the appeal form is not completed
correctly. There are unlikely to be new points in the local planning authority's statement, but
the 17-day period following that statement is intended to allow the appellant to comment on
anything new that does appear. There is no obligation on the appellant to conunent; indeed,
the sooner the Inspectorate are notified that the appellant has no comments, the sooner the
ultimate decision is likely to be given. .
Reply to the appellant's response
12 The local planning authority should not normally need to reply to any response from the
appellant to its statement since no new material should emerge at that stage. However, where
such new material does emerge, any representations on that material may still be taken into
account but should be submitted within 7 days of the appellant's response (see annexed
diagram). This period is intended to allow the last minute comments of either party to be put
before the Inspector in advance of the site visit. Any such comments must be copied to the
other party. However, such late representations are to be discouraged as they may delay the
decision process.
Third parties
13 Any interested party may submit representations about the appeal not later than 28 days
after the starting date and, where possible, should have access to relevant documents submitted
by the principal parties. The local planning authority and the appellant are allowed not less
than 7 days in which to reply.
Extension of time periods
14 A precise timetable, closely observed by all the parties, is essential to the efficient and
expeditious handling of appeals. The Secretary of State looks for the co-operation of all
parties in keeping to the time limits indicated. Failure to meet the target set for any stage of an
appeal can seriously delay the process. A local planning authority or an appellant who expects
difficulty in complying with the timetable should discuss this with the relevant appeals case
officer at the earliest opportunity.
15 Unless good reasons can be given, site visits or other action should not be held up where
representations have not been submitted in accordance with the target timetable. The
Regulations enable the Secretary of State, in any particular case, to set later time limits than
those prescribed. However, it should be assumed that the time limits will be extended only in
exceptional circumstances. Such circumstances might include:
(i) the failure of another party to abide by a time limit at an earlier stage of the process;
(ii) the appellant's need for extra time to respond to the authority's statement in an appeal
following the failure of a local planning authority to determine the application (where the
appellant has been unable to obtain an earlier indication of the nature of the authority's
case); or
(iii) the linking of the appeal to another type of appeal or other process where different time
limits apply.
The Inspectorate will notify principal parties of such extensions.
16 It should be noted that the Regulations also allow the Secretary of State to disregard
representations received outside the prescribed time limits and to proceed to a decision in the
absence of any representations within the time limits, if it appears to him that he has sufficient
material to be able to reach a decision and the principal parties have been notified in writing
beforehand. A diagram of the appeal stages and time limits may be found at the end of this
Annex.
Site visits
17 Site visits should not be delayed because the local planning authority insists on waiting
until its case officer is available. There is no need for the case officer to be present provided
that the local authority's representative is sufficiently familiar with the case to be able to point
out important site features and, if necessary, be able to verify the plans. Both these tasks are
standard parts of an accompanied visit. However, no discussion of the merits of an appeal is
allowed at a site visit. It is unnecessary for the Inspector to be accompanied by either party if
the site can be seen satisfactorily from a public highway (or other publicly accessible land).
The Inspector should not be accompanied at any stage by the representative of only one of the
main parties. Unaccompanied site visits do not require formal arrangements to be made with
the parties.
(ii) FORMAT OF WRITTEN STATEMENT
1 This is referred to in paragraph 17 of the Circular. Where a statement is submitted, it should
contain the following infortnation.
2 References - Planning Inspectorate and local planning authority reference numbers for the
appeal.
3 Description of proposal.
4 The site and its location - a description restricted to those features relevant to the appeal.
Characteristics of the site which are readily apparent from the plan should be excluded.
5 Policies - a list, or other concise statement, of relevant planning policies. This should
include copies of, or extracts from, development plans and other published documents; the
status of relevant plans, e.g. submitted approved or adopted, and the date when they were
submitted, approved or adopted; and references to official documents, e.g. the Government's
Planning Policy Guidance Notes and Circulars.
Lengthy rehearsals or interpretations of general planning policies should be avoided in the
text of the statement.
6 Explanatory comments - additional statements required to clarify, or augment where
necessary, the reasons for not granting planning permission or grounds of appeal.
Where conflict with policy is given as a reason for refusal it should be made clear in what
ways the policy's objective would be materially harmed or put at risk by the development
proposal.
In every case the comments should explain how the development proposed would cause
material harm to interests of acknowledged importance.
A detailed history of the application should be avoided where this is not relevant to the appeal.
The comments of persons (other than the appellant and the local planning authority) adduced
in support of the case and references to relevant planning decisions should be set out in an
annex.
ANNEX 2: HEARINGS
CODE OF PRACTICE FOR HEARINGS.
1 This Annex is referred to in paragraph 19 of the Circular.
2 This code contains the procedure which the appellant and the local planning authority
should follow when a hearing is to be held. The procedure is. intended to save the parties time
and money and to allow the Inspector to lead a discussion about the issues. The aim is to give
everybody, including interested third parties, a fair hearing and to provide the Inspector with
all the information necessary for his decision, but in a more relaxed and less formal atmosphere
than at a local inquiry. Although the code does not have statutory force, all parties to a hearing
are expected to comply with it.
3 A hearing is suitable where the development is small-scale; there is little or no third party
interest; complex legal, technical or policy. issues are unlikely to arise; and there is no
likelihood that formal cross-examination will be needed to test the opposing cases.
4 The Secretary of State will decide whether a hearing is a suitable means for considering an
appeal. Where either the appellant or the local planning authority wishes to exercise their right
to be heard, the Planning Inspectorate will consider whether the case is suitable for a hearing,
taking into account the circumstances of the appeal and the views of the principal parties. If it
is suitable, the aim will be to arrange the hearing within 12 weeks of that decision. It is
important that dates for hearings are set without undue delay. In this respect, the negotiations
for dates will follow the same procedures as inquiries, and each party will be permitted one
refusal of a date before the date, time and place of the hearing are fixed.
5 Not less than 28 days' notice of the arrangements for the hearing will be given. The local
planning authority will send details of the arrangements to all those, other than the appellant,
with an interest in the land and to all who wrote to them about the proposed development at
the application stage, i.e. including any interested third parties. The authority will also give
such other publicity to the hearing as they think advisable. Those notified of the arrangements
for the hearing will be sent a copy of this code, and will be told by the local planning authority
where and when they can inspect copies of the pre-hearing statements and any other associated
documents. They will also be advised that they may, at the discretion of the Inspector,
participate in the discussion at the hearing.
6 An important element of this procedure is that the Inspector must be fully aware of the
relevant issues and arguments so that he can properly lead the discussion. It is therefore
essential that at least 3 weeks before the hearing, the appellant and the local planning
authority provide a written statement containing full particulars of the case they wish to make
at the hearing. including a list of any documents to which they wish to refer. The statements
will be passed to the Inspector to enable him to prepare for the hearing. At the same time as
sending their statement to the Inspectorate, the appellant and the local planning authority
should send a copy to each other. If it is decided to hold a hearing after notification that an
inquiry will be held, any written statement already provided for the purpose of the inquiry will
be used for the purpose of the hearing. The parties should bear in mind that they may not seek
the issue of any form of summons to compel any person to attend a hearing.
7 Failure to adhere to this timetable will be fatal to the procedure. If the Inspector cannot be
provided with the necessary information in sufficient time before the hearing it will be
necessary to delay or defer it, or to hold a local inquiry with procedures govemed.by statutory
rules. A party may become liable for costs if another party is put to unnecessary expense
through the late submission of statements. Other circumstances in which costs may be awarded
in respect of a hearing are set out in DOE Circular 8193.
8 The arrangements for the hearing and the conduct of it will be designed to create the right
atmosphere for discussion and to eliminate or reduce the formalities of the traditional local
inquiry. To this end the accommodation provided for the hearing should also be informal and
the Inspector and the parties should wherever possible sit around a table; a small committee
room is usually satisfactory and the more formal atmosphere of a council chamber should be
avoided.
9 If at any time before or during the hearing the appellant or the local planning authority
comes to the view that the informal procedure is inappropriate and that they no longer wish to
proceed this way, they should explain their reasons to the Inspectorate or, during the hearing,
the Inspector, who will, after seeking the views of the other party, decide whether an inquiry
should be held instead. If it becomes apparent during the hearing that the procedure is
inappropriate, the Inspector will close the proceedings and a local inquiry will be arranged.
10 After resolving any residual doubts about the application or plans, the Inspector conducting
the hearing will explain that it will take the form of a discussion which he will lead.
11 The Inspector will then summarise his understanding of the case from reading the papers
and any pre-hearing site visit. At that stage, the Inspector will outline what he considers to be
the main issues and indicate those matters for which further explanation or clarification is
required. This will not preclude the parties from referring to other aspects which they consider
to be relevant.
12 Appellants may present their case through an agent or adviser but such representation is
not essential. Legal representation should not normally be necessary. The appellant will
usually be asked to start the discussion. In some cases it may be appropriate for the local
planning authority to start if, for example, it is necessary to clarify development plan policy
matters in order to guide the debate. Written material should have been circulated and
exchanged well beforehand and will not need to be read out at the hearing. Every effort should
be made by the parties to avoid introducing at the hearing, material or documents which are
new, i.e. not previously referred to, as this may necessitate adjournment of the hearing to a
later date and frustrate the objectives of the hearing procedure.
13 Those at the hearing will be given the opportunity to participate. Any questions must be
relevant and discussion should proceed in an orderly manner. The appellant will be allowed
to make any final comments before the discussion is closed.
14 It may appear to the Inspector that certain matters could be more satisfactorily resolved if
the hearing was to be adjourned to the site, which could then be concluded there. The Inspector
will only do this when, having regard to all the circumstances, including weather conditions,
he is also satisfied that:-
(i) the discussion could proceed satisfactorily and that no-one involved would be at a
disadvantage;
(ii) all parties present at the hearing have the opportunity to attend; and
(iii) no-one participating in the hearing has objected to the discussion being continued on the
site.
The Inspector will normally ask that applications for awards of costs (if any) be made at the
end of proceedings in the hearing room and before adjournment to the site.
15 Unless the hearing is to be adjourned to the site, the Inspector will ask the appellant and
the local planning authority at the hearing whether they wish to be present at his inspection of
the site. If an accompanied site visit is requested, the date and time of the visit will be arranged
at the hearing. The appellant, landowner and representative of the local planning authority
may attend the visit, as may any other person at the discretion of the Inspector and with the
consent of the landowner. The Inspector should not be accompanied at any stage by the
representative of one of the principal parties without the representative of the other also being
present.
ANNEX 3: INQUIRIES
THE TOWN AND COUNTRY PLANNING (INQUIRIES PROCEDURE)
RULES 1992 (SI 1992 NO. 2038)
THE TOWN AND COUNTRY PLANNING APPEALS (DETERMINATION
BY INSPECTORS) (INQUIRIES PROCEDURE) RULES 1992 (SI 1992 NO.
2039)
1 This Annex is referred to in paragraph 23 of the Circular.
Scope of the Rules
2 SI 1992 No. 2038 (the 'Secretary of State Rules') applies to local inquiries held into (i)
planning appeals arising under section 78 of the Town and Country Planning Act 1990 which
are decided by the Secretary of State rather than by an Inspector appointed by him; (ii)
plannin. applications referred to the Secretary of State under section 77 of that Act; and (iii)
applications or appeals decided by the Secretary of State under that Act in relation to tree
preservation orders and under the Planning (Listed Buildings and Conservation Areas) Act
1990 in relation to listed building consent and conservation area consent.
3 SI 1992 No. 2039 (the 'Inspectors Rules') applies to local inquiries held into section 78
appeals and into appeals relating to listed building consent and conservation area consent
which are decided by Inspectors appointed by the Secretary of State.
Background to the Rules
4 The principal objective of the 1992 Rules is to make the inquiry process at all stages as
efficient and effective as possible, whilst impairing neither the fairness and impartiality of the
proceedings, nor the ability of participants to make representations which are relevant to the
decision. The Rules further develop and refine improvements introduced by the 1988 Inquiries
Procedure Rules. These include the more effective use of the pre-inquiry period by the early
exchange of information between the principal parties establishing timetables for the various
steps involved in the inquiry process, improving proceduralloperational practices and clarifying
the right to appear at an inquiry. It is widely acknowledged that these changes have assisted
in streamlining inquiry proceedings and made the inquiry process, as a whole, much more
Efficient.
5 Failure by a party to comply with the Rules could, if it led to another party incurring
unnecessary expenditure due to unreasonable behaviour, result in an award of costs. The Rules
do not provide directly for sanctions against a party's failure to comply with the timetable
requirements for the submission of statements of case or proofs of evidence. Nevertheless,
inquiry participants should bear in mind that compliance with the Rules is important to the
efficiency and effectiveness of the inquiry process, and is therefore in the interests of all
concerned.
6 The following paragraphs explain the 1992 Rules in more detail. For ease of presentation,
and to avoid unnecessary repetition, both sets of Rules are referred to at the same time. Where
the corresponding rule in the Inspectors Rules has a different number, or there is no
corresponding rule, this is mentioned in brackets after the Secretary of State rule number.
7 The following advice is intended to be a guide, and it is not definitive. An authoritative
statement of the law can only be made by the Courts.
Rule 2 - Interpretation
8 The definition of 'statutory party' covers those owners and agricultural tenants of the land
in question who made representations to the local planning authority, or to the Secretary of
State as appropriate, within 21 days of being served with a notice of the application or appeal
in question. In practice, the parties covered by this definition are the same as those covered by
the earlier definition of 'section 29(3) party' in the 1988 Inquiries Procedure Rules.
Rule 5 - Procedure where Secretary of State causes pre-inquiry
meeting to be held (no equivalent Inspectors Rule)
9 The significance of the Secretary of State causing a pre-inquiry meeting to be held under
Rule 5(1) is that it triggers the special procedures in the remainder of the Rule (see paragraphs
10 to 12 below). Pre-inquiry meetings may be held in respect of any inquiry to which these
Rules apply, but Rule 5 will normally be invoked in the case of all inquiries to which the Code
of Practice for preparing for Major Planning Inquiries is applied (see Annex 4). Inspectors
have the power under Rule 7 to hold a pre-inquiry meeting where no meeting is held under
Rule 5.
10 Rule 5(2) requires the Secretary of State to provide a statement of 'the matters about which
he particularly wishes to be informed for the purposes of his consideration of the application
or appeal in question'. Its purpose is to provide a clear statement of what he considers to be
the key issues to assist the parties and Inspector in preparing for the inquiry. It is not intended
to be a definitive statement since Inspectors must be free to hear all evidence relevant to their
consideration of the case.
11 Rule 5(3) requires the local planning authority to give notice of the Secretary of State's
intention to hold a pre-inquiry meeting and of the statement under Rule 5(2). In practice, the
Department will provide a suggested form of notice for local authorities to use.
12 The applicant (or appellant) and the local planning authority are required to serve, within
8 weeks of the relevant date, an outline statement before the pre-inquiry meeting; other parties
may be required by the Secretary of State to provide an outline statement, within 4 weeks of
being so required. Guidance on what should be contained in the outline statement is given at
paragraph 18 of Annex 4. The (first) pre-inquiry meeting is to be held within 16 weeks of the
relevant date, and the Inspector may, under Rule 5(10), call further meetings where he
considers it necessary. Th ese meetings provide an opportunity for the Inspector to identify
clearly the main issues with which the inquiry, is likely to be concerned and any need for
additional information. This will make it easier to arrange a programme for the inquiry and to
make the necessary procedural arrangements to ensure that the inquiry will run smoothly,
speedily and efficiently. Further guidance on pre-inquiry meetings is given in paragraphs 19
to 24 of Annex 5.
Rule 5 of the Inspectors Rules - Notification of identify of inspector
13 Rule 5(1) requires the Secretary of State to notify the Inspector's name to every person
entitled to appear at the inquiry, except where there is insufficient time to give notification of
a replacement Inspector before the inquiry opens. In those circumstances the Inspector will
identify himself at the start of the inquiry.
Rule 6 - Service of statements of case etc
14 In addition to the local planning authority, the applicant (or appellant) is required to serve
a statement of case. In the case of appeals not subject to the Rule 5 procedures referred to
above, appellants are given a longer period than the local planning authority to provide a
statement (9 weeks compared to 6 weeks). This is to give them the opportunity to consider the
authority's statement in support of the decision (or deemed refusal) before providing their
own.
15 Rules 6(1) and (3), relating to the service of statements of case by the local planning authority and the applicant respectively, are subject to the provision at Rule 6(4), which makes it an overriding requirement for statements of case to be served no later than 4 weeks before the date of the inquiry. However, in most cases, expiry of the periods of 6 or 9 weeks from the relevant date mentioned in paragraphs (1) and (3) is likely to come first. This provision does not therefore undermine the concept of forward timetabling and the objective of securing early exchange of information between the parties. But it will be helpful in the situation where it is possible to arrange an inquiry relatively quickly (e.g. where a second appeal is to be heard concurrently with an earlier one for which an inquiry has already been arranged) and where ftill use of the 6 or 9 week periods would mean statements arriving very close to the start of
the inquiry.
16 Rule 6(5) enables the applicant and the local planning authority to require from each other copies of any documents (or relevant extracts) which the other intends to refer to or put in evidence at the inquiry. Furthermore, to avoid unnecessary copying of documents, the assumption is that the parties will only require those documents (or relevant extracts) which they do not already have.
17 Under Rule 6(6) the Secretary of State has a discretionary power to require other parties, who have notified him that they wish to appear at the inquiry, to provide a statement of case. Third parties who provide a statement (where required) are entitled to appear at the inquiry under Rule 1 1 (1)(h).
18 The statement of case should contain thefiill particulars of the case which a party proposes to put forward at the inquiry, together with a list of relevant documents. If the parties know as much as possible about each other's case at an early stage, this will ensure that, where there is scope for negotiation, it takes place well before the inquiry is due to commence, thereby avoiding late cancellations or requests for postponement of inquiries. It will also help the parties to concentrate on the matters which are in dispute; it will help the inquiry to run efficiently; and avoid unnecessary adjournments, which can lead to awards of costs. Parties should normally provide with their statements the data, methodology and assumptions used to support their submissions. This is particularly important for major inquiries. If extensive tables, graphs, diagrams, maps etc are not produced until after the inquiry has opened, the other parties might well need time, by means of an adjournment, to study these. To assist in ensuring that adequate information is supplied in advance of the inquiry, Rule 6(8) enables the Secretary of State or the Inspector to require the provision of such further information as may be specified. If any party considers a statement of case produced by another party to be inadequate or incomplete, this should be drawn to the Inspector's attention at the earliest
opportunity.
19 Third parties are entitled under Rule 6(7) to receive from the Secretary of State a copy of the principal parties' statements of case where they themselves have been required to serve a statement. Rules 6(9) and (1 1) are designed to ensure that copies of statements and relevant supporting documents are available for public inspection. 20 Under Rule 6(10) (which cross-refers to Rule 5(2)) of the Secretary of State Rules, the Secretary of State may (or, in the case of called-in planning applications, is required to) provide a pre-inquiry statement of matters - see paragraph 10 above. Rule 7(1) of the Inspectors Rules is the equivalent provision in those rules.
Rule 7 - Further power of Inspector to hold pre-inquiry meetings
21 Rule 7 of the Secretary of State Rules enables an Inspector to hold a meeting where he considers it desirable, other than in cases where one is held pursuant to Rule 5; and the Inspector is similarly given the power in Rule 7(2) of the Inspectors Rules to hold a preinquiry meeting for any appeal to which those Rules apply.
Rule 8 - Inquiry timetable
22 Rule 8 enables the Inspector to arrange a timetable where he considers that this would be helpful. For Secretary of State Rule 5 cases, he is required to do so. 23 Rule 8(2) enables the Inspector to specify, in any timetable arranged under this Rule, a date for sending any proof of evidence and summary required by Rule 13 (Rule 14 of the Inspectors Rules). This links in with the provision in Rule 13(3) requiring a proof and summary to be sent to the Inspector either 3 weeks before the inquiry or any other date specified in a timetable arranged under Rule 8. The related Rule 8(2) and Rule 13(3) provisions, taken together, will give the Inspector the discretion to vary the time limit for proofs and summaries to suit the particular circumstances of a case.
Rule 9 - Notification of appointment of assessor
24 Where a suitably qualified assessor has been appointed, Rule 9 requires the Secretary of State to notify persons entitled to appear at the inquiry of the assessor's name and the matters on which he is to advise. Rules 16 and 17 of the Secretary of State and Inspectors Rules respectively refer to reports by assessors (see paragraph 46 of this Annex). Assessors are important in assisting the progress of inquiries towards a quicker understanding of more specialised issues.
Rule 10 - Date and notification of inquiry
25 For Secretary of State-decided cases where a pre-inquiry meeting is held under Rule 5, Rule 10 specifies that the date for the inquiry must be no later than 8 weeks from the conclusion of the (last) pre-inquiry meeting. For other cases, the relevant period is not later than 22 weeks after the 'relevant date' in Secretary of State-decided cases, and 20 weeks in Inspector-decided cases. In many cases, it will be possible and desirable for the inquiry to start well before the specified time. In cases where the Secretary of State considers that it is impracticable to start the inquiry within the period specified in the Rule, it gives him power to extend the date by which the inquiry must open to the earliest practicable date thereafter. 26 The Department's aim is to settle, in every case, as early an inquiry date as possible. To this end, each principal party to an appeal will only be permitted one refusal of a date offered for the inquiry before the Planning Inspectorate will proceed to fix a date, time and place for the inquiry. The period allowed for negotiation of inquiry dates will, in normal circumstances, be limited to one month. This negotiation period will be deemed to have started when the first offer of an inquiry date is made. If one or both parties refuse the first date offered, and it is clear that they are not prepared to negotiate an alternative date acceptable to the Planning Inspectorate, the Inspectorate may proceed to fix the date of the inquiry before the negotiation period has expired. Once a date has been fixed, it will be changed only for exceptional reasons. 27 The Secretary of State must normally -ive the parties at least 4 weeks' notice of the inquiry under Rule 10. In practice, it will often be possible to give much more notice. 28 The extent of publicity for an inquiry is, in practice, generally left to the discretion of the local planning authority, althou-h the Secretary of State may stipulate requirements in a particular case (Rule 10(6); Rule 10(5) of the Inspectors Rules). Local planning authorities will usually be in the best position, from their local knowledge, to decide upon the appropriate extent of press publicity or individual notification. It is important that persons or bodies known to have an interest in a referred application or an appeal are informed in good time of the inquiry details, particularly where such a body is a statutory consultee. Where a local planning authority is required to publish notice of an inquiry in a newspaper, it is a requirement that this should be done not later than 2 weeks before the inquiry. 29 In the Secretary of State Rules, paragraph (8) (paragraph (7) in the Inspectors Rules) sets out the information which should be contained in an inquiry notice.
Rule 1 1 - Appearances at inquiry
30 Rule 1 1 (1)(c) lists the bodies entitled to appear at an inquiry, including certain public
authorities. These authorities are bodies who can exercise local planning authority functions,
although they may not necessarily be the local planning authority in the particular case.
31 Rule 1 1 (2) makes clear that the Inspector will not unreasonably withhold permission for
any other person to appear at inquiry (ie beyond those entitled to appear under Rule 1 1 (1)). In
practice, anyone who wishes to appear at an inquiry will usually be allowed to do so, provided
they have something relevant to say which has not already been said.
32 It is good practice for persons with a sin-iilar interest to get together to agree upon a
spokesperson (or spokespersons) and it is not considered that this needs to be subject to the
Inspector's approval.
Rule 12 - Representatives of Government departments and other
authorities at inquiry
33 Although under this Rule a representative of a Government department is not required to
answer any question directed to the merits of Government policy, the Inspector may permit
such a question if the representative is prepared to answer it.
Rule 13 (Rule 14 of the Inspectors Rules) - proofs of evidence
34 This Rule contains a number of provisions that are designed to facilitate improved public
participation in the inquiry process and to assist in achieving savings in inquiry time, without
detracting from the fairness of the proceedings nor the ability of participants to make their
views known. Reference should be made to the guidance in Annex 5 to this Circular, which
gives a further explanation of how these provisions are intended to operate in practice.
35 Any person entitled to appear at an inquiry who intends to read, or call another person to
read, from a written statement of evidence is required to send a copy to the Inspector.
36 The reading out in full of lengthy prepared statements can take up much time at inquiries.
Paragraphs (1) and (2) of this Rule therefore require a written summary to be sent with a
proof of evidence, unless the proof contains no more than 1500 words. Paragraph (3) requires
the proof and any summary to be sent to the Inspector no later than 3 weeks before the inquiry
or any other date specified in a timetable arranged by the Inspector (paragraph 23 above refers:
this enables Inspectors to use their discretion to fix a suitable deadline in circumstances where
a proof could be submitted later on during a long-running inquiry without causing
disadvantage).
37 Paragraph (4) requires the principal parties to copy any required proofs and summaries to
each other and to any 'statutory party', and requires any other parties providing such
documents to copy them to the principal and statutory parties. Paragraph (7) requires the local
planning authority to give any person a reasonable opportunity to inspect and, where
practicable, take copies of any document sent to or by them under this Rule. These provisions
enable all interested parties to familiarise themselves with proofs of evidence before an inquiry
opens.
38 Paragraph (5) provides that where a summary is provided in accordance with paragraph
(1), only that summary, as opposed to the full proof, shall be read out at the inquiry unless the
Inspector permits or requires otherwise. This provision, and the discretion it affords to the
Inspector, is a crucial element of the 1992 Rules. However, the full proof will be treated as
tendered in evidence under Rule 14(5) of the Secretary of State Rules (Rule 15(5) of the
Inspectors Rules) and cross-examination can take place on it.
39 It is recognised that a certain amount of flexibility, and sensible use of discretion by
Inspectors, is important in using these provisions effectively to shorten inquiries, without
making them less easy to follow. Thus, there is no statutory liniit on the length of summaries. Attention is drawn, however, to the advice on the length of summaries given in paragraph 11
of Annex 5 to this Circular. It is appreciated that it may sometimes be difficult to summarise complex technical evidence effectively, and it is not intended to prevent witnesses properly explaining their evidence. Situations may also arise where the Inspector considers it necessary or very desirable for more than the summary to be read out, e.g. in order to make the proceedings more intelligible for third parties or to ensure that germane points are adequately explained. In those situations, Inspectors may use their discretion to enable or require more than the summary to be read out. However, use of this discretionary power will be the exception. It needs to be borne in mind that summaries of complex evidence can help to make the salient points clearer to interested parties, as well as saving time. Time spent at inquiries reading out lengthy prepared statements can be significantly reduced and this will be in the interest of all participants.
40 It has sometimes been the practice of parties to submit supplementary proofs of evidence after their main proofs have been submitted, sometimes very shortly before or even at an inquiry. This is not a practice the Department wishes to encourage, as it remains an objective of the R@le-s to secure exchange of relevant information in good time before an inquiry opens, so that everyone has adequate time to prepare properly. Furthermore, if material new evidence is raised at a very late stage which another party has not had adequate time to consider, an adjournment may result and, unless there is good reason for the late submission, an award of costs could arise. Further advice in respect of supplementary proofs is given in paragraph 26 of Annex 5 to this Circular. Any supplementary proof, if it contains more than 1500 words, must be accompanied by a summary of it, in accordance with the provisions of Rule 13 of the Secretary of State Rules (Rule 14 of the Inspectors Rules) which do not draw a distinction between main and supplementary proofs.
Rule 14 (Rule 15) - Procedure at inquiry
41 All persons entitled to appear at the inquiry are entitled to call evidence. Only the applicant (or appellant), the local planning authority and any statutory party have an entitlement to cross-examine, although the Inspector may permit other persons to do so. 42 Under paragraphs (4) and (7) of this Rule, the Inspector may refuse to hear evidence or to permit cross-examination which is irrelevant or repetitious, and to require any person behaving in a disruptive manner to leave the inquiry.
43 Rule 14(5) of the Secretary of State Rules (Rule 15(5) of the Inspectors Rules) makes clear that, notwithstanding the requirements relating to the provision and reading of summaries of proofs of evidence, the full proof will still be treated as tendered in evidence and open to cross-examination (unless the person required to provide the summary notifies the Inspector that he wishes to rely on the summary only).
44 Rule 14(10) enables the Inspector to take into account written representations, evidence or other documents received during the inquiry, as well as before it opens, provided that they are disclosed at the inquiry.
Rule 15 (Rule 16) - Site inspections
45 This Rule allows the Inspector to make accompanied site visits during the inquiry and after its close, as well as unaccompanied visits before or during the inquiry. The Inspector will refuse to hear evidence or other submissions during any accompanied visit. It is legitimate, however, for persons to draw his attention to particular features of the site and its surroundings.
Rule 16 (Rule 17) - Procedure after inquiry
46 Where an assessor has been appointed to sit with an Inspector at an inquiry to advise on specialist matters, he may subsequently provide the Inspector with a written report on those matters. The Inspector is, however, entirely responsible for the writing of his report to the Secretary of State and for the recormnendation made (or, in Inspector-decided appeals, for reaching a decision). In Rule 16(3) of the Secretary of State Rules, there is a requirement for any written report made by an assessor to be appended to the Inspector's own report. and for the Inspector to state how far he agrees or disagrees with the assessor. This does not apply to the Inspectors Rules, since the Inspector does not provide a report to the Secretary of State where he is determining an appeal himself; but the existence of an assessor's report will be made known under Rule 17(1) of those Rules, to enable inspection to take place under Rule 18(2).
47 Regarding the treatment of evidence received after the inquiry, Rule 16(4) of the Secretary of State Rules requires reference back to the parties where the Secretary of State is disposed to disagree with the Inspector's recommendation because (a) he differs from the Inspector on any matter of fact mentioned in, or appearin. to him to be material to, a conclusion reached by the Inspector, or (b) he proposes to take into consideration any new evidence or any new matter of fact (not being a matter of Government policy). For appeals to be decided by an Inspector, Inspectors are required under Rule 17(2) of the Inspectors Rules to refer back to the parties where they propose to take into account any new evidence or any new matter of fact (not bein. a matter of Government policy) which was not raised at the inquiry and which they consider to be material to their decision. It is accepted that there may be circumstances other than those set out in the above-mentioned Rules where the Secretary of State, or the Inspector for a transferred appeal, may consider that reference back should take place in the interests of natural justice. These will continue to be identified on a case-by-case basis. 48 Where reference back takes place under Rule 16(4) of the Secretary of State Rules - or Rule 17(2) of the Inspectors Rules for transferred appeals - all persons entitled to appear at the inquiry who appeared at it will be afforded the opportunity of submitting written representations within 21 days. Where reference back is required because it is proposed to take account of some new evidence or new matter of fact, the parties may, alternatively, ask for the inquiry to be re-opened; and if such a request is made by the appellant (or applicant) or the local planning authority, the inquiry will have to be re-opened. In other circumstances, the Secretary of State (or the Inspector for a transferred appeal) may, at his discretion, cause the inquiry to be re-opened.
Rule 17 (Rule 18) - Notification of decision
49 Any persons entitled to appear at the inquiry who did appear are entitled to be notified of the decision in writing, whether or not they have asked to be notified, and any other person, who appeared at the inquiry and asked to be notified, will also be notified. Where an assessor provides a written report, this will, in cases to be decided by the Secretary of State, be distributed with the Inspector's report as an appendix. The right to apply to the Secretary of State to inspect documents extends to 6 weeks from the date of decision to tie in with the High Court challenge period.
Rule 18 (Rule 19) - Procedure following quashing of decision
50 This Rule relates to the procedure to be followed where the oriainal decision has been quashed by a Court. It ensures that those who were entitled to appear at the inquiry and who did so are given the opportunity to make further comments on the case, following the Court's decision. The Secretary of State will send to those parties a written statement of the matters on which further representations are invited for the purposes of his further consideration of the application or appeal, and will afford them the opportunity of asking for the inquiry to be re-opened. The Secretary of State may, at his discretion. cause the inquiry to be re-opened, whether by the same or a different Inspector.
Rule 19 (Rule 20) - Allowing further time
51 It is essential that the timetabling provisions in the Rules, particularly those relating to submission of pre-inquiry statements and proofs of evidence, should be adhered to in order to achieve greater speed and efficiency. However, there may, exceptionally, be circumstances where it would be reasonable to allow further time for the taking of any step in respect of which die Rules specify a time limit, and this Rule therefore enables the Secretary of State at any time, in a particular case, to do so. The Secretary of State will be sparing in the use of this power. An example of where this power might reasonably be used is where a planning appeal or other case subject to these Rules is linked with a case subject to other Rules, such as an enforcement appeal, for consideration at concurrent inquiries, and where it is wished to ensure consistency in the respective requirements e.g. relating to submission of statements of case.
ANNEX 4: INQUIRIES
PREPARING FOR MAJOR PLANNING INQUIRIES IN ENGLAND AND WALES
A CODE OF PRACTICE
1 This Annex is referred to in paragraph 23 of the Circular.
2 This Code of Practice relates to procedures leading up to major inquiries held under the Planning Acts in England. The purpose of the Code is to enable the Inspector to structure the inquiry in such a way as to ensure that the proceedings run smoothly, speedily and efficiently, to help save time and resources, and to help participants to concentrate on the real issues that have to be resolved. This is in the interests of all parties to the inquiry. 3 The Code is based on experience gained at a number of past inquiries, and takes as its legal basis the provisions of the Inquiries Procedure Rules (the 'Rules')'. At the same time, the code also includes administrative arrangements which are not set out formally in the Rules but which are intended to be helpful to all participants during the pre-inquiry stages of a major planning case where the Secretary of State has decided to apply the alternative pre-inquiry procedures appropriate to a major inquiry. The Code does not apply to inquiries into an Order proposed by a Minister (though elements of the Code could usefully be applied to such Orders where relevant - as they could be to inquiries into major proposals held under other legislation).
1 The Town and Country Planning (Inquiries Procedure) Rules 1992 (SI 1992 No. 2038).
4 The Code is intended for application in cases where the development proposal is of major public interest because of its national or regional implications, or the extent or complexity of the environmental, safety, technical or scientific issues involved, and where for these reasons there are a number of third parties involved as well as the applicant and the local planning authority.
5 Experience suggests that some of these third parties are likely to wish to be represented formally at the inquiry, and to play a major part in the proceedings, for example by calling witnesses and by cross-examination - of witnesses called by other parties, particularly the promoters of the scheme. Other third parties may simply wish to have the opportunity to express their concern about the scheme, without playing a major part in the remainder of the inquiry.
6 The Code seeks to help the Inspector and the parties prepare for the inquiry by:
(a) identifying in advance those who intend to participate in the inquiry and the extent to which they wish to do so, making them known to one another, and enabling them to use their time and resources to best advantage;
(b) encouraging advance presentation of information and views to help participants concentrate their inquiry statements on the key issues;
(c) where possible, agreeing certain facts between the parties; and
(d) enabling the inquiry arrangements and procedures to be properly planned for the benefit of all concerned.
First steps
7 It will be for the Department to decide whether or not the provisions in the Rules relating to pre-inquiry meetings and the Code of Practice should be applied to any particular inquiry. This decision will be taken as soon as possible after the submission of the planning appeal to
the Secretary of State or the calling in of the application under the provisions of Section 77 of the Town and Country Planning Act 1990. The Code is likely to be applied only to the few very large inquiries, and when it is applied, a separate inquiry secretariat will be set up. 8 Once a decision has been taken to apply the Code, the applicant and local planning authority will be notified and sent a copy of the Code, together with a written statement of the matters about which the Secretary of State particularly wishes to be informed for the purposes of his consideration of the application or appeal. (This statement may be supplemented at a later stage if necessary).
9 The local planning authority will, in addition, be sent a standard registration form for use by interested parties who wish to participate in the inquiry. This form will request the following information:
(a) the name, address and telephone number of the person or organisation registering;
(b) the name, address and telephone number of any agent, or, in the case of an organisation, of the contact person;
(c) whether or not the person or organisation registering has an interest in any property that will be affected by the proposal;
(d) whether or not the person or organisation registering is likely to want to be represented formally and to play a major part in the inquiry, e.g. by calling witnesses and/or crossexamining other parties and their witnesses;
(e) if not, whether or not the person or organisation registering will wish to give oral evidence at the inquiry or will wish only to submit representations in writing.
10 The Department will notify the local planning authority of those persons or organisations
who are known at that stage to have a right to appear at the inquiry or to have an interest in the proposal. The local planning authority will be asked:
(a) to send a copy of the Code, the Secretary of State's statement of issues and the standard registration form to all those interested persons notified to them by the Department; to any statutory parties'; and to any other persons or organisations known to it to have an interest in the proposal;
(b) to publish, in the local press, the formal notification of the application of the Code; the application of the Rules provisions relating to pre-inquiry meetings; the Secretary of State's statement of issues; and a request that anyone interested in participating in the inquiry should obtain from the local authority a copy of the Code and the registration form.
The local planning authority will be asked to confirm to the Department that the steps at (a) and (b) have been undertaken and to forward a copy of the newspaper notice.
1 As defined in Rule 2 of the Rules.
11 The registration forms will include the address of the inquiry secretariat or other nominated persons to whom they should be returned, and the date by which this should be done. This will normally be within 21 days of the publication of the formal notification in the local press. 12 The inquiry secretariat will liaise with the local planning authority to ensure that the authority has sufficient copies of the code, the registration form and the statement of relevant issues to distribute as necessary.
Register of participants
13 The inquiry secretariat will prepare a register of participants from the information contained in the registration forms. The register will be in 3 parts. Part 1 will contain details of all those who have indicated that they wish to play a major part in the proceedings (referred to subsequently as 'major participants'). Part 2 will contain details of those who have indicated that they wish to give oral evidence without playing a major part in the remainder of the proceedings. Part 3 will contain details of those who wish to submit representations in writing without taking part in the inquiry itsell A copy of the register will be sent to the applicant, the local planning authority and other major participants, and arrangements will also be made for copies to be available for public inspection. Additions or deletions or transfers between one part of the register and another can be made at any time, and these will be notified in the same way.
14 The Inspector will normally allow all those included in Part 1 of the register to appear at the inquiry, regardless of their legal entitlement to do so. Those included in Part 2 of the register will also normally be allowed to appear, provided that their evidence is relevant, and does not merely duplicate evidence already given by others. Those not included in Part 1 or Part 2 of the register with no legal entitlement to appear at the inquiry will be allowed to appear at the discretion of the Inspector.
15 The major participants are likely to derive most benefit from formal pre-inquiry procedures. They will be sent a copy of the Code, and will be expected to comply with its provisions on such matters as the pre-inquiry exchange of documents, and, provided they do so, they will in turn receive copies of documents circulated by other participants, which are relevant to their interests. They will also receive individual notification of arrangements for pre-inquiry meetings.
16 Other participants will be much less affected by the provisions of the Code, but its use is not intended in any way to diminish their opportunity to make representations or the importance of their contribution to the inquiry proceedings. The information obtained wfll help the Inspector to plan the inquiry in the most effective manner, and to prepare a timetable for it, and this will be to the benefit of everyone. The register will also enable all those with an interest in the inquiry to discover who is taking part, and this will provide an opportunity for those with similar points of view to get together and to consider combining their representations.
Preliminary notification of the inquiry arrangements
17 As soon as possible after the publication of the formal notification of the application of the code in the local press, the Department will notify the applicant, the local planning authority, any interested Government Department and all those who are known to have a right to appear at the inquiry and who wish to do so, of:
(a) the name of the Inspector appointed to hold the inquiry;
(b) the name of any assessors (where required, and if known at this stage);
(c) the arrangements for the first pre-inquiry meeting;
(d) the target date for the commencement of the inquiry.
The local planning authority will be asked to publish this information in the local press, and it will also be sent to other major participants as they register.
Outline statement
18 In accordance with the provisions of R ule 5 of the Rules, the inquiry secretariat will ask the local planning authority and the applicant to provide, not later than 8 weeks' after the Secretary of State's notification that an inquiry is to be held, a written outline statement. Other major participants may also be asked to serve such a statement. If so, they will be required by the Rules to provide it within 4 weeks of being asked to do so. These statements should contain the general lines of the case which they intend to put forward and explain its relationship to the matters identified by the Secretary of State about which he particularly wishes to be informed. They should include an estimate of how long the presentation of the case is likely to take; information about witnesses likely to be called and an indication of which other witnesses the participant would like to cross-examine; a list of any special studies which have been taken into account or are being prepared. Major participants will normally be sent a copy of statements relevant to their interests unless the statements are very lengthy or the number of participants included is too great to allow this to be done. In any event, arrangements will be made for copies of all statements to be available for public inspection.
In addition, all participants remain free to submit other written statements to the Inspector at any time: such statements will be made available for public inspection and circulated as appropriate.
1 These periods may be extended, at the Secretary of Slate's discretion (see paragraph 51 of Annex 3 to this Circular).
19 The outline statements have two functions. First, they provide advance warning of arguments which the various participants are proposing to deploy at the inquiry. It should be possible to identify from these statements the issues that are likely to feature most prorriinently at the inquiry. Secondly, the outline statements provide the information that the Inspector requires to structure and programme the inquiry. In the light of what is said in them the Inspector may wish to invite participants who appear to hold the same or similar views to consider collaborating to present a single case at the inquiry. The outline statement will also help the Inspector to see whether there are any relevant issues which are in danger of not being properly covered at the inquiry, and to consider how to remedy any deficiencies, for example by inviting persons who have expert knowledge of the matter concerned to take part in the inquiry.
20 The Inspector will seek to identify from the statements those areas where facts appear to be capable of agreement between main parties, such as descriptions of the proposal, the site and surroundings, or facts and methodologies relating to environmental effects. He will do this as soon as possible after the receipt of the outline statements. A statement of generally agreed facts and matters still in dispute which are relevant to the inquiry will then be deposited and circulated in the same way as the written statements. When participants agree to work together to prepare an agreed statement of facts (see paragraph 22(d) below), the statement will be circulated as soon as possible after agreement has been reached.
21 The purpose of the pre-inquiry meeting is to help the Inspector and the participants to prepare for the inquiry proper, and so enable the proceedings to be conducted as efficiently and speedily as possible. It will be a public meeting, presided over by the Inspector, and more than one meeting may be held where the Inspector considers this to be desirable. No discussion of the merits of the development proposal is permitted. It is not the function of a pre-inquiry meeting to consider matters, including evidence, which should appropriately be discussed at the inquiry itself.
22 The matters to be considered at the pre-inquiry meeting will include:
(a) any necessary clarification of the Departmental statement of issues;
(b) identification of any material required by the Inspector and not already covered by statements, and consideration of how this is to be provided, including the progress of any special studies being undertaken, and the need for additional participants;
(c) responses to any invitation from the Inspector to participants to consider collaboration;
(d) arrangements for preparation of generally agreed statements of facts including arrangements for any informal meetings that may be required to assist in preparing such statements;
(e) a review of the timetable for the work to be done before the inquiry opens, including the submission of any further statements;
(f) the role of any assessors.
23 Procedural matters will also be considered at the pre-inquiry meetings and a separate meeting (the programme meeting) may be held for this purpose. The matters to be considered will include:
(a) details of the venue and proposed dates and times of sittings, including any provision for evening sessions or for sessions away from the main venue;
(b) programming the inquiry including the order of appearances and whether a topic by topic programme is to be adopted;
(c) accommodation and facilities at the inquiry (e.g. copying, transcripts, telephones, public address system, and facilities for the media);
(d) secretariat arrangements;
(e) procedural matters, including consideration of the form of opening and closing statements, the need for and use of daily transcripts and requirements for proofs of evidence and summaries;
(f) arrangements for the submission, circulation and inspection of documents, including the listing of documents already submitted;
(g) agreement on the units of measurement, nomenclature, acronyms, etc to be used at the inquiry.
24 The secretariat will send a note of conclusions reached at any pre-inquiry meeting to major participants, and arrangements will be made for copies to be made available for public inspection. In addition the applicant the local planning authority, persons included in Parts 1 and 2 of the register and any persons not included in those Parts of the register who have a right to appear at the inquiry will be given notice in writing of the date, time and place for the holding of the inquiry.
25 Either before or during the inquiry the Inspector may wish to arrange for informal meetings to be held to see whether agreed statements of facts can be prepared on particular issues (e.g. statistical methodology) to help participants with similar views to consider the possibility of collaboration, or for similar purposes. As with formal pre-inquiry meetings, it is not the function of the meeting to hear evidence on matters which should appropriately be discussed at the inquiry itself. The Inspector will indicate the purpose of such meetings, and designate a chairman who will normally be either the Inspector himself or one of the assessors. In the case of technical evidence, the chairman should aim to produce a report which will identify matters which are agreed, the matters in dispute, and the factors or assumptions which have led to the differences of view. Wherever possible copies of the report will be sent to major participants who have an interest in the issue concerned at least two weeks before evidence on that issue is due to be given.
26 The applicant and local planning authority will, and other major participants may, be required to provide a written statement containing full particulars of the submissions which they propose to put forward, together with a list of any documents (including maps and plans) which they intend to refer to, or put in evidence, at the inquiry. If such a statement is required it will need to be provided by the applicant and the local planning authority not later than four weeks before the inquiry opens and by any other party within four weeks of being required to provide it.
27 Any person entitled to appear at the inquiry who proposes to give, or call upon a witness to give, evidence at the inquiry by reading a proof of evidence, is required by the Rules to provide the Inspector with a copy of the proof not later than three weeks before the inquiry opens, or any alternative date specified by the Inspector. Furthermore, unless the proof contains no more than 1500 words it must be accompanied by a written summary. Where a written summary is required, only that summary may be read out at the inquiry, unless the Inspector permits or requires otherwise. Nevertheless, the full proof of evidence will be treated as tendered in evidence (unless the witness decides to rely on the summary alone) and the person reading the summary may be cross-examined on the contents of the full proof. As a guide, summaries should not exceed 10% of the length of the proof.
28 If a participant giving oral evidence at the inquiry introduces into his submissions any matters not covered by their pre-inquiry statements, the Inspector may agree to a request from another participant to adjourn the inquiry to allow time for the consideration of the additional material. The Inspector may also agree to such a request where failure to provide a statement by the required date has prejudiced presentation of another participant's case. The Inspector may consider making a recommendation for an award of costs against a person who unreasonably causes such an adjournment.
1 This Annex is referred to in paragraph 23 of the Circular.
2. It should be remembered that the principal role of Inspectors is to obtain the material necessary to make an informed and reasoned decision or recommendation. To do this they hear evidence from the parties and may also seek such other information as they consider appropriate. Inspectors must be satisfied before the inquiry ends that they understand the relevant arguments and submissions. They also need to ensure that the parties are satisfied that their cases have been understood and that they have had a fair hearing.
3 Inspectors must always act in accordance with the principles of fairness, openness and impartiality established by the Franks Committee in its 1957 Report 'Administrative Tribunals and Enquiries', but they are also responsible for ensuring that the inquiry is run efficiently and that inquiry time is not wasted and is used to the best advantage of all concerned. They will thus seek to avoid spending time on matters that are not disputed; where, in their view, sufficient evidence has already been heard to establish a point; or on matters where agreement can be reached more quickly or easily outside the inquiry.
4 Where, in their opinion, it will clarify the issues and expedite the proceedings, Inspectors will open the inquiry with a statement on what appear to be the matters and disputed facts on which evidence is required. Inspectors will remind the parties of the agreed timetable where one has been arranged.
5 Statements of case. It is essential that statements of case cover all the relevant topics fully: they must contain full particulars of the case to be put forward at the inquiry, including the technical data upon which the parties wish to rely.
6 It will assist the inquiry if other parties who wish to participate can be identified at an early stage so that they can inspect the statements of case and documents of the main parties and can be encouraged to produce their own. They may be required to do so in certain circumstances.
7 Even if no pre-inquiry meeting (see below) is to be held, there are advantages in the parties relying on technical evidence contacting each other at an early stage to discuss procedural matters, define issues in dispute and agree basic factual information. In some cases the Planning Inspectorate will indicate by letter the matters which it is felt should be discussed between the parties prior to the inquiry.
8 It is in the interests of all the parties to adopt a constructive and co-operative approach to the preparation of agreed statements. Agreed statements should therefore be prepared to cover as many uncontested factual topics as possible, eg. planning policy background, site description, planning history, suggested conditions and planning obligations (indicating, if necessary, where unresolved matters remain) and any other relevant technical details. These should be submitted as documents, so that proofs of evidence can refer to them rather than incorporate them.
9 Proofs of evidence. Proofs should be concise and ideally contain facts and expert opinions deriving from witnesses' own professional or local knowledge as applied to individual cases. It would also be helpful if they were to address the question of conditions to the extent appropriate to the witness's evidence.
10 Where it is necessary to set out facts in detail, proofs should focus on what is really necessary for the matter in hand and avoid including unnecessary material. Details such as site description and planning history, if not in an agreed statement, can usually be dealt with in appendices with only a succinct statement of the crucial facts in the proof itself. Suitable plans can be used to illustrate and enhance the understanding of such material. The text of national or regional guidance need not be repeated in the text of the proof or any appendices since the parties and the Inspector may be assumed to have access to such documents as Planning Policy Guidance Notes. Relevant local policies are best presented in the form of extracts which should be included in appendices and normally quoted only as necessary in the proof. Where in the text of the proof a point is made in reliance upon a document, the page and paragraph number in that document should always be identified. Proofs should have their pages and paragraphs numbered. Any appendices should also be paginated throughout and there should be a list of the appendices with page references at the beginning of the bundle.
11 Where a proof of evidence contains no more than 1,500 words, it is not necessary for a summary to be provided. As a guide, summaries should not exceed 10% of the length of the proof These should condense the gist of the proofs concentrating on the case in relation to the main points at issue. The content of the summary should not go beyond the scope of the text it purports to summarise. Where it is wished to supplement a proof, attention is drawn to the advice in paragraph 26 of this Annex. 12 Where a party calls more than one witness, the evidence should, as far as possible, address discrete topics. Overlapping of topics or duplication of evidence between witnesses on the same team should be avoided since even fairly small differences in emphases can confuse the case for the party they represent.
13 Sufficient copies of proofs with summaries should be prepared for all the main participating parties and distributed in accordance with the Rules. Additional copies should be available for inspection at the local authority's offices prior to.the inquiry and for inspection and circulation at the inquiry. The number, required will depend on the likely degree of public interest. (Further guidance on good practice in the preparation and presentation of evidence is contained in the document 'Public Inquiries under the Town and Country Planning Act 1990. Better presentation of evidence-in-chief' produced, after consultation with the Planning Inspectorate, by the Local Government, Planning and Environmental Bar Association).
14 Documents. All documents accompanying proofs of evidence should be carefully prepared, presented and, where appropriate, edited so as to exclude irrelevant matters. Their purpose is to set out in an ordered and readily-identifiable form the factual material and technical data upon which evidence is based. They should be separate from the proofs of evidence and have identifiable reference numbers prefixed by letters denoting the name of the party producing them.
15 Documents should as far as possible be of A4 size; extracts from published material must indicate their precise context with full titles, chapter headings and dates for verification) purposes; plans, maps and diagrams should be treated similarly, folded to A4 size with the title box displayed. Photographs should normally be mounted on a series of A4 or, where necessary, larger cards. They should be individually numbered and the viewpoints shown on a separate OS extract. Times and dates must be given for original photographs. It is also helpful for the focal length of lens used to be indicated. Models displayed at inquiries should be photographed, preferably in colour, and copy enlargement prints submitted as documents. The relevance of all documents submitted should be explained in evidence or submissions.
16 Lists of core documents, such as policy statements and development plan extracts, should be compiled and indexed by local planning authorities and submitted with statements of case. Co-operation between parties should ensure that as far as possible a list of core documents is agreed and that extracts contain all material to be referred to. All main parties should start to number their own documents before the inquiry, and keep an up-to-date list to be completed and submitted before the close of the inquiry.
17 Plans, photographs and diagrams should be listed as documents. All should display the already notified Planning Inspectorate reference number as well as the document number. Local planning authorities should include both a copy of the Inquiry Notice and of the letter of notification of the inquiry as documents. They should also specifically identify the application site plan and application drawings. Bundles of correspondence can be submitted as single documents provided that each letter is discretely numbered within a separate series.
18 Proofs of evidence are not normally inquiry documents. They should not be included in the list of documents, but should be separately indexed.
19 Pre-inquiry meetings are a further way in which time can be saved at the actual inquiry and the proceedings made more effective. They are most commonly used to discuss procedural arrangements if an inquiry is likely to last several days or will be complicated to programme. They are particularly useful in managing inquiries where highly technical evidence is expected or ones which deal with several proposals involving more than one appellant or applicant.
20 Pre-inquiry meetings result in a more effective use of inquiry time by providing the opportunity for agreement to be reached on practical arrangements for such matters as accommodation, dates and sitting times, likely duration and order of cases, clarification of issues and areas of uncertainty, matters for agreed statements, arrangements for preparation, presentation and distribution of proofs, and document numbering. They also enable Inspectors to remind participants of the importance of adhering to the inquiry timetable and of their co-operation in all matters to ensure that the inquiry is conducted efficiently and with the minimum possible delay. More than one pre-inquiry meeting may be required, particularly if it would be beneficial to discuss further technical details or further procedural and programme matters where there is large-scale public interest.
21 No discussion of the merits of the proposed development is allowed at a pre-inquiry meeting. It therefore follows that an inability to attend or be represented at the meeting does not in any way prejudice the right of anyone to make representations at the inquiry itself.
22 Although it is usual to invite only those parties who intend to call witnesses or present technical evidence at the inquiry, pre-inquiry meetings are open to the public and are advertised as such where required under the Inquiries Procedure Rules 1992. They can therefore be attended by non-participants who are nevertheless interested in the proceedings. The Inspector will normally accept questions, even from those not directly involved, since a few minutes spent carefully explaining or airing some procedural matter at the meeting can save hours of preparation or inquiry time, and avoid potential frustration and acrimony.
23 Immediately following the pre-inquiry meeting, a note will be circulated by or on behalf of the Inspector confirming the matters agreed, including procedural arrangements and deadlines for submission of proofs of evidence and documents. Further pre-inquiry meetings may be arranged if required.
24 It is recognised that the scope for widening the use of pre-inquiry meetings is to some extent restricted since their use can only be justified in cost effectiveness terms in respect of multi-day inquiries. Nevertheless, the Department, through the Inspectorate, will continue to promote the use of pre-inquiry meetings at every opportunity where they are considere